[Title 47 CFR ]
[Code of Federal Regulations (annual edition) - October 1, 2017 Edition]
[From the U.S. Government Publishing Office]



[[Page i]]

          

          Title 47

Telecommunication


________________________

Parts 0 to 19

                         Revised as of October 1, 2017

          Containing a codification of documents of general 
          applicability and future effect

          As of October 1, 2017
                    Published by the Office of the Federal Register 
                    National Archives and Records Administration as a 
                    Special Edition of the Federal Register

[[Page ii]]

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[[Page iii]]




                            Table of Contents



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

  Title 47:
          Chapter I--Federal Communications Commission               3
  Finding Aids:
      Table of CFR Titles and Chapters........................    1009
      Alphabetical List of Agencies Appearing in the CFR......    1029
      List of CFR Sections Affected...........................    1039

[[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, 2017), 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.

PAST PROVISIONS OF THE CODE

    Provisions of the Code that are no longer in force and effect as of 
the revision date stated on the cover of each volume are not carried. 
Code users may find the text of provisions in effect on any given date 
in the past by using the appropriate List of CFR Sections Affected 
(LSA). For the convenience of the reader, a ``List of CFR Sections 
Affected'' is published at the end of each CFR volume. For changes to 
the Code prior to the LSA listings at the end of the volume, consult 
previous annual editions of the LSA. For changes to the Code prior to 
2001, consult the List of CFR Sections Affected compilations, published 
for 1949-1963, 1964-1972, 1973-1985, and 1986-2000.

``[RESERVED]'' TERMINOLOGY

    The term ``[Reserved]'' is used as a place holder within the Code of 
Federal Regulations. An agency may add regulatory information at a 
``[Reserved]'' location at any time. Occasionally ``[Reserved]'' is used 
editorially to indicate that a portion of the CFR was left vacant and 
not accidentally dropped due to a printing or computer error.

INCORPORATION BY REFERENCE

    What is incorporation by reference? Incorporation by reference was 
established by statute and allows Federal agencies to meet the 
requirement to publish 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.
    What if the material incorporated by reference cannot be found? If 
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CFR INDEXES AND TABULAR GUIDES

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separate volume, revised annually as of January 1, entitled CFR Index 
and Finding Aids. This volume contains the Parallel Table of Authorities 
and Rules. A list of CFR titles, chapters, subchapters, and parts and an 
alphabetical list of agencies publishing in the CFR are also included in 
this volume.

[[Page vii]]

    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.

REPUBLICATION OF MATERIAL

    There are no restrictions on the republication of material appearing 
in the Code of Federal Regulations.

INQUIRIES

    For a legal interpretation or explanation of any regulation in this 
volume, contact the issuing agency. The issuing agency's name appears at 
the top of odd-numbered pages.
    For inquiries concerning CFR reference assistance, call 202-741-6000 
or write to the Director, Office of the Federal Register, National 
Archives and Records Administration, 8601 Adelphi Road, College Park, MD 
20740-6001 or e-mail [email protected].

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CFR Sections Affected), The United States Government Manual, the Federal 
Register, Public Laws, Public Papers of the Presidents of the United 
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information. Connect to NARA's web site at www.archives.gov/federal-
register.
    The e-CFR is a regularly updated, unofficial editorial compilation 
of CFR material and Federal Register amendments, produced by the Office 
of the Federal Register and the Government Publishing Office. It is 
available at www.ecfr.gov.

    Oliver A. Potts,
    Director,
    Office of the Federal Register.
    October 1, 2017.







[[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. All five volumes 
contain 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, chapter III--National 
Telecommunications and Information Administration, Department of 
Commerce, chapter IV--National Telecommunications and Information 
Administration, Department of Commerce, and National Highway Traffic 
Safety Administration, Department of Transportation, and chapter V--
First Responder Network Authority (FIRSTNET). The contents of these 
volumes represent all current regulations codified under this title of 
the CFR as of October 1, 2017.

    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, Susannah C. Hurley was Chief Editor. The Code of 
Federal Regulations publication program is under the direction of John 
Hyrum Martinez, assisted by Stephen J. Frattini.

[[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......................          95
2               Frequency allocations and radio treaty 
                    matters; general rules and regulations..         499
3               Authorization and administration of 
                    accounting authorities in maritime and 
                    maritime mobile-satellite radio services         727
4               Disruptions to communications...............         736
5               Experimental radio service..................         745
6               Access to telecommunications service, 
                    telecommunications equipment and 
                    customer premises equipment by persons 
                    with disabilities.......................         766
7               Access to voicemail and interactive menu 
                    services and equipment by people with 
                    disabilities............................         773
8               Protecting and promoting the Open Internet..         779
9               Interconnected voice over internet protocol 
                    services................................         788
10              Wireless emergency alerts...................         791
11              Emergency Alert System (EAS)................         800
12              Resiliency, redundancy, and reliability of 
                    communications..........................         824
13              Commercial radio operators..................         829
14              Access to advanced communications services 
                    and equipment by people with 
                    disabilities............................         838
15              Radio frequency devices.....................         862
17              Construction, marking, and lighting of 
                    antenna structures......................         985
18              Industrial, scientific, and medical 
                    equipment...............................         994
19              Employee responsibilities and conduct.......        1001

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.
0.185 Responsibilities of the bureaus and staff offices.
0.186 Emergency Relocation Board.

               Public Safety and Homeland Security Bureau

0.191 Functions of the Bureau.
0.192 Emergency Response Interoperability Center.

                   Subpart B_Delegations of Authority

                                 General

0.201 General provisions.
0.203 Authority of person, panel, or board to which functions are 
          delegated.
0.204 The exercise of delegated authority.

                              Commissioners

0.211 Chairman.
0.212 Board of Commissioners.
0.218 Authority of, and delegated to, an 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.

[[Page 6]]

                   Chief, Wireline Competition Bureau

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

               Public Safety and Homeland Security Bureau

0.392 Authority delegated.

                      Subpart C_General Information

                                 General

0.401 Location of Commission offices.
0.403 Office hours.
0.405 Statutory provisions.
0.406 The rules and regulations.
0.408 OMB control numbers and expiration dates assigned pursuant to the 
          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, staff 
          instructions, and frequently requested records.
0.451 Inspection of records: Generally.
0.453 Public reference rooms.
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.

[[Page 7]]

 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.
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 [Reserved]
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

[[Page 8]]

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 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.
    (17) Public Safety and Homeland Security 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]

    Editorial Note: For Federal Register citations affecting Sec. 0.5, 
see the List of CFR Sections Affected, which appears in the

[[Page 9]]

Finding Aids section of the printed volume and at www.fdsys.gov.

                       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 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; 
accounting for the financial transactions of the Commission and 
preparation of financial statements and reports; 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.
    (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; 70 FR 21651, Apr. 27, 2005; 71 FR 69034, Nov. 29, 
2006]

                       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

[[Page 10]]

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 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.

[[Page 11]]

    (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 
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.

[[Page 12]]

    (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.
    (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 (in consultation with the Public Safety and Homeland Security 
Bureau where appropriate) privacy and security of communications, 
involved in making or implementing policy or in resolving specific 
cases.
    (e) To develop and implement 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; 69 FR 70337, Dec. 3, 
2004; 71 FR 69034, Nov. 29, 2006; 73 FR 9463, Feb. 21, 2008]

                        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.

[[Page 13]]

    (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.
    (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

[[Page 14]]

and consultation on international telecommunications matters with other 
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.
    (s) To coordinate with the Public Safety and Homeland Security 
Bureau on all matters affecting public safety, homeland security, 
national security, emergency management, disaster management, and 
related issues.

[60 FR 5323, Jan. 27, 1995, as amended at 60 FR 35504, July 10, 1995; 64 
FR 60716, Nov. 8, 1999; 67 FR 13217, Mar. 21, 2002; 71 FR 69034, Nov. 
29, 2006]

                              Media Bureau



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

[[Page 15]]

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.
    (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.
    (l) To coordinate with the Public Safety and Homeland Security 
Bureau on all matters affecting public safety, homeland security, 
national security, emergency management, disaster management, and 
related issues.

[67 FR 13217, Mar. 21, 2002, as amended at 71 FR 69034, Nov. 29, 2006]

[[Page 16]]

                      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, 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

[[Page 17]]

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 
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, providers of interconnected VoIP 
service (as that term is defined in Sec. 9.3 of this chapter), and 
providers of broadband services.
    (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.
    (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.
    (o) Coordinate with the Public Safety and Homeland Security Bureau 
on all

[[Page 18]]

matters affecting public safety, homeland security, national security, 
emergency management, disaster management, and related issues.
    (p) In coordination with the Wireless Telecommunications Bureau, 
serves as the Commission's principal policy and administrative staff 
resource with respect to the use of market-based mechanisms, including 
competitive bidding, to distribute universal service support. Develops, 
recommends and administers policies, programs, rules and procedures 
concerning the use of market-based mechanisms, including competitive 
bidding, to distribute universal service support.

[67 FR 13218, Mar. 21, 2002, as amended at 68 FR 13850, Mar. 21, 2003; 
69 FR 55109, Sept. 13, 2004; 71 FR 69034, Nov. 29, 2006; 76 FR 73851, 
Nov. 29, 2011; 78 FR 49148, Aug. 13, 2013]

             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, 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.

[[Page 19]]

    (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 addressing 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 addressing individual informal complaints from 
consumers against non-common 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) Resolves other complaints against Title III licensees and 
permittees, including complaints under Sec. 20.12(e) of this chapter.

    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 sitting 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 
Television 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

[[Page 20]]

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) Upon referral from the General Counsel pursuant to Sec. 
0.251(g), impose sanctions for violations of the Commission's ex parte 
rules including, but not limited to, the imposition of monetary 
forfeitures, consistent with Sec. 0.311.
    (16) 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.
    (17) Identify and analyze complaint information, conduct 
investigations, 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.
    (18) 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.
    (19) Encourage cooperative compliance efforts.
    (20) Mediate and settle disputes.
    (21) 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.
    (22) Exercise responsibility for rulemaking proceedings regarding 
general enforcement policies and procedures.
    (23) Advise the Commission or responsible Bureau or Office regarding 
the enforcement implications of existing and proposed rules.
    (24) 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.
    (25) Resolve complaints alleging violations of the open Internet 
rules.
    (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) 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.
    (d) In conjunction with the Office of Engineering and Technology, 
work with technical standards bodies.

[[Page 21]]

    (e) Coordinate with and assist the Wireless Telecommunications 
Bureau with respect to the Commission's privatized ship radio inspection 
program.
    (f) 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.
    (g) 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 and Governmental Affairs Bureau, 
the Office of General Counsel (impermissible ex parte presentations) or 
another Bureau or Office;
    (h) 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.
    (i) Perform such other functions as may be assigned or referred to 
it by the Commission.

[64 FR 60716, Nov. 8, 1999, as amended at 67 FR 13218, Mar. 21, 2002; 68 
FR 36942, June 20, 2003; 69 FR 30233, May 27, 2004; 71 FR 69034, Nov. 
29, 2006; 76 FR 24381, May 2, 2011; 76 FR 26220, May 6, 2011; 76 FR 
59232, Sept. 23, 2011; 76 FR 60754, Sept. 30, 2011; 78 FR 23151, Apr. 
18, 2013; 80 FR 53749, Sept. 8, 2015]



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

[[Page 22]]

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 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

[[Page 23]]

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 
(part 13 of this chapter); the Commission's program for registration, 
construction, marking and lighting of antenna structures (part 17 of 
this chapter), and the Commission's privatized ship radio inspection 
program (part 80 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.
    (q) Coordinates with the Public Safety and Homeland Security Bureau 
on all matters affecting public safety, homeland security, national 
security, emergency management, disaster management, and related issues.
    (r) In coordination with the Wireline Competition Bureau, serves as 
the Commission's principal policy and administrative staff resource with 
respect to the use of market-based mechanisms, including competitive 
bidding, to distribute universal service support. Develops, recommends 
and administers policies, programs, rules and procedures concerning the 
use of market-based mechanisms, including competitive bidding, to 
distribute universal service support.
    (1) Extends the Communications Act Safety Radiotelephony Certificate 
for a period of up to 90 days beyond the specified expiration date.
    (2) Grants 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.
    (s)(1) Extends the Communications Act Safety Radiotelephony 
Certificate for a period of up to 90 days beyond the specified 
expiration date.
    (2) Grants 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.

[60 FR 35505, July 10, 1995, as amended at 61 FR 4361, Feb. 6, 1996; 62 
FR 17567, Apr. 10, 1997; 64 FR 60718, Nov. 8, 1999; 65 FR 375, Jan. 5, 
2000; 67 FR 13219, Mar. 21, 2002; 69 FR 24997, May 5, 2004; 71 FR 69035, 
Nov. 29, 2006; 76 FR 73851, Nov. 29, 2011; 78 FR 23151, Apr. 18, 2013; 
78 FR 32165, May 29, 2013]

                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

[[Page 24]]

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 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,

[[Page 25]]

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. 
Periodically reviews the status of open docketed proceedings and, 
following:
    (1) Consultation with and concurrence from the relevant bureau or 
office with responsibility for a particular proceeding,
    (2) The issuance of a public notice listing proceedings under 
consideration for termination, and;
    (3) A reasonable period during which interested parties may comment, 
closes any docket in which no further action is required or contemplated 
(with termination constituting a final determination in any such 
proceeding).
    (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 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, as amended at 76 FR 24388, May 2, 2011]

                   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

[[Page 26]]

area of responsibility of the Commission.
    (b) To represent the Commission in public safety, homeland security, 
national security, emergency preparedness, disaster management, defense 
and related 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 Chief, Public Safety and Homeland 
Security Bureau, will decide whether to activate the Commission's 
Continuity of Operations (COOP) plan and/or initiate the Commission's 
emergency response procedures.
    (g) In the event of enemy attack, or the imminent threat thereof, or 
other disaster resulting in the inability of the Commission to function 
at its 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.
    (j) The Commission may designate an Alternate Defense Commissioner 
who is authorized to perform the functions of the Defense Commissioner 
if he or she is not available.

[29 FR 14664, Oct. 28, 1964, as amended at 41 FR 31209, July 27, 1976; 
64 FR 60720, Nov. 8, 1999; 69 FR 32033, May 27, 2004; 71 FR 69035, Nov. 
29, 2006; 72 FR 48842, Aug. 24, 2007; 77 FR 62462, Oct. 15, 2012]



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, Public Safety and Homeland Security Bureau in 
the performance of that person's duties with respect to homeland 
security, national security, emergency management and preparedness, 
disaster management, defense, and related activities will have the 
following duties and responsibilities:
    (a) To keep the Chief, Public Safety and Homeland Security 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, Public Safety and 
Homeland Security 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 security, national security, emergency management and 
preparedness, disaster management, defense, and related activities as 
may be assigned to them by the Commission.
    (e) To serve as Public Safety/Homeland Security Liaison to the 
Public Safety and Homeland Security Bureau

[[Page 27]]

or designate a Deputy Chief of the Bureau or Office as such liaison.

[29 FR 14665, Oct. 28, 1964, as amended at 50 FR 27953, July 9, 1985; 59 
FR 26971, May 25, 1994; 61 FR 8477, Mar. 5, 1996; 64 FR 60721, Nov. 8, 
1999; 69 FR 30234, May 27, 2004; 71 FR 69035, Nov. 29, 2006]



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]

               Public Safety and Homeland Security Bureau



Sec. 0.191  Functions of the Bureau.

    The Public Safety and Homeland Security Bureau advises and makes 
recommendations to the Commission, or acts for the Commission under 
delegated authority, in all matters pertaining to public safety, 
homeland security, national security, emergency management and 
preparedness, disaster management, and ancillary operations. The Bureau 
has responsibility for coordinating public safety, homeland security, 
national security, emergency management and preparedness, disaster 
management, and related activities within the Commission. The Bureau 
also performs the following functions.
    (a) Develops, recommends, and administers policy goals, objectives, 
rules, regulations, programs and plans for the Commission to promote 
effective and reliable communications for public safety, homeland 
security, national security, emergency management and preparedness, 
disaster management and related activities, including public safety 
communications (including 911, enhanced 911, and other emergency number 
issues), priority emergency communications, alert and warning systems 
(including the Emergency Alert System), continuity of government 
operations, implementation of Homeland Security Presidential Directives 
and Orders, disaster management coordination and outreach, 
communications infrastructure protection, reliability, operability and 
interoperability of networks and communications systems, the 
Communications Assistance for Law Enforcement Act (CALEA), and network 
security. Recommends policies and procedures for public safety, homeland 
security, national security, emergency management and preparedness, and 
recommends national emergency plans and preparedness programs covering

[[Page 28]]

Commission functions during national emergency conditions. Conducts 
outreach and coordination activities with, among others, state and local 
governmental agencies, hospitals and other emergency health care 
providers, and public safety organizations. Recommends national 
emergency plans, policies, and preparedness programs covering the 
provision of service by communications service providers, including 
telecommunications service providers, information service providers, 
common carriers, and non-common carriers; broadcasting and cable 
facilities; satellite and wireless radio services; radio frequency 
assignment; electro-magnetic radiation; investigation and enforcement.
    (b) Under the general direction of the Defense Commissioner, 
coordinates the public safety, homeland security, national security, 
emergency management and preparedness, disaster management, and related 
activities of the Commission, including national security and emergency 
preparedness and defense mobilization, Continuity of Government (COG) 
planning, alert and warning systems (including the Emergency Alert 
System), 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. Provides support to 
the Defense Commissioner, including with respect to his or her 
participation in the Joint Telecommunications Resources Board, and the 
National Security Telecommunications Advisory Committee and other public 
safety and homeland security organizations and committees. Represents 
the Defense Commissioner with other Government agencies and 
organizations, the communications industry, and Commission licensees on 
public safety, homeland security, national security, emergency 
management and preparedness, disaster management, and related issues. 
Keeps the Defense Commissioner informed as to significant developments 
in the fields of public safety, homeland security, national security, 
emergency management, and disaster management activities, and related 
areas.
    (c) Develops and administers rules, regulations, and policies for 
priority emergency communications, including the Telecommunications 
Service Priority System. Supports the Chiefs 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.
    (d) The Chief, Public Safety and Homeland Security Bureau, or that 
person's designee, acts as FCC Alternate Homeland Security and Defense 
Coordinator and principal to the National Communications System, and the 
Chief, Public Safety and Homeland Security Bureau, or that person's 
designee, shall serve as the Commission's representative on National 
Communications Systems Committees.
    (e) Conducts rulemaking proceedings and acts on requests for 
interpretation or waiver of rules.
    (f) 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 public safety, homeland security, 
national security, emergency management and preparedness, and disaster 
management wireless telecommunications, including ancillary operations 
related to the provision or use of such services. These activities 
include: policy development and coordination; conducting rulemaking and 
adjudicatory proceedings, including complaint proceedings for matters 
not within the responsibility of the Enforcement Bureau; acting on 
waivers of rules; acting on applications for service and facility 
authorizations; compliance and enforcement activities for matters not 
within the responsibility of the Enforcement Bureau; determining 
resource impacts of existing, planned or recommended Commission 
activities concerning wireless telecommunications, and developing and 
recommending resource deployment priorities. In addition, advises and 
assists public safety entities on wireless telecommunications issues and 
matters related thereto. Administers all authority previously delegated 
to the Wireless Telecommunications Bureau (including those delegations 
expressly

[[Page 29]]

provided to the Public Safety and Critical Infrastructure Division of 
the Wireless Telecommunications Bureau) in Improving Public Safety 
Communications in the 800 MHz Band, WT Docket 02-55.
    (g) Conducts studies of public safety, homeland security, national 
security, emergency management and preparedness, disaster management, 
and related issues. Develops and administers recordkeeping and reporting 
requirements for communications companies pertaining to these issues. 
Administers any Commission information collection requirements 
pertaining to public safety, homeland security, national security, 
emergency management and preparedness, disaster management, and related 
issues, including the communications disruption reporting requirements 
set forth in part 4 of this chapter and revision of the filing system 
and template used for the submission of those communications disruption 
reports.
    (h) Interacts with the public, local, state, and other governmental 
agencies and industry groups (including advisory committees and public 
safety organizations and associations) on public safety, homeland 
security, national security, emergency management, disaster management 
and related issues. As requested, represents the Commission at meetings 
and conferences. Serves as the point of contact for the U.S. Government 
in matters of international monitoring, fixed and mobile direction-
finding and interference resolution; and oversees coordination of non-
routine communications and materials between the Commission and 
international or regional public organizations or foreign 
administrations.
    (i) Maintains and operates the Commission's public safety, homeland 
security, national security, emergency management and preparedness, and 
disaster management facilities and operations, including the 
Communications Center, the establishment of any Emergency Operations 
Center (EOC), and any liaison activities with other federal, state, or 
local government organizations.
    (j) Reviews and coordinates orders, programs and actions initiated 
by other Bureaus and Offices in matters affecting public safety, 
homeland security, national security, emergency management and 
preparedness, disaster management and related issues to ensure 
consistency with overall Commission policy. Provides advice to the 
Commission and other Bureaus and offices regarding the public safety, 
homeland security, national security, emergency management, and disaster 
management implications of existing and proposed rules.
    (k) Develops and recommends responses to legislative, regulatory or 
judicial inquiries and proposals concerning or affecting public safety, 
homeland security, national security, emergency management, disaster 
management and related issues. Responses to judicial inquiries should be 
developed with and recommended to the Office of General Counsel.
    (l) Develops and maintains the Commission's plans and procedures, 
including the oversight, preparation, and training of Commission 
personnel, for Continuity of Operations (COOP), Continuity of Government 
functions, and Commission activities and responses to national 
emergencies and other similar situations.
    (m) Acts on emergency requests for Special Temporary Authority 
during non-business hours when the other Offices and Bureaus of the 
Commission are closed. Such actions shall be coordinated with, if 
possible, and promptly reported to the responsible Bureau or Office.
    (n) Maintains liaison with other Bureaus and Offices concerning 
matters affecting public safety, homeland security, national security, 
emergency management and preparedness, disaster management and related 
issues.
    (o) [Reserved]
    (p) Performs such other functions and duties as may be assigned or 
referred to it by the Commission or the Defense Commissioner.
    (q) Oversees the Emergency Response Interoperability Center, 
establishes the intergovernmental advisory committees described under 
Sec. 0.192(b), and administers the agency's responsibilities in 
connection with such committees.

[71 FR 69035, Nov. 29, 2006, as amended at 73 FR 9463, Feb. 21, 2008; 75 
FR 28207, May 20, 2010; 75 FR 78169, Dec. 15, 2010]

[[Page 30]]



Sec. 0.192  Emergency Response Interoperability Center.

    (a) The Emergency Response Interoperability Center acts under the 
general direction of the Chief of the Public Safety and Homeland 
Security Bureau to develop, recommend, and administer policy goals, 
objectives, rules, regulations, programs, and plans for the Commission 
in matters pertaining to the implementation of national interoperability 
standards and the development of technical and operational requirements 
and procedures for the 700 MHz public safety broadband wireless network 
and other public safety communications systems. These requirements and 
procedures may involve such issues as interoperability, roaming, 
priority access, gateway functions and interfaces, interconnectivity of 
public safety broadband networks, authentication and encryption, and 
requirements for common public safety broadband applications.
    (b) To the extent permitted by applicable law, the Chief of the 
Public Safety and Homeland Security Bureau shall have delegated 
authority to establish one or more advisory bodies, consistent with the 
Federal Advisory Committee Act or other applicable law, to advise the 
Emergency Response Interoperability Center in the performance of its 
responsibilities. Such advisory bodies may include representatives from 
relevant Federal public safety and homeland security entities, 
representatives from state and local public safety entities, industry 
representatives, and service providers.

[75 FR 28207, May 20, 2010]



                   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 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. Sec. 1.301 and 1.302. 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 through 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.

[[Page 31]]

    (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; 76 FR 70907, Nov. 16, 2011]



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 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.

[[Page 32]]

    (e) Authority to act as ``Head of the Agency'' or ``Agency Head'' 
for administrative determinations required by the Federal Acquisition 
Regulation 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; 76 FR 70907, Nov. 
16, 2011]



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, 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

[[Page 33]]

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.
    (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.
    (j) The Managing Director or his designee is delegated the 
authority, after seeking the opinion of the General Counsel, to 
determine, in accordance with generally accepted accounting principles 
for federal agencies the organizations, programs (including funds), and 
accounts that are required to be included in the financial statements of 
the Commission.
    (k) The Managing Director, or his designee, after seeking the 
opinion of the General Counsel, is delegated the authority to direct all 
organizations, programs (including funds), and accounts that are 
required to be included in the financial statements of the Commission to 
comply with all relevant and applicable federal financial management and 
reporting statutes.
    (l) Subpoena authority. The Managing Director is delegated authority 
to issue subpoenas for the Office of Managing Director's oversight of 
audits of the USF programs and the Office of Managing Director's review 
and evaluation of the interstate telecommunications relay services fund, 
the North American numbering plan, regulatory fee collection, FCC 
operating expenses, and debt collection. Before issuing a subpoena, the 
Office of Managing Director shall obtain the approval of the Office of 
General Counsel.

(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 34]]

Finding Aids section of the printed volume and at www.fdsys.gov.

                             Chief Engineer



Sec. 0.241  Authority delegated.

    (a) The performance of functions and activities described in Sec. 
0.31 is delegated to the Chief of the Office of Engineering and 
Technology: Provided, that the following matters shall be referred to 
the Commission en banc for disposition:
    (1) Notice of proposed rulemaking and of inquiry and final orders in 
rulemaking proceedings, inquiry proceedings and non-editorial orders 
making changes, except that:
    (i) The Chief of the Office of Engineering and Technology is 
delegated authority, together with the Chief of the Wireless 
Telecommunications Bureau, to adopt certain technical standards 
applicable to hearing aid compatibility under Sec. 20.19 of this 
chapter, as specified in Sec. 20.19(k).
    (ii) The Chief of the Office of Engineering and Technology is 
delegated authority, by notice-and-comment rulemaking if required by 
statute or otherwise in the public interest, to issue an order amending 
rules in parts 2, 5, 15, or 18 of this chapter that reference industry 
standards to specify revised versions of the standards. This delegation 
is limited to modifying rules to reference revisions to standards that 
are already in the rules and not to incorporate a new standard into the 
rules, and is limited to the approval of changes to the technical 
standards that do not raise major compliance issues.
    (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 of the Office of Engineering and Technology is 
delegated authority to administer the Equipment Authorization program as 
described in part 2 of this chapter.
    (c) The Chief of the Office of Engineering and Technology is 
delegated authority to administer the Experimental Radio licensing 
program pursuant to part 5 of this chapter.
    (d) The Chief of the Office of Engineering and Technology 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 of the Office of Engineering and Technology 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

[[Page 35]]

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(e) 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 that TCBs 
will use for performing post-market surveillance.
    (h) The Chief of the Office of Engineering and Technology is 
delegated authority to administer the database functions for unlicensed 
devices operating in the television broadcast bands (TV bands) as set 
forth in subpart H of part 15 of this chapter. The Chief is delegated 
authority to develop specific methods that will be used to designate TV 
bands database managers, to designate these database managers; to 
develop procedures that these database managers will use to ensure 
compliance with the requirements for database operations; to make 
determinations regarding the continued acceptability of individual 
database managers; and to perform other functions as needed for the 
administration of the TV bands databases. The Chief is also delegated 
authority jointly with the Chief of the Wireless Telecommunications 
Bureau to administer provisions of Sec. 15.713(h)(8) of this chapter 
pertaining to the registration of event sites where large numbers of 
wireless microphones that operate on frequencies specified in Sec. 
74.802 of this chapter are used.
    (i) The Chief of the Office of Engineering and Technology is 
delegated authority to make nonsubstantive, editorial revisions to the 
Commission's rules and regulations contained in parts 2, 4, 5, 15, and 
18 of this chapter.
    (j) The Chief of the Office of Engineering and Technology is 
delegated authority jointly with the Chief of the Wireless 
Telecommunications Bureau to administer the Spectrum Access System (SAS) 
and SAS Administrator functions set forth in part 96 of this chapter. 
The Chief is delegated authority to develop specific methods that will 
be used to designate SAS Administrators; to designate SAS 
Administrators; to develop procedures that these SAS Administrators will 
use to ensure compliance with the requirements for SAS operation; to 
make determinations regarding the continued acceptability of individual 
SAS Administrators; and to perform other functions as needed for the 
administration of the SAS. The Chief is delegated the authority to 
perform these same functions with regard to the Environmental Sensing 
Capability.

[51 FR 41106, Nov. 13, 1986, as amended at 57 FR 18088, Apr. 29, 1992; 
60 FR 5324, Jan. 27, 1995; 60 FR 32119, June 20, 1995; 61 FR 4918, Feb. 
9, 1996; 61 FR 31045, June 19, 1996; 62 FR 48952, Sept. 18, 1997; 64 FR 
4995, Feb. 2, 1999; 67 FR 13220, Mar. 21, 2002; 69 FR 70337, Dec. 3, 
2004; 73 FR 9463, Feb. 21, 2008; 73 FR 25587, May 7, 2008; 75 FR 75835, 
Dec. 6, 2010; 80 FR 33438, June 12, 2015; 80 FR 36217, June 23, 2015]



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.

[[Page 36]]

    (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 Reference Information Center.
    (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 and to impose 
appropriate sanctions. The General Counsel shall refer to the 
Enforcement Bureau for disposition pursuant to Sec. 0.311(b) any matter 
in which a forfeiture or a citation under 47 U.S.C. 503(b)(5) may be 
warranted. If the Enforcement Bureau determines that forfeiture or a 
citation is not warranted, the matter shall be referred back to the 
General Counsel for appropriate action.
    (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 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.

    (j) The General Counsel is delegated authority to act as the 
Commission's Chief FOIA Officer, as specified in 5 U.S.C. 552(j). In 
this role, the General Counsel is delegated authority to dismiss FOIA 
applications for review that

[[Page 37]]

are untimely, repetitious, or fail to articulate specific grounds for 
review.

(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 at www.fdsys.gov.

                          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 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 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 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;

[[Page 38]]

    (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, or 73 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; 75 FR 7972, Feb. 23, 
2010; 76 FR 70907, Nov. 16, 2011]



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 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) 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.

[[Page 39]]

    (4) Requests involving coordination with other agencies of 
government--Office of General Counsel, Office of Engineering and 
Technology and appropriate operating bureau.
    (5) Proposals involving possible harmful impact on radio astronomy 
or radio research installations--Office of Engineering and Technology.
    (b) With respect to non-routine 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; 71 FR 69036, Nov. 29, 
2006]



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 requirements for international 
carriers referenced in Sec. 43.61(a)(3) 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

[[Page 40]]

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) [Reserved]
    (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.

(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 at www.fdsys.gov.



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:
    (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.

[64 FR 60721, Nov. 8, 1999, as amended at 67 FR 13221, Mar. 21, 2002; 71 
FR 69036, Nov. 29, 2006]



Sec. 0.314  Additional authority delegated.

    The Regional Directors are 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:

[[Page 41]]

    (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) 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. To the extent possible, all such actions and 
determinations shall be made in coordination with the Public Safety and 
Homeland Security Bureau.
    (c) Require special equipment and program tests during inspections 
or investigations to determine compliance with technical requirements 
specified by the Commission.
    (d) 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.
    (e) Issue notices and orders to operators of industrial, scientific, 
and medical (ISM) equipment, as provided in Sec. 18.115 of this 
chapter.
    (f) 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.
    (g) Issue notices and orders to operators of part 15 devices, as 
provided in Sec. 15.5 of this chapter.
    (h) Issue notices and orders to suspend operations to multi-channel 
video programming distributors, as provided in Sec. 76.613 of this 
chapter.
    (i) 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; 71 
FR 69036, Nov. 29, 2006; 78 FR 23151, Apr. 18, 2013; 80 FR 53749, Sept. 
8, 2015]



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 and Governmental Affairs 
Bureau.

[80 FR 53749, Sept. 8, 2015]

                   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 exceptions and limitations in paragraphs (a) 
through (d) of this section, and also the functions described in 
paragraph (e) of this section.
    (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

[[Page 42]]

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. Orders conforming 
any of the applicable rules in part 17 of this chapter to rules formally 
adopted by the Federal Aviation Administration also need not be referred 
to the Commission if they do not involve novel questions of fact, law, 
or policy. 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. Adoption of certain technical standards 
applicable to hearing aid compatibility under Sec. 20.19 of this 
chapter made together with the Chief of the Office of Engineering and 
Technology, as specified in Sec. 20.19(k) of this chapter, also 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.
    (e) The Chief of the Wireless Telecommunications Bureau is delegated 
authority jointly with the Chief of the Office of Engineering and 
Technology to administer provisions of Sec. 15.713(h)(8) of this 
chapter pertaining to the registration of event sites where large 
numbers of wireless microphones that operate on frequencies specified in 
Sec. 74.802 of this chapter are used.
    (f) The Chief of the Wireless Telecommunications Bureau is delegated 
authority jointly with the Chief of the Office of Engineering and 
Technology to administer the Spectrum Access System (SAS) and SAS 
Administrator functions set forth in part 96 of this chapter. The Chief 
is delegated authority to develop specific methods that will be used to 
designate SAS Administrators; to designate SAS Administrators; to 
develop procedures that these SAS Administrators will use to ensure 
compliance with the requirements for SAS operation; to make 
determinations regarding the continued acceptability of individual SAS 
Administrators; and to perform other functions as needed for the 
administration of the SAS. The Chief is delegated the authority to 
perform these same functions with regard to the Environmental Sensing 
Capability.

[60 FR 35506, July 10, 1995, as amended at 61 FR 26465, May 28, 1996; 62 
FR 40285, July 28, 1997; 65 FR 43715, July 14, 2000; 67 FR 63284, Oct. 
11, 2002; 69 FR 46440, Aug. 3, 2004; 73 FR 25587, May 7, 2008; 75 FR 
75835, Dec. 6, 2010; 79 FR 56984, Sept. 24, 2014; 80 FR 36218, June 23, 
2015]

[[Page 43]]



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 public safety, homeland security, national 
security, emergency management and preparedness, and disaster management 
communications--the Public Safety and Homeland Security 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; 71 FR 69037, Nov. 29, 
2006]



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 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.
    (f)(1) For program carriage complaints filed pursuant to Sec. 
76.1302 of this chapter that the Chief, Media Bureau refers to an 
administrative law judge for an initial decision, the presiding 
administrative law judge shall release an initial decision in compliance 
with one of the following deadlines:
    (i) 240 calendar days after a party informs the Chief Administrative 
Law Judge that it elects not to pursue alternative dispute resolution as 
set forth in Sec. 76.7(g)(2) of this chapter; or
    (ii) If the parties have mutually elected to pursue alternative 
dispute resolution pursuant to Sec. 76.7(g)(2) of

[[Page 44]]

this chapter, within 240 calendar days after the parties inform the 
Chief Administrative Law Judge that they have failed to resolve their 
dispute through alternative dispute resolution.
    (2) The presiding administrative law judge may toll these deadlines 
under the following circumstances:
    (i) If the complainant and defendant jointly request that the 
presiding administrative law judge toll these deadlines in order to 
pursue settlement discussions or alternative dispute resolution or for 
any other reason that the complainant and defendant mutually agree 
justifies tolling; or
    (ii) If complying with the deadline would violate the due process 
rights of a party or would be inconsistent with fundamental fairness; or
    (iii) In extraordinary situations, due to a lack of adjudicatory 
resources available at the time in the Office of Administrative Law 
Judges.

[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; 76 FR 60671, Sept. 29, 2011]



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]

[[Page 45]]



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]

                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

[[Page 46]]

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]



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

    For authority of the Chief of the Public Safety and Homeland 
Security Bureau to declare a temporary communications emergency, see 
Sec. 0.191(o).

[71 FR 69037, Nov. 29, 2006]

                      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]

               Public Safety and Homeland Security Bureau



Sec. 0.392  Authority delegated.

    The Chief, Public Safety and Homeland Security Bureau, is hereby 
delegated authority to perform all functions of the Bureau, described in 
Sec. Sec. 0.191 and 0.192, subject to the following exceptions and 
limitations in paragraphs (a) through (e) of this section.
    (a) The Chief, Public Safety and Homeland Security Bureau shall not 
have authority to act on any applications or requests that present novel 
questions of fact, law or policy that cannot be resolved under 
outstanding precedents and guidelines.
    (b) The Public Safety and Homeland Security Bureau shall not have 
authority to act upon any applications for review of actions taken by 
the Chief, Public Safety and Homeland Security Bureau, pursuant to any 
delegated authority.
    (c) The Public Safety and Homeland Security Bureau shall not have 
authority to act upon any formal or informal radio application or 
section 214 application for common carrier services which is in hearing 
status.
    (d) The Public Safety and Homeland Security 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 for common carrier providers and $20,000 
for non-common carrier providers.
    (e) The Chief, Public Safety and Homeland Security 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 such orders involving ministerial conforming amendments to rule 
parts, or orders conforming any of the applicable rules to

[[Page 47]]

formally adopted international conventions or agreements where novel 
questions of fact, law, or policy are not involved.
    (f) The Chief, Public Safety and Homeland Security Bureau or her/his 
designee has the authority to rule on emergency requests for Special 
Temporary Authority during non-business hours. Action on emergency 
requests for Special Temporary Authority during non-business hours shall 
be promptly reported to the responsible Bureau or Office.
    (g) [Reserved]
    (h) The Chief, Public Safety and Homeland Security 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 Public Safety and Homeland 
Security Bureau. Before issuing a subpoena, the Bureau shall obtain the 
approval of the Office of General Counsel.
    (i) The Chief of the Public Safety and Homeland Security Bureau is 
delegated authority to administer the communications disruption 
reporting requirements contained in part 4 of this chapter and to revise 
the filing system and template used for the submission of such 
communications disruption reports.
    (j) The Chief of the Public Safety and Homeland Security Bureau is 
delegated authority to administer the communications reliability and 
redundancy rules and policies contained in part 12 of this chapter, 
develop and revise forms and procedures as may be required for the 
administration of part 12 of this chapter, review certifications filed 
in connection therewith, and order remedial action on a case-by-case 
basis to ensure the reliability of 911 service in accordance with such 
rules and policies.

[71 FR 69037, Nov. 29, 2006, as amended at 72 FR 39760, July 20, 2007; 
73 FR 9463, Feb. 21, 2008; 75 FR 28207, May 20, 2010; 75 FR 78169, Dec. 
15, 2010; 79 FR 3130, Jan. 17, 2014]



                      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 at 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:

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:

[[Page 48]]

    (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) For the locations of the field offices, contact the Enforcement 
Bureau.
    (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 St. Louis, Missouri 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 U.S. Bank in St. Louis, Missouri. 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 U.S. Bank, Government Lockbox, 1005 
Convention Plaza, St. Louis, Missouri. All applications and filings 
delivered in this manner must be in an envelope clearly marked for the 
``Federal Communications Commission,'' and identified with the 
appropriate Post Office Box address as set out in the fee schedule 
(Sec. Sec. 1.1102 through 1.1109 of this chapter). 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]

    Editorial Note: For Federal Register citations affecting Sec. 
0.401, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



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.

[[Page 49]]

    (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 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

[[Page 50]]

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 E, of 
this chapter contains general rules and procedures applicable to common 
carriers. 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. 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 service. Part 5 provides for the 
temporary use of radio frequencies for research in the radio art, for 
communications involving other research projects, for the development of 
equipment, data, or techniques, and for the conduct of equipment product 
development or market trials.
    (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.
    (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

[[Page 51]]

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; 78 FR 25160, Apr. 29, 2013]



Sec. 0.408  OMB control numbers and expiration dates assigned pursuant
to the Paperwork Reduction Act of 1995.

    (a) Purpose. This section displays the OMB 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, Public Law 104-13. The Commission 
intends that this section comply with the requirement that agencies 
``display'' current OMB control numbers and expiration dates assigned by 
the Director, OMB, for each approved information collection requirement. 
Notwithstanding 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 
currently valid OMB control number. The expiration dates shown in this 
section are accurate as of January 31, 2017. New, revised, or extended 
information collections approved by OMB after that date can be found at 
https://www.reginfo.gov/public/do/PRAMain. Questions concerning the OMB 
control numbers and expiration dates should be directed to the Associate 
Managing Director--Performance Evaluation and Records Management, 
(PERM), Office of Managing Director, Federal Communications Commission, 
Washington, DC 20554 by sending an email to [email protected].
    (b) Display.

------------------------------------------------------------------------
                                FCC form No. or 47 CFR
                               section or part, docket
       OMB control No.              No., or title        OMB expiration
                                   identifying the            date
                                      collection
------------------------------------------------------------------------
3060-0004....................  Secs. 1.1307 and 1.1311          07/31/17
3060-0009....................  FCC 316................          12/31/18
3060-0010....................  FCC 323................          11/30/19
3060-0016....................  FCC 2100, Schedule C...          07/31/19
3060-0017....................  FCC 2100, Schedule D...          03/31/19
3060-0027....................  FCC 301 and FCC 2100,            03/31/19
                                Schedule A.
3060-0029....................  FCC 340................          08/31/17
3060-0031....................  FCC 314 and FCC 315....          09/30/18
3060-0053....................  FCC 702 and FCC 703....          05/31/17
3060-0055....................  FCC 327................          11/30/17
3060-0056....................  Part 68--Connection of           05/31/17
                                Terminal Equipment to
                                the Telephone Network.
3060-0057....................  FCC 731................          04/30/17
3060-0059....................  FCC 740................          04/30/19
3060-0061....................  FCC 325................          01/31/20
3060-0065....................  FCC 442................          12/31/18
3060-0075....................  FCC 345................          04/30/19
3060-0076....................  FCC 395................          06/30/19
3060-0084....................  FCC 323-E..............          11/30/19
3060-0093....................  FCC 405................          09/30/17
3060-0095....................  FCC 395-A..............          05/31/17
3060-0110....................  FCC 303-S..............          12/31/19
3060-0113....................  FCC 396................          11/30/18
3060-0120....................  FCC 396-A..............          06/30/18
3060-0126....................  Sec. 73.1820...........          08/31/17
3060-0132....................  FCC 1068A..............          01/31/18
3060-0139....................  FCC 854................          11/30/18
3060-0149....................  Part 63--Application             12/31/18
                                and Supplemental
                                Information
                                Requirements.
3060-0157....................  Sec. 73.99.............          05/31/17
3060-0161....................  Sec. 73.61.............          12/31/17
3060-0166....................  Part 42, Secs. 42.5,             06/30/19
                                42.6 and 42.7.
3060-0168....................  Sec. 43.43.............          09/30/18
3060-0169....................  Sec. 43.51.............          10/31/17
3060-0170....................  Sec. 73.1030...........          02/28/19
3060-0171....................  Sec. 73.1125...........          02/28/19
3060-0174....................  Secs. 73.1212, 76.1615,          07/31/18
                                and 76.1715.
3060-0175....................  Sec. 73.1250...........          10/31/19
3060-0176....................  Sec. 73.1510...........          05/31/17

[[Page 52]]

 
3060-0178....................  Sec. 73.1560...........          01/31/20
3060-0179....................  Sec. 73.1590...........          07/31/19
3060-0180....................  Sec. 73.1610...........          01/31/19
3060-0182....................  Sec. 73.1620...........          08/31/18
3060-0185....................  Sec. 73.3613...........          10/31/17
3060-0188....................  Call Sign Reservation            02/28/19
                                and Authorization
                                System.
3060-0190....................  Sec. 73.3544...........          04/30/18
3060-0192....................  Sec. 87.103............          09/30/19
3060-0204....................  Sec. 90.20(a)(2)(v) and          09/30/17
                                90.20(a)(2)(xi).
3060-0207....................  Part 11--Emergency               10/31/19
                                Alert System (EAS).
3060-0208....................  Sec. 73.1870...........          01/31/18
3060-0213....................  Sec. 73.3525...........          11/30/17
3060-0214....................  Secs. 73.3526, 73.3527,          05/31/19
                                73.1212, 76.1701, and
                                73.1943.
3060-0216....................  Secs. 73.3538 and                05/31/19
                                73.1690(e).
3060-0221....................  Sec. 90.155............          10/31/19
3060-0222....................  Sec. 97.213............          02/28/18
3060-0228....................  Sec. 80.59 and FCC 806,          08/31/18
                                824, 827 and 829.
3060-0233....................  Part 54--High Cost Loop          10/31/18
                                Support Reporting.
3060-0248....................  Sec. 74.751............          05/31/19
3060-0249....................  Secs. 74.781, 74.1281,           03/31/18
                                and 78.69.
3060-0250....................  Secs. 73.1207, 74.784            04/30/17
                                and 74.1284.
3060-0259....................  Sec. 90.263............          04/30/18
3060-0261....................  Sec. 90.215............          05/31/19
3060-0262....................  Sec. 90.179............          03/31/17
3060-0264....................  Sec. 80.413............          05/31/18
3060-0265....................  Sec. 80.868............          04/30/19
3060-0270....................  Sec. 90.443............          02/28/19
3060-0281....................  Sec. 90.651............          02/28/19
3060-0286....................  Sec. 80.302............          12/31/18
3060-0288....................  Sec. 78.33.............          05/31/17
3060-0289....................  Secs. 76.601, 76.1704,           04/30/17
                                76.1705, and 76.1717.
3060-0291....................  Sec. 90.477(a), (b)(2),          05/31/17
                                (d)(2) and (d)(3).
3060-0292....................  Part 69 and Sec. 69.605          06/30/19
3060-0295....................  Sec. 90.607............          01/31/19
3060-0297....................  Sec. 80.503............          06/30/18
3060-0298....................  Part 61, Tariffs (Other          09/30/19
                                than Tariff Review
                                Plan).
3060-0310....................  FCC 322................          11/30/17
3060-0311....................  Sec. 76.54.............          03/31/17
3060-0316....................  Secs. 76.1700, 76.1702,          05/31/19
                                76.1703, 76.1707, and
                                76.1711.
3060-0320....................  Sec. 73.1350...........          05/31/18
3060-0325....................  Sec. 80.605............          06/30/17
3060-0329....................  Sec. 2.955.............          01/31/18
3060-0331....................  FCC 321................          10/31/17
3060-0332....................  Secs. 76.614 and                 04/30/19
                                76.1706.
3060-0340....................  Sec. 73.51.............          04/30/18
3060-0341....................  Sec. 73.1680...........          10/31/17
3060-0346....................  Sec. 78.27.............          04/30/18
3060-0347....................  Sec. 97.311............          07/31/17
3060-0349....................  Secs. 73.2080, 76.73,            12/31/18
                                76.75, 76.79, and
                                76.1702.
3060-0355....................  FCC 492 and FCC 492A...          02/28/19
3060-0357....................  Sec. 63.701............          11/30/18
3060-0360....................  Sec. 80.409............          01/31/20
3060-0370....................  Part 32--Uniform System          08/31/17
                                of Accounts for
                                Telecommunications
                                Companies.
3060-0384....................  Secs. 64.901, 64.904             06/30/19
                                and 64.905.
3060-0386....................  Secs. 1.5, 73.1615,              03/31/19
                                73.1635, 73.1740,
                                73.3598, 74.788, and
                                FCC 337.
3060-0387....................  Secs. 15.201(d),                 03/31/18
                                15.209, 15.211, 15.213
                                and 15.221.
3060-0390....................  FCC 395-B..............          08/31/17
3060-0391....................  Parts 54 and 36--                06/30/17
                                Program to Monitor the
                                Impacts of the
                                Universal Service
                                Support Mechanisms.
3060-0392....................  Part 1, Subpart J--Pole          03/31/19
                                Attachment Complaint
                                Procedures.
3060-0394....................  Sec. 1.420.............          11/30/19
3060-0398....................  Secs. 2.948, 2.949, and          09/30/19
                                15.117(g)(2).
3060-0400....................  Tariff Review Plan               09/30/19
                                (TRP).
3060-0404....................  FCC 350................          05/31/19
3060-0405....................  FCC 349................          12/31/18
3060-0411....................  FCC 485................          11/30/17
3060-0414....................  Terrain Shielding                04/30/18
                                Policy.
3060-0419....................  Secs. 76.94, 76.95,              02/28/19
                                76.105, 76.106,
                                76.107, and 76.1609.
3060-0422....................  Sec. 68.5..............          03/31/19
3060-0423....................  Sec. 73.3588...........          11/30/19
3060-0430....................  Sec. 1.1206............          01/31/18
3060-0433....................  FCC 320................          04/30/17
3060-0439....................  Sec. 64.201............          06/30/19

[[Page 53]]

 
3060-0441....................  Secs. 90.621 and 90.693          06/30/18
3060-0463....................  Telecommunications               06/30/17
                                Relay Services and
                                Speech-to-Speech
                                Services for
                                Individuals with
                                Hearing and Speech
                                Disabilities.
3060-0466....................  Secs. 73.1201, 74.783            09/30/19
                                and 74.1283.
3060-0470....................  Secs. 64.901 and                 08/31/17
                                64.903, and RAO
                                Letters 19 and 26.
3060-0473....................  Sec. 74.1251...........          11/30/19
3060-0474....................  Sec. 74.1263...........          06/30/17
3060-0484....................  Secs. 4.9..............          01/31/20
3060-0489....................  Sec. 73.37.............          04/30/18
3060-0496....................  FCC Report 43-08.......          04/30/19
3060-0500....................  Sec. 76.1713...........          07/31/19
3060-0501....................  Secs. 73.1942, 76.206            09/30/17
                                and 76.1611.
3060-0506....................  FCC 302-FM.............          09/30/17
3060-0508....................  Part 1 and Part 22               04/30/18
                                Reporting and
                                Recordkeeping
                                Requirements.
3060-0512....................  FCC Report 43-01.......          02/28/18
3060-0519....................  Rules and Regulations            09/30/18
                                Implementing the
                                Telephone Consumer
                                Protection Act (TCPA)
                                of 1991.
3060-0526....................  Sec. 69.123............          04/30/17
3060-0531....................  Secs. 101.1011,                  06/30/18
                                101.1325(b),
                                101.1327(a), 101.527,
                                101.529, and 101.103.
3060-0532....................  Secs. 2.1033 and 15.121          06/30/17
3060-0537....................  Secs. 13.9(c),                   06/30/19
                                13.13(c), 13.17(b),
                                13.211(e), and 13.217.
3060-0546....................  Sec. 76.59.............          02/28/19
3060-0548....................  Secs. 76.1708, 76.1709,          06/30/17
                                76.1620, 76.56 and
                                76.1614.
3060-0550....................  FCC 328................          08/31/18
3060-0560....................  Sec. 76.911............          08/31/18
3060-0562....................  Sec. 76.916............          01/31/19
3060-0565....................  Sec. 76.944............          01/31/18
3060-0568....................  Secs. 76.970, 76.971             03/31/18
                                and 76.975.
3060-0569....................  Sec. 76.975............          10/31/17
3060-0573....................  FCC 394................          03/31/18
3060-0580....................  Sec. 76.1710...........          07/31/18
3060-0584....................  FCC 44 and FCC 45......          02/28/18
3060-0589....................  FCC 159, FCC 159-B, FCC          05/31/17
                                159-C, FCC 159-E and
                                159-W.
3060-0594....................  FCC 1220...............          12/31/18
3060-0599....................  Secs. 90.187, 90.425             09/30/19
                                and 90.627.
3060-0600....................  FCC 175................          06/30/19
3060-0601....................  FCC 1200...............          12/31/18
3060-0607....................  Sec. 76.922............          11/30/17
3060-0609....................  Sec. 76.934(e).........          12/31/18
3060-0625....................  Sec. 24.103............          02/28/19
3060-0626....................  Sec. 90.483............          11/30/19
3060-0627....................  FCC 302-AM.............          09/30/17
3060-0633....................  Secs. 73.1230, 74.165,           04/30/18
                                74.432, 74.564,
                                74.664, 74.765, 74.832
                                and 74.1265.
3060-0634....................  Sec. 73.691............          05/31/18
3060-0636....................  Secs. 2.906, 2.909,              05/31/18
                                2.1071, 2.1075,
                                2.1076, 2.1077 and
                                15.37.
3060-0645....................  Secs. 17.4, 17.48 and            05/31/18
                                17.49.
3060-0647....................  FCC 333................          09/30/18
3060-0649....................  Secs. 76.1601, 76.1617,          03/31/19
                                76.1697 and 76.1708.
3060-0652....................  Secs. 76.309, 76.1602,           07/31/17
                                76.1603 and 76.1619.
3060-0653....................  Sec. 64.703(b) and (c).          01/31/20
3060-0655....................  Requests for Waivers of          11/30/19
                                Regulatory and
                                Application Fees.
3060-0665....................  Sec. 64.707............          06/30/19
3060-0667....................  Secs. 76.630, 76.1621            01/31/20
                                and 76.1622.
3060-0668....................  Sec. 76.936............          03/31/19
3060-0669....................  Sec. 76.946............          05/31/19
3060-0674....................  Sec. 76.1618...........          05/31/17
3060-0678....................  Part 25--Licensing of,           08/31/19
                                and Spectrum Usage by,
                                Commercial Earth
                                Stations and Space
                                Stations.
3060-0685....................  FCC 1210 and FCC 1240..          12/31/17
3060-0686....................  FCC 214, FCC 412FCN,             02/28/18
                                FCC 214TC and FCC
                                214STA.
3060-0687....................  Access to                        04/30/18
                                Telecommunications
                                Equipment and Services
                                by Persons with
                                Disabilities.
3060-0688....................  FCC 1235...............          02/28/19
3060-0690....................  Sec. 101.17............          01/31/18
3060-0691....................  Sec. 90.665............          04/30/19
3060-0692....................  Secs. 76.613, 76.802             02/28/19
                                and 76.804.
3060-0695....................  Sec. 87.219............          07/31/17
3060-0698....................  Secs. 25.203(i) and              01/31/20
                                73.1030(a)(2).
3060-0700....................  FCC 1275...............          05/31/19
3060-0703....................  FCC 1205...............          12/31/17
3060-0704....................  Secs. 42.10, 42.11 and           09/30/17
                                64.1900 and Section
                                254(g).
3060-0706....................  Secs. 76.952 and 76.990          01/31/20
3060-0707....................  Over-the Air Reception           10/31/19
                                Devices (OTARD).

[[Page 54]]

 
3060-0710....................  Parts 1 and 51--                 09/30/19
                                Implementation of
                                Local Competition
                                Provisions in the
                                Telecommunications Act
                                of 1996.
3060-0713....................  Alternative Broadcast            02/28/17
                                Inspection Program
                                (ABIP) Compliance
                                Notification.
3060-0715....................  Carriers' Use of                 09/30/17
                                Customer Proprietary
                                Network Information
                                and Other Customer
                                Information.
3060-0716....................  Secs. 73.88, 73.718,             04/30/18
                                73.685 and 73.1630.
3060-0717....................  Secs. 64.703(a), 64.709          06/30/17
                                and 64.710.
3060-0718....................  Part 101--Terrestrial            02/28/19
                                Microwave Fixed Radio
                                Service.
3060-0719....................  Quarterly Report of              06/30/19
                                IntraLATA Carriers
                                Listing Payphone
                                Automatic Number
                                Identifications.
3060-0723....................  Sec. 276--Public                 07/31/18
                                Disclosure of Network
                                Information by Bell
                                Operating Companies
                                (BOCs).
3060-0725....................  Quarterly Filing of              06/30/18
                                Nondiscrimination
                                Reports by Bell
                                Operating Companies
                                (BOCs).
3060-0727....................  Sec. 73.213............          04/30/18
3060-0737....................  Disclosure Requirements          10/31/17
                                for Information
                                Services Provided
                                Under a
                                Presubscription or
                                Comparable Arrangement.
3060-0740....................  Sec. 95.1015...........          07/31/17
3060-0741....................  Technology Transitions.          01/31/20
3060-0742....................  Secs. 52.21 through              09/30/19
                                52.36.
3060-0743....................  Pay Telephone                    06/30/19
                                Reclassification and
                                Compensation
                                Provisions of the
                                Telecommunications Act
                                of 1996.
3060-0745....................  Local Exchange Carrier           07/31/18
                                Tariff Streamlining
                                Provisions of the
                                Telecommunications Act
                                of 1996.
3060-0748....................  Secs. 64.1504, 64.1509           02/28/19
                                and 64.1510.
3060-0750....................  Secs. 73.671 and 73.673          07/31/17
3060-0751....................  Sec. 43.51.............          09/30/19
3060-0754....................  FCC 2100, Schedule H...          04/30/18
3060-0755....................  Secs. 59.1 through 59.4          01/31/18
3060-0760....................  272 Sunset Order and             10/31/17
                                Access Charge Reform.
3060-0761....................  Sec. 79.1..............          12/31/17
3060-0767....................  Secs. 1.2110, 1.2111             04/30/17
                                and 1.2112.
3060-0768....................  28 GHz Band............          02/28/18
3060-0770....................  Sec. 61.49.............          11/30/17
3060-0773....................  Sec. 2.803.............          06/30/17
3060-0775....................  Sec. 64.1903...........          07/31/19
3060-0779....................  Secs. 90.20(a)(1)(iii),          01/31/20
                                90.769, 90.767,
                                90.763(b)(l)(i)(a),
                                90.763(b)(l)(i)(B),
                                90.771(b) and 90.743.
3060-0783....................  Sec. 90.176............          12/31/17
3060-0787....................  Subscriber Carrier               07/31/17
                                Selection Changes
                                Provisions of the
                                Telecommunications Act
                                of 1996--Unauthorized
                                Changes of Consumers'
                                Long Distance Carriers.
3060-0788....................  DTV Showings/                    04/30/19
                                Interference
                                Agreements.
3060-0790....................  Sec. 68.110(c).........          05/31/18
3060-0791....................  Sec. 32.7300...........          05/31/18
3060-0795....................  FCC 606................          08/31/17
3060-0798....................  FCC 601................          06/30/19
3060-0799....................  FCC 602................          10/31/19
3060-0800....................  FCC 603................          03/31/18
3060-0804....................  FCC 460, FCC 461, FCC            09/30/19
                                462, FCC 463, FCC 465,
                                FCC 466, and FCC 467.
3060-0805....................  Secs. 90.523, 90.527,            07/31/17
                                90.545 and 90.1211.
3060-0806....................  FCC 470 and FCC 471....          12/31/18
3060-0807....................  Sec. 51.803 and                  05/31/19
                                Supplemental
                                Procedures for
                                Petitions to Sec.
                                252(e)(5).
3060-0809....................  Communications                   12/31/19
                                Assistance for Law
                                Enforcement Act.
3060-0812....................  Exemption from Payment           02/28/18
                                of Regulatory Fees
                                When Claiming Non-
                                Profit Status.
3060-0813....................  Sec. 20.18.............          02/28/18
3060-0816....................  FCC 477................          06/30/17
3060-0817....................  BOC Provision of                 06/30/18
                                Enhanced Services (ONA
                                Requirements).
3060-0819....................  FCC 481, FCC 497, and            09/30/19
                                FCC 555.
3060-0823....................  Part 64, Pay Telephone           05/31/17
                                Reclassification.
3060-0824....................  FCC 498................          11/30/18
3060-0837....................  FCC 2100, Schedule B...          03/31/19
3060-0844....................  Cable Carriage of                03/31/19
                                Television Broadcast
                                Stations.
3060-0848....................  Deployment of Wireline           03/31/18
                                Services Offering
                                Advanced
                                Telecommunications
                                Capability.
3060-0849....................  Commercial Availability          07/31/17
                                of Navigation Devices.
3060-0850....................  FCC 605................          05/31/17
3060-0853....................  FCC 479, FCC 486 and             12/31/19
                                FCC 500.
3060-0854....................  Sec. 64.2401...........          09/30/18
3060-0855....................  FCC 499-A and FCC 499-Q          12/31/17
3060-0856....................  FCC 472, FCC 473 and             06/30/19
                                FCC 474.
3060-0859....................  Suggested Guidelines             03/31/18
                                for Petitions for
                                Ruling under Sec. 253.

[[Page 55]]

 
3060-0862....................  Handling Confidential            07/31/17
                                Information.
3060-0863....................  Satellite Delivery of            05/31/17
                                Network Signals to
                                Unserved Households.
3060-0865....................  Universal Licensing              02/28/17
                                System Recordkeeping
                                and Third-Party
                                Disclosure
                                Requirements.
3060-0874....................  Consumer Complaint               07/31/19
                                Portal.
3060-0876....................  Sec. 54.703 and Secs.            10/31/18
                                54.719 through 54.725.
3060-0881....................  Sec. 95.861............          05/31/17
3060-0882....................  Sec. 95.833............          07/31/17
3060-0888....................  Secs. 76.7, 76.9,                01/31/18
                                76.61, 76.914,
                                76.1001, 76.1003,
                                76.1302 and 76.1513.
3060-0895....................  FCC 502................          07/31/19
3060-0896....................  Broadcast Auction Form           09/30/17
                                Exhibits.
3060-0905....................  Sec. 18.213............          06/30/17
3060-0906....................  FCC 2100, Schedule G...          10/31/17
3060-0910....................  Ensure Compatibility             05/31/18
                                with Enhanced 911
                                Emergency Calling
                                Systems.
3060-0912....................  Secs. 76.501, 76.503             01/31/18
                                and 76.504.
3060-0917....................  FCC 160................          02/28/17
3060-0918....................  FCC 161................          02/28/17
3060-0920....................  FCC 318................          03/31/19
3060-0922....................  FCC 397................          11/30/18
3060-0927....................  Auditor's Annual                 01/31/18
                                Independence and
                                Objectivity
                                Certification.
3060-0928....................  FCC 2100, Schedule F             03/31/19
                                and Sec. 73.3572(h),
                                73.3700(b)(3) and
                                73.3700(h)(2).
3060-0931....................  Sec. 80.103............          08/31/18
3060-0932....................  FCC 2100, Schedule E             03/31/19
                                and Secs.
                                73.3700(b)(1)(i)-(v)
                                and (vii), (b)(2)(i)
                                and (ii), and
                                74.793(d).
3060-0936....................  Secs. 95.1215, 95.1217,          10/31/19
                                95.1223, and 95.1225.
3060-0937....................  Establishment of a               05/31/19
                                Class A Television
                                Service.
3060-0938....................  FCC 319................          12/31/17
3060-0942....................  Access Charge Reform,            05/31/19
                                Price Cap Performance
                                Review for Local
                                Exchange Carriers, Low-
                                Volume Long Distance
                                Users, Federal-State
                                Joint Board on
                                Universal Service.
3060-0944....................  Secs. 1.767 and 1.768,           02/28/18
                                FCC 220, and Executive
                                Order 10530.
3060-0950....................  Bidding Credits for              04/30/19
                                Tribal Lands.
3060-0951....................  Sec. 1.1204(b) Note,             08/31/19
                                and Sec. 1.1206(a)
                                Note 1.
3060-0952....................  Proposed Demographic             02/28/19
                                Information and
                                Notifications,.
3060-0953....................  Secs. 95.1111 and                08/31/19
                                95.1113.
3060-0960....................  Secs. 76.122, 76.123,            01/31/20
                                76.124 and 76.127.
3060-0967....................  Sec. 79.2, 79.105, and           04/30/17
                                79.106.
3060-0971....................  Sec. 52.15.............          05/31/17
3060-0972....................  Part 69 Filing                   06/30/17
                                Requirements for
                                Regulation of
                                Interstate Services of
                                Non-Price Cap
                                Incumbent Local
                                Exchange Carriers and
                                Interexchange Carriers.
3060-0973....................  Sec. 64.1120(e)........          06/30/19
3060-0975....................  Secs. 68.105 and 1.4000          08/31/19
3060-0979....................  License Audit Letter...          11/30/18
3060-0980....................  Sec. 76.66.............          02/28/19
3060-0984....................  Secs. 90.35(b)(2) and            09/30/19
                                90.175(b)(1).
3060-0986....................  FCC 481, FCC 507, FCC            03/31/17
                                508, FCC 509, and FCC
                                525.
3060-0987....................  Sec. 20.18(l)(1)(i)-             08/31/17
                                (iii) and
                                20.18(l)(2)(i)-(iii).
3060-0989....................  Secs. 63.01, 63.03 and           04/30/17
                                63.04.
3060-0991....................  AM Measurement Data....          01/31/18
3060-0994....................  Flexibility for                  10/31/18
                                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....................  Sec. 1.2105(c) and               06/30/19
                                1.2205.
3060-0996....................  AM Auction Section               05/31/17
                                307(b) Submissions.
3060-0997....................  Sec. 52.15(k)..........          07/31/17
3060-0998....................  Sec. 87.109............          04/30/19
3060-0999....................  Sec. 20.19, Hearing Aid          11/30/18
                                Compatibility Status
                                Report, FCC 655.
3060-1000....................  Sec. 87.147............          08/31/19
3060-1003....................  Communications Disaster          07/31/18
                                Information Reporting
                                System.
3060-1004....................  Commission Rules to              06/30/18
                                Ensure Compatibility
                                with Enhanced 911
                                Emergency Calling
                                Systems.
3060-1005....................  Numbering Resource               04/30/17
                                Optimization--Phase 3.
3060-1008....................  Secs. 27.50 and 27.602.          08/31/17
3060-1013....................  Mitigation of Orbital            02/28/18
                                Debris.
3060-1015....................  Part 15--Ultra Wideband          11/30/17
                                Transmission Systems.
3060-1021....................  Sec. 25.139............          11/30/19
3060-1022....................  Secs. 101.1403,                  05/31/17
                                101.103(f), 101.1413,
                                101.1440 and 101.1417.
3060-1028....................  International Signaling          11/30/18
                                Point Code (ISPC).
3060-1029....................  Data Network                     11/30/18
                                Identification Code
                                (DNIC).
3060-1030....................  Service Rules for                01/31/18
                                Advanced Wireless
                                Services (AWS) in the
                                1.7 GHz and 2.1 GHz
                                Bands.
3060-1031....................  Commission's Initiative          01/31/19
                                to Implement Enhanced
                                911 (E911) Emergency
                                Services.

[[Page 56]]

 
3060-1033....................  FCC 396-C..............          10/31/18
3060-1034....................  FCC 335-AM and FCC 335-          02/28/19
                                FM.
3060-1035....................  FCC 309, FCC 310 and             01/31/20
                                FCC 311.
3060-1039....................  FCC 620 and FCC 621....          10/31/17
3060-1042....................  Request for Technical            03/31/19
                                Support--Help Request
                                Form.
3060-1044....................  Review of the Section            05/31/19
                                251 Unbundling
                                Obligations of
                                Incumbent Local
                                Exchange Carriers.
3060-1045....................  FCC 324 and Sec. 12/31/17
                                76.1610.
3060-1046....................  Part 64, Pay Telephone           08/31/17
                                Reclassification and
                                Compensation
                                Provisions of the
                                Telecommunications Act
                                of 1996.
3060-1047....................  Telecommunications               10/31/17
                                Relay Services and
                                Speech-to-Speech
                                Services for
                                Individuals with
                                Hearing and Speech
                                Disabilities, FCC 03-
                                112.
3060-1048....................  Sec. 1.929(c)(1).......          11/30/18
3060-1050....................  Sec. 97.303............          04/30/19
3060-1053....................  Two-Line Captioned               03/31/18
                                Telephone Order and IP
                                Captioned Telephone
                                Service Declaratory
                                Ruling, and Internet
                                Protocol Captioned
                                Telephone Service
                                Reform Order.
3060-1054....................  FCC 422-IB.............          09/30/18
3060-1056....................  FCC 421-IB.............          07/31/18
3060-1057....................  FCC 420-IB.............          07/31/18
3060-1058....................  FCC 608................          04/30/18
3060-1060....................  Wireless E911                    12/31/19
                                Coordination
                                Initiative Letter to
                                State 911 Coordinators.
3060-1063....................  Global Mobile Personal           09/30/18
                                Communications by
                                Satellite (GMPCS)
                                Authorization,
                                Marketing and
                                Importation Rules.
3060-1064....................  Regulatory Fee                   07/31/17
                                Assessment True-Ups.
3060-1065....................  Sec. 25.701............          11/30/18
3060-1070....................  Allocation and Service           10/31/17
                                Rules for the 71-76
                                GHz, 81-86 GHz and 92-
                                95 GHz Bands.
3060-1078....................  Rules and Regulations            09/30/19
                                Implementing the
                                Controlling the
                                Assault of Non-
                                Solicited Pornography
                                and Marketing Act of
                                2003 (CAN-SPAM Act),
                                CG Docket 04-53.
3060-1079....................  Sec. 15.240............          12/31/19
3060-1080....................  Improving Public Safety          10/31/17
                                Communications in the
                                800 MHz Band; TA-13.1
                                and TA-14.1.
3060-1081....................  Secs. 54.202, 54.209,            09/30/17
                                54.307, 54.313, 54.314
                                and 54.809.
3060-1084....................  Rules and Regulations            05/31/19
                                Implementing Minimum
                                Customer Account
                                Record Obligations on
                                All Local and
                                Interexchange
                                Carriers, CG Docket
                                No. 02-386.
3060-1085....................  Sec. 9.5...............          07/31/18
3060-1086....................  Secs. 74.787, 74.790,            03/31/19
                                74.794, 74.796 and
                                74.798.
3060-1087....................  Sec. 15.615............          04/30/17
3060-1088....................  Rules and Regulations            05/31/19
                                Implementing the
                                Telephone Consumer
                                Protection Act (TCPA)
                                of 1991.
3060-1089....................  Telecommunications               08/31/17
                                Relay Services and
                                Speech-to-Speech
                                Services for
                                Individuals with
                                Hearing and Speech
                                Disabilities, E911
                                Requirements for IP-
                                Enabled Service
                                Providers.
3060-1092....................  FCC 609-T and FCC 611-T          01/31/20
3060-1094....................  Licensing, Operation,            03/31/17
                                and Transition of the
                                2500-2690 MHz Band.
3060-1095....................  Surrenders of                    01/31/18
                                Authorizations for
                                International Carrier,
                                Space Station and
                                Earth Station
                                Licensees.
3060-1096....................  Prepaid Calling Card             07/31/19
                                Service Provider
                                Certification.
3060-1101....................  Children's Television            12/31/18
                                Requests for
                                Preemption Flexibility.
3060-1103....................  Sec. 76.41.............          01/31/19
3060-1104....................  Sec. 73.682(d).........          02/28/17
3060-1108....................  Consummations of                 02/28/18
                                Assignments and
                                Transfers of Control
                                of Authorization.
3060-1113....................  Commercial Mobile Alert          07/31/17
                                System (CMAS).
3060-1116....................  Submarine Cable                  01/31/18
                                Reporting.
3060-1120....................  Service Quality                  09/30/17
                                Measurement Plan for
                                Interstate Special
                                Access and Monthly
                                Usage Reporting
                                Requirements.
3060-1121....................  Secs. 1.30002, 1.30003,          02/28/17
                                1.30004, 73.875,
                                73.1657 and 73.1690.
3060-1122....................  Preparation of Annual            03/31/18
                                Reports to Congress
                                for the Collection &
                                Expenditure of Fees or
                                Charges for Enhanced
                                911 (E911) Services
                                under the NET 911
                                Improvement Act of
                                2008.
3060-1124....................  Sec. 80.231............          12/31/17
3060-1126....................  Sec. 10.350............          04/30/18
3060-1127....................  First Responder                  03/31/19
                                Emergency Contact
                                Information in the
                                Universal Licensing
                                System (ULS).
3060-1129....................  Broadband Speed Test             04/30/19
                                and Unavailability
                                Registry.
3060-1131....................  Implementation of the            06/30/19
                                NET 911 Improvement
                                Act of 2008: Location
                                Information from
                                Owners and Controllers
                                of 911 and E911
                                Capabilities.
3060-1133....................  FCC 308 and Secs.                07/31/18
                                73.3545 and 73.3580.
3060-1138....................  Secs. 1.49 and 1.54....          06/30/19
3060-1139....................  Consumer Broadband               05/31/17
                                Services Testing and
                                Measurement.

[[Page 57]]

 
3060-1142....................  Electronic Tariff                11/30/19
                                Filing System (ETFS).
3060-1145....................  Structure and Practices          08/31/17
                                of the Video Relay
                                Service Program.
3060-1146....................  Implementation of the            06/30/18
                                21st Century
                                Communications and
                                Video Accessibility
                                Act of 2010, Section
                                105, Relay Services
                                for Deaf-Blind
                                Individuals, CG Docket
                                No. 10-210.
3060-1147....................  Wireless E911 Phase II           05/31/18
                                Location Accuracy
                                Requirements.
3060-1148....................  Sec. 79.3..............          01/31/20
3060-1149....................  Generic Clearance for            06/30/17
                                the Collection of
                                Qualitative Feedback
                                on Agency Service
                                Delivery.
3060-1150....................  Structure and Practices          05/31/18
                                of the Video Relay
                                Service Program,
                                Second Report and
                                Order, CG Docket No.
                                10-51.
3060-1151....................  Secs. 1.1420, 1.1422,            03/31/18
                                and 1.1424.
3060-1154....................  Commercial                       06/30/18
                                Advertisement Loudness
                                Mitigation (``CALM'')
                                Act; Financial
                                Hardship and General
                                Waiver Requests.
3060-1155....................  Secs. 15.713, 15.714,            05/31/19
                                15.715, 15.717 and
                                27.1320.
3060-1156....................  Sec. 43.62.............          02/28/18
3060-1157....................  Formal Complaint                 09/30/17
                                Procedures, Preserving
                                the Open Internet and
                                Broadband Industry
                                Practices.
3060-1158....................  Disclosure of Network            12/31/19
                                Management Practices,
                                Preserving the Open
                                Internet and Broadband
                                Industry Practices.
3060-1159....................  Part 25--Satellite               10/31/19
                                Communications; and
                                Part 27--Miscellaneous
                                Wireless
                                Communications
                                Services in the 2.3
                                GHz Band.
3060-1161....................  Sec. 27.14(g)-(l)......          10/31/17
3060-1162....................  Closed Captioning of             09/30/18
                                Video Programming
                                Delivered Using
                                Internet Protocol, and
                                Apparatus Closed
                                Captioning
                                Requirements.
3060-1163....................  Regulations Applicable           10/31/18
                                to Common Carrier and
                                Aeronautical Radio
                                Licensees.
3060-1165....................  Sec. 74.605............          12/31/17
3060-1166....................  FCC 180................          01/31/18
3060-1167....................  Accessible                       01/31/20
                                Telecommunications and
                                Advanced
                                Communications
                                Services and Equipment.
3060-1168....................  FCC 680................          01/31/18
3060-1169....................  Part 11--Emergency               08/31/18
                                Alert System (EAS),
                                FCC 12-7.
3060-1170....................  Sec. 90.209............          04/30/18
3060-1171....................  Secs. 73.682(e) and              06/30/18
                                76.607(a).
3060-1174....................  Secs. 73.503, 73.621             07/31/18
                                and 73.3527.
3060-1177....................  Sec. 74.800............          06/30/19
3060-1178....................  FCC 2100, Schedule 399;          03/31/19
                                and Sec. 73.3700(e).
3060-1180....................  Expanding the Economic           08/31/18
                                and Innovation
                                Opportunities of
                                Spectrum Through
                                Incentive Auctions.
3060-1181....................  Study Area Boundary              06/30/19
                                Data Reporting in Esri
                                Shapefile Format.
3060-1183....................  Establishment of a               02/28/19
                                Public Safety
                                Answering Point Do-Not-
                                Call Registry, CG
                                Docket 12-129.
3060-1184....................  Secs. 1.946(d),                  07/31/19
                                27.10(d), 27.12, 27.14
                                and 27.17.
3060-1185....................  FCC 690 and Record               05/31/19
                                Retention Requirements.
3060-1186....................  FCC 480................          01/31/18
3060-1189....................  Secs. 1.1307(b)(1),              06/30/18
                                20.3, 20.21(a)(2),
                                20.21(a)(5),
                                20.21(e)(2),
                                20.21(e)(8)(i)(G),
                                20.21(e)(9)(i)(H),
                                20.21(f), 20.21(h),
                                22.9, 24.9, 27.9,
                                90.203,
                                90.219(b)(l)(i).
3060-1190....................  Sec. 87.287(b).........          06/30/19
3060-1192....................  Survey for Urban Rates           08/31/19
                                for Fixed Voice and
                                Fixed Broadband
                                Residential Services.
3060-1194....................  FCC 338................          01/31/19
3060-1195....................  US Telecom Forbearance           06/30/17
                                FCC 13-69 Conditions.
3060-1196....................  Inmate Calling Services          06/30/17
                                Data Collection.
3060-1197....................  Comprehensive Market             08/31/17
                                Data Collection for
                                Interstate Special
                                Access Services.
3060-1198....................  Secs. 90.525, 90.529             04/30/18
                                and 90.531.
3060-1199....................  Sec. 15.407(j).........          08/31/17
3060-1200....................  FCC 5610 and FCC 5620..          09/30/18
3060-1201....................  Structure and Practices          09/30/17
                                of the Video Relay
                                Service Program;
                                Telecommunications
                                Relay Services and
                                Speech-to-Speech
                                Services for
                                Individuals with
                                Hearing and Speech
                                Disabilities.
3060-1202....................  Improving 911                    10/31/17
                                Reliability and
                                Continuity of
                                Communications
                                Including Networks,
                                Broadband Technologies.
3060-1203....................  Secs. 79.107, 79.108             08/31/19
                                and 79.110.
3060-1204....................  Deployment of Text-to-           04/30/18
                                911.
3060-1205....................  Sec. 74.802............          03/31/18
3060-1206....................  FCC 2100, Schedule 381.          03/31/18
3060-1207....................  Secs. 25.701 and 25.702          05/31/19
3060-1208....................  Acceleration of                  05/31/18
                                Broadband Deployment
                                by Improving Wireless
                                Facilities Siting
                                Policies.
3060-1209....................  Sec. 73.1216...........          02/28/19

[[Page 58]]

 
3060-1210....................  Wireless E911 Location           07/31/18
                                Accuracy Requirements.
3060-1211....................  Secs. 96.17, 96.21,              04/30/17
                                96.23, 96.33, 96.35,
                                96.39, 96.41, 96.43,
                                96.45, 96.51, 96.57,
                                96.59, 96.61, 96.63,
                                96.67.
3060-1212....................  SDARS Political                  11/30/18
                                Broadcasting
                                Requirements.
3060-1213....................  FCC 177................          06/30/19
3060-1214....................  Direct Access to                 07/31/19
                                Numbers Order, FCC 15-
                                70, Conditions.
3060-1215....................  Use of Spectrum Bands            01/31/20
                                Above 24 GHz for
                                Mobile Radio Services.
3060-1216....................  Sections                         03/31/19
                                73.3700(b)(4)(i)-(ii),
                                (c), (d), (h)(5)-(6),
                                (g)(4).
3060-1217....................  Ensuring Continuity of           03/31/19
                                911 Communications.
3060-1218....................  Carriage of Digital              05/31/19
                                Television Broadcast
                                Signals.
3060-1219....................  Connect America Fund-            09/30/19
                                Alternative Connect
                                America Cost Model
                                Support.
3060-1220....................  Transparency Rule                12/31/18
                                Disclosures, FCC 15-
                                24, Mobile Broadband
                                Disclosures.
3060-1221....................  Inmate Calling                   01/31/20
                                Services, One-Time
                                Data Collection.
3060-1222....................  Inmate Calling                   01/31/20
                                Services, Annual
                                Reporting,
                                Certification and
                                Consumer Disclosure.
3060-1223....................  Payment Instructions             07/31/17
                                from the Eligible
                                Entity Seeking
                                Reimbursement from the
                                TV Broadcaster
                                Relocation Fund.
3060-1224....................  Reverse Auction                  07/31/17
                                (Auction 1001)
                                Incentive Payment
                                Instructions from
                                Reverse Auction
                                Winning Bidder.
3060-1225....................  National Deaf-Blind              01/31/20
                                Equipment Distribution
                                Program.
3060-1226....................  Receiving Written                01/31/20
                                Consent for
                                Communication with
                                Base Stations in
                                Canada.
------------------------------------------------------------------------


[82 FR 13260, Mar. 10, 2017]



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]

                          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

[[Page 59]]

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]



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

[[Page 60]]

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 http://www.fcc.gov/forms. For information 
concerning the forms to be used and filing requirements, see part 1 of 
this chapter and the appropriate substantive rules.

[80 FR 53749, Sept. 8, 2015]



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]



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

[[Page 61]]

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

    Source: 74 FR 14078, Mar. 30, 2009, unless otherwise noted.



Sec. 0.441  General.

    (a) Any person desiring to obtain information from the Commission 
may do so by contacting the Consumer and Governmental Affairs Bureau 
(CGB). Requests for information and general inquiries may be submitted 
by:
    (1) Internet at http://www.fcc.gov/consumer-governmental-affairs or 
http://www.fcc.gov/foia.
    (2) Telephone at 1-888-CALL-FCC (1-888-225-5322).
    (3) TDD/TDY at 1-888-TELL-FCC (1-888-835-5322).
    (4) Correspondence to: Consumer and Governmental Affairs Bureau, 445 
12th Street SW., Washington, DC 20554.
    (5) Visiting the Reference Information Center of the Consumer and 
Governmental Affairs Bureau at Room CY-A257 of the Commission's main 
office at 445 12th Street SW., Washington, DC 20554.
    (b) The Commission's FOIA Public Liaison is available to assist any 
person requesting information from the Commission in resolving any 
concerns related to a Freedom of Information Act request. Requesters may 
contact the FOIA Public Liaison to seek assistance on resolving disputes 
related to FOIA requests. See http://www.fcc.gov/foia/.
    (c) The Office of Government Information Services is available to 
provide mediation services to help resolve disputes between FOIA 
requesters and Federal agencies. FOIA requesters may contact the Office 
of Government Information Services directly to seek its assistance. See 
http://ogis.archives.gov/.
    (d) The General Counsel shall, subject to the authority of the 
Chairman, exercise the responsibilities of the Chief FOIA Officer 
specified in 5 U.S.C. 552(j).

[82 FR 4188, Jan. 13, 2017]



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 the Paperwork Reduction Act, 44 U.S.C. 3510, 
rather than the Freedom of Information Act. The acceptance of materials 
in confidence under Sec. 0.457 or Sec. 0.459, or any other statute, 
rule or Commission order, does not preclude their disclosure to other 
federal agencies.
    (b) Information submitted to the Commission in confidence pursuant 
to Sec. 0.457(c)(2) and (3), (d) and (g) or Sec. 0.459, or any other 
statute, rule or order, may be disclosed to other agencies of the 
Federal government upon request or upon the Commission's own motion, 
provided:
    (1) Specific Commission assurances against such disclosure have not 
been given;
    (2) The other agency has established a legitimate need for the 
information;
    (3) Disclosure is made subject to the provisions of 44 U.S.C. 
3510(b); and
    (4) Disclosure is not prohibited by the Privacy Act or other 
provisions of law.
    (c) The Commission's staff may give assurances against disclosure of 
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 required submissions.

[[Page 62]]

    (d)(1) Except as provided in paragraphs (d)(2) and (d)(3) of this 
section, a party who furnished records to the Commission with a request 
for confidential treatment, see Sec. 0.459, will be notified at the 
time that the request for disclosure is submitted and will be afforded 
ten calendar days in which to submit an opposition to disclosure. This 
notification may be made either individually or by public notice.
    (2) If the agency requesting the records provides in writing to the 
satisfaction of the Commission that notice to the party who furnished 
the records to the Commission will interfere unduly with its law 
enforcement, national security or homeland defense 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.
    (3) A party who furnished records to the Commission in confidence 
will not be afforded prior notice when the disclosure is made to the 
Comptroller General of the United States, in the Government 
Accountability Office. Such a party will instead be notified of 
disclosure of the records to the Comptroller General either individually 
or by public notice.
    (4) If disclosure is opposed and the Commission decides to make the 
records available to the other agency, the party who furnished the 
records to the Commission will be afforded ten calendar days from the 
date of the ruling to move for a judicial stay of the Commission's 
action. If the party does not move for stay within this period, the 
records will be disclosed.
    (e) Except as provided in paragraph (d)(3) of this section, nothing 
in this section is intended to govern disclosure of information to 
Congress or the Comptroller General.



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

    (a) Adjudicatory opinions and orders of the Commission, or its staff 
acting on delegated authority, are mailed or delivered by electronic 
means to the parties, and as part of the record, are available for 
inspection in accordance with Sec. 0.453.
    (b) Documents 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 Communications Regulation.
    (c) All rulemaking documents or summaries thereof are published in 
the Federal Register and are available on the Commission's Web site. The 
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 Reference Information Center, via the Electronic 
Document Management System (EDOCS), or as otherwise specified in the 
rulemaking document published in the Federal Register.
    (d) Formal policy statements and interpretations designed to have 
general applicability are published on the Commission's Web site and in 
the Federal Register, the FCC Record, FCC Reports, or Pike and Fischer 
Communications Regulation. 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 Communications Regulation. General 
statements regarding policy and interpretations furnished to 
individuals, in correspondence or otherwise, are not ordinarily 
published.
    (e) Copies of all records that have been released to any person 
under Sec. 0.461 and that because of the nature of their subject 
matter, the Commission determines have become or are likely to become 
the subject of subsequent requests for substantially the same records, 
or that have been requested three or more times, are made available in 
electronic format.

[[Page 63]]

    (f) 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 Communications Regulation, they are 
indexed, and 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 or she 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 a recent document that is pending publication.
    (g) 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. All general instructions to the staff and limitations upon its 
authority are set forth in those subparts or in decisions of the 
Commission published in the Federal Register. Instructions to the staff 
in particular matters or cases are privileged and/or protected and are 
not published or made available for public inspection.
    (h) To the extent required to prevent a clearly unwarranted invasion 
of personal privacy, or to prevent disclosure of information required or 
authorized to be withheld by another statute, the Commission may delete 
identifying details or confidential information when it makes available 
or publishes any document described in this section. The justification 
for any such deletion will be fully explained in a preamble to the 
document.

[82 FR 4188, Jan. 13, 2017]



Sec. 0.451  Inspection of records: Generally.

    (a) Records which are routinely available for public inspection. 
Section 0.453 specifies those Commission records which are routinely 
available for public inspection and where 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 specified in Sec. 0.453 are not routinely 
available for public inspection. Such records fall into three 
categories.
    (1) The first category consists of categories 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. This category also includes records that are the property of 
another agency that the Commission has no authority to release for 
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. As applicable, procedures governing demands by 
competent authority for inspection of these records are set forth in 
Sec. 0.463.
    (2) The second category consists of records that are not specified 
in Sec. 0.453 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 an individualized determination is required. 
Procedures governing requests for inspection of these records are set 
forth in Sec. 0.461. Procedures governing demands by competent 
authority for inspection of these records are set forth in Sec. 0.463.
    (3) The third category consists of material previously released 
consistent with the agency's rules that the agency determines is not 
likely to become the subject of a subsequent FOIA request or otherwise 
likely to be of broader public interest.
    (4) Except as provided in Sec. 0.461 and Sec. 0.463, or pursuant 
to Sec. 19.735-203 of this chapter, 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 disclose 
information contained therein. This provision does not restrict the 
inspection or disclosure of records described in Sec. 0.453(b)(3).

[[Page 64]]

    (c) Copies. Section 0.465 applies to requests for copies of 
Commission records which are routinely available for public inspection 
under Sec. 0.453 and those which are made available for inspection 
under Sec. 0.461. Sections 0.467 and 0.465(c)(3) apply to requests for 
certified copies of Commission records.
    (d) Search and copying fees. Section 0.465(c)(2) prescribes the per 
page fee for copying records made available for inspection under Sec. 
0.460 or Sec. 0.461. Section 0.466 prescribes fees to cover the expense 
of searching for and reviewing records made available for inspection 
under Sec. 0.460 or Sec. 0.461. Review of initial fee determinations 
under Sec. 0.467 through Sec. 0.470 and initial fee reduction or 
waiver determinations under Sec. 0.470(e) may be sought under Sec. 
0.461(j).

    Note to paragraph (d):
    The Commission may require advance payment pursuant to Sec. 0.469 
before releasing documents.

[82 FR 4189, Jan. 13, 2017]



Sec. 0.453  Public reference rooms.

    The Commission's main Web site at http://www.fcc.gov and its 
electronic reading room at http://www.fcc.gov/general/freedom-
information-act-electronic-reading-room host the Commission's online 
public reference room. The Commission also maintains the FCC Reference 
Information Center as its public reference room at its offices in 
Washington, DC.
    (a) The Reference Information Center maintains files containing the 
record of all docketed cases, petitions for rule making and related 
papers. A file is maintained for each docketed hearing case and for each 
docketed rule making proceeding. Cards summarizing the history of such 
cases for the years before 1984 are available for inspection. 
Information summarizing the history of such cases for the years from 
1984 through present is available online on the Electronic Comment 
Filing System (ECFS). ECFS serves as the repository for official filings 
in the FCC's docketed proceedings from 1992 to the present. The public 
can use ECFS to retrieve any document in the system, including selected 
pre-1992 documents.
    (b) The Commission will maintain a regularly updated listing of 
other routinely available records in its electronic reading room at 
http://www.fcc.gov/general/freedom-information-act-electronic-reading-
room.

[82 FR 4189, Jan. 13, 2017]



Sec. 0.457  Records not routinely available for public inspection.

    The records listed in this section are not routinely available for 
public inspection pursuant to 5 U.S.C. 552(b). The records are listed in 
this section by category, according to the statutory basis for 
withholding those records from inspection; under each category, if 
appropriate, the underlying policy considerations affecting the 
withholding and disclosure of records in that category are briefly 
outlined. 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, there may be more than one 
basis for withholding particular records from inspection. The Commission 
will permit inspection of records unless Commission staff reasonably 
foresees that disclosure would harm an interest protected by the 
exemptions described in 5 U.S.C. 552(b) or where disclosure is 
prohibited by law. 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 closed agency meetings will be 
considered under Sec. 0.607 rather than under the provisions of this 
section.
    (a) Materials that are specifically authorized under criteria 
established by Executive Order (E.O.) to be kept secret in the interest 
of national defense or foreign policy and are in fact properly 
classified pursuant to such Executive Order, 5 U.S.C. 552(b)(1).
    (1) Classified materials and information will not be made available 
for public inspection, including materials classified under E.O. 10450, 
``Security Requirements for Government Employees''; E.O. 10501, as 
amended, ``Safeguarding Official Information in the

[[Page 65]]

Interests of the Defense of the United States''; and E.O. 13526, 
``Classified National Security Information,'' or any other executive 
order concerning the classification of records. See also 47 U.S.C. 
154(j).
    (2) Materials referred to another Federal agency for classification 
will not be disclosed while such a determination is pending.
    (b) Materials that are related solely to the internal personnel 
rules and practices of the Commission, 5 U.S.C. 552(b)(2).
    (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 either requires that the materials be 
withheld from the public in such a manner as to leave no discretion on 
the issue, or establishes particular criteria for withholding or refers 
to particular types of materials to be withheld), 5 U.S.C. 552(b)(3). 
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 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.
    (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. Any person may file a petition requesting 
that such materials be withheld from public inspection. To support such 
action, the petition must show that the contract, agreement or 
arrangement relates to foreign wire or radio communications; that its 
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(a), 
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. 
Except as required for the enforcement of the communications laws, 
treaties and the provisions of this chapter, or as authorized in sec. 
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) The Trade Secrets Act, 18 U.S.C. 1905, prohibits the 
unauthorized disclosure of certain confidential information. See 
paragraph (d) of this section and Sec. 19.735-203 of this chapter.
    (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 paragraph have

[[Page 66]]

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 submitted 
under Sec. 0.461 for inspection of such materials.
    (i) Financial reports submitted by radio or television licensees.
    (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.
    (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) The rates, terms and conditions in any agreement between a U.S. 
carrier and a foreign carrier that govern the settlement of U.S.-
international traffic, including the method for allocating return 
traffic, except as otherwise specified by the Commission by order or by 
the International Bureau under delegated authority. See, e.g., 
International Settlements Policy Reform, IB Docket Nos. 11-80, 05-254, 
09-10, RM-11322, Report and Order, FCC 12-145 (rel. Nov. 29, 2012).
    (vi) Outage reports filed under part 4 of this chapter.
    (vii) The following records, relating to coordination of satellite 
systems pursuant to procedures codified in the International 
Telecommunication Union (ITU) Radio Regulations:
    (A) Records of communications between the Commission and the ITU 
related to the international coordination process, and
    (B) Documents prepared in connection with coordination, 
notification, and recording of frequency assignments and Plan 
modifications, including but not limited to minutes of meetings, 
supporting exhibits, supporting correspondence, and documents and 
correspondence prepared in connection with operator-to-operator 
arrangements.
    (viii) Information submitted with a 911 reliability certification 
pursuant to 47 CFR 12.4 that consists of descriptions and documentation 
of alternative measures to mitigate the risks of nonconformance with 
certification elements, information detailing specific corrective 
actions taken with respect to certification elements, or supplemental 
information requested by the Commission with respect to such 
certification.
    (ix) Confidential Broadcaster Information, as defined in Sec. 
1.2206(d) of this chapter, submitted by a broadcast television licensee 
in a broadcast television spectrum reverse auction conducted under 
section 6403 of the Middle Class Tax Relief and Job Creation Act of 2012 
(Pub. L. 112-96) (the ``Spectrum Act''), or in the application to 
participate in such a reverse auction, is not routinely available for 
public inspection until the reassignments and reallocations under 
section 6403(b)(1)(B) of the Spectrum Act become effective or until two 
years after public notice that the reverse auction is complete and that 
no such reassignments and reallocations shall become effective. In the 
event that reassignments and reallocations under section 6403(b)(1)(B) 
of the Spectrum Act become effective, Confidential Broadcaster 
Information pertaining to any unsuccessful reverse auction bid or 
pertaining to any unsuccessful application to participate in such a 
reverse auction will not be routinely available for public inspection 
until two years after the effective date.

[[Page 67]]

    (x) Copyrighted materials the release of which would have a 
substantial adverse effect on the copyright holder's potential market, 
except to the extent such a release can be considered fair use.
    Note to paragraph (d)(1): The content of the communications 
described in paragraph (d)(1)(vii)(A) of this section is in some 
circumstances separately available through the ITU's publication 
process, or through records available in connection with the 
Commission's licensing procedures.
    (2) Unless the materials to be submitted are listed in paragraph 
(d)(1) of this section and the protection thereby afforded is adequate, 
any person who submits materials which he or she wishes withheld from 
public inspection under 5 U.S.C. 552(b)(4) must submit a request for 
non-disclosure pursuant to Sec. 0.459. If it is shown in the request 
that the materials contain trade secrets or privileged or confidential 
commercial, financial or technical data, the 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.
    (e) Interagency and intra-agency memoranda or letters, 5 U.S.C. 
552(b)(5). Interagency and intra-agency memoranda or letters and the 
work papers of members of the Commission or its staff will not be made 
available for public inspection, except in accordance with the 
procedures set forth in Sec. 0.461. Normally such papers are privileged 
and not available to private parties through the discovery process, 
because 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. The Commission will not use this deliberative process 
exemption to withhold records created 25 years or more before the date 
on which the request was received.
    (f) Personnel, medical and other files whose disclosure would 
constitute a clearly unwarranted invasion of personal privacy, 5 U.S.C. 
552(b)(6). Under E.O. 12107, 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 293.311), 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 will be withheld from public inspection.
    (g) Under 5 U.S.C. 552(b)(7), records compiled for law enforcement 
purposes, to the extent that production of such records:
    (1) Could reasonably be expected to interfere with enforcement 
proceedings;
    (2) Would deprive a person of a right to fair trial or an impartial 
adjudication;
    (3) Could reasonably be expected to constitute an unwarranted 
invasion of personal privacy;
    (4) Could reasonably be expected to disclose the identity of a 
confidential source;
    (5) Would disclose investigative techniques or procedures or would 
disclose investigative guidelines if such disclosure could reasonably be 
expected to risk circumvention of the law; or
    (6) Could reasonably be expected to endanger the life or physical 
safety of any individual.

[82 FR 4189, Jan. 13, 2017]



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 
and shall promptly return the information to the Commission's Office of 
Inspector General without further distribution or use. See 47 CFR 
19.735-203.

[[Page 68]]



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

    (a)(1) Procedures applicable to filings in non-electronic 
proceedings. 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. In the latter circumstance, where 
confidential treatment is sought only for a portion of a document, the 
person submitting the document shall submit a redacted version for the 
public file.
    (2) Procedures applicable to filings in electronic proceedings. In 
proceedings to which the electronic filing requirements set forth in 
Sec. 1.49(f) of this chapter apply, a party seeking confidential 
treatment of a portion of a filing must submit in electronic format 
either a redacted version of the document or an affidavit that it is 
impossible to submit a redacted document consistent with the filing 
requirements of this section. Where a party demonstrates that even the 
fact of a filing must remain confidential, and that this is consistent 
with the requirements of this section, this affidavit may be filed in 
paper format under seal.
    (3) Comments and other materials may not be submitted by means of 
the Commission's Electronic Comment Filing System (ECFS) with a request 
for confidential treatment under this section.
    (4) The Commission may use abbreviated means for indicating that the 
submitter of a record seeks confidential treatment, such as a checkbox 
enabling the submitter to indicate that the record is confidential. 
However, upon receipt of a request for inspection of such records 
pursuant to Sec. 0.461, the submitter will be notified of such request 
pursuant to Sec. 0.461(d)(3) and will be requested to justify the 
confidential treatment of the record, as set forth in paragraph (b) of 
this section.
    (b) Except as provided in Sec. 0.459(a)(3), 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 (including simply stamping pages 
``confidential'') which do not comply with the requirements of 
paragraphs (a) and (b) of this section will not be considered.
    (d)(1) If a response in opposition to a confidentiality request is 
filed, the party requesting confidentiality may file a reply within ten 
business days. All responses or replies filed under this paragraph must 
be served on all parties.

[[Page 69]]

    (2) Requests which comply with the requirements of paragraphs (a) 
and (b) of this section will be acted upon by the appropriate custodian 
of records (see Sec. 0.461(d)(1)), who is directed to grant the request 
if it demonstrates by a preponderance of the evidence that non-
disclosure is consistent with the provisions of the Freedom of 
Information Act, 5 U.S.C. 552. If the request for confidentiality is 
granted, the ruling will be placed in the public file in lieu of the 
materials withheld from public inspection.
    (3) The Commission may defer acting on requests that materials or 
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.
    (e) If the materials are submitted voluntarily (i.e., absent any 
requirement by statute, regulation, or 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 has been 
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 once the period 
for review of the denial has passed.
    (f) If no request for confidentiality is submitted, the Commission 
assumes no obligation to consider the need for non-disclosure but, in 
the unusual instance, may determine on its own motion that the materials 
should be withheld from public inspection. See Sec. 0.457(d).
    (g) If a request for confidentiality is denied, the person who 
submitted the request may, within ten business days, file an application 
for review by the Commission. If the application for review is denied, 
the person who submitted the request will be afforded ten business 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 paragraph 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 for confidentiality 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.

[74 FR 14078, Mar. 30, 2009, as amended at 76 FR 24389, May 2, 2011]



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

    (a) Section 0.453 specifies 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, a person who wants to inspect such records need only appear at 
the Reference Information Center and ask to see the records. Many 
records also are available on the Commission's Web site, http://
www.fcc.gov and the Commission's electronic reading room, http://
www.fcc.gov/

[[Page 70]]

general/freedom-information-act-electronic-reading-room. Commission 
documents are generally published in the FCC Record, and many of these 
documents or summaries thereof are also published in the Federal 
Register.
    (b) A person who wishes to inspect 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 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 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 requester may be directed to 
submit or confirm the request in writing in appropriate circumstances.
    (e)(1) Written requests for records routinely available for public 
inspection under Sec. 0.453 shall be directed to the Commission's 
Reference Information Center pursuant to the procedures set forth in 
Sec. 0.465. Requests shall set out all information known to the person 
making the request which would be helpful in identifying and locating 
the document, including the date range of the records sought, if 
applicable. Upon request by Commission staff, the requester shall 
provide his or her street address, phone number (if any), and email 
address (if any). Written requests shall, in addition, specify the 
maximum search fee the person making the request is prepared to pay (see 
Sec. 0.467).
    (2) Written requests shall be delivered or mailed directly to the 
Commission's Reference Information Center (see Sec. 0.465(a)).
    (f) When a written request is received by the Reference Information 
Center, it will be date-stamped.
    (g) All requests limited to records listed in Sec. 0.453 will be 
granted, subject to paragraph (j) of this section.
    (h) The records will be produced for inspection at the earliest 
possible time.
    (i) Records shall be inspected within 7 days after notice is given 
that they have been located and are available for inspection. After that 
period, they will be returned to storage and additional charges may be 
imposed for again producing them.
    (j) In addition to the other requirements of this section, the 
following provisions apply to the reports filed with the Commission 
pursuant to 5 CFR parts 2634 and 3902.
    (1) Such reports shall not be obtained or used:
    (i) For any unlawful purpose;
    (ii) For any commercial purpose, other than by news and 
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

[[Page 71]]

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.

[82 FR 4191, Jan. 13, 2017]



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

    Any person desiring to inspect Commission records that are not 
specified in Sec. 0.453 shall file a request for inspection meeting the 
requirements of this section. The FOIA Public Liaison is available to 
assist persons seeking records under this section. See Sec. 0.441(a).
    (a)(1) Records include:
    (i) Any information that would be an agency record subject to the 
requirements of the Freedom of Information Act when maintained by the 
Commission in any format, including an electronic format; and
    (ii) Any information maintained for the Commission by an entity 
under Government contract.
    (2) The records in question must be reasonably described by the 
person requesting them to permit personnel to locate them with a 
reasonable amount of effort. Whenever possible, a request should include 
specific information about each record sought, such as the title or 
name, author, recipient, and subject matter of the record. Requests must 
also specify the date or time period for the records sought. The 
custodian of records sought may contact the requester to obtain further 
information about the records sought to assist in locating them.
    (3) The person requesting records under this section may specify the 
form or format of the records to be produced provided that the records 
may be made readily reproducible in the requested form or format.
    (b)(1) Requests shall reasonably describe, for each document 
requested (see Sec. 0.461(a)(1)), all information known to the person 
making the request that would be helpful in identifying and locating the 
document, including the date range of the records sought, if applicable, 
and the persons/offices to be searched, if known. Upon request by 
Commission staff, the requester shall provide his or her street address, 
phone number (if any), and email address (if any).
    (2) The request shall, in addition, specify the maximum search fee 
the person making the request is prepared to pay or a request for waiver 
or reduction of fees if the requester is eligible (see Sec. 0.470(e)). 
By filing a FOIA request, the requester agrees to pay all applicable 
fees charged under Sec. 0.467, unless the person making the request 
seeks a waiver of fees (see Sec. 0.470(e)), in which case the 
Commission will rule on the waiver request before proceeding with the 
search.
    (c) If the records are of the kinds 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 or she determines 
that the materials in question may lawfully be withheld from inspection.
    (d)(1) Requests shall be
    (i) Filed electronically through the Internet at http://
foiaonline.regulations.

gov/; or
    (ii) Delivered or mailed to the Managing Director, Attn: FOIA 
Request, FCC, 445 12th Street SW., Room 1-A836, Washington, DC 20554.
    (2) For purposes of this section, the custodian of the records is 
the Chief of the Bureau or Office where the records are located. The 
Chief of the Bureau or Office may designate an appropriate person to act 
on a FOIA request. The Chief of the Bureau or Office may also designate 
an appropriate person to sign the response to any FOIA request. See 
Sec. 0.461(m).
    (3) If the request is for materials submitted to the Commission by 
third parties and not open to routine public inspection under Sec. 
0.457(d), Sec. 0.459, or another Commission rule or order, or if a 
request for confidentiality is pending pursuant to Sec. 0.459, or if 
the custodian of records has reason to believe that the information may 
contain confidential commercial information, one copy of the request 
will be provided by the custodian of the records (see paragraph

[[Page 72]]

(e) of this section) to the person who originally submitted the 
materials to the Commission. If there are many persons who originally 
submitted the records and are entitled to notice under this paragraph, 
the custodian of records may use a public notice to notify the 
submitters of the request for inspection. The submitter or submitters 
will be given ten calendar days to respond to the FOIA request. See 
Sec. 0.459(d)(1). If a submitter has any objection to disclosure, he or 
she is required to submit a detailed written statement specifying all 
grounds for withholding any portion of the information (see Sec. 
0.459). This response shall be served on the party seeking to inspect 
the records. The requester may submit a reply within ten calendar days 
unless a different period is specified by the custodian of records. The 
reply shall be served on all parties that filed a response. In the event 
that a submitter fails to respond within the time specified, the 
submitter will be considered to have no objection to disclosure of the 
information.

    Note to paragraph (d)(3): Under the ex parte rules, Sec. 
1.1206(a)(7) of this chapter, a proceeding involving a FOIA request is a 
permit-but-disclose proceeding, but is subject to the special service 
rules in this paragraph. We also note that while the FOIA request itself 
is a permit-but-disclose proceeding, a pleading in a FOIA proceeding may 
also constitute a presentation in another proceeding if it addresses the 
merits of that proceeding.

    (e)(1) When the request is received by the Managing Director, it 
will be assigned to the Freedom of Information Act (FOIA) Control 
Office, where it will be entered into the FOIAonline system. The request 
will be reviewed and, if it is determined that the request meets all the 
requirements of a proper FOIA request, will be designated as perfected. 
A FOIA request is then considered properly received. This will occur no 
later than ten calendar days after the request is first received by the 
agency.
    (2)(i) Except for the purpose of making a determination regarding 
expedited processing under paragraph (h) of this section, the time for 
processing a request for inspection of records will be tolled
    (A) While the custodian of records seeks reasonable clarification of 
the request;
    (B) Until clarification with the requester of issues regarding fee 
assessment occurs, including:
    (1) Where the amount of fees authorized is less than the estimated 
cost for completing the production;
    (2) Following the denial of a fee waiver, unless the requester had 
provided a written statement agreeing to pay the fees if the fee waiver 
was denied;
    (3) Where advance payment is required pursuant to Sec. 0.469 and 
has not been made.
    (ii) Only one Commission request for information shall be deemed to 
toll the time for processing a request for inspection of records under 
paragraph (e)(2)(i)(A) of this section. Such request must be made no 
later than ten calendar days after a request is properly received by the 
custodian of records under paragraph (e)(1) of this section.
    (3) The FOIA Control Office will send an acknowledgement to the 
requester notifying the requester of the control number assigned to the 
request, the due date of the response, and the telephone contact number 
(202-418-0440) to be used by the requester to obtain the status of the 
request. Requesters may also obtain the status of an FOIA request via 
email at [email protected] or by viewing their request at 
http://foiaonline.regulations.gov/.
    (4) Multiple FOIA requests by the same or different FOIA requesters 
may be consolidated for disposition. See also Sec. 0.470(b)(2).
    (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)(i) If records in the possession of the Commission 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 for referral.
    (ii) If it is determined that the FOIA request seeks only records of 
another

[[Page 73]]

agency or department, the FOIA requester will be so informed by the FOIA 
Control Officer and will be directed to the correct agency or 
department.
    (iii) If the records in the possession of the Commission involve the 
equities of another agency, the Commission will consult with that agency 
prior to releasing the records.
    (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 has 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 Commission may, at its discretion, grant the request 
in full or in part, or deny the request.
    (5) If there is a statutory basis for withholding part of a document 
from inspection, to the extent that portion is reasonably segregable, 
that part will be deleted and the remainder will be made available for 
inspection. Unless doing so would harm an interest protected by an 
applicable exemption, records disclosed in part shall be marked or 
annotated, if technically feasible, to show the amount of information 
deleted, the location of the information deleted, and the exemption 
under which the deletion is made.
    (6) In locating and recovering records responsive to an FOIA 
request, only those records within the Commission's possession and 
control as of the date a request is perfected shall be considered.
    (g)(1) The custodian of the records will make every effort to act on 
the request within twenty business days after it is received and 
perfected by the FOIA Control Office. However, if a request for 
clarification has been made under paragraph (e)(2)(i)(A) of this section 
or an issue is outstanding regarding the payment of fees for processing 
the FOIA request is pending under paragraph (e)(2)(i)(B) of this 
section, the counting of time will start upon resolution of these 
requests. If it is not possible to locate the records and to determine 
whether they should be made available for inspection within twenty 
business days, the custodian may, upon timely notice to the requester, 
extend the time for action by up to ten business days, in any of the 
following circumstances:
    (i) It is necessary to search for and collect the requested records 
from field facilities or other establishments that are separate from the 
office processing the request.
    (ii) It is necessary to search for, collect and appropriately 
examine a voluminous amount of separate and distinct records which are 
demanded in a single request; or
    (iii) It is necessary to consult with another agency having a 
substantial interest in the determination of the request, or among two 
or more components of the Commission having substantial subject matter 
interest therein.
    (2) The custodian of the records will notify the requester in 
writing of any extension of time exercised pursuant to paragraph (g) of 
this section. The custodian of the records may also call the requester 
to extend the time provided a subsequent written confirmation is 
provided. If it is not possible to locate the records and make the 
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 or email 
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 provide the requester with the records, if any, that could be 
located and produced within the allotted time. The requester may file an 
application for review by the Commission.

[[Page 74]]

    (3) If the custodian of the records grants a request for inspection 
of records submitted to the Commission in confidence under Sec. 
0.457(d), Sec. 0.459, or some other Commission rule or order, the 
custodian of the records will give the submitter written notice of the 
decision and of the submitter's right to seek review pursuant to 
paragraph (i) of this section.
    (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 paragraph (d) of this section.
    (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. Simply 
stating that the request should be expedited is not a sufficient basis 
to obtain expedited processing.
    (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 whether to grant expedited 
processing shall be provided to the requester by the custodian of 
records within ten 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 business days after the date of the written denial. 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 and 
the requester of the disposition of such an application for review.
    (i)(1) If a request for inspection of records submitted to the 
Commission in confidence under Sec. 0.457(d), Sec. 0.459, or another 
Commission rule or order is granted in whole or in part, an application 
for review may be filed by the person who submitted the records to the 
Commission, by a third party owner of the records or by a person with a 
personal privacy interest in the records, or by the person who filed the 
request for inspection of records within the ten business days after the 
date of the written ruling. The application for review shall be filed 
within ten business days after the date of the written ruling, shall be 
delivered or mailed to the General Counsel, or sent via email to FOIA-
[email protected], and shall be served on the person who filed the request 
for inspection of records and any other parties to the proceeding. The 
person who filed the request for inspection of records may respond to 
the application for review within ten business days after it is filed.
    (2) The first day to be counted in computing the time period for 
filing the application for review is the day after the date of the 
written ruling. An application for review is considered filed when it is 
received by the Commission. If an application for review is not filed 
within this period, the records will be produced for inspection.
    (3) If an application for review is denied, the person filing the 
application for review will be notified in writing and advised of his or 
her rights. A denial of an application for review is not subject to a 
petition for reconsideration under Sec. 1.106 of this chapter.
    (4) If an application for review filed by the person who submitted, 
owns, or has a personal privacy interest in the records to the 
Commission is denied, or if the records are made available on review 
which were not initially made available, the person will be afforded ten 
business days from the date of the written ruling in which to move for a 
judicial stay of the Commission's 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

[[Page 75]]

stay is not made within this period, the records will be produced for 
inspection.
    (j) Except as provided in paragraph (i) of this section, an 
application for review of an initial action on a request for inspection 
of records, a fee determination (see Sec. 0.467 through Sec. 0.470), 
or a fee reduction or waiver decision (see Sec. 0.470(e)) may be filed 
only by the person who made the request. The application shall be filed 
within 90 calendar days after the date of the written ruling by the 
custodian of records. An application for review is considered filed when 
it is received by the Commission. The application shall be delivered or 
mailed to the General Counsel, or sent via email to [email protected]. 
If the proceeding involves records subject to confidential treatment 
under Sec. 0.457 or Sec. 0.459, or involves a person with an interest 
as described in Sec. 0.461(i), the application for review shall be 
served on such persons. That person may file a response within 14 
calendar days after the application for review is filed. If the records 
are made available for review, the person who submitted them to the 
Commission will be afforded 14 calendar 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.

    Note to paragraphs (i) and (j): The General Counsel may review 
applications for review with the custodian of records and attempt to 
informally resolve outstanding issues with the consent of the requester. 
For general procedures relating to applications for review, see Sec. 
1.115 of this chapter.

    (k)(1)(i) The Commission will make every effort to act on an 
application for review of an action on a request for inspection of 
records within twenty business days after it is filed. In the following 
circumstances and to the extent time has not been extended under 
paragraphs (g)(1)(i), (ii), or (iii) of this section, the Commission may 
extend the time for acting on the application for review up to ten 
business 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 ten business 
days.):
    (A) It is necessary to search for and collect the requested records 
from field facilities or other establishments that are separate from the 
office processing the request;
    (B) It is necessary to search for, collect and appropriately examine 
a voluminous amount of separate and distinct records which are demanded 
in a single request; or
    (C) 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.
    (ii) If these circumstances are not present, the person who made the 
request may be 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 records 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.
    (2) The Commission may at its discretion or upon request consolidate 
for consideration related applications for review filed under paragraph 
(i) or (j) of this section.
    (l)(1) Subject to the application for review and judicial stay 
provisions of paragraphs (i) and (j) of this section, if the request is 
granted, the records will be produced for inspection at the earliest 
possible time.
    (2) If a request for inspection of records becomes the subject of an 
action for judicial review before the custodian of records has acted on 
the request, or before the Commission has acted on an application for 
review, the Commission may continue to consider the request for 
production of records.
    (m) Staff orders and letters ruling on requests for inspection are 
signed by the official (or officials) who give final approval of their 
contents. Decisions of

[[Page 76]]

the Commission ruling on applications for review will set forth the 
names of the Commissioners participating in the decision.

[82 FR 4192, Jan. 13, 2017]



Sec. 0.463  Disclosure of Commission records and information in legal
proceedings in which the Commission is a non-party.

    (a) This section sets forth procedures to be followed with respect 
to the production or disclosure of any material within the custody and 
control of the Commission, any information relating to such material, or 
any information acquired by any person while employed by the Commission 
as part of the person's official duties or because of the person's 
official status.
    (b) In the event that a demand is made by a court or other competent 
authority outside the Commission for the production of records or 
testimony (e.g., a subpoena, order, or other demand), the General 
Counsel shall promptly be advised of such demand, the nature of the 
records or testimony sought, and all other relevant facts and 
circumstances. The General Counsel, in consultation with the Managing 
Director, will thereupon issue such instructions as he or she may deem 
advisable consistent with this subpart.
    (c) A party in a court or administrative legal proceeding in which 
the Commission is a non-party who wishes to obtain records or testimony 
from the Commission shall submit a written request to the General 
Counsel. Such request must be accompanied by a statement setting forth 
the nature of the proceeding (including any relevant supporting 
documentation, e.g., a copy of the Complaint), the relevance of the 
records or testimony to the proceeding (including a proffer concerning 
the anticipated scope and duration of the testimony), a showing that 
other evidence reasonably suited to the requester's needs is not 
available from any other source (including a request submitted pursuant 
to Sec. 0.460 or Sec. 0.461 of the Commission's rules), and any other 
information that may be relevant to the Commission's consideration of 
the request for records or testimony. The purpose of the foregoing 
requirements is to assist the General Counsel in making an informed 
decision regarding whether the production of records or the testimony 
should be authorized.
    (d) In deciding whether to authorize the release of records or to 
permit the testimony of present or former Commission personnel, the 
General Counsel, in consultation with the Managing Director, shall 
consider the following factors:
    (1) Whether the request or demand would involve the Commission in 
issues or controversies unrelated to the Commission's mission;
    (2) Whether the request or demand is unduly burdensome;
    (3) Whether the time and money of the Commission and/or the United 
States would be used for private purposes;
    (4) The extent to which the time of employees for conducting 
official business would be compromised;
    (5) Whether the public might misconstrue variances between personal 
opinions of employees and Commission policy;
    (6) Whether the request or demand demonstrates that the records or 
testimony sought are relevant and material to the underlying proceeding, 
unavailable from other sources, and whether the request is reasonable in 
its scope;
    (7) Whether, if the request or demand were granted, the number of 
similar requests would have a cumulative effect on the expenditure of 
Commission resources;
    (8) Whether the requestor has agreed to pay search and review fees 
as set forth in Sec. 0.467 of this subpart;
    (9) Whether disclosure of the records or the testimony sought would 
otherwise be inappropriate under the circumstances; and
    (10) Any other factor that is appropriate.
    (e) Among those demands and requests in response to which compliance 
will not ordinarily be authorized are those with respect to which any of 
the following factors exist:
    (1) Disclosure of the records or the testimony would violate a 
statute, Executive Order, rule, or regulation;
    (2) The integrity of the administrative and deliberative processes 
of the Commission would be compromised;

[[Page 77]]

    (3) Disclosure of the records or the testimony would not be 
appropriate under the rules of procedure governing the case or matter in 
which the demand arose;
    (4) Disclosure of the records, including release in camera, or the 
testimony, is not appropriate or required under the relevant substantive 
law concerning privilege;
    (5) Disclosure of the records, except when in camera and necessary 
to assert a claim of privilege, or of the testimony, would reveal 
information properly classified or other matters exempt from 
unrestricted disclosure; or
    (6) Disclosure of the records or the testimony could interfere with 
ongoing Commission enforcement proceedings or other legal or 
administrative proceedings, compromise constitutional rights, reveal the 
identity of an intelligence source or confidential informant, or 
disclose trade secrets or similarly confidential commercial or financial 
information.
    (f) The General Counsel, following consultation with the Managing 
Director and any relevant Commission Bureau or Office, is authorized to 
approve non-privileged testimony by a present or former employee of the 
Commission or the production of non-privileged records in response to a 
valid demand issued by competent legal authority, or a request for 
records or testimony received under this section, and to assert 
governmental privileges on behalf of the Commission in litigation that 
may be associated with any such demand or request.
    (g) Any employee or former employee of the Commission who receives a 
demand for records of the Commission or testimony regarding the records 
or activities of the Commission shall promptly notify the General 
Counsel so that the General Counsel may take appropriate steps to 
protect the Commission's rights.

(Secs. 4(i), 303(r), Communications Act of 1934, as amended, 47 U.S.C. 
154(i) and 303(r); 5 U.S.C. 301; 47 CFR 0.231(d))



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

    (a) The Commission may award 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 locating and retrieving the requested documents from 
the Commission's files.

    Note to paragraph (a): The name, address, telephone number, and 
schedule of fees for the current copy contractor, if any, are published 
at the time of contract award of renewal in a public notice and 
periodically thereafter. Current information is available at http://
www.fcc.gov/foia and http://www.fcc.gov/consumer-governmental-affairs. 
Questions regarding this information should be directed to the Reference 
Information Center of the Consumer and Governmental Affairs Bureau at 
202-418-0270.

    (b)(1) Records routinely available for public inspection under Sec. 
0.453 are available to the public through the Commission's Reference 
Information Center. Section 0.461 does not apply to such records.
    (2) Audio or video recordings or transcripts of Commission 
proceedings are available to the public through the Commission's 
Reference Information Center. In some cases, only some of these formats 
may be available.
    (c)(1) Contractual arrangements which have been entered into with 
commercial firms, as described in this section, do not in any way limit 
the right of the public to inspect Commission records or to retrieve 
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 ten cents 
($0.10) per page or $5 per computer disk in addition to charges for 
staff time as provided in Sec. 0.467. For copies prepared with other 
media, such as thumb drives or other portable electronic storage, the 
charge will be the actual direct cost including operator time. Requests

[[Page 78]]

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 the 
greater of $25 or the amount which the requester has indicated that he/
she is prepared to pay, then it shall notify the requester of the 
estimated amount of fees. Such a notice shall offer the requester the 
opportunity to confer with Commission personnel with the object of 
revising or clarifying the request.

    Note to paragraph (c)(2): The criterion considered in acting on a 
waiver request is whether ``waiver or reduction of the fee is in the 
public interest because furnishing the information can be considered as 
primarily benefiting the general public.'' 5 U.S.C. 552(a)(4)(A). A 
request for a waiver or reduction of fees will be decided by the General 
Counsel as set forth in Sec. 0.470(e).

    (3) 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 his or 
her designee. 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 
paragraph (c)(2) of this section. The fee for certification shall be $10 
for each document.
    (d)(1) Computer maintained databases produced by the Commission and 
routinely available to the public (see Sec. 0.453) may be obtained from 
the FCC's Web site at http://www.fcc.gov or if unavailable on the 
Commission's Web site, from the Reference Information Center.
    (2) Copies of computer generated data stored as paper printouts or 
electronic media and available to the public may also be obtained from 
the Commission's Reference Information Center (see paragraph (a) of this 
section).
    (3) Copies of computer source programs and associated documentation 
produced by the Commission and available to the public may be obtained 
from the Office of the Managing Director.
    (e) This section does not apply to records available on the 
Commission's Web site, http://www.fcc.gov, or printed publications which 
may be purchased from the Superintendent of Documents or private firms 
(see 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) or on the Commission's Web site, http://www.fcc.gov/
formpage.html.

[82 FR 4195, Jan. 13, 2017]



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 twenty 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

[[Page 79]]

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 clear 
from the request itself, the Commission shall seek additional 
clarification before assigning the request to a specific category. The 
dissemination of records by a representative of the news media (see 
Sec. 0.466(a)(7)) shall not be considered to be for a commercial use.
    (5) The term educational institution refers to a preschool, a public 
or private elementary or secondary school, an institution of 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 
or entity that gathers information of potential interest to a segment of 
the public, uses its editorial skills to turn the raw materials into a 
distinct work, and distributes that work to an audience. In this clause, 
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 are television or radio stations broadcasting to the public at 
large and publishers of periodicals (but only if such entities qualify 
as disseminators of news) who make their products available for purchase 
or subscription by, or free distribution to, the general public. These 
examples are not all-inclusive. Moreover, as methods of news delivery 
evolve (for example, the adoption of electronic dissemination of 
newspapers through telecommunications services), such alternative media 
shall be considered to be news-media entities. A freelance journalist 
shall be regarded as working for a news-media entity if the journalist 
can demonstrate a solid basis for expecting publication through that 
entity, whether or not the journalist is actually employed by the 
entity. A publication contract would present a solid basis for such an 
expectation; the Commission may also consider the past publication 
record of the requester in making such a determination. See 5 U.S.C. 
552(a)(4)(A)(ii).
    (8) The term all other requester refers to any person not within the 
definitions in paragraphs (a)(4) through (a)(7) of this paragraph.
    (b) [Reserved]

[74 FR 14078, Mar. 30, 2009, as amended at 76 FR 24389, May 2, 2011]



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 or Sec. 
0.461, unless such fees are reduced or waived pursuant to Sec. 0.470. 
The fee is based on the pay grade level of the FCC's employee(s) who 
conduct(s) the search or review, or the actual hourly rate of FCC 
contractors or other non-FCC personnel who conduct a search.

    Note to paragraph (a)(1): The fees for FCC employees will be 
modified periodically to correspond with modifications in the rate of 
pay approved by Congress and any such modifications will be announced by 
public notice and will be posted on the Commission's Web site, http://
www.fcc.gov/foia/feeschedule.

    (2) The fees specified in paragraph (a)(1) of this section are 
computed at Step 5 of each grade level based on the General Schedule or 
the hourly rate of non-FCC personnel, including in addition twenty 
percent for personnel benefits. Search and review fees will be assessed 
in \1/4\ hour increments.
    (b) Search fees may be assessed for time spent searching, even if 
the Commission fails to locate responsive

[[Page 80]]

records or if any records located 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)(1) If the Commission estimates that search charges are likely to 
exceed the greater of $25 or the amount which the requester indicated 
he/she is prepared to pay, then it shall notify the requester of the 
estimated amount of fees. Such a notice shall offer the requester the 
opportunity to confer with Commission personnel with the object of 
revising or clarifying the request. See Sec. 0.465(c)(2) and Sec. 
0.470(d).
    (2) The time for processing a request for inspection shall be tolled 
while conferring with the requester about his or her willingness to pay 
the fees required to process the request. See Sec. 0.461(e).
    (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.

[82 FR 4195, Jan. 13, 2017]



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.



Sec. 0.469  Advance payments.

    (a) The Commission may not require advance payment of estimated FOIA 
fees except as provided in paragraph (b) or where the Commission 
estimates or determines that allowable charges that a requester may be 
required to pay are likely to exceed $250.00 and the 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. Notification that fees may 
exceed $250.00 is not, however, a prerequisite for collecting fees above 
that amount.
    (b) Where a requester has previously failed to pay a fee charged in 
a timely fashion (i.e., within 30 days of the date of the billing), the 
Commission may 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.
    (c) When the Commission acts under paragraph (a) of this section, 
the administrative time limits prescribed in Sec. Sec. 0.461(g) and (k) 
(i.e., twenty business days from receipt of initial requests and twenty 
business days from receipt of appeals from initial denials, plus 
permissible extensions of these time limits (see Sec. 0.461(g)(1)(i) 
through (iii) and Sec. 0.461(k)(1)(i) through (iii)) will begin only 
after the agency has received the fee payments described in this 
section. See Sec. 0.461(e)(2)(ii) and Sec. 0.467(e)(2).



Sec. 0.470  Assessment of fees.

    (a)(1) Commercial use requesters. (i) 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. 0.466 and Sec. 0.467.

[[Page 81]]

    (ii) Commercial use requesters shall not be assessed search fees if 
the Commission fails to comply with the time limits under Sec. 
0.461(g), except as provided in paragraph (a)(1)(iii) of this section.
    (iii) Commercial requesters may still be assessed search fees when 
the Commission fails to comply with the time limits under Sec. 0.461(g) 
if the Commission determines that unusual circumstances apply and more 
than 5,000 pages are necessary to respond to the request, so long as the 
Commission has provided a timely written notice to the requester and has 
discussed with the requester (or made not less than three good-faith 
attempts to do so) how the requester could effectively limit the scope 
of the request. Additionally, if a court has determined that exceptional 
circumstances exist, a failure to comply with a time limit under Sec. 
0.461(g) will be excused for the length of time provided by the court 
order.
    (2) Educational and non-commercial scientific institution requesters 
and requesters who are representatives of the news media. (i) The 
Commission shall provide documents to requesters in these categories for 
the cost of duplication only, pursuant to Sec. 0.465 above, excluding 
duplication 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 distributing information.
    (ii) Educational requesters or requesters who are representatives of 
the news media shall not be assessed fees for the cost of duplication if 
the Commission fails to comply with the time limits under Sec. 
0.461(g), except as provided in paragraph (a)(2)(iii) of this section.
    (iii) Educational requesters or requesters who are representatives 
of the news media may still be assessed duplication fees when the 
Commission fails to comply with the time limits under Sec. 0.461(g) if 
the Commission determines that unusual circumstances apply and more than 
5,000 pages are necessary to respond to the request, so long as the 
Commission has provided a timely written notice to the requester and has 
discussed with the requester (or made not less than three good-faith 
attempts to do so) how the requester could effectively limit the scope 
of the request. Additionally, if a court has determined that exceptional 
circumstances exist, a failure to comply with a time limit under Sec. 
0.461(g) will be excused for the length of time provided by the court 
order.
    (3) All other requesters. (i) 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 duplicating records 
that are responsive to the request, pursuant to Sec. 0.465 and Sec. 
0.467, except that the first 100 pages of duplication and the first two 
hours of search time shall be furnished without charge.
    (ii) All other requesters shall not be assessed search fees if the 
Commission fails to comply with the time limits under Sec. 0.461(g), 
except as provided in paragraph (a)(3)(iii) of this section.
    (iii) All other requesters may still be assessed search fees when 
the Commission fails to comply with the time limits under Sec. 0.461(g) 
if the Commission determines that unusual circumstances apply and more 
than 5,000 pages are necessary to respond to the request, so long as the 
Commission has provided a timely written notice to the requester and has 
discussed with the requester (or made not less than three good-faith 
attempts to do so) how the requester could effectively limit the scope 
of the request. Additionally, if a court has determined that exceptional 
circumstances exist, a failure to comply with a time limit under Sec. 
0.461(g) will be excused for the length of time provided by the court 
order.
    (b)(1) The 100 page restriction on assessment of duplication fees in 
paragraphs (a)(2) and (3) of this section refers to 100 paper copies of 
a standard size, which will normally be 8\1/2\[sec] x 11[sec] or 11[sec] 
x 14[sec].
    (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.

[[Page 82]]

    (c) When a requester believes he or she is entitled to a waiver 
pursuant to paragraph (e) of this section, the requester must include, 
in his or her original FOIA request, a statement explaining with 
specificity, the reasons demonstrating that he or she qualifies for 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.
    (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 
ten business days to provide further information to justify receiving a 
reduced fee. See Sec. 0.467(e)(2).
    (e)(1) Copying, search and review charges shall be waived or reduced 
by the General Counsel when ``disclosure of the information is in the 
public 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). Simply repeating the fee waiver language of 
section 552(a)(4)(A)(iii) is not a sufficient basis to obtain a fee 
waiver.
    (2) The criteria used to determine whether disclosure is in the 
public interest because it is likely to contribute significantly to 
public understanding of the operations or activities of the government 
include:
    (i) Whether the subject of the requested records concerns the 
operations or activities of the government;
    (ii) Whether the disclosure is likely to contribute to an 
understanding of government operations or activities; and
    (iii) Whether disclosure of the requested information will 
contribute to public understanding as opposed to the individual 
understanding of the requester or a narrow segment of interested 
persons.
    (3) The criteria used to determine whether disclosure is primarily 
in the commercial interest of the requester include:
    (i) Whether the requester has a commercial interest that would be 
furthered by the requested disclosure; and, if so
    (ii) Whether the magnitude of the identified commercial interest of 
the requester is sufficiently large, in comparison with the public 
interest in disclosure, that disclosure is primarily in the commercial 
interest of the requester.
    (4) This request for fee reduction or waiver must accompany the 
initial request for records and will be decided under the same 
procedures used for record requests.
    (5) If no fees or de minimis fees would result from processing a 
FOIA request and a fee waiver or reduction has been sought, the General 
Counsel will not reach a determination on the waiver or reduction 
request.
    (f) Whenever Commission staff determines that the total fee 
calculated under this section likely is less than the cost to collect 
and process the fee, no fee will be charged.
    (g) Review of initial fee determinations under Sec. 0.467 through 
Sec. 0.470 and initial fee reduction or waiver determinations under 
paragraph (e) of this section may be sought under Sec. 0.461(j).

[82 FR 4196, Jan. 13, 2017]

 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

[[Page 83]]

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 of this 
chapter) governing the Wireless Radio Services (see Sec. 1.907 of this 
chapter) that require a fee (see Sec. 1.1102 of this chapter) shall be 
submitted via the Universal Licensing System or to the U.S. Bank, St. 
Louis, Missouri at the address set forth in Sec. 1.1102. Waiver 
requests that do not require a fee should be submitted via the 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, as amended at 73 FR 9018, Feb. 19, 2008]



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.

[47 FR 53378, Nov. 26, 1982, as amended at 78 FR 23151, Apr. 18, 2013]



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  [Reserved]



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

    Applications for exemption filed under the provisions of sections 
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.

[71 FR 15618, Mar. 29, 2006]



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.

[[Page 84]]



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 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.

[[Page 85]]



                    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 which is 
contained in Commission records. The regulations contained herein cover 
any group of records under the Commission's control from which 
information about individuals is retrievable by the name of an 
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, 
retrievability, 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

[[Page 86]]

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 
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/

[[Page 87]]

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 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 copies of records be sent directly 
to them. In such cases, individuals must verify their identity as 
described in Sec. 0.554(b)(2) and provide an accurate return mailing 
address or email 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)).

[[Page 88]]

    (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 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; 80 FR 53749, Sept. 8, 2015]



Sec. 0.556  Request to correct or amend records.

    (a) An individual may request the amendment of information contained 
in their record. Except as otherwise provided in this paragraph, the 
request to amend should be submitted in 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

[[Page 89]]

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 
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

[[Page 90]]

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.


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

[[Page 91]]

of records is exempt pursuant to section (k)(2) of the Act because the 
records contain investigatory material compiled for law enforcement 
purposes.

(Secs. 4(i) and 303(n), Communications Act of 1934, as amended, 47 
U.S.C. 154(i) and 303(n); 47 CFR 0.231(d))

[40 FR 44512, Sept. 26, 1975, as amended at 49 FR 13369, Apr. 4, 1984; 
58 FR 11549, Feb. 26, 1993]



                      Subpart F_Meeting Procedures

    Authority: Secs. 4, 303, 48 Stat., as 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

[[Page 92]]

such a manner as to leave no discretion 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 93]]

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 FR 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 
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

[[Page 94]]

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.

[42 FR 12867, Mar. 7, 1977, as amended at 71 FR 15618, Mar. 29, 2006]



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 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.
    (d) The Commissioner presiding at the meeting will prepare a 
statement setting out the time and place of the meeting, the names of 
persons other than Commission personnel who were present at the meeting, 
and the names of Commission personnel who participated in the 
discussion. These statements will be retained in a public file in the 
Minute and Rules Branch, Office of the Secretary.

[42 FR 12867, Mar. 7, 1977, as amended at 71 FR 15618, Mar. 29, 2006]



                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

[[Page 95]]

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 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.

[[Page 96]]

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.

                         Forbearance Proceedings

1.52 Subscription and verification.
1.53 Separate pleadings for petitions for forbearance.
1.54 Petitions for forbearance must be complete as filed.
1.55 Public notice of petitions for forbearance.
1.56 Motions for summary denial of petitions for forbearance.
1.57 Circulation and voting of petitions for forbearance.
1.58 Forbearance petition quiet period prohibition.
1.59 Withdrawal or narrowing of petitions for forbearance.

                     General Application Procedures

1.61 Procedures for handling applications requiring special aeronautical 
          study.
1.62 Operation pending action on renewal application.
1.65 Substantial and significant changes in information furnished by 
          applicants to the Commission.
1.68 Action on application for license to cover construction permit.
1.77 Detailed application procedures; cross references.

                        Miscellaneous Proceedings

1.80 Forfeiture proceedings.
1.83 Applications for radio operator 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 in non-rulemaking proceedings.
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.

                      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.

[[Page 97]]

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.

               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, or for amendment of certain FM 
          assignments.
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 of final orders in rulemaking 
          proceedings.

                                Inquiries

1.430 Proceedings on a notice of inquiry.

Subpart D [Reserved]

   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.

[[Page 98]]

                           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.
1.732 Other required written submissions.
1.733 Status conference.
1.734 Specifications as to pleadings, briefs, and other documents; 
          subscription.
1.735 Fee remittance; electronic filing; 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.
1.774 [Reserved]
1.776 Pricing flexibility limited grandfathering.

    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.
1.789 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.

                          Miscellaneous Reports

1.814 Reports regarding free service rendered the Government for 
          national defense.
1.815 Reports of annual employment.

                       Grants by Random Selection

     Subpart F_Wireless Radio Services Applications and Proceedings

                           Scope and Authority

1.901 Basis and purpose.
1.902 Scope.
1.903 Authorization required.
1.907 Definitions.

                 Application Requirements and Procedures

1.911 Station files.
1.913 Application and notification forms; electronic and manual filing.
1.915 General application requirements.
1.917 Who may sign applications.
1.919 Ownership information.
1.923 Content of applications.
1.924 Quiet zones.
1.925 Waivers.

[[Page 99]]

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.
1.950 Geographic partitioning and spectrum disaggregation.
1.951 Duty to respond to official communications.
1.953 Discontinuance of service or operations.
1.955 Termination of authorizations.
1.956 Settlement conferences.
1.957 Procedure with respect to amateur radio operator license.
1.958 Distance computation.
1.959 Computation of average terrain elevation.

                 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 (or service).
1.1104 Schedule of charges for applications and other filings for media 
          services.
1.1105 Schedule of charges for applications and other filings for the 
          wireline competition services.
1.1106 Schedule of charges for applications and other filings for the 
          enforcement services.
1.1107 Schedule of charges for applications and other filings for the 
          international services.
1.1108 Schedule of charges for applications and other filings for the 
          international telecommunication services.
1.1109 Schedule of charges for applications and other filings for the 
          Homeland services.
1.1110 Attachment of charges.
1.1111 Payment of charges.
1.1112 Form of payment.
1.1113 Filing locations.
1.1114 Conditionality of Commission or staff authorizations.
1.1115 Return or refund of charges.
1.1116 General exemptions to charges.
1.1117 Adjustments to charges.
1.1118 Penalty for late or insufficient payments.
1.1119 Petitions and applications for review.
1.1120 Error claims.
1.1121 Billing procedures.
1.1151 Authority to prescribe and collect regulatory fees.
1.1152 Schedule of annual regulatory fees 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 for common carrier 
          services.
1.1155 Schedule of regulatory fees for cable television services.
1.1156 Schedule of regulatory fees 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.

[[Page 100]]

                       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.

             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 Fee remittance; electronic filing; service; number of copies; 
          form of pleadings; and proprietary materials.
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.
1.1420 Timeline for access to utility poles.
1.1422 Contractors for survey and make-ready.
1.1424 Complaints by incumbent local exchange carriers.

 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.

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      Subpart L_Random Selection Procedures for Mass Media Services

                           General Procedures

1.1601 Scope.
1.1602 Designation for random selection.
1.1603 Conduct of random selection.
1.1604 Post-selection hearings.
1.1621 Definitions.
1.1622 Preferences.
1.1623 Probability calculation.

         Subpart M_Cable Operations and Licensing System (COALS)

1.1701 Purpose.
1.1702 Scope.
1.1703 Definitions.
1.1704 Station files.
1.1705 Forms; electronic and manual filing.
1.1706 Content of filings.
1.1707 Acceptance of filings.

Subpart N_Enforcement of 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.

  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.

[[Page 102]]

                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 
          certain communications.
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.
1.2114 Reporting of eligibility event.

              Broadcast Television Spectrum Reverse Auction

1.2200 Definitions.
1.2201 Purpose.
1.2202 Competitive bidding design options.
1.2203 Competitive bidding mechanisms.
1.2204 Applications to participate in competitive bidding.
1.2205 Prohibition of certain communications.
1.2206 Confidentiality of Commission-held data.
1.2207 Two competing participants required.
1.2208 Public notice of auction completion and auction results.
1.2209 Disbursement of incentive payments.

 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_Foreign Ownership of Broadcast, Common Carrier, Aeronautical 
        En Route, and Aeronautical Fixed Radio Station Licensees

Sec.
1.5000 Citizenship and filing requirements under section 310(b) of the 
          Communications Act of 1934, as amended.
1.5001 Contents of petitions for declaratory ruling under section 310(b) 
          of the Communications Act of 1934, as amended.
1.5002 How to calculate indirect equity and voting interests.
1.5003 Insulation criteria for interests in limited partnerships, 
          limited liability partnerships, and limited liability 
          companies.
1.5004 Routine terms and conditions.

Subpart U [Reserved]

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.

[[Page 103]]

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.
1.9046 Special provisions related to spectrum manager leasing in the 
          Citizens Broadband Radio Service.
1.9047 Special provisions relating to leases of educational broadband 
          service spectrum.
1.9048 Special provisions relating to spectrum leasing arrangements 
          involving licensees in the Public Safety Radio Services.
1.9049 Special provisions relating to spectrum leasing arrangements 
          involving the ancillary terrestrial component of Mobile 
          Satellite Services.
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.
1.9080 Private commons.

              Subpart Y_International Bureau Filing System

1.10000 What is the purpose of these rules?
1.10001 Definitions.
1.10002 What happens if the rules conflict?
1.10003 When can I start operating?
1.10004 What am I allowed to do if I am 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?

       Subpart Z_Communications Assistance for Law Enforcement Act

1.20000 Purpose.
1.20001 Scope.
1.20002 Definitions.
1.20003 Policies and procedures for employee supervision and control.
1.20004 Maintaining secure and accurate records.
1.20005 Submission of policies and procedures and Commission review.
1.20006 Assistance capability requirements.
1.20007 Additional assistance capability requirements for wireline, 
          cellular, and PCS telecommunications carriers.
1.20008 Penalties.

      Subpart AA_Competitive Bidding for Universal Service Support

1.21000 Purpose.
1.21001 Participation in competitive bidding for support.
1.21002 Prohibition of certain communications during the competitive 
          bidding process.
1.21003 Competitive bidding process.
1.21004 Winning bidder's obligation to apply for support.

     Subpart BB_Disturbance of AM Broadcast Station Antenna Patterns

1.30000 Purpose.
1.30001 Definitions.
1.30002 Tower construction or modification near AM stations.
1.30003 Installations on an AM antenna.
1.30004 Notice of tower construction or modification near AM stations.

 Subpart CC_State and Local Review of Applications for Wireless Service 
                          Facility Modification

1.40001 Wireless facility modifications.

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
Appendix B to Part 1--Nationwide Programmatic Agreement for the 
          Collocation of Wireless Antennas
Appendix C to Part 1--Nationwide Programmatic Agreement Regarding the 
          Section 106 National Historic Preservation Act Review Process

    Authority:47 U.S.C. 151, 154(i), 154(j), 155, 157, 160, 201, 225, 
227, 303(r), 309, 332, 1403, 1404, 1451, 1452, and 1455.

    Effective Date Notes:1. At 82 FR 41544, Sept. 1, 2017, the authority 
citation for Part 1 was revised, effective Oct. 2, 2017. For the 
convenience of the user, the revised text is set forth as follows:

[[Page 104]]


    Authority: 47 U.S.C. 151, 154(i), 154(j),155, 157, 160, 201, 225, 
227, 303, 309, 310,332, 1403, 1404, 1451, 1452, and 1455.

    2. At 82 FR 20839, May 4, 2017, the authority citation for Part 1 
was revised, effective Jan. 1, 2018. For the convenience of the user, 
the revised text is set forth as follows:

    Authority:15 U.S.C. 79 et seq.; 47 
U.S.C. 151, 154(j), 160, 201, 225, 303, and 309.

    Editorial Note: Nomenclature changes to part 1 appear at 63 FR 
54077, Oct. 8, 1998.



            Subpart A_General Rules of Practice and Procedure

    Source: 28 FR 12415, Nov. 22, 1963, unless otherwise noted.

                                 General



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 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.

    (a) 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.
    (b) The bureau or office to which a petition for declaratory ruling 
has been submitted or assigned by the Commission should docket such a 
petition within an existing or current proceeding, depending on whether 
the issues raised within the petition substantially relate to an 
existing proceeding. The bureau or office then should seek comment on 
the petition via public notice. Unless otherwise specified by the bureau 
or office, the filing deadline for responsive pleadings to a docketed 
petition for declaratory ruling will be 30 days from the release date of 
the public notice, and the default filing deadline for any replies will 
be 15 days thereafter.

[76 FR 24390, May 2, 2011]



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. In addition, this rule section 
prescribes the method for computing the amount of time within which the 
Commission must act in response to deadlines established by statute, a 
Commission rule, or Commission order.
    (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

[[Page 105]]

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 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

[[Page 106]]

(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 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 
Headquarters are closed and not reopened prior to 5:30 p.m., or on which 
a Commission office aside from Headquarters is closed (but, in that 
situation, the holiday will apply only to filings with that particular 
office). For example, a regularly scheduled Commission business day may 
become a holiday with respect to the entire Commission if Headquarters 
is closed prior to 5:30 p.m. due to adverse weather, emergency or other 
closing. Additionally, a regularly scheduled Commission business day may 
become a holiday with respect to a particular Commission office aside 
from Headquarters if that office is closed prior to 5:30 p.m. due to 
similar circumstances.

    Note to paragraph (e)(1):
    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

[[Page 107]]

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 p.m., at 445 12th Street, SW., Washington, DC 
20554. The Secretary will determine whether a tendered document meets 
the pre-7:00 p.m. deadline. Documents filed 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) shall not apply to documents filed pursuant to Sec. 1.89, 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

[[Page 108]]

filed on the next business day. See paragraph (e)(1) of this section. If 
a rule or order of the Commission specifies that the Commission must act 
by a certain date and that date falls on a holiday, the Commission 
action must be taken by the next business day.

    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).
    (l) When Commission action is required by statute to be taken by a 
date that falls on a holiday, such action may be taken by the next 
business day (unless the statute provides otherwise).

[52 FR 49159, Dec. 30, 1987; 53 FR 44196, Nov. 2, 1988, as amended at 56 
FR 40567, 40568, Aug. 15, 1991; 58 FR 17529, Apr. 5, 1993; 61 FR 11749, 
Mar. 22, 1996; 62 FR 26238, May 13, 1997; 63 FR 24124, May 1, 1998; 64 
FR 27201, May 19, 1999; 64 FR 60725, Nov. 8, 1999; 65 FR 46109, July 27, 
2000; 67 FR 13223, Mar. 21, 2002; 71 FR 15618, Mar. 29, 2006; 74 FR 
68544, Dec. 28, 2009; 76 FR 24390, May 2, 2011; 76 FR 70908, Nov. 16, 
2011]



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 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]

[[Page 109]]



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) Petitions for review involving a judicial lottery pursuant to 28 
U.S.C. 2112(a). (1) This paragraph pertains to each party filing a 
petition for review in any United States court of appeals of a 
Commission Order pursuant to 47 U.S.C. 402(a) and 28 U.S.C. 2342(1), 
that wishes to avail itself of procedures established for selection of a 
court in the case of multiple petitions for review of the same 
Commission action, pursuant to 28 U.S.C. 2112(a). Each such party shall, 
within ten days after the issuance of that order, serve on the Office of 
General Counsel, by email to the address [email protected], 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 received by the Office of General Counsel by 5:30 p.m. 
Eastern Time on the tenth day of the filing period. A return email from 
the Office of General Counsel acknowledging receipt of the petition for 
review will constitute proof of filing. Upon receipt of any copies of 
petitions for review according to these procedures, 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) If a party wishes to avail itself of procedures established for 
selection of a court in the case of multiple petitions for review of the 
same Commission action, pursuant to 28 U.S.C. 2112(a), but is unable to 
use email to effect service as described in paragraph (a)(1) of this 
section, it shall instead, within ten days after the issuance of the 
order on appeal, serve a copy of its petition for review in person on 
the General Counsel in the Office of General Counsel, 445 12th Street, 
SW., Washington, DC 20554. Only parties not represented by counsel may 
use this method. Such parties must telephone the Litigation Division of 
the Office of General Counsel beforehand to make arrangements at 202-
418-1740. Parties are advised to call at least one day before service 
must be effected.
    (3) Computation of time of the ten-day period for filing copies of 
petitions for review of a Commission order shall be governed by Rule 26 
of the Federal Rules of Appellate Procedure. The date of issuance of a 
Commission order for purposes of filing copies of petitions for review 
shall be the date of public notice as defined in Sec. 1.4(b) of the 
Commission's Rules, 47 CFR 1.4(b).
    (b) Notices of appeal pursuant to 47 U.S.C. 402(b). Copies of 
notices of appeals filed pursuant to 47 U.S.C. 402(b) shall be served 
upon the General Counsel. The FCC consents to--and encourages--service 
of such notices by email to the address [email protected].


[[Page 110]]


    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). Parties are encouraged 
to serve such notice by email to the address [email protected].

[81 FR 40821, June 23, 2016]



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.
    (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;

[[Page 111]]

    (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 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

[[Page 112]]

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]



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.)

[[Page 113]]

    (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 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.

[[Page 114]]

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. 
Documents that are required to be served by the Commission in agency 
proceedings (i.e., not in the context of judicial proceedings, 
Congressional investigations, or other proceedings outside the 
Commission) may be served in electronic form. In proceedings involving a 
large number of parties, and unless otherwise provided by statute, the 
Commission may satisfy its service obligation by issuing a public notice 
that identifies the documents required to be served and that explains 
how parties can obtain copies of the documents.

    Note to paragraph (a):
    Section 1.47(a) grants staff the authority to decide upon the 
appropriate format for electronic notification in a particular 
proceeding, consistent with any applicable statutory requirements.

[[Page 115]]

The Commission expects that service by public notice will be used only 
in proceedings with 20 or more parties.

    (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 and interconnected VoIP provider, as 
defined in Sec. 54.5 of this chapter, and non-interconnected VoIP 
provider, as defined in Sec. 64.601(a)(15) of this chapter and with 
interstate end-user revenues that are subject to contribution to the 
Telecommunications Relay Service Fund, that is 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 such 
carrier, interconnected VoIP provider, or non-interconnected VoIP 
provider in any proceeding before the Commission. Such designation shall 
include, for the carrier, interconnected VoIP provider, or non-
interconnected VoIP provider and its designated agents, a name, business 
address, telephone or voicemail number, facsimile number, and, if 
available, Internet e-mail address. Such carrier, interconnected VoIP 
provider, or non-interconnected VoIP provider shall additionally list 
any other names by which it is known or under which it does business, 
and, if the carrier, interconnected VoIP provider, or non-interconnected 
VoIP provider is an affiliated company, the parent, holding, or 
management company. Within thirty (30) days of the commencement of 
provision of service, such carrier, interconnected VoIP provider, or 
non-interconnected VoIP provider shall file such information with the 
Chief of the Enforcement Bureau's Market Disputes Resolution Division. 
Such carriers, interconnected VoIP providers, and non-interconnected 
VoIP providers 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, interconnected VoIP provider, or non-interconnected VoIP 
provider 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

[[Page 116]]

since the previous filing. Carriers, interconnected VoIP providers, and 
non-interconnected VoIP providers 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, interconnected VoIP provider, or non-interconnected VoIP 
provider by leaving a copy thereof with such designated agent at his 
office or usual place of residence. If such carrier, interconnected VoIP 
provider, or non-interconnected VoIP provider 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, 
requirement, or decision in the Office of the Secretary of the 
Commission.

[28 FR 12415, Nov. 22, 1963, as amended at 40 FR 55644, Dec. 1, 1975; 53 
FR 11852, Apr. 11, 1988; 63 FR 1035, Jan. 7, 1998; 63 FR 24124, May 1, 
1998; 64 FR 41330, July 30, 1999; 64 FR 60725, Nov. 8, 1999; 71 FR 
38796, July 10, 2006; 76 FR 24390, May 2, 2011; 76 FR 65969, Oct. 25, 
2011]



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.

[[Page 117]]

    (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:
    (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, must be filed in electronic format:
    (i) Formal complaint proceedings under Section 208 of the Act and 
rules in Sec. Sec. 1.720 through 1.736, pole attachment complaint 
proceedings under Section 224 of the Act and rules in Sec. Sec. 1.1401 
through 1.1424, and formal complaint proceedings under Open Internet 
rules Sec. Sec. 8.12 through 8.17, and;
    (ii) Proceedings, other than rulemaking proceedings, relating to 
customer proprietary network information (CPNI);
    (iii) Proceedings relating to cable special relief petitions;
    (iv) Proceedings involving Over-the-Air Reception Devices;
    (v) Common carrier certifications under Sec. 54.314 of this 
chapter;
    (vi) Domestic Section 214 transfer-of-control applications pursuant 
to Sec. Sec. 63.52 and 63.53 of this chapter;
    (vii) Domestic Section 214 discontinuance applications pursuant to 
Sec. Sec. 63.63 and/or 63.71 of this chapter; and
    (viii) Notices of network change and associated certifications 
pursuant to Sec. 51.325 et seq. of this chapter.
    (2) Unless required under paragraph (f)(1) of this section, 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;
    (iii) Petition for rulemaking proceedings (except broadcast 
allotment proceedings);
    (iv) Petition for forbearance proceedings; and
    (v) Filings responsive to domestic section 214 transfers under Sec. 
63.03 of this chapter, section 214 discontinuances under Sec. 63.71 of 
this chapter, and notices of network change under Sec. 51.325 et seq. 
of this chapter.
    (3) To further greater reliance on electronic filing wherever 
possible, the Bureaus and Offices, in coordination with the Managing 
Director, may provide to the public capabilities for electronic filing 
of additional types of pleadings notwithstanding any provisions of this 
chapter that may otherwise be construed as requiring such filings to be 
submitted on paper.
    (4) For purposes of compliance with any prescribed pleading lengths, 
the length of any document filed in electronic form shall be equal to 
the length

[[Page 118]]

of the document if printed out and formatted according to the 
specifications of paragraph (a) of this section, or shall be no more 
than 250 words per page.

    Note to Sec. 1.49: 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; 74 FR 39227, Aug. 6, 2009; 76 FR 24390, May 2, 2011; 80 
FR 1587, Jan. 13, 2015; 80 FR 19847, Apr. 13, 2015]



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.

    (a) In hearing proceedings, unless otherwise specified by Commission 
rules, an original and one copy shall be filed, along with-an additional 
copy for each additional presiding officer at the hearing, if more than 
one.
    (b) In rulemaking proceedings which have not been designated for 
hearing, see Sec. 1.419.
    (c) In matters other than rulemaking and hearing cases, unless 
otherwise specified by Commission rules, an original and one copy shall 
be filed. If the matter relates to part 22 of the rules, see Sec. 22.6 
of this chapter.
    (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.
    (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.

[76 FR 24391, May 2, 2011]



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

[[Page 119]]

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]

                         Forbearance Proceedings



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]



Sec. 1.54  Petitions for forbearance must be complete as filed.

    (a) Description of relief sought. Petitions for forbearance must 
identify the requested relief, including:
    (1) Each statutory provision, rule, or requirement from which 
forbearance is sought.
    (2) Each carrier, or group of carriers, for which forbearance is 
sought.
    (3) Each service for which forbearance is sought.
    (4) Each geographic location, zone, or area for which forbearance is 
sought.
    (5) Any other factor, condition, or limitation relevant to 
determining the scope of the requested relief.
    (b) Prima facie case. Petitions for forbearance must contain facts 
and arguments which, if true and persuasive, are sufficient to meet each 
of the statutory criteria for forbearance.
    (1) A petition for forbearance must specify how each of the 
statutory criteria is met with regard to each statutory provision or 
rule, or requirement from which forbearance is sought.
    (2) If the petitioner intends to rely on data or information in the 
possession of third parties, the petition must identify:
    (i) The nature of the data or information.
    (ii) The parties believed to have or control the data or 
information.
    (iii) The relationship of the data or information to facts and 
arguments presented in the petition.
    (3) The petitioner shall, at the time of filing, provide a copy of 
the petition to each third party identified as possessing data or 
information on which the petitioner intends to rely.
    (c) Identification of related matters. A petition for forbearance 
must identify any proceeding pending before the Commission in which the 
petitioner has requested, or otherwise taken a position regarding, 
relief that is identical to, or comparable to, the relief sought in the 
forbearance petition. Alternatively, the petition must declare that the 
petitioner has not, in a pending proceeding, requested or otherwise 
taken a position on the relief sought.
    (d) Filing requirements. Petitions for forbearance shall comply with 
the filing requirements in Sec. 1.49.
    (1) Petitions for forbearance shall be e-mailed to 
[email protected] at the time for filing.
    (2) All filings related to a forbearance petition, including all 
data, shall be provided in a searchable format. To be searchable, a 
spreadsheet containing a significant amount of data must be capable of 
being manipulated to allow meaningful analysis.
    (e) Contents. Petitions for forbearance shall include:
    (1) A plain, concise, written summary statement of the relief 
sought.

[[Page 120]]

    (2) A full statement of the petitioner's prima facie case for 
relief.
    (3) Appendices that list:
    (i) The scope of relief sought as required in Sec. 1.54(a);
    (ii) All supporting data upon which the petition intends to rely, 
including a market analysis; and
    (iii) Any supporting statements or affidavits.
    (f) Supplemental information. The Commission will consider further 
facts and arguments entered into the record by a petitioner only:
    (1) In response to facts and arguments introduced by commenters or 
opponents.
    (2) By permission of the Commission.

[74 FR 39227, Aug. 6, 2009]



Sec. 1.55  Public notice of petitions for forbearance.

    (a) Filing a petition for forbearance initiates the statutory time 
limit for consideration of the petition.
    (b) The Commission will issue a public notice when it receives a 
properly filed petition for forbearance. The notice will include:
    (1) A statement of the nature of the petition for forbearance.
    (2) The scope of the forbearance sought and a description of the 
subjects and issues involved.
    (3) The docket number assigned to the proceeding.
    (4) A statement of the time for filing oppositions or comments and 
replies thereto.

[74 FR 39227, Aug. 6, 2009]



Sec. 1.56  Motions for summary denial of petitions for forbearance.

    (a) Opponents of a petition for forbearance may submit a motion for 
summary denial if it can be shown that the petition for forbearance, 
viewed in the light most favorable to the petitioner, cannot meet the 
statutory criteria for forbearance.
    (b) A motion for summary denial may not be filed later than the due 
date for comments and oppositions announced in the public notice.
    (c) Oppositions to motions for summary denial may not be filed later 
than the due date for reply comments announced in the public notice.
    (d) No reply may be filed to an opposition to a motion for summary 
denial.

[74 FR 39227, Aug. 6, 2009]



Sec. 1.57  Circulation and voting of petitions for forbearance.

    (a) If a petition for forbearance includes novel questions of fact, 
law or policy which cannot be resolved under outstanding precedents and 
decisions, the Chairman will circulate a draft order no later than 28 
days prior to the statutory deadline, unless all Commissioners agree to 
a shorter period.
    (b) The Commission will vote on any circulated order resolving a 
forbearance petition not later than seven days before the last day that 
action must be taken to prevent the petition from being deemed granted 
by operation of law.

[74 FR 39227, Aug. 6, 2009]



Sec. 1.58  Forbearance petition quiet period prohibition.

    The prohibition in Sec. 1.1203(a) on contacts with decisionmakers 
concerning matters listed in the Sunshine Agenda shall also apply to a 
petition for forbearance for a period of 14 days prior to the statutory 
deadline under 47 U.S.C. 160(c) or as announced by the Commission.

[74 FR 39227, Aug. 6, 2009]



Sec. 1.59  Withdrawal or narrowing of petitions for forbearance.

    (a) A petitioner may withdraw or narrow a petition for forbearance 
without approval of the Commission by filing a notice of full or partial 
withdrawal at any time prior to the end of the tenth business day after 
the due date for reply comments announced in the public notice.
    (b) Except as provided in paragraph (a) of this section, a petition 
for forbearance may be withdrawn, or narrowed so significantly as to 
amount to a withdrawal of a large portion of the forbearance relief 
originally requested by the petitioner, only with approval of the 
Commission.

[74 FR 39227, Aug. 6, 2009]

[[Page 121]]

                     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.
    (2) In accordance with Sec. 1.1307 and Sec. 17.4(c) of this 
chapter, the Bureau will address any 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 FAA final 
determination of ``no hazard,'' the Bureau may prescribe antenna 
structure painting and/or lighting specifications or other conditions in 
accordance with the FAA airspace recommendation. Unless otherwise 
specified by the Bureau, the antenna structure must conform to the FAA's 
painting and lighting recommendations set forth in the FAA's 
determination of ``no hazard'' and the associated FAA study number. The 
Bureau 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.


[[Page 122]]


    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, 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; 77 FR 
3952, Jan. 26, 2012; 79 FR 56984, Sept. 24, 2014]



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. Except as 
otherwise required by rules applicable to particular types of 
applications, whenever the information furnished in the pending 
application is no longer substantially accurate and complete in all 
significant respects, the applicant shall as promptly as possible and in 
any event within 30 days, unless good cause is shown, amend or request 
the amendment of the application so as to furnish such additional or

[[Page 123]]

corrected information as may be appropriate. Except as otherwise 
required by rules applicable to particular types of applications, 
whenever there has been a substantial change as to any other matter 
which may be of decisional 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.
    (b) Applications in broadcast services subject to competitive 
bidding will be subject to the provisions of Sec. Sec. 1.2105(b), 
73.5002 and 73.3522 of this chapter 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; 69 FR 72026, Dec. 10, 2004; 75 FR 
4702, Jan. 29, 2010]



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.

[[Page 124]]

    (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 Service 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 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; 78 FR 
25160, Apr. 29, 2013]

                        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;
    (4) Violated any provision of section 227(e) of the Communications 
Act or of the rules issued by the Commission under section 227(e) of 
that Act; or
    (5) Violated any provision of section 1304, 1343, or 1464 of Title 
18, United States Code.
    (6) Violated any provision of section 6507 of the Middle Class Tax 
Relief and Job Creation Act of 2012 or any rule, regulation, or order 
issued by the Commission under that statute.

    Note to paragraph (a):
    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) through (4) of this 
section shall not apply to conduct which is subject to a forfeiture 
penalty or fine under sections 202(c), 203(e), 205(b), 214(d), 219(b), 
220(d), 223(b), 364(a), 364(b), 386(a), 386(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 $37,500 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 
$400,000 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. Notwithstanding the foregoing in this section, if 
the violator is a broadcast station licensee or permittee or an 
applicant for any broadcast license, permit, certificate, or other 
instrument of authorization issued by the Commission, and if the 
violator is determined by the Commission to have broadcast obscene, 
indecent, or profane material, the forfeiture penalty under this section 
shall not exceed $350,000 for each violation or

[[Page 125]]

each day of a continuing violation, except that the amount assessed for 
any continuing violation shall not exceed a total of $3,300,000 for any 
single act or failure to act described in paragraph (a) of this section.
    (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 $160,000 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 $1,575,000 for any single act or 
failure to act described in paragraph (a) of this section.
    (3) If the violator is a manufacturer or service provider subject to 
the requirements of section 255, 716, or 718 of the Communications Act, 
and is determined by the Commission to have violated any such 
requirement, the manufacturer or service provider shall be liable to the 
United States for a forfeiture penalty of not more than $105,000 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 
$1,050,000 for any single act or failure to act.
    (4) Any person determined to have violated section 227(e) of the 
Communications Act or the rules issued by the Commission under section 
227(e) of the Communications Act shall be liable to the United States 
for a forfeiture penalty of not more than $10,000 for each violation or 
three times that amount for each day of a continuing violation, except 
that the amount assessed for any continuing violation shall not exceed a 
total of $1,025,000 for any single act or failure to act. Such penalty 
shall be in addition to any other forfeiture penalty provided for by the 
Communications Act.
    (5) If a violator who is granted access to the Do-Not-Call registry 
of public safety answering points discloses or disseminates any 
registered telephone number without authorization, in violation of 
section 6507(b)(4) of the Middle Class Tax Relief and Job Creation Act 
of 2012 or the Commission's implementing rules, the monetary penalty for 
such unauthorized disclosure or dissemination of a telephone number from 
the registry shall be not less than $100,000 per incident nor more than 
$1,000,000 per incident depending upon whether the conduct leading to 
the violation was negligent, grossly negligent, reckless, or willful, 
and depending on whether the violation was a first or subsequent 
offense.
    (6) If a violator uses automatic dialing equipment to contact a 
telephone number on the Do-Not-Call registry of public safety answering 
points, in violation of section 6507(b)(5) of the Middle Class Tax 
Relief and Job Creation Act of 2012 or the Commission's implementing 
rules, the monetary penalty for contacting such a telephone number shall 
be not less than $10,000 per call nor more than $100,000 per call 
depending on whether the violation was negligent, grossly negligent, 
reckless, or willful, and depending on whether the violation was a first 
or subsequent offense.
    (7) In any case not covered in paragraphs (b)(1) through (b)(6) of 
this section, the amount of any forfeiture penalty determined under this 
section shall not exceed $16,000 for each violation or each day of a 
continuing violation, except that the amount assessed for any continuing 
violation shall not exceed a total of $122,500 for any single act or 
failure to act described in paragraph (a) of this section.
    (8) 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)(8):
    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 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 ceilings per

[[Page 126]]

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)(9). These statutory maxima became effective September 13, 2013. 
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                 10,000
 marking................................................
Violation of public file rules..........................          10,000
Violation of political rules: reasonable access, lowest            9,000
 unit 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                      3,000
 requirements...........................................
Failure to file required forms or information...........           3,000
Failure to make required measurements or conduct                   2,000
 required 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    Common Carrier............         $40,000
 long distance telephone
 service.
Violation of operator         Common Carrier............           7,000
 services requirements.
Violation of pay-per-call     Common Carrier............           7,000
 requirements.
Failure to implement rate     Cable.....................           7,500
 reduction or refund order.
Violation of cable program    Cable.....................           7,500
 access rules.
Violation of cable leased     Cable.....................           7,500
 access rules.
Violation of cable cross-     Cable.....................           7,500
 ownership rules.
Violation of cable broadcast  Cable.....................           7,500
 carriage rules.
Violation of pole attachment  Cable.....................           7,500
 rules.
Failure to maintain           Broadcast.................           7,000
 directional pattern within
 prescribed parameters.
Violation of main studio      Broadcast.................           7,000
 rule.
Violation of broadcast hoax   Broadcast.................           7,000
 rule.
AM tower fencing............  Broadcast.................           7,000
Broadcasting telephone        Broadcast.................           4,000
 conversations without
 authorization.
Violation of enhanced         Broadcast.................           2,000
 underwriting 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.

[[Page 127]]

    (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 two exceptions, 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. 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 other exception is section 227(e) of the 
Act, which provides maximum forfeitures per violation, and for 
continuing violations. The Commission will apply the factors set forth 
in section 503(b)(2)(E) of the Act and section III of this note to 
determine the amount of the penalty to assess in any particular 
situation. The following amounts are adjusted for inflation pursuant to 
the Debt Collection Improvement Act of 1996 (DCIA), 28 U.S.C. 2461. 
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               $11,548, $577/day.
 Discrimination.
Sec. 203(e) Common Carrier Tariffs.....  $11,548, $577/day.
Sec. 205(b) Common Carrier               $23,095.
 Prescriptions.
Sec. 214(d) Common Carrier Line          $2,309/day.
 Extensions.
Sec. 219(b) Common Carrier Reports.....  $2,309/day.
Sec. 220(d) Common Carrier Records &     $11,548/day.
 Accounts.
Sec. 223(b) Dial-a-Porn................  $119,668/day.
Sec. 227(e) Caller Identification......  $11,052/violation. $33,156/day
                                          for each day of continuing
                                          violation, up to $1,105,241
                                          for any single act or failure
                                          to act.
Sec. 364(a) Forfeitures (Ships)........  $9,623/day (owner).
Sec. 364(b) Forfeitures (Ships)........  $1,925 (vessel master).
Sec. 386(a) Forfeitures (Ships)........  $9,623/day (owner).
Sec. 386(b) Forfeitures (Ships)........  $1,925 (vessel master).
Sec. 634 Cable EEO.....................  $853/day.
------------------------------------------------------------------------

    (9) Inflation adjustments to the maximum forfeiture amount. (i) 
Pursuant to the Federal Civil Penalties Inflation Adjustment Act 
Improvements Act of 2015, Public Law 114-74 (129 Stat. 599-600), 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 annually for inflation by order published no 
later than January 15 each year. Annual inflation adjustments will be 
based on the percentage (if any) by which the CPI-U for October 
preceding the date of the adjustment exceeds the prior year's CPI-U for 
October. The Office of Management and Budget (OMB) will issue adjustment 
rate guidance no later than December 15 each year to adjust for 
inflation in the CPI-U as of the most recent October.
    (ii) The application of the annual inflation adjustment required by 
the foregoing Federal Civil Penalties Inflation Adjustment Act 
Improvements Act of 2015 results in the following adjusted statutory 
maximum forfeitures authorized by the Communications Act:

------------------------------------------------------------------------
                                                              Maximum
                                                           penalty after
                   U.S. Code citation                     2017 inflation
                                                            adjustment
------------------------------------------------------------------------
47 U.S.C. 202(c)........................................         $11,548
                                                                     577
47 U.S.C. 203(e)........................................          11,548

[[Page 128]]

 
                                                                     577
47 U.S.C. 205(b)........................................          23,095
47 U.S.C. 214(d)........................................           2,309
47 U.S.C. 219(b)........................................           2,309
47 U.S.C. 220(d)........................................          11,548
47 U.S.C. 223(b)........................................         119,668
47 U.S.C. 227(e)........................................          11,052
                                                                  33,156
                                                               1,105,241
47 U.S.C. 362(a)........................................           9,623
47 U.S.C. 362(b)........................................           1,925
47 U.S.C. 386(a)........................................           9,623
47 U.S.C. 386(b)........................................           1,925
47 U.S.C. 503(b)(2)(A)..................................          48,114
                                                                 481,147
47 U.S.C. 503(b)(2)(B)..................................         192,459
                                                               1,924,589
47 U.S.C. 503(b)(2)(C)..................................         389,305
                                                               3,593,585
47 U.S.C. 503(b)(2)(D)..................................          19,246
                                                                 144,344
47 U.S.C. 503(b)(2)(F)..................................         110,524
                                                               1,105,241
47 U.S.C. 507(a)........................................           1,906
47 U.S.C. 507(b)........................................             279
47 U.S.C. 554...........................................             853
------------------------------------------------------------------------

    Note to paragraph (b)(9):
    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 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 the case of a forfeiture imposed under section 227(e), no 
forfeiture will be imposed if the violation occurred more than 2 years 
prior to the date on which the appropriate notice is issued.
    (4) 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. Except for a 
forfeiture imposed under subsection 227(e)(5) of the Act, no forfeiture 
penalty shall be imposed upon any person under this section of the Act 
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

[[Page 129]]

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.
    (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

[[Page 130]]

check or money order should be mailed to: Federal Communications 
Commission, P.O. Box 979088, St. Louis, MO 63197-9000.
    (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; 72 
FR 33914, June 20, 2007; 73 FR 9018, Feb. 19, 2008; 73 FR 44664, July 
31, 2008; 76 FR 43203, July 20, 2011; 76 FR 82388, Dec. 30, 2011; 77 FR 
71137, Nov. 29, 2012; 78 FR 10100, Feb. 13, 2013; 78 FR 49371, Aug. 14, 
2013; 81 FR 42555, June 30, 2016; 82 FR 8171, Jan. 24, 2017]



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, 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 Mobility 
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.

[78 FR 23151, Apr. 18, 2013]



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

[[Page 131]]

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 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

[[Page 132]]

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.
    (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

[[Page 133]]

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.
    (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

[[Page 134]]

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 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

[[Page 135]]

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 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 1.117 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.

[76 FR 70908, Nov. 16, 2011]



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

[[Page 136]]

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: 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

[[Page 137]]

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 in non-rulemaking
proceedings.

    (a)(1) Except as provided in paragraphs (b)(3) and (p) of this 
section, petitions requesting reconsideration of a final Commission 
action in non-rulemaking proceedings 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 rulemaking 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 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 are present:
    (i) The petition relies on facts or arguments which relate to events 
which have occurred or circumstances which have changed since the last 
opportunity to present such matters to the Commission; or
    (ii) The petition relies on facts or arguments 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 or arguments in question 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) In the case of any order other than an order denying an 
application for review, a petition for reconsideration which relies on 
facts or arguments not previously presented to the Commission or to the 
designated authority may be granted only under the following 
circumstances:

[[Page 138]]

    (1) The facts or arguments 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 or arguments relied on is required in the 
public interest.
    (d)(1) A petition for reconsideration 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 of relief sought and, subject to this 
requirement, may contain alternative requests.
    (2) A petition for reconsideration of a decision that sets forth 
formal findings of fact and conclusions of law shall also cite the 
findings and/or conclusions which petitioner believes to be erroneous, 
and shall state with particularity the respects in which he believes 
such findings and/or conclusions should be changed. The petition may 
request that additional findings of fact and/or 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 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, DC 20554, by mail, by commercial courier, by hand, or by 
electronic submission through the Commission's Electronic Comment Filing 
System or other electronic filing system (such as ULS). Petitions 
submitted only by electronic mail and petitions submitted directly to 
staff without submission to the Secretary shall not be considered to 
have been properly filed. Parties filing in electronic form need only 
submit one copy.
    (j) The Commission or designated authority may grant the petition 
for reconsideration in whole or in part or may deny or dismiss 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

[[Page 139]]

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 
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.
    (p) Petitions for reconsideration of a Commission action that 
plainly do not warrant consideration by the Commission may be dismissed 
or denied by the relevant bureau(s) or office(s). Examples include, but 
are not limited to, petitions that:
    (1) Fail to identify any material error, omission, or reason 
warranting reconsideration;
    (2) Rely on facts or arguments which have not previously been 
presented to the Commission and which do not meet the requirements of 
paragraphs (b)(2), (b)(3), or (c) of this section;
    (3) Rely on arguments that have been fully considered and rejected 
by the Commission within the same proceeding;
    (4) Fail to state with particularity the respects in which 
petitioner believes the action taken should be changed as required by 
paragraph (d) of this section;
    (5) Relate to matters outside the scope of the order for which 
reconsideration is sought;
    (6) Omit information required by these rules to be included with a 
petition for reconsideration, such as the affidavit required by 
paragraph (e) of this section (relating to electrical interference);

[[Page 140]]

    (7) Fail to comply with the procedural requirements set forth in 
paragraphs (f) and (i) of this section;
    (8) relate to an order for which reconsideration has been previously 
denied on similar grounds, except for petitions which could be granted 
under paragraph (c) of this section; or
    (9) Are untimely.

(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; 76 FR 
24391, May 2, 2011]



Sec. 1.108  Reconsideration on Commission's own motion.

    The Commission may, on its own motion, reconsider 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). When acting on its own 
motion under this section, the Commission may take any action it could 
take in acting on a petition for reconsideration, as set forth in Sec. 
1.106(k).

[76 FR 24392, May 2, 2011]



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) 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.
    (iii) The action involves application of a precedent or policy which 
should be overturned or revised.

[[Page 141]]

    (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 and in Sec. 
0.461(j) of this chapter, 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 Sec. 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 
application 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 application for 
review is filed. Replies to oppositions shall be filed only if they are 
requested by the Commission.

[[Page 142]]

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 which the Commission believes should

[[Page 143]]

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; 76 FR 
70908, Nov. 16, 2011; 82 FR 4197, Jan. 13, 2017]



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.



                      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 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]

[[Page 144]]



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 
1.117.

[28 FR 12425, Nov. 22, 1963, as amended at 29 FR 6443, May 16, 1964; 36 
FR 19439, Oct. 6, 1971; 76 FR 70908, Nov. 16, 2011]



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 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

[[Page 145]]

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.
    (h)(1) For program carriage complaints filed pursuant to Sec. 
76.1302 of this chapter that the Chief, Media Bureau refers to an 
administrative law judge for an initial decision, each party, in person 
or by attorney, shall file a written appearance within five calendar 
days after the party informs the Chief Administrative Law Judge that it 
elects not to pursue alternative dispute resolution pursuant to Sec. 
76.7(g)(2) of this chapter or, if the parties have mutually elected to 
pursue alternative dispute resolution pursuant to Sec. 76.7(g)(2) of 
this chapter, within five calendar days after the parties inform the 
Chief Administrative Law Judge that they have failed to resolve their 
dispute through alternative dispute resolution. The written appearance 
shall state that the party will appear on the date fixed for hearing and 
present evidence on the issues specified in the hearing designation 
order.
    (2) If the complainant fails to file a written appearance by this 
deadline, or fails to file prior to the deadline either a petition to 
dismiss the proceeding without prejudice or a petition to accept, for 
good cause shown, a written appearance beyond such deadline, the Chief 
Administrative Law Judge shall dismiss the complaint with prejudice for 
failure to prosecute.
    (3) If the defendant fails to file a written appearance by this 
deadline, or fails to file prior to this deadline a petition to accept, 
for good cause shown, a written appearance beyond such deadline, its 
opportunity to present evidence at hearing will be deemed to have been 
waived. If the hearing is so waived, the Chief Administrative Law Judge 
shall expeditiously terminate

[[Page 146]]

the proceeding and certify to the Commission the complaint for 
resolution based on the existing record.

(5 U.S.C. 554. Sec. 309, 48 Stat. 1085, as amended; 47 U.S.C. 309)

[28 FR 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; 76 FR 60672, Sept. 29, 2011]



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 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

[[Page 147]]

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 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

[[Page 148]]

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 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 
Sec. 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 St. Louis, Missouri for applications requiring the 
fees set forth at part 1, subpart G of the rules) in a condition 
acceptable for filing within 30 days after the release date of public 
notice listing the first prior filed application (with which subsequent 
applications are in conflict) as having been accepted for filing or 
within such other period as specified by the Commission. For 
applications in the Private Operational

[[Page 149]]

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) 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.

[28 FR 12425, Nov. 22, 1963, as amended at 34 FR 7966, May 21, 1969; 37 
FR 13983, July 15, 1972; 38 FR 26202, Sept. 19, 1973; 48 FR 27200, June 
13, 1983; 48 FR 34039, July 27, 1983; 52 FR 10229, Mar. 31, 1987; 55 FR 
46008, Oct. 31, 1990; 55 FR 46513, Nov. 5, 1990; 61 FR 18291, Apr. 25, 
1996; 67 FR 34851, May 16, 2002; 67 FR 48563, July 25, 2002; 73 FR 9018, 
Feb. 19, 2008; 76 FR 70908, Nov. 16, 2011]



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) For program carriage complaints filed pursuant to Sec. 76.1302 
of this chapter that the Chief, Media Bureau refers to an administrative 
law judge for an initial decision, such motions shall be filed within 15 
calendar days after the deadline for submitting written appearances 
pursuant to Sec. 1.221(h), 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).
    (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

[[Page 150]]

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 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; 76 FR 60672, Sept. 29, 2011; 76 FR 
70908, Nov. 16, 2011; 78 FR 5745, Jan. 28, 2013]

                            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

[[Page 151]]

    (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 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 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; 76 FR 
70908, Nov. 16, 2011]



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

[[Page 152]]

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]

                          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, except 
that for program carriage complaints filed pursuant to Sec. 76.1302 of 
this chapter that the Chief, Media Bureau refers to an administrative 
law judge for an initial decision, the initial prehearing conference 
shall be held no later than 10 calendar days after the deadline for 
submitting written appearances pursuant to Sec. 1.221(h) or within such 
shorter or longer period as the Commission may allow on motion or notice 
consistent with the public interest.
    (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

[[Page 153]]

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, except that for program carriage complaints 
filed pursuant to Sec. 76.1302 of this chapter that the Chief, Media 
Bureau refers to an administrative law judge for an initial decision, 
the initial prehearing conference shall be held no later than 10 
calendar days after the deadline for submitting written appearances 
pursuant to Sec. 1.221(h) or within such shorter or longer period as 
the presiding officer may allow on motion or notice consistent with the 
public interest.
    (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.
    (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

[[Page 154]]

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; 76 FR 60672, 
Sept. 29, 2011]



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.

[[Page 155]]

    (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 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,

[[Page 156]]

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 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. 
Notice of such certification shall be served on all parties to the 
proceedings.

[71 FR 15618, Mar. 29, 2006]



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.

[[Page 157]]

    (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 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]

[[Page 158]]



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 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

[[Page 159]]

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 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

[[Page 160]]

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, 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 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; 71 FR 15618, Mar. 29, 2006]



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 order 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; 76 
FR 70908, Nov. 16, 2011]

              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

[[Page 161]]

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 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

[[Page 162]]

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 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

[[Page 163]]

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 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]

[[Page 164]]

               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 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

[[Page 165]]

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 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, embarrassment 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).

[[Page 166]]

    (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 
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

[[Page 167]]

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 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

[[Page 168]]

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]



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

[[Page 169]]

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 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

[[Page 170]]

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 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

[[Page 171]]

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.

[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; 76 FR 70908, Nov. 16, 
2011]

                                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

[[Page 172]]

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 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.

[[Page 173]]



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.

                                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

[[Page 174]]

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 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

[[Page 175]]

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 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 rule making 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 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

[[Page 176]]

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. Petitions to 
amend the FM Table of Allotments must be accompanied by the appropriate 
construction permit application and payment of the appropriate 
application filing fee.
    (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; 71 FR 76215, Dec. 20, 2006]



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

[[Page 177]]

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.
    (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

[[Page 178]]

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) Unless otherwise specified by Commission rules, an original and 
one copy of all comments, briefs and other documents filed in a 
rulemaking proceeding shall be furnished to the Commission. The 
distribution of such copies shall be as follows:

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

    Participants filing the required 2 copies who also wish each 
Commissioner to have a personal copy of the comments may file an 
additional 5 copies. The distribution of such copies shall be as 
follows:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Commissioners....................................................      5
Secretary (original).............................................      1
Reference Information Center.....................................      1
                                                                  ------
    Total........................................................      7
------------------------------------------------------------------------

    Similarly, 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 Sec. 1.1206(a). 
Letters submitted to Commissioners or Commission staff will be treated 
in the same way as informal comments, as set forth above. Also, to the 
extent that an informal participant wishes to submit to each 
Commissioner a personal copy of a comment and has not submitted or 
cannot submit the comment by electronic mail, the participant may file 
an additional 5 copies. The distribution of such copies shall be as 
follows:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Commissioners....................................................      5
Secretary (original).............................................      1
Reference Information Center.....................................      1
                                                                  ------
    Total........................................................      7
------------------------------------------------------------------------

    (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; 76 FR 
24392, May 2, 2011]



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

    (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

[[Page 179]]

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 a UHF TV 
station to a VHF channel in the same community in the course of the rule 
making proceeding to amend Sec. 73.606(b), or it may modify the license 
or permit of an FM station to another class of channel through notice 
and comment procedures, 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.

    Note 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.

    (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:

[[Page 180]]

    (i) A certification that neither it nor its principals has paid or 
will pay money or other consideration in excess of the legitimate and 
prudent expenses of the party withdrawing its expression of interest; 
and
    (ii) The terms of any oral agreement relating to the dismissal or 
withdrawal of the expression of interest.

    Note to Sec. 1.420: 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.

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

[39 FR 44022, Dec. 20, 1974, as amended at 40 FR 53391, Nov. 18, 1975; 
41 FR 1287, Jan. 7, 1976; 51 FR 15629, Apr. 25, 1986; 51 FR 20291, June 
4, 1986; 52 FR 8260, Mar. 17, 1987; 52 FR 25866, July 9, 1987; 54 FR 
16366, Apr. 24, 1989; 54 FR 26201, June 22, 1989; 55 FR 28914, July 16, 
1990; 58 FR 38535, July 19, 1993; 59 FR 59503, Nov. 17, 1994; 61 FR 
43472, Aug. 23, 1996; 65 FR 79776, Dec. 20, 2000; 71 FR 76215, Dec. 20, 
2006]



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. 
If the report and order adopting the rule does not specify the date on 
which the rule becomes effective, the effective date shall be 30 days 
after the date on which the rule is published in the Federal Register, 
unless a later date is required by statute or is otherwise specified by 
the Commission.
    (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.

[28 FR 12432, Nov. 22, 1963, as amended at 76 FR 24392, May 2, 2011]

[[Page 181]]



Sec. 1.429  Petition for reconsideration of final orders in
rulemaking proceedings.

    (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 or 
arguments which have not previously been presented to the Commission 
will be granted only under the following circumstances:
    (1) The facts or arguments relied on relate to events which have 
occurred or circumstances which have changed since the last opportunity 
to present such matters to the Commission;
    (2) The facts or arguments 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 or arguments in question prior to such opportunity; or
    (3) The Commission determines that consideration of the facts or 
arguments 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 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, DC 20554, by mail, by commercial 
courier, by hand, or by electronic submission through the Commission's 
Electronic Comment Filing System. Petitions submitted only by electronic 
mail and petitions submitted directly to staff without submission to the 
Secretary shall not be considered to have been properly filed. 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 or dismiss the petition. Its order will 
contain a concise statement of the reasons for the action taken. Any 
order addressing a petition for reconsideration which modifies

[[Page 182]]

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. In no 
event shall a ruling which denies a petition for reconsideration be 
considered a modification of the original order.
    (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).
    (l) Petitions for reconsideration of a Commission action that 
plainly do not warrant consideration by the Commission may be dismissed 
or denied by the relevant bureau(s) or office(s). Examples include, but 
are not limited to, petitions that:
    (1) Fail to identify any material error, omission, or reason 
warranting reconsideration;
    (2) Rely on facts or arguments which have not previously been 
presented to the Commission and which do not meet the requirements of 
paragraphs (b)(1) through (3) of this section;
    (3) Rely on arguments that have been fully considered and rejected 
by the Commission within the same proceeding;
    (4) Fail to state with particularity the respects in which 
petitioner believes the action taken should be changed as required by 
paragraph (c) of this section;
    (5) Relate to matters outside the scope of the order for which 
reconsideration is sought;
    (6) Omit information required by these rules to be included with a 
petition for reconsideration;
    (7) Fail to comply with the procedural requirements set forth in 
paragraphs (d), (e), and (h) of this section;
    (8) Relate to an order for which reconsideration has been previously 
denied on similar grounds, except for petitions which could be granted 
under paragraph (b) of this section; or
    (9) Are untimely.

(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; 76 FR 24392, May 2, 2011]

                                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 [Reserved]



   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

[[Page 183]]

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 oral argument shall file a 
written statement to that effect setting forth the reasons for his 
interest in the matter. 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 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

[[Page 184]]

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 
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.

[[Page 185]]

    (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 email address 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; 79 FR 73845, Dec. 12, 2014]



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, telephone number, and email address 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) 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;
    (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,

[[Page 186]]

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)

                                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.

[[Page 187]]

    (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 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.

[[Page 188]]

    (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; 79 FR 
73845, Dec. 12, 2014]



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, 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:

[[Page 189]]

    (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 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

[[Page 190]]

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
    (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,

[[Page 191]]

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 
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

[[Page 192]]

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 
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]

[[Page 193]]



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) 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.
    (d) No reply may be filed to an opposition to a motion.
    (e) Motions seeking an order that the allegations in the complaint 
be made more definite and certain are prohibited.
    (f) 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).

[79 FR 73845, Dec. 12, 2014]



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 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.

[[Page 194]]

    (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 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

[[Page 195]]

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]



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

[[Page 196]]

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.
    (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.

[[Page 197]]

    (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 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.

    (a) Any materials generated in the course of a formal complaint 
proceeding may be designated as proprietary by either party to the 
proceeding or a third 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 must:
    (1) Clearly mark 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 materials 
designated as proprietary fall under the standards for nondisclosure 
enunciated in the FOIA.
    (2) File with the Commission, using the Commission's Electronic 
Comment Filing System, a public version of the materials that redacts 
any proprietary information and clearly marks each page of the redacted 
public version with a header stating ``Public

[[Page 198]]

Version.'' The redacted document shall be machine-readable whenever 
technically possible. Where the document to be filed electronically 
contains metadata that is confidential or protected from disclosure by a 
legal privilege (including, for example, the attorney-client privilege), 
the filer may remove such metadata from the document before filing it 
electronically.
    (3) File with the Secretary's Office an unredacted hard copy version 
of the materials that contains the proprietary information and clearly 
marks each page of the unredacted confidential version with a header 
stating ``Confidential Version.'' The unredacted version must be filed 
on the same day as the redacted version.
    (4) Serve one hard copy of the filed unredacted materials and one 
hard copy of the filed redacted materials 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 email, together with a proof of such service in 
accordance with the requirements of Sec. Sec. 1.47(g) and 1.735(f)(1) 
through (3);
    (b) Except as provided in paragraph (c) of this section, 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) The Commission will entertain, subject to a proper showing under 
Sec. 0.459 of this chapter, a party's request to further restrict 
individuals' access to proprietary information. Pursuant to Sec. 0.459 
of this chapter, the other parties will have an opportunity to respond 
to such requests. Requests and responses to requests may not be 
submitted by means of the Commission's Electronic Comment Filing System 
but instead must be filed under seal with the Office of the Secretary.
    (d) The individuals identified above in paragraph (b)(1) through (3) 
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.
    (e) No copies of materials marked proprietary may be made except 
copies to be used by persons designated in paragraphs (b)(1) through (3) 
and (c) 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.
    (f) Upon termination of the 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 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.

[79 FR 73845, Dec. 12, 2014]



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 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,

[[Page 199]]

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) 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.
    (f) 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.
    (g) 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; 79 FR 73846, Dec. 12, 2014]



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;
    (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

[[Page 200]]

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 midnight, 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 filed using the 
Commission's Electronic Comment Filing System; or
    (2) Pursuant to the requirements of paragraph (e) of this section, 
submit to the Commission by midnight, 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;
    (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.

[[Page 201]]

    (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; 79 
FR 73846, Dec. 12, 2014]



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, email address, 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, in accordance with the requirements 
of Sec. 1.52, 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.

[53 FR 11855, Apr. 11, 1988. Redesignated at 58 FR 25573, Apr. 27, 1993, 
as amended at 63 FR 1040, Jan. 7, 1998; 79 FR 73846, Dec. 12, 2014]



Sec. 1.735  Fee remittance; electronic filing; 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

[[Page 202]]

of law or fact. Complaints may, however, be consolidated by the 
Commission for disposition.
    (b) The complainant shall remit separately the correct fee either by 
check, wire transfer, or electronically, in accordance with part 1, 
subpart G (see Sec. 1.1106 of this chapter) and, shall file an original 
copy of the complaint, using the Commission's Electronic Comment Filing 
System, and, on the same day:
    (1) 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, by email, a copy on the Chief, Policy Division, 
International Bureau; and
    (2) If a complaint is addressed against multiple defendants, pay a 
separate fee, in accordance with part 1, subpart G (see Sec. 1.1106), 
for each additional defendant.
    (c) 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.
    (d) Upon receipt of the complaint by the Commission, the Commission 
shall promptly send, by email, to each defendant named in the complaint, 
notice of the filing of the complaint. The Commission shall send, by 
email, to each defendant named in the complaint, a copy of the 
complaint. The Commission shall additionally send, by email, to all 
parties, a schedule detailing the date the answer and any other 
applicable pleading will be due and the date, time, and location of the 
initial status conference.
    (e) Parties shall provide hard copies of all submissions to staff in 
the Market Disputes Resolution Division of the Enforcement Bureau upon 
request.
    (f) All subsequent pleadings and briefs filed in any formal 
complaint proceeding, as well as all letters, documents, or other 
written submissions, shall be filed using the Commission's Electronic 
Comment Filing System. In addition, all 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 email, 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 p.m., 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 p.m., local time of 
the recipient, on a business day will be deemed served on the following 
business day;
    (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; or
    (3) Service by email that is fully transmitted to the office of the 
recipient by 5:30 p.m., local time of the recipient, on a business day 
will be deemed served that day. Service by email that is fully 
transmitted to the office of the recipient after 5:30 p.m., 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 Sec. 1.722 shall conform to the requirements set 
forth in this section, except that the complainant need not submit a 
filing fee, and the complainant may effect service pursuant to 
subsection (e) and (f) of this section rather than paragraph (c) of this 
section.

[79 FR 73846, Dec. 12, 2014]



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

[[Page 203]]

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]



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

[[Page 204]]

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]



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.

[[Page 205]]

    (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 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]

[[Page 206]]



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. These 
applications should 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 their 
respective ownership interests by segment in the cable;
    (8) For each applicant:
    (i) The place of organization and the information and certifications 
required in Sec. Sec. 63.18(h) and (o) of this chapter;
    (ii) A certification as to whether or not the applicant is, or is 
affiliated with, a foreign carrier, including an entity that owns or 
controls a cable landing station, in any foreign country. The 
certification shall state with specificity each such country;
    (iii) A certification as to whether or not the applicant seeks to 
land and operate a submarine cable connecting the United States to any 
country for which any of the following is true. The certification shall 
state with specificity the foreign carriers and each country:
    (A) The applicant is a foreign carrier in that country; or
    (B) The applicant controls a foreign carrier in that country; or
    (C) There exists any entity that owns more than 25 percent of the 
applicant, or controls the applicant, or controls a foreign carrier in 
that country.
    (D) Two or more foreign carriers (or parties that control foreign 
carriers) own, in the aggregate, more than 25 percent of the applicant 
and are parties to, or the beneficiaries of, a contractual relation 
(e.g., a joint venture or market alliance) affecting the provision or 
marketing of arrangements for the terms of acquisition, sale, lease, 
transfer and use of capacity on the cable in the United States; and
    (iv) For any country that the applicant has listed in response to 
paragraph (a)(8)(iii) of this section that is not a member of the World 
Trade Organization, a demonstration as to whether the foreign carrier 
lacks market power with reference to the criteria in Sec. 63.10(a) of 
this chapter.

    Note to paragraph (a)(8)(iv):
    Under Sec. 63.10(a) of this chapter, the Commission presumes, 
subject to rebuttal, that a foreign carrier lacks market power in a 
particular foreign country if the applicant demonstrates that the 
foreign carrier lacks 50 percent market share in international transport 
facilities or services, including cable landing station access and 
backhaul facilities, intercity facilities or services, and local

[[Page 207]]

access facilities or services on the foreign end of a particular route.

    (9) A certification that the applicant accepts and will abide by the 
routine conditions specified in paragraph (g) of this section; and
    (10) Any other information that may be necessary to enable the 
Commission to act on the application.

    Note to paragraph (a)(10):
    Applicants for cable landing licenses may be subject to the 
consistency certification requirements of the Coastal Zone Management 
Act (CZMA), 16 U.S.C. 1456, if they propose to conduct activities, in or 
outside of a coastal zone of a state with a federally-approved 
management plan, affecting any land or water use or natural resource of 
that state's coastal zone. Before filing their applications for a 
license to construct and operate a submarine cable system or to modify 
the construction of a previously approved submarine cable system, 
applicants must determine whether they are required to certify that 
their proposed activities will comply with the enforceable policies of a 
coastal state's approved management program. In order to make this 
determination, applicants should consult National Oceanic Atmospheric 
Administration (NOAA) regulations, 15 CFR part 930, Subpart D, and 
review the approved management programs of coastal states in the 
vicinity of the proposed landing station to verify that this type of 
application is not a listed federal license activity requiring review. 
After the application is filed, applicants should follow the procedures 
specified in 15 CFR 930.54 to determine whether any potentially affected 
state has sought or received NOAA approval to review the application as 
an unlisted activity. If it is determined that any certification is 
required, applicants shall consult the affected coastal state(s) (or 
designated state agency(ies)) in determining the contents of any 
required consistency certification(s). Applicants may also consult the 
Office of Ocean and Coastal Management (OCRM) within NOAA for guidance. 
The cable landing license application filed with the Commission shall 
include any consistency certification required by section 1456(c)(3)(A) 
for any affected coastal state(s) that lists this type of application in 
its NOAA-approved coastal management program and shall be updated 
pursuant to Sec. 1.65 of the Commission's rules, 47 CFR 1.65, to 
include any subsequently required consistency certification with respect 
to any state that has received NOAA approval to review the application 
as an unlisted federal license activity. Upon documentation from the 
applicant--or notification from each coastal state entitled to review 
the license application for consistency with a federally approved 
coastal management program--that the state has either concurred, or by 
its inaction, is conclusively presumed to have concurred with the 
applicant's consistency certification, the Commission may take action 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 must 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 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

[[Page 208]]

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 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.

[[Page 209]]

    (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 person or company that is the subject of 
a pro forma transfer of control of a cable landing license is not 
required to seek prior approval for the pro forma transaction. A pro 
forma assignee or person or company that is the subject of a pro forma 
transfer of control must notify the Commission no later than thirty (30) 
days after the assignment or transfer of control is consummated. The 
notification must certify that the assignment or transfer of control was 
pro forma, as defined in Sec. 63.24 of this chapter, and, together with 
all previous pro forma transactions, does not result in a change of the 
licensee's ultimate control. The licensee may file a single notification 
for an assignment or transfer of control of multiple licenses issued in 
the name of the licensee if each license is identified by the file 
number under which it was granted;
    (8) Unless the licensee has notified the Commission in the 
application of the precise locations at which the cable will land, as 
required by paragraph (a)(5) of this section, the licensee shall notify 
the Commission no later than ninety (90) days prior to commencing 
construction at that landing location. The Commission will give public 
notice of the filing of each description, and grant of the cable landing 
license will be considered final with respect to that landing location 
unless the 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;

[[Page 210]]

    (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 must notify the Commission within thirty (30) days 
of the date the cable is 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.
    (15) Licensees shall file submarine cable outage reports as required 
in 47 CFR part 4.
    (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 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 request streamlined processing in its application. 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, ATTN: GC/DO1, 6910 Cooper Avenue, Fort Meade, MD 20755-
7088, 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.
    (4) Certifying that for applications for a license to construct and 
operate a submarine cable system or to modify the construction of a 
previously approved submarine cable system the applicant is not required 
to submit a consistency certification to any state pursuant to section 
1456(c)(3)(A) of the

[[Page 211]]

Coastal Zone Management Act (CZMA), 16 U.S.C. 1456.

    Note to paragraph (k)(4):
    Streamlining of cable landing license applications will be limited 
to those applications where all potentially affected states, having 
constructive notice that the application was filed with the Commission, 
have waived, or are deemed to have waived, any section 1456(c)(3)(A) 
right to review the application within the thirty-day period prescribed 
by 15 CFR 930.54.

    (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, within 90 days from the end of each calendar 
quarter, a report of its active and idle 64 kbps or equivalent circuits 
by facility (terrestrial, satellite and submarine cable).
    (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.
    (n)(1) With the exception of submarine cable outage reports, and 
subject to the availability of electronic forms, all applications and 
notifications described in this section must be filed electronically 
through the International Bureau Filing System (IBFS). A list of forms 
that are available for electronic filing can be found on the IBFS 
homepage. For information on electronic filing requirements, see part 1, 
subpart Y, and the IBFS homepage at http://www.fcc.gov/ibfs. See also 
sections 63.20 and 63.53 of this chapter.
    (2) Submarine cable outage reports must be filed as set forth in 
part 4 of this Title.
    (o) Outage Reporting. Licensees of a cable landing license granted 
prior to March 15, 2002 shall file submarine cable outage reports as 
required in part 4 of this Title.

    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. The term ``country'' as used in this section refers to the 
foreign points identified in the U.S. Department of State list of 
Independent States of the World and its list of Dependencies and Areas 
of Special Sovereignty. See http://www.state.gov.

[28 FR 12450, Nov. 22, 1963, as amended at 52 FR 5289, Feb. 20, 1987; 61 
FR 15726, Apr. 9, 1996; 64 FR 19061, Apr. 19, 1999; 65 FR 51769, Aug. 
25, 2000; 65 FR 54799, Sept. 11, 2000; 67 FR 1619, Jan. 14, 2002; 69 FR 
40327, July 2, 2004; 70 FR 38796, July 6, 2005; 72 FR 54366, Sept. 25, 
2007; 75 FR 81490, Dec. 28, 2010; 76 FR 32867, June 7, 2011; 78 FR 
15623, Mar. 12, 2013; 79 FR 31876, June 3, 2014; 81 FR 52362, Aug. 8, 
2016]

[[Page 212]]


    Effective Date Note: At 81 FR 52362, Aug. 8, 2016, Sec. 1.767 was 
amended by adding paragraph (g)(15), revising paragraph (n), and adding 
paragraph (o). These paragraphs contain information collection and 
recordkeeping requirements and will not become effective until approval 
has been given by the Office of Management and Budget.



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:
    (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

[[Page 213]]

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 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, the authorized U.S. 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. Such a showing shall include a 
demonstration as to whether the foreign carrier lacks market power in 
the non-WTO destination market with reference to the criteria in Sec. 
63.10(a) of this chapter. In addition, upon request of the Commission, 
the licensee shall provide the information specified in

[[Page 214]]

Sec. 1.767(a)(8). If the licensee is unable to make the required 
showing or is notified by the Commission 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):
    Under Sec. 63.10(a) of this chapter, the Commission presumes, 
subject to rebuttal, that a foreign carrier lacks market power in a 
particular foreign country if the applicant demonstrates that the 
foreign carrier lacks 50 percent market share in international transport 
facilities or services, including cable landing station access and 
backhaul facilities, intercity facilities or services, and local access 
facilities or services on the foreign end of a particular route.

    (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 Commission 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.
    (j) Subject to the availability of electronic forms, all 
notifications described in this section must be filed electronically 
through the International Bureau Filing System (IBFS). A list of forms 
that are available for electronic filing can be found on the IBFS 
homepage. For information on electronic filing requirements, see part 1, 
Sec. Sec. 1.1000 through 1.10018 and the IBFS homepage at http://
www.fcc.gov/ibfs. See also Sec. Sec. 63.20 and 63.53.

    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, as amended at 70 FR 38797, July 6, 2005; 79 
FR 31877, June 3, 2014]

                                 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 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 petition may ask that it also be considered a formal 
complaint.

[[Page 215]]

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 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.

[[Page 216]]

    (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, 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 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

[[Page 217]]

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, 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; 71 FR 15618, Mar. 29, 2006; 74 FR 
68544, Dec. 28, 2009]



Sec. 1.774  [Reserved]



Sec. 1.776  Pricing flexibility limited grandfathering.

    Special access contract-based tariffs that were in effect on or 
before August 1, 2017 are grandfathered. Such contract-based tariffs may 
not be extended, renewed or revised, except that any extension or 
renewal expressly provided for by the contract-based tariff may be 
exercised pursuant to the terms thereof. During the period between 
August 1, 2017 and the deadline to institute mandatory detariffing under 
Sec. 61.201(b), upon mutual agreement, parties to a grandfathered 
contract-based tariff may replace it at any time with a new contract-
based tariff or with a new or amended contract that is not filed as a 
contract-based tariff.

[82 FR 25711, June 2, 2017]

    Effective Date Note: At 82 FR 25711, June 2, 2017, Sec. 1.776 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.

    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]

[[Page 218]]



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. 1.789  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]

    Effective Date Note: At 82 FR 20840, May 4, 2017, Sec. 1.791 was 
revised, effective Jan. 1, 2018. For the convenience of the user, the 
revised text is set forth as follows:



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 telephone 
companies in accordance with and subject to the provisions of part 32 of 
this chapter.



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 on an 
experimental basis for a temporary period.

                          Miscellaneous Reports



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) [Reserved]
    (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; 69 FR 72026, Dec. 10, 2004]

[[Page 219]]

                       Grants by Random Selection



     Subpart F_Wireless Radio Services Applications and Proceedings

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

                           Scope and Authority



Sec. 1.901  Basis and purpose.

    The rules in this subpart are issued pursuant to the Communications 
Act of 1934, as amended, 47 U.S.C. 151 et seq. The purpose of the rules 
in this subpart 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, 96, 97 and 101 of this chapter.

[80 FR 36218, June 23, 2015]



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, 96, 97, and 101 of title 47, chapter I of the Code of Federal 
Regulations, the rules in part 1 shall govern.

[80 FR 36218, June 23, 2015]



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, 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. 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, as amended at 70 FR 19305, Apr. 13, 2005]



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

[[Page 220]]

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 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, 96, 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 U.S. Bank. 
Amendments to pending applications may result in the assignment of a new 
receipt date in accordance with Sec. 1.927 of this part.
    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 to a spectrum lessee, as set forth in subpart 
X of this part (47 CFR 1.9001 et seq.). Spectrum leasing arrangement is 
defined in Sec. 1.9003.
    Spectrum lessee. Any third party entity that leases, pursuant to the 
spectrum leasing rules set forth in subpart X of this part (47 CFR 
1.9001 et seq.), certain spectrum usage rights held by a licensee. 
Spectrum lessee is defined in Sec. 1.9003.
    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, 30, 74, 80, 87, 90, 95, 96, 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, 27, and 30 of this chapter. In 
addition, Wireless Telecommunications Services include Public Coast 
Stations authorized by part 80 of this chapter,

[[Page 221]]

Commercial Mobile Radio Services authorized by part 90 of this chapter, 
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, and Citizens Broadband Radio Services authorized by part 
96 of this chapter.

[63 FR 68921, Dec. 14, 1998, as amended at 73 FR 9018, Feb. 19, 2008; 78 
FR 41321, July 10, 2013; 80 FR 36218, June 23, 2015; 81 FR 79930, Nov. 
14, 2016]

    Effective Date Note: At 82 FR 41544, Sept. 1, 2017, Sec. 1.907 was 
amended by adding the definitions of ``Covered Geographic Licenses'' and 
``Covered Site-based Licenses'', effective Oct. 2, 2017. For the 
convenience of the user, the added text is set forth as follows:



Sec. 1.907  Definitions.

                                * * * * *

    Covered Geographic Licenses. Covered geographic licenses consist of 
the following services: 1.4 GHz Service (part 27, subpart I of this 
chapter); 1.6 GHz Service (part 27, subpart J); 24 GHz Service and 
Digital Electronic Message Services (part 101, subpart G); 218-219 MHz 
Service (part 95, subpart F); 220-222 MHz Service, excluding public 
safety licenses (part 90, subpart T); 600 MHz Service (part 27, subpart 
N); 700 MHz Commercial Services (part 27, subparts F and H); 700 MHz 
Guard Band Service (part 27, subpart G); 800 MHz Specialized Mobile 
Radio Service (part 90, subpart S); 900 MHz Specialized Mobile Radio 
Service (part 90, subpart S); Advanced Wireless Services (part 27, 
subparts K and L); Air-Ground Radiotelephone Service (Commercial 
Aviation) (part 22, subpart G); Broadband Personal Communications 
Service (part 24, subpart E); Broadband Radio Service (part 27, subpart 
M); Cellular Radiotelephone Service (part 22, subpart H); Dedicated 
Short Range Communications Service, excluding public safety licenses 
(part 90, subpart M); H Block Service (part 27, subpart K); Local 
Multipoint Distribution Service (part 101, subpart L); Multichannel 
Video Distribution and Data Service (part 101, subpart P); 
Multilateration Location and Monitoring Service (part 90, subpart M); 
Multiple Address Systems (EAs) (part 101, subpart O); Narrowband 
Personal Communications Service (part 24, subpart D); Paging and 
Radiotelephone Service (part 22, subpart E; part 90, subpart P); VHF 
Public Coast Stations, including Automated Maritime Telecommunications 
Systems (part 80, subpart J); Upper Microwave Flexible Use Service (part 
30); and Wireless Communications Service (part 27, subpart D).
    Covered Site-based Licenses. Covered site-based licenses consist of 
the following services: 220-222 MHz Service (site-based), excluding 
public safety licenses (part 90, subpart T of this chapter); 800/900 MHz 
(SMR and Business and Industrial Land Transportation Pool) (part 90, 
subpart S); Aeronautical Advisory Stations (Unicoms) (part 87, subpart 
G); Air-Ground Radiotelephone Service (General Aviation) (part 22, 
subpart G); Alaska-Public Fixed Stations (part 80, subpart O); Broadcast 
Auxiliary Service (part 74, subparts D, E, F, and H); Common Carrier 
Fixed Point-to-Point, Microwave Service (part 101, subpart I); 
Industrial/Business Radio Pool (part 90, subpart C); Local Television 
Transmission Service (part 101, subpart J); Multiple Address Systems 
(site-based), excluding public safety licenses (part 101, subpart H); 
Non-Multilateration Location and Monitoring Service (part 90, subpart 
M); Offshore Radiotelephone Service (part 22, subpart I); Paging and 
Radiotelephone Service (site-based) (part 22, subpart E); Private 
Carrier Paging (part 90, subpart P); Private Operational Fixed Point-to-
Point Microwave Service, excluding public safety licenses (part 101, 
subpart H); Public Coast Stations (site-based) (part 80, subpart J); 
Radiodetermination Service Stations (Radionavigation Land Stations) 
(part 87, subpart Q); Radiolocation Service (part 90, subpart F); and 
Rural Radiotelephone Service (including Basic Exchange Telephone Radio 
Service) (part 22, subpart F).

                                * * * * *

                 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

[[Page 222]]

lessees (see Sec. 1.9003) 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 are used to apply 
for initial authorizations, modifications to existing authorizations, 
amendments to pending applications, renewals of station authorizations, 
special temporary authority, notifications, requests for extension of 
time, and administrative updates.
    (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. 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.
    (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.
    (5) FCC Form 608, Notification or Application for Spectrum Leasing 
Arrangement. FCC Form 608 is used by licensees and spectrum lessees (see 
Sec. 1.9003) to notify the Commission regarding spectrum manager 
leasing arrangements and to apply for Commission consent for de facto 
transfer leasing arrangements pursuant to the rules set forth in part 1, 
subpart X. It is also used to notify the Commission if a licensee or 
spectrum lessee establishes a private commons (see Sec. 1.9080).
    (6) FCC Form 609, Application to Report Eligibility Event. FCC Form 
609 is used by licensees to apply for Commission approval of reportable 
eligibility events, as defined in Sec. 1.2114.
    (b) Electronic filing. Except as specified in paragraph (d) of this 
section or elsewhere in this chapter, all applications and other filings 
using the application and notification forms listed in this section 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 paragraph 
is effective on July 1, 1999, or six months after the Commission begins 
use of ULS to process applications in the service, whichever is later. 
The Commission will announce by public notice the deployment date of 
each service in ULS.
    (1) Attachments to applications and notifications should be uploaded 
along with the electronically filed 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, 605, and 608 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;

[[Page 223]]

    (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 (individual applicants only; 
commercial operator license examination managers must file 
electronically, see Sec. 13.13(c) of this part); 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 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

[[Page 224]]

code reflective of the type of service the applicant intends to provide.

[63 FR 68922, Dec. 14, 1998, as amended at 66 FR 55, Jan. 2, 2001; 67 FR 
34851, May 16, 2002; 68 FR 42995, July 21, 2003; 68 FR 66276, Nov. 25, 
2003; 69 FR 77549, Dec. 27, 2004; 71 FR 26251, May 4, 2006; 78 FR 23152, 
Apr. 18, 2013; 78 FR 25160, Apr. 29, 2013]

    Effective Date Notes: 1. At 69 FR 77549, Dec. 27, 2004, Sec. 
1.913(a)(5) 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.
    2. At 78 FR 23152, Apr. 18, 2013, Sec. 1.913(d)(1)(vi) was revised. 
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.



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 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

[[Page 225]]

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 reporting 
requirements of Sec. 1.2112 or Sec. 1.2114 shall file an FCC Form 602, 
or file an updated form if the ownership information on a previously 
filed FCC Form 602 is not current, at the time it submits:
    (1) An initial application for 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).
    (5) An application reporting any reportable eligibility event, as 
defined in Sec. 1.2114.
    (c) [Reserved]
    (d) 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.
    (e) No filing fee is required to submit or update FCC Form 602.
    (f) Applicants or licensees in Wireless Radio Services that are not 
subject to the ownership reporting requirements of 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; 
69 FR 75170, Dec. 15, 2004; 71 FR 26251, May 4, 2006; 79 FR 72150, Dec. 
5, 2014]



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

[[Page 226]]

    (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 Structure Registration Number(s) of each 
structure for which registration is required. To facilitate frequency 
coordination or for other purposes, the Bureau shall accept for filing 
an application that does not contain the FCC Antenna Structure 
Registration Number so long as;
    (1) The antenna structure owner has filed an antenna structure 
registration application (FCC Form 854);
    (2) The antenna structure owner has provided local notice and the 
Commission has posted notification of the proposed construction on its 
Web site pursuant to Sec. 17.4(c)(3) and (4) of this chapter; and
    (3) The antenna structure owner has obtained a Determination of No 
Hazard to Aircraft Navigation from the Federal Aviation Administration. 
In such instances, the applicant shall provide the FCC Form 854 File 
Number on its application. Once the antenna structure owner has obtained 
the Antenna Structure Registration Number, the applicant shall amend its 
application to provide the Antenna Structure Registration Number, and 
the Commission shall not grant the application before the Antenna 
Structure Registration Number has been provided. If registration is not 
required, the applicant must provide information in its application 
sufficient for the Commission to verify this fact.
    (e) Environmental concerns. (1) Environmental processing shall be 
completed pursuant to the process set forth in Sec. 17.4(c) of this 
chapter for any facilities that use one or more new or existing antenna 
structures for which a new or amended registration is required by part 
17 of this chapter. Environmental review by the Commission must be 
completed prior to construction.
    (2) For applications that propose any facilities that are not 
subject to the process set forth in Sec. 17.4(c) of this chapter, the 
applicant is required to indicate at the time its application is filed 
whether or not a Commission grant of the application for those 
facilities may have a significant environmental effect as defined by 
Sec. 1.1307. If the applicant answers affirmatively, 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.
    (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

[[Page 227]]

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; 77 
FR 3952, Jan. 26, 2012]



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 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

[[Page 228]]

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 Manager, Department of Commerce, 325 Broadway, Boulder, CO 
80305; Telephone: 303-497-4619, Fax: 303-497-6982, E-mail: 
[email protected], 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 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

[[Page 229]]

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, HC3 Box 53995, Arecibo, Puerto Rico 00612, 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), 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

[[Page 230]]

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) 420-450 MHz band. Applicants for pulse-ranging radiolocation 
systems operating in the 420-450 MHz band along the shoreline of the 
conterminous United States and Alaska, and for spread spectrum 
radiolocation systems operating in the 420-435 MHz sub-band within the 
conterminous United States and Alaska, should not expect to be 
accommodated if their area of service is within:
    (1) Arizona, Florida, or New Mexico;
    (2) Those portions of California and Nevada that are south of 
latitude 37[deg]10[min] N.;
    (3) That portion of Texas that is west of longitude 104[deg] W.; or
    (4) The following circular areas:
    (i) 322 kilometers (km) of 30[deg]30[min] N., 86[deg]30[min] W.
    (ii) 322 km of 28[deg]21[min] N., 80[deg]43[min] W.
    (iii) 322 km of 34[deg]09[min] N., 119[deg]11[min] W.
    (iv) 240 km of 39[deg]08[min] N., 121[deg]26[min] W.
    (v) 200 km of 31[deg]25[min] N., 100[deg]24[min] W.
    (vi) 200 km of 32[deg]38[min] N., 83[deg]35[min] W.
    (vii) 160 km of 64[deg]17[min] N., 149[deg]10[min] W.
    (viii) 160 km of 48[deg]43[min] N., 97[deg]54[min] W.
    (ix) 160 km of 41[deg]45[min] N., 70[deg]32[min] W.
    (f) 17.7-19.7 GHz band. The following exclusion areas and 
coordination areas are established to minimize or avoid harmful 
interference to Federal Government earth stations receiving in the 17.7-
19.7 GHz band:
    (1) No application seeking authority for fixed stations, under parts 
74, 78, or 101 of this chapter, supporting the operations of 
Multichannel Video Programming Distributors (MVPD) in the 17.7-17.8 GHz 
band or to operate in the 17.8-19.7 GHz band for any service will be 
accepted for filing if the proposed station is located within 20 km (or 
within 55 km if the modification application is for an outdoor low power 
operation pursuant to Sec. 101.147(r)(14) of this chapter) of Denver, 
CO (39[deg]43[min] N., 104[deg]46[min] W.) or Washington, DC 
(38[deg]48[min] N., 76[deg]52[min] W.).
    (2) Any application for a new station license to provide MVPD 
operations in the 17.7-17.8 GHz band or to operate in the 17.8-19.7 GHz 
band for any service, or for modification of an existing station license 
in these bands 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 
following areas:
    (i) Denver, CO area:
    (A) Between latitudes 41[deg]30[min] N. and 38[deg]30[min] N. and 
between longitudes 103[deg]10[min] W. and 106[deg]30[min] W.
    (B) Between latitudes 38[deg]30[min] N. and 37[deg]30[min] N. and 
between longitudes 105[deg]00[min] W. and 105[deg]50[min] W.
    (C) Between latitudes 40[deg]08[min] N. and 39[deg]56[min] N. and 
between longitudes 107[deg]00[min] W. and 107[deg]15[min] W.
    (ii) Washington, DC area:
    (A) Between latitudes 38[deg]40[min] N. and 38[deg]10[min] N. and 
between longitudes 78[deg]50[min] W. and 79[deg]20[min] W.

[[Page 231]]

    (B) Within 178 km of 38[deg]48[min] N., 76[deg]52[min] W.
    (iii) San Miguel, CA area:
    (A) Between latitudes 34[deg]39[min] N. and 34[deg]00[min] N. and 
between longitudes 118[deg]52[min] W. and 119[deg]24[min] W.
    (B) Within 200 km of 35[deg]44[min] N., 120[deg]45[min] W.
    (iv) Guam area: Within 100 km of 13[deg]35[min] N., 144[deg]51[min] 
E.
    Note to Sec. 1.924(f): The coordinates cited in this section are 
specified in terms of the ``North American Datum of 1983 (NAD 83).''
    (g) GOES. The requirements of this paragraph are intended to 
minimize harmful interference to Geostationary Operational Environmental 
Satellite earth stations receiving in the band 1670-1675 MHz, which are 
located at Wallops Island, Virginia; Fairbanks, Alaska; and Greenbelt, 
Maryland.
    (1) Applicants and licensees planning to construct and operate a new 
or modified station within the area bounded by a circle with a radius of 
100 kilometers (62.1 miles) that is centered on 37[deg]56[min]44[sec] N, 
75[deg]27[min]37[sec] W (Wallops Island) or 64[deg]58[min]22[sec] N, 
147[deg]30[min]04[sec] W (Fairbanks) or within the area bounded by a 
circle with a radius of 65 kilometers (40.4 miles) that is centered on 
39[deg]00[min]02[sec] N, 76[deg]50[min]29[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; 70 FR 31372, June 1, 2005; 71 FR 
69046, Nov. 29, 2006; 73 FR 25420, May 6, 2008; 75 FR 62932, Oct. 13, 
2010; 80 FR 38823, July 7, 2015]



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 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

[[Page 232]]

    (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(i)(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) 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; 70 
FR 61058, Oct. 20, 2005]



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

[[Page 233]]

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. 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

[[Page 234]]

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 may have a significant environmental effect as defined in Sec. 
1.1307, unless the facility has been determined not to have a 
significant environmental effect through the process set forth in Sec. 
17.4(c) of this chapter.
    (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 addition to those changes listed in paragraph (a) of this 
section, the following are major changes in the Cellular Radiotelephone 
Service:
    (1) Application requesting authorization to expand the Cellular 
Geographic Service Area (CGSA) of an existing Cellular system or, in the 
case of an amendment, as previously proposed in an application to expand 
the CGSA; or
    (2) Application or amendment requesting that a CGSA boundary or 
portion of a CGSA boundary be determined using an alternative method.
    (3) [Reserved]
    (c) In addition to those changes listed in paragraph (a) in this 
section, the following are major changes applicable to 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

[[Page 235]]

broadcast auxiliary service, and GMRS systems licensed to non-
individuals;
    (i) Change in frequency or modification of channel pairs, except the 
deletion of one or more frequencies from an authorization;
    (ii) Change in the type of emission;
    (iii) Change in effective radiated power from that authorized or, 
for GMRS systems licensed to non-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, except for deletions of one or more such stations 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) 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:

[[Page 236]]

    (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; 70 FR 19306, Apr. 13, 2005; 70 FR 61058, Oct. 
20, 2005; 76 FR 70909, Nov. 16, 2011; 77 FR 3952, Jan. 26, 2012; 79 FR 
72150, Dec. 5, 2014]



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.

[[Page 237]]

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 for operation of a station used in a Contraband Interdiction System, 
as defined in Sec. 1.9003, will be afforded expedited consideration if 
filed at least one day 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;
    (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; or
    (v) The STA is for operation of a station used in a Contraband 
Interdiction System, as defined in Sec. 1.9003.
    (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 operation of a new station or operation of a 
licensed station in a manner which is beyond the scope of that 
authorized by the existing license. See Sec. Sec. 1.933(d)(6) and 
1.939. 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.
    (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,

[[Page 238]]

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, as amended at 76 FR 70909, Nov. 16, 2011; 
82 FR 22759, May 18, 2017]



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.

[[Page 239]]

    (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.
    (8) Broadband Radio Service; and
    (9) Educational Broadband Service.
    (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, as amended at 69 FR 72026, Dec. 10, 2004]



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 
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.

[[Page 240]]

    (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.
    (5) It requests a vanity call sign and the applicant has pending 
another vanity call sign application with the same receipt date.
    (e) Dismissal because spectrum not available. The Commission may 
dismiss applications that request spectrum which is unavailable because:
    (1) It is not allocated for assignment in the specific service 
requested;
    (2) It was previously assigned to 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 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.
    (g) Dismissal for failure to pursue environmental review. The 
Commission may dismiss license applications (FCC Form

[[Page 241]]

601) associated with proposed antenna structure(s) subject to Sec. 
17.4(c) of this chapter, if pending more than 60 days and awaiting 
submission of an Environmental Assessment or other environmental 
information from the applicant, unless the applicant has provided an 
affirmative statement reflecting active pursuit during the previous 60 
days of environmental review for the proposed antenna structure(s). To 
avoid potential dismissal of its license application, the license 
applicant must provide updates every 60 days unless or until the 
applicant has submitted the material requested by the Bureau.

[63 FR 68930, Dec. 14, 1998, as amended at 66 FR 47895, Sept. 14, 2001; 
71 FR 66461, Nov. 15, 2006; 77 FR 3952, Jan. 26, 2012]

    Effective Date Note: At 82 FR 41545, Sept. 1, 2017, Sec. 1.934 was 
amended by revising paragraphs (a)(1)(ii); removing paragraph (a)(3); 
and revising paragraphs (b) and (c), effective Oct. 2, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 1.934  Defective applications and dismissal.

                                * * * * *

    (a) * * *
    (1) * * *
    (ii) If the applicant requests dismissal of its application without 
prejudice, the Commission will dismiss that application without 
prejudice, unless it is an application for which the applicant submitted 
the winning bid in a competitive bidding process.

                                * * * * *

    (b) Dismissal of mutually exclusive applications not granted. The 
Commission may dismiss mutually exclusive applications for which the 
applicant did not submit the winning bid in a competitive bidding 
process.
    (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 may be with prejudice in cases of non-compliance with Sec. 
1.945. The Commission may dismiss applications with prejudice for 
failure of the applicant to comply with requirements related to a 
competitive bidding process.

                                * * * * *



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.

[[Page 242]]

    (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 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

[[Page 243]]

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 12th Street, SW., 
Washington, DC 20554. Attachments to manually filed applications may be 
filed on a standard 3\1/4\ magnetic diskette formatted to be 
readable by high density floppy drives operating under MS-DOS (version 
3.X or later compatible versions). Each diskette submitted must contain 
an ASCII text file listing each filename and a brief description of the 
contents of each file on the diskette. The files on the diskette, other 
than the table of contents, should be in Adobe Acrobat Portable Document 
Format (PDF) whenever possible. Petitions to deny and related pleadings 
must reference the file number of the pending 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; 70 
FR 61058, Oct. 20, 2005; 71 FR 15619, Mar. 29, 2006; 74 FR 68544, Dec. 
28, 2009]

[[Page 244]]



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., 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]

[[Page 245]]



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 (in 
whole or in part as set forth in the service rules), 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 services obligations within the coverage period 
must notify the Commission by filing FCC Form 601. The notification must 
be filed within 15 days of the expiration of the applicable construction 
or coverage period. Where the authorization is site-specific, if service 
or operations have begun using some, but not all, of the authorized 
transmitters, the notification must show to which specific transmitters 
it applies.
    (e) Requests for extension of time. 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, as amended at 69 FR 46397, Aug. 3, 2004; 71 
FR 52749, Sept. 7, 2006; 72 FR 48842, Aug. 24, 2007]



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

[[Page 246]]

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]



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, 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

[[Page 247]]

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 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) Processing of applications. Applications for assignment of 
authorization or transfer of control relating to the Wireless Radio 
Services will be processed pursuant either to general approval 
procedures or the immediate approval procedures, as discussed herein.
    (1) General approval procedures. Applications will be processed 
pursuant to

[[Page 248]]

the general approval procedures set forth in this paragraph unless they 
are submitted and qualify for the immediate approval procedures set 
forth in paragraph (j)(2) of this section.
    (i) To be accepted for filing under these general approval 
procedures, the application must be sufficiently complete and contain 
all necessary information and certifications requested on the applicable 
form, FCC Form 603, including any information and certifications 
(including those of the proposed assignee or transferee relating to 
eligibility, basic qualifications, and foreign ownership) required by 
the rules of this chapter and any rules pertaining to the specific 
service for which the application is filed, and must include payment of 
the required application fee(s) (see Sec. 1.1102).
    (ii) Once accepted for filing, the application 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).
    (iii) 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.
    (iv) No later than 21 days following the date of the public notice 
listing an application as accepted for filing, the Wireless 
Telecommunications Bureau (Bureau) will affirmatively consent to the 
application, deny the application, or determine to subject the 
application to further review. For applications for which no prior 
public notice is required, the Bureau will affirmatively consent to the 
application, deny the application, or determine to subject the 
application to further review no later than 21 days following the date 
on which the application has been filed, if filed electronically, and 
any required application fee has been paid (see Sec. 1.1102); if filed 
manually, the Bureau will affirmatively consent to the application, deny 
the application, or determine to subject the application to further 
review no later than 21 days after the necessary data in the manually 
filed application is entered into ULS.
    (v) If the Bureau determines to subject the application to further 
review, it will issue a public notice so indicating. Within 90 days 
following 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) Grant of consent to the application will be reflected in a 
public notice (see Sec. 1.933(a)) promptly issued after the grant.
    (viii) If any petition to deny is filed, and the Bureau grants the 
application, the Bureau will deny the petition(s) and issue a concise 
statement of the reason(s) for denial, disposing of all substantive 
issues raised in the petition(s).
    (2) Immediate approval procedures. Applications that meet the 
requirements of paragraph (j)(2)(i) of this section qualify for the 
immediate approval procedures.
    (i) To qualify for the immediate approval procedures, the 
application must be sufficiently complete, contain all necessary 
information and certifications (including those relating to eligibility, 
basic qualifications, and foreign ownership), and include payment of the 
requisite application fee(s), as required for an application processed 
under the general approval procedures set forth in paragraph (j)(1) of 
this section, and also must establish, through certifications, that the 
following additional qualifications are met:
    (A) The license does not involve spectrum licensed in a Wireless 
Radio Service that may be used to provide interconnected mobile voice 
and/or data services under the applicable service rules and that would, 
if assigned or transferred, create a geographic overlap with spectrum in 
any licensed Wireless Radio Service (including the same service) in 
which the proposed assignee or transferee already holds a direct or 
indirect interest of 10% or more (see Sec. 1.2112), either as a 
licensee or a spectrum lessee, and that could be used by the assignee or 
transferee to provide interconnected mobile voice and/or data services;

[[Page 249]]

    (B) The licensee is not a designated entity or entrepreneur subject 
to unjust enrichment requirements and/or transfer restrictions under 
applicable Commission rules (see Sec. Sec. 1.2110 and 1.2111, and 
Sec. Sec. 24.709, 24.714, and 24.839 of this chapter); and,
    (C) The assignment or transfer of control does not require a waiver 
of, or declaratory ruling pertaining to, any applicable Commission 
rules, and there is no pending issue as to whether the license is 
subject to revocation, cancellation, or termination by the Commission.
    (ii) Provided that the application establishes that it meets all of 
the requisite elements to qualify for these immediate approval 
procedures, consent to the assignment or transfer of control will be 
reflected in ULS. If the application is filed electronically, consent 
will be reflected in ULS on the next business day after the filing of 
the application; if filed manually, consent will be reflected in ULS on 
the next business day after the necessary data in the manually filed 
application is entered into ULS. Consent to the application is not 
deemed granted until the Bureau affirmatively acts upon the application.
    (iii) Grant of consent to the application under these immediate 
approval procedures will be reflected in a public notice (see Sec. 
1.933(a)) promptly issued after the grant, and is subject to 
reconsideration (see Sec. Sec. 1.106(f), 1.108, 1.113).

[63 FR 68933, Dec. 14, 1998, as amended at 64 FR 62120, Nov. 16, 1999; 
68 FR 42995, July 21, 2003; 68 FR 66276, Nov. 25, 2003; 69 FR 77549, 
Dec. 27, 2004; 69 FR 77944, Dec. 29, 2004; 76 FR 17349, Mar. 29, 2011; 
81 FR 90745, Dec. 15, 2015]

    Effective Date Note: At 69 FR 77549, Dec. 27, 2004, Sec. 
1.948(j)(2) was revised. 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.



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, as amended at 78 FR 8265, Feb. 5, 2013; 79 
FR 32404, June 4, 2014]

    Effective Date Note: At 82 FR 41545, Sept. 1, 2017 Sec. 1.949 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. 1.949  Application for renewal of authorization.

    (a) Filing requirements. Applications for renewal of authorizations 
in the Wireless Radio Services must be filed no later than the 
expiration date of the authorization, and no sooner than 90 days prior 
to the expiration date. 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.
    (b) Common expiration date. Licensees with multiple authorizations 
in the same service may request a common date on which such 
authorizations expire for renewal purposes. License terms may be 
shortened by up to one year but will not be extended.
    (c) Implementation. Covered Site-based Licenses, except Common 
Carrier Fixed Point-to-Point Microwave Service (part 101, subpart I of 
this chapter), and Covered Geographic Licenses in the 600 MHz Service 
(part 27, subpart N); 700 MHz Commercial Services (part 27, subpart F); 
Advanced Wireless Services (part 27, subpart L) (AWS-3 (1695-1710 MHz, 
1755-1780 MHz, and 2155-2180 MHz) and AWS-4 (2000-2020 MHz and 2180-2200 
MHz) only); and H Block Service (part 27, subpart K) must comply with 
paragraphs (d) through (h) of this section. All other Covered Geographic 
Licenses must comply with paragraphs (d) through (h) of this section 
beginning on January 1, 2023. Common Carrier Fixed Point-to-Point 
Microwave Service (part 101, subpart I) must comply with paragraphs (d) 
through (h) of this section beginning on October 1, 2018.
    (d) Renewal Standard. An applicant for renewal of an authorization 
of a Covered Site-

[[Page 250]]

based License or a Covered Geographic License must demonstrate that over 
the course of the license term, the licensee(s) provided and continue to 
provide service to the public, or operated and continue to operate the 
license to meet the licensee(s)' private, internal communications needs.
    (e) Safe harbors. An applicant for renewal will meet the Renewal 
Standard if it can certify that it has satisfied the requirements of one 
of the following safe harbors:
    (1) Covered Site-based Licenses. (i) The applicant must certify that 
it is continuing to operate consistent with its most recently filed 
construction notification (or most recent authorization, when no 
construction notification is required).
    (ii) The applicant must certify that no permanent discontinuance of 
service occurred during the license term. This safe harbor may be used 
by any Covered Site-based License.
    (2) Geographic licenses--commercial service. (i) For an applicant in 
its initial license term with an interim performance requirement, the 
applicant must certify that it has met its interim performance 
requirement and that over the portion of the license term following the 
interim performance requirement, the applicant continues to use its 
facilities to provide at least the level of service required by its 
interim performance requirement; and the licensee has met its final 
performance requirement and continues to use its facilities to provide 
at least the level of service required by its final performance 
requirement through the end of the license term. For an applicant in its 
initial license term with no interim performance requirement, the 
applicant must certify that it has met its final performance requirement 
and continues to use its facilities to provide at least the level of 
service required by its final performance requirement through the end of 
the license term. For an applicant in any subsequent license term, the 
applicant must certify that it continues to use its facilities to 
provide at least the level of service required by its final performance 
requirement through the end of any subsequent license terms.
    (ii) The applicant must certify that no permanent discontinuance of 
service occurred during the license term. This safe harbor may be used 
by any Covered Geographic License.
    (3) Geographic licenses--private systems. (i) For an applicant in 
its initial license term with an interim performance requirement, the 
applicant must certify that it has met its interim performance 
requirement and that over the portion of the license term following the 
interim performance requirement, the applicant continues to use its 
facilities to further the applicant's private business or public 
interest/public safety needs at or above the level required to meet its 
interim performance requirement; and the applicant has met its final 
performance requirement and continues to use its facilities to provide 
at least the level of operation required by its final performance 
requirement through the end of the license term. For an applicant in its 
initial license term with no interim performance requirement, the 
applicant must certify that it has met its final performance requirement 
and continues to use its facilities to provide at least the level of 
operation required by its final performance requirement through the end 
of the license term. For an applicant in any subsequent license term, 
the applicant must certify that it continues to use its facilities to 
further the applicant's private business or public interest/public 
safety needs at or above the level required to meet its final 
performance requirement.
    (ii) The applicant must certify that no permanent discontinuance of 
operation occurred during the license term. This safe harbor may be used 
by any Covered Geographic License.
    (4) Partitioned or disaggregated license without a performance 
requirement. (i) The applicant must certify that it continues to use its 
facilities to provide service or to further the applicant's private 
business or public interest/public safety needs.
    (ii) The applicant must certify that no permanent discontinuance of 
service occurred during the license term. This safe harbor may be used 
by any Covered Geographic License.
    (f) Renewal Showing. If an applicant for renewal cannot meet the 
Renewal Standard in paragraph (d) of this section by satisfying the 
requirements of one of the safe harbors in paragraph (e) of this 
section, it must make a Renewal Showing, independent of its performance 
requirements, as a condition of renewal. The Renewal Showing must 
specifically address the Renewal Standard by including a detailed 
description of the applicant's provision of service (or, when allowed 
under the relevant service rules or pursuant to waiver, use of the 
spectrum for private, internal communication) during the entire license 
period and address, as applicable:
    (1) The level and quality of service provided by the applicant 
(e.g., the population served, the area served, the number of 
subscribers, the services offered);
    (2) The date service commenced, whether service was ever 
interrupted, and the duration of any interruption or outage;
    (3) The extent to which service is provided to rural areas;
    (4) The extent to which service is provided to qualifying tribal 
land as defined in Sec. 1.2110(e)(3)(i) of this chapter; and
    (5) Any other factors associated with the level of service to the 
public.
    (g) Regulatory Compliance Certification. An applicant for renewal of 
an authorization in

[[Page 251]]

the Wireless Radio Services identified in paragraph (d) of this section 
must make a Regulatory Compliance Certification certifying that it has 
substantially complied with all applicable FCC rules, policies, and the 
Communications Act of 1934, as amended.
    (h) Consequences of denial. If the Commission, or the Wireless 
Telecommunications Bureau acting under delegated authority, finds that a 
licensee has not met the Renewal Standard under paragraph (d) of this 
section, or that its Regulatory Compliance Certification under paragraph 
(g) of this section is insufficient, its renewal application will be 
denied, and its licensed spectrum will return automatically to the 
Commission for reassignment (by auction or other mechanism). In the case 
of certain services licensed site-by-site, the spectrum will revert 
automatically to the holder of the related overlay geographic-area 
license. To the extent that an AWS-4 licensee also holds the 2 GHz 
Mobile Satellite Service (MSS) rights for the affected license area, the 
MSS protection rule in Sec. 27.1136 of this chapter will no longer 
apply in that license area.



Sec. 1.950  Geographic partitioning and spectrum disaggregation.

    (a) Definitions. The terms ``county and county equivalent,'' 
``geographic partitioning,'' and ``spectrum disaggregation'' as used in 
this section are defined as follows:
    (1) County and county equivalent. The terms county and county 
equivalent as used in this part are defined by Federal Information 
Processing Standards (FIPS) 6-4, which provides the names and codes that 
represent the counties and other entities treated as equivalent legal 
and/or statistical subdivisions of the 50 States, the District of 
Columbia, and the possessions and freely associated areas of the United 
States. Counties are the ``first-order subdivisions'' of each State and 
statistically equivalent entity, regardless of their local designations 
(county, parish, borough, etc.). Thus, the following entities are 
equivalent to counties for legal and/or statistical purposes: The 
parishes of Louisiana; the boroughs and census areas of Alaska; the 
District of Columbia; the independent cities of Maryland, Missouri, 
Nevada, and Virginia; that part of Yellowstone National Park in Montana; 
and various entities in the possessions and associated areas. The FIPS 
codes and FIPS code documentation are available online at http://
www.itl.nist.gov/fipspubs/index.htm.
    (2) Geographic partitioning. Geographic partitioning is the 
assignment of a geographic portion of a geographic area licensee's 
license area.
    (3) Spectrum disaggregation. Spectrum disaggregation is the 
assignment of portions of blocks of a geographic area licensee's 
spectrum.
    (b) Eligibility. Covered Geographic Licenses are eligible for 
geographic partitioning and spectrum disaggregation.
    (1) Geographic partitioning. An eligible licensee may partition any 
geographic portion of its license area, at any time following grant of 
its license, subject to the following exceptions:
    (i) 220 MHz Service licensees must comply with Sec. 90.1019 of this 
chapter.
    (ii) Cellular Radiotelephone Service licensees must comply with 
Sec. 22.948 of this chapter.
    (iii) Multichannel Video & Distribution and Data Service licensees 
are only permitted to partition licensed geographic areas along county 
borders (Parishes in Louisiana or Territories in Alaska).
    (2) Spectrum disaggregation. An eligible licensee may disaggregate 
spectrum in any amount, at any time following grant of its license to 
eligible entities, subject to the following exceptions:
    (i) 220 MHz Service licensees must comply with Sec. 90.1019 of this 
chapter.
    (ii) Cellular Radiotelephone Service licensees must comply with 
Sec. 22.948 of this chapter.
    (iii) VHF Public Coast (156-162 MHz) spectrum may only be 
disaggregated in frequency pairs, except that the ship and coast 
transmit frequencies comprising Channel 87 (see Sec. 80.371(c) of this 
chapter) may be disaggregated separately.
    (iv) Disaggregation is not permitted in the Multichannel Video & 
Distribution and Data Service 12.2-12.7 GHz band.
    (c) Filing requirements. Parties seeking approval for geographic 
partitioning, spectrum disaggregation, or a combination of both must 
apply for a partial assignment of authorization by filing FCC Form 603 
pursuant to Sec. 1.948. Each request for geographic partitioning must 
include an attachment

[[Page 252]]

defining the perimeter of the partitioned area by geographic coordinates 
to the nearest second of latitude and longitude, based upon the 1983 
North American Datum (NAD83). Alternatively, applicants may specify an 
FCC-recognized service area (e.g., Basic Trading Area, Economic Area, 
Major Trading Area, Metropolitan Service Area, or Rural Service Area), 
county, or county equivalent, in which case, applicants need only list 
the specific FCC-recognized service area, county, or county equivalent 
names comprising the partitioned area.
    (d) Relocation of incumbent licensees. Applicants for geographic 
partitioning, spectrum disaggregation, or a combination of both must, if 
applicable, include a certification with their partial assignment of 
authorization application stating which party will meet any incumbent 
relocation requirements, except as otherwise stated in service-specific 
rules.
    (e) License term. The license term for a partitioned license area or 
disaggregated spectrum license is the remainder of the original 
licensee's license term.
    (f) Frequency coordination. Any existing frequency coordination 
agreements convey with the partial assignment of authorization for 
geographic partitioning, spectrum disaggregation, or a combination of 
both, and shall remain in effect for the term of the agreement unless 
new agreements are reached.
    (g) Performance requirements. Parties to geographic partitioning, 
spectrum disaggregation, or a combination of both, have two options to 
satisfy service-specific performance requirements (i.e., construction 
and operation requirements). Under the first option, each party may 
certify that it will individually satisfy any service-specific 
requirements and, upon failure, must individually face any service-
specific performance penalties. Under the second option, both parties 
may agree to share responsibility for any service-specific requirements. 
Upon failure to meet their shared service-specific performance 
requirements, both parties will be subject to any service-specific 
penalties.
    (h) Unjust enrichment. Licensees making installment payments or that 
received a bidding credit, that partition their licenses or disaggregate 
their spectrum to entities that do not meet the eligibility standards 
for installment payments or bidding credits, are subject to the unjust 
enrichment requirements of Sec. 1.2111.

[82 FR 41546, Sept. 1, 2017]

    Effective Date Note: At 82 FR 41546, Sept. 1, 2017, Sec. 1.950 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. 1.951  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. 1.953  Discontinuance of service or operations.

    (a) Termination of authorization. A licensee's authorization will 
automatically terminate, without specific Commission action, if the 
licensee permanently discontinues service or operations under the 
license during the license term. A licensee is subject to this provision 
commencing on the date it is required to be providing service or 
operating.
    (b) 180-day Rule for Geographic Licenses. Permanent discontinuance 
of service or operations for Covered Geographic Licenses is defined as 
180 consecutive days during which a licensee does not operate or, in the 
case of commercial mobile radio service providers, does not provide 
service to at least one subscriber that is not affiliated with, 
controlled by, or related to the licensee.

[[Page 253]]

    (c) 365-day Rule for Site-based Licenses. Permanent discontinuance 
of service or operations for Covered Site-based Licenses is defined as 
365 consecutive days during which a licensee does not operate or, in the 
case of commercial mobile radio service providers, does not provide 
service to at least one subscriber that is not affiliated with, 
controlled by, or related to the providing carrier.
    (d) 365-day Rule for public safety licenses. Permanent 
discontinuance of operations is defined as 365 consecutive days during 
which a licensee does not operate. This 365-day rule applies to public 
safety licenses issued based on the applicant demonstrating eligibility 
under Sec. 90.20 or Sec. 90.529 of this chapter, or public safety 
licenses issued in conjunction with a waiver pursuant to section 337 of 
the Communications Act.
    (e) Channel keepers. Operation of channel keepers (devices that 
transmit test signals, tones, color bars, or some combination of these, 
for example) does not constitute operation or service for the purposes 
of this section.
    (f) Filing requirements. A licensee that permanently discontinues 
service as defined in this section must notify the Commission of the 
discontinuance within 10 days by filing FCC Form 601 or 605 requesting 
license cancellation. An authorization will automatically terminate, 
without specific Commission action, if service or operations are 
permanently discontinued as defined in this section, even if a licensee 
fails to file the required form requesting license cancellation.
    (g) Extension request. A licensee may file a request for a longer 
discontinuance period for good cause. An extension request must be filed 
at least 30 days before the end of the applicable 180-day or 365-day 
discontinuance period. The filing of an extension request will 
automatically extend the discontinuance period a minimum of the later of 
an additional 30 days or the date upon which the Wireless 
Telecommunications Bureau acts on the request.

[82 FR 41547, Sept. 1, 2017]

    Effective Date Note: At 82 FR 41547, Sept. 1, 2017, Sec. 1.953 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. 1.955  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, except to the extent a longer 
term is authorized under Sec. 27.13 of part 27 of this chapter.
    (2) Failure to meet construction or coverage requirements. 
Authorizations automatically terminate (in whole or in part as set forth 
in the service rules), without specific Commission action, if the 
licensee fails to meet applicable construction or coverage requirements. 
See Sec. 1.946(c).
    (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

[[Page 254]]

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; 70 
FR 61058, Oct. 20, 2005; 72 FR 27708, May 16, 2007; 72 FR 48843, Aug. 
24, 2007]

    Editorial Note: At 64 FR 53240, Oct. 1, 1999, Sec. 1.955 was 
amended by revising the last sentence of paragraph (b)(2) to read ``See 
Sec. 1.946(c) of this part.'', effective Nov. 30, 1999. However, 
paragraph (b)(2) does not exist in the 1998 volume.

    Effective Date Note: At 82 FR 41547, Sept. 1, 2017, Sec. 1.955 was 
amended by revising paragraph (a)(3), effective Oct. 2, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 1.955  Termination of authorizations.

                                * * * * *

    (a) * * *
    (3) Service discontinued. Authorizations automatically terminate, 
without specific Commission action, if service or operations are 
permanently discontinued. See Sec. 1.953.

                                * * * * *



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]



Sec. 1.958  Distance computation.

    The method given in this section must be used to compute the 
distance between any two locations, except that, for computation of 
distance involving stations in Canada and Mexico, methods for distance 
computation specified in the applicable international agreement, if any, 
must be used instead. The result of a distance calculation under parts 
21 and 101 of this chapter must be rounded to the nearest tenth of a 
kilometer. The method set forth in this paragraph is considered to be 
sufficiently accurate for distances not exceeding 475 km (295 miles).
    (a) Convert the latitudes and longitudes of each reference point 
from

[[Page 255]]

degree-minute-second format to degree-decimal format by dividing minutes 
by 60 and seconds by 3600, then adding the results to degrees.
[GRAPHIC] [TIFF OMITTED] TR13AP05.008

    (b) Calculate the mean geodetic latitude between the two reference 
points by averaging the two latitudes:
[GRAPHIC] [TIFF OMITTED] TR13AP05.009

    (c) Calculate the number of kilometers per degree latitude 
difference for the mean geodetic latitude calculated in paragraph (b) of 
this section as follows:

KPDlat = 111.13209 - 0.56605 cos 2ML + 0.00120 cos 4ML

    (d) Calculate the number of kilometers per degree of longitude 
difference for the mean geodetic latitude calculated in paragraph (b) of 
this section as follows:

KPDlon = 111.41513 cos ML - 0.09455 cos 3ML + 0.00012 cos 5ML

    (e) Calculate the North-South distance in kilometers as follows:

NS = KPDlat x (LAT1dd - LAT2dd)

    (f) Calculate the East-West distance in kilometers as follows:

EW = KPDlon x (LON1dd - LON2dd)

    (g) Calculate the distance between the locations by taking the 
square root of the sum of the squares of the East-West and North-South 
distances:
[GRAPHIC] [TIFF OMITTED] TR13AP05.010

    (h) Terms used in this section are defined as follows:
    (1) LAT1dd and LON1dd are the coordinates of 
the first location in degree-decimal format.
    (2) LAT2dd and LON2dd are the coordinates of 
the second location in degree-decimal format.
    (3) ML is the mean geodetic latitude in degree-decimal format.
    (4) KPDlat is the number of kilometers per degree of 
latitude at a given mean geodetic latitude.
    (5) KPDlon is the number of kilometers per degree of 
longitude at a given mean geodetic latitude.
    (6) NS is the North-South distance in kilometers.
    (7) EW is the East-West distance in kilometers.
    (8) DIST is the distance between the two locations, in kilometers.

[70 FR 19306, Apr. 13, 2005, as amended at 79 FR 72150, Dec. 5, 2014]



Sec. 1.959  Computation of average terrain elevation.

    Except as otherwise specified in Sec. 90.309(a)(4) of this chapter, 
average terrain elevation must be calculated by computer using 
elevations from a 30 second point or better topographic data file. The 
file must be identified. If a 30 second point data file is used, the 
elevation data must be processed for intermediate points using 
interpolation techniques; otherwise, the nearest point may be used. In 
cases of dispute, average terrain elevation determinations can also be 
done manually, if the results differ significantly from the computer 
derived averages.
    (a) Radial average terrain elevation is calculated as the average of 
the elevation along a straight line path from 3 to 16 kilometers (2 and 
10 miles) extending radially from the antenna site. If a portion of the 
radial path extends over foreign territory or water, such portion must 
not be included in the computation of average elevation unless the 
radial path again passes over United States land between 16 and 134 
kilometers (10 and 83 miles) away from the station. At least 50 evenly 
spaced data points for each radial should be used in the computation.
    (b) Average terrain elevation is the average of the eight radial 
average terrain elevations (for the eight cardinal radials).
    (c) For locations in Dade and Broward Counties, Florida, the method 
prescribed above may be used or average terrain elevation may be assumed 
to be 3 meters (10 feet).

[70 FR 19306, Apr. 13, 2005]

[[Page 256]]

                 Reports To Be Filed With the Commission



Sec. 1.981  Reports, annual and semiannual.

    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.

[78 FR 25160, Apr. 29, 2013]



   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. 101-239), 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.

    In the table below, the amounts appearing in the column labeled 
``Fee Amount'' are for application fees only. Those services designated 
in the table below with an asterisk (*) in the column labeled ``Payment 
Type Code'' also have associated regulatory fees that must be paid at 
the same time the application fee is paid. Please refer to the FY 2014 
Wireless Telecommunications Fee Filing Guide (updated and effective 9/
17/15) for the corresponding regulatory fee amount located at https://
www.fcc.gov/document/wtb-application-fee-filing-guide-effective-
september-17-2015. For additional guidance, please refer to Sec. 1.1152 
of the Commission's rules.
    Payment can be made electronically using the Commission's electronic 
filing and payment system ``Fee Filer'' (www.fcc.gov/feefiler). Remit 
manual filings and/or payments for these services to: Federal 
Communications Commission, Wireless Bureau Applications, P.O. Box 
979097, St. Louis, MO 63197-9000.

----------------------------------------------------------------------------------------------------------------
               Service                       FCC Form No.            Fee amount ($)         Payment type code
----------------------------------------------------------------------------------------------------------------
1. Marine Coast:
    a. New; Renewal/Modification.....  601 & 159..............  .......................  PBMR *
                                       601 & 159..............  135.00.................  PBMM
    b. Modification; Public Coast      601 & 159..............  135.00.................  PBMM
     CMRS; Non-Profit.
    c. Assignment of Authorization...  603 & 159..............  135.00.................  PBMM
    d. Transfer of Control...........  603 & 159..............  70.00..................  PATM
    Spectrum Leasing for Public Coast  608 & 159..............  70.00..................  PATM
    e. Duplicate License.............  601 & 159..............  70.00..................  PADM
    f. Special Temporary Authority...  601 & 159..............  190.00.................  PCMM
    g. Renewal Only..................  601 & 159..............  .......................  PBMR *
                                       601 & 159..............  135.00.................  PBMM
    h. Renewal (Electronic Filing)...  601 & 159..............  .......................  PBMR *
                                       601 & 159..............  135.00.................  PBMM
    i. Renewal Only (Non-Profit;       601 & 159..............  135.00.................  PBMM
     CMRS).
    j. Renewal (Electronic Filing)     601 & 159..............  135.00.................  PBMM
     Non-profit, CMRS.
    k. Rule Waiver...................  601, 603, 608 or 609-T   200.00.................  PDWM
                                        & 159.
    l. Modification for Spectrum       608 & 159..............  135.00.................  PBMM
     Leasing for Public Coast
     Stations.
    m. Designated Entity Licensee      609-T & 159............  70.00..................  PATM
     Reportable Eligibility Event.
2. Aviation Ground:
    a. New; Renewal/Modification.....  601 & 159..............  .......................  PBVR *

[[Page 257]]

 
                                       601 & 159..............  135.00.................  PBVM
    b. Modification; Non-Profit......  601 & 159..............  135.00.................  PBVM
    c. Assignment of Authorization...  603 & 159..............  135.00.................  PBVM
    d. Transfer of Control...........  603 & 159..............  70.00..................  PATM
    e. Duplicate License.............  601 & 159..............  70.00..................  PADM
    f. Special Temporary Authority...  601 & 159..............  190.00.................  PCVM
    g. Renewal Only..................  601 & 159..............  .......................  PBVR *
                                       601 & 159..............  135.00.................  PBVM
    h. Renewal (Electronic Filing)...  601 & 159..............  .......................  PBVR *
                                       601 & 159..............  135.00.................  PBVM
    i. Renewal Only Non-Profit.......  601 & 159..............  135.00.................  PBVM
    j. Renewal Non-Profit (Electronic  601 & 159..............  135.00.................  PBVM
     Filing).
    k. Rule Waiver...................  601 or 603 & 159.......  200.00.................  PDWM
3. Ship:
    a. New; Renewal/Modification;      605 & 159..............  .......................  PASR *
     Renewal Only.
                                       605 & 159..............  70.00..................  PASM
    b. New; Renewal/Modification;      605 & 159..............  .......................  PASR *
     Renewal Only (Electronic Filing).
                                       605 & 159..............  70.00..................  PASM
    c. Renewal Only Non-profit.......  605 & 159..............  70.00..................  PASM
    d. Renewal Only Non-profit         605 & 159..............  70.00..................  PASM
     (Electronic Filing).
    e. Modification; Non-profit......  605 & 159..............  70.00..................  PASM
    f. Modification; Non-profit        605 & 159..............  70.00..................  PASM
     (Electronic Filing).
    g. Duplicate License.............  605 & 159..............  70.00..................  PADM
    h. Duplicate License (Electronic   605 & 159..............  70.00..................  PADM
     Filing).
    i. Exemption from Ship Station     605 & 159..............  200.00.................  PDWM
     Requirements.
    j. Rule Waiver...................  605 & 159..............  200.00.................  PDWM
    k. Exemption from Ship Station     605 & 159..............  200.00.................  PDWM
     Requirements (Electronic Filing).
    l. Rule Waiver (Electronic         605 & 159..............  200.00.................  PDWM
     Filing).
4. Aircraft:
    a. New; Renewal/Modification.....  605 & 159..............  .......................  PAAR *
                                       605 & 159..............  70.00..................  PAAM
    b. New; Renewal/Modification       605 & 159..............  .......................  PAAR *
     (Electronic Filing).
                                       605 & 159..............  70.00..................  PAAM
    c. Modification; Non-Profit......  605 & 159..............  70.00..................  PAAM
    d. Modification Non-Profit         605 & 159..............  70.00..................  PAAM
     (Electronic Filing).
    e. Renewal Only..................  605 & 159..............  .......................  PAAR*
                                       605 & 159..............  70.00..................  PAAM
    f. Renewal (Electronic Filing)...  605 & 159..............  .......................  PAAR *
                                       605 & 159..............  70.00..................  PAAM
    g. Renewal Only Non-Profit.......  605 & 159..............  70.00..................  PAAM
    h. Renewal; Renewal/Modification   605 & 159..............  70.00..................  PAAM
     Non-Profit (Electronic Filing).
    i. Duplicate License.............  605 & 159..............  70.00..................  PADM
    j. Duplicate License (Electronic   605 & 159..............  70.00..................  PADM
     Filing).
    k. Rule Waiver...................  603, 605 & 159.........  200.00.................  PDWM
    l. Rule Waiver (Electronic         605 & 159..............  200.00.................  PDWM
     Filing).
5. Private Operational Fixed
 Microwave and Private DEMS:
    a. New; Renewal/Modification.....  601 & 159..............  .......................  PEOR *
                                       601 & 159..............  295.00.................  PEOM
    b. New; Renewal/Modification       601 & 159..............  .......................  PEOR *
     (Electronic Filing).
                                       601 & 159..............  295.00.................  PEOM
    c. Modification; Consolidate Call  601 & 159..............  295.00.................  PEOM
     Signs; Non-Profit.
    d. Modification; Consolidate Call  601 & 159..............  295.00.................  PEOM
     Signs; Non-Profit (Electronic
     Filing).
    e. Renewal Only..................  601 & 159..............  .......................  PEOR *
                                       601 & 159..............  295.00.................  PEOM
    f. Renewal (Electronic Filing)...  601 & 159..............  .......................  PEOR *
                                       601 & 159..............  295.00.................  PEOM
    g. Renewal Only Non-Profit.......  601 & 159..............  295.00.................  PEOM
    h. Renewal Non-Profit (Electronic  601 & 159..............  295.00.................  PEOM
     Filing).
    i. Assignment....................  603 & 159..............  295.00.................  PEOM
    j. Assignment (Electronic Filing)  603 & 159..............  295.00.................  PEOM
    k. Transfer of Control; Spectrum   603 & 159..............  70.00..................  PATM
     Leasing.
                                       608 & 159..............  70.00..................  PATM
    l. Transfer of Control; Spectrum   603 & 159..............  70.00..................  PATM
     Leasing (Electronic Filing).
                                       608 & 159..............  70.00..................  PATM
    m. Duplicate License.............  601 & 159..............  70.00..................  PADM
    n. Duplicate License (Electronic   601 & 159..............  70.00..................  PADM
     Filing).
    o. Special Temporary Authority...  601 & 159..............  70.00..................  PAOM
    p. Special Temporary Authority     601 & 159..............  70.00..................  PAOM
     (Electronic Filing).

[[Page 258]]

 
    q. Rule Waiver...................  601, 603 or............  200.00.................  PDWM
                                       608, 609T & 159........  200.00.................  PDWM
    r. Rule Waiver (Electronic         601, 603 or............  200.00.................  PDWM
     Filing).
                                       608, 609T & 159........  200.00.................  PDWM
    s. Modification for Spectrum       608 & 159..............  295.00.................  PEOM
     Leasing.
    t. Modification for Spectrum       608 & 159..............  295.00.................  PEOM
     Leasing (Electronic Filing).
    u. Designated Entity Licensee      609-T & 159............  70.00..................  PATM
     Reportable Eligibility Event.
6. Land Mobile PMRS; Intelligent
 Transportation Service:
    a. New or Renewal/Modification     601 & 159..............  .......................  PALR *
     (Frequencies below 470
 MHz (except 220 MHz)) 902-928 MHz &   601 & 159..............  70.00..................  PALM
 RS.
    b. New; Renewal/Modification       601 & 159..............  .......................  PALR *
     (Frequencies below 470
 MHz (except 220 MHz)) (Electronic     601 & 159..............  70.00..................  PALM
 Filing).
    c. New; Renewal/Modification       601 & 159..............  .......................  PALS *
     (Frequencies 470 MHz and
 above and 220 MHz Local).             601 & 159..............  70.00..................  PALM
    d. New; Renewal/Modification       601 & 159..............  .......................  PALS *
     (Frequencies 470 MHz and
 above and 220 MHz Local) (Electronic  601 & 159..............  70.00..................  PALM
 Filing).
    e. New; Renewal/Modification (220  601 & 159..............  .......................  PALT *
     MHz Nationwide).
                                       601 & 159..............  70.00..................  PALM
    f. New; Renewal/Modification (220  601 & 159..............  .......................  PALT *
     MHz Nationwide)
 (Electronic Filing).                  601 & 159..............  70.00..................  PALM
    g. Modification; Non-Profit; For   601 & 159..............  70.00..................  PALM
     Profit Special Emergency and
     Public Safety; and CMRS.
    h. Modification; Non-Profit; For   601 & 159..............  70.00..................  PALM
     Profit Special Emergency and
     Public Safety; and CMRS
     (Electronic Filing).
    i. Renewal Only..................  601 & 159..............  .......................  PALR *
                                       601 & 159..............  70.00..................  PALM
                                       601 & 159..............  .......................  PALS *
                                       601 & 159..............  70.00..................  PALM
                                       601 & 159..............  .......................  PALT *
                                       601 & 159..............  70.00..................  PALM
    j. Renewal (Electronic Filing)...  601 & 159..............  .......................  PALR *
                                       601 & 159..............  70.00..................  PALM
                                       601 & 159..............  .......................  PALS *
                                       601 & 159..............  70.00..................  PALM
                                       601 & 159..............  .......................  PALT *
                                       601 & 159..............  70.00..................  PALM
    k. Renewal Only (Non-Profit;       601 & 159..............  70.00..................  PALM
     CMRS; For-Profit Special
     Emergency and Public Safety).
    l. Renewal (Non-Profit; CMRS; For- 601 & 159..............  70.00..................  PALM
     Profit Special Emergency and
     Public Safety) (Electronic
     Filing).
    m. Assignment of Authorization     603 & 159..............  70.00..................  PALM
     (PMRS & CMRS).
    n. Assignment of Authorization     603 & 159..............  70.00..................  PALM
     (PMRS & CMRS) (Electronic
     Filing).
    o. Transfer of Control (PMRS &     603 & 159..............  70.00..................  PATM
     CMRS); Spectrum Leasing.          608 & 159..............  70.00..................  PATM
    p. Transfer of Control (PMRS &     603 & 159..............  70.00..................  PATM
     CMRS); Spectrum Leasing           608 & 159..............  70.00..................  PATM
     (Electronic Filing).
    q. Duplicate License.............  601 & 159..............  70.00..................  PADM
    r. Duplicate License (Electronic   601 & 159..............  70.00..................  PADM
     Filing).
    s. Special Temporary Authority...  601 & 159..............  70.00..................  PALM
    t. Special Temporary Authority     601 & 159..............  70.00..................  PALM
     (Electronic Filing).
    u. Rule Waiver...................  601, 603 or............  200.00.................  PDWM
                                       608 & 159..............  200.00.................  PDWM
    v. Rule Waiver (Electronic         601, 603 or............  200.00.................  PDWM
     Filing).                          608, 609T 159..........  200.00.................  PDWM
    w. Consolidate Call Signs........  601 & 159..............  70.00..................  PALM
    x. Consolidate Call Signs          601 & 159..............  70.00..................  PALM
     (Electronic Filing).
    y. Modification for Spectrum       608 & 159..............  70.00..................  PALM
     Leasing.
    z. Modification for Spectrum       608 & 159..............  70.00..................  PALM
     Leasing (Electronic Filing).
    aa. Designated Entity Licensee     609-T & 159............  70.00..................  PATM
     Reportable Eligibility Event.
7. 218-219 MHz (previously IVDS):
    a. New; Renewal/Modification.....  601 & 159..............  .......................  PAIR *
                                       601 & 159..............  70.00..................  PAIM
    b. New; Renewal/Modification       601 & 159..............  .......................  PAIR *
     (Electronic Filing).
                                       601 & 159..............  70.00..................  PAIM
    c. Modification; Non-Profit......  601 & 159..............  70.00..................  PAIM
    d. Modification; Non-Profit        601 & 159..............  70.00..................  PAIM
     (Electronic Filing).

[[Page 259]]

 
    e. Renewal Only..................  601 & 159..............  PAIR *.................
                                       601 & 159..............  PAIM...................
                                       70.00..................
    f. Renewal (Electronic Filing)...  601 & 159..............  .......................  PAIR *
                                       601 & 159..............  70.00..................  PAIM
    g. Assignment of Authorization...  603 & 159..............  70.00..................  PAIM
    h. Assignment of Authorization     603 & 159..............  70.00..................  PAIM
     (Electronic Filing).
    i. Transfer of Control; Spectrum   603 & 159..............  70.00..................  PATM
     Leasing.                          608 & 159..............  70.00..................  PATM
    j. Transfer of Control; Spectrum   603 & 159..............  70.00..................  PATM
     Leasing (Electronic Filing).      608 & 159..............  70.00..................  PATM
    k. Duplicate License.............  601 & 159..............  70.00..................  PADM
    l. Duplicate License (Electronic   601 & 159..............  70.00..................  PADM
     Filing).
    m. Special Temporary Authority...  601 & 159..............  70.00..................  PAIM
    n. Special Temporary Authority     601 & 159..............  70.00..................  PAIM
     (Electronic Filing).
    o. Modification for Spectrum       608 & 159..............  70.00..................  PAIM
     Leasing.
    p. Modification for Spectrum       608 & 159..............  70.00..................  PAIM
     Leasing (Electronic Filing).
    q. Designated Entity Licensee      609-T & 159............  70.00..................  PATM
     Reportable Eligibility Event.
8. General Mobile Radio (GMRS):
    a. New; Renewal/Modification.....  605 & 159..............  .......................  PAZR *
                                       605 & 159..............  70.00..................  PAZM
    b. New; Renewal/Modification       605 & 159..............  .......................  PAZR *
     (Electronic Filing).
                                       605 & 159..............  70.00..................  PAZM
    c. Modification..................  605 & 159..............  70.00..................  PAZM
    d. Modification (Electronic        605 & 159..............  70.00..................  PAZM
     Filing).
    e. Renewal Only..................  605 & 159..............  .......................  PAZR *
                                       605 & 159..............  70.00..................  PAZM
    f. Renewal (Electronic Filing)...  605 & 159..............  .......................  PAZR *
                                       605 & 159..............  70.00..................  PAZM
    g. Duplicate License.............  605 & 159..............  70.00..................  PADM
    h. Duplicate License (Electronic   605 & 159..............  70.00..................  PADM
     Filing).
    i. Special Temporary Authority...  605 & 159..............  70.00..................  PAZM
    j. Special Temporary Authority     605 & 159..............  70.00..................  PAZM
     (Electronic Filing).
    k. Rule Waiver...................  605 & 159..............  200.00.................  PDWM
    l. Rule Waiver (Electronic         605 & 159..............  200.00.................  PDWM
     Filing).
9. Restricted Radiotelephone:
    a. New (Lifetime Permit).........  605 & 159..............  70.00..................  PARR
    New (Limited Use)................  605 & 159..............  70.00..................  PARR
    b. Duplicate/Replacement Permit..  605 & 159..............  70.00..................  PADM
    Duplicate/Replacement Permit       605& 159...............  70.00..................  PADM
     (Limited Use).
10. Commercial Radio Operator:
    a. Renewal Only; Renewal/          605 & 159..............  70.00..................  PACS
     Modification.
    b. Duplicate.....................  605 & 159..............  70.00..................  PADM
11. Hearing..........................  Corres & 159...........  12,755.00..............  PFHM
12. Common Carrier Microwave (Pt. To
 Pt., Local TV Trans. & Millimeter
 Wave Service):
    a. New; Renewal/Modification       601 & 159..............  .......................  CJPR *
     (Electronic Filing Required).
                                       601 & 159..............  295.00.................  CJPM
    b. Major Modification;             601 & 159..............  295.00.................  CJPM
     Consolidate Call Signs
     (Electronic Filing Required).
    c. Renewal (Electronic Filing      601 & 159..............  .......................  CJPR *
     Required).
                                       601 & 159..............  295.00.................  CJPM
    d. Assignment of Authorization;    603 & 159..............  105.00.................  CCPM
     Transfer of Control; Spectrum     608 & 159..............  105.00.................  CCPM
     Leasing.
    Additional Stations (Electronic    603 or 608 & 159.......  70.00..................  CAPM
     Filing Required).
    e. Duplicate License (Electronic   601 & 159..............  70.00..................  PADM
     Filing Required).
    f. Extension of Construction       601 & 159..............  105.00.................  CCPM
     Authority (Electronic Filing
     Required).
    g. Special Temporary Authority...  601 & 159..............  135.00.................  CEPM
    h. Special Temporary Authority     601 & 159..............  135.00.................  CEPM
     (Electronic Filing).
    i. Major Modification for          608 & 159..............  295.00.................  CJPM
     Spectrum Leasing (Electronic
     Filing Required).
    j. Designated Entity Licensee      609-T & 159............  70.00..................  CAPM
     Reportable Eligibility Event.
13. Common Carrier Microwave (DEMS):
    a. New; Renewal/Modification       601 & 159..............  .......................  CJLR *
     (Electronic Filing Required).
                                       601 & 159..............  295.00.................  CJLM
    b. Major Modification;             601 & 159..............  295.00.................  CJLM
     Consolidate Call Signs
     (Electronic Filing Required).
    c. Renewal (Electronic Filing      601 & 159..............  .......................  CJLR *
     Required).

[[Page 260]]

 
                                       601 & 159..............  295.00.................  CJLM
    d. Assignment of Authorization;    603 & 159..............  105.00.................  CCLM
     Transfer of Control; Spectrum     608 & 159..............  105.00.................  CCLM
     Leasing.
    Additional Stations (Electronic    603 or.................
     Filing Required).
                                       608 & 159..............  70.00..................  CALM
    e. Duplicate License (Electronic   601 & 159..............  70.00..................  PADM
     Filing Required).
    f. Extension of Construction       601 & 159..............  105.00.................  CCLM
     Authority (Electronic Filing
     Required).
    g. Special Temporary Authority...  601 & 159..............  135.00.................  CELM
    h. Special Temporary Authority     601 & 159..............  135.00.................  CELM
     (Electronic Filing).
    i. Major Modification for          608 & 159..............  295.00.................  CJLM
     Spectrum Leasing (Electronic
     Filing Required).
    j. Designated Entity Licensee      609-T & 159............  70.00..................  CALM
     Reportable Eligibility Event.
14. Broadcast Auxiliary (Aural and TV
 Microwave):
    a. New; Modification; Renewal/     601 & 159..............  165.00.................  MEA
     Modification.
    b. New; Modification; Renewal/     601 & 159..............  165.00.................  MEA
     Modification (Electronic Filing).
    c. Special Temporary Authority...  601 & 159..............  190.00.................  MGA
    d. Special Temporary Authority     601 & 159..............  190.00.................  MGA
     (Electronic Filing).
    e. Renewal Only..................  601 & 159..............  70.00..................  MAA
    f. Renewal (Electronic Filing)...  601 & 159..............  70.00..................  MAA
15. Broadcast Auxiliary (Remote and
 Low Power):
    a. New; Modification; Renewal/     601 & 159..............  165.00.................  MEA
     Modification.
    b. New; Modification; Renewal/     601 & 159..............  165.00.................  MEA
     Modification (Electronic Filing).
    c. Renewal Only..................  601 & 159..............  70.00..................  MAA
    d. Renewal (Electronic Filing)...  601 & 159..............  70.00..................  MAA
    e. Special Temporary Authority...  601 & 159..............  190.00.................  MGA
    f. Special Temporary Authority     601 & 159..............  190.00.................  MGA
     (Electronic Filing).
16. Pt 22 Paging & Radiotelephone:
    a. New; Major Mod; Additional      601 & 159..............  435.00.................  CMD
     Facility; Major Amendment; Major
     Renewal/Mod; Fill in Transmitter
     (Per Transmitter) (Electronic
     Filing Required).
    b. Minor Mod; Renewal; Minor       601 & 159..............  70.00..................  CAD
     Renewal/Mod; (Per Call Sign) 900
     MHz Nationwide Renewal Net
     Organ; New Operator (Per
     Operator/Per City) Notice of
     Completion of Construction or
     Extension of Time to Construct
     (Per Application) (Electronic
     Filing Required).
    c. Auxiliary Test (Per             601 & 159..............  380.00.................  CLD
     Transmitter); Consolidate Call
     Signs (Per Call Sign)
     (Electronic Filing Required).
    d. Special Temporary Authority     601 & 159..............  380.00.................  CLD
     (Per Location/Per Frequency).
    e. Special Temporary Authority     601 & 159..............  380.00.................  CLD
     (Per Location/Per Frequency)
     (Electronic Filing).
    f. Assignment of License or        603 & 159..............  435.00.................  CMD
     Transfer of Control;.
    Spectrum Leasing (Full or          608 & 159..............  435.00.................  CMD
     Partial) (Per First Call Sign);.
    Additional Call Signs (Per Call    603 or 608 & 159.......  70.00..................  CAD
     Signs) (Electronic Filing
     Required).
    g. Subsidiary Comm. Service (Per   601 & 159..............  190.00.................  CFD
     Request) (Electronic Filing
     Required).
    h. Major Modification for          608 & 159..............  435.00.................  CMD
     Spectrum Leasing (Electronic
     Filing Required).
    i. Minor Modification for          608 & 159..............  70.00..................  CAD
     Spectrum Leasing (Electronic
     Filing Required).
    j. Designated Entity Licensee      609-T & 159............  70.00..................  CAD
     Reportable Eligibility Event.
17. Cellular:
    a. New; Major Mod; Additional      601 & 159..............  435.00.................  CMC
     Facility; Major Renewal/Mod (Per
     Call Sign) (Electronic Filing
     Required).
    b. Minor Modification; Minor       601 & 159..............  115.00.................  CDC
     Renewal/Mod (Per Call Sign)
     (Electronic Filing Required).
    c. Assignment of License;          603 & 159..............  435.00.................  CMC
     Transfer of Control (Full or
     Partial) (Per Call Sign).
    Spectrum Leasing (Electronic       608 & 159..............  435.00.................  CMC
     Filing Required).
    d. Notice of Extension of Time to  601 & 159..............  70.00..................  CAC
     Complete Construction; (Per
     Request) Renewal (Per Call Sign)
     (Electronic Filing Required).
    e. Special Temporary Authority     601 & 159..............  380.00.................  CLC
     (Per Request).
    f. Special Temporary Authority     601 & 159..............  380.00.................  CLC
     (Per Request) (Electronic
     Filing).
    g. Major Modification for          608 & 159..............  435.00.................  CMC
     Spectrum Leasing (Electronic
     Filing Required).

[[Page 261]]

 
    h. Minor Modification for          608 & 159..............  115.00.................  CDC
     Spectrum Leasing (Electronic
     Filing Required).
18. Rural Radio:
    a. New; Major Renew/Mod;           601 & 159..............  .......................  CGRR *
     Additional Facility (Per Trans-
 mitter) (Electronic Filing            601 & 159..............  200.00.................  CGRM
 Required).
    b. Major Mod; Major Amendment      601 & 159..............  200.00.................  CGRM
     (Per Transmitter) (Electronic
     Filing Required).
    c. Minor Modification; (Per        601 & 159..............  70.00..................  CARM
     Transmitter) (Electronic Filing
     Required).
    d. Assignment of License;          603 & 159..............  200.00.................  CGRM
     Transfer of Control (Full or
     Partial) (Per Call Sign).
    Spectrum Leasing.................  608 & 159..............  200.00.................  CGRM
    Additional Calls (Per Call Sign)   603 or 608 & 159.......  70.00..................  CARM
     (Electronic Filing Required).
    e. Renewal (Per Call Sign); Minor  601 & 159..............  .......................  CARR *
     Renewal/Mod (Per
 Transmitter) (Electronic Filing       601 & 159..............  70.00..................  CARM
 Required).
    f. Notice of Completion of         601 & 159..............  70.00..................  CARM
     Construction or Extension of
     Time to Construct (Per
     Application) (Electronic Filing
     Required).
    g. Special Temporary Authority     601 & 159..............  380.00.................  CLRM
     (Per Transmitter).
    h. Special Temporary Authority     601 & 159..............  380.00.................  CLRM
     (Per Transmitter) (Electronic
     Filing).
    i. Combining Call Signs (Per Call  601 & 159..............  380.00.................  CLRM
     Sign) (Electronic Filing
     Required).
    j. Auxiliary Test Station (Per     601 & 159..............  380.00.................  CLRM
     Transmitter) (Electronic Filing
     Required).
    k. Major Modification for          608 & 159..............  200.00.................  CGRM
     Spectrum Leasing (Electronic
     Filing Required).
    l. Minor Modification for          608 & 159..............  70.00..................  CARM
     Spectrum Leasing (Electronic
     Filing Required).
19. Offshore Radio:
    a. New; Major Mod; Additional      601 & 159..............  200.00.................  CGF
     Facility; Major Amendment; Major
     Renew/Mod; Fill in Transmitters
     (Per Transmitter) (Electronic
     Filing Required).
    b. Consolidate Call Signs (Per     601 & 159..............  380.00.................  CLF
     Call Sign); Auxiliary Test (Per
     Transmitter) (Electronic Filing
     Required).
    c. Minor Modification; Minor       601 & 159..............  70.00..................  CAF
     Renewal/Modification (Per
     Transmitter); Notice of
     Completion of Construction or
     Extension of Time to Construct
     (Per Application); Renewal (Per
     Call Sign) (Electronic Filing
     Required).
    d. Assignment of License;          603 & 159..............  200.00.................  CGF
     Transfer of Control (Full or
     Partial).
    Spectrum Leasing.................  608 & 159..............  200.00.................  CGF
    Additional Calls (Electronic       603 or 608 & 159.......  70.00..................  CAF
     Filing Required).
    e. Special Temporary Authority     601 & 159..............  380.00.................  CLF
     (Per Transmitter).
    f. Special Temporary Authority     601 & 159..............  380.00.................  CLF
     (Per Transmitter) (Electronic
     Filing).
    g. Major Modification for          608 & 159..............  200.00.................  CGF
     Spectrum Leasing (Electronic
     Filing Required).
    h. Minor Modification for          608 & 159..............  70.00..................  CAF
     Spectrum Leasing (Electronic
     Filing Required).
20. Broadband Radio Service
 (Previously Multipoint Distribution
 Service):
    a. New station/Renewal/            601 & 159..............  295.00 (Per call sign).  CJM
     Modification (Electronic Filing
     Required).
    b. Major Modification of Licenses  601 & 159..............  295.00.................  CJM
     (Electronic Filing Required).
    c. Certification of Completion of  601 & 159..............  860.00 (Per call sign).  CPM
     Construction (Electronic Filing
     Required).
    d. License Renewal (Electronic     601 & 159..............  295.00.................  CJM
     Filing Required).
e. Assignment of Authorization;
 Transfer of Control (first station)
    (Electronic Filing Required).....  603 & 159..............  105.00.................  CCM
    Spectrum Leasing (first station).  608 & 159..............  105.00.................  CCM
    Additional Station...............  608 & 159..............  70.00..................  CAM
    f. Extension of Construction       601 & 159..............  250.00 (Per call sign).  CHM
     Authorization (Electronic Filing
     Required).
    g. Special Temporary Authority or  601 & 159..............  135.00 (Per call sign).  CEM
     Request for Waiver of Prior
     Construction Authorization
     (Electronic Filing).
    h. Special Temporary Authority...  601 & 159..............  135.00 (Per call sign).  CEM
    i. Major Modification for          608 & 159..............  295.00 (Per Lease Id.).  CJM
     Spectrum Leasing (Electronic
     Filing Required).

[[Page 262]]

 
    j. Designated Entity Licensee      609-T & 159............  70.00..................  CAM
     Reportable Eligibility Event.
21. Communications Assistance for Law  Correspondence & 159...  6,695.00...............  CALA
 Enforcement (CALEA) Petitions:
----------------------------------------------------------------------------------------------------------------


[81 FR 49181, July 27, 2016]



Sec. 1.1103  Schedule of charges for equipment approval, experimental
radio services (or service).

    Payment can be made electronically using the Commission's electronic 
filing and payment system ``Fee Filer'' (www.fcc.gov/feefiler). Remit 
manual filings and/or payments for these services to: Federal 
Communications Commission, OET Services, P.O. Box 979095, St. Louis, MO 
63197-9000.

----------------------------------------------------------------------------------------------------------------
               Service                       FCC Form No.            Fee amount ($)         Payment type code
----------------------------------------------------------------------------------------------------------------
    Equipment Approval Service(s)
 
1. Certification:
    a. Receivers (except TV and FM)    731 & 159..............  540.00.................  EEC
     (Electronic Filing Only).
    b. Devices Under Parts 11, 15 &    731 & 159..............  1,390.00...............  EGC
     18 (except receivers)
     (Electronic Filing Only).
    c. All Other Devices (Electronic   731 & 159..............  700.00.................  EFT
     Filing Only).
    d. Modifications and Class II      731 & 159..............  70.00..................  EAC
     Permissive Changes (Electronic
     Filing Only).
    e. Request for Confidentiality     731 & 159..............  200.00.................  EBC
     under Certification (Electronic
     Filing Only).
    f. Class III Permissive Changes    731 & 159..............  700.00.................  ECC
     (Electronic Filing Only).
2. Advance Approval of Subscription    Corres & 159...........  4,255.00...............  EIS
 TV Systems.
    a. Request for Confidentiality     Corres & 159...........  200.00.................  EBS
     For Advance Approval of
     Subscription TV Systems.
3. Assignment of Grantee Code:
    a. For all Application Types,      Electronic Assignment &  70.00..................  EAG
     except Subscription TV             Form 159 or Optional
     (Electronic Filing Only--          Electronic Payment.
     Optional Electronic Payment).
4. Experimental Radio Service(s):
    a. New Station Authorization.....  442 & 159..............  70.00..................  EAE
    b. Modification of Authorization.  442 & 159..............  70.00..................  EAE
    c. Renewal of Station              405 & 159..............  70.00..................  EAE
     Authorization.
    d. Assignment of License or        702 & 159 or 703 & 159.  70.00..................  EAE
     Transfer of Control.                                       70.00..................  EAE
    e. Special Temporary Authority...  Corres & 159...........  70.00..................  EAE
    f. Additional fee required for     Corres & 159...........  70.00..................  EAE
     any of the above applications
     that request withholding from
     public inspection.
----------------------------------------------------------------------------------------------------------------


[81 FR 49186, July 27, 2016]



Sec. 1.1104  Schedule of charges for applications and other filings for 
media services.

    Payment can be made electronically using the Commission's electronic 
filing and payment system ``Fee Filer'' (www.fcc.gov/feefiler). Remit 
manual filings and/or payments for these services to: Federal 
Communications Commission, Media Bureau Services, P.O. Box 979089, St. 
Louis, MO 63197-9000. The asterisk (*) indicates that multiple stations 
and multiple fee submissions are acceptable within the same post office 
box.

----------------------------------------------------------------------------------------------------------------
               Service                       FCC Form No.            Fee amount ($)         Payment type code
----------------------------------------------------------------------------------------------------------------
1. Commercial TV Services:
    a. New and Major Change            301 & 159..............  4,785.00...............  MVT
     Construction Permits (per
     application) (Electronic Filing).
    b. Minor Change (per application)  301 & 159..............  1,070.00...............  MPT
     (Electronic Filing).
    c. Main Studio Request...........  Corres & 159...........  1,070.00...............  MPT

[[Page 263]]

 
    d. New License (per application)   302-TV & 159...........  325.00.................  MJT
     (Electronic Filing).              302-DTV & 159..........  325.00.................  MJT
    e. License Renewal (per            303-S & 159............  190.00.................  MGT
     application) (Electronic Filing).
    f. License Assignment............
        (i) Long Form (Electronic      314 & 159..............  1,070.00...............  MPT*
         Filing).
        (ii) Short Form (Electronic    316 & 159..............  155.00.................  MDT*
         Filing).
    g. Transfer of Control...........
        (i) Long Form (Electronic      315 & 159..............  1,070.00...............  MPT*
         Filing).
        (ii) Short Form (Electronic    316 & 159..............  155.00.................  MDT*
         Filing).
    h. Call Sign (Electronic Filing).  380 & 159..............  105.00.................  MBT
    i. Special Temporary Authority...  Corres & 159...........  190.00.................  MGT
    j. Petition for Rulemaking for     301 & 159..............  2,955.00...............  MRT
     New Community of License          302-TV & 159...........  2,955.00...............  MRT
     (Electronic Filing).
    k. Ownership Report (Electronic    323 & 159..............  70.00..................  MAT*
     Filing).                          Corres &159............  70.00..................  MAT*
2. Commercial AM Radio Stations:
    a. New or Major Change             301 & 159..............  4,255.00...............  MUR
     Construction Permit (Electronic
     Filing).
    b. Minor Change (per application)  301 & 159..............  1,070.00...............  MPR
     (Electronic Filing).
    c. Main Studio Request (per        Corres & 159...........  1,070.00...............  MPR
     request).
    d. New License (per application)   302-AM & 159...........  700.00.................  MMR
     (Electronic Filing).
    e. AM Directional Antenna (per     302-AM & 159...........  805.00.................  MOR
     application) (Electronic Filing).
    f. AM Remote Control (per          301 & 159..............  70.00..................  MAR
     application) (Electronic Filing).
    g. License Renewal (per            303-S & 159............  190.00.................  MGR
     application) (Electronic Filing).
    h. License Assignment............
        (i) Long Form (Electronic      314 & 159..............  1,070.00...............  MPR*
         Filing).
        (ii) Short Form (Electronic    316 & 159..............  155.00.................  MDR*
         Filing).
    i. Transfer of Control...........
        (i) Long Form (Electronic      315 & 159..............  1,070.00...............  MPR*
         Filing).
        (ii) Short Form (Electronic    316 & 159..............  155.00.................  MDR*
         Filing).
    j. Call Sign (Electronic Filing).  380 & 159..............  105.00.................  MBR
    k. Special Temporary Authority...  Corres & 159...........  190.00.................  MGR
    l. Ownership Report (Electronic    323 & 159 or...........  70.00..................  MAR
     Filing).                          Corres & 159...........  70.00..................  MAR
3. Commercial FM Radio Stations:
    a. New or Major Change             301 & 159..............  3,830.00...............  MTR
     Construction Permit (Electronic
     Filing).
    b. Minor Change (Electronic        301 & 159..............  1,070.00...............  MPR
     Filing).
    c. Main Studio Request (per        Corres & 159...........  1,070.00...............  MPR
     request).
    d. New License (Electronic         302-FM & 159...........  220.00.................  MHR
     Filing).
    e. FM Directional Antenna          302-FM & 159...........  670.00.................  MLR
     (Electronic Filing).
    f. License Renewal (per            303-S & 159............  190.00.................  MGR
     application) (Electronic Filing).
    g. License Assignment............
        (i) Long Form (Electronic      314 & 159..............  1,070.00...............  MPR*
         Filing).
        (ii) Short Form (Electronic    316 & 159..............  155.00.................  MDR*
         Filing).
    h. Transfer of Control...........
        (i) Long Form (Electronic      315 & 159..............  1,070.00...............  MPR*
         Filing).
        (ii) Short Form (Electronic    316 & 159..............  155.00.................  MDR*
         Filing).
    i. Call Sign (Electronic Filing).  380 & 159..............  105.00.................  MBR
    j. Special Temporary Authority...  Corres & 159...........  190.00.................  MGR
    k. Petition for Rulemaking for     301 & 159 or...........  2,955.00...............  MRR
     New Community of License or       302-FM & 159...........  2,955.00...............  MRR
     Higher Class Channel (Electronic
     Filing).
    l. Ownership Report (Electronic    323 & 159 or...........  70.00..................  MAR
     Filing).                          Corres & 159...........  70.00..................  MAR
4. FM Translators:
    a. New or Major Change             349 & 159..............  805.00.................  MOF
     Construction Permit (Electronic
     Filing).
    b. New License (Electronic         350 & 159..............  165.00.................  MEF
     Filing).
    c. License Renewal (Electronic     303-S & 159............  70.00..................  MAF
     Filing).
    d. Special Temporary Authority...  Corres & 159...........  190.00.................  MGF
    e. License Assignment (Electronic  345 & 159..............  155.00.................  MDF*
     Filing).
                                       314 & 159..............  155.00.................  MDF*
                                       316 & 159..............  155.00.................  MDF*
    f. Transfer of Control             345 & 159..............  155.00.................  MDF*
     (Electronic Filing).
                                       315 & 159..............  155.00.................  MDF*
                                       316 & 159..............  155.00.................  MDF*
5. TV Translators and LPTV Stations:
    a. New or Major Change             346 & 159..............  805.00.................  MOL
     Construction Permit (per
     application) (Electronic Filing).
    b. New License (per application)   347 & 159..............  165.00.................  MEL
     (Electronic Filing).
    c. License Renewal (Electronic     303-S & 159............  70.00..................  MAL*
     Filing).

[[Page 264]]

 
    d. Special Temporary Authority...  Corres & 159...........  190.00.................  MGL
    e. License Assignment (Electronic  345 & 159..............  155.00.................  MDL*
     Filing).
                                       314 & 159..............  155.00.................  MDL*
                                       316 & 159..............  155.00.................  MDL*
    f. Transfer of Control             345 & 159..............  155.00.................  MDL*
     (Electronic Filing).
                                       315 & 159..............  155.00.................  MDL*
                                       316 & 159..............  155.00.................  MDL*
    g. Call Sign (Electronic Filing).  380 & 159..............  105.00.................  MBT
6. FM Booster Stations:
    a. New or Major Change             349 & 159..............  805.00.................  MOF
     Construction Permit (Electronic
     Filing).
    b. New License (Electronic         350 & 159..............  165.00.................  MEF
     Filing).
    c. Special Temporary Authority...  Corres & 159...........  190.00.................  MGF
7. TV Booster Stations:
    a. New or Major Change             346 & 159..............  805.00.................  MOF
     (Electronic Filing).
    b. New License (Electronic         347 & 159..............  165.00.................  MEF
     Filing).
    c. Special Temporary Authority...  Corres & 159...........  190.00.................  MGF
8. Class A TV Services:
    a. New and Major Change            301-CA & 159...........  4,785.00...............  MVT
     Construction Permits (per
     application) (Electronic Filing).
    b. New License (per application)   302-CA & 159...........  325.00.................  MJT
     (Electronic Filing).
    c. License Renewal (per            303-S & 159............  190.00.................  MGT
     application) (Electronic Filing).
    d. Special Temporary Authority...  Corres & 159...........  190.00.................  MGT
    e. License Assignment............
        (i) Long Form (Electronic      314 & 159..............  1,070.00...............  MPT*
         Filing).
        (ii) Short Form (Electronic    316 & 159..............  155.00.................  MDT*
         Filing).
    f. Transfer of Control...........
        (i) Long Form (Electronic      315 & 159..............  1,070.00...............  MPT*
         Filing).
        (ii) Short Form (Electronic    316 & 159..............  155.00.................  MDT*
         Filing).
    g. Main Studio Request...........  Corres & 159...........  1,070.00...............  MPT
    h. Call Sign (Electronic Filing).  380 & 159..............  105.00.................  MBT
9. Cable Television Services:
    a. CARS License..................  327 & 159..............  295.00.................  TIC
    b. CARS Modifications............  327 & 159..............  295.00.................  TIC
    c. CARS License Renewal            327 & 159..............  295.00.................  TIC
     (Electronic Filing).
    d. CARS License Assignment.......  327 & 159..............  295.00.................  TIC
    e. CARS Transfer of Control......  327 & 159..............  295.00.................  TIC
    f. Special Temporary Authority...  Corres & 159...........  190.00.................  TGC
    g. Cable Special Relief Petition.  Corres & 159...........  1,495.00...............  TQC
    h. Cable Community Registration    322 & 159..............  70.00..................  TAC
     (Electronic Filing).
    i. Aeronautical Frequency Usage    321 & 159..............  70.00..................  TAC
     Notifications (Electronic
     Filing).
----------------------------------------------------------------------------------------------------------------


[81 FR 49187, July 27, 2016]



Sec. 1.1105  Schedule of charges for applications and other filings 
for the wireline competition services.

    Payment can be made electronically using the Commission's electronic 
filing and payment system ``Fee Filer'' (www.fcc.gov/feefiler). Remit 
manual filings and/or payments for these services to: Federal 
Communications Commission, Wireline Competition Bureau Applications, 
P.O. Box 979091, St. Louis, MO 63197-9000.

----------------------------------------------------------------------------------------------------------------
               Service                       FCC Form No.            Fee amount ($)         Payment type code
----------------------------------------------------------------------------------------------------------------
1. Domestic 214 Applications.........  Corres & 159...........  1,155.00...............  CDT
2. Tariff Filings:
    a. Filing Fees (per transmittal    Corres & 159...........  925.00.................  CQK
     or cover letter).
    b. Application for Special         Corres & 159...........  925.00.................  CQK
     Permission Filing (request for
     waiver of any rule in Part 61 of
     the Commission's Rules) (per
     request).
    c. Waiver of Part 69 Tariff Rules  Corres & 159...........  925.00.................  CQK
     (per request).
3. Accounting:
    a. Review of Depreciation Update   Corres & 159...........  40,015.00..............  BKA
     Study (single state).
        (i) Each Additional State....  Corres & 159...........  1,285.00...............  CVA
    b. Petition for Waiver (per
     petition).
        (i) Waiver of Part 69          Corres & 159...........  8,790.00...............  BEA
         Accounting Rules & Part 32
         Accounting Rules, Part 43
         Reporting Requirements Part
         64 Allocation of Costs Rules
         Part 65 Rate of Return &
         Rate Base Rules.

[[Page 265]]

 
        (ii) Part 36 Separation Rules  Corres & 159...........  8,790.00...............  BEB
----------------------------------------------------------------------------------------------------------------


[81 FR 49188, July 27, 2016]



Sec. 1.1106  Schedule of charges for applications and other filings 
for the enforcement services.

    Payment can be made electronically using the Commission's electronic 
filing and payment system ``Fee Filer'' (www.fcc.gov/feefiler). Remit 
manual filings and/or payments for these services to: Federal 
Communications Commission, Enforcement Bureau, P.O. Box 979094, St. 
Louis, MO 63197-9000 with the exception of Accounting and Audits, which 
will be invoiced. Carriers should follow invoice instructions when 
making payment.

----------------------------------------------------------------------------------------------------------------
               Service                       FCC Form No.            Fee amount ($)         Payment type code
----------------------------------------------------------------------------------------------------------------
1. Formal Complaints.................  Corres & 159...........  230.00.................  CIZ
2. Accounting and Audits:
    a. Field Audit...................  Carriers will be         117,490.00.............  BMA
                                        invoiced for the
                                        amount due.
    b. Review of Attest Audit........  Carriers will be         64,130.00..............  BLA
                                        invoiced for the
                                        amount due.
3. Development and Review of Agreed    Corres & 159...........  64,130.00..............  BLA
 upon--Procedures Engagement.
4. Pole Attachment Complaint.........  Corres & 159...........  285.00.................  TPC
----------------------------------------------------------------------------------------------------------------


[81 FR 49189, July 27, 2016]



Sec. 1.1107  Schedule of charges for applications and other filings
for the international services.

    Payment can be made electronically using the Commission's electronic 
filing and payment system ``Fee Filer'' (www.fcc.gov/feefiler). Remit 
manual filings and/or payments for these services to: Federal 
Communications Commission, International Bureau Applications, P.O. Box 
979093, St. Louis, MO 63197-9000.

----------------------------------------------------------------------------------------------------------------
               Service                       FCC Form No.            Fee amount ($)         Payment type code
----------------------------------------------------------------------------------------------------------------
1. International Fixed Public Radio
 (Public & Control Stations):
    a. Initial Construction Permit     407 & 159..............  965.00.................  CSN
     (per station).
    b. Assignment or Transfer (per     702 & 159 or...........  965.00.................  CSN
     Application).                     704 & 159..............  965.00.................  CSN
    c. Renewal (per license )........  405 & 159..............  700.00.................  CON
    d. Modification (per station)....  403 & 159..............  700.00.................  CON
    e. Extension of Construction       701 & 159..............  350.00.................  CKN
     Authorization (per station).
    f. Special Temporary Authority or  Corres & 159...........  350.00.................  CKN
     request for Waiver (per request).
2. Section 214 Applications:
    a. Overseas Cable Construction...  Corres & 159...........  17,215.00..............  BIT
    b. Cable Landing License.........
        (i) Common Carrier...........  Corres & 159...........  1,935.00...............  CXT
        (ii) Non-Common Carrier......  Corres & 159...........  19,145.00..............  BJT
    c. All other International 214     Corres & 159...........  1,155.00...............  CUT
     Applications.
    d. Special Temporary Authority     Corres & 159...........  1,155.00...............  CUT
     (all services).
    e. Assignments or transfers (all   Corres & 159...........  1,155.00...............  CUT
     services).
3. Fixed Satellite Transmit/Receive
 Earth Stations:
    a. Initial Application (per        312 Main & Schedule B &  2,880.00...............  BAX
     station).                          159.
    b. Modification of License (per    312 Main & Schedule B &  200.00.................  CGX
     station).                          159.
    c. Assignment or Transfer........
        (i) First station............  312 Main & Schedule A &  570.00.................  CNX
                                        159.

[[Page 266]]

 
        (ii) Each Additional Station.  Attachment to 312-       190.00.................  CFX
                                        Schedule A.
    d. Renewal of License (per         312-R & 159............  200.00.................  CGX
     station ).
    e. Special Temporary Authority     312 Main & 159.........  200.00.................  CGX
     (per request).
    f. Amendment of Pending            312 Main & Schedule B &  200.00.................  CGX
     Application (per station).         159.
    g. Extension of Construction       312 Main & 159.........  200.00.................  CGX
     Permit (modification) (per
     station).
4. Fixed Satellite transmit/receive
 Earth Stations (2 meters or less
 operating in the 4/6 GHz frequency
 band):
    a. Lead Application..............  312 Main & Schedule B &  6,380.00...............  BDS
                                        159.
    b. Routine Application (per        312 Main & Schedule B &  70.00..................  CAS
     station).                          159.
    c. Modification of License (per    312 Main & Schedule B &  200.00.................  CGS
     station).                          159.
    d. Assignment or Transfer........
        (i) First Station............  312 Main & Schedule A &  570.00.................  CNS
                                        159.
    (ii) Each Additional Station.....  Attachment to 312-       70.00..................  CAS
                                        Schedule A.
    e. Renewal of License (per         312-R & 159............  200.00.................  CGS
     station).
    f. Special Temporary Authority     312 Main & 159.........  200.00.................  CGS
     (per request).
    g. Amendment of Pending            312 Main & Schedule A    200.00.................  CGS
     Application (per station).         or B & 159.
    h. Extension of Construction       312 & 159..............  200.00.................  CGS
     Permit (modification) (per
     station ).
5. Receive Only Earth Stations:
    a. Initial Applications for        312 Main & Schedule B &  435.00.................  CMO
     Registration or License (per       159.
     station).
    b. Modification of License or      312 Main & Schedule B &  200.00.................  CGO
     Registration (per station).        159.
    c. Assignment or Transfer........
        (i) First Station............  312 Main & Schedule A &  570.00.................  CNO
                                        159.
        (ii) Each Additional Station.  Attachment to 312-       190.00.................  CFO
                                        Schedule A.
    d. Renewal of License (per         312-R & 159............  200.00.................  CGO
     station).
    e. Amendment of Pending            312 Main & Schedule A    200.00.................  CGO
     Application (per station).         or B & 159.
    f. Extension of Construction       312 Main & 159.........  200.00.................  CGO
     Permit (modification) (per
     station).
    g. Waivers (per request).........  Corres & 159...........  200.00.................  CGO
6. Fixed Satellite Very Small
 Aperture Terminal (VSAT) Systems:
    a. Initial Application (per        312 Main & Schedule B &  10,620.00..............  BGV
     station).                          159.
    b. Modification of License (per    312 Main & Schedule B &  200.00.................  CGV
     system).                           159.
    c. Assignment or Transfer of       312 Main & Schedule A &  2,840.00...............  CZV
     System.                            159.
    d. Renewal of License (per         312-R & 159............  200.00.................  CGV
     system).
    e. Special Temporary Authority     312 & 159..............  200.00.................  CGV
     (per request).
    f. Amendment of Pending            312 Main & Schedule A    200.00.................  CGV
     Application (per system).          or B & 159.
    g. Extension of Construction       312 & 159..............  200.00.................  CGV
     Permit (modification) (per
     system).
7. Mobile Satellite Earth Stations:
    a. Initial Applications of         312 Main & Schedule B &  10,620.00..............  BGB
     Blanket Authorization.             159.
    b. Initial Application for         312 Main & Schedule B &  2,550.00...............  CYB
     Individual Earth Station.          159.
    c. Modification of License (per    312 Main & Schedule B &  200.00.................  CGB
     system).                           159.
    d. Assignment or Transfer (per     312 Main & Schedule A &  2,840.00...............  CZB
     system).                           159.
    e. Renewal of License (per         312-R & 159............  200.00.................  CGB
     system).
    f. Special Temporary Authority     312 & 159..............  200.00.................  CGB
     (per request).
    g. Amendment of Pending            312 Main & Schedule B &  200.00.................  CGB
     Application (per system).          159.
    h. Extension of Construction       312 & 159..............  200.00.................  CGB
     Permit (modification) (per
     system).
8. Space Stations (Geostationary):

[[Page 267]]

 
    a. Application for Authority to
     Launch & Operate (per satellite).
        (i) Initial Application......  312 Main & Schedule S &  132,030.00.............  BNY
                                        159.
        (ii) Replacement Satellite...  312 Main & Schedule S &  132,030.00.............  BNY
                                        159.
    b. Assignment or Transfer (per     312 Main & Schedule A &  9,435.00...............  BFY
     satellite).                        159.
    c. Modification (per satellite)..  312 Main & Schedule S    9,435.00...............  BFY
                                        (if needed) & 159.
    d. Special Temporary Authority     312 & 159..............  945.00.................  CRY
     (per satellite).
    e. Amendment of Pending            312 Main & Schedule S    1,890.00...............  CWY
     Application (per satellite).       (if needed) & 159.
    f. Extension of Launch Authority   312 Main & Corres & 159  945.00.................  CRY
     (per satellite).
9. Space Stations (NGSO):
    a. Application for Authority to    312 Main & Schedule S &  454,705.00.............  CLW
     Launch & Operate (per system of    159.
     technically identical
     satellites) satellites).
    b. Assignment or Transfer (per     312 Main & Schedule A &  13,000.00..............  CZW
     system).                           159.
    c. Modification (per system).....  312 Main & Schedule S    32,480.00..............  CGW
                                        (if needed) & 159.
    d. Special Temporary Authority     Corres & 159...........  3,255.00...............  CXW
     (per request).
    e. Amendment of Pending            312 Main & Schedule S &  6,500.00...............  CAW
     Application (per request).         159.
    f. Extension of Launch Authority   312 Main & 159.........  3,255.00...............  CXW
     (per system).
10. Direct Broadcast Satellites:
    a. Authorization to Construct or   312 Main & Schedule S &  3,830.00...............  MTD
     Major Modification (per            159.
     satellite).
    b. Construction Permit and Launch  312 Main & Schedule S &  37,180.00..............  MXD
     Authority (per satellite).         159.
    c. License to Operate (per         312 Main & Schedule S &  1,070.00...............  MPD
     satellite).                        159.
    d. Special Temporary Authority     312 Main & 159.........  190.00.................  MGD
     (per satellite).
11. International Broadcast Stations:
    a. New Station & Facilities        309 & 159..............  3,220.00...............  MSN
     Change Construction Permit (per
     application).
    b. New License (per application).  310 & 159..............  730.00.................  MNN
    c. License Renewal (per            311 & 159..............  180.00.................  MFN
     application).
    d. License Assignment or Transfer  314 & 159 or...........  115.00.................  MCN
     of Control (per station license). 315 & 159..............  115.00.................  MCN
                                       or 316 & 159...........  115.00.................  MCN
    e. Frequency Assignment &          Corres & 159...........  70.00..................  MAN
     Coordination (per frequency
     hour).
    f. Special Temporary               Corres & 159...........  190.00.................  MGN
     Authorization (per application).
12. Permit to Deliver Programs to
 Foreign Broadcast Stations (per
 application):
    a. Commercial Television Stations  308 & 159..............  105.00.................  MBT
    b. Commercial AM or FM Radio       308 & 159..............  105.00.................  MBR
     Stations.
13. Recognized Operating Agency (per   Corres & 159...........  1,155.00...............  CUG
 application):.
----------------------------------------------------------------------------------------------------------------


[81 FR 49189, July 27, 2016]



Sec. 1.1108  Schedule of charges for applications and other filings 
for the international telecommunication services.

    Payment can be made electronically using the Commission's electronic 
filing and payment system ``Fee Filer'' (www.fcc.gov/feefiler). Remit 
manual filings and/or payments for these services to: Federal 
Communications Commission, International Telecommunication Fees, P.O. 
Box 979096, St. Louis, MO 63197-9000.

----------------------------------------------------------------------------------------------------------------
               Service                       FCC Form No.            Fee amount ($)         Payment type code
----------------------------------------------------------------------------------------------------------------
1. Administrative Fee For Collections  99 & 99A...............  2.00...................  IAT
 (per line item).
2. Telecommunication Charges.........  99 & 99A...............  .......................  ITTS
----------------------------------------------------------------------------------------------------------------


[81 FR 49191, July 27, 2016]

[[Page 268]]



Sec. 1.1109  Schedule of charges for applications and other filings 
for the Homeland services.

    Remit filings and/or payment for these services electronically using 
the Commission's electronic filing and payment system, in accordance 
with the procedures set forth on the Commission's Web site, https://
www.fcc.gov/licensing-databases/fees.

----------------------------------------------------------------------------------------------------------------
                                                                                                   Payment type
                    Service                               FCC Form No.              Fee amount         code
----------------------------------------------------------------------------------------------------------------
1. Communication Assistance for Law             Correspondence & 159............       $6,695.00            CLEA
 Enforcement (CALEA) Petitions.
----------------------------------------------------------------------------------------------------------------


[82 FR 24561, May 30, 2017]



Sec. 1.1110  Attachment of charges.

    The charges required to accompany a request for the Commission's 
regulatory services listed in Sec. Sec. 1.1102 through 1.1109 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 only in certain limited instances as set out at Sec. 
1.1115 of this subpart.

[74 FR 3445, Jan. 21, 2009]



Sec. 1.1111  Payment of charges.

    (a) The schedule of fees for applications and other filings (Bureau/
Office Fee Filing Guides) lists those applications and other filings 
that must be accompanied by an FCC Form 159, Remittance Advice' or the 
electronic version of the form, FCC Form 159-E, one of the forms that is 
automatically generated when an applicant accesses the Commission's on-
line filing and payment process.
    (b) Applicants may access the Commission's on-line filing (http://
www.fcc.gov/e-file.html) and fee payment program by accessing (http://
www.fcc.gov/feefiler.html). Applicants who use the on-line process will 
be directed to the appropriate electronic application and payment forms 
for completion and submission of the required application(s) and payment 
information.
    (c) Applications and other filings that are not submitted in 
accordance with these instructions will be returned as unprocessable.

    Note to paragraph (c):
    This requirement for the simultaneous submission of fee forms with 
applications or other filings does not apply to the payment of fees for 
which the Commission has established a billing process. See Sec. 1.1121 
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.

[[Page 269]]

    (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. 1.1118(b) of the 
rules.

    Note to paragraph (e):
    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.

[74 FR 3445, Jan. 21, 2009]



Sec. 1.1112  Form of payment.

    (a) Annual and multiple year regulatory fees must be paid 
electronically as described in paragraph (e) of this section. Fee 
payments, other than annual and multiple year regulatory fee payments, 
should be in the form of a check, cashier's check, 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 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) Although payments (other than annual and multiple year 
regulatory fee payments) may be submitted in the form of a check, 
cashier's check, or money order, payors of these fees are encouraged to 
submit these payments electronically under the procedures described in 
paragraph (e) of this section.
    (2) Specific procedures for electronic payments are announced in 
Bureau/Office fee filing guides.
    (3) 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.
    (4) To insure proper credit, applicants making wire transfer 
payments must follow the instructions set out in the appropriate Bureau 
Office fee filing guide.
    (b) Applicants are required to submit one payment instrument (check, 
cashier's check, or money order) and FCC Form 159 with each application 
or filing; multiple payment instruments for a single application or 
filing are not permitted. 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) Annual and multiple year regulatory fee payments shall be 
submitted by online ACH payment, online Visa, MasterCard, American 
Express, or Discover credit card payment, or wire transfer payment 
denominated in U.S. dollars and drawn on a United States financial 
institution and made payable

[[Page 270]]

to the Federal Communications Commission. No other credit card is 
acceptable. Any other form of payment for regulatory fees (e.g., paper 
checks) will be rejected and sent back to the payor.
    (f) All fees collected will be paid into the general fund of the 
United States Treasury in accordance with Pub. L. 99-272.
    (g) 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. 
Redesignated and amended at 74 FR 3445, Jan. 21, 2009; 80 FR 66816, Oct. 
30, 2015]



Sec. 1.1113  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 1.1109.
    (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 1.1109, 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. 1.1119(b) of this subpart must be 
accompanied by the required fee for the application or other filing 
being considered or reviewed.
    (4) Applicants claiming an exemption from a fee requirement for an 
application or other filing under 47 U.S.C. 158(d)(1) or Sec. 1.1116 of 
this subpart shall file their applications in the appropriate location 
as set forth in the rules 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 1.1109.
    (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 
1.1111.)
    (d) Fees for applications and other filings pertaining to the 
Multichannel

[[Page 271]]

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. 
Redesignated and amended at 74 FR 3445, Jan. 21, 2009; 74 FR 5117, Jan. 
29, 2009; 75 FR 36550, June 28, 2010]



Sec. 1.1114  Conditionality of Commission or staff authorizations.

    (a) Any instrument of authorization granted by the Commission, or by 
its staff under delegated authority, will be conditioned upon final 
payment of the applicable fee or delinquent fees and timely payment of 
bills issued by the Commission. As applied to checks, bank drafts and 
money orders, final payment shall mean receipt by the Treasury of funds 
cleared by the 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 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.
    (ii) [Reserved]
    (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

[[Page 272]]

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. Redesignated and 
amended at 74 FR 3445, Jan. 21, 2009]



Sec. 1.1115  Return or refund of charges.

    (a) All refunds will be issued to the payer named in the appropriate 
block of the FCC Form 159. The full amount of any fee submitted will be 
returned or refunded, as appropriate, under the authority granted at 
Sec. 0.231.
    (1) When no fee is required for the application or other filing. 
(see Sec. 1.1111).
    (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, applicant indicates 
that there is a previously filed pending application for the same vacant 
channel, such applicant notifies the Commission that they no longer wish 
their application to remain on file behind the first applicant and any 
other applicants filed before his or her application, and the applicant 
specifically requests a refund of the fee paid and dismissal of his or 
her application.
    (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 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; 71 54234, Sept. 14, 2006. Redesignated and amended at 74 FR 3445, 
Jan. 21, 2009]



Sec. 1.1116  General exemptions to charges.

    No fee established in Sec. Sec. 1.1102 through 1.1109 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

[[Page 273]]

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 
(NCE) 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.
    (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 NCE broadcast station on an NCE basis.
    (e) Other applicants, permittees, or licensees providing, or 
proposing to provide, an NCE 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 an NCE basis;
    (2) An applicant for a translator or low power television station 
that proposes an NCE 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 an NCE 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 NCE 
translator or low power station.
    (4) An applicant that is the licensee in the Educational Broadband 
Service (EBS) (formerly, Instructional Television Fixed Service (ITFS)) 
(parts 27 and 74, e.g., Sec. Sec. 27.1200, et seq., and 74.832(b), of 
this chapter) is exempt from filing fees where the authorization 
requested will be used by the applicant in conjunction with the 
provision of the EBS.
    (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, 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; 71 FR 54234, Sept. 14, 2006. Redesignated and amended at 74 FR 
3445, Jan. 21, 2009]



Sec. 1.1117  Adjustments to charges.

    (a) The Schedule of Charges established by Sec. Sec. 1.1102 through 
1.1109 of this subpart shall be reviewed by the Commission on October 1, 
1999 and every two years thereafter, and adjustments

[[Page 274]]

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. Redesignated and 
amended at 74 FR 3445, Jan. 21, 2009]



Sec. 1.1118  Penalty for late or insufficient payments.

    (a) Filings subject to fees and accompanied by defective fee 
submissions will be dismissed under Sec. 1.1111 (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 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 of 1996 (DCIA), Public Law 104-134, 
110 Stat. 1321, 1358 (Apr. 26, 1996), codified at 31 U.S.C. 3711 et seq. 
See 47 CFR 1.1901 through 1.1952. The debt collection processes 
described

[[Page 275]]

above may proceed concurrently with any other sanction in this 
paragraph.

[52 FR 5289, Feb. 20, 1987, as amended at 53 FR 40889, Oct. 19, 1988; 55 
FR 19172, May 8, 1990. Redesignated and amended at 59 FR 30998, June 16, 
1994. Redesignated at 60 FR 5326, Jan. 27, 1995, as amended at 67 FR 
67337, Nov. 5, 2002; 69 FR 41177, July 7, 2004; 69 FR 27847, May 17, 
2004; 69 FR 41177, July 7, 2004. Redesignated and amended at 74 FR 3445, 
Jan. 21, 2009]

    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. 1.1119  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. 1.1111 of this 
subpart. Submitted fees will be returned if a waiver is granted. The 
Commission will not be responsible for delays in acting upon these 
requests.
    (f) Petitions for waiver of a fee based on financial hardship will 
be subject to the provisions of paragraph 1.1166(e).

[52 FR 5289, Feb. 20, 1987, as amended at 55 FR 19172, May 8, 1990; 55 
FR 38065, Sept. 17, 1990. Redesignated and amended at 59 FR 30998, June 
16, 1994, as further amended at 59 FR 30999, June 16, 1994. Redesignated 
at 60 FR 5326, Jan. 27, 1995, as amended at 65 FR 49762, Aug. 15, 2000; 
66 FR 36202, July 11, 2001; 67 FR 67337, Nov. 5, 2002; 68 FR 48467, Aug. 
13, 2003. Redesignated and amended at 74 FR 3445, Jan. 21, 2009]



Sec. 1.1120  Error claims.

    (a) Applicants who wish to challenge a staff determination of an 
insufficient fee or delinquent debt may do so in writing. A challenge to 
a determination that a party is delinquent in paying the full 
application fee must be accompanied by suitable proof that the 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. 1.1118) 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 e-mailed 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.

[[Page 276]]

    (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. Redesignated and amended at 74 FR 3445, Jan. 21, 2009]



Sec. 1.1121  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. 1.1113 
of this subpart.

[55 FR 19172, May 8, 1990, as amended at 58 FR 68541, Dec. 28, 1993. 
Redesignated and amended at 59 FR 30998, June 16, 1994. 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. Redesignated and 
amended at 74 FR 3445, Jan. 21, 2009]



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 for wireless radio services.

------------------------------------------------------------------------
          Exclusive use services  (per license)           Fee amount \1\
------------------------------------------------------------------------
1. Land Mobile (Above 470 MHz and 220 MHz Local, Base
 Station & SMRS) (47 CFR part 90).......................
    (a) New, Renew/Mod (FCC 601 & 159)..................          $25.00
    (b) New, Renew/Mod (Electronic Filing) (FCC 601 &              25.00
     159)...............................................
    (c) Renewal Only (FCC 601 & 159)....................           25.00
    (d) Renewal Only (Electronic Filing) (FCC 601 & 159)           25.00
220 MHz Nationwide:
    (a) New, Renew/Mod (FCC 601 & 159)..................           25.00
    (b) New, Renew/Mod (Electronic Filing) (FCC 601 &              25.00
     159)...............................................
    (c) Renewal Only (FCC 601 & 159)....................           25.00
    (d) Renewal Only (Electronic Filing) (FCC 601 & 159)           25.00
2. Microwave (47 CFR Pt. 101) (Private).................
    (a) New, Renew/Mod (FCC 601 & 159)..................           25.00
    (b) New, Renew/Mod (Electronic Filing) (FCC 601 &              25.00
     159)...............................................
    (c) Renewal Only (FCC 601 & 159)....................           25.00
    (d) Renewal Only (Electronic Filing) (FCC 601 & 159)           25.00
3. Shared Use Services Land Mobile (Frequencies Below
 470 MHz--except 220 MHz)...............................
    (a) New, Renew/Mod (FCC 601 & 159)..................           10.00
    (b) New, Renew/Mod (Electronic Filing) (FCC 601 &              10.00
     159)...............................................
    (c) Renewal Only (FCC 601 & 159)....................           10.00
    (d) Renewal Only (Electronic Filing) (FCC 601 & 159)           10.00
Rural Radio (Part 22):
    (a) New, Additional Facility, Major Renew/Mod                  10.00
     (Electronic Filing) (FCC 601 & 159)................
    (b) Renewal, Minor Renew/Mod (Electronic Filing)               10.00
     (FCC 601 & 159) Marine Coast.......................
Marine Coast (per license) (47 CFR part 80):

[[Page 277]]

 
    (a) New Renewal/Mod (FCC 601 & 159).................           40.00
    (b) New, Renewal/Mod (Electronic Filing) (FCC 601 &            40.00
     159)...............................................
    (c) Renewal Only (FCC 601 & 159)....................           40.00
    (d) Renewal Only (Electronic Filing) (FCC 601 & 159)           40.00
Aviation Ground:
    (a) New, Renewal/Mod (FCC 601 & 159)................           20.00
    (b) New, Renewal/Mod (Electronic Filing) (FCC 601 &            20.00
     159)...............................................
    (c) Renewal Only (FCC 601 & 159)....................           20.00
    (d) Renewal Only (Electronic Only) (FCC 601 & 159)..           20.00
Marine Ship:
    (a) New, Renewal/Mod (FCC 605 & 159)................           15.00
    (b) New, Renewal/Mod (Electronic Filing) (FCC 605 &            15.00
     159)...............................................
    (c) Renewal Only (FCC 605 & 159)....................           15.00
    (d) Renewal Only (Electronic Filing) (FCC 605 & 159)           15.00
Aviation Aircraft:
    (a) New, Renew/Mod (FCC 605 & 159)..................           10.00
    (b) New, Renew/Mod (Electronic Filing) (FCC 605 &              10.00
     159)...............................................
    (c) Renewal Only (FCC 605 & 159)....................           10.00
    (d) Renewal Only (Electronic Filing) (FCC 605 & 159)           10.00
4. CMRS Cellular/Mobile Services (per unit) (FCC 159)...         \2\ .21
5. CMRS Messaging Services (per unit) (FCC 159).........         \3\ .08
6. Broadband Radio Service (formerly MMDS and MDS)......             800
7. Local Multipoint Distribution Service................             800
------------------------------------------------------------------------
\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
  10-year license term to arrive at the total amount of regulatory fees
  owed. Also, application fees may apply as detailed in Sec. 1.1102.
\2\ These are standard fees that are to be paid in accordance with Sec.
   1.1157(b).
\3\ These are standard fees that are to be paid in accordance with Sec.
   1.1157(b).


[82 FR 44343, Sept. 22, 2017]



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
------------------------------------------------------------------------
1. AM Class A:
    <=25,000 population.................................            $895
    25,001-75,000 population............................           1,350
    75,001-150,000 population...........................           2,375
    150,001-500,000 population..........................           3,550
    500,001-1,200,000 population........................           5,325
    1,200,001-3,000,000 population......................           7,975
    3,000,001-6,000,000 population......................          11,950
    6,000,000 population.....................          17,950
2. AM Class B:
    <=25,000 population.................................             640
    25,001-75,000 population............................             955
    75,001-150,000 population...........................           1,700
    150,001-500,000 population..........................           2,525
    500,001-1,200,000 population........................           3,800
    1,200,001-3,000,000 population......................           5,700
    3,000,001-6,000,000 population......................           8,550
    6,000,000 population.....................          12,825
3. AM Class C:
    <=25,000 population.................................             555
    25,001-75,000 population............................             830
    75,001-150,000 population...........................           1,475
    150,001-500,000 population..........................           2,200
    500,001-1,200,000 population........................           3,300
    1,200,001-3,000,000 population......................           4,950
    3,000,001-6,000,000 population......................           7,400
    6,000,000 population.....................          11,100
4. AM Class D:
    <=25,000 population.................................             610
    25,001-75,000 population............................             915
    75,001-150,000 population...........................           1,600
    150,001-500,000 population..........................           2,425
    500,001-1,200,000 population........................           3,625
    1,200,001-3,000,000 population......................           5,425
    3,000,001-6,000,000 population......................           8,150
    6,000,000 population.....................          12,225

[[Page 278]]

 
5. AM Construction Permit                                            555
6. FM Classes A, B1 and C3:
    <=25,000 population.................................             980
    25,001-75,000 population............................           1,475
    75,001-150,000 population...........................           2,600
    150,001-500,000 population..........................           3,875
    500,001-1,200,000 population........................           5,825
    1,200,001-3,000,000 population......................           8,750
    3,000,001-6,000,000 population......................          13,100
    6,000,000 population.....................          19,650
7. FM Classes B, C, C0, C1 and C2:
    <=25,000 population.................................           1,100
    25,001-75,000 population............................           1,650
    75,001-150,000 population...........................           2,925
    150,001-500,000 population..........................           4,400
    500,001-1,200,000 population........................           6,575
    1,200,001-3,000,000 population......................           9,875
    3,000,001-6,000,000 population......................          14,800
    6,000,000 population.....................          22,225
8. FM Construction Permits..............................             980
------------------------------------------------------------------------
                           TV (47 CFR part 73)
------------------------------------------------------------------------
Digital TV (UHF and VHF Commercial Stations):
    1. Markets 1 thru 10................................         $59,750
    2. Markets 11 thru 25...............................          45,025
    3. Markets 26 thru 50...............................          30,050
    4. Markets 51 thru 100..............................          14,975
    5. Remaining Markets................................           4,925
    6. Construction Permits.............................           4,925
Satellite UHF/VHF Commercial:
1. All Markets..........................................           1,725
Low Power TV, Class A TV, TV/FM Translator, & TV/FM                  430
 Booster (47 CFR part 74)...............................
------------------------------------------------------------------------


[82 FR 44344, Sept. 22, 2017]



Sec. 1.1154  Schedule of annual regulatory charges for common carrier
services.

------------------------------------------------------------------------
               Radio facilities                        Fee amount
------------------------------------------------------------------------
1. Microwave (Domestic Public Fixed)           $25.00.
 (Electronic Filing) (FCC Form 601 & 159).
------------------------------------------------------------------------
                                Carriers
------------------------------------------------------------------------
1. Interstate Telephone Service Providers      .00302.
 (per interstate and international end-user
 revenues (see FCC Form 499-A).
2. Toll Free Number Fee......................  .12 per Toll Free Number.
------------------------------------------------------------------------


[82 FR 44345, Sept. 22, 2017]

[[Page 279]]



Sec. 1.1155  Schedule of regulatory fees for cable television services.

------------------------------------------------------------------------
                                                       Fee amount
------------------------------------------------------------------------
1. Cable Television Relay Service............  $935.
2. Cable TV System, Including IPTV (per        .95.
 subscriber).
3. Direct Broadcast Satellite (DBS)..........  .38 per subscriber.
------------------------------------------------------------------------


[82 FR 44345, Sept. 22, 2017]



Sec. 1.1156  Schedule of regulatory fees for international services.

    (a) Geostationary Orbit (GSO) and Non-Geostationary Orbit (NGSO) 
Space Stations. Regulatory fees are to be paid for GSO and NGSO Space 
Stations that are licensed and operational as of October 1, 2016. The 
following schedule applies for the listed services:

------------------------------------------------------------------------
                 Fee category                          Fee amount
------------------------------------------------------------------------
Space Stations (Geostationary Orbit).........  $140,925
Space Stations (Non-Geostationary Orbit).....  135,350
Earth Stations: Transmit/Receive & Transmit    360
 only (per authorization or registration).
------------------------------------------------------------------------

    (b) International Terrestrial and Satellite. (1) Regulatory fees for 
International Bearer Circuits are to be paid by facilities-based common 
carriers that have active (used or leased) international bearer circuits 
as of December 31 of the prior year in any terrestrial or satellite 
transmission facility for the provision of service to an end user or 
resale carrier, which includes active circuits to themselves or to their 
affiliates. In addition, non-common carrier satellite operators must pay 
a fee for each circuit sold or leased to any customer, including 
themselves or their affiliates, other than an international common 
carrier authorized by the Commission to provide U.S. international 
common carrier services. ``Active circuits'' for these purposes include 
backup and redundant circuits. In addition, whether circuits are used 
specifically for voice or data is not relevant in determining that they 
are active circuits.
    (2) The fee amount, per active 64 KB circuit or equivalent will be 
determined for each fiscal year.

------------------------------------------------------------------------
   International Terrestrial and Satellite
      (capacity as of December 31, 2016)               Fee amount
------------------------------------------------------------------------
Terrestrial Common Carrier...................  $0.03 per 64 KB Circuit
Satellite Common Carrier.....................
Satellite Non-Common Carrier.................
------------------------------------------------------------------------

    (c) Submarine cable. Regulatory fees for submarine cable systems 
will be paid annually, per cable landing license, for all submarine 
cable systems operating as of December 31 of the prior year. The fee 
amount will be determined by the Commission for each fiscal year.

------------------------------------------------------------------------
Submarine Cable Systems  (capacity as of Dec.
                  31, 2016)                            Fee amount
------------------------------------------------------------------------
<2.5 Gbps....................................  $8,600
2.5 Gbps or greater, but less than 5 Gbps....  17,175
5 Gbps or greater, but less than 10 Gbps.....  34,350
10 Gbps or greater, but less than 20 Gbps....  68,725
20 Gbps or greater...........................  137,425
------------------------------------------------------------------------


[[Page 280]]


[82 FR 44346, Sept. 22, 2017]



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 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 annual and multiple year regulatory fee payment must be 
submitted by online Automatic Clearing House (ACH) payment, online Visa, 
MasterCard, American Express, or Discover credit card payment, or wire 
transfer payment denominated in U.S. dollars and drawn on a United 
States financial institution and made payable to the Federal 
Communications Commission. No other credit card is acceptable. Any other 
form of payment for annual and multiple year regulatory fees (e.g., 
paper checks, cash) will be rejected and sent back to the payor. The 
Commission will not be responsible for cash, under any circumstances, 
sent through the mail.
    (a) Payors making wire transfer payments must submit an accompanying 
FCC Form 159-E via facsimile.
    (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.

[[Page 281]]

    (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; 
80 FR 66816, Oct. 30, 2015]



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 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

[[Page 282]]

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 an annual or multiple year regulatory fee is 
required to accompany the application or filing will be conditioned upon 
final payment of the current or delinquent regulatory fees. Current 
annual and multiple year regulatory fees must be paid electronically as 
described in Sec. 1.1112(e). For all other fees, (e.g., application 
fees, delinquent regulatory fees) final payment shall mean receipt by 
the U.S. Treasury of funds cleared by the financial institution on which 
the check, cashier's check, or money order is drawn. Electronic payments 
are considered timely when a wire transfer was received by the 
Commission's bank no later than 6:00 p.m. on the due date; confirmation 
to pay.gov that a credit card payment was successful no later than 11:59 
p.m. (EST) on the due date; or confirmation an ACH was credited no later 
than 11:59 p.m. (EST) on the due date.
    (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; 80 
FR 66816, Oct. 30, 2015]



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

[[Page 283]]

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 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 
(NCE) 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 NCE broadcast station on 
an NCE basis.
    (g) Other applicants, permittees or licensees providing, or 
proposing to provide, a NCE or instructional service, but not qualifying 
under paragraph (e) of this section, may be exempt from regulatory fees, 
or be entitled to a 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 an NCE basis;
    (2) An applicant, permittee or licensee of a translator or low power 
television station operating or proposing to operate an NCE service who, 
after grant, provides proof that it has received funding for the 
construction of

[[Page 284]]

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 an NCE station, is exempt from fees for 
broadcast auxiliary stations (subparts D, E, F, and G 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 NCE translator or low power station.
    (h) An applicant, permittee or licensee that is the licensee in the 
Educational Broadband Service (EBS) (formerly, Instructional Television 
Fixed Service (ITFS)) (parts 27 and 74, e.g., Sec. Sec. 27.1200, et 
seq., and 74.832(b), of this chapter) is exempt from regulatory fees 
where the authorization requested will be used by the applicant in 
conjunction with the provision of the EBS.
    (i) Applications filed in the wireless radio service for the sole 
purpose of modifying an existing authorization (or a pending application 
for authorization). However, if the applicant also requests a renewal or 
reinstatement of its license or other authorization for which the 
submission of a regulatory 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; 71 FR 43872, Aug. 2, 2006]



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

[[Page 285]]

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.

    Electronic payments are considered timely when a wire transfer was 
received by the Commission's bank no later than 6:00 p.m. on the due 
date; confirmation to pay.gov that a credit card payment was successful 
no later than 11:59 p.m. (EST) on the due date; or confirmation an ACH 
was credited no later than 11:59 p.m. (EST) on the due date. In 
instances where a non-annual regulatory payment (i.e., delinquent 
payment) is made by check, cashier's check, or money order, 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. Where a non-annual regulatory fee payment is made by 
check, cashier's check, or money order, 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 the Managing Director. 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) 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.
    (c) If a regulatory fee is not 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

[[Page 286]]

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; 76 
FR 24393, May 2, 2011; 76 FR 49364, Aug. 10, 2011; 80 FR 66816, Oct. 30, 
2015]



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 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, if granted, will be for a designated period 
of time not to exceed six months.
    (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 979084, St. Louis, Missouri, 
63197-9000. 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

[[Page 287]]

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; 73 FR 9029, Feb. 
19, 2008; 76 FR 49364, Aug. 10, 2011]



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]



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]

[[Page 288]]



                    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 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

[[Page 289]]

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 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).

    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

[[Page 290]]

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; 76 FR 24381, May 2, 2011]

                       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. Except as otherwise 
provided in Sec. 1.1204(a)(6), if the presentation is of substantial 
significance and clearly intended to affect the ultimate decision, and 
is made in a permit-but-disclose proceeding, 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).
    (b) The prohibition set forth in paragraph (a) of this section 
begins on the day (including business days and holidays) after 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.
    (c) The prohibition set forth in paragraph (a) of this section shall 
not apply to the filing of a written ex parte presentation or a 
memorandum summarizing an oral ex parte presentation made on the day 
before the Sunshine period begins, or a permitted reply thereto.

[62 FR 15855, Apr. 3, 1997, as amended at 64 FR 68947, Dec. 9, 1999; 76 
FR 24381, May 2, 2011]

                           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.

[[Page 291]]

    (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 communications 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 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;

[[Page 292]]

    (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:
    (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;
    (v) The TRS Numbering Administrator relating to the administration 
of the TRS numbering directory pursuant to 47 U.S.C. 225 and 47 U.S.C. 
251(e); or
    (vi) The Pooling Administrator relating to the administration of 
thousands-block number pooling pursuant to 47 U.S.C. 251(e).
    (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;

[[Page 293]]

    (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; 76 FR 24381, May 2, 2011]

                       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 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

[[Page 294]]

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) [Reserved]
    (13) 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) Oral presentations. A person who makes an oral ex parte 
presentation subject to this section shall submit to the Commission's 
Secretary a memorandum that lists all persons attending or otherwise 
participating in the meeting at which the ex parte presentation was 
made, and summarizes all data presented and arguments made during the 
oral ex parte presentation. 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. If the oral ex 
parte presentation consisted in whole or in part of the presentation of 
data or arguments already reflected in the presenter's written comments, 
memoranda or other filings in the proceeding, the presenter may provide 
citations to such data or arguments in his or her prior comments, 
memoranda, or other filings (specifying the relevant page and/or 
paragraph numbers where such data or arguments can be found) in lieu of 
summarizing them in the memorandum.

    Note to paragraph (b)(1):
    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 recording of the discussion as 
an alternative to a memorandum. Likewise, Commission staff in its 
discretion may file an ex parte summary of a multiparty meeting as an 
alternative to having each participant file a summary.

    (2) Written and oral presentations. A written ex parte presentation 
and a memorandum summarizing an oral ex parte presentation (and cover 
letter, if any) shall clearly identify the proceeding to which it 
relates, including the docket number, if any, and must be labeled as an 
ex parte presentation. Documents shown or given to Commission staff 
during ex parte meetings are deemed to be written ex parte presentations 
and, accordingly, must be filed consistent with the provisions of this 
section. Consistent with the requirements of Sec. 1.49 paragraphs (a) 
and (f), additional copies of all written ex parte presentations and 
notices of oral ex parte presentations, and any replies thereto, shall 
be mailed, e-mailed or transmitted by facsimile to the Commissioners or 
Commission employees who attended or otherwise participated in the 
presentation.
    (i) In proceedings governed by Sec. 1.49(f) or for which the 
Commission has made available a method of electronic filing, written ex 
parte presentations and memoranda summarizing oral ex parte 
presentations, and all attachments thereto, shall, when feasible, be 
filed through the electronic comment filing system available for that 
proceeding, and shall be filed in a native format (e.g., .doc, .xml, 
.ppt, searchable .pdf). If electronic filing would present an undue 
hardship, the person filing must request an exemption from the 
electronic filing requirement, stating clearly the nature of the 
hardship, and submitting an original and one copy of

[[Page 295]]

the written ex parte presentation or memorandum summarizing an oral ex 
parte presentation to the Secretary, with a copy by mail or by 
electronic mail to the Commissioners or Commission employees who 
attended or otherwise participated in the presentation.
    (ii) Confidential Information. In cases where a filer believes that 
one or more of the documents or portions thereof to be filed should be 
withheld from public inspection, the filer should file electronically a 
request that the information not be routinely made available for public 
inspection pursuant to Sec. 0.459 of this chapter. Accompanying any 
such request, the filer shall include in paper form a copy of the 
document(s) containing the confidential information, and also shall file 
electronically a copy of the same document(s) with the confidential 
information redacted. The redacted document shall be machine-readable 
whenever technically possible. Where the document to be filed 
electronically contains metadata that is confidential or protected from 
disclosure by a legal privilege (including, for example, the attorney-
client privilege), the filer may remove such metadata from the document 
before filing it electronically.
    (iii) Filing dates outside the Sunshine period. Except as otherwise 
provided in paragraphs (b)(2)(iv) and (v) of this section, all written 
ex parte presentations and all summaries of oral ex parte presentations 
must be filed no later than two business days after the presentation. As 
set forth in Sec. 1.4(e)(2), a ``business day'' shall not include a 
holiday (as defined in Sec. 1.4(e)(1)). In addition, for purposes of 
computing time limits under the rules governing ex parte presentations, 
a ``business day'' shall include the full calendar day (i.e., from 12:00 
a.m. Eastern Time until 11:59:59 p.m. Eastern Time).

    Example: On Tuesday a party makes an ex parte presentation in a 
permit-but-disclose proceeding to a Commissioner. The second business 
day following the ex parte presentation is the following Thursday 
(absent an intervening holiday). The presenting party must file its ex 
parte notice before the end of the day (11:59:59 p.m.) on Thursday. 
Similarly, if an ex parte presentation is made on Friday, the second 
business day ordinarily would be the following Tuesday, and the ex parte 
notice must be filed no later than 11:59:59 p.m. on that Tuesday.

    (iv) Filing dates for presentations made on the day that the 
Sunshine notice is released. For presentations made on the day the 
Sunshine notice is released, any written ex parte presentation or 
memorandum summarizing an oral ex parte presentation required pursuant 
to Sec. 1.1206 or Sec. 1.1208 must be submitted no later than the end 
of the next business day. Written replies, if any, shall be filed no 
later than two business days following the presentation, and shall be 
limited in scope to the specific issues and information presented in the 
ex parte filing to which they respond.

    Example: On Tuesday, a party makes an ex parte presentation in a 
permit-but-disclose proceeding to a Commissioner. That same day, the 
Commission's Secretary releases the Sunshine Agenda for the next 
Commission meeting and that proceeding appears on the Agenda. The 
Sunshine period begins as of Wednesday, and therefore the presenting 
party must file its ex parte notice by the end of the day (11:59:59 
p.m.) on Wednesday. A reply would be due by the end of the day (11:59:59 
p.m.) on Thursday.

    (v) Filing dates during the Sunshine Period. If an ex parte 
presentation is made pursuant to an exception to the Sunshine period 
prohibition, the written ex parte presentation or memorandum summarizing 
an oral ex parte presentation required under this paragraph shall be 
submitted by the end of the same business day on which the ex parte 
presentation was made. The memorandum shall identify plainly on the 
first page the specific exemption in Sec. 1.1203(a) on which the 
presenter relies, and shall also state the date and time at which any 
oral ex parte presentation was made. Written replies to permissible ex 
parte presentations made pursuant to an exception to the Sunshine period 
prohibition, if any, shall be filed no later than the next business day 
following the presentation, and shall be limited in scope to the 
specific issues and information presented in the ex parte filing to 
which they respond.

    Example: On Tuesday, the Commission's Secretary releases the 
Sunshine Agenda for the next Commission meeting, which triggers the 
beginning of the Sunshine period on Wednesday. On Thursday, a party 
makes an ex parte presentation to a Commissioner on a proceeding that 
appears on the Sunshine

[[Page 296]]

Agenda. That party must file an ex parte notice by the end of the day 
(11:59:59 p.m.) on Thursday. A reply would be due by the end of the day 
(11:59:59 p.m.) on Friday.

    (vi) If a notice of an oral ex parte presentation is incomplete or 
inaccurate, staff may request the filer to correct any inaccuracies or 
missing information. Failure by the filer to file a corrected memorandum 
in a timely fashion as set forth in paragraph (b) of this section, or 
any other evidence of substantial or repeated violations of the rules on 
ex parte contacts, should be reported to the General Counsel.
    (3) Notwithstanding paragraphs (b)(1) and (2) of this section, 
permit-but-disclose proceedings involving 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 written summaries of any such oral presentations and place them 
in the record in accordance with paragraph (b) of this section and also 
place any written presentations in the record in accordance with that 
paragraph.
    (4) Notice of ex parte presentations. The Commission's 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 generally should be released at least twice per week.

    Note 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.

[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; 76 FR 24382, May 2, 
2011; 78 FR 11112, Feb. 15, 2013]

                         Restricted Proceedings



Sec. 1.1208  Restricted proceedings.

    Unless otherwise provided by the Commission or its staff pursuant to 
Sec. 1.1200(a) ex parte presentations (other than ex parte 
presentations exempt under Sec. 1.1204(a)) 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) 
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, 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). A party making a written 
or oral presentation in a restricted proceeding, on a non-ex parte 
basis, must file a copy of the presentation or, for an oral 
presentation, a summary of the presentation in the record of the 
proceeding using procedures consistent with those specified in Sec. 
1.1206.

    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

[[Page 297]]

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; 76 
FR 24383, May 2, 2011]

              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 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

[[Page 298]]

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 
subject to sanctions as provided in paragraph (d) of this section, or 
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.
    (d) Penalties. A party who has violated or caused the violation of 
any provision of this subpart may be subject to admonishment, monetary 
forfeiture, or to having his or her claim or interest in the proceeding 
dismissed, denied, disregarded, or otherwise adversely affected. In any 
proceeding, such alternative or additional sanctions as may be 
appropriate also may be imposed. Upon referral from the General Counsel 
following a finding of an ex parte violation pursuant to Sec. 0.251(g) 
of this chapter, the Enforcement Bureau shall have delegated authority 
to impose sanctions in such matters pursuant to Sec. 0.111(a)(15) of 
this chapter.

[62 FR 15858, Apr. 3, 1997, as amended at 76 FR 24383, May 2, 2011]



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 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

[[Page 299]]

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).
    (c)(1) Unless Sec. 1.1307(a)(4) is applicable, the provisions of 
Sec. 1.1307(a) requiring the preparation of EAs do not encompass the 
construction of wireless facilities, including deployments on new or 
replacement poles, if:
    (i) The facilities will be located in a right-of-way that is 
designated by a Federal, State, local, or Tribal government for 
communications towers, above-ground utility transmission or distribution 
lines, or any associated structures and equipment;
    (ii) The right-of-way is in active use for such designated purposes; 
and
    (iii) The facilities would not
    (A) Increase the height of the tower or non-tower structure by more 
than 10% or twenty feet, whichever is greater, over existing support 
structures that are located in the right-of-way within the vicinity of 
the proposed construction;
    (B) Involve the installation of more than four new equipment 
cabinets or more than one new equipment shelter;
    (C) Add an appurtenance to the body of the structure that would 
protrude from the edge of the structure more than twenty feet, or more 
than the width of the structure at the level of the appurtenance, 
whichever is greater (except that the deployment may exceed this size 
limit if necessary to shelter the antenna from inclement weather or to 
connect the antenna to the tower via cable); or
    (D) Involve excavation outside the current site, defined as the area 
that is within the boundaries of the leased or owned property 
surrounding the deployment or that is in proximity to the structure and 
within the boundaries of the utility easement on which the facility is 
to be deployed, whichever is more restrictive.
    (2) Such wireless facilities are subject to Sec. 1.1307(b) and 
require EAs if their construction would result in human exposure to 
radiofrequency radiation in excess of the applicable

[[Page 300]]

health and safety guidelines cited in Sec. 1.1307(b).

    Note 1: The provisions of Sec. 1.1307(a) requiring the preparation 
of EAs do not encompass the mounting of antenna(s) and associated 
equipment (such as wiring, cabling, cabinets, or backup-power), on or in 
an existing building, or on an antenna tower or other man-made 
structure, unless Sec. 1.1307(a)(4) 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. 1.1307 and Sec. 1.1308, except as 
required by the Bureau pursuant to the Note to Sec. 1.1307(d).
    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 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; 77 FR 3952, Jan. 26, 2012; 80 FR 1268, Jan. 8, 2015]



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)(i) 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 part 60 and 800.) To ascertain whether a proposed action 
may affect properties that are listed or eligible for listing in the 
National Register of Historic Places, an applicant shall follow the 
procedures set forth in the rules of the Advisory Council on Historic 
Preservation, 36 CFR part 800, as modified and supplemented by the 
Nationwide Programmatic Agreement for the Collocation of Wireless 
Antennas, Appendix B to Part 1 of this Chapter, and the Nationwide 
Programmatic Agreement Regarding the Section 106 National Historic 
Preservation Act Review Process, Appendix C to Part 1 of this Chapter.
    (ii) The requirements in paragraph (a)(4)(i) of this section do not 
apply to:
    (A) The mounting of antennas (including associated equipment such as 
wiring, cabling, cabinets, or backup-power) on existing utility 
structures

[[Page 301]]

(including utility poles and electric transmission towers in active use 
by a ``utility'' as defined in Section 224 of the Communications Act, 47 
U.S.C. 224, but not including light poles, lamp posts, and other 
structures whose primary purpose is to provide public lighting) where 
the deployment meets the following conditions:
    (1) All antennas that are part of the deployment fit within 
enclosures (or if the antennas are exposed, within imaginary enclosures) 
that are individually no more than three cubic feet in volume, and all 
antennas on the structure, including any pre-existing antennas on the 
structure, fit within enclosures (or if the antennas are exposed, within 
imaginary enclosures) that total no more than six cubic feet in volume;
    (2) All other wireless equipment associated with the structure, 
including pre-existing enclosures and including equipment on the ground 
associated with antennas on the structure, are cumulatively no more than 
seventeen cubic feet in volume, exclusive of
    (i) Vertical cable runs for the connection of power and other 
services;
    (ii) Ancillary equipment installed by other entities that is outside 
of the applicant's ownership or control, and
    (iii) Comparable equipment from pre-existing wireless deployments on 
the structure;
    (3) The deployment will involve no new ground disturbance; and
    (4) The deployment would otherwise require the preparation of an EA 
under paragraph (a)(4)(i) of this section solely because of the age of 
the structure; or
    (B) The mounting of antennas (including associated equipment such as 
wiring, cabling, cabinets, or backup-power) on buildings or other non-
tower structures where the deployment meets the following conditions:
    (1) There is an existing antenna on the building or structure;
    (2) One of the following criteria is met:
    (i) Non-Visible Antennas. The new antenna is not visible from any 
adjacent streets or surrounding public spaces and is added in the same 
vicinity as a pre-existing antenna;
    (ii) Visible Replacement Antennas. The new antenna is visible from 
adjacent streets or surrounding public spaces, provided that
    (A) It is a replacement for a pre-existing antenna,
    (B) The new antenna will be located in the same vicinity as the pre-
existing antenna,
    (C) The new antenna will be visible only from adjacent streets and 
surrounding public spaces that also afford views of the pre-existing 
antenna,
    (D) The new antenna is not more than 3 feet larger in height or 
width (including all protuberances) than the pre-existing antenna, and
    (E) No new equipment cabinets are visible from the adjacent streets 
or surrounding public spaces; or
    (iii) Other Visible Antennas. The new antenna is visible from 
adjacent streets or surrounding public spaces, provided that
    (A) It is located in the same vicinity as a pre-existing antenna,
    (B) The new antenna will be visible only from adjacent streets and 
surrounding public spaces that also afford views of the pre-existing 
antenna,
    (C) The pre-existing antenna was not deployed pursuant to the 
exclusion in this subsection (Sec. 1.1307(a)(4)(ii)(B)(2)(iii)),
    (D) The new antenna is not more than three feet larger in height or 
width (including all protuberances) than the pre-existing antenna, and
    (E) No new equipment cabinets are visible from the adjacent streets 
or surrounding public spaces;
    (3) The new antenna complies with all zoning conditions and historic 
preservation conditions applicable to existing antennas in the same 
vicinity that directly mitigate or prevent effects, such as camouflage 
or concealment requirements;
    (4) The deployment of the new antenna involves no new ground 
disturbance; and
    (5) The deployment would otherwise require the preparation of an EA 
under paragraph (a)(4) of this section solely because of the age of the 
structure.

    Note to paragraph (a)(4)(ii):
    A non-visible new antenna is in the ``same vicinity'' as a pre-
existing antenna if it will be collocated on the same rooftop, 
fa[ccedil]ade or other surface. A visible new antenna is in the ``same 
vicinity'' as a pre-existing antenna if it is on the same rooftop, 
fa[ccedil]ade, or other surface and

[[Page 302]]

the centerpoint of the new antenna is within ten feet of the centerpoint 
of the pre-existing antenna. A deployment causes no new ground 
disturbance when the depth and width of previous disturbance exceeds the 
proposed construction depth and width by at least two feet.

    (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 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).

[[Page 303]]

 
Commercial Mobile Radio Services (part   Non-building-mounted antennas:
 20).                                     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).
                                         Consumer Signal Booster
                                          equipment grantees under the
                                          Commercial Mobile Radio
                                          Services provisions in part 20
                                          are required to attach a label
                                          to Fixed Consumer Booster
                                          antennas that:
                                         (1) Provides adequate notice
                                          regarding potential
                                          radiofrequency safety hazards,
                                          e.g., information regarding
                                          the safe minimum separation
                                          distance required between
                                          users and transmitting
                                          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 (part   (1) Narrowband PCS (subpart D):
 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 Services (part  All included.
 25).
                                         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.
Miscellaneous Wireless Communications    (1) For the 1390-1392 MHz, 1392-
 Services (part 27 except subpart M).     1395 MHz, 1432-1435 MHz, 1670-
                                          1675 MHz, and 2385-2390 MHz
                                          bands:
                                          Non-building-mounted antennas:
                                          height above ground level to
                                          lowest point of antenna <10 m
                                          and total power of all
                                          channels 2000 W ERP
                                          (3280 W EIRP).
                                          Building-mounted antennas:
                                          total power of all channels
                                          2000 W ERP (3280 W
                                          EIRP).
                                         (2) For the 698-746 MHz, 746-
                                          764 MHz, 776-794 MHz, 2305-
                                          2320 MHz, and 2345-2360 MHz
                                          bands:
                                          Total power of all channels
                                          1000 W ERP (1640 W
                                          EIRP).
Broadband Radio Service and Educational  Non-building-mounted antennas:
 Broadband Service (subpart M of part     height above ground level to
 27).                                     lowest point of antenna <10 m
                                          and power 1640 W
                                          EIRP.
                                         Building-mounted antennas:
                                          power 1640 W EIRP.
                                         BRS and EBS licensees are
                                          required to attach a label to
                                          subscriber transceiver or
                                          transverter antennas that:
                                         (1) provides adequate notice
                                          regarding potential
                                          radiofrequency safety hazards,
                                          e.g., information regarding
                                          the safe minimum separation
                                          distance required between
                                          users and transceiver
                                          antennas; and
                                         (2) references the applicable
                                          FCC-adopted limits for
                                          radiofrequency exposure
                                          specified in Sec. 1.1310.
Upper Microwave Flexible Use Service     Non-building-mounted antennas:
 (part 30).                               Height above ground level to
                                          lowest point of antenna <10 m
                                          and power 1640 W
                                          EIRP.
                                         Antennas are mounted on
                                          buildings.
Radio Broadcast Services (part 73).....  All included.
Auxiliary and Special Broadcast and      Subparts G and L: Power 100 W ERP.
 (part 74).
Stations in the Maritime Services (part  Ship earth stations only.
 80).
Private Land Mobile Radio Services       Non-building-mounted antennas:
 Paging Operations (subpart P of part     height above ground level to
 90).                                     lowest point of antenna <10 m
                                          and power 1000 W
                                          ERP (1640 W EIRP).
                                         Building-mounted antennas:
                                          power 1000 W ERP
                                          (1640 W EIRP).

[[Page 304]]

 
Private Land Mobile Radio Services       Non-building-mounted antennas:
 Specialized Mobile Radio (subpart S of   height above ground level to
 part 90).                                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 power 1640 W
                                          EIRP.
                                         Building-mounted antennas:
                                          power 1640 W EIRP.
                                         LMDS and 24 GHz Service
                                          licensees are required to
                                          attach a label to subscriber
                                          transceiver antennas that:
                                          (1) provides adequate notice
                                          regarding potential
                                          radiofrequency 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.
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)(i) Mobile and portable transmitting devices that operate in the 
Commercial Mobile Radio Services pursuant to part 20 of this chapter; 
the Cellular Radiotelephone Service pursuant to part 22 of this chapter; 
the Personal Communications Services (PCS) pursuant to part 24 of this 
chapter; the Satellite Communications Services pursuant to part 25 of 
this chapter; the Miscellaneous Wireless Communications Services 
pursuant to part 27 of this chapter; the Upper Microwave Flexible Use 
Service pursuant to part 30 of this chapter; the Maritime Services (ship 
earth stations only) pursuant to part 80 of this chapter; the 
Specialized Mobile Radio Service, the 4.9 GHz Band Service, or the 3650 
MHz Wireless Broadband Service pursuant to part 90 of this chapter; the 
Wireless Medical Telemetry Service (WMTS), or the Medical Device 
Radiocommunication Service (MedRadio) pursuant to part 95 of this 
chapter; or the Citizens Broadband Radio Service pursuant to part 96 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.
    (ii) 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), 15.257(g), 15.319(i), and 15.407(f) of this chapter.
    (iii) Portable transmitting equipment for use in the Wireless 
Medical Telemetry Service (WMTS) is subject to routine environmental 
evaluation as specified in Sec. Sec. 2.1093 and 95.2385 of this 
chapter.
    (iv) Equipment authorized for use in the Medical Device 
Radiocommunication Service (MedRadio) as a medical implant device or 
body-worn transmitter (as defined in subpart I of part 95 of this 
chapter) is subject to routine environmental evaluation for RF exposure 
prior to equipment authorization, as specified in Sec. Sec. 2.1093 and 
95.2585 of this chapter by finite difference time domain (FDTD) 
computational modeling or laboratory measurement techniques. Where a 
showing is based on computational modeling, the Commission retains the 
discretion to request that supporting documentation and/or specific 
absorption rate (SAR) measurement data be submitted.

[[Page 305]]

    (v) 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.
    (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.

    Note to paragraph (d):
    Pending a final determination as to what, if any, permanent measures 
should be adopted specifically for the protection of migratory birds, 
the Bureau shall require an Environmental Assessment for an otherwise 
categorically excluded action involving a new or existing antenna 
structure, for which an antenna structure registration application (FCC 
Form 854) is required under part 17 of this chapter, if the proposed 
antenna structure will be over 450 feet in height above ground level 
(AGL) and involves either:
    1. Construction of a new antenna structure;
    2. Modification or replacement of an existing antenna structure 
involving a substantial increase in size as defined in paragraph 
I(C)(1)(3) of Appendix B to part 1 of this chapter; or
    3. Addition of lighting or adoption of a less preferred lighting 
style as defined in Sec. 17.4(c)(1)(iii) of this chapter. The Bureau 
shall consider whether to require an EA for other antenna structures 
subject to Sec. 17.4(c) of this chapter in accordance with Sec. 
17.4(c)(8) of this chapter. An Environmental Assessment required 
pursuant to this note will be

[[Page 306]]

subject to the same procedures that apply to any Environmental 
Assessment required for a proposed tower or modification of an existing 
tower for which an antenna structure registration application (FCC Form 
854) is required, as set forth in Sec. 17.4(c) of this chapter.

    (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
    (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 at www.fdsys.gov.

    Effective Date Note: At 82 FR 43868, Sept. 20, 2017, Sec. 1.1307 
was amended by adding an entry for ``76-81 GHz Radar Service (part 95)'' 
above the entry for ``Amateur Radio Service (part 97)'' in Table 1 in 
paragraph (b)(1) and revising paragraphs (b)(2)(i) and (ii), effective 
Oct. 20, 2017. For the convenience of the user, the added and revised 
text is set forth as follows:



Sec. 1.1307  Actions that may have a significant environmental effect, 
          for which Environmental Assessments (EAs) must be prepared.

                                * * * * *

    (b) * * *
    (1) * * *

   Table 1--Transmitters, Facilities and Operations Subject to Routine
                        Environmental Evaluation
------------------------------------------------------------------------
     Service (title 47 CFR rule part)          Evaluation required if:
------------------------------------------------------------------------
 
                                * * * * *
76-81 GHz Radar Service (part 95).........  All included.
 
                                * * * * *
------------------------------------------------------------------------

    (2)(i) Mobile and portable transmitting devices that operate in the 
Commercial Mobile Radio Services pursuant to part 20 of this chapter; 
the Cellular Radiotelephone Service pursuant to part 22 of this chapter; 
the Personal Communications Services (PCS) pursuant to part 24 of this 
chapter; the Satellite Communications Services pursuant to part 25 of 
this chapter; the Miscellaneous Wireless Communications Services 
pursuant to part 27 of this chapter; the Upper Microwave Flexible User 
Service pursuant to part 30 of this chapter; the Maritime Services (ship 
earth stations only) pursuant to part 80 of this chapter; the 
Specialized Mobile Radio Service, the 4.9 GHz Band Service, and the 3650 
MHz Wireless Broadband Service pursuant to part 90 of this chapter; the 
Wireless Medical Telemetry Service (WMTS), the Medical Device 
Radiocommunication Service (MedRadio), and the 76-81 GHz Band Radar 
Service pursuant to part 95 of this chapter; and the Citizens Broadband 
Radio Service pursuant to part 96 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.
    (ii) 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. 15.255(g), 
15.257(g), 15.319(i), and 15.407(f) of this chapter.

                                * * * * *



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

[[Page 307]]

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.



Sec. 1.1310  Radiofrequency radiation exposure limits.

    (a) Specific absorption rate (SAR) shall be used to evaluate the 
environmental impact of human exposure to radiofrequency (RF) radiation 
as specified in Sec. 1.1307(b) within the frequency range of 100 kHz to 
6 GHz (inclusive).
    (b) The SAR limits for occupational/controlled exposure are 0.4 W/
kg, as averaged over the whole body, and a peak spatial-average SAR of 8 
W/kg, averaged over any 1 gram of tissue (defined as a tissue volume in 
the shape of a cube). Exceptions are the parts of the human body treated 
as extremities, such as hands, wrists, feet, ankles, and pinnae, where 
the peak spatial-average SAR limit for occupational/controlled exposure 
is 20 W/kg, averaged over any 10 grams of tissue (defined as a tissue 
volume in the shape of a cube). Exposure may be averaged over a time 
period not to exceed 6 minutes to determine compliance with 
occupational/controlled SAR limits.
    (c) The SAR limits for general population/uncontrolled exposure are 
0.08 W/kg, as averaged over the whole body, and a peak spatial-average 
SAR of 1.6 W/kg, averaged over any 1 gram of tissue (defined as a tissue 
volume in the shape of a cube). Exceptions are the

[[Page 308]]

parts of the human body treated as extremities, such as hands, wrists, 
feet, ankles, and pinnae, where the peak spatial-average SAR limit is 4 
W/kg, averaged over any 10 grams of tissue (defined as a tissue volume 
in the shape of a cube). Exposure may be averaged over a time period not 
to exceed 30 minutes to determine compliance with general population/
uncontrolled SAR limits.
    (d)(1) Evaluation with respect to the SAR limits in this section and 
in Sec. 2.1093 of this chapter must demonstrate compliance with both 
the whole-body and peak spatial-average limits using technically 
supportable methods and exposure conditions in advance of authorization 
(licensing or equipment certification) and in a manner that permits 
independent assessment.
    (2) At operating frequencies less than or equal to 6 GHz, the limits 
for maximum permissible exposure (MPE), derived from whole-body SAR 
limits and listed in Table 1 of paragraph (e) of this section, may be 
used instead of whole-body SAR limits as set forth in paragraph (a) 
through (c) of this section to evaluate the environmental impact of 
human exposure to RF radiation as specified in Sec. 1.1307(b), except 
for portable devices as defined in Sec. 2.1093 as these evaluations 
shall be performed according to the SAR provisions in Sec. 2.1093 of 
this chapter.
    (3) At operating frequencies above 6 GHz, the MPE limits shall be 
used in all cases to evaluate the environmental impact of human exposure 
to RF radiation as specified in Sec. 1.1307(b).
    (4) Both the MPE limits listed in Table 1 of paragraph (e) of this 
section and the SAR limits as set forth in paragraph (a) through (c) of 
this section and in Sec. 2.1093 of this chapter are for continuous 
exposure, that is, for indefinite time periods. Exposure levels higher 
than the limits are permitted for shorter exposure times, as long as the 
average exposure over the specified averaging time in Table 1 is less 
than the limits. Detailed information on our policies regarding 
procedures for evaluating compliance with all of these exposure limits 
can be found in the FCC's OET Bulletin 65, ``Evaluating Compliance with 
FCC Guidelines for Human Exposure to Radiofrequency Electromagnetic 
Fields,'' and in supplements to Bulletin 65, all available at the FCC's 
Internet Web site: http://www.fcc.gov/oet/rfsafety.
    Note to paragraphs (a) through (d): SAR is a measure of the rate of 
energy absorption due to exposure to RF electromagnetic energy. The SAR 
limits to be used for evaluation are based generally on criteria 
published by the American National Standards Institute (ANSI) for 
localized SAR in Sec. 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 Std C95.1-1992, copyright 1992 by the 
Institute of Electrical and Electronics Engineers, Inc., New York, New 
York 10017. The 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, Sec. 
17.4.5, copyright 1986 by NCRP, Bethesda, Maryland 20814. Limits for 
whole body SAR and peak spatial-average SAR are based on recommendations 
made in both of these documents. The MPE limits in Table 1 are based 
generally on criteria published by the NCRP in ``Biological Effects and 
Exposure Criteria for Radiofrequency Electromagnetic Fields,'' NCRP 
Report No. 86, Sec. Sec. 17.4.1, 17.4.1.1, 17.4.2 and 17.4.3, copyright 
1986 by NCRP, Bethesda, Maryland 20814. In the frequency range from 100 
MHz to 1500 MHz, these MPE exposure limits for field strength and power 
density are also generally based on criteria recommended by the ANSI in 
Sec. 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 Std C95.1-1992, copyright 1992 by the Institute of Electrical 
and Electronics Engineers, Inc., New York, New York 10017.
    (e) Table 1 below sets forth limits for Maximum Permissible Exposure 
(MPE) to radiofrequency electromagnetic fields.

[[Page 309]]



                             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 Exposure
----------------------------------------------------------------------------------------------------------------
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
300-1,500.......................................  ..............  ..............           f/300               6
1,500-100,000...................................  ..............  ..............               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
300-1,500.......................................  ..............  ..............          f/1500              30
1,500-100,000...................................  ..............  ..............             1.0              30
----------------------------------------------------------------------------------------------------------------
f = frequency in MHz * = Plane-wave equivalent power density

    (1) Occupational/controlled exposure 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 a person is transient through a 
location where occupational/controlled limits apply provided he or she 
is made aware of the potential for exposure. The phrase fully aware in 
the context of applying these exposure limits means that an exposed 
person has received written and/or verbal information fully explaining 
the potential for RF exposure resulting from his or her employment. With 
the exception of transient persons, this phrase also means that an 
exposed person has received appropriate training regarding work 
practices relating to controlling or mitigating his or her exposure. 
Such training is not required for transient persons, but they must 
receive written and/or verbal information and notification (for example, 
using signs) concerning their exposure potential and appropriate means 
available to mitigate their exposure. The phrase exercise control means 
that an exposed person is allowed to and knows how to reduce or avoid 
exposure by administrative or engineering controls and work practices, 
such as use of personal protective equipment or time averaging of 
exposure.
    (2) General population/uncontrolled exposure limits apply in 
situations in which the general public may be exposed, or in which 
persons who are exposed as a consequence of their employment may not be 
fully aware of the potential for exposure or cannot exercise control 
over their exposure.
    (3) Licensees and applicants are responsible for compliance with 
both the occupational/controlled exposure limits and the general 
population/uncontrolled exposure limits as they apply to transmitters 
under their jurisdiction. Licensees and applicants should be aware that 
the occupational/controlled exposure limits apply especially in 
situations where workers may have access to areas in very close 
proximity to antennas and access to the general public may be 
restricted.
    (4) In lieu of evaluation with the general population/uncontrolled 
exposure limits, amateur licensees authorized under part 97 of this 
chapter and members of his or her immediate household may be evaluated 
with respect to the occupational/controlled exposure limits in this 
section, provided appropriate training and information has been provided 
to the amateur licensee and members of his/her household. Other nearby 
persons who are not members of the amateur licensee's household must be 
evaluated with respect to the general population/uncontrolled exposure 
limits.

[78 FR 33650, June 4, 2013]

[[Page 310]]



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.
    (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.

[[Page 311]]

    (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 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.

[[Page 312]]

    (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 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

[[Page 313]]

the Commission's internal appeal procedures (See 47 CFR 1.101-1.117).
    (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.

[51 FR 15000, Apr. 22, 1986, as amended at 76 FR 70909, Nov. 16, 2011]



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 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. 
They also provide complaint and enforcement procedures for incumbent 
local exchange carriers (as defined in 47 U.S.C. 251(h)) to ensure that 
the rates, terms, and conditions of their access to pole attachments are 
just and reasonable.

[76 FR 26638, May 9, 2011]



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. It also means a filing by an 
incumbent local exchange carrier

[[Page 314]]

(as defined in 47 U.S.C. 251(h)) or an association of incumbent local 
exchange carriers alleging 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, an association of 
telecommunications carriers, an incumbent local exchange carrier (as 
defined in 47 U.S.C. 251(h)) or an association of incumbent local 
exchange 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.
    (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; 76 
FR 26638, May 9, 2011]



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

[[Page 315]]

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.
    (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; 
79 FR 73847, Dec. 12, 2014]



Sec. 1.1404  Complaint.

    (a) The complaint shall contain the name, address, telephone number, 
and email address of the complainant; name, address, telephone number, 
and email address of the respondent; and a verification (in accordance 
with the requirements of Sec. 1.52), 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;

[[Page 316]]

    (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. The utility shall submit these charges separately for each of 
the following categories: Depreciation, rate of return, taxes, 
maintenance, and administrative. 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 that determines the treatment of accumulated deferred taxes 
if it is at issue in the proceeding and shall note the section that 
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.

[[Page 317]]

    (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 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 certification that the complainant 
has, in good faith, engaged or attempted to engage in executive-level 
discussions with the respondent to resolve the pole attachment dispute. 
Executive-level discussions are discussions among representatives of the 
parties who have sufficient authority to make binding decisions on 
behalf of the company they represent regarding the subject matter of the 
discussions. Such certification shall include a statement that, prior to 
the filing of the complaint, the complainant mailed a certified letter 
to the respondent outlining the allegations that form the basis of the 
complaint it anticipated filing with the Commission, inviting a response 
within a reasonable period of time, and offering to hold executive-level 
discussions

[[Page 318]]

regarding the dispute. A refusal by a respondent to engage in the 
discussions contemplated by this rule shall constitute an unreasonable 
practice under section 224 of the Act.
    (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 as defined in 47 U.S.C. 224(a)(5) claims that 
it has been denied access to a pole, duct, conduit or right-of-way 
despite a request made pursuant to section 47 U.S.C. 224(f), the 
complaint shall 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, or rights-of-way;
    (2) The basis for the complainant's claim that the denial of access 
is unlawful;
    (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 unlawful 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; 76 FR 26638, May 9, 
2011; 79 FR 73847, Dec. 12, 2014]



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,

[[Page 319]]

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  Fee remittance; electronic filing; service; number of 
copies; form of pleadings; and proprietary materials.

    (a) The complainant shall remit separately the correct fee either by 
check, wire transfer, or electronically, in accordance with part 1, 
subpart G (see Sec. 1.1106) and, shall file an original copy of the 
complaint, using the Commission's Electronic Comment Filing System. The 
original of the response and reply, as well as all other written 
submissions, shall be filed with the Commission using the Commission's 
Electronic Comment Filing System. Service must be made in accordance 
with the requirements of Sec. 1.735(b), (c), (e), and (f).
    (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.
    (c) Any materials generated in the course of a pole attachment 
complaint proceeding may be designated as proprietary by either party to 
the proceeding or a third 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 must:
    (1) Clearly mark 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 materials 
designated as proprietary fall under the standards for nondisclosure 
enunciated in the FOIA.
    (2) File with the Commission, using the Commission's Electronic 
Comment Filing System, a public version of the materials that redacts 
any proprietary information and clearly marks each page of the redacted 
public version with a header stating ``Public Version.'' The redacted 
document shall be machine-readable whenever technically possible. Where 
the document to be filed electronically contains metadata that is 
confidential or protected from disclosure by a legal privilege 
(including, for example, the attorney-client privilege), the filer may 
remove such metadata from the document before filing it electronically.
    (3) File with the Secretary's Office an unredacted hard copy version 
of the materials that contains the proprietary information and clearly 
marks each page of the unredacted confidential version with a header 
stating ``Confidential Version.'' The unredacted version must be filed 
on the same day as the redacted version.
    (4) Serve one hard copy of the filed unredacted materials and one 
hard copy of the filed redacted materials 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 email, together with a proof of such service in 
accordance with the requirements of Sec. Sec. 1.47(g) and 1.735(f)(1) 
through (3) of this chapter;
    (d) Except as provided in paragraph (e) of this section, 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

[[Page 320]]

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.
    (e) The Commission will entertain, subject to a proper showing under 
Sec. 0.459 of this chapter, a party's request to further restrict 
access to proprietary information. Pursuant to Sec. 0.459 of this 
chapter, the other parties will have an opportunity to respond to such 
requests. Requests and responses to requests may not be submitted by 
means of the Commission's Electronic Comment Filing System but instead 
must be filed under seal with the Office of the Secretary.
    (f) The individuals identified in paragraphs (d)(1) through (3) of 
this section 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.
    (g) No copies of materials marked proprietary may be made except 
copies to be used by persons designated in paragraphs (d) and (e) 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.
    (h) Upon termination of the pole attachment 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 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.

[79 FR 73847, Dec. 12, 2014]



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 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.

[[Page 321]]

    (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) With respect to attachments to poles by any telecommunications 
carrier or cable operator providing telecommunications services, the 
maximum just and reasonable rate shall be the higher of the rate yielded 
by paragraphs (e)(2)(i) or (e)(2)(ii) of this section.
    (i) The following formula applies to the extent that it yields a 
rate higher than that yielded by the applicable formula in paragraph 
1.1409(e)(2)(ii) of this section:

Rate = Space Factor x Cost

Where Cost

in Service Areas where the number of Attaching Entities is 5 = 0.66 x 
          (Net Cost of a Bare Pole x Carrying Charge Rate)
in Service Areas where the number of Attaching Entities is 4 = 0.56 x 
          (Net Cost of a Bare Pole x Carrying Charge Rate)
in Service Areas where the number of Attaching Entities is 3 = 0.44 x 
          (Net Cost of a Bare Pole x Carrying Charge Rate)
in Service Areas where the number of Attaching Entities is 2 = 0.31 x 
          (Net Cost of a Bare Pole x Carrying Charge Rate)
in Service Areas where the number of Attaching Entities is not a whole 
          number = N x (Net Cost of a Bare Pole x Carrying Charge Rate), 
          where N is interpolated from the cost allocator associated 
          with the nearest whole numbers above and below the number of 
          Attaching Entities.
          [GRAPHIC] [TIFF OMITTED] TR03FE16.000
          

    (ii) The following formula applies to the extent that it yields a 
rate higher than that yielded by the applicable formula in paragraph 
1.1409(e)(2)(i) of this section:

[[Page 322]]

[GRAPHIC] [TIFF OMITTED] TR09MY11.025

    (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; 76 
FR 26639, May 9, 2011; 81 FR 5618, Feb. 3, 2016; 81 FR 7999, Feb. 17, 
2016]

    Effective Date Note: At 82 FR 20840, May 4, 2017, Sec. 1.1409 was 
amended by adding paragraph (g). 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. 1.1409  Commission consideration of the complaint.

                                * * * * *

    (g) A price cap company opting-out of part 32 of this chapter may 
calculate attachment

[[Page 323]]

rates for its poles, conduits, and rights of way using either part 32 
accounting data or GAAP accounting data. A price cap company using GAAP 
accounting data to compute rates to attach to its poles, conduits, and 
rights of way in any of the first twelve years after opting-out must 
adjust (increase or decrease) its annually computed GAAP-based rates by 
an Implementation Rate Difference for each of the remaining years in the 
period. The Implementation Rate Difference means the difference between 
attachment rates calculated by the price cap carrier under part 32 and 
under GAAP as of the last full year preceding the carrier's initial 
opting-out of part 32 USOA accounting requirements.



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) 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:
    (1) Terminate the unjust and/or unreasonable rate, term, or 
condition;
    (2) Substitute in the pole attachment agreement the just and 
reasonable rate, term, or condition established by the Commission;
    (3) Order a refund, or payment, if appropriate. The refund or 
payment will normally be the difference between the amount paid under 
the unjust and/or unreasonable rate, term, or condition and the amount 
that would have been paid under the rate, term, or condition established 
by the Commission, plus interest, consistent with the applicable statute 
of limitations; and
    (b) If the Commission determines that access to a pole, duct, 
conduit, or right-of-way has been unlawfully denied or delayed, it may 
order that access be permitted within a specified time frame and in 
accordance with specified rates, terms, and conditions.
    (c) Order a refund, or payment, if appropriate. The refund or 
payment will normally be the difference between the amount paid under 
the unjust and/or unreasonable rate, term, or condition and the amount 
that would have been paid under the rate, term, or condition established 
by the Commission from the date that the complaint, as acceptable, was 
filed, plus interest.

[44 FR 31650, June 1, 1979, as amended at 76 FR 26639, May 9, 2011]



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,

[[Page 324]]

    (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.



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

[[Page 325]]

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]



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]



Sec. 1.1420  Timeline for access to utility poles.

    (a) The term ``attachment'' means any attachment by a cable 
television system or provider of telecommunications service to a pole 
owned or controlled by a utility.
    (b) All time limits in this subsection are to be calculated 
according to Sec. 1.4.
    (c) Survey. A utility shall respond as described in Sec. 1.1403(b) 
to a cable operator or telecommunications carrier within 45 days of 
receipt of a complete application to attach facilities to its utility 
poles (or within 60 days, in the case of larger orders as described in 
paragraph (g) of this section). This response may be a notification that 
the utility has completed a survey of poles for which access has been 
requested. A complete application is an application that provides the 
utility with the information necessary under its procedures to begin to 
survey the poles.
    (d) Estimate. Where a request for access is not denied, a utility 
shall present to a cable operator or telecommunications carrier an 
estimate of charges to perform all necessary make-ready work within 14 
days of providing the response required by Sec. 1.1420(c), or in the 
case where a prospective attacher's contractor has performed a survey, 
within 14 days of receipt by the utility of such survey.
    (1) A utility may withdraw an outstanding estimate of charges to 
perform make-ready work beginning 14 days after the estimate is 
presented.
    (2) A cable operator or telecommunications carrier may accept a 
valid estimate and make payment anytime after receipt of an estimate but 
before the estimate is withdrawn.
    (e) Make-ready. Upon receipt of payment specified in paragraph 
(d)(2) of this section, a utility shall notify immediately and in 
writing all known entities with existing attachments that may be 
affected by the make-ready.
    (1) For attachments in the communications space, the notice shall:

[[Page 326]]

    (i) Specify where and what make-ready will be performed.
    (ii) Set a date for completion of make-ready that is no later than 
60 days after notification is sent (or 105 days in the case of larger 
orders, as described in paragraph (g) of this section).
    (iii) State that any entity with an existing attachment may modify 
the attachment consistent with the specified make-ready before the date 
set for completion.
    (iv) State that the utility may assert its right to 15 additional 
days to complete make-ready.
    (v) State that if make-ready is not completed by the completion date 
set by the utility (or, if the utility has asserted its 15-day right of 
control, 15 days later), the cable operator or telecommunications 
carrier requesting access may complete the specified make-ready.
    (vi) State the name, telephone number, and e-mail address of a 
person to contact for more information about the make-ready procedure.
    (2) For wireless attachments above the communications space, the 
notice shall:
    (i) Specify where and what make-ready will be performed.
    (ii) Set a date for completion of make-ready that is no later than 
90 days after notification is sent (or 135 days in the case of larger 
orders, as described in paragraph (g) of this section).
    (iii) State that any entity with an existing attachment may modify 
the attachment consistent with the specified make-ready before the date 
set for completion.
    (iv) State that the utility may assert its right to 15 additional 
days to complete make-ready.
    (v) State the name, telephone number, and e-mail address of a person 
to contact for more information about the make-ready procedure.
    (f) For wireless attachments above the communications space, a 
utility shall ensure that make-ready is completed by the date set by the 
utility in paragraph (e)(2)(ii) of this section (or, if the utility has 
asserted its 15-day right of control, 15 days later).
    (g) For the purposes of compliance with the time periods in this 
section:
    (1) A utility shall apply the timeline described in paragraphs (c) 
through (e) of this section to all requests for pole attachment up to 
the lesser of 300 poles or 0.5 percent of the utility's poles in a 
state.
    (2) A utility may add 15 days to the survey period described in 
paragraph (c) of this section to larger orders up to the lesser of 3000 
poles or 5 percent of the utility's poles in a state.
    (3) A utility may add 45 days to the make-ready periods described in 
paragraph (e) of this section to larger orders up to the lesser of 3000 
poles or 5 percent of the utility's poles in a state.
    (4) A utility shall negotiate in good faith the timing of all 
requests for pole attachment larger than the lesser of 3000 poles or 5 
percent of the utility's poles in a state.
    (5) A utility may treat multiple requests from a single cable 
operator or telecommunications carrier as one request when the requests 
are filed within 30 days of one another.
    (h) A utility may deviate from the time limits specified in this 
section:
    (1) Before offering an estimate of charges if the parties have no 
agreement specifying the rates, terms, and conditions of attachment.
    (2) During performance of make-ready for good and sufficient cause 
that renders it infeasible for the utility to complete the make-ready 
work within the prescribed time frame. A utility that so deviates shall 
immediately notify, in writing, the cable operator or telecommunications 
carrier requesting attachment and other affected entities with existing 
attachments, and shall include the reason for and date and duration of 
the deviation. The utility shall deviate from the time limits specified 
in this section for a period no longer than necessary and shall resume 
make-ready performance without discrimination when it returns to routine 
operations.
    (i) If a utility fails to respond as specified in paragraph (c) of 
this section, a cable operator or telecommunications carrier requesting 
attachment in the communications space may, as specified in Sec. 
1.1422, hire a contractor to complete a survey. If make-ready is

[[Page 327]]

not complete by the date specified in paragraph (e)(1)(ii) of this 
section, a cable operator or telecommunications carrier requesting 
attachment in the communications space may hire a contractor to complete 
the make-ready:
    (1) Immediately, if the utility has failed to assert its right to 
perform remaining make-ready work by notifying the requesting attacher 
that it will do so; or
    (2) After 15 days if the utility has asserted its right to perform 
make-ready by the date specified in paragraph (e)(1)(ii) of this section 
and has failed to complete make-ready.

[76 FR 26640, May 9, 2011]



Sec. 1.1422  Contractors for survey and make-ready.

    (a) A utility shall make available and keep up-to-date a reasonably 
sufficient list of contractors it authorizes to perform surveys and 
make-ready in the communications space on its utility poles in cases 
where the utility has failed to meet deadlines specified in Sec. 
1.1420.
    (b) If a cable operator or telecommunications carrier hires a 
contractor for purposes specified in Sec. 1.1420, it shall choose from 
among a utility's list of authorized contractors.
    (c) A cable operator or telecommunications carrier that hires a 
contractor for survey or make-ready work shall provide a utility with a 
reasonable opportunity for a utility representative to accompany and 
consult with the authorized contractor and the cable operator or 
telecommunications carrier.
    (d) The consulting representative of an electric utility may make 
final determinations, on a nondiscriminatory basis, where there is 
insufficient capacity and for reasons of safety, reliability, and 
generally applicable engineering purposes.

[76 FR 26640, May 9, 2011]



Sec. 1.1424  Complaints by incumbent local exchange carriers.

    Complaints by an incumbent local exchange carrier (as defined in 47 
U.S.C. 251(h)) or an association of incumbent local exchange carriers 
alleging that a rate, term, or condition for a pole attachment is not 
just and reasonable shall follow the same complaint procedures specified 
for other pole attachment complaints in this part, as relevant. In 
complaint proceedings where an incumbent local exchange carrier (or an 
association of incumbent local exchange carriers) claims that it is 
similarly situated to an attacher that is a telecommunications carrier 
(as defined in 47 U.S.C. 251(a)(5)) or a cable television system for 
purposes of obtaining comparable rates, terms or conditions, the 
incumbent local exchange carrier shall bear the burden of demonstrating 
that it is similarly situated by reference to any relevant evidence, 
including pole attachment agreements. If a respondent declines or 
refuses to provide a complainant with access to agreements or other 
information upon reasonable request, the complainant may seek to obtain 
such access through discovery. Confidential information contained in any 
documents produced may be subject to the terms of an appropriate 
protective order.

[76 FR 26641, May 9, 2011]



 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

[[Page 328]]

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 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

[[Page 329]]

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 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

[[Page 330]]

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 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

[[Page 331]]

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 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

[[Page 332]]

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 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

[[Page 333]]

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 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

[[Page 334]]

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 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

[[Page 335]]

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 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.

[[Page 336]]

    (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, 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,

[[Page 337]]

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.
    (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

[[Page 338]]

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.
    (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.

[[Page 339]]



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--
    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.

[[Page 340]]

    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.
    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.

[[Page 341]]

    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. As used in 
this part, section 504 applies only to programs or activities conducted 
by Executive agencies and not to federally assisted programs.

[68 FR 22316, Apr. 28, 2003, as amended at 76 FR 70909, Nov. 16, 2011]



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 
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--

[[Page 342]]

    (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 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,

[[Page 343]]

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 Negotiated 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.

[76 FR 70909, Nov. 16, 2011]



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 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

[[Page 344]]

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 in 41 CFR 102-76.60 to 102-76.95, apply to buildings covered 
by this section.

[76 FR 70909, Nov. 16, 2011]



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

[[Page 345]]

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 United States Access 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.

[68 FR 22316, Apr. 28, 2003, as amended at 76 FR 70909, Nov. 16, 2011]



          Subpart O_Collection of Claims Owed the United States

    Authority: 31 U.S.C. 3701; 31 U.S.C. 3711 et seq.; 5 U.S.C. 5514; 
sec. 8(1) of E.O. 11609 (3 CFR, 1971-1975 Comp., p.586); redesignated in 
sec. 2-1 of E.O. 12107; (3 CFR, 1978 Comp., p. 264); 31 CFR parts 901-
904; 5 CFR part 550.

    Source: 69 FR 27848, May 17, 2004, unless otherwise noted.

                           General Provisions



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

[[Page 346]]

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 
ordered 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 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

[[Page 347]]

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.

[69 FR 27848, May 17, 2004, as amended at 76 FR 70909, Nov. 16, 2011]



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 102-118).
    (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. 7103), 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. 7103), 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 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.

[69 FR 27848, May 17, 2004, as amended at 76 FR 70909, Nov. 16, 2011]



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

[[Page 348]]

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.



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.

[[Page 349]]

    (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(i)), 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 provisions 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 rescission. 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)(xi) and (xii).
    (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) The provisions of paragraphs (a) and (b) of this section will 
not apply to applications or requests for authorization to which 11 
U.S.C. 525(a) is applicable.

[69 FR 57230, Sept. 24, 2004, as amended at 76 FR 70910, Nov. 16, 2011; 
80 FR 56809, Sept. 18, 2015]

  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 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

[[Page 350]]

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 120 
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 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

[[Page 351]]

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.

[69 FR 27848, May 17, 2004, as amended at 80 FR 43030, July 21, 2015]



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 120 days delinquent to the Treasury for collection by 
centralized administrative offset. Debts which are less than 120 days 
delinquent also may be referred to the Treasury for this purpose. 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

[[Page 352]]

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 
(b)(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 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

[[Page 353]]

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.

[69 FR 27848, May 17, 2004, as amended at 76 FR 24393, May 2, 2011; 80 
FR 43031, July 21, 2015]



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, 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

[[Page 354]]

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. 
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 120 days shall be transferred to the 
Secretary of the Treasury. Debts which are less than 120 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

[[Page 355]]

or instrument (including a post-delinquency payment agreement) unless 
other satisfactory payment arrangements have been made.

[69 FR 27848, May 17, 2004, as amended at 80 FR 43031, July 21, 2015]



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--
    (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.

[[Page 356]]



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. 1.1920-1.1924  [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.



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

[[Page 357]]

(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:
    (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

[[Page 358]]

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 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.

[[Page 359]]



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.



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

[[Page 360]]

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 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

[[Page 361]]

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 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.

[[Page 362]]

    (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 
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

[[Page 363]]

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 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

[[Page 364]]

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.



Sec. Sec. 1.1937-1.1939  [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

[[Page 365]]

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 
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

[[Page 366]]

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. 1.1943-1.1949  [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:
    (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.

[[Page 367]]



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 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

[[Page 368]]

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]



                Subpart Q_Competitive Bidding Proceedings

    Source: 59 FR 44293, Aug. 26, 1994, unless otherwise noted.

                           General Procedures



Sec. 1.2101  Purpose.

    The provisions of Sec. Sec. 1.2101 through 1.2114 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 subsequent amendments.

[79 FR 48528, Aug. 15, 2014]



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) [Reserved]

    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; 79 FR 48528, Aug. 
15, 2014]



Sec. 1.2103  Competitive bidding design options.

    (a) Public notice of competitive bidding design options. Prior to 
any competitive bidding for initial licenses, public notice shall be 
provided of the detailed procedures that may be used to implement 
auction design options.
    (b) Competitive bidding design options. The public notice detailing 
competitive bidding procedures may establish procedures for collecting 
bids, assigning winning bids, and determining payments, including 
without limitation:
    (1) Procedures for collecting bids. (i) Procedures for collecting 
bids in a single round or in multiple rounds.
    (ii) Procedures allowing for bids for specific items, bids for 
generic items in one or more categories of items, or bids for one or 
more aggregations of items.
    (iii) Procedures allowing for bids that specify a price, indicate 
demand at a

[[Page 369]]

specified price, or provide other information as specified by 
competitive bidding policies, rules, and procedures.
    (iv) Procedures allowing for bids that are contingent on specified 
conditions, such as other bids being accepted or for packages of 
licenses being awarded.
    (v) Procedures to collect bids in one or more stages, including 
procedures for transitions between stages.
    (vi) Procedures for whether, when, and how bids may be modified 
during the auction.
    (2) Procedures for assigning winning bids. (i) Procedures that take 
into account one or more factors in addition to the submitted bid 
amount, including but not limited to the amount of bids submitted in 
separate competitive bidding.
    (ii) Procedures to assign specific items to bidders following 
bidding for quantities of generic items.
    (iii) Procedures to incorporate public interest considerations into 
the process for assigning winning bids.
    (3) Procedures for determining payments. Procedures to determine the 
amount of any payments made to or by winning bidders consistent with 
other auction design choices.

[79 FR 48528, Aug. 15, 2014]



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) Reserve Price. The Commission may establish a reserve price or 
prices, either disclosed or undisclosed, below which a license or 
licenses subject to auction will not be awarded. For any auction of 
eligible frequencies described in section 113(g)(2) of the National 
Telecommunications and Information Administration Organization Act (47 
U.S.C. 923(g)(2)) requiring the recovery of estimated relocation costs, 
the Commission will establish a reserve price or prices pursuant to 
which the total cash proceeds from any auction of eligible frequencies 
shall equal at least 110 percent of the total estimated relocation costs 
provided to the Commission by the National Telecommunications and 
Information Administration pursuant to section 113(g)(4) of such Act (47 
U.S.C. 923(g)(4)).
    (d) Minimum Bid Increments, Minimum Opening Bids and Maximum Bid 
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 procedures. Before or during an auction, procedures may 
be established regarding when bidding will stop for a round, a stage, or 
an entire auction, in order to terminate the auction within a reasonable 
time and in accordance with public interest considerations and the 
goals, statutory requirements, rules, and procedures for the auction, 
including any reserve price or prices.
    (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 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 less. No withdrawal payment will be assessed

[[Page 370]]

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 subject to withdrawal payments is not won in the 
same auction, those bidders for which a final withdrawal payment cannot 
be calculated will be assessed an interim bid withdrawal payment of 
between 3 and 20 percent of their withdrawn bids, according to a 
percentage (or percentages) established by the Commission in advance of 
the auction. The interim bid withdrawal payment will be applied toward 
any final bid withdrawal payment that will be assessed at the close of a 
subsequent auction of the corresponding license.

    Example 1 to paragraph (g)(1). Bidder A withdraws a bid of $100. 
Subsequently, Bidder B places a bid of $90 and withdraws. In that same 
auction, Bidder C wins the license at a bid of $95. Withdrawal payments 
are assessed as follows: Bidder A owes $5 ($100-$95). Bidder B owes 
nothing.
    Example 2 to paragraph (g)(1). Bidder A withdraws a bid of $100. 
Subsequently, Bidder B places a bid of $95 and withdraws. In that same 
auction, Bidder C wins the license at a bid of $90. Withdrawal payments 
are assessed as follows: Bidder A owes $5 ($100-$95). Bidder B owes $5 
($95-$90).
    Example 3 to paragraph (g)(1). Bidder A withdraws a bid of $100. 
Subsequently, in that same auction, Bidder B places a bid of $90 and 
withdraws. In a subsequent auction, Bidder C places a bid of $95 and 
withdraws. Bidder D wins the license in that auction at a bid of $80. 
Assuming that the Commission established an interim bid withdrawal 
payment of 3 percent in advance of the first auction, 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 winning bid at the close of an auction. If a bidder defaults or 
is disqualified after the close of such an auction, the defaulting 
bidder will be subject to a default payment consisting of a deficiency 
payment, described in Sec. 1.2104(g)(2)(i), and an additional payment, 
described in Sec. 1.2104(g)(2)(ii) and (g)(2)(iii). The default payment 
will be deducted from any upfront payments or down payments that the 
defaulting bidder has deposited with the Commission.
    (i) Deficiency payment. The deficiency payment will equal the 
difference between the amount of the defaulted bid and the amount of the 
winning bid in a subsequent auction, so long as there have been no 
intervening withdrawn bids that equal or exceed the defaulted bid or the 
subsequent winning bid. If the subsequent winning bid or any intervening 
subsequent withdrawn bid equals or exceeds the defaulted bid, no 
deficiency payment will be assessed. If there have been intervening 
subsequent withdrawn bids that are lower than the defaulted bid and 
higher than the subsequent winning bid, but no intervening withdrawn 
bids that equal or exceed the defaulted bid, the deficiency payment will 
equal the difference between the amount of the defaulted bid and the 
amount of the highest intervening subsequent withdrawn bid. In the event 
that a bidding credit applies to any of the applicable bids, the 
deficiency payment will be based solely on net bids or solely on gross 
bids, whichever results in a lower payment.
    (ii) Additional payment--applicable percentage. When the default or 
disqualification follows an auction without combinatorial bidding, the 
additional payment will equal between 3 and 20 percent of the applicable 
bid, according to a percentage (or percentages) established by the 
Commission in

[[Page 371]]

advance of the auction. When the default or disqualification follows an 
auction with combinatorial bidding, the additional payment will equal 25 
percent of the applicable bid.
    (iii) Additional payment--applicable bid. When no deficiency payment 
is assessed, the applicable bid will be the net amount of the defaulted 
bid. When a deficiency payment is assessed, the applicable bid will be 
the subsequent winning bid, using the same basis--i.e., net or gross--as 
was used in calculating the deficiency 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.
    (j) Bid apportionment--(1) Apportioned license bid. The Commission 
may specify a method for apportioning a bid among portions of the 
license (i.e., portions of the license's service area or bandwidth, or 
both) when necessary to compare a bid on the original license or 
portions thereof with a bid on a corresponding reconfigured license for 
purposes of the Commission's rules or procedures, such as to calculate a 
bid withdrawal or default payment obligation in connection with the bid.
    (2) Apportioned package bid. The apportioned package bid on a 
license is an estimate of the price of an individual license included in 
a package of licenses in an auction with combinatorial (package) 
bidding. Apportioned package bids shall be determined by the Commission 
according to a methodology it establishes in advance of each auction 
with combinatorial bidding. The apportioned package bid on a license 
included in a package shall be used in place of the amount of an 
individual bid on that license when the bid amount is needed to 
determine the size of a designated entity bidding credit (see Sec. 
1.2110(f)(1), (f)(2), and (f)(4)), a new entrant bidding credit (see 
Sec. 73.5007 of this chapter), a bid withdrawal or default payment 
obligation (see Sec. 1.2104(g)), a tribal land bidding credit limit 
(see Sec. 1.2110(f)(3)), or a size-based bidding credit unjust 
enrichment payment obligation (see Sec. 1.2111(b), (c)(2) and (c)(3)), 
or for any other determination required by the Commission's rules or 
procedures.

[59 FR 44293, Aug. 26, 1994, as amended at 63 FR 2341, Jan. 15, 1998; 65 
FR 52344, Aug. 29, 2000; 68 FR 42995, July 21, 2003; 71 FR 6226, Feb. 7, 
2006; 79 FR 48529, Aug. 15, 2014; 80 FR 56809, Sept. 18, 2015]



Sec. 1.2105  Bidding application and certification procedures;
prohibition of certain communications.

    (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. 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, 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, and all information, statements, certifications and 
declarations submitted in the application shall be made under penalty of 
perjury:
    (i) Identification of each license, or category of licenses, 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

[[Page 372]]

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 and other information, as set forth in Sec. 
1.2112.
    (iii) The identity of the person(s) authorized to make or withdraw a 
bid. No person may serve as an authorized bidder for more than one 
auction applicant;
    (iv) If the applicant applies as a designated entity, a 
certification 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;
    (vi) Certification that the applicant is in compliance with the 
foreign ownership provisions of section 310 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;
    (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) Certification that the applicant has provided in its 
application a brief description of, and identified each party to, any 
partnerships, joint ventures, consortia or other agreements, 
arrangements or understandings of any kind relating to the licenses 
being auctioned, including any agreements that address or communicate 
directly or indirectly bids (including specific prices), bidding 
strategies (including the specific licenses on which to bid or not to 
bid), or the post-auction market structure, to which the applicant, or 
any party that controls as defined in paragraph (a)(4) of this section 
or is controlled by the applicant, is a party.
    (ix) Certification that the applicant (or any party that controls as 
defined in paragraph (a)(4) of this section or is controlled by the 
applicant) has not entered and will not enter into any partnerships, 
joint ventures, consortia or other agreements, arrangements, or 
understandings of any kind relating to the licenses being auctioned that 
address or communicate, directly or indirectly, bidding at auction 
(including specific prices to be bid) or bidding strategies (including 
the specific licenses on which to bid or not to bid), or post-auction 
market structure with: any other applicant (or any party that controls 
or is controlled by another applicant); with a nationwide provider that 
is not an applicant (or any party that controls or is controlled by such 
a nationwide provider); or, if the applicant is a nationwide provider, 
with any non-nationwide provider that is not an applicant (or with any 
party that controls or is controlled by such a non-nationwide provider), 
other than:
    (A) Agreements, arrangements, or understandings of any kind that are 
solely operational as defined under paragraph (a)(4) of this section;
    (B) Agreements, arrangements, or understandings of any kind to form 
consortia or joint ventures as defined under paragraph (a)(4) of this 
section;
    (C) Agreements, arrangements or understandings of any kind with 
respect to the transfer or assignment of licenses, provided that such 
agreements, arrangements or understandings do not both relate to the 
licenses at auction and address or communicate, directly or indirectly, 
bidding at auction (including specific prices to be bid), or bidding 
strategies (including the specific licenses on which to bid or not to 
bid), or post-auction market structure.
    (x) Certification that if applicant has an interest disclosed 
pursuant to Sec. 1.2112(a)(1) through (6) with respect to

[[Page 373]]

more than one short-form application for an auction, it will implement 
internal controls that preclude any individual acting on behalf of the 
applicant as defined in paragraph (c)(5) of this section from possessing 
information about the bids or bidding strategies (including post-auction 
market structure), of more than one party submitting a short-form 
application or communicating such information with respect to a party 
submitting a short-form application to anyone possessing such 
information regarding another party submitting a short-form application.
    (xi) 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.
    (xii) A certification indicating whether 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. For purposes of this 
certification, an applicant may exclude from consideration as a former 
default any default on a Commission license or delinquency on a non-tax 
debt to any Federal agency that has been resolved and meets any of the 
following criteria:
    (A) The notice of the final payment deadline or delinquency was 
received more than seven years before the short-form application 
deadline;
    (B) The default or delinquency amounted to less than $100,000;
    (C) The default or delinquency was paid within two quarters (i.e., 6 
months) after receiving the notice of the final payment deadline or 
delinquency; or
    (D) The default or delinquency was the subject of a legal or 
arbitration proceeding that was cured upon resolution of the proceeding.
    (xiii) For auctions required to be conducted under Title VI of the 
Middle Class Tax Relief and Job Creation Act of 2012 (Pub. L. 112-96) or 
in which any spectrum usage rights for which licenses are being assigned 
were made available under 47 U.S.C. 309(j)(8)(G)(i), certification under 
penalty of perjury that the applicant and all of the person(s) disclosed 
under paragraph (a)(2)(ii) of this section are not person(s) who have 
been, for reasons of national security, barred by any agency of the 
Federal Government from bidding on a contract, participating in an 
auction, or receiving a grant. For the purposes of this certification, 
the term ``person'' means an individual, partnership, association, 
joint-stock company, trust, or corporation, and the term ``reasons of 
national security'' means matters relating to the national defense and 
foreign relations of the United States.
    (3) Limit on filing applications. In any auction, no individual or 
entity may file more than one short-form application or have a 
controlling interest in more than one short-form application. In the 
case of a consortium, each member of the consortium shall be considered 
to have a controlling interest in the consortium. In the event that 
applications for an auction are filed by applicants with overlapping 
controlling interests, pursuant to paragraph (b)(1)(ii) of this section, 
both applications will be deemed incomplete and only one such applicant 
may be deemed qualified to bid. This limit shall not apply to any 
qualifying rural wireless partnership and individual members of such 
partnerships. A qualifying rural wireless partnership for purposes of 
this exception is one that was established as a result of the cellular B 
block settlement process established by the Commission in CC Docket No. 
85-388 in which no nationwide provider is a managing partner or a 
managing member of the management committee, and partnership interests 
have not materially changed as of the effective date of the Report and 
Order in WT Docket No. 14-170, FCC 15-80. A partnership member for 
purposes of this exception is a partner or successor-in-interest to a 
partner in a qualifying partnership that does not have day-to-day 
management responsibilities in the partnership and holds 25% or less 
ownership interest, and provides a certification in its short-form 
application that it will implement internal controls to insulate itself 
from the bidding process of the cellular partnership and any other 
members of the partnership, except that it may, prior to the deadline 
for resubmission of short-form applications, express to the

[[Page 374]]

partnership the maximum it is willing to spend as a partner.
    (4) Definitions. For purposes of the certifications required under 
paragraph (a)(2) of this section:
    (i) The term controlling interest includes individuals or entities 
with positive or negative de jure or de facto control of the applicant. 
De jure control includes holding 50 percent or more of the voting stock 
of a corporation or holding a general partnership interest in a 
partnership. Ownership interests that are held indirectly by any party 
through one or more intervening corporations may 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 meets or exceeds 50 
percent or represents actual control, it may be treated as if it were a 
100 percent interest. De facto control is determined on a case-by-case 
basis. Examples of de facto control include constituting or appointing 
50 percent or more of the board of directors or management committee; 
having authority to appoint, promote, demote, and fire senior executives 
that control the day-to-day activities of the licensee; or playing an 
integral role in management decisions. In the case of a consortium, each 
member of the consortium shall be considered to have a controlling 
interest in the consortium.
    (ii) The term consortium means an entity formed to apply as a single 
applicant to bid at auction pursuant to an agreement by two or more 
separate and distinct legal entities that individually are eligible to 
claim the same designated entity benefits under Sec. 1.2110, provided 
that no member of the consortium may be a nationwide provider;
    (iii) The term joint venture means a legally cognizable entity 
formed to apply as a single applicant to bid at auction pursuant to an 
agreement by two or more separate and distinct legal entities, provided 
that no member of the joint venture may be a nationwide provider;
    (iv) The term solely operational agreement means any agreement, 
arrangement, or understanding of any kind that addresses operational 
aspects of providing a mobile service, including but not limited to 
agreements for roaming, device acquisition, and spectrum leasing and 
other spectrum use arrangements, so long as the agreement does not both 
relate to the licenses at auction and address or communicate, directly 
or indirectly, bidding at auction (including specific prices to be bid) 
or bidding strategies (including the specific licenses on which to bid 
or not to bid), or post-auction market structure.

    Note to paragraph (a):
    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) (i) 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 deemed incomplete, 
the applicant will not be found qualified to bid, and the upfront 
payment, if paid, will be returned.
    (ii) If:
    (A) An individual or entity submits multiple applications in a 
single auction; or
    (B) Entities commonly controlled by the same individual or same set 
of individuals submit applications for any set of licenses in the same 
or overlapping geographic areas in a single auction; then only one of 
such applications may be deemed complete, and the other such 
application(s) will be deemed incomplete, such applicants will not be 
found qualified to bid, and the associated upfront payment(s), 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

[[Page 375]]

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.
    (4) Applicants shall have a continuing obligation to make any 
amendments or modifications that are necessary to maintain the accuracy 
and completeness of information furnished in pending applications. Such 
amendments or modifications shall be made as promptly as possible, and 
in no case more than five business days after applicants become aware of 
the need to make any amendment or modification, or five business days 
after the reportable event occurs, whichever is later. An applicant's 
obligation to make such amendments or modifications to a pending 
application continues until they are made.
    (c) Prohibition of certain communications. (1) After the short-form 
application filing deadline, all applicants are prohibited from 
cooperating or collaborating with respect to, communicating with or 
disclosing, to each other or any nationwide provider that is not an 
applicant, or, if the applicant is a nationwide provider, any non-
nationwide provider that is not an applicant, in any manner the 
substance of their own, or each other's, or any other applicants' bids 
or bidding strategies (including post-auction market structure), or 
discussing or negotiating settlement agreements, until after the down 
payment deadline, unless such communications are within the scope of an 
agreement described in paragraphs (a)(2)(ix)(A) through (C) of this 
section that is disclosed pursuant to paragraph (a)(2)(viii) of this 
section.
    (2) Any party submitting a short-form application that has an 
interest disclosed pursuant to Sec. 1.2112(a)(1) through (6) with 
respect to more than one short-form application for an auction must 
implement internal controls that preclude any individual acting on 
behalf of the applicant as defined for purposes of this paragraph from 
possessing information about the bids or bidding strategies of more than 
one party submitting a short-form or communicating such information with 
respect to a party submitting a short-form application to anyone 
possessing such information regarding another party submitting a short-
form application. Implementation of such internal controls will not 
outweigh specific evidence that a prohibited communication has occurred, 
nor will it preclude the initiation of an investigation when warranted.
    (3) An applicant must modify its short-form application to reflect 
any changes in ownership or in membership of a consortium or a joint 
venture or agreements or understandings related to the licenses being 
auctioned.
    (4) A party that makes or receives a communication prohibited under 
paragraphs (c)(1) or (6) of this section shall report such communication 
in writing immediately, and in any case no later than five business days 
after the communication occurs. A party's obligation to make such a 
report continues until the report has been made. Such reports shall be 
filed as directed in public notices detailing procedures for the bidding 
that was the subject of the reported communication. If no public notice 
provides direction, the party making the report shall do so in writing 
to the Chief of the Auctions and Spectrum Access Division, Wireless 
Telecommunications Bureau, by the most expeditious means available, 
including electronic transmission such as email.
    (5) For purposes of this paragraph:

[[Page 376]]

    (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. In the case of a consortium, each member of 
the consortium shall be considered to have a controlling interest in the 
consortium; 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.
    (6) Prohibition of certain communications for the broadcast 
television spectrum incentive auction conducted under section 6403 of 
the Middle Class Tax Relief and Job Creation Act of 2012 (Pub. L. 112-
96).
    (i) For the purposes of the prohibition described in paragraphs 
(c)(6)(ii) and (iii) of this section, the term forward auction applicant 
is defined the same as the term applicant is defined in paragraph (c)(5) 
of this section, and the terms full power broadcast television licensee 
and Class A broadcast television licensee are defined the same as those 
terms are defined in Sec. 1.2205(a)(1).
    (ii) Except as provided in paragraph (c)(6)(iii) of this section, in 
the broadcast television spectrum incentive auction conducted under 
section 6403 of the Middle Class Tax Relief and Job Creation Act of 2012 
(Pub. L. 112-96), beginning on the short-form application filing 
deadline for the forward auction and until the results of the incentive 
auction are announced by public notice, all forward auction applicants 
are prohibited from communicating directly or indirectly any incentive 
auction applicant's bids or bidding strategies to any full power or 
Class A broadcast television licensee.
    (iii) The prohibition described in paragraph (c)(6)(ii) of this 
section does not apply to communications between a forward auction 
applicant and a full power or Class A broadcast television licensee if a 
controlling interest, director, officer, or holder of any 10 percent or 
greater ownership interest in the forward auction applicant, as of the 
deadline for submitting short-form applications to participate in the 
forward auction, is also a controlling interest, director, officer, or 
governing board member of the full power or Class A broadcast television 
licensee, as of the deadline for submitting applications to participate 
in the reverse auction.

    Note 1 to paragraph (c):
    For the purposes of paragraph (c), ``controlling interests'' include 
individuals or entities with positive or negative de jure or de facto 
control of the licensee. De jure control includes holding 50 percent or 
more of the voting stock of a corporation or holding a general 
partnership interest in a partnership. Ownership interests that are held 
indirectly by any party through one or more intervening corporations may 
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 meets 
or exceeds 50 percent or represents actual control, it may be treated as 
if it were a 100 percent interest. De facto control is determined on a 
case-by-case basis. Examples of de facto control include constituting or 
appointing 50 percent or more of the board of directors or management 
committee; having authority to appoint, promote, demote, and fire senior 
executives that control the day-to-day activities of the licensee; or 
playing an integral role in management decisions.

[[Page 377]]

    Note 2 to paragraph (c):
    The prohibition described in paragraph (c)(6)(ii) of this section 
applies to controlling interests, directors, officers, and holders of 
any 10 percent or greater ownership interest in the forward auction 
applicant as of the deadline for submitting short-form applications to 
participate in the forward auction, and any additional such parties at 
any subsequent point prior to the announcement by public notice of the 
results of the incentive auction. Thus, if, for example, a forward 
auction applicant appoints a new officer after the short-form 
application deadline, that new officer would be subject to the 
prohibition in paragraph (c)(6)(ii) of this section, but would not be 
included within the exception described in paragraph (c)(6)(iii) of this 
section.

[80 FR 56809, Sept. 18, 2015]



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, pursuant to 
Sec. 1.2105(a)(2)(xii), certifies that it is a former defaulter must 
submit an upfront payment equal to 50 percent more than the amount that 
otherwise would be required. 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.
    (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; 79 FR 48530, Aug. 15, 2014; 80 FR 56813, 
Sept. 18, 2015]



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

[[Page 378]]

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. Except as otherwise provided in Sec. 
1.1104, 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).
    (g)(1)(i) A consortium participating in competitive bidding pursuant 
to Sec. 1.2110(b)(4)(i) that is a winning bidder may not apply as a 
consortium for licenses covered by the winning bids. Individual members 
of the consortium or new legal entities comprising individual consortium 
members may apply for the licenses covered by the winning bids of the 
consortium. An individual member of the consortium or a new legal entity 
comprising two or more individual consortium members applying for a 
license pursuant to this provision shall be the applicant for purposes 
of all related requirements and filings, such as filing FCC Form 602. 
However, the members filing separate long-form applications shall all 
use the consortium's FCC Registration Number (``FRN'') on their long-
form applications. An application by an individual consortium member or 
a new legal entity comprising two or more individual consortium members 
for a license covered by the winning bids of the consortium shall not 
constitute a major modification of the application or a change in 
control of the applicant for purposes of Commission rules governing the 
application.
    (ii) Within ten business days after release of the public notice 
announcing grant of a long-form application, that licensee must update 
its filings in the Commission's Universal Licensing System (``ULS'') to 
substitute its individual FRN for that of the consortium.
    (2) The continuing eligibility for size-based benefits, such as 
size-based bidding credits or set-aside licenses, of a newly formed 
legal entity comprising two or more individual consortium members will 
be based on the size of such newly formed entity as of the filing of its 
long-form application.
    (3) Members of a consortium intending to partition or disaggregate 
license(s) among individual members or new legal entities comprising two 
or more individual consortium members must select one member or one new 
legal entity comprising two or more individual consortium members to 
apply for the license(s). The applicant must include in its 
applications, as part of the explanation of terms and conditions 
provided pursuant to Sec. 1.2107(d), the agreement of the applicable 
parties to partition or disaggregate the relevant license(s). Upon grant 
of the long-form application for that license,

[[Page 379]]

the licensee must then apply to partition or disaggregate the license 
pursuant to those terms and conditions.

[59 FR 44293, Aug. 26, 1994, as amended at 61 FR 49075, Sept. 18, 1996; 
62 FR 13543, Mar. 21, 1997; 63 FR 2342, Jan. 15, 1998; 63 FR 12659, Mar. 
16, 1998; 63 FR 68942, Dec. 14, 1998; 65 FR 47354, Aug. 2, 2000; 67 FR 
45365, July 9, 2002; 71 FR 6227, Feb. 7, 2006; 76 FR 37661, June 28, 
2011; 80 FR 56813, Sept. 18, 2015]



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 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 an 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

[[Page 380]]

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 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 (including businesses 
owned by members of minority groups and/or women), rural telephone 
companies, and eligible rural service providers.
    (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 its 
controlling interests shall be attributed to the applicant (or licensee) 
and considered on a cumulative basis and aggregated for purposes of 
determining whether the applicant (or licensee) is eligible for status 
as 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 for each of the previous three years of the applicant 
(or licensee), its affiliates, its controlling interests, and the 
affiliates of its controlling interests.
    (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 the affiliates of its controlling interests 
shall be attributed to the applicant (or licensee) and considered on a 
cumulative basis and aggregated for purposes of determining whether the 
applicant (or licensee) is eligible for status as an entrepreneur. An 
applicant seeking status as an entrepreneur must disclose on its short- 
and long-form applications, separately and in the aggregate, the gross 
revenues for each of the previous two years of the applicant (or 
licensee), its affiliates, its controlling interests, and the affiliates 
of its controlling interests.
    (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

[[Page 381]]

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) Standard for evaluating eligibility for small business benefits. 
To be eligible for small business benefits:
    (i) An applicant must meet the applicable small business size 
standard in paragraphs (b)(1) and (2) of this section, and
    (ii) Must retain de jure and de facto control over the spectrum 
associated with the license(s) for which it seeks small business 
benefits. An applicant or licensee may lose eligibility for size-based 
benefits for one or more licenses without losing general eligibility for 
size-based benefits so long as it retains de jure and de facto control 
of its overall business.
    (4) Exceptions--(i) Consortium. Where an applicant to participate in 
bidding for Commission licenses or permits is a consortium of entities 
eligible for size-based bidding credits and/or closed bidding based on 
gross revenues and/or total assets, the gross revenues and/or total 
assets of each consortium member shall not be aggregated. Where an 
applicant to participate in bidding for Commission licenses or permits 
is a consortium of entities eligible for rural service provider bidding 
credits pursuant to paragraph (f)(4) of this section, the subscribers of 
each consortium member shall not be aggregated. Each consortium member 
must constitute a separate and distinct legal entity to qualify for this 
exception. Consortia that are winning bidders using this exception must 
comply with the requirements of Sec. 1.2107(g) of this chapter as a 
condition of license grant.
    (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)(1) 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:
    (i) The applicant (or the controlling interest) is organized as a 
cooperative pursuant to state law;
    (ii) The applicant (or the controlling interest) is a ``rural 
telephone company'' as defined by the Communications Act; and
    (iii) The applicant (or the controlling interest) demonstrates 
either that it is eligible for tax-exempt status under the Internal 
Revenue Code or that it adheres to the cooperative principles 
articulated in Puget Sound Plywood, Inc. v. Commissioner of Internal 
Revenue, 44 T.C. 305 (1965).
    (2) If the condition in paragraph (b)(3)(iii)(A)(1)(i) above cannot 
be met because the relevant jurisdiction has not enacted an organic 
statute that specifies requirements for organization as a cooperative, 
the applicant must show that it is validly organized and its articles of 
incorporation, by-laws, and/or other relevant organic documents provide 
that it operates pursuant to cooperative principles.
    (B) However, if the applicant is not an eligible rural telephone 
cooperative under paragraph (a) of this section, and the applicant has a 
controlling interest other than the applicant's officers and directors 
or an eligible rural telephone cooperative's officers and directors, 
paragraph (a) of this section applies with respect to the applicant's 
officers and directors and such controlling 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-

[[Page 382]]

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.

    (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.

[[Page 383]]

    (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.
    (J) In addition to the provisions of paragraphs (b)(1)(i) and 
(f)(4)(i)(C) of this section, for purposes of determining an applicant's 
or licensee's eligibility for bidding credits for designated entity 
benefits, the gross revenues (or, in the case of a rural service 
provider under paragraph (f)(4) of this section, the subscribers) of any 
disclosable interest holder of an applicant or licensee are also 
attributable to the applicant or licensee, on a license-by-license 
basis, if the disclosable interest holder uses, or has an agreement to 
use, more than 25 percent of the spectrum capacity of a license awarded 
with bidding credits. For purposes of this provision, a disclosable 
interest holder in a designated entity applicant or licensee is defined 
as any individual or entity holding a ten percent or greater interest of 
any kind in the designated entity, including but not limited to, a ten 
percent or greater interest in any class of stock, warrants, options or 
debt securities in the applicant or licensee. This rule, however, shall 
not cause a disclosable interest holder, which is not otherwise a 
controlling interest, affiliate, or an affiliate of a controlling 
interest of a rural service provider to have the disclosable interest 
holder's subscribers become attributable to the rural service provider 
applicant or licensee when the disclosable interest holder has a 
spectrum use agreement to use more than 25 percent of the spectrum 
capacity of a license awarded with a rural service provider bidding 
credit, so long as
    (1) The disclosable interest holder is independently eligible for a 
rural service provider bidding credit, and;
    (2) The disclosable interest holder's spectrum use and any spectrum 
use agreements are otherwise permissible under the Commission's rules.
    (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 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

[[Page 384]]

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 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

[[Page 385]]

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 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

[[Page 386]]

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 
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.

[[Page 387]]

    (6) Consortium. A consortium of small businesses, very small 
businesses, entrepreneurs, or rural service providers is a conglomerate 
organization composed of two or more entities, each of which 
individually satisfies the definition of a small business, very small 
business, entrepreneur, or rural service provider as those terms are 
defined in this section and in applicable 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) Small business bidding credits.--(i) Size of bidding credits. A 
winning bidder that qualifies as a small business, and has not claimed a 
rural service provider bidding credit pursuant to paragraph (f)(4) of 
this section, may use the following bidding credits corresponding to its 
respective average gross revenues for the preceding 3 years:
    (A) Businesses with average gross revenues for the preceding 3 years 
not exceeding $4 million are eligible for bidding credits of 35 percent;
    (B) Businesses with average gross revenues for the preceding 3 years 
not exceeding $20 million are eligible for bidding credits of 25 
percent; and
    (C) Businesses with average gross revenues for the preceding 3 years 
not exceeding $55 million are eligible for bidding credits of 15 
percent.
    (ii) Cap on winning bid discount. A maximum total discount that a 
winning bidder that is eligible for a small business bidding credit may 
receive will be established on an auction-by-auction basis. The limit on 
the discount that a winning bidder that is eligible for a small business 
bidding credit may receive in any particular auction will be no less 
than $25 million. The Commission may adopt a market-based cap on an 
auction-by-auction basis that would establish an overall limit on the 
discount that a small business may receive for certain license areas.
    (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 eighty-
five (85) percent based on the most recently available U.S. Census Data.
    (ii) Certification. (A) Within 180 days after the filing deadline 
for long-form applications, the winning bidder must amend its long-form 
application and attach a certification from the tribal government 
stating the following:
    (1) The tribal government authorizes the winning bidder to site 
facilities and provide service on its tribal land;
    (2) The tribal area to be served by the winning bidder constitutes 
qualifying tribal land; and
    (3) The tribal government has not and will not enter into an 
exclusive contract with the applicant precluding entry by other 
carriers, and will not unreasonably discriminate among wireless carriers 
seeking to provide service on the qualifying tribal land.
    (B) In addition, within 180 days after the filing deadline for long-
form applications, the winning bidder must amend its long-form 
application and file a certification that it will comply with the 
construction requirements set

[[Page 388]]

forth in paragraph (f)(3)(vii) 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 any outstanding balance on its 
winning bid amount.
    (iii) Bidding credit formula. Subject to the applicable bidding 
credit limit set forth in Sec. 1.2110(f)(3)(iv), the bidding credit 
shall equal five hundred thousand (500,000) dollars for the first two 
hundred (200) square miles (518 square kilometers) of qualifying tribal 
land, and twenty-five hundred (2500) dollars for each additional square 
mile (2.590 square kilometers) of qualifying tribal land above two 
hundred (200) square miles (518 square kilometers).
    (iv) Bidding credit limit. If the high bid is equal to or less than 
one million (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 
thirty-five (35) percent of the high bid.
    (v) Bidding credit limit in auctions subject to specified reserve 
price(s). In any auction of eligible frequencies described in section 
113(g)(2) of the National Telecommunications and Information 
Administration Organization Act (47 U.S.C. 923(g)(2) with reserve 
price(s) and in any auction with reserve price(s) in which the 
Commission specifies that this provision shall apply, the aggregate 
amount available to be awarded as bidding credits for serving qualifying 
tribal land with respect to all licenses subject to a reserve price 
shall not exceed the amount by which winning bids for those licenses net 
of discounts the Commission takes into account when reporting net bids 
in the Public Notice closing the auction exceed the applicable reserve 
price. If the total amount that might be awarded as tribal land bidding 
credits based on applications for all licenses subject to the reserve 
price exceeds the aggregate amount available to be awarded, the 
Commission will award eligible applicants a pro rata tribal land bidding 
credit. The Commission may determine at any time that the total amount 
that might be awarded as tribal land bidding credits is less than the 
aggregate amount available to be awarded and grant full tribal land 
bidding credits to relevant applicants, including any that previously 
received pro rata tribal land bidding credits. To determine the amount 
of an applicant's pro rata tribal land bidding credit, the Commission 
will multiply the full amount of the tribal land bidding credit for 
which the applicant would be eligible excepting this limitation 
((f)(3)(v)) of this section by a fraction, consisting of a numerator in 
the amount by which winning bids for licenses subject to the reserve 
price net of discounts the Commission takes into account when reporting 
net bids in the Public Notice closing the auction exceed the reserve 
price and a denominator in the amount of the aggregate maximum tribal 
land bidding credits for which applicants for such licenses might have 
qualified excepting this limitation ((f)(3)(v)) of this section. When 
determining the aggregate maximum tribal land bidding credits for which 
applicants for such licenses might have qualified, the Commission shall 
assume that any applicant seeking a tribal land bidding credit on its 
long-form application will be eligible for the largest tribal land 
bidding credit possible for its bid for its license excepting this 
limitation ((f)(3)(v)) of this section. After all applications seeking a 
tribal land bidding credit with respect to licenses covered by a reserve 
price have been finally resolved, the Commission will recalculate the 
pro rata credit. For these purposes, final determination of a credit 
occurs only after any review or reconsideration of the award of such 
credit has been concluded and no opportunity remains for further review 
or reconsideration. To recalculate an applicant's pro rata

[[Page 389]]

tribal land bidding credit, the Commission will multiply the full amount 
of the tribal land bidding credit for which the applicant would be 
eligible excepting this limitation ((f)(3)(v)) of this section by a 
fraction, consisting of a numerator in the amount by which winning bids 
for licenses subject to the reserve price net of discounts the 
Commission takes into account when reporting net bids in the Public 
Notice closing the auction exceed the reserve price and a denominator in 
the amount of the aggregate amount of tribal land bidding credits for 
which all applicants for such licenses would have qualified excepting 
this limitation ((f)(3)(v)) of this section.
    (vi) Application of credit. A pending request for a bidding credit 
for serving qualifying tribal land has no effect on a bidder's 
obligations to make any auction payments, including down and final 
payments on winning bids, prior to award of the bidding credit by the 
Commission. Tribal land bidding credits will be calculated and awarded 
prior to license grant. If the Commission grants an applicant a pro rata 
tribal land bidding credit prior to license grant, as provided by 
paragraph (f)(3)(v) of this section, the Commission shall recalculate 
the applicant's pro rata tribal land bidding credit after all 
applications seeking tribal land biddings for licenses subject to the 
same reserve price have been finally resolved. If a recalculated tribal 
land bidding credit is larger than the previously awarded pro rata 
tribal land bidding credit, the Commission will award the difference.
    (vii) 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.
    (viii) Performance penalties. If a recipient of a bidding credit 
under this section fails to provide the post-construction certification 
required by paragraph (f)(3)(vii) of this section, then it shall repay 
the bidding credit amount in its entirety, plus interest. The interest 
will be based on the rate for ten-year U.S. Treasury obligations 
applicable on the date the license is granted. Such payment shall be 
made within thirty (30) days of the third 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. Repayment 
of bidding credit amounts pursuant to this provision shall not affect 
the calculation of amounts available to be awarded as tribal land 
bidding credits pursuant to (f)(3)(v) of this section.
    (4) Rural service provider bidding credit--(i) Eligibility. A 
winning bidder that qualifies as a rural service provider and has not 
claimed a small business bidding credit pursuant to paragraph (f)(2) of 
this section will be eligible to receive a 15 percent bidding credit. 
For the purposes of this paragraph, a rural service provider means a 
service provider that--
    (A) Is in the business of providing commercial communications 
services and together with its controlling interests, affiliates, and 
the affiliates of its controlling interests as those terms are defined 
in paragraphs (c)(2) and (c)(5) of this section, has fewer than 250,000 
combined wireless, wireline, broadband, and cable subscribers as of the 
date of the short-form filing deadline; and
    (B) Serves predominantly rural areas, defined as counties with a 
population density of 100 or fewer persons per square mile.
    (C) Size attribution. (1) The combined wireless, wireline, 
broadband, and cable subscribers of the applicant (or licensee), its 
affiliates, its controlling interests, and the affiliates of its 
controlling interests shall be attributed to the applicant (or licensee) 
and considered on a cumulative basis and aggregated for purposes of 
determining whether the applicant (or licensee) is eligible for the 
rural service provider bidding credit.

[[Page 390]]

    (2) Exception. For rural partnerships providing service as of July 
16, 2015, the Commission will determine eligibility for the 15 percent 
rural service provider bidding credit by evaluating whether the 
individual members of the rural partnership individually have fewer than 
250,000 combined wireless, wireline, broadband, and cable subscribers, 
and for those types of rural partnerships, the subscribers will not be 
aggregated.
    (ii) Cap on winning bid discount. A maximum total discount that a 
winning bidder that is eligible for a rural service provider bidding 
credit may receive will be established on an auction-by-auction basis. 
The limit on the discount that a winning bidder that is eligible for a 
rural service provider bidding credit may receive in any particular 
auction will be no less than $10 million. The Commission may adopt a 
market-based cap on an auction-by-auction basis that would establish an 
overall limit on the discount that a rural service provider may receive 
for certain license areas.
    (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.
    (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

[[Page 391]]

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.
    (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, 
spectrum leasing arrangements, spectrum resale (including wholesale) 
arrangements, spectrum use agreements, and all other agreements 
including oral agreements, establishing as applicable, de facto or de 
jure control of the entity. Designated entities also must provide the 
date(s) on which they entered into each of the agreements listed. In 
addition, designated entities must file with their long-form 
applications a copy of each such agreement. In order to enable the 
Commission to audit designated entity eligibility on an ongoing basis, 
designated entities that are awarded eligibility must, for the term of 
the license, maintain at their facilities or with their designated 
agents the lists, summaries, dates and copies of agreements required to 
be identified and provided to the Commission pursuant to this paragraph 
and to Sec. 1.2114.
    (k) The Commission may, on a service-specific basis, permit 
consortia, each member of which individually

[[Page 392]]

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) Annual reports. (1) Each designated entity licensee must file 
with the Commission an annual report no later than September 30 of each 
year for each license it holds that was acquired using designated entity 
benefits and that, as of August 31 of the year in which the report is 
due (the ``cut-off date''), remains subject to designated entity unjust 
enrichment requirements (a ``designated entity license''). The annual 
report must provide the information described in paragraph (n)(2) of 
this section for the year ending on the cut-off date (the ``reporting 
year''). If, during the reporting year, a designated entity has assigned 
or transferred a designated entity license to another designated entity, 
the designated entity that holds the designated entity license on 
September 30 of the year in which the application for the transaction is 
filed is responsible for filing the annual report.
    (2) The annual report shall include, at a minimum, a list and 
summaries of all agreements and arrangements (including proposed 
agreements and arrangements) that relate to eligibility for designated 
entity benefits. In addition to a summary of each agreement or 
arrangement, this list must include the parties (including affiliates, 
controlling interests, and affiliates of controlling interests) to each 
agreement or arrangement, as well as the dates on which the parties 
entered into each agreement or arrangement.
    (3) A designated entity need not list and summarize on its annual 
report the agreements and arrangements otherwise required to be included 
under paragraphs (n)(1) and (n)(2) of this section if it has already 
filed that information with the Commission, and the information on file 
remains current. In such a situation, the designated entity must instead 
include in its annual report both the ULS file number of the report or 
application containing the current information and the date on which 
that information was filed.
    (o) 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.

[[Page 393]]

    (p) 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; 69 FR 61321, Oct. 18, 2004; 70 FR 57187, Sept. 30, 2005; 71 FR 
6227, Feb. 7, 2006; 71 FR 26251, May 4, 2006; 77 FR 16470, Mar. 21, 
2012; 80 FR 56813, Sept. 18, 2015]



Sec. 1.2111  Assignment or transfer of control: unjust enrichment.

    (a) 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 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.
    (b) Unjust enrichment payment: bidding credits.
    (b) 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 licensee would qualify after restructuring), 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 or of a 
reportable eligibility event (see Sec. 1.2114).

[[Page 394]]

    (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, 
ownership change or reportable eligibility event (see Sec. 1.2114).
    (c) 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 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; 71 FR 26252, May 4, 2006; 71 FR 34278, June 14, 
2006; 77 FR 16471, Mar. 21, 2012; 80 FR 56814, Sept. 18, 2015]



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

[[Page 395]]

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 or a rural service provider 
bidding credit 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;
    (iii) List all parties with which the applicant has entered into 
agreements or arrangements for the use of any of the spectrum capacity 
of any of the applicant's spectrum;
    (iv) 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 the affiliates 
of its controlling interests; and if a consortium of small businesses, 
the members comprising the consortium;
    (v) If claiming eligibility for a rural service provider bidding 
credit, provide all information to demonstrate that the applicant meets 
the criteria for such credit as set forth in Sec. 1.2110(f)(4); and
    (vi) If applying as a consortium of designated entities, provide the 
information in paragraphs (b)(1)(i) through (v) of this section 
separately for each member of 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 by-
laws, partnership agreements, shareholder agreements, voting or other 
trust agreements, management agreements, franchise agreements, spectrum 
leasing arrangements, spectrum resale (including wholesale) 
arrangements, 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;

[[Page 396]]

    (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;
    (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 factors listed under Sec. 
1.2110(b)(4)(iii)(A).
    (vii) List and summarize any agreements in which the applicant has 
entered into arrangements for the use of any of the spectrum capacity of 
the license that is the subject of the application; and
    (viii) If claiming eligibility for a rural service provider bidding 
credit, provide all information to demonstrate that the applicant meets 
the criteria for such credit as set forth in Sec. 1.2110(f)(4).

[68 FR 42997, July 21, 2003, as amended at 70 FR 57187, Sept. 30, 2005; 
71 FR 26253, May 4, 2006; 77 FR 16471, Mar. 21, 2012; 80 FR 56815, Sept. 
18, 2015]



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) 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]



Sec. 1.2114  Reporting of eligibility event.

    (a) A designated entity must seek Commission approval for all 
reportable eligibility events. A reportable eligibility event is:
    (1) Any spectrum lease (as defined in Sec. 1.9003) or any other 
type of spectrum use agreement with one entity or on a cumulative basis 
that might cause a licensee to lose eligibility for installment 
payments, a set-aside license, or

[[Page 397]]

a bidding credit (or for a particular level of bidding credit) under 
Sec. 1.2110 and applicable service-specific rules.
    (2) Any other event that would lead to a change in the eligibility 
of a licensee for designated entity benefits.
    (b) Documents listed on and filed with application. A designated 
entity filing an application pursuant to this section must--
    (1) List and summarize on the application all agreements and 
arrangements (including proposed agreements and arrangements) that give 
rise to or otherwise relate to a reportable eligibility event. In 
addition to a summary of each agreement or arrangement, this list must 
include the parties (including each party's affiliates, its controlling 
interests, the affiliates of its controlling interests, its spectrum 
lessees, and its spectrum resellers and wholesalers) to each agreement 
or arrangement, as well as the dates on which the parties entered into 
each agreement or arrangement.
    (2) File with the application a copy of each agreement and 
arrangement listed pursuant to this paragraph.
    (3) Maintain at its facilities or with its designated agents, for 
the term of the license, the lists, summaries, dates, and copies of 
agreements and arrangements required to be provided to the Commission 
pursuant to this section.
    (c) Application fees. The application reporting the eligibility 
event will be treated as a transfer of control for purposes of 
determining the applicable application fees as set forth in Sec. 
1.1102.
    (d) Streamlined approval procedures. (1) The eligibility event 
application will be placed on public notice once the application is 
sufficiently complete and accepted for filing (see Sec. 1.933).
    (2) 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.
    (3) No later than 21 days following the date of the Public Notice 
listing an application as accepted for filing, the Wireless 
Telecommunications Bureau (Bureau) will grant the application, deny the 
application, or remove the application from streamlined processing for 
further review.
    (4) Grant of the application will be reflected in a Public Notice 
(see Sec. 1.933(a)(2)) promptly issued after the grant.
    (5) 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.
    (e) Public notice of application. Applications under this section 
will be placed on an informational public notice on a weekly basis (see 
Sec. 1.933(a)).
    (f) Contents of the application. The application must contain all 
information requested on the applicable form, 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.
    (g) The designated entity is required to update any change in a 
relationship that gave rise to a reportable eligibility event.

[71 FR 26253, May 4, 2006, as amended at 71 FR 34278, June 14, 2006; 79 
FR 48530, Aug. 15, 2014; 80 FR 56816, Sept. 18, 2015]

    Effective Date Note: At 80 FR 56816, Sept. 18, 2015, Sec. 1.2114 
(a)(1) was revised. 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.

              Broadcast Television Spectrum Reverse Auction

    Source: 79 FR 48530, Aug. 15, 2014, unless otherwise noted.



Sec. 1.2200  Definitions.

    For purposes of Sec. Sec. 1.2200 through 1.2209:
    (a) Broadcast television licensee. The term broadcast television 
licensee means the licensee of
    (1) A full-power television station, or
    (2) A low-power television station that has been accorded primary 
status as a Class A television licensee under Sec. 73.6001(a) of this 
chapter.

[[Page 398]]

    (b) Channel sharee. The term channel sharee means a broadcast 
television licensee that relinquishes all spectrum usage rights with 
respect to a particular television channel in order to share a 
television channel with another broadcast television licensee.
    (c) Channel sharer. The term channel sharer means a broadcast 
television licensee that shares its television channel with a channel 
sharee.
    (d) Channel sharing bid. The term channel sharing bid means a bid to 
relinquish all spectrum usage rights with respect to a particular 
television channel in order to share a television channel with another 
broadcast television licensee by an applicant that submits an executed 
channel sharing agreement with its application.
    (e) Forward auction. The term forward auction means the portion of 
an incentive auction of broadcast television spectrum described in 
section 6403(c) of the Spectrum Act.
    (f) High-VHF-to-low-VHF bid. The term high-VHF-to-low-VHF bid means 
a bid to relinquish all spectrum usage rights with respect to a high 
very high frequency (``VHF'') television channel (channels 7 through 13) 
in return for receiving spectrum usage rights with respect to a low VHF 
television channel (channels 2 through 6).
    (g) License relinquishment bid. The term license relinquishment bid 
means a bid to relinquish all spectrum usage rights with respect to a 
particular television channel without receiving in return any spectrum 
usage rights with respect to another television channel.
    (h) NCE station. The term NCE station means a noncommercial 
educational television broadcast station as defined in Sec. 73.621 of 
this chapter.
    (i) Reverse auction. The term reverse auction means the portion of 
an incentive auction of broadcast television spectrum described in 
section 6403(a) of the Spectrum Act.
    (j) Reverse auction bid. The term reverse auction bid includes a 
license relinquishment bid, a UHF-to-VHF bid, a high-VHF-to-low-VHF bid, 
a channel sharing bid, and any other reverse auction bids permitted.
    (k) Spectrum Act. The term Spectrum Act means Title VI of the Middle 
Class Tax Relief and Job Creation Act of 2012 (Pub. L. 112-96).
    (l) UHF-to-VHF bid. The term UHF-to-VHF bid means a bid to 
relinquish all spectrum usage rights with respect to an ultra-high 
frequency (``UHF'') television channel in return for receiving spectrum 
usage rights with respect to a high VHF television channel or a low VHF 
television channel.

[79 FR 48530, Aug. 15, 2014, as amended at 80 FR 67342, Nov. 2, 2015]



Sec. 1.2201  Purpose.

    The provisions of Sec. Sec. 1.2200 through 1.2209 implement section 
6403 of the Spectrum Act, which requires the Commission to conduct a 
reverse auction to determine the amount of compensation that each 
broadcast television licensee would accept in return for voluntarily 
relinquishing some or all of its broadcast television spectrum usage 
rights in order to make spectrum available for assignment through a 
system of competitive bidding under subparagraph (G) of section 
309(j)(8) of the Communications Act of 1934, as added by section 6402 of 
the Spectrum Act.



Sec. 1.2202  Competitive bidding design options.

    (a) Public notice of competitive bidding design options. Prior to 
conducting competitive bidding in the reverse auction, public notice 
shall be provided of the detailed procedures that may be used to 
implement auction design options.
    (b) Competitive bidding design options. The public notice detailing 
competitive bidding procedures for the reverse auction may establish 
procedures for collecting bids, assigning winning bids, and determining 
payments, including without limitation:
    (1) Procedures for collecting bids. (i) Procedures for collecting 
bids in a single round or in multiple rounds.
    (ii) Procedures for collecting bids for multiple reverse auction bid 
options.
    (iii) Procedures allowing for bids that specify a price for a 
reverse auction bid option, indicate demand at a specified price, or 
provide other information as specified by competitive bidding policies, 
rules, and procedures.

[[Page 399]]

    (iv) Procedures allowing for bids that are contingent on specified 
conditions, such as other bids being accepted.
    (v) Procedures to collect bids in one or more stages, including 
procedures for transitions between stages.
    (vi) Procedures for whether, when, and how bids may be modified 
during the auction.
    (2) Procedures for assigning winning bids. (i) Procedures that take 
into account one or more factors in addition to bid amount, such as 
population coverage or geographic contour, or other relevant measurable 
factors.
    (ii) Procedures to evaluate the technical feasibility of assigning a 
winning bid.
    (A) Procedures that utilize mathematical computer optimization 
software, such as integer programming, to evaluate bids and technical 
feasibility, or that utilize other decision routines, such as 
sequentially evaluating bids using a ranking based on specified factors.
    (B) Procedures that combine computer optimization algorithms with 
other decision routines.
    (iii) Procedures to incorporate public interest considerations into 
the process for assigning winning bids.
    (3) Procedures for determining payments. (i) Procedures to determine 
the amount of any incentive payments made to winning bidders consistent 
with other auction design choices.
    (ii) The amount of proceeds shared with a broadcast television 
licensee will not be less than the amount of the licensee's winning bid 
in the reverse auction.



Sec. 1.2203  Competitive bidding mechanisms.

    (a) Public notice of competitive bidding procedures. Detailed 
competitive bidding procedures shall be established by public notice 
prior to the commencement of the reverse auction, including without 
limitation:
    (1) Sequencing. The sequencing with which the reverse auction and 
the related forward auction assigning new spectrum licenses will occur.
    (2) Reserve price. Reserve prices, either disclosed or undisclosed, 
so that higher bids for various reverse auction bid options would not 
win in the reverse auction. Reserve prices may apply individually, in 
combination, or in the aggregate.
    (3) Opening bids and bid increments. Maximum or minimum opening 
bids, and by announcement before or during the reverse auction, maximum 
or minimum bid increments in dollar or percentage terms.
    (4) Activity rules. Activity rules that require a minimum amount of 
bidding activity.
    (b) Binding obligation. A bid is an unconditional, irrevocable offer 
by the bidder to fulfill the terms of the bid. The Commission accepts 
the offer by identifying the bid as winning. A bidder has a binding 
obligation to fulfill the terms of a winning bid. A winning bidder will 
relinquish spectrum usage rights pursuant to the terms of any winning 
bid by the deadline set forth in Sec. 73.3700(b)(4) of this chapter.
    (c) Stopping procedures. Before or during the reverse auction, 
procedures may be established regarding when bidding will stop for a 
round, a stage, or an entire auction, in order to terminate the auction 
within a reasonable time and in accordance with public interest 
considerations and the goals, statutory requirements, rules, and 
procedures for the auction, including any reserve price or prices.
    (d) Auction delay, suspension, or cancellation. By public notice or 
by announcement during the reverse auction, the auction may be delayed, 
suspended, or cancelled in the event of a natural disaster, technical 
obstacle, network disruption, evidence of an auction security breach or 
unlawful bidding activity, administrative or weather necessity, or for 
any other reason that affects the fair and efficient conduct of the 
competitive bidding. The Commission 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.



Sec. 1.2204  Applications to participate in competitive bidding.

    (a) Public notice of the application process. All applications to 
participate must be filed electronically. The dates

[[Page 400]]

and procedures for submitting applications to participate in the reverse 
auction shall be announced by public notice.
    (b) Applicant. The applicant identified on the application to 
participate must be the broadcast television licensee that would 
relinquish spectrum usage rights if it becomes a winning bidder. In the 
case of a channel sharing bid, the applicant will be the proposed 
channel sharee.
    (c) Information and certifications provided in the application to 
participate. An applicant may be required to provide the following 
information in its application to participate in the reverse auction:
    (1) The following identifying information:
    (i) If the applicant is an individual, the applicant's name and 
address. If the applicant is a corporation, the name and address of the 
corporate office and the name and title of an officer or director. If 
the applicant is a partnership, the name, citizenship, and address of 
all general partners, and, if a general partner is not a natural person, 
then the name and title of a responsible person for that partner, as 
well. If the applicant is a trust, the name and address of the trustee. 
If the applicant is none of the above, it must identify and describe 
itself and its principals or other responsible persons;
    (ii) Applicant ownership and other information as set forth in Sec. 
1.2112(a); and
    (iii) List, in the case of a non-profit entity, the name, address, 
and citizenship of each member of the governing board and of any 
educational institution or governmental entity with a controlling 
interest in the applicant, if applicable.
    (2) The identity of the person(s) authorized to take binding action 
in the bidding on behalf of the applicant.
    (3) For each broadcast television license for which the applicant 
intends to submit reverse auction bids:
    (i) The identity of the station and its television channel;
    (ii) Whether it is a full-power or Class A television station;
    (iii) If the license is for a Class A television station, 
certification under penalty of perjury that it is and will remain in 
compliance with the ongoing statutory eligibility requirements to remain 
a Class A station;
    (iv) Whether it is an NCE station and, if so, whether it operates on 
a reserved or non-reserved channel;
    (v) The types of reverse auction bids that the applicant may submit;
    (vi) Whether the license for the station is subject to a non-final 
revocation order, has expired and is subject to a non-final cancellation 
order, or if for a Class A station is subject to a non-final downgrade 
order and, if the license is subject to such a proceeding or order, then 
an acknowledgement that the Commission will place all of its auction 
proceeds into escrow pending the final outcome of the proceeding or 
order; and
    (vii) Any additional information required to assess the spectrum 
usage rights offered.
    (4) For each broadcast television license for which the applicant 
intends to submit a license relinquishment bid:
    (i) Whether it intends to enter into a channel sharing agreement if 
it becomes a winning bidder;
    (ii) Whether it will control another broadcast station if it becomes 
a winning bidder and terminates operations; and
    (iii) If it will control another broadcast station, an 
acknowledgement that it will remain subject to any pending license 
renewal, as well as any enforcement action, against the station offered; 
or
    (iv) If it will not control another broadcast station, an 
acknowledgement that the Commission will place a share of its auction 
proceeds into escrow to cover any potential forfeiture costs associated 
with any pending license renewal or any pending enforcement action 
against the station offered.
    (5) For each broadcast television license for which the applicant 
intends to submit a channel sharing bid:
    (i) The identity of the channel sharer and the television channel 
the applicant has agreed to share;
    (ii) Any required information regarding the channel sharing 
agreement, including a copy of the executed channel sharing agreement;

[[Page 401]]

    (iii) Certification under penalty of perjury that the channel 
sharing agreement is consistent with all Commission rules and policies, 
and that the applicant accepts any risk that the implementation of the 
channel sharing agreement may not be feasible for any reason, including 
any conflict with requirements for operation on the shared channel;
    (iv) Certification under penalty of perjury that its operation from 
the shared channel facilities will not result in a change to its 
Designated Market Area;
    (v) Certification under penalty of perjury that it can meet the 
community of license coverage requirement set forth in Sec. 73.625(a) 
of this chapter from the shared channel facilities or, if not, that the 
new community of license for its shared channel facilities either meets 
the same or a higher allotment priority as its current community; or, if 
no community meets the same or higher allotment priority, provides the 
next highest priority;
    (vi) Certification under penalty of perjury that the proposed 
channel sharing arrangement will not violate the multiple ownership 
rules, set forth in Sec. 73.3555 of this chapter, based on facts at the 
time the application is submitted; and
    (vii) Certification by the channel sharer under penalty of perjury 
with respect to the certifications described in paragraphs (c)(3)(iii), 
(c)(5)(iii), and (c)(5)(vi) of this section.
    (6) Certification under penalty of perjury that the applicant and 
all of the person(s) disclosed under paragraph (c)(1) of this section 
are not person(s) who have been, for reasons of national security, 
barred by any agency of the Federal Government from bidding on a 
contract, participating in an auction, or receiving a grant. For the 
purposes of this certification, the term ``person'' means an individual, 
partnership, association, joint-stock company, trust, or corporation, 
and the term ``reasons of national security'' means matters relating to 
the national defense and foreign relations of the United States.
    (7) Certification that the applicant agrees that it has sole 
responsibility for investigating and evaluating all technical and 
marketplace factors that may have a bearing on the bids it submits in 
the reverse auction.
    (8) Certification that the applicant agrees that the bids it submits 
in the reverse auction are irrevocable, binding offers by the applicant.
    (9) Certification that the individual submitting the application to 
participate and providing the certifications is authorized to do so on 
behalf of the applicant, and if such individual is not an officer, 
director, board member, or controlling interest holder of the applicant, 
evidence that such individual has the authority to bind the applicant.
    (10) Certification that the applicant is in compliance with all 
statutory and regulatory requirements for participation in the reverse 
auction, including any requirements with respect to the license(s) 
identified in the application to participate.
    (11) Such additional information as may be required.
    (d) Application processing. (1) Any timely submitted application to 
participate will be reviewed for completeness and compliance with the 
Commission's rules. No untimely applications to participate shall be 
reviewed or considered.
    (2) Any application to participate that does not contain all of the 
certifications required pursuant to this section is unacceptable for 
filing, cannot be corrected subsequent to the application filing 
deadline, and will be dismissed with prejudice.
    (3) Applicants will be provided a limited opportunity to cure 
specified defects and to resubmit a corrected application to 
participate. During the resubmission period for curing defects, an 
application to participate may be amended or modified to cure identified 
defects or to make minor amendments or modifications. After the 
resubmission period has ended, an application to participate may be 
amended or modified to make minor changes or correct minor errors in the 
application to participate. Minor amendments may be subject to a 
deadline specified by public notice. Major amendments cannot be made to 
an application to participate after the initial filing deadline. Major 
amendments include, but are not limited to, changes in ownership of the

[[Page 402]]

applicant that would constitute an assignment or transfer of control, 
changes to any of the required certifications, and the addition or 
removal of licenses identified on the application to participate for 
which the applicant intends to submit reverse auction bids. Minor 
amendments include any changes that are not major, such as correcting 
typographical errors and supplying or correcting information as 
requested to support the certifications made in the application.
    (4) Applicants that fail to correct defects in their applications to 
participate in a timely manner as specified by public notice will have 
their applications to participate dismissed with no opportunity for 
resubmission.
    (5) Applicants shall have a continuing obligation to make any 
amendments or modifications that are necessary to maintain the accuracy 
and completeness of information furnished in pending applications to 
participate. Such amendments or modifications shall be made as promptly 
as possible, and in no case more than five business days after 
applicants become aware of the need to make any amendment or 
modification, or five business days after the reportable event occurs, 
whichever is later. An applicant's obligation to make such amendments or 
modifications to a pending application to participate continues until 
they are made.
    (e) Notice to qualified and non-qualified applicants. Each applicant 
will be notified as to whether it is qualified or not qualified to 
participate in the reverse auction.

[79 FR 48530, Aug. 15, 2014, as amended at 80 FR 67342, Nov. 2, 2015]



Sec. 1.2205  Prohibition of certain communications.

    (a) Definitions. (1) For the purposes of this section, a full power 
broadcast television licensee, or a Class A broadcast television 
licensee, shall include all controlling interests in the licensee, and 
all officers, directors, and governing board members of the licensee.
    (2) For the purposes of this section, the term forward auction 
applicant is defined the same as the term applicant is defined in Sec. 
1.2105(c)(5).
    (b) Certain communications prohibited. (1) Except as provided in 
paragraph (b)(2) of this section, in the broadcast television spectrum 
incentive auction conducted under section 6403 of the Spectrum Act, 
beginning on the deadline for submitting applications to participate in 
the reverse auction and until the results of the incentive auction are 
announced by public notice, all full power and Class A broadcast 
television licensees are prohibited from communicating directly or 
indirectly any incentive auction applicant's bids or bidding strategies 
to any other full power or Class A broadcast television licensee or to 
any forward auction applicant.
    (2) The prohibition described in paragraph (b)(1) of this section 
does not apply to the following:
    (i) Communications between full power or Class A broadcast 
television licensees if they share a common controlling interest, 
director, officer, or governing board member as of the deadline for 
submitting applications to participate in the reverse auction;
    (ii) Communications between a forward auction applicant and a full 
power or Class A broadcast television licensee if a controlling 
interest, director, officer, or holder of any 10 percent or greater 
ownership interest in the forward auction applicant, as of the deadline 
for submitting short-form applications to participate in the forward 
auction, is also a controlling interest, director, officer, or governing 
board member of the full power or Class A broadcast television licensee, 
as of the deadline for submitting applications to participate in the 
reverse auction; and
    (iii) Communications regarding reverse auction applicants' (but not 
forward auction applicants') bids and bidding strategies between parties 
to a channel sharing agreement executed prior to the deadline for 
submitting applications to participate in the reverse auction and 
disclosed on a reverse auction application.
    (c) Duty to report potentially prohibited communications. A party 
that makes or receives a communication prohibited under paragraph (b) of 
this section shall report such communication in writing immediately, and 
in any case no later than five business days after

[[Page 403]]

the communication occurs. A party's obligation to make such a report 
continues until the report has been made.
    (d) Procedures for reporting potentially prohibited communications. 
Reports under paragraph (c) of this section shall be filed as directed 
in public notices detailing procedures for bidding in the incentive 
auction. If no public notice provides direction, the party making the 
report shall do so in writing to the Chief of the Auctions and Spectrum 
Access Division, Wireless Telecommunications Bureau, by the most 
expeditious means available, including electronic transmission such as 
email.
    (e) Violations. A party who is found to have violated the antitrust 
laws or the Commission's rules in connection with its participation in 
the competitive bidding process, in addition to any other applicable 
sanctions, may be subject to forfeiture of its winning bid incentive 
payment and revocation of its licenses, where applicable, and may be 
prohibited from participating in future auctions.

    Note 1 to Sec. 1.2205: References to ``full power broadcast 
television licensees'' and ``Class A broadcast television licensees'' 
are intended to include all broadcast television licensees that are or 
could become eligible to participate in the reverse auction, including 
broadcast television licensees that may be parties to a channel sharing 
agreement.
    Note 2 to Sec. 1.2205: For the purposes of this section, 
``controlling interests'' include individuals or entities with positive 
or negative de jure or de facto control of the licensee. De jure control 
includes holding 50 percent or more of the voting stock of a corporation 
or holding a general partnership interest in a partnership. Ownership 
interests that are held indirectly by any party through one or more 
intervening corporations may 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 meets or exceeds 50 percent or 
represents actual control, it may be treated as if it were a 100 percent 
interest. De facto control is determined on a case-by-case basis. 
Examples of de facto control include constituting or appointing 50 
percent or more of the board of directors or management committee; 
having authority to appoint, promote, demote, and fire senior executives 
that control the day-to-day activities of the licensee; or playing an 
integral role in management decisions.
    Note 3 to Sec. 1.2205: The prohibition described in Sec. 
1.2205(b)(1) applies to controlling interests, officers, directors, and 
governing board members of a full power or Class A broadcast television 
licensee as of the deadline for submitting applications to participate 
in the reverse auction, and any additional such parties at any 
subsequent point prior to the announcement by public notice of the 
results of the incentive auction. Thus, if, for example, a full power or 
Class A broadcast television licensee appoints a new officer after the 
application deadline, that new officer would be subject to the 
prohibition in Sec. 1.2205(b)(1), but would not be included within the 
exceptions described in Sec. Sec. 1.2205(b)(2)(i) and (ii).

[79 FR 48530, Aug. 15, 2014, as amended at 80 FR 56816, Sept. 18, 2015]



Sec. 1.2206  Confidentiality of Commission-held data.

    (a) The Commission will take all reasonable steps necessary to 
protect all Confidential Broadcaster Information for all reverse auction 
applicants from the time the broadcast television licensee applies to 
participate in the reverse auction until the reassignments and 
reallocations under section 6403(b)(1)(B) of the Spectrum Act become 
effective or until two years after public notice that the reverse 
auction is complete and that no such reassignments and reallocations 
shall become effective.
    (b) In addition, if reassignments and reallocations under section 
6403(b)(1)(B) of the Spectrum Act become effective, the Commission will 
continue to take all reasonable steps necessary to protect Confidential 
Broadcaster Information pertaining to any unsuccessful reverse auction 
bid and pertaining to any unsuccessful application to participate in the 
reverse auction until two years after the effective date.
    (c) Notwithstanding paragraphs (a) and (b) of this section, the 
Commission may disclose Confidential Broadcaster Information if required 
to do so by law, such as by court order.
    (d) Confidential Broadcaster Information includes the following 
Commission-held data of a broadcast television licensee participating in 
the reverse auction:

[[Page 404]]

    (1) The name of the applicant licensee;
    (2) The licensee's channel number, call sign, facility 
identification number, and network affiliation; and
    (3) Any other information that may reasonably be withheld to protect 
the identity of the licensee, as determined by the Commission.



Sec. 1.2207  Two competing participants required.

    The Commission may not enter into an agreement for a licensee to 
relinquish spectrum usage rights in exchange for a share of the proceeds 
from the related forward auction assigning new spectrum licenses unless 
at least two competing licensees participate in the reverse auction.



Sec. 1.2208  Public notice of auction completion and auction results.

    Public notice shall be provided when the reverse auction is complete 
and when the forward auction is complete. With respect to the broadcast 
television spectrum incentive auction conducted under section 6403 of 
the Spectrum Act, public notice shall be provided of the results of the 
reverse auction, forward auction, and repacking, and shall indicate that 
the reassignments of television channels and reallocations of broadcast 
television spectrum are effective.



Sec. 1.2209  Disbursement of incentive payments.

    A winning bidder shall submit the necessary financial information to 
facilitate the disbursement of the winning bidder's incentive payment. 
Specific procedures for submitting financial information, including 
applicable deadlines, will be set out by public notice.

    Effective Date Note: At 79 FR 48530, Aug. 15, 2014, Sec. 1.2209 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.



 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.

[[Page 405]]



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.



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.

[[Page 406]]



  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), 
(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, 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.

[[Page 407]]

    (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 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.

[[Page 408]]

    (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; 82 
FR 41103, Aug. 29, 2017]



 Subpart T_Foreign Ownership of Broadcast, Common Carrier, Aeronautical 
        En Route, and Aeronautical Fixed Radio Station Licensees

    Source: 81 FR 86601, Dec. 1, 2016, unless otherwise noted.



Sec. 1.5000  Citizenship and filing requirements under section 310(b)
of the Communications Act of 1934, as amended.

    The rules in this subpart establish the requirements and conditions 
for obtaining the Commission's prior approval of foreign ownership in 
broadcast, common carrier, aeronautical en route, and aeronautical fixed 
radio station licensees and common carrier spectrum lessees that would 
exceed the 25 percent benchmark in section 310(b)(4) of the Act. These 
rules also establish the requirements and conditions for obtaining the 
Commission's prior approval of foreign ownership in common carrier (but 
not broadcast, aeronautical en route or aeronautical fixed) radio 
station licensees and spectrum lessees that would exceed the 20 percent 
limit in section 310(b)(3) of the Act. These rules also establish the 
methodology applicable to eligible U.S. public companies for purposes of 
determining and ensuring their compliance with the foreign ownership 
limitations set forth in sections 310(b)(3) and 310(b)(4) of the Act.
    (a)(1) A broadcast, common carrier, aeronautical en route or 
aeronautical fixed radio station licensee or common carrier spectrum 
lessee shall file a petition for declaratory ruling to obtain Commission 
approval under section 310(b)(4) of the Act, and obtain such approval, 
before the aggregate foreign ownership of any controlling, U.S.-
organized parent company exceeds, directly and/or indirectly, 25 percent 
of the U.S. parent's equity interests and/or 25 percent of its voting 
interests. An applicant for a broadcast, common carrier, aeronautical en 
route or aeronautical fixed radio station license or common carrier 
spectrum leasing arrangement shall file the petition for declaratory 
ruling required by this paragraph at the same time that it files its 
application.
    (2) A common carrier radio station licensee or spectrum lessee shall 
file a petition for declaratory ruling to obtain approval under the 
Commission's section 310(b)(3) forbearance approach, and obtain such 
approval, before aggregate foreign ownership, held through one or more 
intervening U.S.-organized entities that hold non-controlling equity 
and/or voting interests in the licensee, along with any foreign 
interests held directly in the licensee or spectrum lessee, exceeds 20 
percent of its equity interests and/or 20 percent of its voting 
interests. An applicant for a common carrier radio station license or 
spectrum leasing arrangement shall file the petition for declaratory 
ruling required by this paragraph at the same

[[Page 409]]

time that it files its application. Foreign interests held directly in a 
licensee or spectrum lessee, or other than through U.S.-organized 
entities that hold non-controlling equity and/or voting interests in the 
licensee or spectrum lessee, shall not be permitted to exceed 20 
percent.

    Note 1 to paragraph (a): Paragraph (a)(1) of this section implements 
the Commission's foreign ownership policies under section 310(b)(4) of 
the Act, 47 U.S.C. 310(b)(4), for broadcast, common carrier, 
aeronautical en route, and aeronautical fixed radio station licensees 
and common carrier spectrum lessees. It applies to foreign equity and/or 
voting interests that are held, or would be held, directly and/or 
indirectly in a U.S.-organized entity that itself directly or indirectly 
controls a broadcast, common carrier, aeronautical en route, or 
aeronautical fixed radio station licensee or common carrier spectrum 
lessee. A foreign individual or entity that seeks to hold a controlling 
interest in such a licensee or spectrum lessee must hold its controlling 
interest indirectly, in a U.S.-organized entity that itself directly or 
indirectly controls the licensee or spectrum lessee. Such controlling 
interests are subject to section 310(b)(4) and the requirements of 
paragraph (a)(1) of this section. The Commission assesses foreign 
ownership interests subject to section 310(b)(4) separately from foreign 
ownership interests subject to section 310(b)(3).

    Note 2 to paragraph (a): Paragraph (a)(2) of this section implements 
the Commission's section 310(b)(3) forbearance approach adopted in the 
First Report and Order in IB Docket No. 11-133, FCC 12-93 (released Aug. 
17, 2012), 77 FR 50628 (Aug. 22, 2012). The section 310(b)(3) 
forbearance approach applies only to foreign equity and voting interests 
that are held, or would be held, in a common carrier licensee or 
spectrum lessee through one or more intervening U.S.-organized entities 
that do not control the licensee or spectrum lessee. Foreign equity and/
or voting interests that are held, or would be held, directly in a 
licensee or spectrum lessee, or indirectly other than through an 
intervening U.S.-organized entity, are not subject to the Commission's 
section 310(b)(3) forbearance approach and shall not be permitted to 
exceed the 20 percent limit in section 310(b)(3) of the Act, 47 U.S.C. 
310(b)(3). The Commission's forbearance approach does not apply to 
broadcast, aeronautical en route or aeronautical fixed radio station 
licenses.

    Example 1. U.S.-organized Corporation A is preparing an application 
to acquire a common carrier radio license by assignment from another 
licensee. U.S.-organized Corporation A is wholly owned and controlled by 
U.S.-organized Corporation B. U.S.-organized Corporation B is 51 percent 
owned and controlled by U.S.-organized Corporation C, which is, in turn, 
wholly owned and controlled by foreign-organized Corporation D. The 
remaining non-controlling 49 percent equity and voting interests in 
U.S.-organized Corporation B are held by U.S.-organized Corporation X, 
which is, in turn, wholly owned and controlled by U.S. citizens. 
Paragraph (a)(1) of this section requires that U.S.-organized 
Corporation A file a petition for declaratory ruling to obtain 
Commission approval of the 51 percent foreign ownership of its 
controlling, U.S.-organized parent, Corporation B, by foreign-organized 
Corporation D, which exceeds the 25 percent benchmark in section 
310(b)(4) of the Act for both equity interests and voting interests. 
Corporation A is also required to identify and request specific approval 
in its petition for any foreign individual or entity, or ``group,'' as 
defined in paragraph (d) of this section, that holds directly and/or 
indirectly more than 5 percent of Corporation B's total outstanding 
capital stock (equity) and/or voting stock, or a controlling interest in 
Corporation B, unless the foreign investment is exempt under Sec. 
1.5001(i)(3).

    Example 2. U.S.-organized Corporation A is preparing an application 
to acquire a common carrier radio license by assignment from another 
licensee. U.S.-organized Corporation A is 51 percent owned and 
controlled by U.S.-organized Corporation B, which is, in turn, wholly 
owned and controlled by U.S. citizens. The remaining non-controlling 49 
percent equity and voting interests in U.S.-organized Corporation A are 
held by U.S.-organized Corporation X, which is, in turn, wholly owned 
and controlled by foreign-organized Corporation Y. Paragraph (a)(2) of 
this section requires that U.S.-organized Corporation A file a petition 
for declaratory ruling to obtain Commission approval of the non-
controlling 49 percent foreign ownership of U.S.-organized Corporation A 
by foreign-organized Corporation Y through U.S.-organized Corporation X, 
which exceeds the 20 percent limit in section 310(b)(3) of the Act for 
both equity interests and voting interests. U.S.-organized Corporation A 
is also required to identify and request specific approval in its 
petition for any foreign individual or entity, or ``group,'' as defined 
in paragraph (d) of this section, that holds an equity and/or voting 
interest in foreign-organized Corporation Y that, when multiplied by 49 
percent, would exceed 5 percent of U.S.-organized Corporation A's equity 
and/or voting interests, unless the foreign investment is exempt under 
Sec. 1.5001(i)(3).

    Example 3. U.S.-organized Corporation A is preparing an application 
to acquire a common carrier radio license by assignment

[[Page 410]]

from another licensee. U.S.-organized Corporation A is 51 percent owned 
and controlled by U.S.-organized Corporation B, which is, in turn, 
wholly owned and controlled by foreign-organized Corporation C. The 
remaining non-controlling 49 percent equity and voting interests in 
U.S.-organized Corporation A are held by U.S.-organized Corporation X, 
which is, in turn, wholly owned and controlled by foreign-organized 
Corporation Y. Paragraphs (a)(1) and (a)(2) of this section require that 
U.S.-organized Corporation A file a petition for declaratory ruling to 
obtain Commission approval of foreign-organized Corporation C's 100 
percent ownership interest in U.S.-organized parent, Corporation B, and 
of foreign-organized Corporation Y's non-controlling, 49 percent foreign 
ownership interest in U.S.-organized Corporation A through U.S-organized 
Corporation X, which exceed the 25 percent benchmark and 20 percent 
limit in sections 310(b)(4) and 310(b)(3) of the Act, respectively, for 
both equity interests and voting interests. U.S-organized Corporation 
A's petition also must identify and request specific approval for 
ownership interests held by any foreign individual, entity, or 
``group,'' as defined in paragraph (d) of this section, to the extent 
required by Sec. 1.5001(i).

    (b) Except for petitions involving broadcast stations only, the 
petition for declaratory ruling required by paragraph (a) of this 
section shall be filed electronically through the International Bureau 
Filing System (IBFS) or any successor system thereto. For information on 
filing a petition through IBFS, see part 1, subpart Y and the IBFS 
homepage at http://www.fcc.gov/ib. Petitions for declaratory ruling 
required by paragraph (a) of this section involving broadcast stations 
only shall be filed electronically on the Internet through the Media 
Bureau's Consolidated Database System (CDBS) or any successor system 
thereto when submitted to the Commission as part of an application for a 
construction permit, assignment, or transfer of control of a broadcast 
license; if there is no associated construction permit, assignment or 
transfer of control application, petitions for declaratory ruling should 
be filed with the Office of the Secretary via the Commission's 
Electronic Comment Filing System (ECFS).
    (c)(1) Each applicant, licensee, or spectrum lessee filing a 
petition for declaratory ruling required by paragraph (a) of this 
section shall certify to the information contained in the petition in 
accordance with the provisions of Sec. 1.16 and the requirements of 
this paragraph. The certification shall include a statement that the 
applicant, licensee and/or spectrum lessee has calculated the ownership 
interests disclosed in its petition based upon its review of the 
Commission's rules and that the interests disclosed satisfy each of the 
pertinent standards and criteria set forth in the rules.
    (2) Multiple applicants and/or licensees shall file jointly the 
petition for declaratory ruling required by paragraph (a) of this 
section where the entities are under common control and 
contemporaneously hold, or are contemporaneously filing applications 
for, broadcast, common carrier licenses, common carrier spectrum leasing 
arrangements, or aeronautical en route or aeronautical fixed radio 
station licenses. Where joint petitioners have different responses to 
the information required by Sec. 1.5001, such information should be set 
out separately for each joint petitioner, except as otherwise permitted 
in Sec. 1.5001(h)(2).
    (i) Each joint petitioner shall certify to the information contained 
in the petition in accordance with the provisions of Sec. 1.16 with 
respect to the information that is pertinent to that petitioner. 
Alternatively, the controlling parent of the joint petitioners may 
certify to the information contained in the petition.
    (ii) Where the petition is being filed in connection with an 
application for consent to transfer control of licenses or spectrum 
leasing arrangements, the transferee or its ultimate controlling parent 
may file the petition on behalf of the licensees or spectrum lessees 
that would be acquired as a result of the proposed transfer of control 
and certify to the information contained in the petition.
    (3) Multiple applicants and licensees shall not be permitted to file 
a petition for declaratory ruling jointly unless they are under common 
control.
    (d) The following definitions shall apply to this section and 
Sec. Sec. 1.5001 through 1.5004.
    (1) Aeronautical radio licenses refers to aeronautical en route and 
aeronautical fixed radio station licenses

[[Page 411]]

only. It does not refer to other types of aeronautical radio station 
licenses.
    (2) Affiliate refers to any entity that is under common control with 
a licensee, defined by reference to the holder, directly and/or 
indirectly, of more than 50 percent of total voting power, where no 
other individual or entity has de facto control.
    (3) Control includes actual working control in whatever manner 
exercised and is not limited to majority stock ownership. Control also 
includes direct or indirect control, such as through intervening 
subsidiaries.
    (4) Entity includes a partnership, association, estate, trust, 
corporation, limited liability company, governmental authority or other 
organization.
    (5) Group refers to two or more individuals or entities that have 
agreed to act together for the purpose of acquiring, holding, voting, or 
disposing of their equity and/or voting interests in the relevant 
licensee, controlling U.S. parent, or entity holding a direct and/or 
indirect equity and/or voting interest in the licensee or U.S. parent.
    (6) Individual refers to a natural person as distinguished from a 
partnership, association, corporation, or other organization.
    (7) Licensee as used in Sec. Sec. 1.5000 through 1.5004 includes a 
spectrum lessee as defined in Sec. 1.9003.
    (8) Privately held company refers to a U.S.- or foreign-organized 
company that has not issued a class of equity securities for which 
beneficial ownership reporting is required by security holders and other 
beneficial owners under sections 13(d) or 13(g) of the Securities 
Exchange Act of 1934, as amended, 15 U.S.C. 78a et seq. (Exchange Act), 
and corresponding Exchange Act Rule 13d-1, 17 CFR 240.13d-1, or a 
substantially comparable foreign law or regulation.
    (9) Public company refers to a U.S.- or foreign-organized company 
that has issued a class of equity securities for which beneficial 
ownership reporting is required by security holders and other beneficial 
owners under sections 13(d) or 13(g) of the Securities Exchange Act of 
1934, as amended, 15 U.S.C. 78a et seq. (Exchange Act) and corresponding 
Exchange Act Rule 13d-1, 17 CFR 240.13d-1, or a substantially comparable 
foreign law or regulation.
    (10) Subsidiary refers to any entity in which a licensee owns or 
controls, directly and/or indirectly, more than 50 percent of the total 
voting power of the outstanding voting stock of the entity, where no 
other individual or entity has de facto control.
    (11) Voting stock refers to an entity's corporate stock, partnership 
or membership interests, or other equivalents of corporate stock that, 
under ordinary circumstances, entitles the holders thereof to elect the 
entity's board of directors, management committee, or other equivalent 
of a corporate board of directors.
    (12) Would hold as used in Sec. Sec. 1.5000 through 1.5004 includes 
interests that an individual or entity proposes to hold in an applicant, 
licensee, or spectrum lessee, or their controlling U.S. parent, upon 
consummation of any transactions described in the petition for 
declaratory ruling filed under paragraphs (a)(1) or (2) of this section.
    (e)(1) This section sets forth the methodology applicable to 
broadcast, common carrier, aeronautical en route, and aeronautical fixed 
radio station licensees and common carrier spectrum lessees that are, or 
are directly or indirectly controlled by, an eligible U.S. public 
company for purposes of monitoring the licensee's or spectrum lessee's 
compliance with the foreign ownership limits set forth in sections 
310(b)(3) and 310(b)(4) of the Act and with the terms and conditions of 
a licensee's or spectrum lessee's foreign ownership ruling issued 
pursuant to paragraph (a)(1) or (2) of this section. For purposes of 
this section:
    (i) An ``eligible U.S. public company'' is a company that is 
organized in the United States; whose stock is traded on a stock 
exchange in the United States; and that has issued a class of equity 
securities for which beneficial ownership reporting is required by 
security holders and other beneficial owners under sections 13(d) or 
13(g) of the Securities Exchange Act of 1934, as amended, 15 U.S.C. 78a 
et seq. (Exchange Act) and corresponding Exchange Act Rule 13d-1, 17 CFR 
240.13d-1;
    (ii) A ``beneficial owner'' of a security refers to any person who, 
directly

[[Page 412]]

or indirectly, through any contract, arrangement, understanding, 
relationship, or otherwise has or shares voting power, which includes 
the power to vote, or to direct the voting of, such security; and
    (iii) An ``equity interest holder'' refers to any person or entity 
that has the right to receive or the power to direct the receipt of 
dividends from, or the proceeds from the sale of, a share.
    (2) An eligible U.S. public company shall use information that is 
known or reasonably should be known by the company in the ordinary 
course of business, as described in this paragraph, to identify the 
beneficial owners and equity interest holders of its voting and non-
voting stock:
    (i) Information recorded in the company's share register;
    (ii) Information as to shares held by officers, directors, and 
employees;
    (iii) Information reported to the Securities and Exchange Commission 
(SEC) in Schedule 13D (17 CFR 240.13d-101) and in Schedule 13G (17 CFR 
240.13d-102), including amendments filed by or on behalf of a reporting 
person, and company-specific information derived from SEC Form 13F (17 
CFR 249.325);
    (iv) Information as to beneficial owners of shares required to be 
identified in a company's annual reports (or proxy statements) and 
quarterly reports;
    (v) Information as to the identify and citizenship of a beneficial 
owner and/or equity interest holder where such information is actually 
known to the public company as a result of shareholder litigation, 
financing transactions, and proxies voted at annual or other meetings; 
and
    (vi) Information as to the identity and citizenship of a beneficial 
owner and/or equity interest holder where such information is actually 
known to the company by whatever source.
    (3) An eligible U.S. public company shall use information that is 
known or reasonably should be known by the company in the ordinary 
course of business to determine the citizenship of the beneficial owners 
and equity interest holders, identified pursuant to paragraph (e)(2) of 
this section, including information recorded in the company's 
shareholder register, information required to be disclosed pursuant to 
rules of the Securities and Exchange Commission, other information that 
is publicly available to the company, and information received by the 
company through direct inquiries with the beneficial owners and equity 
interest holders where the company determines that direct inquiries are 
necessary to its compliance efforts.
    (4) A licensee or spectrum lessee that is, or is directly or 
indirectly controlled by, an eligible U.S. public company, shall 
exercise due diligence in identifying and determining the citizenship of 
such public company's beneficial owners and equity interest holders.
    (5) To calculate aggregate levels of foreign ownership, a licensee 
or spectrum lessee that is, or is directly or indirectly controlled by, 
an eligible U.S. public company, shall base its foreign ownership 
calculations on such public company's known or reasonably should be 
known foreign equity and voting interests as described in paragraphs 
(e)(2) and (3) of this section. The licensee shall aggregate the public 
company's known or reasonably should be known foreign voting interests 
and separately aggregate the public company's known or reasonably should 
be known foreign equity interests. If the public company's known or 
reasonably should be known foreign voting interests and its known or 
reasonably should be known foreign equity interests do not exceed 25 
percent (20 percent in the case of an eligible publicly traded licensee 
subject to section 310(b)(3)) of the company's total outstanding voting 
shares or 25 percent (20 percent in the case of an eligible publicly 
traded licensee subject to Section 310(b)(3)) of the company's total 
outstanding shares (whether voting or non-voting), respectively, the 
company shall be deemed compliant, under this section, with the 
applicable statutory limit.

    Example. Assume that a licensee's controlling U.S. parent is an 
eligible U.S. public company. The publicly traded U.S. parent has one 
class of stock consisting of 100 total outstanding shares of common 
voting stock. The licensee (and/or the U.S. parent on its behalf) has 
exercised the required due diligence in following the above-described 
methodology for identifying and determining the

[[Page 413]]

citizenship of the U.S. parent's ``known or reasonably should be known'' 
interest holders and has identified one foreign shareholder that owns 6 
shares (i.e., 6 percent of the total outstanding shares) and another 
foreign shareholder that owns 4 shares (i.e., 4 percent of the total 
outstanding shares). The licensee would add the U.S. parent's known 
foreign shares and divide the sum by the number of the U.S. parent's 
total outstanding shares. In this example, the licensee's U.S. parent 
would be calculated as having an aggregate 10 percent foreign equity 
interests and 10 percent foreign voting interests (6 + 4 foreign shares 
= 10 foreign shares; 10 foreign shares divided by 100 total outstanding 
shares = 10 percent). Thus, in this example, the licensee would be 
deemed compliant with Section 310(b)(4).



Sec. 1.5001  Contents of petitions for declaratory ruling under 
section 310(b) of the Communications Act of 1934, as amended.

    The petition for declaratory ruling required by Sec. 1.5000(a)(1) 
and/or (2) shall contain the following information:
    (a) With respect to each petitioning applicant or licensee, provide 
its name; FCC Registration Number (FRN); mailing address; place of 
organization; telephone number; facsimile number (if available); 
electronic mail address (if available); type of business organization 
(e.g., corporation, unincorporated association, trust, general 
partnership, limited partnership, limited liability company, trust, 
other (include description of legal entity)); name and title of officer 
certifying to the information contained in the petition.
    (b) If the petitioning applicant or licensee is represented by a 
third party (e.g., legal counsel), specify that individual's name, the 
name of the firm or company, mailing address and telephone number/
electronic mail address.
    (c)(1) For each named licensee, list the type(s) of radio service 
authorized (e.g., broadcast service, cellular radio telephone service; 
microwave radio service; mobile satellite service; aeronautical fixed 
service). In the case of broadcast licensees, also list the call sign, 
facility identification number (if applicable), and community of license 
or transmit site for each authorization covered by the petition.
    (2) If the petition is filed in connection with an application for a 
radio station license or a spectrum leasing arrangement, or an 
application to acquire a license or spectrum leasing arrangement by 
assignment or transfer of control, specify for each named applicant:
    (i) The File No(s). of the associated application(s), if available 
at the time the petition is filed; otherwise, specify the anticipated 
filing date for each application; and
    (ii) The type(s) of radio services covered by each application 
(e.g., broadcast service, cellular radio telephone service; microwave 
radio service; mobile satellite service; aeronautical fixed service).
    (d) With respect to each petitioner, include a statement as to 
whether the petitioner is requesting a declaratory ruling under Sec. 
1.5000(a)(1) and/or (2).
    (e) Disclosable interest holders--direct U.S. or foreign interests 
in the controlling U.S. parent. Paragraphs (e)(1) through (4) of this 
section apply only to petitions filed under Sec. 1.5000(a)(1) and/or 
(2) for common carrier, aeronautical en route, and aeronautical fixed 
radio station applicants or licensees, as applicable. Petitions filed 
under Sec. 1.5000(a)(1) for broadcast licensees shall provide the name 
of any individual or entity that holds, or would hold, directly, an 
attributable interest in the controlling U.S. parent of the petitioning 
broadcast station applicant(s) or licensee(s), as defined in the Notes 
to Sec. 73.3555 of this chapter. Where no individual or entity holds, 
or would hold, directly, an attributable interest in the controlling 
U.S. parent (for petitions filed under Sec. 1.5000(a)(1)), the petition 
shall specify that no individual or entity holds, or would hold, 
directly, an attributable interest in the U.S. parent, applicant(s), or 
licensee(s).
    (1) Direct U.S. or foreign interests of ten percent or more or a 
controlling interest. With respect to petitions filed under Sec. 
1.5000(a)(1), provide the name of any individual or entity that holds, 
or would hold, directly 10 percent or more of the equity interests and/
or voting interests, or a controlling interest, in the controlling U.S. 
parent of the petitioning common carrier or aeronautical radio station 
applicant(s) or licensee(s) as specified in paragraphs (e)(4)(i) through 
(iv) of this section.
    (2) Direct U.S. or foreign interests of ten percent or more or a 
controlling interest.

[[Page 414]]

With respect to petitions filed under Sec. 1.5000(a)(2), provide the 
name of any individual or entity that holds, or would hold, directly 10 
percent or more of the equity interests and/or voting interests, or a 
controlling interest, in each petitioning common carrier applicant or 
licensee as specified in paragraphs (e)(4)(i) through (iv) of this 
section.
    (3) Where no individual or entity holds, or would hold, directly 10 
percent or more of the equity interests and/or voting interests, or a 
controlling interest, in the controlling U.S. parent (for petitions 
filed under Sec. 1.5000(a)(1)) or in the applicant or licensee (for 
petitions filed under Sec. 1.5000(a)(2)), the petition shall state that 
no individual or entity holds or would hold directly 10 percent or more 
of the equity interests and/or voting interests, or a controlling 
interest, in the U.S. parent, applicant or licensee.
    (4)(i) Where a named U.S. parent, applicant, or licensee is 
organized as a corporation, provide the name of any individual or entity 
that holds, or would hold, 10 percent or more of the outstanding capital 
stock and/or voting stock, or a controlling interest.
    (ii) Where a named U.S. parent, applicant, or licensee is organized 
as a general partnership, provide the names of the partnership's 
constituent general partners.
    (iii) Where a named U.S. parent, applicant, or licensee is organized 
as a limited partnership or limited liability partnership, provide the 
name(s) of the general partner(s) (in the case of a limited 
partnership), any uninsulated partner, regardless of its equity 
interest, and any insulated partner with an equity interest in the 
partnership of at least 10 percent (calculated according to the 
percentage of the partner's capital contribution). With respect to each 
named partner (other than a named general partner), the petitioner shall 
state whether the partnership interest is insulated or uninsulated, 
based on the insulation criteria specified in Sec. 1.5003.
    (iv) Where a named U.S. parent, applicant, or licensee is organized 
as a limited liability company, provide the name(s) of each uninsulated 
member, regardless of its equity interest, any insulated member with an 
equity interest of at least 10 percent (calculated according to the 
percentage of its capital contribution), and any non-equity manager(s). 
With respect to each named member, the petitioner shall state whether 
the interest is insulated or uninsulated, based on the insulation 
criteria specified in Sec. 1.5003, and whether the member is a manager.

    Note to paragraph (e): The Commission presumes that a general 
partner of a general partnership or limited partnership has a 
controlling (100 percent) voting interest in the partnership. A general 
partner shall in all cases be deemed to hold an uninsulated interest in 
the partnership.
    (f) Disclosable interest holders--indirect U.S. or foreign interests 
in the controlling U.S. parent. Paragraphs (f)(1) through (3) of this 
section apply only to petitions filed under Sec. 1.5000(a)(1) and/or 
Sec. 1.5000(a)(2) for common carrier, aeronautical en route, and 
aeronautical fixed radio station applicants or licensees, as applicable. 
Petitions filed under Sec. 1.5000(a)(1) for broadcast licensees shall 
provide the name of any individual or entity that holds, or would hold, 
indirectly, an attributable interest in the controlling U.S. parent of 
the petitioning broadcast station applicant(s) or licensee(s), as 
defined in the Notes to Sec. 73.3555 of this chapter. Where no 
individual or entity holds, or would hold, indirectly, an attributable 
interest in the controlling U.S. parent (for petitions filed under Sec. 
1.5000(a)(1)), the petition shall specify that no individual or entity 
holds, or would hold, indirectly, an attributable interest in the U.S. 
parent, applicant(s), or licensee(s).

    (1) Indirect U.S. or foreign interests of 10 percent or more or a 
controlling interest. With respect to petitions filed under Sec. 
1.5000(a)(1), provide the name of any individual or entity that holds, 
or would hold, indirectly, through one or more intervening entities, 10 
percent or more of the equity interests and/or voting interests, or a 
controlling interest, in the controlling U.S. parent of the petitioning 
common carrier or aeronautical radio station applicant(s) or 
licensee(s). Equity interests and voting interests held indirectly shall 
be calculated in accordance with the principles set forth in Sec. 
1.5002.

[[Page 415]]

    (2) Indirect U.S. or foreign interests of 10 percent or more or a 
controlling interest. With respect to petitions filed under Sec. 
1.5000(a)(2), provide the name of any individual or entity that holds, 
or would hold, indirectly, through one or more intervening entities, 10 
percent or more of the equity interests and/or voting interests, or a 
controlling interest, in the petitioning common carrier radio station 
applicant(s) or licensee(s). Equity interests and voting interests held 
indirectly shall be calculated in accordance with the principles set 
forth in Sec. 1.5002.
    (3) Where no individual or entity holds, or would hold, indirectly 
10 percent or more of the equity interests and/or voting interests, or a 
controlling interest, in the controlling U.S. parent (for petitions 
filed under Sec. 1.5000(a)(1)) or in the petitioning applicant(s) or 
licensee(s) (for petitions filed under Sec. 1.5000(a)(2)), the petition 
shall specify that no individual or entity holds indirectly 10 percent 
or more of the equity interests and/or voting interests, or a 
controlling interest, in the U.S. parent, applicant(s), or licensee(s).

    Note to paragraph (f): The Commission presumes that a general 
partner of a general partnership or limited partnership has a 
controlling interest in the partnership. A general partner shall in all 
cases be deemed to hold an uninsulated interest in the partnership.

    (g)(1) Citizenship and other information for disclosable interests 
in common carrier, aeronautical en route, and aeronautical fixed radio 
station applicants and licensees. For each 10 percent interest holder 
named in response to paragraphs (e) and (f) of this section, specify the 
equity interest held and the voting interest held (each to the nearest 
one percent); in the case of an individual, his or her citizenship; and 
in the case of a business organization, its place of organization, type 
of business organization (e.g., corporation, unincorporated association, 
trust, general partnership, limited partnership, limited liability 
company, trust, other (include description of legal entity)), and 
principal business(es).
    (2) Citizenship and other information for disclosable interests in 
broadcast station applicants and licensees. For each attributable 
interest holder named in response to paragraphs (e) and (f) of this 
section, describe the nature of the attributable interest and, if 
applicable, specify the equity interest held and the voting interest 
held (each to the nearest one percent); in the case of an individual, 
his or her citizenship; and in the case of a business organization, its 
place of organization, type of business organization (e.g., corporation, 
unincorporated association, trust, general partnership, limited 
partnership, limited liability company, trust, other (include 
description of legal entity)), and principal business(es).
    (h)(1) Estimate of aggregate foreign ownership. For petitions filed 
under Sec. 1.5000(a)(1), attach an exhibit that provides a percentage 
estimate of the controlling U.S. parent's aggregate direct and/or 
indirect foreign equity interests and its aggregate direct and/or 
indirect foreign voting interests. For petitions filed under Sec. 
1.5000(a)(2), attach an exhibit that provides a percentage estimate of 
the aggregate foreign equity interests and aggregate foreign voting 
interests held directly in the petitioning applicant(s) and/or 
licensee(s), if any, and the aggregate foreign equity interests and 
aggregate foreign voting interests held indirectly in the petitioning 
applicant(s) and/or licensee(s). The exhibit required by this paragraph 
must also provide a general description of the methods used to determine 
the percentages, and a statement addressing the circumstances that 
prompted the filing of the petition and demonstrating that the public 
interest would be served by grant of the petition.
    (2) Ownership and control structure. Attach an exhibit that 
describes the ownership and control structure of the applicant(s) and/or 
licensee(s) that are the subject of the petition, including an ownership 
diagram and identification of the real party-in-interest disclosed in 
any companion applications. The ownership diagram should illustrate the 
petitioner's vertical ownership structure, including the controlling 
U.S. parent named in the petition (for petitions filed under Sec. 
1.5000(a)(1)) and either:
    (i) For common carrier, aeronautical en route, and aeronautical 
fixed radio

[[Page 416]]

station applicants and licensees, the direct and indirect ownership 
(equity and voting) interests held by the individual(s) and/or 
entity(ies) named in response to paragraphs (e) and (f) of this section; 
or
    (ii) For broadcast station applicants and licensees, the 
attributable interest holders named in response to paragraphs (e) and 
(f) of this section. Each such individual or entity shall be depicted in 
the ownership diagram and all controlling interests labeled as such. 
Where the petition includes multiple petitioners, the ownership of all 
petitioners may be depicted in a single ownership diagram or in multiple 
diagrams.
    (i) Requests for specific approval. Provide, as required or 
permitted by this paragraph, the name of each foreign individual and/or 
entity for which each petitioner requests specific approval, if any, and 
the respective percentages of equity and/or voting interests (to the 
nearest one percent) that each such foreign individual or entity holds, 
or would hold, directly and/or indirectly, in the controlling U.S. 
parent of the petitioning broadcast, common carrier or aeronautical 
radio station applicant(s) or licensee(s) for petitions filed under 
Sec. 1.5000(a)(1), and in each petitioning common carrier applicant or 
licensee for petitions filed under Sec. 1.5000(a)(2).
    (1) Each petitioning broadcast, common carrier or aeronautical radio 
station applicant or licensee filing under Sec. 1.5000(a)(1) shall 
identify and request specific approval for any foreign individual, 
entity, or group of such individuals or entities that holds, or would 
hold, directly and/or indirectly, more than 5 percent of the equity and/
or voting interests, or a controlling interest, in the petitioner's 
controlling U.S. parent unless the foreign investment is exempt under 
paragraph (i)(3) of this section. Equity and voting interests held 
indirectly in the petitioner's controlling U.S. parent shall be 
calculated in accordance with the principles set forth in Sec. Sec. 
1.5002 and 1.5003. Equity and voting interests held directly in a 
petitioner's controlling U.S. parent that is organized as a partnership 
or limited liability company shall be calculated in accordance with Note 
1 to paragraph (i)(3)(ii)(C) of this section.

    Note to paragraph (i)(1): Solely for the purpose of identifying 
foreign interests that require specific approval under this paragraph 
(i), broadcast station applicants and licensees filing petitions under 
Sec. 1.5000(a)(1) should calculate equity and voting interests in 
accordance with the principles set forth in Sec. Sec. 1.5002 and 1.5003 
and not as set forth in the Notes to Sec. 73.3555 of this chapter, to 
the extent that there are any differences in such calculation methods. 
Notwithstanding the foregoing, the insulation of limited partnership, 
limited liability partnership, and limited liability company interests 
for broadcast applicants and licensees shall be determined in accordance 
with Note 2(f) of Sec. 73.3555 of this chapter.

    (2) Each petitioning common carrier radio station applicant or 
licensee filing under Sec. 1.5000(a)(2) shall identify and request 
specific approval for any foreign individual, entity, or group of such 
individuals or entities that holds, or would hold, directly, and/or 
indirectly through one or more intervening U.S.-organized entities that 
do not control the applicant or licensee, more than 5 percent of the 
equity and/or voting interests in the applicant or licensee unless the 
foreign investment is exempt under paragraph (i)(3) of this section. 
Equity and voting interests held indirectly in the applicant or licensee 
shall be calculated in accordance with the principles set forth in 
Sec. Sec. 1.5002 and 1.5003. Equity and voting interests held directly 
in an applicant or licensee that is organized as a partnership or 
limited liability company shall be calculated in accordance with Note 1 
to paragraph (i)(3)(ii)(C) of this section.

    Note 1 to paragraphs (i)(1) and (2): Certain foreign interests of 5 
percent or less may require specific approval under paragraphs (i)(1) 
and (2). See Note 2 to paragraph (i)(3)(ii)(C) of this section.
    Note 2 to paragraphs (i)(1) and (2): Two or more individuals or 
entities will be treated as a ``group'' when they have agreed to act 
together for the purpose of acquiring, holding, voting, or disposing of 
their equity and/or voting interests in the licensee and/or controlling 
U.S. parent of the licensee or in any intermediate company(ies) through 
which any of the individuals or entities holds its interests in the 
licensee and/or controlling U.S. parent of the licensee.


[[Page 417]]


    (3) A foreign investment is exempt from the specific approval 
requirements of paragraphs (i)(1) and (2) of this section where:
    (i) The foreign individual or entity holds, or would hold, directly 
and/or indirectly, no more than 10 percent of the equity and/or voting 
interests of the U.S. parent (for petitions filed under Sec. 
1.5000(a)(1)) or the petitioning applicant or licensee (for petitions 
filed under Sec. 1.5000(a)(2)); and
    (ii) The foreign individual or entity does not hold, and would not 
hold, a controlling interest in the petitioner or any controlling parent 
company, does not plan or intend to change or influence control of the 
petitioner or any controlling parent company, does not possess or 
develop any such purpose, and does not take any action having such 
purpose or effect. The Commission will presume, in the absence of 
evidence to the contrary, that the following interests satisfy this 
criterion for exemption from the specific approval requirements in 
paragraphs (i)(1) and (2) of this section:
    (A) Where the petitioning applicant or licensee, controlling U.S. 
parent, or entity holding a direct or indirect equity and/or voting 
interest in the applicant/licensee or U.S. parent is a ``public 
company,'' as defined in Sec. 1.5000(d)(9), provided that the foreign 
holder is an institutional investor that is eligible to report its 
beneficial ownership interests in the company's voting, equity 
securities in excess of 5 percent (not to exceed 10 percent) pursuant to 
Exchange Act Rule 13d-1(b), 17 CFR 240.13d-1(b), or a substantially 
comparable foreign law or regulation. This presumption shall not apply 
if the foreign individual, entity or group holding such interests is 
obligated to report its holdings in the company pursuant to Exchange Act 
Rule 13d-1(a), 17 CFR 240.13d-1(a), or a substantially comparable 
foreign law or regulation.

    Example. Common carrier applicant (``Applicant'') is preparing a 
petition for declaratory ruling to request Commission approval for 
foreign ownership of its controlling, U.S.-organized parent (``U.S. 
Parent'') to exceed the 25 percent benchmark in section 310(b)(4) of the 
Act. Applicant does not currently hold any FCC licenses. Shares of U.S. 
Parent trade publicly on the New York Stock Exchange. Based on a review 
of its shareholder records, U.S. Parent has determined that its 
aggregate foreign ownership on any given day may exceed an aggregate 25 
percent, including a 6 percent common stock interest held by a foreign-
organized mutual fund (``Foreign Fund''). U.S. Parent has confirmed that 
Foreign Fund is not currently required to report its interest pursuant 
to Exchange Act Rule 13d-1(a) and instead is eligible to report its 
interest pursuant to Exchange Act Rule 13d-1(b). U.S. Parent also has 
confirmed that Foreign Fund does not hold any other interests in U.S. 
Parent's equity securities, whether of a class of voting or non-voting 
securities. Applicant may, but is not required to, request specific 
approval of Foreign Fund's 6 percent interest in U.S. Parent.

    Note to paragraph (i)(3)(ii)(A): Where an institutional investor 
holds voting, equity securities that are subject to reporting under 
Exchange Act Rule 13d-1, 17 CFR 240.13d-1, or a substantially comparable 
foreign law or regulation, in addition to equity securities that are not 
subject to such reporting, the investor's total capital stock interests 
may be aggregated and treated as exempt from the 5 percent specific 
approval requirement in paragraphs (i)(1) and (2) of this section so 
long as the aggregate amount of the institutional investor's holdings 
does not exceed 10 percent of the company's total capital stock or 
voting rights and the investor is eligible to certify under Exchange Act 
Rule 13d-1(b), 17 CFR 240.13d-1(b), or a substantially comparable 
foreign law or regulation that it has acquired its capital stock 
interests in the ordinary course of business and not with the purpose 
nor with the effect of changing or influencing the control of the 
company. In calculating foreign equity and voting interests, the 
Commission does not consider convertible interests such as options, 
warrants and convertible debentures until converted, unless specifically 
requested by the petitioner, i.e., where the petitioner is requesting 
approval so those rights can be exercised in a particular case without 
further Commission approval.

    (B) Where the petitioning applicant or licensee, controlling U.S. 
parent, or entity holding a direct and/or indirect equity and/or voting 
interest in the applicant/licensee or U.S. parent is a ``privately 
held'' corporation, as defined in Sec. 1.5000(d)(8), provided that a 
shareholders' agreement, or similar voting agreement, prohibits the 
foreign holder from becoming actively involved in the management or 
operation of the corporation and limits the foreign holder's voting and 
consent rights, if any, to the minority shareholder protections listed 
in paragraph (i)(5) of this section.

[[Page 418]]

    (C) Where the petitioning applicant or licensee, controlling U.S. 
parent, or entity holding a direct and/or indirect equity and/or voting 
interest in the licensee or U.S. parent is ``privately held,'' as 
defined in Sec. 1.5000(d)(8), and is organized as a limited 
partnership, limited liability company (``LLC''), or limited liability 
partnership (``LLP''), provided that the foreign holder is ``insulated'' 
in accordance with the criteria specified in Sec. 1.5003.

    Note 1 to paragraph (i)(3)(ii)(C): For purposes of identifying 
foreign interests that require specific approval, where the petitioning 
applicant, licensee, or controlling U.S. parent is itself organized as a 
partnership or LLC, a general partner, uninsulated limited partner, 
uninsulated LLC member, and non-member LLC manager shall be deemed to 
hold a controlling (100 percent) voting interest in the applicant, 
licensee, or controlling U.S. parent.

    Note 2 to paragraph (i)(3)(ii)(C): For purposes of identifying 
foreign interests that require specific approval, where interests are 
held indirectly in the petitioning applicant, licensee, or controlling 
U.S. parent through one or more intervening partnerships or LLCs, a 
general partner, uninsulated limited partner, uninsulated LLC members, 
and non-member LLC managers shall be deemed to hold the same voting 
interest as the partnership or LLC holds in the company situated in the 
next lower tier of the petitioner's vertical ownership chain and, 
ultimately, the same voting interest as the partnership or LLC is 
calculated as holding in the controlling U.S. parent (for petitions 
filed under Sec. 1.5000(a)(1)) or in the applicant or licensee (for 
petitions filed under Sec. 1.5000(a)(2)). See Sec. 1.5002(b)(2)(ii)(A) 
and (b)(2)(iii)(A). Where a limited partner or LLC member is insulated, 
the limited partner's or LLC member's voting interest in the controlling 
U.S. parent (for petitions filed under Sec. 1.5000(a)(1)), or in the 
applicant or licensee (for petitions filed under Sec. 1.5000(a)(2)) is 
calculated as equal to the limited partner's or LLC member's equity 
interest in the U.S. parent or in the applicant or licensee, 
respectively. See Sec. 1.5002(b)(2)(ii)(B) and (b)(2)(iii)(B). Thus, 
depending on the particular ownership structure presented in the 
petition, a foreign general partner, uninsulated limited partner, LLC 
member, or non-member LLC manager of an intervening partnership or LLC 
may be deemed to hold an indirect voting interest in the controlling 
U.S. parent or in the petitioning applicant or licensee that requires 
specific approval because the voting interest exceeds the 5 percent 
amount specified in paragraphs (i)(1) and (2) of this section and, 
unless the voting interest is otherwise insulated at a lower tier of the 
petitioner's vertical ownership chain, the voting interest would not 
qualify as exempt from specific approval under this paragraph 
(i)(3)(ii)(C) even in circumstances where the voting interest does not 
exceed 10 percent.

    (4) A petitioner may, but is not required to, request specific 
approval for any other foreign individual or entity that holds, or would 
hold, a direct and/or indirect equity and/or voting interest in the 
controlling U.S. parent (for petitions filed under Sec. 1.5000(a)(1)) 
or in the petitioning applicant or licensee (for petitions filed under 
Sec. 1.5000(a)(2)).
    (5) The minority shareholder protections referenced in paragraph 
(i)(3)(ii)(B) of this section consist of the following rights:
    (i) The power to prevent the sale or pledge of all or substantially 
all of the assets of the corporation or a voluntary filing for 
bankruptcy or liquidation;
    (ii) The power to prevent the corporation from entering into 
contracts with majority shareholders or their affiliates;
    (iii) The power to prevent the corporation from guaranteeing the 
obligations of majority shareholders or their affiliates;
    (iv) The power to purchase an additional interest in the corporation 
to prevent the dilution of the shareholder's pro rata interest in the 
event that the corporation issues additional instruments conveying 
shares in the company;
    (v) The power to prevent the change of existing legal rights or 
preferences of the shareholders, as provided in the charter, by-laws or 
other operative governance documents;
    (vi) The power to prevent the amendment of the charter, by-laws or 
other operative governance documents of the company with respect to the 
matters described in paragraph (i)(5)(i) through (v) of this section.
    (6) The Commission reserves the right to consider, on a case-by-case 
basis, whether voting or consent rights over matters other than those 
listed in paragraph (i)(5) of this section shall be considered 
permissible minority shareholder protections in a particular case.
    (j) For each foreign individual or entity named in response to 
paragraph (i)

[[Page 419]]

of this section, provide the following information:
    (1) In the case of an individual, his or her citizenship and 
principal business(es);
    (2) In the case of a business organization:
    (i) Its place of organization, type of business organization (e.g., 
corporation, unincorporated association, trust, general partnership, 
limited partnership, limited liability company, trust, other (include 
description of legal entity)), and principal business(es);
    (ii)(A) For common carrier, aeronautical en route, and aeronautical 
fixed radio station applicants and licensees, the name of any individual 
or entity that holds, or would hold, directly and/or indirectly, through 
one or more intervening entities, 10 percent or more of the equity 
interests and/or voting interests, or a controlling interest, in the 
foreign entity for which the petitioner requests specific approval. 
Specify for each such interest holder, his or her citizenship (for 
individuals) or place of legal organization (for entities). Equity 
interests and voting interests held indirectly shall be calculated in 
accordance with the principles set forth in Sec. 1.5002.
    (B) For broadcast applicants and licensees, the name of any 
individual or entity that holds, or would hold, directly and/or 
indirectly, through one or more intervening entities, an attributable 
interest in the foreign entity for which the petitioner requests 
specific approval. Specify for each such interest holder, his or her 
citizenship (for individuals) or place of legal organization (for 
entities). Attributable interests shall be calculated in accordance with 
the principles set forth in the Notes to Sec. 73.3555 of this chapter.
    (iii)(A) For common carrier, aeronautical en route, and aeronautical 
fixed radio station applicants and licensees, where no individual or 
entity holds, or would hold, directly and/or indirectly, 10 percent or 
more of the equity interests and/or voting interests, or a controlling 
interest, the petition shall specify that no individual or entity holds, 
or would hold, directly and/or indirectly, 10 percent or more of the 
equity interests and/or voting interests, or a controlling interest, in 
the foreign entity for which the petitioner requests specific approval.
    (B) For broadcast applicants and licensees, where no individual or 
entity holds, or would hold, directly and/or indirectly, an attributable 
interest in the foreign entity, the petition shall specify that no 
individual or entity holds, or would hold, directly and/or indirectly, 
an attributable interest in the foreign entity for which the petitioner 
requests specific approval.
    (k) Requests for advance approval. The petitioner may, but is not 
required to, request advance approval in its petition for any foreign 
individual or entity named in response to paragraph (i) of this section 
to increase its direct and/or indirect equity and/or voting interests in 
the controlling U.S. parent of the broadcast, common carrier or 
aeronautical radio station licensee, for petitions filed under Sec. 
1.5000(a)(1), and/or in the common carrier licensee, for petitions filed 
under Sec. 1.5000(a)(2), above the percentages specified in response to 
paragraph (i) of this section. Requests for advance approval shall be 
made as follows:
    (1) Petitions filed under Sec. 1.5000(a)(1). Where a foreign 
individual or entity named in response to paragraph (i) of this section 
holds, or would hold upon consummation of any transactions described in 
the petition, a de jure or de facto controlling interest in the 
controlling U.S. parent, the petitioner may request advance approval in 
its petition for the foreign individual or entity to increase its 
interests, at some future time, up to any amount, including 100 percent 
of the direct and/or indirect equity and/or voting interests in the U.S. 
parent. The petitioner shall specify for the named controlling foreign 
individual(s) or entity(ies) the maximum percentages of equity and/or 
voting interests for which advance approval is sought or, in lieu of a 
specific amount, state that the petitioner requests advance approval for 
the named controlling foreign individual or entity to increase its 
interests up to and including 100 percent of the U.S. parent's direct 
and/or indirect equity and/or voting interests.
    (2) Petitions filed under Sec. 1.5000(a)(1) and/or (2). Where a 
foreign individual or entity named in response to paragraph

[[Page 420]]

(i) of this section holds, or would hold upon consummation of any 
transactions described in the petition, a non-controlling interest in 
the controlling U.S. parent of the licensee, for petitions filed under 
Sec. 1.5000(a)(1), or in the licensee, for petitions filed under Sec. 
1.5000(a)(2), the petitioner may request advance approval in its 
petition for the foreign individual or entity to increase its interests, 
at some future time, up to any non-controlling amount not to exceed 
49.99 percent. The petitioner shall specify for the named foreign 
individual(s) or entity(ies) the maximum percentages of equity and/or 
voting interests for which advance approval is sought or, in lieu of a 
specific amount, shall state that the petitioner requests advance 
approval for the named foreign individual(s) or entity(ies) to increase 
their interests up to and including a non-controlling 49.99 percent 
equity and/or voting interest in the licensee, for petitions filed under 
Sec. 1.5000(a)(2), or in the controlling U.S. parent of the licensee, 
for petitions filed under Sec. 1.5000(a)(1).
    (l) Each applicant, licensee, or spectrum lessee filing a petition 
for declaratory ruling shall certify to the information contained in the 
petition in accordance with the provisions of Sec. 1.16 and the 
requirements of Sec. 1.5000(c)(1).



Sec. 1.5002  How to calculate indirect equity and voting interests.

    (a) The criteria specified in this section shall be used for 
purposes of calculating indirect equity and voting interests under Sec. 
1.5001.
    (b)(1) Equity interests held indirectly in the licensee and/or 
controlling U.S. parent. Equity interests that are held by an individual 
or entity indirectly through one or more intervening entities shall be 
calculated by successive multiplication of the equity percentages for 
each link in the vertical ownership chain, regardless of whether any 
particular link in the chain represents a controlling interest in the 
company positioned in the next lower tier.

    Example (for rulings issued under Sec. 1.5000(a)(1)). Assume that a 
foreign individual holds a non-controlling 30 percent equity and voting 
interest in U.S.-organized Corporation A which, in turn, holds a non-
controlling 40 percent equity and voting interest in U.S.-organized 
Parent Corporation B. The foreign individual's equity interest in U.S.-
organized Parent Corporation B would be calculated by multiplying the 
foreign individual's equity interest in U.S.-organized Corporation A by 
that entity's equity interest in U.S.-organized Parent Corporation B. 
The foreign individual's equity interest in U.S.-organized Parent 
Corporation B would be calculated as 12 percent (30% x 40% = 12%). The 
result would be the same even if U.S.-organized Corporation A held a de 
facto controlling interest in U.S.-organized Parent Corporation B.

    (2) Voting interests held indirectly in the licensee and/or 
controlling U.S. parent. Voting interests that are held by any 
individual or entity indirectly through one or more intervening entities 
will be determined depending upon the type of business organization(s) 
in which the individual or entity holds a voting interest as follows:
    (i) Voting interests that are held through one or more intervening 
corporations shall be calculated by successive multiplication of the 
voting percentages for each link in the vertical ownership chain, except 
that wherever the voting interest for any link in the chain is equal to 
or exceeds 50 percent or represents actual control, it shall be treated 
as if it were a 100 percent interest.

    Example (for rulings issued under Sec. 1.5000(a)(1)). Assume that a 
foreign individual holds a non-controlling 30 percent equity and voting 
interest in U.S.-organized Corporation A which, in turn, holds a 
controlling 70 percent equity and voting interest in U.S.-organized 
Parent Corporation B. Because U.S.-organized Corporation A's 70 percent 
voting interest in U.S.-organized Parent Corporation B constitutes a 
controlling interest, it is treated as a 100 percent interest. The 
foreign individual's 30 percent voting interest in U.S.-organized 
Corporation A would flow through in its entirety to U.S. Parent 
Corporation B and thus be calculated as 30 percent (30% x 100% = 30%).

    (ii) Voting interests that are held through one or more intervening 
partnerships shall be calculated depending upon whether the individual 
or entity holds a general partnership interest, an uninsulated 
partnership interest, or an insulated partnership interest as specified 
in paragraphs (b)(2)(ii)(A) and (B) of this section.

[[Page 421]]

    (A) General partnership and other uninsulated partnership interests. 
A general partner and uninsulated partner shall be deemed to hold the 
same voting interest as the partnership holds in the company situated in 
the next lower tier of the vertical ownership chain. A partner shall be 
treated as uninsulated unless the limited partnership agreement, limited 
liability partnership agreement, or other operative agreement satisfies 
the insulation criteria specified in Sec. 1.5003.
    (B) Insulated partnership interests. A partner of a limited 
partnership (other than a general partner) or partner of a limited 
liability partnership that satisfies the insulation criteria specified 
in Sec. 1.5003 shall be treated as an insulated partner and shall be 
deemed to hold a voting interest in the partnership that is equal to the 
partner's equity interest.

    Note to paragraph (b)(2)(ii): The Commission presumes that a general 
partner of a general partnership or limited partnership has a 
controlling interest in the partnership. A general partner shall in all 
cases be deemed to hold an uninsulated interest in the partnership.

    (iii) Voting interests that are held through one or more intervening 
limited liability companies shall be calculated depending upon whether 
the individual or entity is a non-member manager, an uninsulated member 
or an insulated member as specified in paragraphs (b)(2)(iii)(A) and (B) 
of this section.
    (A) Non-member managers and uninsulated membership interests. A non-
member manager and an uninsulated member of a limited liability company 
shall be deemed to hold the same voting interest as the limited 
liability company holds in the company situated in the next lower tier 
of the vertical ownership chain. A member shall be treated as 
uninsulated unless the limited liability company agreement satisfies the 
insulation criteria specified in Sec. 1.5003.
    (B) Insulated membership interests. A member of a limited liability 
company that satisfies the insulation criteria specified in Sec. 1.5003 
shall be treated as an insulated member and shall be deemed to hold a 
voting interest in the limited liability company that is equal to the 
member's equity interest.



Sec. 1.5003  Insulation criteria for interests in limited partnerships,
limited liability partnerships, and limited liability companies.

    (a) A limited partner of a limited partnership and a partner of a 
limited liability partnership shall be treated as uninsulated within the 
meaning of Sec. 1.5002(b)(2)(ii)(A) unless the partner is prohibited by 
the limited partnership agreement, limited liability partnership 
agreement, or other operative agreement from, and in fact is not engaged 
in, active involvement in the management or operation of the partnership 
and only the usual and customary investor protections are contained in 
the partnership agreement or other operative agreement. These criteria 
apply to any relevant limited partnership or limited liability 
partnership, whether it is the licensee, a controlling U.S.-organized 
parent, or any partnership situated above them in the vertical chain of 
ownership. Notwithstanding the foregoing, the insulation of limited 
partnership and limited liability partnership interests for broadcast 
applicants and licensees shall be determined in accordance with Note 
2(f) of Sec. 73.3555 of this chapter.
    (b) A member of a limited liability company shall be treated as 
uninsulated for purposes of Sec. 1.5002(b)(2)(iii)(A) unless the member 
is prohibited by the limited liability company agreement from, and in 
fact is not engaged in, active involvement in the management or 
operation of the company and only the usual and customary investor 
protections are contained in the agreement. These criteria apply to any 
relevant limited liability company, whether it is the licensee, a 
controlling U.S.-organized parent, or any limited liability company 
situated above them in the vertical chain of ownership. Notwithstanding 
the foregoing, the insulation of limited liability company interests for 
broadcast applicants and licensees shall be determined in accordance 
with Note 2(f) of Sec. 73.3555 of this chapter.
    (c) The usual and customary investor protections referred to in 
paragraphs

[[Page 422]]

(a) and (b) of this section shall consist of:
    (1) The power to prevent the sale or pledge of all or substantially 
all of the assets of the limited partnership, limited liability 
partnership, or limited liability company or a voluntary filing for 
bankruptcy or liquidation;
    (2) The power to prevent the limited partnership, limited liability 
partnership, or limited liability company from entering into contracts 
with majority investors or their affiliates;
    (3) The power to prevent the limited partnership, limited liability 
partnership, or limited liability company from guaranteeing the 
obligations of majority investors or their affiliates;
    (4) The power to purchase an additional interest in the limited 
partnership, limited liability partnership, or limited liability company 
to prevent the dilution of the partner's or member's pro rata interest 
in the event that the limited partnership, limited liability 
partnership, or limited liability company issues additional instruments 
conveying interests in the partnership or company;
    (5) The power to prevent the change of existing legal rights or 
preferences of the partners, members, or managers as provided in the 
limited partnership agreement, limited liability partnership agreement, 
or limited liability company agreement, or other operative agreement;
    (6) The power to vote on the removal of a general partner, managing 
partner, managing member, or other manager in situations where such 
individual or entity is subject to bankruptcy, insolvency, 
reorganization, or other proceedings relating to the relief of debtors; 
adjudicated insane or incompetent by a court of competent jurisdiction 
(in the case of a natural person); convicted of a felony; or otherwise 
removed for cause, as determined by an independent party;
    (7) The power to prevent the amendment of the limited partnership 
agreement, limited liability partnership agreement, or limited liability 
company agreement, or other organizational documents of the partnership 
or limited liability company with respect to the matters described in 
paragraph (c)(1) through (c)(6) of this section.
    (d) The Commission reserves the right to consider, on a case-by-case 
basis, whether voting or consent rights over matters other than those 
listed in paragraph (c) of this section shall be considered usual and 
customary investor protections in a particular case.



Sec. 1.5004  Routine terms and conditions.

    Foreign ownership rulings issued pursuant to Sec. Sec. 1.5000 
through 1.5004 shall be subject to the following terms and conditions, 
except as otherwise specified in a particular ruling:
    (a)(1) Aggregate allowance for rulings issued under Sec. 
1.5000(a)(1). In addition to the foreign ownership interests approved 
specifically in a licensee's declaratory ruling issued pursuant to Sec. 
1.5000(a)(1), the controlling U.S.-organized parent named in the ruling 
(or a U.S.-organized successor-in-interest formed as part of a pro forma 
reorganization) may be 100 percent owned, directly and/or indirectly 
through one or more U.S- or foreign-organized entities, on a going-
forward basis (i.e., after issuance of the ruling) by other foreign 
investors without prior Commission approval. This ``100 percent 
aggregate allowance'' is subject to the requirement that the licensee 
seek and obtain Commission approval before any foreign individual, 
entity, or ``group'' not previously approved acquires, directly and/or 
indirectly, more than 5 percent of the U.S. parent's outstanding capital 
stock (equity) and/or voting stock, or a controlling interest, with the 
exception of any foreign individual, entity, or ``group'' that acquires 
an equity and/or voting interest of 10 percent or less, provided that 
the interest is exempt under Sec. 1.5001(i)(3).
    (2) Aggregate allowance for rulings issued under Sec. 1.5000(a)(2). 
In addition to the foreign ownership interests approved specifically in 
a licensee's declaratory ruling issued pursuant to Sec. 1.5000(a)(2), 
the licensee(s) named in the ruling (or a U.S.-organized successor-in-
interest formed as part of a pro forma reorganization) may be 100 
percent owned on a going forward basis (i.e., after issuance of the 
ruling) by other foreign investors holding interests in the licensee 
indirectly through

[[Page 423]]

U.S.-organized entities that do not control the licensee, without prior 
Commission approval. This ``100 percent aggregate allowance'' is subject 
to the requirement that the licensee seek and obtain Commission approval 
before any foreign individual, entity, or ``group'' not previously 
approved acquires directly and/or indirectly, through one or more U.S.-
organized entities that do not control the licensee, more than 5 percent 
of the licensee's outstanding capital stock (equity) and/or voting 
stock, with the exception of any foreign individual, entity, or 
``group'' that acquires an equity and/or voting interest of 10 percent 
or less, provided that the interest is exempt under Sec. 1.5001(i)(3). 
Foreign ownership interests held directly in a licensee shall not be 
permitted to exceed an aggregate 20 percent of the licensee's equity 
and/or voting interests.

    Note to paragraph (a): Licensees have an obligation to monitor and 
stay ahead of changes in foreign ownership of their controlling U.S.-
organized parent companies (for rulings issued pursuant to Sec. 
1.5000(a)(1)) and/or in the licensee itself (for rulings issued pursuant 
to Sec. 1.5000(a)(2)), to ensure that the licensee obtains Commission 
approval before a change in foreign ownership renders the licensee out 
of compliance with the terms and conditions of its declaratory ruling(s) 
or the Commission's rules. Licensees, their controlling parent 
companies, and other entities in the licensee's vertical ownership chain 
may need to place restrictions in their bylaws or other organizational 
documents to enable the licensee to ensure compliance with the terms and 
conditions of its declaratory ruling(s) and the Commission's rules.

    Example 1 (for rulings issued under Sec. 1.5000(a)(1)). U.S. Corp. 
files an application for a common carrier license. U.S. Corp. is wholly 
owned and controlled by U.S. Parent, which is a newly formed, privately 
held Delaware Corporation in which no single shareholder has de jure or 
de facto control. A shareholder's agreement provides that a five-member 
board of directors shall govern the affairs of the company; five named 
shareholders shall be entitled to one seat and one vote on the board; 
and all decisions of the board shall be determined by majority vote. The 
five named shareholders and their respective equity interests are as 
follows: Foreign Entity A, which is wholly owned and controlled by a 
foreign citizen (5 percent); Foreign Entity B, which is wholly owned and 
controlled by a foreign citizen (10 percent); Foreign Entity C, a 
foreign public company with no controlling shareholder (20 percent); 
Foreign Entity D, a foreign pension fund that is controlled by a foreign 
citizen and in which no individual or entity has a pecuniary interest 
exceeding one percent (21 percent); and U.S. Entity E, a U.S. public 
company with no controlling shareholder (25 percent). The remaining 19 
percent of U.S. Parent's shares are held by three foreign-organized 
entities as follows: F (4 percent), G (6 percent), and H (9 percent). 
Under the shareholders' agreement, voting rights of F, G, and H are 
limited to the minority shareholder protections listed in Sec. 
1.5001(i)(5). Further, the agreement expressly prohibits G and H from 
becoming actively involved in the management or operation of U.S. Parent 
and U.S. Corp.
    As required by the rules, U.S. Corp. files a section 310(b)(4) 
petition concurrently with its application. The petition identifies and 
requests specific approval for the ownership interests held in U.S. 
Parent by Foreign Entity A and its sole shareholder (5 percent equity 
and 20 percent voting interest); Foreign Entity B and its sole 
shareholder (10 percent equity and 20 percent voting interest), Foreign 
Entity C (20 percent equity and 20 percent voting interest), and Foreign 
Entity D (21 percent equity and 20 percent voting interest) and its fund 
manager (20 percent voting interest). The Commission's ruling 
specifically approves these foreign interests. The ruling also provides 
that, on a going-forward basis, U.S. Parent may be 100 percent owned in 
the aggregate, directly and/or indirectly, by other foreign investors, 
subject to the requirement that U.S. Corp. seek and obtain Commission 
approval before any previously unapproved foreign investor acquires more 
than 5 percent of U.S. Parent's equity and/or voting interests, or a 
controlling interest, with the exception of any foreign investor that 
acquires an equity and/or voting interest of ten percent or less, 
provided that the interest is exempt under Sec. 1.991(i)(3).
    In this case, foreign entities F, G, and H would each be considered 
a previously unapproved foreign investor (along with any new foreign 
investors). However, prior approval for F, G and H would only apply to 
an increase of F's interest above 5 percent (because the ten percent 
exemption under Sec. 1.5001(i)(3) does not apply to F) or to an 
increase of G's or H's interest above 10 percent (because G and H do 
qualify for this exemption). U.S. Corp. would also need Commission 
approval before Foreign Entity D appoints a new fund manager that is a 
non-U.S. citizen and before Foreign Entities A, B, C, or D increase 
their respective equity and/or voting interests in U.S. Parent, unless 
the petition previously sought and obtained Commission approval for such 
increases (up to non-controlling 49.99 percent interests). (See Sec. 
1.5001(k)(2).) Foreign shareholders of Foreign Entity C and U.S. Entity 
E would also

[[Page 424]]

be considered previously unapproved foreign investors. Thus, Commission 
approval would be required before any foreign shareholder of Foreign 
Entity C or U.S. Entity E acquires (1) a controlling interest in either 
company; or (2) a non-controlling equity and/or voting interest in 
either company that, when multiplied by the company's equity and/or 
voting interests in U.S. Parent, would exceed 5 percent of U.S. Parent's 
equity and/or voting interests, unless the interest is exempt under 
Sec. 1.5001(i)(3).

    Example 2 (for rulings issued under Sec. 1.5000(a)(2)). Assume that 
the following three U.S.-organized entities hold non-controlling equity 
and voting interests in common carrier Licensee, which is a privately 
held corporation organized in Delaware: U.S. corporation A (30 percent); 
U.S. corporation B (30 percent); and U.S. corporation C (40 percent). 
Licensee's shareholders are wholly owned by foreign individuals X, Y, 
and Z, respectively. Licensee has received a declaratory ruling under 
Sec. 1.5000(a)(2) specifically approving the 30 percent foreign 
ownership interests held in Licensee by each of X and Y (through U.S. 
corporation A and U.S. corporation B, respectively) and the 40 percent 
foreign ownership interest held in Licensee by Z (through U.S. 
corporation C). On a going-forward basis, Licensee may be 100 percent 
owned in the aggregate by X, Y, Z, and other foreign investors holding 
interests in Licensee indirectly, through U.S.-organized entities that 
do not control Licensee, subject to the requirement that Licensee obtain 
Commission approval before any previously unapproved foreign investor 
acquires more than 5 percent of Licensee's equity and/or voting 
interests, with the exception of any foreign investor that acquires an 
equity and/or voting interest of 10 percent or less, provided that the 
interest is exempt under Sec. 1.5001(i)(3). In this case, any foreign 
investor other than X, Y, and Z would be considered a previously 
unapproved foreign investor. Licensee would also need Commission 
approval before X, Y, or Z increases its equity and/or voting interests 
in Licensee unless the petition previously sought and obtained 
Commission approval for such increases (up to non-controlling 49.99 
percent interests). (See Sec. 1.5001(k)(2).)

    (b) Subsidiaries and affiliates. A foreign ownership ruling issued 
to a licensee shall cover it and any U.S.-organized subsidiary or 
affiliate, as defined in Sec. 1.5000(d), whether the subsidiary or 
affiliate existed at the time the ruling was issued or was formed or 
acquired subsequently, provided that the foreign ownership of the 
licensee named in the ruling, and of the subsidiary and/or affiliate, 
remains in compliance with the terms and conditions of the licensee's 
ruling and the Commission's rules.
    (1) The subsidiary or affiliate of a licensee named in a foreign 
ownership ruling issued under Sec. 1.5000(a)(1) may rely on that ruling 
for purposes of filing its own application for an initial broadcast, 
common carrier or aeronautical license or spectrum leasing arrangement, 
or an application to acquire such license or spectrum leasing 
arrangement by assignment or transfer of control provided that the 
subsidiary or affiliate, and the licensee named in the ruling, each 
certifies in the application that its foreign ownership is in compliance 
with the terms and conditions of the foreign ownership ruling and the 
Commission's rules.
    (2) The subsidiary or affiliate of a licensee named in a foreign 
ownership ruling issued under Sec. 1.5000(a)(2) may rely on that ruling 
for purposes of filing its own application for an initial common carrier 
radio station license or spectrum leasing arrangement, or an application 
to acquire such license or spectrum leasing arrangement by assignment or 
transfer of control provided that the subsidiary or affiliate, and the 
licensee named in the ruling, each certifies in the application that its 
foreign ownership is in compliance with the terms and conditions of the 
foreign ownership ruling and the Commission's rules.
    (3) The certifications required by paragraphs (b)(1) and (2) of this 
section shall also include the citation(s) of the relevant ruling(s) 
(i.e., the DA or FCC Number, FCC Record citation when available, and 
release date).
    (c) Insertion of new controlling foreign-organized companies. (1) 
Where a licensee's foreign ownership ruling specifically authorizes a 
named, foreign investor to hold a controlling interest in the licensee's 
controlling U.S.-organized parent, for rulings issued under Sec. 
1.5000(a)(1), or in an intervening U.S.-organized entity that does not 
control the licensee, for rulings issued under Sec. 1.5000(a)(2), the 
ruling shall permit the insertion of new, controlling foreign-organized 
companies in the vertical ownership chain above the controlling U.S. 
parent, for rulings issued under Sec. 1.5000(a)(1), or above an 
intervening U.S.-organized entity that does not

[[Page 425]]

control the licensee, for rulings issued under Sec. 1.5000(a)(2), 
without prior Commission approval provided that any new foreign-
organized company(ies) are under 100 percent common ownership and 
control with the foreign investor approved in the ruling.
    (2) Where a previously unapproved foreign-organized entity is 
inserted into the vertical ownership chain of a licensee, or its 
controlling U.S.-organized parent, without prior Commission approval 
pursuant to paragraph (c)(1) of this section, the licensee shall file a 
letter to the attention of the Chief, International Bureau, within 30 
days after the insertion of the new, foreign-organized entity. The 
letter must include the name of the new, foreign-organized entity and a 
certification by the licensee that the entity complies with the 100 
percent common ownership and control requirement in paragraph (c)(1) of 
this section. The letter must also reference the licensee's foreign 
ownership ruling(s) by IBFS File No. and FCC Record citation, if 
available. This letter notification need not be filed if the ownership 
change is instead the subject of a pro forma application or pro forma 
notification already filed with the Commission pursuant to the relevant 
broadcast service rules, wireless radio service rules or satellite radio 
service rules applicable to the licensee.

    Note to paragraph (c)(2): For broadcast stations, in order to insert 
a previously unapproved foreign-organized entity that is under 100 
percent common ownership and control with the foreign investor approved 
in the ruling into the vertical ownership chain of the licensee's 
controlling U.S.-organized parent, as described in paragraph (c)(1) of 
this section, the licensee must always file a pro forma application 
requesting prior consent of the FCC pursuant to section 73.3540(f) of 
this chapter.
    (3) Nothing in this section is intended to affect any requirements 
for prior approval under 47 U.S.C. 310(d) or conditions for forbearance 
from the requirements of 47 U.S.C. 310(d) pursuant to 47 U.S.C. 160.

    Example (for rulings issued under Sec. 1.5000(a)(1)). Licensee of a 
common carrier license receives a foreign ownership ruling under Sec. 
1.5000(a)(1) that authorizes its controlling, U.S.-organized parent 
(``U.S. Parent A'') to be wholly owned and controlled by a foreign-
organized company (``Foreign Company''). Foreign Company is minority 
owned (20 percent) by U.S.-organized Corporation B, with the remaining 
80 percent controlling interest held by Foreign Citizen C. After 
issuance of the ruling, Foreign Company forms a wholly-owned, foreign-
organized subsidiary (``Foreign Subsidiary'') to hold all of Foreign 
Company's shares in U.S. Parent A. There are no other changes in the 
direct or indirect foreign ownership of U.S. Parent A. The insertion of 
Foreign Subsidiary into the vertical ownership chain between Foreign 
Company and U.S. Parent A would not require prior Commission approval, 
except for any approval otherwise required pursuant to section 310(d) of 
the Communications Act and not exempt therefrom as a pro forma transfer 
of control under Sec. 1.948(c)(1).
    Example (for rulings issued under Sec. 1.5000(a)(2)). An applicant 
for a common carrier license receives a foreign ownership ruling under 
Sec. 1.5000(a)(2) that authorizes a foreign-organized company 
(``Foreign Company'') to hold a non-controlling 44 percent equity and 
voting interest in the applicant through Foreign Company's wholly-owned, 
U.S.-organized subsidiary, U.S. Corporation A, which holds the non-
controlling 44 percent interest directly in the applicant. The remaining 
56 percent of the applicant's equity and voting interests are held by 
its controlling U.S.-organized parent, which has no foreign ownership. 
After issuance of the ruling, Foreign Company forms a wholly-owned, 
foreign-organized subsidiary to hold all of Foreign Company's shares in 
U.S. Corporation A. There are no other changes in the direct or indirect 
foreign ownership of U.S. Corporation A. The insertion of the foreign-
organized subsidiary into the vertical ownership chain between Foreign 
Company and U.S. Corporation A would not require prior Commission 
approval.

    (d) Insertion of new non-controlling foreign-organized companies. 
(1) Where a licensee's foreign ownership ruling specifically authorizes 
a named, foreign investor to hold a non-controlling interest in the 
licensee's controlling U.S.-organized parent, for rulings issued under 
Sec. 1.5000(a)(1), or in an intervening U.S.-organized entity that does 
not control the licensee, for rulings issued under Sec. 1.5000(a)(2), 
the ruling shall permit the insertion of new, foreign-organized 
companies in the vertical ownership chain above the controlling U.S. 
parent, for rulings issued under Sec. 1.5000(a)(1), or above an 
intervening U.S.-organized entity that does not control the licensee, 
for rulings issued under Sec. 1.5000(a)(2), without prior Commission 
approval provided

[[Page 426]]

that any new foreign-organized company(ies) are under 100 percent common 
ownership and control with the foreign investor approved in the ruling.

    Note to paragraph (d)(1): Where a licensee has received a foreign 
ownership ruling under Sec. 1.5000(a)(2) and the ruling specifically 
authorizes a named, foreign investor to hold a non-controlling interest 
directly in the licensee (subject to the 20 percent aggregate limit on 
direct foreign investment), the ruling shall permit the insertion of 
new, foreign-organized companies in the vertical ownership chain of the 
approved foreign investor without prior Commission approval provided 
that any new foreign-organized companies are under 100 percent common 
ownership and control with the approved foreign investor.
    Example (for rulings issued under Sec. 1.5000(a)(1)). Licensee 
receives a foreign ownership ruling under Sec. 1.5000(a)(1) that 
authorizes a foreign-organized company (``Foreign Company'') to hold a 
non-controlling 30 percent equity and voting interest in Licensee's 
controlling, U.S.-organized parent (``U.S. Parent A''). The remaining 70 
percent equity and voting interests in U.S. Parent A are held by U.S.-
organized entities which have no foreign ownership. After issuance of 
the ruling, Foreign Company forms a wholly-owned, foreign-organized 
subsidiary (``Foreign Subsidiary'') to hold all of Foreign Company's 
shares in U.S. Parent A. There are no other changes in the direct or 
indirect foreign ownership of U.S. Parent A. The insertion of Foreign 
Subsidiary into the vertical ownership chain between Foreign Company and 
U.S. Parent A would not require prior Commission approval.

    Example (for rulings issued under Sec. 1.5000(a)(2)). Licensee 
receives a foreign ownership ruling under Sec. 1.5000(a)(2) that 
authorizes a foreign-organized entity (``Foreign Company'') to hold 
approximately 24 percent of Licensee's equity and voting interests, 
through Foreign Company's non-controlling 48 percent equity and voting 
interest in a U.S.-organized entity, U.S. Corporation A, which holds a 
non-controlling 49 percent equity and voting interest directly in 
Licensee. (A U.S. citizen holds the remaining 52 percent equity and 
voting interests in U.S. Corporation A, and the remaining 51 percent 
equity and voting interests in Licensee are held by its U.S.-organized 
parent, which has no foreign ownership. After issuance of the ruling, 
Foreign Company forms a wholly-owned, foreign-organized subsidiary 
(``Foreign Subsidiary'') to hold all of Foreign Company's shares in U.S. 
Corporation A. There are no other changes in the direct or indirect 
foreign ownership of U.S. Corporation A. The insertion of Foreign 
Subsidiary into the vertical ownership chain between Foreign Company and 
U.S. Corporation A would not require prior Commission approval.

    (2) Where a previously unapproved foreign-organized entity is 
inserted into the vertical ownership chain of a licensee, or its 
controlling U.S.-organized parent, without prior Commission approval 
pursuant to paragraph (d)(1) of this section, the licensee shall file a 
letter to the attention of the Chief, International Bureau, within 30 
days after the insertion of the new, foreign-organized entity; or in the 
case of a broadcast licensee, the licensee shall file a letter to the 
attention of the Chief, Media Bureau, within 30 days after the insertion 
of the new, foreign-organized entity. The letter must include the name 
of the new, foreign-organized entity and a certification by the licensee 
that the entity complies with the 100 percent common ownership and 
control requirement in paragraph (d)(1) of this section. The letter must 
also reference the licensee's foreign ownership ruling(s) by IBFS File 
No. and FCC Record citation, if available; or, if a broadcast licensee, 
the letter must reference the licensee's foreign ownership ruling(s) by 
CDBS File No., Docket No., call sign(s), facility identification 
number(s), and FCC Record citation, if available. This letter 
notification need not be filed if the ownership change is instead the 
subject of a pro forma application or pro forma notification already 
filed with the Commission pursuant to the relevant broadcast service, 
wireless radio service rules or satellite radio service rules applicable 
to the licensee.
    (e) New petition for declaratory ruling required. A licensee that 
has received a foreign ownership ruling, including a U.S.-organized 
successor-in-interest to such licensee formed as part of a pro forma 
reorganization, or any subsidiary or affiliate relying on such 
licensee's ruling pursuant to paragraph (b) of this section, shall file 
a new petition for declaratory ruling under Sec. 1.5000 to obtain 
Commission approval before its foreign ownership exceeds the routine 
terms and conditions of this section, and/or any specific terms or 
conditions of its ruling.
    (f) Continuing compliance. (1) Except as specified in paragraph 
(f)(3) of this

[[Page 427]]

section, if at any time the licensee, including any successor-in-
interest and any subsidiary or affiliate as described in paragraph (b) 
of this section, knows, or has reason to know, that it is no longer in 
compliance with its foreign ownership ruling or the Commission's rules 
relating to foreign ownership, it shall file a statement with the 
Commission explaining the circumstances within 30 days of the date it 
knew, or had reason to know, that it was no longer in compliance 
therewith. Subsequent actions taken by or on behalf of the licensee to 
remedy its non-compliance shall not relieve it of the obligation to 
notify the Commission of the circumstances (including duration) of non-
compliance. Such licensee and any controlling companies, whether U.S.- 
or foreign-organized, shall be subject to enforcement action by the 
Commission for such non-compliance, including an order requiring 
divestiture of the investor's direct and/or indirect interests in such 
entities.
    (2) Any individual or entity that, directly or indirectly, creates 
or uses a trust, proxy, power of attorney, or any other contract, 
arrangement, or device with the purpose or effect of divesting itself, 
or preventing the vesting, of an equity interest or voting interest in 
the licensee, or in a controlling U.S. parent company, as part of a plan 
or scheme to evade the application of the Commission's rules or policies 
under section 310(b) shall be subject to enforcement action by the 
Commission, including an order requiring divestiture of the investor's 
direct and/or indirect interests in such entities.
    (3) Where the controlling U.S. parent of a broadcast, common 
carrier, aeronautical en route, or aeronautical fixed radio station 
licensee or common carrier spectrum lessee is an eligible U.S. public 
company within the meaning of Sec. 1.5000(e), the licensee may file a 
remedial petition for declaratory ruling under Sec. 1.5000(a)(1) 
seeking approval of particular foreign equity and/or voting interests 
that are non-compliant with the licensee's foreign ownership ruling or 
the Commission's rules relating to foreign ownership; or, alternatively, 
the licensee may remedy the non-compliance by, for example, redeeming 
the foreign interest(s) that rendered the licensee non-compliant with 
the licensee's existing foreign ownership ruling. In either case, the 
Commission does not expect to take enforcement action related to the 
non-compliance subject to the requirements specified in paragraphs 
(f)(3)(i) and (ii) of this section and except as otherwise provided in 
paragraph (f)(3)(iii) of this section.
    (i) The licensee shall notify the relevant Bureau by letter no later 
than 10 days after learning of the investment(s) that rendered the 
licensee non-compliant with its foreign ownership ruling or the 
Commission's rules relating to foreign ownership and specify in the 
letter that it will file a petition for declaratory ruling under Sec. 
1.5000(a)(1) or, alternatively, take remedial action to come into 
compliance within 30 days of the date it learned of the non-compliant 
foreign interest(s).
    (ii) The licensee shall demonstrate in its petition for declaratory 
ruling (or in a letter notifying the relevant Bureau that the non-
compliance has been timely remedied) that the licensee's non-compliance 
with the terms of the licensee's existing foreign ownership ruling or 
the foreign ownership rules was due solely to circumstances beyond the 
licensee's control that were not reasonably foreseeable to or known by 
the licensee with the exercise of the required due diligence.
    (iii) Where the licensee has opted to file a petition for 
declaratory ruling under Sec. 1.5000(a)(1), the Commission will not 
require that the licensee's U.S. parent redeem the non-compliant foreign 
interest(s) or take other action to remedy the non-compliance during the 
pendency of the licensee's petition. If the Commission ultimately 
declines to approve the petition, however, the licensee must have a 
mechanism available to come into compliance with the terms of its 
existing ruling within 30 days following the Commission's decision. The 
Commission reserves the right to require immediate remedial action by 
the licensee where the Commission finds in a particular case that the 
public interest requires such action--for example, where, after 
consultation with the relevant Executive Branch agencies, the Commission 
finds that the non-compliant foreign interest

[[Page 428]]

presents national security or other significant concerns that require 
immediate mitigation.
    (4) Where a publicly traded common carrier licensee is an eligible 
U.S. public company within the meaning of Sec. 1.5000(e), the licensee 
may file a remedial petition for declaratory ruling under Sec. 
1.5000(a)(2) seeking approval of particular foreign equity and/or voting 
interests that are non-compliant with the licensee's foreign ownership 
ruling or the Commission's rules relating to foreign ownership; or, 
alternatively, the licensee may remedy the non-compliance by, for 
example, redeeming the foreign interest(s) that rendered the licensee 
non-compliant with the licensee's existing foreign ownership ruling. In 
either case, the Commission does not, as a general rule, expect to take 
enforcement action related to the non-compliance subject to the 
requirements specified in paragraphs (f)(3)(i) and (f)(3)(ii) of this 
section and except as otherwise provided in paragraph (f)(3)(iii) of 
this section.

    Note 1 to paragraph (f)(4): For purposes of this paragraph, the 
provisions in paragraphs (f)(3)(i) through (f)(3)(iii) that refer to 
petitions for declaratory ruling under Sec. 1.5000(a)(1) shall be read 
as referring to petitions for declaratory ruling under Sec. 
1.5000(a)(2).

Subpart U [Reserved]



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) One-way broadband lines or wireless channels. Lines or wireless 
channels with information carrying capability in excess of 200 kilobits 
per second in at least one direction, but not both.
    (3) 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, terrestrial fixed wireless 
providers, terrestrial mobile wireless providers, satellite providers, 
utilities, and others, that are facilities-based providers 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.
    (c) Respondents identified in paragraph (b) of this section shall 
include in each report a certification signed by an appropriate official 
of the respondent (as specified in the instructions to FCC Form 477) and 
shall report the title of their certifying official.
    (d) Disclosure of data contained in FCC Form 477 will be addressed 
as follows:
    (1) Emergency operations contact information contained in FCC Form 
477 are information that should not be routinely available for public 
inspection pursuant to Sec. 0.457 of this chapter.
    (2) Respondents may make requests for Commission non-disclosure of 
the

[[Page 429]]

following 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:
    (i) Provider-specific subscription data and
    (ii) Provider-specific mobile deployment data that includes specific 
spectrum and speed parameters that may be used by providers for internal 
network planning purposes.
    (3) Respondents seeking confidential treatment of any other data 
contained in FCC Form 477 must submit a request that the data be treated 
as confidential with the submission of their Form 477 filing, along with 
their reasons for withholding the information from the public, pursuant 
to Sec. 0.459 of this chapter.
    (4) The Commission shall make all decisions regarding non-disclosure 
of provider-specific information, except that the Chief of the Wireline 
Competition Bureau may release provider-specific information to:
    (i) A state commission provided that the state commission has 
protections in place that would preclude disclosure of any confidential 
information,
    (ii) ``Eligible entities,'' as those entities are defined in the 
Broadband Data Improvement Act, in an aggregated format and pursuant to 
confidentiality conditions prescribed by the Commission, and
    (iii) Others, to the extent that access to such data can be 
accomplished in a manner that addresses concerns about the competitive 
sensitivity of the data and precludes public 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; 69 FR 77938, Dec. 29, 2004; 69 FR 72027, 
Dec. 10, 2004; 73 FR 37881, July 2, 2008; 78 FR 45470, July 29, 2013; 78 
FR 49148, Aug. 13, 2013]



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 required on FCC Form 477 as of December 31 of 
the prior year) and September 1st (reporting data required on FCC Form 
477 as of June 30 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.

[78 FR 49148, Aug. 13, 2013]



                    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 www.fcc.gov 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;

[[Page 430]]

    (5) Anyone paying statutory charges on behalf of another entity or 
person; and
    (6) Any applicant or service provider participating in the Schools 
and Libraries Universal Service Support Program, part 54, subpart F, of 
this chapter.
    (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 www.fcc.gov or by filing FCC Form 161 (CORES Update/Change 
Form).
    (c) A business may obtain as many FRNs as it deems appropriate for 
its business operations. Each subsidiary with a different TIN must 
obtain a separate FRN. Multiple FRNs shall not be obtained to evade 
payment of fees or other regulatory responsibilities.
    (d) An FRN may be assigned by the Commission, which will promptly 
notify the entity of the assigned FRN.
    (e) An FRN may be assigned by the Billing and Collection Agent for 
North American Numbering Plan Administration and the Administrators of 
the Universal Service Fund and the Telecommunications Relay Services 
Fund. In each instance, the Billing and Collection Agent for North 
American Numbering Plan Administration and the Administrators of the 
Universal Service Fund and the Telecommunications Relay Services Fund 
shall 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; 69 FR 55109, Sept. 13, 2004; 70 FR 21651, 
Apr. 27, 2005]



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.

[69 FR 55109, Sept. 13, 2004]



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]

[[Page 431]]



                       Subpart X_Spectrum Leasing

    Source: 68 FR 66277, Nov. 25, 2003, unless otherwise noted.

                           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. This 
subpart also implements policies for private commons arrangements. These 
policies and rules also implicate other Commission rule parts, including 
parts 1, 2, 20, 22, 24, 25, 27, 30, 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.

[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 77550, Dec. 27, 2004; 
76 FR 31259, May 31, 2011; 76 FR 70910, Nov. 16, 2011; 81 FR 79930, Nov. 
14, 2016]



Sec. 1.9003  Definitions.

    Contraband Interdiction System. Contraband Interdiction System is a 
system that transmits radio communication signals comprised of one or 
more stations used only in a correctional facility exclusively to 
prevent transmissions to or from contraband wireless devices within the 
boundaries of the facility and/or to obtain identifying information from 
such contraband wireless devices.
    Contraband wireless device. A contraband wireless device is any 
wireless device, including the physical hardware or part of a device, 
such as a subscriber identification module (SIM), that is used within a 
correctional facility in violation of federal, state, or local law, or a 
correctional facility rule, regulation, or policy.
    Correctional facility. A correctional facility is any facility 
operated or overseen by federal, state, or local authorities that houses 
or holds criminally charged or convicted inmates for any period of time, 
including privately owned and operated correctional facilities that 
operate through contracts with federal, state, or local jurisdictions.
    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 608. FCC Form 608 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. 1.913(d), may file the form 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 one year.
    Private commons. A ``private commons'' arrangement is an 
arrangement, distinct from a spectrum leasing arrangement but permitted 
in the same services for which spectrum leasing arrangements are 
allowed, in which a licensee or spectrum lessee makes certain spectrum 
usage rights under a particular license authorization available to a 
class of third-party users employing advanced communications 
technologies that involve peer-to-peer (device-to-device) communications 
and that do not involve use of the licensee's or spectrum lessee's end-
to-end physical network infrastructure (e.g., base stations, mobile 
stations, or other related elements).
    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 
one year.
    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.

[[Page 432]]

    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. Any third-party entity that leases, pursuant to the 
spectrum leasing rules set forth in this subpart, certain spectrum usage 
rights held by a licensee. This term includes reference to third-party 
entities that lease spectrum usage rights as spectrum sublessees under 
spectrum subleasing arrangements.
    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.

[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 77550, Dec. 27, 2004; 
82 FR 22759, May 18, 2017]

    Effective Date Note: At 69 FR 77550, Dec. 27, 2004, Sec. 1.9003 was 
amended. The added and 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. 1.9005  Included services.

    The spectrum leasing policies and rules of this subpart apply to the 
following services, which include Wireless Radio Services in which 
commercial or private licensees hold exclusive use rights and the 
Ancillary Terrestrial Component (ATC) of a Mobile Satellite Service:
    (a) The Paging and Radiotelephone Service (part 22 of this chapter);
    (b) The Rural Radiotelephone Service (part 22 of this chapter);
    (c) The Air-Ground Radiotelephone Service (part 22 of this chapter);
    (d) The Cellular Radiotelephone Service (part 22 of this chapter);
    (e) The Offshore Radiotelephone Service (part 22 of this chapter);
    (f) The narrowband Personal Communications Service (part 24 of this 
chapter);
    (g) The broadband Personal Communications Service (part 24 of this 
chapter);
    (h) The Broadband Radio Service (part 27 of this chapter);
    (i) The Educational Broadband Service (part 27 of this chapter);
    (j) The Wireless Communications Service in the 698-746 MHz band 
(part 27 of this chapter);
    (k) The Wireless Communications Service in the 746-758 MHz, 775-788 
MHz, and 805-806 MHz bands (part 27 of this chapter);
    (l) The Wireless Communications Service in the 1390-1392 MHz band 
(part 27 of this chapter);
    (m) The Wireless Communications Service in the paired 1392-1395 MHz 
and 1432-1435 MHz bands (part 27 of this chapter);
    (n) The Wireless Communications Service in the 1670-1675 MHz band 
(part 27 of this chapter);
    (o) The Wireless Communications Service in the 2305-2320 and 2345-
2360 MHz bands (part 27 of this chapter);
    (p) The Citizens Broadband Radio Service in the 3550-3650 MHz band 
(part 96 of this chapter).
    (q) The Advanced Wireless Services (part 27 of this chapter);
    (r) The VHF Public Coast Station service (part 80 of this chapter);
    (s) The Automated Maritime Telecommunications Systems service (part 
80 of this chapter);
    (t) The Public Safety Radio Services (part 90 of this chapter);
    (u) The 220 MHz Service (excluding public safety licensees) (part 90 
of this chapter);
    (v) The Specialized Mobile Radio Service in the 800 MHz and 900 MHz

[[Page 433]]

bands (including exclusive use SMR licenses in the General Category 
channels) (part 90 of this chapter);
    (w) The Location and Monitoring Service (LMS) with regard to 
licenses for multilateration LMS systems (part 90 of this chapter);
    (x) Paging operations under part 90 of this chapter;
    (y) The Business and Industrial/Land Transportation (B/ILT) channels 
(part 90 of this chapter) (including all B/ILT channels above 512 MHz 
and those in the 470-512 MHz band where a licensee has achieved 
exclusivity, but excluding B/ILT channels in the 470-512 MHz band where 
a licensee has not achieved exclusivity and those channels below 470 
MHz, including those licensed pursuant to 47 CFR 90.187(b)(2)(v));
    (z) The 218-219 MHz band (part 95 of this chapter);
    (aa) The Local Multipoint Distribution Service (part 101 of this 
chapter);
    (bb) The 24 GHz Band (part 101 of this chapter);
    (cc) The 39 GHz Band (part 101 of this chapter);
    (dd) The Multiple Address Systems band (part 101 of this chapter);
    (ee) The Local Television Transmission Service (part 101 of this 
chapter);
    (ff) The Private-Operational Fixed Point-to-Point Microwave Service 
(part 101 of this chapter);
    (gg) The Common Carrier Fixed Point-to-Point Microwave Service (part 
101 of this chapter);
    (hh) The Multipoint Video Distribution and Data Service (part 101 of 
this chapter);
    (ii) The 700 MHz Guard Bands Service (part 27 of this chapter);
    (jj) The ATC of a Mobile Satellite Service (part 25 of this 
chapter);
    (kk) The 600 MHz band (part 27 of this chapter); and
    (ll) The Upper Microwave Flexible Use Service (part 30 of this 
chapter).

[69 FR 77551, Dec. 27, 2004, as amended at 71 FR 29815, May 24, 2006; 72 
FR 27708, May 16, 2007; 72 FR 48843, Aug. 24, 2007; 76 FR 31259, May 31, 
2011; 79 FR 596, Jan. 6, 2014; 79 FR 48533, Aug. 15, 2014; 81 FR 49065, 
July 26, 2016; 81 FR 79931, Nov. 14, 2016]

                     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 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

[[Page 434]]

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 
reasonable 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(e).
    (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.

[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 77551, Dec. 27, 2004]



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. The term of a spectrum manager leasing arrangement may be 
no longer than the term of the license authorization.
    (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.
    (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

[[Page 435]]

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, with the following 
exceptions. A spectrum lessee entering into a spectrum leasing 
arrangement involving a licensee in the Educational Broadband Service 
(see Sec. 27.1201 of this chapter) is not required to comply with the 
eligibility requirements pertaining to such a licensee so long as the 
spectrum lessee meets the other eligibility and qualification 
requirements applicable to 47 CFR part 27 services (see Sec. 27.12 of 
this chapter). A spectrum lessee entering into a spectrum leasing 
arrangement involving a licensee in the Public Safety Radio Services 
(see part 90, subpart B and Sec. 90.311(a)(1)(i) of this chapter) is 
not required to comply with the eligibility requirements pertaining to 
such a licensee so long as the spectrum lessee is an entity providing 
communications in support of public safety operations (see Sec. 
90.523(b) of this chapter). A spectrum lessee entering into a spectrum 
leasing arrangement involving a licensee in the Mobile Satellite Service 
with ATC authority (see part 25) is not required to comply with the 
eligibility requirements pertaining to such a licensee so long as the 
spectrum lessee meets the other eligibility and qualification 
requirements of paragraphs (d)(2)(ii) and (d)(2)(iv) of this section.
    (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

[[Page 436]]

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, rural service provider, and/or 
entrepreneur provisions (see Sec. 1.2110 and Sec. 24.709 of this 
chapter) and continues to be subject to unjust enrichment requirements 
(see Sec. 1.2111 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, regardless 
of whether the spectrum lessee meets the Commission's designated entity 
eligibility requirements (see Sec. 1.2110 of this chapter) or its 
entrepreneur eligibility requirements to hold certain C and F block 
licenses in the broadband personal communications services (see Sec. 
1.2110 and Sec. 24.709 of this chapter), so long as the spectrum 
manager leasing arrangement does not result in the spectrum lessee's 
becoming a ``controlling interest'' or ``affiliate'' (see Sec. 1.2110 
of this chapter) of the licensee such that the licensee would lose its 
eligibility as a designated entity or entrepreneur.
    (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) 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.
    (7) 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). 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), the licensee and spectrum 
lessee are each required to pay fees for those units associated with its 
respective operations.
    (8) 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. However, if the spectrum lessee is a 
Contraband Interdiction System (CIS) provider, as defined in Sec. 
1.9003, then the CIS provider is responsible for compliance with Sec. 
20.18(r) regarding E911 transmission obligations.
    (e) Notifications regarding spectrum manager leasing arrangements. A 
licensee that seeks to enter into a spectrum manager leasing arrangement 
must notify the Commission of the arrangement in advance of the spectrum 
lessee's commencement of operations under the lease. Unless the license 
covering the spectrum to be leased is held pursuant to the Commission's 
designated entity rules and continues to

[[Page 437]]

be subject to unjust enrichment requirements and/or transfer 
restrictions (see Sec. Sec. 1.2110 and 1.2111, and Sec. Sec. 24.709, 
24.714, and 24.839 of this chapter) or restrictions in Sec. 1.9046 and 
Sec. 96.32 of this chapter, the spectrum manager lease notification 
will be processed pursuant to either the general notification procedures 
or the immediate processing procedures, as set forth herein. The 
licensee must submit the notification to the Commission by electronic 
filing using the Universal Licensing System (ULS) and FCC Form 608, 
except that a licensee falling within the provisions of Sec. 1.913(d) 
may file the notification either electronically or manually. If the 
license covering the spectrum to be leased is held pursuant to the 
Commission's designated entity rules, the spectrum manager lease will 
require Commission acceptance of the spectrum manager lease notification 
prior to the commencement of operations under the lease.
    (1) General notification procedures. Notifications of spectrum 
manager leasing arrangements will be processed pursuant to the general 
notification procedures set forth in this paragraph (e)(1) unless they 
are submitted and qualify for the immediate processing procedures set 
forth in paragraph (e)(2) of this section.
    (i) To be accepted under these general notification procedures, the 
notification must be sufficiently complete and contain all information 
and certifications requested on the applicable form, FCC Form 608, 
including any information and certifications (including those of the 
spectrum lessee relating to eligibility, basic qualifications, and 
foreign ownership) required by the rules in this chapter and any rules 
pertaining to the specific service for which the notification is filed. 
No application fees are required for the filing of a spectrum manager 
leasing notification.
    (ii) The licensee must submit such notification at least 21 days in 
advance of commencing operations unless the arrangement is for a term of 
one year or less, in which case the licensee must provide notification 
to the Commission at least ten (10) days in advance of operation. If the 
licensee and spectrum lessee thereafter 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.
    (iii) A notification filed pursuant to these general notification 
procedures will be placed on an informational public notice on a weekly 
basis (see Sec. 1.933(a)) once accepted, and is subject to 
reconsideration (see Sec. Sec. 1.106(f), 1.108, 1.113).
    (2) Immediate processing procedures. Notifications that meet the 
requirements of paragraph (e)(2)(i) of this section, and notifications 
for Contraband Interdiction Systems as defined in Sec. 1.9003 that meet 
the requirements of paragraph (e)(2)(ii) of this section, qualify for 
the immediate processing procedures.
    (i) To qualify for these immediate processing procedures, the 
notification must be sufficiently complete and contain all necessary 
information and certifications (including those relating to eligibility, 
basic qualifications, and foreign ownership) required for notifications 
processed under the general notification procedures set forth in 
paragraph (e)(1)(i) of this section, and also must establish, through 
certifications, that the following additional qualifications are met:
    (A) The license does not involve spectrum that may be used to 
provide interconnected mobile voice and/or data services under the 
applicable service rules and that would, if the spectrum leasing 
arrangement were consummated, create a geographic overlap with spectrum 
in any licensed Wireless Radio Service (including the same service), or 
in the ATC of a Mobile Satellite Service, in which the proposed spectrum 
lessee already holds a direct or indirect interest of 10% or more (see 
Sec. 1.2112), either as a licensee or a spectrum lessee, and that could 
be used by the spectrum lessee to provide interconnected mobile voice 
and/or data services;
    (B) The licensee is not a designated entity or entrepreneur subject 
to unjust enrichment requirements and/or transfer restrictions under 
applicable Commission rules (see Sec. Sec. 1.2110 and

[[Page 438]]

1.2111, and Sec. Sec. 24.709, 24.714, and 24.839 of this chapter); and,
    (C) The spectrum leasing arrangement does not require a waiver of, 
or declaratory ruling pertaining to, any applicable Commission rules.
    (ii) A lessee of spectrum used in a Contraband Interdiction System 
qualifies for these immediate processing procedures if the notification 
is sufficiently complete and contains all necessary information and 
certifications (including those relating to eligibility, basic 
qualifications, and foreign ownership) required for notifications 
processed under the general notification procedures set forth in 
paragraph (e)(1)(i) of this section, and must not require a waiver of, 
or declaratory ruling pertaining to, any applicable Commission rules.
    (iii) Provided that the notification establishes that the proposed 
spectrum manager leasing arrangement meets all of the requisite elements 
to qualify for these immediate processing procedures, ULS will reflect 
that the notification has been accepted. If a qualifying notification is 
filed electronically, the acceptance will be reflected in ULS on the 
next business day after filing of the notification; if filed manually, 
the acceptance will be reflected in ULS on the next business day after 
the necessary data from the manually filed notification is entered into 
ULS. Once the notification has been accepted, as reflected in ULS, the 
spectrum lessee may commence operations under the spectrum leasing 
arrangement, consistent with the term of the arrangement.
    (iv) A notification filed pursuant to these immediate processing 
procedures will be placed on an informational public notice on a weekly 
basis (see Sec. 1.933(a)) once accepted, and is subject to 
reconsideration (see Sec. Sec. 1.106(f), 1.108, 1.113).
    (f) 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.
    (g) 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.
    (h) Expiration, extension, or termination of a spectrum leasing 
arrangement. (1) Absent Commission termination or except as provided in 
paragraph (h)(2) or (h)(3) of this section, a spectrum leasing 
arrangement entered into 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 in advance of 
operation under the extended term and does so pursuant to the general 
notification procedures or immediate processing procedures set forth in 
this section, whichever is applicable. If the general notification 
procedures are applicable, the licensee must notify the Commission at 
least 21 days in advance of operation under the extended term.
    (3) If a spectrum leasing arrangement is terminated earlier than the 
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.
    (i) Assignment of a spectrum leasing arrangement. The spectrum 
lessee may assign its spectrum leasing arrangement

[[Page 439]]

to another entity provided that the licensee has agreed to such an 
assignment, is in privity with the assignee, and notifies the Commission 
before the consummation of the assignment, pursuant to the applicable 
notification procedures set forth in this section. In the case of a non-
substantial (pro forma) assignment that falls within the class of pro 
forma transactions for which prior Commission approval would not be 
required under Sec. 1.948(c)(1), the licensee must file notification of 
the assignment with the Commission, using FCC Form 608 and providing any 
necessary updates of ownership information, within 30 days of its 
completion. The Commission will place information related to the 
assignment, whether substantial or pro forma, on public notice.
    (j) Transfer of control of a spectrum lessee. The licensee must 
notify the Commission of any transfer of control of a spectrum lessee 
before the consummation of the transfer of control, pursuant to the 
applicable notification procedures of this section. In the case of a 
non-substantial (pro forma) transfer of control that falls within the 
class of pro forma transactions for which prior Commission approval 
would not be required under Sec. 1.948(c)(1), the licensee must file 
notification of the transfer of control with the Commission, using FCC 
Form 608 and providing any necessary updates of ownership information, 
within 30 days of its completion. The Commission will place information 
related to the transfer of control, whether substantial or pro forma, on 
public notice.
    (k) 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) 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.
    (l) Subleasing. A spectrum lessee may sublease the leased spectrum 
usage rights subject to the licensee's consent and the licensee's 
establishment of privity with the spectrum sublessee. The licensee must 
submit a notification regarding the spectrum subleasing arrangement in 
accordance with the applicable notification procedures set forth in this 
section.
    (m) Renewal. Although the term of a spectrum manager leasing 
arrangement may not be longer than the term of a license authorization, 
a licensee and spectrum lessee that have entered into an 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, renew the spectrum leasing arrangement to extend into the term 
of the renewed license authorization. The Commission must be notified of 
the renewal of the spectrum leasing arrangement at the same time that 
the licensee submits its application for license renewal (see Sec. 
1.949). 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 renewal of the 
license authorization and the extension of the spectrum leasing 
arrangement into the term of the renewed license authorization.
    (n) Community notification requirement for certain contraband 
interdiction systems. 10 days prior to deploying a Contraband 
Interdiction System that prevents communications to or from mobile 
devices, a lessee must notify the community in which the correctional 
facility is located. The notification must include a description of what 
the system is intended to do, the date the

[[Page 440]]

system is scheduled to begin operating, and the location of the 
correctional facility. Notification must be tailored to reach the 
community immediately adjacent to the correctional facility, including 
through local television, radio, Internet news sources, or community 
groups, as may be appropriate. No notification is required, however, for 
brief tests of a system prior to deployment.

[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 72027, Dec. 10, 2004; 
69 FR 77551, Dec. 27, 2004; 76 FR 31259, May 31, 2011; 80 FR 56816, 
Sept. 18, 2015; 81 FR 49065, July 26, 2016; 82 FR 22297, May 15, 2017; 
82 FR 22759, May 18, 2017]

    Effective Date Note: At 82 FR 22759, May 18, 2017, Sec. 1.9020 was 
amended by revising (d)(8) and adding paragraph (n). These paragraphs 
contain 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 one year. The term of a 
long-term de facto transfer leasing arrangement may be no longer than 
the term of the license authorization.
    (b) Rights and responsibilities of the 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 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. A spectrum lessee entering 
into a spectrum leasing arrangement involving a licensee in the 
Educational Broadband

[[Page 441]]

Service (see Sec. 27.1201 of this chapter) is not required to comply 
with the eligibility requirements pertaining to such a licensee so long 
as the spectrum lessee meets the other eligibility and qualification 
requirements applicable to part 27 services (see Sec. 27.12 of this 
chapter). A spectrum lessee entering into a spectrum leasing arrangement 
involving a licensee in the Public Safety Radio Services (see part 90, 
subpart B and Sec. 90.311(a)(1)(i) of this chapter) is not required to 
comply with the eligibility requirements pertaining to such a licensee 
so long as the spectrum lessee is an entity providing communications in 
support of public safety operations (see Sec. 90.523(b) of this 
chapter).
    (ii) The spectrum lessee must meet applicable foreign ownership 
eligibility requirements (see sections 310(a), 310(b) of the 
Communications Act).
    (iii) The spectrum lessee must satisfy any qualification 
requirements, 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 and Sec. 24.709 of this chapter) and continues to be 
subject to unjust enrichment requirements (see Sec. 1.2111 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 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 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(c) 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 program (see Sec. 1.2110(g)) 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(a)). 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

[[Page 442]]

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) 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.
    (7) 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). Where, however, regulatory fees are paid 
annually on a per-unit basis (such as for CMRS services pursuant to 
Sec. 1.1152), the licensee and spectrum lessee each are required to pay 
fees for those units associated with its respective operations.
    (8) E911 requirements. To the extent the licensee is required to 
meet E911 obligations (see 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 within the E911 
obligations. If the spectrum lessee is a Contraband Interdiction System 
(CIS) provider, as defined in Sec. 1.9003, then the CIS provider is 
responsible for compliance with Sec. 20.18(r) regarding E911 
transmission obligations.
    (e) Applications for long-term de facto transfer leasing 
arrangements. Applications for long-term de facto transfer leasing 
arrangements will be processed either pursuant to the general approval 
procedures or the immediate approval procedures, as discussed herein. 
Spectrum leasing parties must submit the application by electronic 
filing using ULS and FCC Form 608, 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. 1.913(d) may 
file the application either electronically or manually.
    (1) General approval procedures. Applications for long-term de facto 
transfer leasing arrangements will be processed pursuant to the general 
approval procedures set forth in this paragraph unless they are 
submitted and qualify for the immediate approval procedures set forth in 
paragraph (e)(2) of this section.
    (i) To be accepted for filing under these general approval 
procedures, the application must be sufficiently complete and contain 
all information and certifications requested on the applicable form, FCC 
Form 608, including any information and certifications (including those 
of the spectrum lessee relating to eligibility, basic qualifications, 
and foreign ownership) required by the rules in this chapter and any 
rules pertaining to the specific service for which the application is 
filed. In addition, the spectrum leasing application must include 
payment of the required application fee(s); for purposes of determining 
the applicable application fee(s), the application will be treated as a 
transfer of control (see Sec. 1.1102).
    (ii) Once accepted for filing, the application 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).
    (iii) 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

[[Page 443]]

petitions must be filed no later than 14 days following the date of the 
public notice listing the application as accepted for filing.
    (iv) No later than 21 days following the date of the public notice 
listing an application as accepted for filing, the Wireless 
Telecommunications Bureau (Bureau) will affirmatively consent to the 
application, deny the application, or determine to subject the 
application to further review. For applications for which no prior 
public notice is required, the Bureau will affirmatively consent to the 
application, deny the application, or determine to subject the 
application to further review no later than 21 days following the date 
on which the application has been filed and any required application fee 
has been paid (see Sec. 1.1102).
    (v) If the Bureau determines to subject the application to further 
review, it will issue a public notice so indicating. Within 90 days 
following 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) Grant of consent to the application will be reflected in a 
public notice (see Sec. 1.933(a)) promptly issued after the grant, and 
is subject to reconsideration (see Sec. Sec. 1.106(f), 1.108, 1.113).
    (viii) If any petition to deny is filed, and the Bureau grants the 
application, the Bureau will deny the petition(s) and issue a concise 
statement of the reason(s) for denial, disposing of all substantive 
issues raised in the petition(s).
    (2) Immediate approval procedures. Applications that meet the 
requirements of paragraph (e)(2)(i) of this section, and applications 
for Contraband Interdiction Systems as defined in Sec. 1.9003 that meet 
the requirements of paragraph (e)(2)(ii) of this section, qualify for 
the immediate approval procedures.
    (i) To qualify for the immediate approval procedures, the 
application must be sufficiently complete, contain all necessary 
information and certifications (including those relating to eligibility, 
basic qualifications, and foreign ownership), and include payment of the 
requisite application fee(s), as required for an application processed 
under the general approval procedures set forth in paragraph (e)(1)(i) 
of this section, and also must establish, through certifications, that 
the following additional qualifications are met:
    (A) The license does not involve spectrum licensed in a Wireless 
Radio Service that may be used to provide interconnected mobile voice 
and/or data services under the applicable service rules and that would, 
if the spectrum leasing arrangement were consummated, create a 
geographic overlap with spectrum in any licensed Wireless Service 
(including the same service) in which the proposed spectrum lessee 
already holds a direct or indirect interest of 10% or more (see Sec. 
1.2112), either as a licensee or a spectrum lessee, and that could be 
used by the spectrum lessee to provide interconnected mobile voice and/
or data services;
    (B) The licensee is not a designated entity or entrepreneur subject 
to unjust enrichment requirements and/or transfer restrictions under 
applicable Commission rules (see Sec. Sec. 1.2110 and 1.2111, and 
Sec. Sec. 24.709, 24.714, and 24.839 of this chapter); and,
    (C) The spectrum leasing arrangement does not require a waiver of, 
or declaratory ruling pertaining to, any applicable Commission rules.
    (ii) A lessee of spectrum used in a Contraband Interdiction System 
qualifies for these immediate approval procedures if the application is 
sufficiently complete and contains all necessary information and 
certifications (including those relating to eligibility, basic 
qualifications, and foreign ownership) required for applications 
processed under the general application procedures set forth in 
paragraph (e)(1)(i) of this section, and must not require a waiver of, 
or declaratory ruling pertaining to, any applicable Commission rules.
    (iii) Provided that the application establishes that it meets all of 
the requisite elements to qualify for these immediate approval 
procedures, consent to the de facto transfer spectrum leasing 
arrangement will be reflected in

[[Page 444]]

ULS. If the application is filed electronically, consent will be 
reflected in ULS on the next business day after filing of the 
application; if filed manually, consent will be reflected in ULS on the 
next business day after the necessary data from the manually filed 
application is entered into ULS. Consent to the application is not 
deemed granted until the Bureau affirmatively acts upon the application, 
as reflected in ULS.
    (iv) Grant of consent to the application under these immediate 
approval procedures will be reflected in a public notice (see Sec. 
1.933(a)) promptly issued after grant, and is subject to reconsideration 
(see Sec. Sec. 1.106(f), 1.108, 1.113).
    (f) Effective date of a de facto transfer leasing arrangement. If 
the Commission consents to the de facto transfer leasing arrangement, 
the de facto transfer 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.
    (g) Expiration, extension, or termination of 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 
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 applicable 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 extend 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.
    (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 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 is approved by the Commission pursuant 
to the same application and approval procedures set forth in this 
section. In the case of a non-substantial (pro forma) assignment that 
falls within the class of pro forma transactions for which prior 
Commission approval would not be required under Sec. 1.948(c)(1), the 
parties involved in the assignment must file notification of the 
assignment with the Commission, using FCC Form 608 and providing any 
necessary updates of ownership information, within 30 days of its 
completion. The Commission will place information related to the 
assignment, whether substantial or pro forma, on public notice.
    (i) Transfer of control of a spectrum lessee. A spectrum lessee 
seeking the 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 non-substantial (pro forma) transfer of 
control that falls within the class of pro forma transactions for which 
prior Commission approval would not be required under Sec. 1.948(c)(1), 
the parties involved in the transfer of control must file notification 
of the transfer of control with the Commission, using FCC Form 608 and

[[Page 445]]

providing any necessary updates of ownership information, within 30 days 
of its completion. The Commission will place information related to the 
transfer of control, whether substantial or pro forma, on public notice.
    (j) 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) 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 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.
    (l) Renewal. Although the term of a long-term de facto transfer 
spectrum leasing arrangement may not be longer than the term of a 
license authorization, a licensee and spectrum lessee that have entered 
into an 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 into the 
term of the renewed license authorization. The Commission must be 
notified of the renewal of the spectrum leasing arrangement at the same 
time that the licensee submits its application for license renewal (see 
Sec. 1.949). 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 renewal 
of the license authorization and the extension of the spectrum leasing 
arrangement into the term of the renewed license authorization.
    (m) Community notification requirement for certain contraband 
interdiction systems. 10 days prior to deploying a Contraband 
Interdiction System that prevents communications to or from mobile 
devices, a lessee must notify the community in which the correctional 
facility is located. The notification must include a description of what 
the system is intended to do, the date the system is scheduled to begin 
operating, and the location of the correctional facility. Notification 
must be tailored to reach the community immediately adjacent to the 
correctional facility, including through local television, radio, 
Internet news sources, or community groups, as may be appropriate. No 
notification is required, however, for brief tests of a system prior to 
deployment.

[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 72027, Dec. 10, 2004; 
69 FR 77554, Dec. 27, 2004; 80 FR 56816, Sept. 18, 2015; 82 FR 22760, 
May 18, 2017]

    Effective Date Note: At 82 FR 22760, May 18, 2017, Sec. 1.9030 was 
amended by revising (d)(8) and adding paragraph (m). These paragraphs 
contain 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

[[Page 446]]

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 one year. The term of a short-term de facto transfer 
leasing arrangement may be no longer than the term of the license 
authorization.
    (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) 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) 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. However, if the spectrum lessee is a Contraband Interdiction 
System (CIS) provider, as defined in Sec. 1.9003, then the CIS provider 
is responsible for compliance with Sec. 20.18(r) regarding E911 
transmission obligations.
    (e) Spectrum leasing application. Short-term de facto transfer 
leasing arrangements will be processed pursuant to immediate approval 
procedures, as discussed herein. Parties entering into a short-term de 
facto transfer leasing arrangement are required to file an electronic 
application with the Commission, using FCC Form 608, 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. 1.913(d) may file the application either 
electronically or manually.
    (1) To be accepted for filing under these immediate approval 
procedures, the application must be sufficiently complete and contain 
all information and certifications requested on the applicable form, FCC 
Form 608, including any information and certifications (including those 
relating to the spectrum lessee relating to eligibility, basic 
qualifications, and foreign ownership) required by the rules of this 
chapter and any rules pertaining to the specific service for which the 
application is required. In addition, the application

[[Page 447]]

must include payment of the required application fee; for purposes of 
determining the applicable application fee, the application will be 
treated as a transfer of control (see Sec. 1.1102). Finally, the 
spectrum leasing arrangement must not require a waiver of, or 
declaratory ruling, pertaining to any applicable Commission rules.
    (2) Provided that the application establishes that it meets all of 
the requisite elements to qualify for these immediate approval 
procedures, consent to the short-term de facto transfer spectrum leasing 
arrangement will be reflected in ULS. If the application is filed 
electronically, consent will be reflected in ULS on the next business 
day after filing of the application; if filed manually, consent will be 
reflected in ULS on the next business day after the necessary data from 
the manually filed application is entered into ULS. Consent to the 
application is not deemed granted until the Bureau affirmatively acts 
upon the application, as reflected in ULS.
    (3) Grant of consent to the application under these procedures will 
be reflected in a public notice (see Sec. 1.933(a)) promptly issued 
after grant, and is subject to reconsideration (see Sec. Sec. 1.106(f), 
1.108, 1.113).
    (f) 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 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.
    (g) Restrictions on the use of short-term de facto transfer leasing 
arrangements. (1) The licensee and spectrum lessee are not permitted to 
use the special rules and expedited procedures applicable to short-term 
de facto transfer leasing arrangements for arrangements that in fact 
will exceed one year, or that the parties reasonably expect to exceed 
one year.
    (2) The licensee and spectrum lessee must submit, in sufficient time 
prior to the expiration of the short-term de facto transfer spectrum 
leasing 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.
    (h) Expiration, extension, or termination of the spectrum leasing 
arrangement. (1) Except as provided in paragraph (h)(2) or (h)(3) of 
this section, a spectrum leasing arrangement entered into pursuant to 
this section will expire on the termination date set forth in the short-
term de facto transfer leasing arrangement. The Commission's approval of 
the short-term de facto transfer leasing application includes consent to 
return the leased spectrum to the licensee at the end of the term of the 
spectrum leasing arrangement.
    (2) Upon proper application (see paragraph (e) of this section), a 
short-term de facto transfer leasing arrangement may be extended beyond 
the initial term set forth in the application provided that the initial 
term and extension(s) together would not result in a leasing arrangement 
that exceeds a total of one year.
    (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.
    (i) Conversion of a short-term spectrum leasing arrangement into a 
long-term de facto transfer leasing arrangement. (1) In the event the 
licensee and spectrum lessee involved in a short-term de facto transfer 
leasing arrangement seek to extend the spectrum leasing arrangement 
beyond the one-year limit for short-term de facto transfer leasing 
arrangements, the parties may do so provided that they meet the 
conditions set forth in paragraphs (i)(2) and (i)(3) of this section.
    (2) If a licensee that holds a license that continues to be subject 
to transfer restrictions and/or requirements relating to unjust 
enrichment pursuant to the Commission's small business and/or

[[Page 448]]

entrepreneur provisions (see Sec. 1.2110 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)) beyond one year, it may convert its 
arrangement into a long-term de facto transfer spectrum leasing 
arrangement provided that it complies with the procedures for 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).
    (j) 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.
    (k) 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.
    (l) 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.
    (m) Subleasing. A spectrum lessee that has entered into a short-term 
de facto transfer leasing arrangement is not permitted to enter into a 
spectrum subleasing arrangement.
    (n) Renewal. The rule applicable with regard to long-term de facto 
transfer leasing arrangements (see Sec. 1.9030(l)) applies in the same 
manner to short-term de facto transfer leasing arrangements, except that 
the renewal of the short-term de facto transfer leasing arrangement to 
extend into the term of the renewed license authorization cannot enable 
the combined terms of the short-term de facto transfer leasing 
arrangements to exceed one year. The Commission must be notified of the 
renewal of the spectrum leasing arrangement at the same time that the 
licensee submits its application for license renewal (see Sec. 1.949).
    (o) Community notification requirement for certain contraband 
interdiction systems. 10 days prior to deploying a Contraband 
Interdiction System that prevents communications to or from mobile 
devices, a lessee must notify the community in which the correctional 
facility is located. The notification must include a description of what 
the system is intended to do, the date the system is scheduled to begin 
operating, and the location of the correctional facility. Notification 
must be tailored to reach the community immediately adjacent to the 
correctional facility, including through local television, radio, 
Internet news sources, or community groups, as may be appropriate. No 
notification is required, however, for brief tests of a system prior to 
deployment.

[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 77557, Dec. 27, 2004; 
82 FR 22760, May 18, 2017]

    Effective Date Notes: 1. At 69 FR 77557, Dec. 27, 2004, Sec. 
1.9035(e) was revised. 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.
    2. At 82 FR 22760, May 18, 2017, Sec. 1.9035 was amended by 
revising (d)(4) and adding paragraph (o). These paragraphs contain 
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

[[Page 449]]

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;
    (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 and related service-specific rules), the 
licensee and any spectrum lessee must execute the Commission-approved 
financing documents. No licensee or potential spectrum lessee may file a 
spectrum leasing notification or application without having first 
executed such Commission-approved financing documentation. In addition, 
they must certify in the spectrum leasing notification or application 
that they have both executed such documentation.

[68 FR 66277, Nov. 25, 2003, as amended at 69 FR 77558, Dec. 27, 2004]



Sec. 1.9046  Special provisions related to spectrum manager leasing
in the Citizens Broadband Radio Service.

    (a) Scope. Subject to Sec. 96.32 of this chapter, a Priority Access 
Licensee, as defined in Sec. 96.3 of this chapter, is permitted to 
engage in spectrum manager leasing for any portion of its spectrum or 
geographic area, outside of the PAL Protection Area, for any bandwidth 
or duration period of time within the terms of the license with any 
entity that has provided a certification to the Commission in accordance 
with this section or pursuant to the general notification procedures of 
Sec. 1.9020(e).
    (b) Certification. The lessee seeking to engage in spectrum manager 
leasing pursuant to this section must certify with the Commission that 
it meets the same eligibility and qualification requirements applicable 
to the licensee before entering into a spectrum manger leasing 
arrangement with a Priority Access Licensee, as defined in Sec. 96.3 of 
this chapter and maintain the accuracy of such certifications.
    (1) Priority Access Licensees, as defined in Sec. 96.3 of this 
chapter, are

[[Page 450]]

deemed to meet the certification requirements.
    (2) Entities may also certify by using the Universal Licensing 
System and FCC Form 608.
    (c) Notifications regarding spectrum manager leasing arrangements. 
Prior to lessee operation, the licensee seeking to engage in spectrum 
manager leasing pursuant to Sec. 1.9020(e) must submit notification of 
the leasing arrangement to the Spectrum Access System Administrator, as 
defined in Sec. 96.3 of this chapter, by electronic filing. The 
notification shall include the following information:
    (1) Lessee contact information including name, address, telephone 
number, fax number, email address;
    (2) Lessee FCC Registration Number (FRN);
    (3) Name of Real Party in Interest and related FCC Registration 
Number (FRN);
    (4) The specific spectrum leased (in terms of amount of bandwidth 
and geographic area involved) including the call sign(s) affected by the 
lease; and
    (5) The duration of the lease.
    (d) Expiration, extension, or termination of a spectrum leasing 
arrangement. (1) Absent Commission termination or except as provided in 
paragraph (d)(2) or (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 for an 
additional period not to exceed the term of the Priority Access License, 
as defined in Sec. 96.3 of this chapter, provided that the licensee 
notifies the Spectrum Access System Administrator, as defined in Sec. 
96.3 of this chapter, of the extension in advance of operation under the 
extended term and does so pursuant to the notification procedures in 
this section.
    (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 Spectrum Access System Administrator, 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 Spectrum Access System 
Administrator as promptly as practicable.
    (e) The Commission will place information concerning the 
commencement, an extension or an early termination of a spectrum leasing 
arrangement on public notice.

[81 FR 49065, July 26, 2016]

    Effective Date Note: At 81 FR 49065, July 26, 2016, Sec. 1.9046 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. 1.9047  Special provisions relating to leases of educational
broadband service spectrum.

    Licensees in the Educational Broadcasting Service may enter into 
spectrum leasing arrangements with spectrum lessees only insofar as such 
arrangements comply with the applicable requirements for spectrum 
leasing arrangements involving spectrum in that service as set forth in 
Sec. 27.1214 of this chapter

[69 FR 72027, Dec. 10, 2004]



Sec. 1.9048  Special provisions relating to spectrum leasing 
arrangements involving licensees in the Public Safety Radio Services.

    Licensees in the Public Safety Radio Services (see part 90, subpart 
B and Sec. 90.311(a)(1)(i) of this chapter) may enter into spectrum 
leasing arrangements with other public safety entities eligible for such 
a license authorization as well as with entities providing 
communications in support of public safety operations (see Sec. 
90.523(b) of this chapter).

[69 FR 77558, Dec. 27, 2004]



Sec. 1.9049  Special provisions relating to spectrum leasing
arrangements involving the ancillary terrestrial component of
Mobile Satellite Services.

    (a) A license issued under part 25 of the Commission's rules that 
provides

[[Page 451]]

authority for an ATC will be considered to provide ``exclusive use 
rights'' for purpose of this subpart of the rules.
    (b) For the purpose of this subpart, a Mobile Satellite Service 
licensee with an ATC authorization may enter into a spectrum manager 
leasing arrangement with a spectrum lessee (see Sec. 1.9020). 
Notwithstanding the provisions of Sec. Sec. 1.9030 and 1.9035, a MSS 
licensee is not permitted to enter into a de facto transfer leasing 
arrangement with a spectrum lessee.
    (c) For purposes of Sec. 1.9020(d)(8), the Mobile Satellite Service 
licensee's obligation, if any, concerning the E911 requirements in Sec. 
20.18 of this chapter, will, with respect to an ATC, be specified in the 
licensing document for the ATC.
    (d) The following provision shall apply, in lieu of Sec. 1.9020(m), 
with respect to spectrum leasing of an ATC:
    (1) Although the term of a spectrum manager leasing arrangement may 
not be longer than the term of the ATC license, a licensee and spectrum 
lessee that have entered into an arrangement, the term of which 
continues to the end of the current term of the license may, contingent 
on the Commission's grant of a modification or renewal of the license to 
extend the license term, extend the spectrum leasing arrangement into 
the new license term. The Commission must be notified of the extension 
of the spectrum leasing arrangement at the same time that the licensee 
submits the application seeking an extended license term. In the event 
the parties to the arrangement agree to extend it into the new license 
term, the spectrum lessee may continue to operate consistent with the 
terms and conditions of the expired license, without further action by 
the Commission, until such time as the Commission makes a final 
determination with respect to the extension or renewal of the license.
    (2) Reserved.

[76 FR 31259, May 31, 2011]



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 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

[[Page 452]]

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).



Sec. 1.9080  Private commons.

    (a) Overview. A ``private commons'' arrangement is an arrangement, 
distinct from a spectrum leasing arrangement but permitted in the same 
services for which spectrum leasing arrangements are allowed, in which a 
licensee or spectrum lessee makes certain spectrum usage rights under a 
particular license authorization available to a class of third-party 
users employing advanced communications technologies that involve peer-
to-peer (device-to-device) communications and that do not involve use of 
the licensee's or spectrum lessee's end-to-end physical network 
infrastructure (e.g., base stations, mobile stations, or other related 
elements). In a private commons arrangement, the licensee or spectrum 
lessee authorizes users of certain communications devices employing 
particular technical parameters, as specified by the licensee or 
spectrum lessee, to operate under the license authorization. A private 
commons arrangement differs from a spectrum leasing arrangement in that, 
unlike spectrum leasing arrangements, a private commons arrangement does 
not involve individually negotiated spectrum access rights with entities 
that seek to provide network-based services to end-users. A private 
commons arrangement does not affect unlicensed operations in a 
particular licensed band to the extent that they are permitted pursuant 
to part 15.
    (b) Licensee/spectrum lessee responsibilities. As the manager of any 
private commons, the licensee or spectrum lessee:
    (1) Establishes the technical and operating terms and conditions of 
use by users of the private commons, including those relating to the 
types of communications devices that may be used within the private 
commons, consistent with the terms and conditions of the underlying 
license authorization;
    (2) Retains de facto control of the use of spectrum by users within 
the private commons, including maintaining reasonable oversight over the 
users' use of the spectrum in the private commons so as to ensure that 
the use of the spectrum, and communications equipment employed, comply 
with all applicable technical and service rules (including requirements 
relating to radiofrequency radiation) and maintaining

[[Page 453]]

the ability to ensure such compliance; and,
    (3) Retains direct responsibility for ensuring that the users of the 
private commons, and the equipment employed, comply with all applicable 
technical and service rules, including requirements relating to 
radiofrequency radiation and requirements relating to interference.
    (c) Notification requirements. Prior to permitting users to commence 
operations within a private commons, the licensee or spectrum lessee 
must notify the Commission, using FCC Form 608, that it is establishing 
a private commons arrangement. This notification must include 
information that describes: the location(s) or coverage area(s) of the 
private commons under the license authorization; the term of the 
arrangement; the general terms and conditions for users that would be 
gaining spectrum access to the private commons; the technical 
requirements and equipment that the licensee or spectrum lessee has 
approved for use within the private commons; and, the types of 
communications uses that are to be allowed within the private commons.

[69 FR 77558, Dec. 27, 2004]

    Effective Date Note: At 69 FR 77558, Dec. 27, 2004, Sec. 1.9080 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.



              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.

    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 Station    Your official filing date is
 Application (other than DBS and DARS) or    the date and time (to the
 your Application for Earth Stations to      millisecond) you file your
 Access a Non-U.S. Satellite Not Currently   application and receive a
 Authorized to provide the Proposed          confirmation of filing and
 Service in the Proposed Frequencies in      submission ID.
 the United States in IBFS.
2. You file all other applications in IBFS  Your official filing date
 and then do one of the following:.          is:
Send your payment (via check, bank draft,   The date U.S. Bank stamps
 money order, credit card, or wire           your payment as received.
 transfer) and FCC Form 159 to U.S. Bank.
Pay by online credit card (through IBFS)..  The date your online credit
                                             card payment is approved.
                                             (Note: You will receive a
                                             remittance ID and an
                                             authorization number if
                                             your transaction is
                                             successful).
Determine your application type is fee-     The date you file in IBFS
 exempt or your application qualifies for    and receive a confirmation
 exemption to charges as provided in Part    of filing and submission
 1 of the Commission's Rules.                ID.
------------------------------------------------------------------------

    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.
    Authorizations. Generally, a written document or oral statement 
issued by

[[Page 454]]

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.
    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).
    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.

[69 FR 29895, May 26, 2004. Redesignated at 69 FR 40327, July 2, 2004, 
as amended at 73 FR 9029, Feb. 19, 2008]



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?

    Electronic filing is mandatory for all applications for 
international and satellite services for which an International Bureau 
Filing System (IBFS) form is available. Applications for which an 
electronic form is not available must be filed by paper until new forms 
are introduced. See Sec. Sec. 63.20 and 63.53. As each new IBFS form 
becomes available for electronic filing, the Commission will issue a 
public notice announcing the availability of the new form and the 
effective date of mandatory filing for this particular type of

[[Page 455]]

filing. As each new form becomes effective, manual filings will not be 
accepted by the Commission and the filings will be returned to the 
applicant without processing. Mandatory electronic filing requirements 
for applications for international and satellite services are set forth 
in parts 1, 25, 63, and 64 of this chapter. A list of forms that are 
available for electronic filing can be found on the IBFS homepage. For 
information on electronic filing requirements, see part 1, Sec. Sec. 
1.1000 through 1.10018 and the IBFS homepage at http://www.fcc.gov/ibfs.

[70 FR 38797, July 6, 2005]



Sec. 1.10007  What applications can I file electronically?

    (a) For a complete list of applications or notifications that must 
be filed electronically, see the IBFS Web site at http://www.fcc.gov/
ibfs.
    (b) 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.
    (c) 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; 70 FR 38797, July 6, 2005]



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):
    (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.
    (b) Step 2: Register with IBFS. (1) If you are already registered 
with IBFS, go to Step 3.
    (2) In order to complete and file your electronic application, you 
must 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

[[Page 456]]

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.
    (d) Step 4: File your application. If you file your application 
successfully through IBFS, a confirmation screen will appear showing you 
the date and time of your filing and your submission ID. Print this 
verification for your records as proof of online filing.
    (e) Step 5: Pay for your application. (1) Most applications require 
that you pay a fee to us before we can begin processing your 
application. You can determine the amount of your fee in three ways:
    (i) You can refer to 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 (http://www.fcc.gov/ibfs) and 
click on the ``Getting Started'' button.
    (3) You have 3 payment options:
    (i) Pay by credit card (through IBFS or by regular mail),
    (ii) Pay by check, bank draft or money order, or
    (iii) Pay by wire transfer or other electronic payments.
    (4) You have 14 calendar days from the date you file your 
application in IBFS to submit your fee payment to U.S. Bank. Your FCC 
Form 159 must be stamped ``received'' by U.S. Bank by the 14th day. If 
not, we will dismiss your application.
    (5) If you send your Form 159 and payment to U.S. Bank in paper 
form, you should mail your completed Form 159 and payment to the address 
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.

[73 FR 9029, Feb. 19, 2008]



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

[[Page 457]]

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.



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.

[[Page 458]]

 
Accounting Rate Change..................  ARC-xxxxx.
Foreign Carrier Affiliation Notification  FCN-xxxxx.
International High Frequency............  IHF-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 Notification  No action taken PN released.
International High Frequency............  IHF-xxxxx.
Recognized Operating Agency.............  No action taken PN released.
Satellite Space Station.................  SAT-xxxxx (occasionally).
Satellite Earth Station.................  SES-xxxxx.
International Telecommunications........  TEL-xxxxx and DA.
Submarine Cable Landing.................  TEL-xxxxx and DA.
------------------------------------------------------------------------

    (g) Other actions are taken by formal written Order, oral actions 
that are 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 application          Type of license/authorization 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    Letter confirming the grant of a new DNIC
 Code Filing.                   or the reassignment of an existing DNIC
                                is mailed to the applicant or its
                                designated representative.
Foreign Carrier Affiliation    No authorizing document is issued by the
 Notification.                  Commission. In some cases, a Commission
                                order may be issued related to a Foreign
                                Carrier Affiliation Notification.

[[Page 459]]

 
International High Frequency:
    Construction Permits,      For all applications, an original,
     Licenses, Modifications,   stamped authorization is issued to the
     Renewals, and Transfers    applicant and a copy of the
     of Control/Assignment of   authorization is sent to the specified
     License.                   contact.
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, or
     Temporary Authority.       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 Order
     Assignment of License.     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, or
     Temporary Authority.       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.
    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 authorization
     Assignment of License.     issued and mailed to applicant
                                (original), parties to the transaction,
                                and the applicant's specified contact
                                (copy).
International
 Telecommunications--Section
 214:
    1. Streamlined (New,       1. Action Taken Public Notice serves as
     Transfer of Control,       the authorization document. This notice
     Assignment).               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 by PN;
     Transfer of Control,       some are done by Commission Order.
     Assignment).
    3. Request for Special     3. Letter, grant-stamped request issued
     Temporary Authority.       to applicant.
International Signaling Point  Letter issued to applicant.
 Code Filing.
Submarine Cable Landing
 License Application:
    1. Streamlined (New,       1. Action Taken Public Notice serves as
     Transfer of Control,       the authorization document. This notice
     Assignment).               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 by PN;
     Transfer of Control,       some are done by Commission Order.
     Assignment).
------------------------------------------------------------------------


[69 FR 29895, May 26, 2004, as amended at 76 FR 70910, Nov. 16, 2011]



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.

[[Page 460]]



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.



       Subpart Z_Communications Assistance for Law Enforcement Act

    Source: 71 FR 38108, July 5, 2006, unless otherwise noted.



Sec. 1.20000  Purpose.

    Pursuant to the Communications Assistance for Law Enforcement Act 
(CALEA), Public Law 103-414, 108 Stat. 4279 (1994) (codified as amended 
in sections of 18 U.S.C. and 47 U.S.C.), this subpart contains rules 
that require a telecommunications carrier to:
    (a) Ensure that any interception of communications or access to 
call-identifying information effected within its switching premises can 
be activated only in accordance with appropriate legal authorization, 
appropriate carrier authorization, and with the affirmative intervention 
of an individual officer or employee of the carrier acting in accordance 
with regulations prescribed by the Commission; and
    (b) Implement the assistance capability requirements of CALEA 
section 103, 47 U.S.C. 1002, to ensure law enforcement access to 
authorized wire and electronic communications or call-identifying 
information.



Sec. 1.20001  Scope.

    The definitions included in 47 CFR 1.20002 shall be used solely for 
the purpose of implementing CALEA requirements.



Sec. 1.20002  Definitions.

    For purposes of this subpart:
    (a) Appropriate legal authorization. The term appropriate legal 
authorization means:
    (1) A court order signed by a judge or magistrate authorizing or 
approving interception of wire or electronic communications; or
    (2) Other authorization, pursuant to 18 U.S.C. 2518(7), or any other 
relevant federal or state statute.
    (b) Appropriate carrier authorization. The term appropriate carrier 
authorization means the policies and procedures adopted by 
telecommunications carriers to supervise and control officers and 
employees authorized to assist law enforcement in conducting any 
interception of communications or access to call-identifying 
information.
    (c) Appropriate authorization. The term appropriate authorization 
means both appropriate legal authorization and appropriate carrier 
authorization.
    (d) LEA. The term LEA means law enforcement agency; e.g., the 
Federal Bureau of Investigation or a local police department.
    (e) Telecommunications carrier. The term telecommunications carrier 
includes:
    (1) A person or entity engaged in the transmission or switching of 
wire or electronic communications as a common carrier for hire;
    (2) A person or entity engaged in providing commercial mobile 
service (as defined in sec. 332(d) of the Communications Act of 1934 (47 
U.S.C. 332(d))); or
    (3) A person or entity that the Commission has found is engaged in 
providing wire or electronic communication switching or transmission 
service such that the service is a replacement for a substantial portion 
of the local telephone exchange service and that it

[[Page 461]]

is in the public interest to deem such a person or entity to be a 
telecommunications carrier for purposes of CALEA.



Sec. 1.20003  Policies and procedures for employee supervision 
and control.

    A telecommunications carrier shall:
    (a) Appoint a senior officer or employee responsible for ensuring 
that any interception of communications or access to call-identifying 
information effected within its switching premises can be activated only 
in accordance with a court order or other lawful authorization and with 
the affirmative intervention of an individual officer or employee of the 
carrier.
    (b) Establish policies and procedures to implement paragraph (a) of 
this section, to include:
    (1) A statement that carrier personnel must receive appropriate 
legal authorization and appropriate carrier authorization before 
enabling law enforcement officials and carrier personnel to implement 
the interception of communications or access to call-identifying 
information;
    (2) An interpretation of the phrase ``appropriate authorization'' 
that encompasses the definitions of appropriate legal authorization and 
appropriate carrier authorization, as used in paragraph (b)(1) of this 
section;
    (3) A detailed description of how long it will maintain its records 
of each interception of communications or access to call-identifying 
information pursuant to Sec. 1.20004;
    (4) In a separate appendix to the policies and procedures document:
    (i) The name and a description of the job function of the senior 
officer or employee appointed pursuant to paragraph (a) of this section; 
and
    (ii) Information necessary for law enforcement agencies to contact 
the senior officer or employee appointed pursuant to paragraph (a) of 
this section or other CALEA points of contact on a seven days a week, 24 
hours a day basis.
    (c) Report to the affected law enforcement agencies, within a 
reasonable time upon discovery:
    (1) Any act of compromise of a lawful interception of communications 
or access to call-identifying information to unauthorized persons or 
entities; and
    (2) Any act of unlawful electronic surveillance that occurred on its 
premises.



Sec. 1.20004  Maintaining secure and accurate records.

    (a) A telecommunications carrier shall maintain a secure and 
accurate record of each interception of communications or access to 
call-identifying information, made with or without appropriate 
authorization, in the form of single certification.
    (1) This certification must include, at a minimum, the following 
information:
    (i) The telephone number(s) and/or circuit identification numbers 
involved;
    (ii) The start date and time that the carrier enables the 
interception of communications or access to call identifying 
information;
    (iii) The identity of the law enforcement officer presenting the 
authorization;
    (iv) The name of the person signing the appropriate legal 
authorization;
    (v) The type of interception of communications or access to call-
identifying information (e.g., pen register, trap and trace, Title III, 
FISA); and
    (vi) The name of the telecommunications carriers' personnel who is 
responsible for overseeing the interception of communication or access 
to call-identifying information and who is acting in accordance with the 
carriers' policies established under Sec. 1.20003.
    (2) This certification must be signed by the individual who is 
responsible for overseeing the interception of communications or access 
to call-identifying information and who is acting in accordance with the 
telecommunications carrier's policies established under Sec. 1.20003. 
This individual will, by his/her signature, certify that the record is 
complete and accurate.
    (3) This certification must be compiled either contemporaneously 
with, or within a reasonable period of time after the initiation of the 
interception of the communications or access to call-identifying 
information.
    (4) A telecommunications carrier may satisfy the obligations of 
paragraph (a) of this section by requiring the individual who is 
responsible for

[[Page 462]]

overseeing the interception of communication or access to call-
identifying information and who is acting in accordance with the 
carriers' policies established under Sec. 1.20003 to sign the 
certification and append the appropriate legal authorization and any 
extensions that have been granted. This form of certification must at a 
minimum include all of the information listed in paragraph (a) of this 
section.
    (b) A telecommunications carrier shall maintain the secure and 
accurate records set forth in paragraph (a) of this section for a 
reasonable period of time as determined by the carrier.
    (c) It is the telecommunications carrier's responsibility to ensure 
its records are complete and accurate.
    (d) Violation of this rule is subject to the penalties of Sec. 
1.20008.

[71 FR 38108, July 5, 2006]



Sec. 1.20005  Submission of policies and procedures and Commission
review.

    (a) Each telecommunications carrier shall file with the Commission 
the policies and procedures it uses to comply with the requirements of 
this subchapter. These policies and procedures shall be filed with the 
Federal Communications Commission within 90 days of the effective date 
of these rules, and thereafter, within 90 days of a carrier's merger or 
divestiture or a carrier's amendment of its existing policies and 
procedures.
    (b) The Commission shall review each telecommunications carrier's 
policies and procedures to determine whether they comply with the 
requirements of Sec. Sec. 1.20003 and 1.20004.
    (1) If, upon review, the Commission determines that a 
telecommunications carrier's policies and procedures do not comply with 
the requirements established under Sec. Sec. 1.20003 and 1.20004, the 
telecommunications carrier shall modify its policies and procedures in 
accordance with an order released by the Commission.
    (2) The Commission shall review and order modification of a 
telecommunications carrier's policies and procedures as may be necessary 
to insure compliance by telecommunications carriers with the 
requirements of the regulations prescribed under Sec. Sec. 1.20003 and 
1.20004.

[71 FR 38108, July 5, 2006]



Sec. 1.20006  Assistance capability requirements.

    (a) Telecommunications carriers shall provide to a Law Enforcement 
Agency the assistance capability requirements of CALEA regarding wire 
and electronic communications and call-identifying information, see 47 
U.S.C. 1002. A carrier may satisfy these requirements by complying with 
publicly available technical requirements or standards adopted by an 
industry association or standard-setting organization, such as J-STD-025 
(current version), or by the Commission.
    (b) Telecommunications carriers shall consult, as necessary, in a 
timely fashion with manufacturers of its telecommunications transmission 
and switching equipment and its providers of telecommunications support 
services for the purpose of ensuring that current and planned equipment, 
facilities, and services comply with the assistance capability 
requirements of 47 U.S.C. 1002.
    (c) A manufacturer of telecommunications transmission or switching 
equipment and a provider of telecommunications support service shall, on 
a reasonably timely basis and at a reasonable charge, make available to 
the telecommunications carriers using its equipment, facilities, or 
services such features or modifications as are necessary to permit such 
carriers to comply with the assistance capability requirements of 47 
U.S.C. 1002.



Sec. 1.20007  Additional assistance capability requirements for 
wireline, cellular, and PCS telecommunications carriers.

    (a) Definition--(1) Call-identifying information. Call identifying 
information means dialing or signaling information that identifies the 
origin, direction, destination, or termination of each communication 
generated or received by a subscriber by means of any equipment, 
facility, or service of a telecommunications carrier. Call-identifying 
information is ``reasonably available'' to a carrier if it is present at 
an intercept access point and can be made

[[Page 463]]

available without the carrier being unduly burdened with network 
modifications.
    (2) Collection function. The location where lawfully authorized 
intercepted communications and call-identifying information is collected 
by a law enforcement agency (LEA).
    (3) Content of subject-initiated conference calls. Capability that 
permits a LEA to monitor the content of conversations by all parties 
connected via a conference call when the facilities under surveillance 
maintain a circuit connection to the call.
    (4) Destination. A party or place to which a call is being made 
(e.g., the called party).
    (5) Dialed digit extraction. Capability that permits a LEA to 
receive on the call data channel digits dialed by a subject after a call 
is connected to another carrier's service for processing and routing.
    (6) Direction. A party or place to which a call is re-directed or 
the party or place from which it came, either incoming or outgoing 
(e.g., a redirected-to party or redirected-from party).
    (7) IAP. Intercept access point is a point within a carrier's system 
where some of the communications or call-identifying information of an 
intercept subject's equipment, facilities, and services are accessed.
    (8) In-band and out-of-band signaling. Capability that permits a LEA 
to be informed when a network message that provides call identifying 
information (e.g., ringing, busy, call waiting signal, message light) is 
generated or sent by the IAP switch to a subject using the facilities 
under surveillance. Excludes signals generated by customer premises 
equipment when no network signal is generated.
    (9) J-STD-025. The standard, including the latest version, developed 
by the Telecommunications Industry Association (TIA) and the Alliance 
for Telecommunications Industry Solutions (ATIS) for wireline, cellular, 
and broadband PCS carriers. This standard defines services and features 
to support lawfully authorized electronic surveillance, and specifies 
interfaces necessary to deliver intercepted communications and call-
identifying information to a LEA. Subsequently, TIA and ATIS published 
J-STD-025-A and J-STD-025-B.
    (10) Origin. A party initiating a call (e.g., a calling party), or a 
place from which a call is initiated.
    (11) Party hold, join, drop on conference calls. Capability that 
permits a LEA to identify the parties to a conference call conversation 
at all times.
    (12) Subject-initiated dialing and signaling information. Capability 
that permits a LEA to be informed when a subject using the facilities 
under surveillance uses services that provide call identifying 
information, such as call forwarding, call waiting, call hold, and 
three-way calling. Excludes signals generated by customer premises 
equipment when no network signal is generated.
    (13) Termination. A party or place at the end of a communication 
path (e.g. the called or call-receiving party, or the switch of a party 
that has placed another party on hold).
    (14) Timing information. Capability that permits a LEA to associate 
call-identifying information with the content of a call. A call-
identifying message must be sent from the carrier's IAP to the LEA's 
Collection Function within eight seconds of receipt of that message by 
the IAP at least 95% of the time, and with the call event time-stamped 
to an accuracy of at least 200 milliseconds.
    (b) In addition to the requirements in Sec. 1.20006, wireline, 
cellular, and PCS telecommunications carriers shall provide to a LEA the 
assistance capability requirements regarding wire and electronic 
communications and call identifying information covered by J-STD-025 
(current version), and, subject to the definitions in this section, may 
satisfy these requirements by complying with J-STD-025 (current 
version), or by another means of their own choosing. These carriers also 
shall provide to a LEA the following capabilities:
    (1) Content of subject-initiated conference calls;
    (2) Party hold, join, drop on conference calls;
    (3) Subject-initiated dialing and signaling information;
    (4) In-band and out-of-band signaling;
    (5) Timing information;

[[Page 464]]

    (6) Dialed digit extraction, with a toggle feature that can 
activate/deactivate this capability.

[71 FR 38108, July 5, 2006, as amended at 76 FR 70911, Nov. 16, 2011]



Sec. 1.20008  Penalties.

    In the event of a telecommunications carrier's violation of this 
subchapter, the Commission shall enforce the penalties articulated in 47 
U.S.C. 503(b) of the Communications Act of 1934 and 47 CFR 1.80.



      Subpart AA_Competitive Bidding for Universal Service Support

    Source: 76 FR 73851, Nov. 29, 2011, unless otherwise noted.



Sec. 1.21000  Purpose.

    This subpart sets forth procedures for competitive bidding to 
determine the recipients of universal service support pursuant to part 
54 of this chapter and the amount(s) of support that each recipient 
respectively may receive, subject to post-auction procedures, when the 
Commission directs that such support shall be determined through 
competitive bidding.



Sec. 1.21001  Participation in competitive bidding for support.

    (a) Public Notice of the Application Process. The dates and 
procedures for submitting applications to participate in competitive 
bidding pursuant to this subpart shall be announced by public notice.
    (b) Application Contents. An applicant to participate in competitive 
bidding pursuant to this subpart shall provide the following information 
in an acceptable form:
    (1) The identity of the applicant, i.e., the party that seeks 
support, including any required information regarding parties that have 
an ownership or other interest in the applicant;
    (2) The identities of up to three individuals authorized to make or 
withdraw a bid on behalf of the applicant;
    (3) The identities of all real parties in interest to any agreements 
relating to the participation of the applicant in the competitive 
bidding;
    (4) Certification that the application discloses all real parties in 
interest to any agreements involving the applicant's participation in 
the competitive bidding;
    (5) Certification that the applicant and all applicable parties have 
complied with and will continue to comply with Sec. 1.21002;
    (6) Certification that the applicant is in compliance with all 
statutory and regulatory requirements for receiving the universal 
service support that the applicant seeks, or, if expressly allowed by 
the rules specific to a high-cost support mechanism, a certification 
that the applicant acknowledges that it must be in compliance with such 
requirements before being authorized to receive support;
    (7) Certification that the applicant will make any payment that may 
be required pursuant to Sec. 1.21004;
    (8) Certification that the individual submitting the application is 
authorized to do so on behalf of the applicant; and
    (9) Such additional information as may be required.
    (c) Financial Requirements for Participation. As a prerequisite to 
participating in competitive bidding, an applicant may be required to 
post a bond or place funds on deposit with the Commission in an amount 
based on the default payment that may be required pursuant to Sec. 
1.21004. The details of and deadline for posting such a bond or making 
such a deposit will be announced by public notice. No interest will be 
paid on any funds placed on deposit.
    (d) Application Processing. (1) Any timely submitted application 
will be reviewed by Commission staff for completeness and compliance 
with the Commission's rules. No untimely applications shall be reviewed 
or considered.
    (2) An applicant will not be permitted to participate in competitive 
bidding if the application does not identify the applicant as required 
by the public notice announcing application procedures or does not 
include all required certifications, as of the deadline for submitting 
applications.
    (3) An applicant will not be permitted to participate in competitive 
bidding if the applicant has not provided any

[[Page 465]]

bond or deposit of funds required pursuant to Sec. 1.21001(c), as of 
the applicable deadline.
    (4) An applicant may not make major modifications to its application 
after the deadline for submitting the application. An applicant will not 
be permitted to participate in competitive bidding if Commission staff 
determines that the application requires major modifications to be made 
after that deadline. Major modifications include, but are not limited 
to, any changes in the ownership of the applicant that constitute an 
assignment or transfer of control, or any changes in the identity of the 
applicant, or any changes in the required certifications.
    (5) An applicant may be permitted to make minor modifications to its 
application after the deadline for submitting applications. Minor 
modifications may be subject to a deadline specified by public notice. 
Minor modifications include correcting typographical errors and 
supplying non-material information that was inadvertently omitted or was 
not available at the time the application was submitted.
    (6) After receipt and review of the applications, an applicant that 
will be permitted participate in competitive bidding shall be identified 
in a public notice.

[76 FR 73851, Nov. 29, 2011, as amended at 81 FR 44448, July 7, 2016]

    Effective Date Note: At 81 FR 44448, July 7, 2016, Sec. 
1.21001(b)(6) was revised. 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.



Sec. 1.21002  Prohibition of certain communications during the
competitive bidding process.

    (a) Definition of Applicant. For purposes of this paragraph, the 
term ``applicant'' shall include any applicant, each party capable of 
controlling the applicant, and each party that may be controlled by the 
applicant or by a party capable of controlling the applicant.
    (b) Certain Communications Prohibited. After the deadline for 
submitting applications to participate, an applicant is prohibited from 
cooperating or collaborating with any other applicant with respect to 
its own, or one another's, or any other competing applicant's bids or 
bidding strategies, and is prohibited from communicating with any other 
applicant in any manner the substance of its own, or one another's, or 
any other competing applicant's bids or bidding strategies, until after 
the post-auction deadline for winning bidders to submit applications for 
support, unless such applicants are members of a joint bidding 
arrangement identified on the application pursuant to Sec. 
1.21001(b)(4).
    (c) Duty To Report Potentially Prohibited Communications. An 
applicant that makes or receives communications that may be prohibited 
pursuant to this paragraph shall report such communications to the 
Commission staff immediately, and in any case no later than 5 business 
days after the communication occurs. An applicant's obligation to make 
such a report continues until the report has been made.
    (d) Procedures for Reporting Potentially Prohibited Communications. 
Particular procedures for parties to report communications that may be 
prohibited under this rule may be established by public notice. If no 
such procedures are established by public notice, the party making the 
report shall do so in writing to the Chief of the Auctions and Spectrum 
Access Division by the most expeditious means available, including 
electronic transmission such as email.



Sec. 1.21003  Competitive bidding process.

    (a) Public Notice of Competitive Bidding Procedures. Detailed 
competitive bidding procedures shall be established by public notice 
prior to the commencement of competitive bidding any time competitive 
bidding is conducted pursuant to this subpart.
    (b) Competitive Bidding Procedures--Design Options. The public 
notice detailing competitive bidding procedures may establish the design 
of the competitive bidding utilizing any of the following options, 
without limitation:
    (1) Procedures for Collecting Bids. (i) Procedures for collecting 
bids in a single round or in multiple rounds.
    (ii) Procedures for collecting bids on an item-by-item basis, or 
using various aggregation specifications.

[[Page 466]]

    (iii) Procedures for collecting bids that specify contingencies 
linking bids on the same item and/or for multiple items.
    (iv) Procedures allowing for bids that specify a support level, 
indicate demand at a specified support level, or provide other 
information as specified by the Commission.
    (v) Procedures to collect bids in one or more stage or stages, 
including for transitions between stages.
    (2) Procedures for Assigning Winning Bids. (i) Procedures for 
scoring bids by factors in addition to bid amount, such as population 
coverage or geographic contour, or other relevant measurable factors.
    (ii) Procedures to incorporate public interest considerations into 
the process for assigning winning bids.
    (3) Procedures for Determining Payments. (i) Procedures to determine 
the amount of any support for which winning bidders may become 
authorized, consistent with other auction design choices.
    (ii) Procedures that provide for support amounts based on the amount 
as bid or on other pricing rules, either uniform or discriminatory.
    (c) Competitive Bidding Procedures--Mechanisms. The public notice 
detailing competitive bidding procedures may establish any of the 
following mechanisms, without limitation:
    (1) Limits on Available Information. Procedures establishing limits 
on the public availability of information regarding applicants, 
applications, and bids during a period of time covering the competitive 
bidding process, as well as procedures for parties to report the receipt 
of non-public information during such periods.
    (2) Sequencing. Procedures establishing one or more groups of 
eligible areas and if more than one, the sequence of groups for which 
bids will be accepted.
    (3) Reserve Price. Procedures establishing reserve prices, either 
disclosed or undisclosed, above which bids would not win in the auction. 
The reserve prices may apply individually, in combination, or in the 
aggregate.
    (4) Timing and Method of Placing Bids. Procedures establishing 
methods and times for submission of bids, whether remotely, by 
telephonic or electronic transmission, or in person.
    (5) Opening Bids and Bid Increments. Procedures establishing maximum 
or minimum opening bids and, by announcement before or during the 
auction, maximum or minimum bid increments in dollar or percentage 
terms.
    (6) Withdrawals. Procedures by which bidders may withdraw bids, if 
withdrawals are allowed.
    (7) Stopping Procedures. Procedures regarding when bidding will stop 
for a round, a stage, or an entire auction, in order to terminate the 
auction within a reasonable time and in accordance with public interest 
considerations and the goals, statutory requirements, rules, and 
procedures for the auction, including any reserve price or prices.
    (8) Activity Rules. Procedures for activity rules that require a 
minimum amount of bidding activity.
    (9) Auction Delay, Suspension, or Cancellation. Procedures for 
announcing by public notice or by announcement during the reverse 
auction, delay, suspension, or cancellation of the auction in the event 
of a natural disaster, technical obstacle, network disruption, evidence 
of an auction security breach or unlawful bidding activity, 
administrative or weather necessity, or for any other reason that 
affects the fair and efficient conduct of the competitive bidding, and 
procedures for resuming the competitive bidding starting from the 
beginning of the current or some previous round or cancelling the 
competitive bidding in its entirety.
    (d) Apportioning Package Bids. If the public notice establishing 
detailed competitive bidding procedures adopts procedures for bidding 
for support on combinations or packages of geographic areas, the public 
notice also shall establish a methodology for apportioning such bids 
among the geographic areas within the combination or package for 
purposes of implementing any Commission rule or procedure that requires 
a discrete bid for support in relation to a specific geographic area.
    (e) Public Notice of Competitive Bidding Results. After the 
conclusion of competitive bidding, a public notice shall identify the 
winning bidders that may apply for the offered universal service

[[Page 467]]

support and the amount(s) of support for which they may apply, and shall 
detail the application procedures.

[76 FR 73851, Nov. 29, 2011, as amended at 82 FR 15449, Mar. 28, 2017]



Sec. 1.21004  Winning bidder's obligation to apply for support

    (a) Timely and Sufficient Application. A winning bidder has a 
binding obligation to apply for support by the applicable deadline. A 
winning bidder that fails to file an application by the applicable 
deadline or that for any reason is not subsequently authorized to 
receive support has defaulted on its bid.
    (b) Liability for Default Payment. A winning bidder that defaults is 
liable for a default payment, which will be calculated by a method that 
will be established as provided in a public notice prior to competitive 
bidding. If the default payment is determined as a percentage of the 
defaulted bid amount, the default payment will not exceed twenty percent 
of the amount of the defaulted bid amount.
    (c) Additional Liabilities. A winning bidder that defaults, in 
addition to being liable for a default payment, shall be subject to such 
measures as the Commission may provide, including but not limited to 
disqualification from future competitive bidding pursuant to this 
subpart AA, competitive bidding for universal service support.



     Subpart BB_Disturbance of AM Broadcast Station Antenna Patterns

    Source: 78 FR 66295, Nov. 5, 2013, as amended at 78 FR 70499, Nov. 
26, 2013, unless otherwise noted.



Sec. 1.30000  Purpose.

    This rule part protects the operations of AM broadcast stations from 
nearby tower construction that may distort the AM antenna patterns. All 
parties holding or applying for Commission authorizations that propose 
to construct or make a significant modification to an antenna tower or 
support structure in the immediate vicinity of an AM antenna, or propose 
to install an antenna on an AM tower, are responsible for completing the 
analysis and notice process described in this subpart, and for taking 
any measures necessary to correct disturbances of the AM radiation 
pattern, if such disturbances occur as a result of the tower 
construction or modification or as a result of the installation of an 
antenna on an AM tower. In the event these processes are not completed 
before an antenna structure is constructed, any holder of or applicant 
for a Commission authorization is responsible for completing these 
processes before locating or proposing to locate an antenna on the 
structure, as described in this subpart.



Sec. 1.30001  Definitions.

    For purposes of this subpart:
    (a) Wavelength at the AM frequency. In this subpart, critical 
distances from an AM station are described in terms of the AM 
wavelength. The AM wavelength, expressed in meters, is computed as 
follows:

(300 meters)/(AM frequency in megahertz) = AM wavelength in meters.

    For example, at the AM frequency of 1000 kHz, or 1 MHz, the 
wavelength is (300/1 MHz) = 300 meters.
    (b) Electrical degrees at the AM frequency. This term describes the 
height of a proposed tower as a function of the frequency of a nearby AM 
station. To compute tower height in electrical degrees, first determine 
the AM wavelength in meters as described in paragraph (a) of this 
section. Tower height in electrical degrees is computed as follows: 
(Tower height in meters)/(AM wavelength in meters) x 360 degrees = Tower 
height in electrical degrees. For example, if the AM frequency is 1000 
kHz, then the wavelength is 300 meters, per paragraph (a) of this 
section. A nearby tower 75 meters tall is therefore [75/300] x 360 = 90 
electrical degrees tall at the AM frequency.
    (c) Proponent. The term proponent refers in this section to the 
party proposing tower construction or significant modification of an 
existing tower or proposing installation of an antenna on an AM tower.
    (d) Distance from the AM station. The distance shall be calculated 
from the tower coordinates in the case of a nondirectional AM station, 
or from the array center coordinates given in

[[Page 468]]

CDBS or any successor database for a directional AM station.



Sec. 1.30002  Tower construction or modification near AM stations.

    (a) Proponents of construction or significant modification of a 
tower which is within one wavelength of a nondirectional AM station, and 
is taller than 60 electrical degrees at the AM frequency, must notify 
the AM station at least 30 days in advance of the commencement of 
construction. The proponent shall examine the potential impact of the 
construction or modification as described in paragraph (c) of this 
section. If the construction or modification would distort the radiation 
pattern by more than 2 dB, the proponent shall be responsible for the 
installation and maintenance of any detuning apparatus necessary to 
restore proper operation of the nondirectional antenna.
    (b) Proponents of construction or significant modification of a 
tower which is within the lesser of 10 wavelengths or 3 kilometers of a 
directional AM station, and is taller than 36 electrical degrees at the 
AM frequency, must notify the AM station at least 30 days in advance of 
the commencement of construction. The proponent shall examine the 
potential impact of the construction or modification as described in 
paragraph (c) of this section. If the construction or modification would 
result in radiation in excess of the AM station's licensed standard 
pattern or augmented standard pattern values, the proponent shall be 
responsible for the installation and maintenance of any detuning 
apparatus necessary to restore proper operation of the directional 
antenna.
    (c) Proponents of construction or significant modification of a 
tower within the distances defined in paragraphs (a) and (b) of this 
section of an AM station shall examine the potential effects thereof 
using a moment method analysis. The moment method analysis shall consist 
of a model of the AM antenna together with the potential re-radiating 
tower in a lossless environment. The model shall employ the methodology 
specified in Sec. 73.151(c) of this chapter, except that the AM antenna 
elements may be modeled as a series of thin wires driven to produce the 
required radiation pattern, without any requirement for measurement of 
tower impedances.
    (d) A significant modification of a tower in the immediate vicinity 
of an AM station is defined as follows:
    (1) Any change that would alter the tower's physical height by 5 
electrical degrees or more at the AM frequency; or
    (2) The addition or replacement of one or more antennas or 
transmission lines on a tower that has been detuned or base-insulated.
    (e) The addition or modification of an antenna or antenna-supporting 
structure on a building shall be considered a construction or 
modification subject to the analysis and notice requirements of this 
subpart if and only if the height of the antenna-supporting structure 
alone exceeds the thresholds in paragraphs (a) and (b) of this section.
    (f) With respect to an AM station that was authorized pursuant to a 
directional proof of performance based on field strength measurements, 
the proponent of the tower construction or modification may, in lieu of 
the study described in paragraph (c) of this section, demonstrate 
through measurements taken before and after construction that field 
strength values at the monitoring points do not exceed the licensed 
values. In the event that the pre-construction monitoring point values 
exceed the licensed values, the proponent may demonstrate that post-
construction monitoring point values do not exceed the pre-construction 
values. Alternatively, the AM station may file for authority to increase 
the relevant monitoring-point value after performing a partial proof of 
performance in accordance with Sec. 73.154 to establish that the 
licensed radiation limit on the applicable radial is not exceeded.
    (g) Tower construction or modification that falls outside the 
criteria described in the preceding paragraphs is presumed to have no 
significant effect on an AM station. In some instances, however, an AM 
station may be affected by tower construction or modification 
notwithstanding the criteria set forth above. In such cases, an AM 
station may submit a showing that its operation has been affected by 
tower construction or modification. Such a

[[Page 469]]

showing shall consist of either a moment method analysis as described in 
paragraph (c) of this section, or of field strength measurements. The 
showing shall be provided to:
    (1) The tower proponent if the showing relates to a tower that has 
not yet been constructed or modified and otherwise to the current tower 
owner; and
    (2) To the Commission, within two years after the date of completion 
of the tower construction or modification. If necessary, the Commission 
shall direct the tower proponent or tower owner, if the tower proponent 
or tower owner holds a Commission authorization, to install and maintain 
any detuning apparatus necessary to restore proper operation of the AM 
antenna. An applicant for a Commission authorization may not propose, 
and a party holding a Commission authorization may not locate, an 
antenna on any tower or support structure that has been shown to affect 
an AM station's operation pursuant to this subparagraph, or for which a 
disputed showing of effect on an AM station's operation is pending, 
unless the applicant, party, or tower owner notifies the AM station and 
takes appropriate action to correct the disturbance to the AM pattern.
    (h) An AM station may submit a showing that its operation has been 
affected by tower construction or modification that was commenced or 
completed prior to or on the effective date of the rules adopted in this 
Part pursuant to MM Docket No. 93-177. Such a showing shall consist of 
either a moment method analysis as described in paragraph (c) of this 
section, or of field strength measurements. The showing shall be 
provided to the current tower owner and the Commission within one year 
of the effective date of the rules adopted in this Part pursuant to MM 
Docket No. 93-177. If necessary, the Commission shall direct the tower 
owner, if the tower owner holds a Commission authorization, to install 
and maintain any detuning apparatus necessary to restore proper 
operation of the AM antenna.
    (i) An applicant for a Commission authorization may not propose, and 
a party holding a Commission authorization may not locate, an antenna on 
any tower or support structure, whether constructed before or after 
December 5, 2013, that meets the criteria in paragraphs (a) and (b) of 
this section, unless the analysis and notice process described in this 
subpart, and any necessary measures to correct disturbances of the AM 
radiation pattern, have been completed by the tower owner, the party 
proposing to locate the antenna, or any other party, either prior to 
construction or at any other time prior to the proposal or antenna 
location.

[78 FR 66295, Nov. 5, 2013]



Sec. 1.30003  Installations on an AM antenna.

    (a) Installations on a nondirectional AM tower. When antennas are 
installed on a nondirectional AM tower the AM station shall determine 
the operating power by the indirect method (see Sec. 73.51 of this 
chapter). Upon completion of the installation, antenna impedance 
measurements on the AM antenna shall be made. If the resistance of the 
AM antenna changes by more than 2 percent (see Sec. 73.45(c)(1) of this 
chapter), an application on FCC Form 302-AM (including a tower sketch of 
the installation) shall be filed with the Commission for the AM station 
to return to direct power measurement.
    (b) Installations on a directional AM array. Before antennas are 
installed on a tower in a directional AM array, the proponent shall 
notify the AM station so that, if necessary, the AM station may 
determine operating power by the indirect method (see Sec. 73.51 of 
this chapter) and request special temporary authority pursuant to Sec. 
73.1635 of this chapter to operate with parameters at variance.
    (1) For AM stations licensed via field strength measurements (see 
Sec. 73.151(a)), a partial proof of performance as defined by Sec. 
73.154 of this chapter shall be conducted by the tower proponent both 
before and after construction to establish that the AM array will not be 
and has not been adversely affected. If the operating parameters of the 
AM array change following the installation, the results of the partial 
proof of performance shall be filed by the AM station with the 
Commission on Form 302-AM.
    (2) For AM stations licensed via a moment method proof (see Sec. 
73.151(c) of

[[Page 470]]

this chapter), a base impedance measurement on the tower being modified 
shall be made by the tower proponent as described in Sec. 73.151(c)(1). 
The result of the new tower impedance measurement shall be retained in 
the station's records. If the new measured base resistance and reactance 
values of the affected tower differ by more than 2 
ohms and 4 percent from the corresponding modeled 
resistance and reactance values contained in the last moment method 
proof, then the station shall file Form 302-AM. The Form 302-AM shall be 
accompanied by the new impedance measurements for the modified tower and 
a new moment method model for each pattern in which the tower is a 
radiating element. Base impedance measurements for other towers in the 
array, sampling system measurements, and reference field strength 
measurements need not be repeated. The procedures described in this 
paragraph may be used as long as the affected tower continues to meet 
the requirements for moment method proofing after the modification.
    (c) Form 302-AM Filing. When the AM station is required to file Form 
302-AM following an installation as set forth in paragraphs (a) and (b) 
of this section, the Form 302-AM shall be filed before or simultaneously 
with any license application associated with the installation. If no 
license application is filed as a result of the installation, the Form 
302-AM shall be filed within 30 days after the completion of the 
installation.

[78 FR 66295, Nov. 5, 2013]



Sec. 1.30004  Notice of tower construction or modification near
AM stations.

    (a) Proponents of proposed tower construction or significant 
modification to an existing tower near an AM station that are subject to 
the notification requirement in Sec. Sec. 1.30002 and 1.30003 shall 
provide notice of the proposed tower construction or modification to the 
AM station at least 30 days prior to commencement of the planned tower 
construction or modification. Notice shall be provided to any AM station 
that is licensed or operating under Program Test Authority using the 
official licensee information and address listed in CDBS or any 
successor database. Notification to an AM station and any responses may 
be oral or written. If such notification and/or response is oral, the 
party providing such notification or response must supply written 
documentation of the communication and written documentation of the date 
of communication upon request of the other party to the communication or 
the Commission. Notification must include the relevant technical details 
of the proposed tower construction or modification. At a minimum, the 
notification should include the following:
    (1) Proponent's name and address. Coordinates of the tower to be 
constructed or modified.
    (2) Physical description of the planned structure.
    (3) Results of the analysis showing the predicted effect on the AM 
pattern, if performed.
    (b) Response to a notification should be made as quickly as 
possible, even if no technical problems are anticipated. Any response to 
a notification indicating a potential disturbance of the AM radiation 
pattern must specify the technical details and must be provided to the 
proponent within 30 days. If no response to notification is received 
within 30 days, the proponent may proceed with the proposed tower 
construction or modification.
    (c) The 30-day response period is calculated from the date of 
receipt of the notification by the AM station. If notification is by 
mail, this date may be ascertained by:
    (1) The return receipt on certified mail;
    (2) The enclosure of a card to be dated and returned by the 
recipient; or
    (3) A conservative estimate of the time required for the mail to 
reach its destination, in which case the estimated date when the 30-day 
period would expire shall be stated in the notification.
    (d) An expedited notification period (less than 30 days) may be 
requested when deemed necessary by the proponent. The notification shall 
be identified as ``expedited'' and the requested response date shall be 
clearly indicated. The proponent may proceed with the proposed tower 
construction or modification prior to the expiration of the 30-day 
notification period only

[[Page 471]]

upon receipt of written concurrence from the affected AM station (or 
oral concurrence, with written confirmation to follow).
    (e) To address immediate and urgent communications needs in the 
event of an emergency situation involving essential public services, 
public health, or public welfare, a tower proponent may erect a 
temporary new tower or make a temporary significant modification to an 
existing tower without prior notice to potentially affected nearby AM 
stations, provided that the tower proponent shall provide written notice 
to such AM stations within five days of the construction or modification 
of the tower and shall cooperate with such AM stations to promptly 
remedy any pattern distortions that arise as a consequence of such 
construction.

[78 FR 66295, Nov. 5, 2013]



 Subpart CC_State and Local Review of Applications for Wireless Service 
                          Facility Modification

    Source: 80 FR 1269, Jan. 8, 2015, unless otherwise noted.



Sec. 1.40001  Wireless Facility Modifications.

    (a) Purpose. These rules implement section 6409 of the Spectrum Act 
(codified at 47 U.S.C. 1455), which requires a State or local government 
to approve any eligible facilities request for a modification of an 
existing tower or base station that does not substantially change the 
physical dimensions of such tower or base station.
    (b) Definitions. Terms used in this section have the following 
meanings.
    (1) Base station. A structure or equipment at a fixed location that 
enables Commission-licensed or authorized wireless communications 
between user equipment and a communications network. The term does not 
encompass a tower as defined in this subpart or any equipment associated 
with a tower.
    (i) The term includes, but is not limited to, equipment associated 
with wireless communications services such as private, broadcast, and 
public safety services, as well as unlicensed wireless services and 
fixed wireless services such as microwave backhaul.
    (ii) The term includes, but is not limited to, radio transceivers, 
antennas, coaxial or fiber-optic cable, regular and backup power 
supplies, and comparable equipment, regardless of technological 
configuration (including Distributed Antenna Systems and small-cell 
networks).
    (iii) The term includes any structure other than a tower that, at 
the time the relevant application is filed with the State or local 
government under this section, supports or houses equipment described in 
paragraphs (b)(1)(i) through (ii) of this section that has been reviewed 
and approved under the applicable zoning or siting process, or under 
another State or local regulatory review process, even if the structure 
was not built for the sole or primary purpose of providing such support.
    (iv) The term does not include any structure that, at the time the 
relevant application is filed with the State or local government under 
this section, does not support or house equipment described in 
paragraphs (b)(1)(i)-(ii) of this section.
    (2) Collocation. The mounting or installation of transmission 
equipment on an eligible support structure for the purpose of 
transmitting and/or receiving radio frequency signals for communications 
purposes.
    (3) Eligible facilities request. Any request for modification of an 
existing tower or base station that does not substantially change the 
physical dimensions of such tower or base station, involving:
    (i) Collocation of new transmission equipment;
    (ii) Removal of transmission equipment; or
    (iii) Replacement of transmission equipment.
    (4) Eligible support structure. Any tower or base station as defined 
in this section, provided that it is existing at the time the relevant 
application is filed with the State or local government under this 
section.
    (5) Existing. A constructed tower or base station is existing for 
purposes of this section if it has been reviewed and approved under the 
applicable zoning

[[Page 472]]

or siting process, or under another State or local regulatory review 
process, provided that a tower that has not been reviewed and approved 
because it was not in a zoned area when it was built, but was lawfully 
constructed, is existing for purposes of this definition.
    (6) Site. For towers other than towers in the public rights-of-way, 
the current boundaries of the leased or owned property surrounding the 
tower and any access or utility easements currently related to the site, 
and, for other eligible support structures, further restricted to that 
area in proximity to the structure and to other transmission equipment 
already deployed on the ground.
    (7) Substantial change. A modification substantially changes the 
physical dimensions of an eligible support structure if it meets any of 
the following criteria:
    (i) For towers other than towers in the public rights-of-way, it 
increases the height of the tower by more than 10% or by the height of 
one additional antenna array with separation from the nearest existing 
antenna not to exceed twenty feet, whichever is greater; for other 
eligible support structures, it increases the height of the structure by 
more than 10% or more than ten feet, whichever is greater;
    (A) Changes in height should be measured from the original support 
structure in cases where deployments are or will be separated 
horizontally, such as on buildings' rooftops; in other circumstances, 
changes in height should be measured from the dimensions of the tower or 
base station, inclusive of originally approved appurtenances and any 
modifications that were approved prior to the passage of the Spectrum 
Act.
    (ii) For towers other than towers in the public rights-of-way, it 
involves adding an appurtenance to the body of the tower that would 
protrude from the edge of the tower more than twenty feet, or more than 
the width of the tower structure at the level of the appurtenance, 
whichever is greater; for other eligible support structures, it involves 
adding an appurtenance to the body of the structure that would protrude 
from the edge of the structure by more than six feet;
    (iii) For any eligible support structure, it involves installation 
of more than the standard number of new equipment cabinets for the 
technology involved, but not to exceed four cabinets; or, for towers in 
the public rights-of-way and base stations, it involves installation of 
any new equipment cabinets on the ground if there are no pre-existing 
ground cabinets associated with the structure, or else involves 
installation of ground cabinets that are more than 10% larger in height 
or overall volume than any other ground cabinets associated with the 
structure;
    (iv) It entails any excavation or deployment outside the current 
site;
    (v) It would defeat the concealment elements of the eligible support 
structure; or
    (vi) It does not comply with conditions associated with the siting 
approval of the construction or modification of the eligible support 
structure or base station equipment, provided however that this 
limitation does not apply to any modification that is non-compliant only 
in a manner that would not exceed the thresholds identified in Sec. 
1.40001(b)(7)(i) through (iv).
    (8) Transmission equipment. Equipment that facilitates transmission 
for any Commission-licensed or authorized wireless communication 
service, including, but not limited to, radio transceivers, antennas, 
coaxial or fiber-optic cable, and regular and backup power supply. The 
term includes equipment associated with wireless communications services 
including, but not limited to, private, broadcast, and public safety 
services, as well as unlicensed wireless services and fixed wireless 
services such as microwave backhaul.
    (9) Tower. Any structure built for the sole or primary purpose of 
supporting any Commission-licensed or authorized antennas and their 
associated facilities, including structures that are constructed for 
wireless communications services including, but not limited to, private, 
broadcast, and public safety services, as well as unlicensed wireless 
services and fixed wireless services such as microwave backhaul, and the 
associated site.
    (c) Review of applications. A State or local government may not deny 
and

[[Page 473]]

shall approve any eligible facilities request for modification of an 
eligible support structure that does not substantially change the 
physical dimensions of such structure.
    (1) Documentation requirement for review. When an applicant asserts 
in writing that a request for modification is covered by this section, a 
State or local government may require the applicant to provide 
documentation or information only to the extent reasonably related to 
determining whether the request meets the requirements of this section. 
A State or local government may not require an applicant to submit any 
other documentation, including but not limited to documentation intended 
to illustrate the need for such wireless facilities or to justify the 
business decision to modify such wireless facilities.
    (2) Timeframe for review. Within 60 days of the date on which an 
applicant submits a request seeking approval under this section, the 
State or local government shall approve the application unless it 
determines that the application is not covered by this section.
    (3) Tolling of the timeframe for review. The 60-day period begins to 
run when the application is filed, and may be tolled only by mutual 
agreement or in cases where the reviewing State or local government 
determines that the application is incomplete. The timeframe for review 
is not tolled by a moratorium on the review of applications.
    (i) To toll the timeframe for incompleteness, the reviewing State or 
local government must provide written notice to the applicant within 30 
days of receipt of the application, clearly and specifically delineating 
all missing documents or information. Such delineated information is 
limited to documents or information meeting the standard under paragraph 
(c)(1) of this section.
    (ii) The timeframe for review begins running again when the 
applicant makes a supplemental submission in response to the State or 
local government's notice of incompleteness.
    (iii) Following a supplemental submission, the State or local 
government will have 10 days to notify the applicant that the 
supplemental submission did not provide the information identified in 
the original notice delineating missing information. The timeframe is 
tolled in the case of second or subsequent notices pursuant to the 
procedures identified in this paragraph (c)(3). Second or subsequent 
notices of incompleteness may not specify missing documents or 
information that were not delineated in the original notice of 
incompleteness.
    (4) Failure to act. In the event the reviewing State or local 
government fails to approve or deny a request seeking approval under 
this section within the timeframe for review (accounting for any 
tolling), the request shall be deemed granted. The deemed grant does not 
become effective until the applicant notifies the applicable reviewing 
authority in writing after the review period has expired (accounting for 
any tolling) that the application has been deemed granted.
    (5) Remedies. Applicants and reviewing authorities may bring claims 
related to Section 6409(a) to any court of competent jurisdiction.

[80 FR 1269, Jan. 8, 2015]

    Effective Date Note: At 80 FR 1269, Jan. 8, 2015, Sec. 1.40001 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. 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

[[Page 474]]

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.

                  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.

[[Page 475]]

    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 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.

[[Page 476]]

        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 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]



  Sec. Appendix B to Part 1--Nationwide Programmatic Agreement for the 
                    Collocation of Wireless Antennas

          First Amendment to NATIONWIDE PROGRAMMATIC AGREEMENT

                For the COLLOCATION OF WIRELESS ANTENNAS

    Executed by The FEDERAL COMMUNICATIONS COMMISSION, The NATIONAL 
  CONFERENCE OF STATE HISTORIC PRESERVATION OFFICERS and The ADVISORY 
                    COUNCIL ON HISTORIC PRESERVATION

    WHEREAS, the Federal Communications Commission (FCC), the Advisory 
Council on Historic Preservation (the Council) and the National 
Conference of State Historic Preservation Officers (NCSHPO) executed 
this Nationwide Collocation Programmatic Agreement on March 16, 2001 in 
accordance with 36 CFR Section 800.14(b) to address the Section 106 
review process as it applies to the collocation of antennas; and,

[[Page 477]]

    WHEREAS, the FCC encourages collocation of antennas where 
technically and economically feasible, in order to reduce the need for 
new tower construction; and in its Wireless Infrastructure Report and 
Order, WT Docket No. 13-238, et al, released October 21, 2014, adopted 
initial measures to update and tailor the manner in which it evaluates 
the impact of proposed deployments on the environment and historic 
properties and committed to expeditiously conclude a program alternative 
to implement additional improvements in the Section 106 review process 
for small deployments that, because of their characteristics, are likely 
to have minimal and not adverse effects on historic properties; and,
    WHEREAS, the Middle Class Tax Relief and Job Creation Act of 2012 
(Title VI -- Public Safety Communications and Electromagnetic Spectrum 
Auctions, Middle Class Tax Relief and Job Creation Act of 2012, Pub. L. 
112-96, 126 Stat. 156 (2012)) was adopted with the goal of advancing 
wireless broadband services, and the amended provisions in this 
Agreement further that goal; and,
    WHEREAS, advances in wireless technologies since 2001 have produced 
systems that use smaller antennas and compact radio equipment, including 
those used in Distributed Antenna Systems (DAS) and small cell systems, 
which are a fraction of the size of traditional cell tower deployments 
and can be installed on utility poles, buildings, and other existing 
structures as collocations; and,
    WHEREAS, the parties to this Collocation Agreement have taken into 
account new technologies involving use of small antennas that may often 
be collocated on utility poles, buildings, and other existing structures 
and increase the likelihood that such collocations will have minimal and 
not adverse effects on historic properties, and rapid deployment of such 
infrastructure may help meet the surging demand for wireless services, 
expand broadband access, support innovation and wireless opportunity, 
and enhance public safety--all to the benefit of consumers and the 
communities in which they live; and,
    WHEREAS, the FCC, the Council, and NCSHPO have agreed that these new 
measures should be incorporated into this Collocation Agreement to 
better manage the Section 106 consultation process and streamline 
reviews for collocation of antennas; and,
    WHEREAS, the FCC, the Council, and NCSHPO have crafted these new 
measures with the goal of promoting technological neutrality, with the 
goal of obviating the need for further amendments in the future as 
technologies evolve; and,
    WHEREAS, notwithstanding the intent to draft provisions in a manner 
that obviates the need for future amendments, in light of the public 
benefits associated with rapid deployment of the facilities required to 
provide broadband wireless services, the FCC, the Council, and NCSHPO 
have agreed that changes in technology and other factors relating to the 
placement and operation of wireless antennas and associated equipment 
may necessitate further amendments to this Collocation Agreement in the 
future; and,
    WHEREAS, the FCC, the Council, and NCSHPO have agreed that with 
respect to the amendments involving the use of small antennas, such 
amendments affect only the FCC's review process under Section 106 of the 
NHPA, and will not limit State and local governments' authority to 
enforce their own historic preservation requirements consistent with 
Section 332(c)(7) of the Communications Act and Section 6409(a) of the 
Middle Class Tax Relief and Job Creation Act of 2012; and,
    WHEREAS, the FCC, the Council, and NCSHPO acknowledge that federally 
recognized Indian tribes (Indian tribes), Native Hawaiian Organizations 
(NHOs), SHPO/THPOs, local governments, and members of the public make 
important contributions to the Section 106 review process, in accordance 
with Section 800.2(c) & (d) of the Council's rules, and note that the 
procedures for appropriate public notification and participation in 
connection with the Section 106 process are set forth the Nationwide 
Programmatic Agreement Regarding the Section 106 National Historic 
Preservation Act Review Process (NPA); and,
    WHEREAS, the parties hereto agree that the amended procedures 
described in this amendment to the Collocation Agreement are, with 
regard to collocations as defined herein, a proper substitute for the 
FCC's compliance with the Council's rules, in accordance and consistent 
with Section 106 of the National Historic Preservation Act and its 
implementing regulations found at 36 CFR part 800; and,
    WHEREAS, the FCC sought comment from Indian tribes and Native 
Hawaiian Organizations regarding the terms of this amendment to the 
Collocation Agreement by letters dated April 17, 2015, July 28, 2015, 
and May 12, 2016, as well as during face-to-face meetings and conference 
calls, including during the Section 106 Summit in conjunction with the 
2015 annual conference of the National Association of Tribal Historic 
Preservation Officers (NATHPO); and,
    WHEREAS, the terms of this amendment to the Collocation Agreement do 
not apply on ``tribal lands'' as defined under Section 800.16(x) of the 
Council's regulations, 36 CFR 800.16(x) (``Tribal lands means all lands 
within the exterior boundaries of any Indian reservation and all 
dependent Indian communities.''); and,

[[Page 478]]

    WHEREAS, the terms of this amendment to the Collocation Agreement do 
not preclude Indian tribes or NHOs from consulting directly with the FCC 
or its licensees, tower companies and applicants for antenna licenses 
when collocation activities off tribal lands may affect historic 
properties of religious and cultural significance to Indian tribes or 
NHOs; and,
    WHEREAS, the execution and implementation of this amendment to the 
Collocation Agreement will not preclude members of the public from 
filing complaints with the FCC or the Council regarding adverse effects 
on historic properties from any existing tower or any activity covered 
under the terms of this Collocation Agreement;
    NOW THEREFORE, in accordance with Stipulation XI (as renumbered by 
this amendment), the FCC, the Council, and NCSHPO agree to amend the 
Collocation Agreement to read as follows:

                    NATIONWIDE PROGRAMMATIC AGREEMENT

                For the COLLOCATION OF WIRELESS ANTENNAS

    Executed by The FEDERAL COMMUNICATIONS COMMISSION, The NATIONAL 
  CONFERENCE OF STATE HISTORIC PRESERVATION OFFICERS and The ADVISORY 
                    COUNCIL ON HISTORIC PRESERVATION

    WHEREAS, the Federal Communications Commission (FCC) establishes 
rules and procedures for the licensing of wireless communications 
facilities in the United States and its Possessions and Territories; 
and,
    WHEREAS, the FCC has largely deregulated the review of applications 
for the construction of individual wireless communications facilities 
and, under this framework, applicants are required to prepare an 
Environmental Assessment (EA) in cases where the applicant determines 
that the proposed facility falls within one of certain environmental 
categories described in the FCC's rules (47 CFR 1.1307), including 
situations which may affect historical sites listed or eligible for 
listing in the National Register of Historic Places (``National 
Register''); and,
    WHEREAS, Section 106 of the National Historic Preservation Act (54 
U.S.C. 300101 et seq.) (``the Act'') requires federal agencies to take 
into account the effects of their undertakings on historic properties 
and to afford the Advisory Council on Historic Preservation (Council) a 
reasonable opportunity to comment; and,
    WHEREAS, Section 800.14(b) of the Council's regulations, 
``Protection of Historic Properties'' (36 CFR 800.14(b)), allows for 
programmatic agreements to streamline and tailor the Section 106 review 
process to particular federal programs; and,
    WHEREAS, in August 2000, the Council established a 
Telecommunications Working Group to provide a forum for the FCC, 
Industry representatives, State Historic Preservation Officers (SHPOs) 
and Tribal Historic Preservation Officers (THPOs), and the Council to 
discuss improved coordination of Section 106 compliance regarding 
wireless communications projects affecting historic properties; and,
    WHEREAS, the FCC, the Council and the Working Group have developed 
this Collocation Programmatic Agreement in accordance with 36 CFR 
Section 800.14(b) to address the Section 106 review process as it 
applies to the collocation of antennas (collocation being defined in 
Stipulation I.B below); and,
    WHEREAS, the FCC encourages collocation of antennas where 
technically and economically feasible, in order to reduce the need for 
new tower construction; and,
    WHEREAS, the parties hereto agree that the effects on historic 
properties of collocations of antennas on towers, buildings and 
structures are likely to be minimal and not adverse, and that in the 
cases where an adverse effect might occur, the procedures provided and 
referred to herein are proper and sufficient, consistent with Section 
106, to assure that the FCC will take such effects into account; and,
    WHEREAS, the execution of this Nationwide Collocation Programmatic 
Agreement will streamline the Section 106 review of collocation 
proposals and thereby reduce the need for the construction of new 
towers, thereby reducing potential effects on historic properties that 
would otherwise result from the construction of those unnecessary new 
towers; and,
    WHEREAS, the FCC and the Council have agreed that these measures 
should be incorporated into a Nationwide Programmatic Agreement to 
better manage the Section 106 consultation process and streamline 
reviews for collocation of antennas; and,
    WHEREAS, since collocations reduce both the need for new tower 
construction and the potential for adverse effects on historic 
properties, the parties hereto agree that the terms of this Agreement 
should be interpreted and implemented wherever possible in ways that 
encourage collocation; and,
    WHEREAS, the parties hereto agree that the procedures described in 
this Agreement are, with regard to collocations as defined herein, a 
proper substitute for the FCC's compliance with the Council's rules, in 
accordance and consistent with Section 106 of the National Historic 
Preservation Act and its implementing regulations found at 36 CFR part 
800; and,
    WHEREAS, the FCC has consulted with the National Conference of State 
Historic Preservation Officers (NCSHPO) and requested the President of 
NCSHPO to sign this Nationwide Collocation Programmatic

[[Page 479]]

Agreement in accordance with 36 CFR Section 800.14(b)(2)(iii); and,
    WHEREAS, the FCC sought comment from Indian tribes and Native 
Hawaiian Organizations (NHOs) regarding the terms of this Nationwide 
Programmatic Agreement by letters of January 11, 2001 and February 8, 
2001; and,
    WHEREAS, the terms of this Programmatic Agreement do not apply on 
``tribal lands'' as defined under Section 800.16(x) of the Council's 
regulations, 36 CFR 800.16(x) (``Tribal lands means all lands within the 
exterior boundaries of any Indian reservation and all dependent Indian 
communities.''); and,
    WHEREAS, the terms of this Programmatic Agreement do not preclude 
Indian tribes or Native Hawaiian Organizations from consulting directly 
with the FCC or its licensees, tower companies and applicants for 
antenna licenses when collocation activities off tribal lands may affect 
historic properties of religious and cultural significance to Indian 
tribes or Native Hawaiian organizations; and,
    WHEREAS, the execution and implementation of this Nationwide 
Collocation Programmatic Agreement will not preclude Indian tribes or 
NHOs, SHPO/THPOs, local governments, or members of the public from 
filing complaints with the FCC or the Council regarding adverse effects 
on historic properties from any existing tower or any activity covered 
under the terms of this Programmatic Agreement.
    NOW THEREFORE, the FCC, the Council, and NCSHPO agree that the FCC 
will meet its Section 106 compliance responsibilities for the 
collocation of antennas as follows.

                              STIPULATIONS

    The FCC, in coordination with licensees, tower companies, applicants 
for antenna licenses, and others deemed appropriate by the FCC, will 
ensure that the following measures are carried out.

                             I. DEFINITIONS

    For purposes of this Nationwide Programmatic Agreement, the 
following definitions apply.
    A. ``Antenna'' means an apparatus designed for the purpose of 
emitting radio frequency (``RF'') radiation, to be operated or operating 
from a fixed location pursuant to FCC authorization, for the 
transmission of writing, signs, signals, data, images, pictures, and 
sounds of all kinds, including the transmitting device and any on-site 
equipment, switches, wiring, cabling, power sources, shelters or 
cabinets associated with that antenna and added to a Tower, structure, 
or building as part of the original installation of the antenna. For 
purposes of this Agreement, the term Antenna does not include 
unintentional radiators, mobile stations, or devices authorized under 
Part 15 of the FCC's rules.
    B. ``Collocation'' means the mounting or installation of an antenna 
on an existing tower, building or structure for the purpose of 
transmitting and/or receiving radio frequency signals for communications 
purposes, whether or not there is an existing antenna on the structure.
    C. ``NPA'' is the Nationwide Programmatic Agreement Regarding the 
Section 106 National Historic Preservation Act Review Process (47 CFR 
part 1, App. C).
    D. ``Tower'' is any structure built for the sole or primary purpose 
of supporting FCC-licensed antennas and their associated facilities.
    E. ``Substantial increase in the size of the tower'' means:
    1) The mounting of the proposed antenna on the tower would increase 
the existing height of the tower by more than 10%, or by the height of 
one additional antenna array with separation from the nearest existing 
antenna not to exceed twenty feet, whichever is greater, except that the 
mounting of the proposed antenna may exceed the size limits set forth in 
this paragraph if necessary to avoid interference with existing 
antennas; or
    2) The mounting of the proposed antenna would involve the 
installation of more than the standard number of new equipment cabinets 
for the technology involved, not to exceed four, or more than one new 
equipment shelter; or
    3) The mounting of the proposed antenna would involve adding an 
appurtenance to the body of the tower that would protrude from the edge 
of the tower more than twenty feet, or more than the width of the tower 
structure at the level of the appurtenance, whichever is greater, except 
that the mounting of the proposed antenna may exceed the size limits set 
forth in this paragraph if necessary to shelter the antenna from 
inclement weather or to connect the antenna to the tower via cable; or
    4) The mounting of the proposed antenna would involve excavation 
outside the current tower site, defined as the current boundaries of the 
leased or owned property surrounding the tower and any access or utility 
easements currently related to the site.

                            II. APPLICABILITY

    A. This Nationwide Collocation Programmatic Agreement applies only 
to the collocation of antennas as defined in Stipulations I.A and I.B, 
above.
    B. This Nationwide Collocation Programmatic Agreement does not cover 
any Section 106 responsibilities that federal agencies other than the 
FCC may have with regard to the collocation of antennas.

[[Page 480]]

 III. COLLOCATION OF ANTENNAS ON TOWERS CONSTRUCTED ON OR BEFORE MARCH 
                                16, 2001

    A. An antenna may be mounted on an existing tower constructed on or 
before March 16, 2001 without such collocation being reviewed through 
the Section 106 process set forth in the NPA, unless:
    1. The mounting of the antenna will result in a substantial increase 
in the size of the tower as defined in Stipulation I.E, above; or,
    2. The tower has been determined by the FCC to have an adverse 
effect on one or more historic properties, where such effect has not 
been avoided or mitigated through a conditional no adverse effect 
determination, a Memorandum of Agreement, a programmatic agreement, or a 
finding of compliance with Section 106 and the NPA; or,
    3. The tower is the subject of a pending environmental review or 
related proceeding before the FCC involving compliance with Section 106 
of the National Historic Preservation Act; or,
    4. The collocation licensee or the owner of the tower has received 
written or electronic notification that the FCC is in receipt of a 
complaint from a member of the public, an Indian Tribe, a SHPO or the 
Council, that the collocation has an adverse effect on one or more 
historic properties. Any such complaint must be in writing and supported 
by substantial evidence describing how the effect from the collocation 
is adverse to the attributes that qualify any affected historic property 
for eligibility or potential eligibility for the National Register.

 IV. COLLOCATION OF ANTENNAS ON TOWERS CONSTRUCTED AFTER MARCH 16, 2001

    A. An antenna may be mounted on an existing tower constructed after 
March 16, 2001 without such collocation being reviewed through the 
Section 106 process set forth in the NPA, unless:
    1. The Section 106 review process for the existing tower set forth 
in 36 CFR part 800 (including any applicable program alternative 
approved by the Council pursuant to 36 CFR 800.14) and any associated 
environmental reviews required by the FCC have not been completed; or,
    2. The mounting of the new antenna will result in a substantial 
increase in the size of the tower as defined in Stipulation I.E, above; 
or,
    3. The tower as built or proposed has been determined by the FCC to 
have an adverse effect on one or more historic properties, where such 
effect has not been avoided or mitigated through a conditional no 
adverse effect determination, a Memorandum of Agreement, a Programmatic 
Agreement, or otherwise in compliance with Section 106 and the NPA; or,
    4. The collocation licensee or the owner of the tower has received 
written or electronic notification that the FCC is in receipt of a 
complaint from a member of the public, an Indian Tribe, a SHPO or the 
Council, that the collocation has an adverse effect on one or more 
historic properties. Any such complaint must be in writing and supported 
by substantial evidence describing how the effect from the collocation 
is adverse to the attributes that qualify any affected historic property 
for eligibility or potential eligibility for the National Register.

    V. COLLOCATION OF ANTENNAS ON BUILDINGS AND NON-TOWER STRUCTURES

    A. An antenna may be mounted on a building or non-tower structure 
without such collocation being reviewed through the Section 106 process 
set forth in the NPA, unless:
    1. The building or structure is over 45 years old, and the 
collocation does not meet the criteria established in Stipulation VI 
herein for collocations of small antennas; \1\ or,
---------------------------------------------------------------------------

    \1\ For purposes of this Agreement, suitable methods for determining 
the age of a building or structure include, but are not limited to: (1) 
Obtaining the opinion of a consultant who meets the Secretary of 
Interior's Professional Qualifications Standards for Historian or for 
Architectural Historian (36 CFR part 61); or (2) consulting public 
records.
---------------------------------------------------------------------------

    2. The building or structure is inside the boundary of a historic 
district, or if the antenna is visible from the ground level of a 
historic district, the building or structure is within 250 feet of the 
boundary of the historic district, and the collocation does not meet the 
criteria established in Stipulation VII herein for collocations of small 
or minimally visible antennas; or,
    3. The building or non-tower structure is a designated National 
Historic Landmark, or listed in or eligible for listing in the National 
Register of Historic Places based upon the review of the FCC, licensee, 
tower company or applicant for an antenna license, and the collocation 
does not meet the criteria established in Stipulation VII herein for 
collocations of small or minimally visible antennas; or,
    4. The collocation licensee or the owner of the building or non-
tower structure has received written or electronic notification that the 
FCC is in receipt of a complaint from a member of the public, an Indian 
Tribe, a SHPO or the Council, that the collocation has an adverse effect 
on one or more historic properties. Any such complaint must be in 
writing and supported by substantial evidence describing how the effect 
from the collocation is adverse to the attributes that

[[Page 481]]

qualify any affected historic property for eligibility or potential 
eligibility for the National Register.
    B. An antenna (including associated equipment included in the 
definition of Antenna in Stipulation I.A.) may be mounted in the 
interior of a building, regardless of the building's age or location in 
a historic district and regardless of the antenna's size, without such 
collocation being reviewed through the Section 106 process set forth in 
the NPA, unless:
    1) The building is a designated National Historic Landmark, or 
listed in or eligible for listing in the National Register of Historic 
Places; or,
    2) The collocation licensee or the owner of the building has 
received written or electronic notification that the FCC is in receipt 
of a complaint from a member of the public, an Indian Tribe, a SHPO or 
the Council, that the collocation has an adverse effect on one or more 
historic properties. Any such complaint must be in writing and supported 
by substantial evidence describing how the effect from the collocation 
is adverse to the attributes that qualify any affected historic property 
for eligibility or potential eligibility for the National Register.
    C. Subsequent to the collocation of an antenna, should the SHPO/THPO 
or Council determine that the collocation of the antenna or its 
associated equipment installed under the terms of Stipulation V has 
resulted in an adverse effect on historic properties, the SHPO/THPO or 
Council may notify the FCC accordingly. The FCC shall comply with the 
requirements of Section 106 and the NPA for this particular collocation.

VI. ADDITIONAL EXCLUSION FOR COLLOCATION OF SMALL WIRELESS ANTENNAS AND 
   ASSOCIATED EQUIPMENT ON BUILDING AND NON-TOWER STRUCTURES THAT ARE 
      OUTSIDE OF HISTORIC DISTRICTS AND ARE NOT HISTORIC PROPERTIES

    A. A small wireless antenna (including associated equipment included 
in the definition of Antenna in Stipulation I.A.) may be mounted on an 
existing building or non-tower structure or in the interior of a 
building regardless of the building's or structure's age without such 
collocation being reviewed through the Section 106 process set forth in 
the NPA unless:
    1. The building or structure is inside the boundary of a historic 
district, or if the antenna is visible from the ground level of a 
historic district, the building or structure is within 250 feet of the 
boundary of the historic district, and the collocation does not meet the 
criteria established in Stipulation VII herein for collocations of small 
or minimally visible antennas; or,
    2. The building or non-tower structure is a designated National 
Historic Landmark; or,
    3. The building or non-tower structure is listed in or eligible for 
listing in the National Register of Historic Places, and the collocation 
does not meet the criteria established in Stipulation VII herein for 
collocations of small or minimally visible antennas; or,
    4. The collocation licensee or the owner of the building or non-
tower structure has received written or electronic notification that the 
FCC is in receipt of a complaint from a member of the public, an Indian 
Tribe, a SHPO or the Council, that the collocation has an adverse effect 
on one or more historic properties. Any such complaint must be in 
writing and supported by substantial evidence describing how the effect 
from the collocation is adverse to the attributes that qualify any 
affected historic property for eligibility or potential eligibility for 
the National Register; or,
    5. The antennas and associated equipment exceed the volume limits 
specified below:
    a. Each individual antenna, excluding the associated equipment (as 
defined in the definition of Antenna in Stipulation I.A.), that is part 
of the collocation must fit within an enclosure (or if the antenna is 
exposed, within an imaginary enclosure, i.e., one that would be the 
correct size to contain the equipment) that is individually no more than 
three cubic feet in volume, and all antennas on the structure, including 
any pre-existing antennas on the structure, must in aggregate fit within 
enclosures (or if the antennas are exposed, within imaginary enclosures, 
i.e., ones that would be the correct size to contain the equipment) that 
total no more than six cubic feet in volume; and,
    b. All other wireless equipment associated with the structure, 
including pre-existing enclosures and including equipment on the ground 
associated with antennas on the structure, but excluding cable runs for 
the connection of power and other services, may not cumulatively exceed:
    i. 28 cubic feet for collocations on all non-pole structures 
(including but not limited to buildings and water tanks) that can 
support fewer than 3 providers; or,
    ii. 21 cubic feet for collocations on all pole structures (including 
but not limited to light poles, traffic signal poles, and utility poles) 
that can support fewer than 3 providers; or,
    iii. 35 cubic feet for non-pole collocations that can support at 
least 3 providers; or,
    iv. 28 cubic feet for pole collocations that can support at least 3 
providers; or,
    6. The depth and width of any proposed ground disturbance associated 
with the collocation exceeds the depth and width of any previous ground 
disturbance (including footings and other anchoring mechanisms). Up to 
four lightning grounding rods of no more than three-quarters of an inch 
in diameter may be installed per project regardless of the extent of 
previous ground disturbance.

[[Page 482]]

    B. The volume of any deployed equipment that is not visible from 
public spaces at the ground level from 250 feet or less may be omitted 
from the calculation of volumetric limits cited in this Section.
    C. Subsequent to the collocation of an antenna, should the SHPO/THPO 
or Council determine that the collocation of the antenna or its 
associated equipment installed under the terms of Stipulation VI has 
resulted in an adverse effect on historic properties, the SHPO/THPO or 
Council may notify the FCC accordingly. The FCC shall comply with the 
requirements of Section 106 and the NPA for this particular collocation.

VII. ADDITIONAL EXCLUSIONS FOR COLLOCATION OF SMALL OR MINIMALLY VISIBLE 
 WIRELESS ANTENNAS AND ASSOCIATED EQUIPMENT IN HISTORIC DISTRICTS OR ON 
                           HISTORIC PROPERTIES

    A. A small antenna (including associated equipment included in the 
definition of Antenna in Stipulation I.A.) may be mounted on a building 
or non-tower structure or in the interior of a building that is (1) a 
historic property (including a property listed in or eligible for 
listing in the National Register of Historic Places) or (2) inside or 
within 250 feet of the boundary of a historic district without being 
reviewed through the Section 106 process set forth in the NPA, provided 
that:
    1. The property on which the equipment will be deployed is not a 
designated National Historic Landmark.
    2. The antenna or antenna enclosure (including any existing 
antenna), excluding associated equipment, is the only equipment that is 
visible from the ground level, or from public spaces within the building 
(if the antenna is mounted in the interior of a building), and provided 
that the following conditions are met:
    a. No other antennas on the building or non-tower structure are 
visible from the ground level, or from public spaces within the building 
(for an antenna mounted in the interior of a building);
    b. The antenna that is part of the collocation fits within an 
enclosure (or if the antenna is exposed, within an imaginary enclosure 
i.e., one that would be the correct size to contain the equipment) that 
is no more than three cubic feet in volume; and,
    c. The antenna is installed using stealth techniques that match or 
complement the structure on which or within which it is deployed;
    3. The antenna's associated equipment is not visible from:
    a. The ground level anywhere in a historic district (if the antenna 
is located inside or within 250 feet of the boundary of a historic 
district); or,
    b. Immediately adjacent streets or public spaces at ground level (if 
the antenna is on a historic property that is not in a historic 
district); or,
    c. Public spaces within the building (if the antenna is mounted in 
the interior of a building).
    4. The facilities (including antenna(s) and associated equipment 
identified in the definition of Antenna in Stipulation I.A.) are 
installed in a way that does not damage historic materials and permits 
removal of such facilities without damaging historic materials;
    5. The depth and width of any proposed ground disturbance associated 
with the collocation does not exceed the depth and width of any previous 
ground disturbance (including footings and other anchoring mechanisms). 
Up to four lightning grounding rods of no more than three-quarters of an 
inch in diameter may be installed per project, regardless of the extent 
of previous ground disturbance; and
    6. The collocation licensee or the owner of the building or non-
tower structure has not received written or electronic notification that 
the FCC is in receipt of a complaint from a member of the public, an 
Indian Tribe, a SHPO or the Council, that the collocation has an adverse 
effect on one or more historic properties. Any such complaint must be in 
writing and supported by substantial evidence describing how the effect 
from the collocation is adverse to the attributes that qualify any 
affected historic property for eligibility or potential eligibility for 
the National Register.
    B. A small antenna (including associated equipment included in the 
definition of Antenna in Stipulation I.A.) may be mounted on a utility 
pole or electric transmission tower (but not including light poles, lamp 
posts, and other structures whose primary purpose is to provide public 
lighting) that is in active use by a utility company (as defined in 
Section 224 of the Communications Act) or by a cooperatively-owned, 
municipal, or other governmental agency and is either: (1) A historic 
property (including a property listed in or eligible for listing in the 
National Register of Historic Places); (2) located on a historic 
property (including a property listed in or eligible for listing in the 
National Register of Historic Places); or (3) located inside or within 
250 feet of the boundary of a historic district, without being reviewed 
through the Section 106 process set forth in the NPA, provided that:
    1. The utility pole or electric transmission tower on which the 
equipment will be deployed is not located on a designated National 
Historic Landmark;
    2. The antenna, excluding the associated equipment, fits within an 
enclosure (or if the antenna is exposed, within an imaginary enclosure, 
i.e., one that would be the correct

[[Page 483]]

size to contain the equipment) that is no more than three cubic feet in 
volume, with a cumulative limit of 6 cubic feet if there is more than 
one antenna/antenna enclosure on the structure;
    3. The wireless equipment associated with the antenna and any pre-
existing antennas and associated equipment on the structure, but 
excluding cable runs for the connection of power and other services, are 
cumulatively no more than 21 cubic feet in volume;
    4. The depth and width of any proposed ground disturbance associated 
with the collocation does not exceed the depth and width of any previous 
ground disturbance (including footings and other anchoring mechanisms). 
Up to four lightning grounding rods of no more than three-quarters of an 
inch in diameter may be installed per project, regardless of the extent 
of previous ground disturbance; and
    5. The collocation licensee or the owner of the utility pole or 
electric transmission tower has not received written or electronic 
notification that the FCC is in receipt of a complaint from a member of 
the public, an Indian Tribe, a SHPO or the Council, that the collocation 
has an adverse effect on one or more historic properties. Any such 
complaint must be in writing and supported by substantial evidence 
describing how the effect from the collocation is adverse to the 
attributes that qualify any affected historic property for eligibility 
or potential eligibility for the National Register.
    C. Proposals to mount a small antenna on a traffic control structure 
(i.e., traffic light) or on a light pole, lamp post or other structure 
whose primary purpose is to provide public lighting, where the structure 
is located inside or within 250 feet of the boundary of a historic 
district, are generally subject to review through the Section 106 
process set forth in the NPA. These proposed collocations will be 
excluded from such review on a case-by-case basis, if (1) the 
collocation licensee or the owner of the structure has not received 
written or electronic notification that the FCC is in receipt of a 
complaint from a member of the public, an Indian Tribe, a SHPO or the 
Council, that the collocation has an adverse effect on one or more 
historic properties; and (2) the structure is not historic (not a 
designated National Historic Landmark or a property listed in or 
eligible for listing in the National Register of Historic Places) or 
considered a contributing or compatible element within the historic 
district, under the following procedures:
    1. The applicant must request in writing that the SHPO concur with 
the applicant's determination that the structure is not a contributing 
or compatible element within the historic district.
    2. The applicant's written request must specify the traffic control 
structure, light pole, or lamp post on which the applicant proposes to 
collocate and explain why the structure is not a contributing element 
based on the age and type of structure, as well as other relevant 
factors.
    3. The SHPO has thirty days from its receipt of such written notice 
to inform the applicant whether it disagrees with the applicant's 
determination that the structure is not a contributing or compatible 
element within the historic district.
    4. If within the thirty-day period, the SHPO informs the applicant 
that the structure is a contributing element or compatible element 
within the historic district or that the applicant has not provided 
sufficient information for a determination, the applicant may not deploy 
its facilities on that structure without completing the Section 106 
review process.
    5. If, within the thirty day period, the SHPO either informs the 
applicant that the structure is not a contributing or compatible element 
within the historic district, or the SHPO fails to respond to the 
applicant within the thirty-day period, the applicant has no further 
Section 106 review obligations, provided that the collocation meets the 
following requirements:
    a. The antenna, excluding the associated equipment, fits within an 
enclosure (or if the antenna is exposed, within an imaginary enclosure, 
i.e., one that would be the correct size to contain the equipment) that 
is no more than three cubic feet in volume, with a cumulative limit of 6 
cubic feet if there is more than one antenna/antenna enclosure on the 
structure;
    b. The wireless equipment associated with the antenna and any pre-
existing antennas and associated equipment on the structure, but 
excluding cable runs for the connection of power and other services, are 
cumulatively no more than 21 cubic feet in volume; and,
    c. The depth and width of any proposed ground disturbance associated 
with the collocation does not exceed the depth and width of any previous 
ground disturbance (including footings and other anchoring mechanisms). 
Up to four lightning grounding rods of no more than three-quarters of an 
inch in diameter may be installed per project, regardless of the extent 
of previous ground disturbance.
    D. A small antenna mounted inside a building or non-tower structure 
and subject to the provisions of this Stipulation VII is to be installed 
in a way that does not damage historic materials and permits removal of 
such facilities without damaging historic materials.
    E. Subsequent to the collocation of an antenna, should the SHPO/THPO 
or Council determine that the collocation of the antenna or its 
associated equipment installed under the terms of Stipulation VII has 
resulted in

[[Page 484]]

an adverse effect on historic properties, the SHPO/THPO or Council may 
notify the FCC accordingly. The FCC shall comply with the requirements 
of Section 106 and the NPA for this particular collocation.

 VIII. REPLACEMENTS ON SMALL WIRELESS ANTENNAS AND ASSOCIATED EQUIPMENT

    A. An existing small antenna that is mounted on a building or non-
tower structure or in the interior of a building that is (1) a historic 
property (including a designated National Historic Landmark or a 
property listed in or eligible for listing in the National Register of 
Historic Places); (2) inside or within 250 feet of the boundary of a 
historic district; or (3) located on or inside a building or non-tower 
structure that is over 45 years of age, regardless of visibility, may be 
replaced without being reviewed through the Section 106 process set 
forth in the NPA, provided that:
    1. The antenna deployment being replaced has undergone Section 106 
review, unless either (a) such review was not required at the time that 
the antenna being replaced was installed, or (b) for deployments on 
towers, review is not required pursuant to Stipulation III above.
    2. The facility is a replacement for an existing facility, and it 
does not exceed the greater of:
    a. The size of the existing antenna/antenna enclosure and associated 
equipment that is being replaced; or,
    b. The following limits for the antenna and its associated 
equipment:
    i. The antenna, excluding the associated equipment, fits within an 
enclosure (or if the antenna is exposed, within an imaginary enclosure, 
i.e., one that would be the correct size to contain the equipment) that 
is no more than three cubic feet in volume, with a cumulative limit of 6 
cubic feet if there is more than one antenna/antenna enclosure on the 
structure; and,
    ii. The wireless equipment associated with the antenna and any pre-
existing antennas and associated equipment on the structure, but 
excluding cable runs for the connection of power and other services, are 
cumulatively no more than 21 cubic feet in volume; and,
    3. The replacement of the facilities (including antenna(s) and 
associated equipment as defined in Stipulation I.A.) does not damage 
historic materials and permits removal of such facilities without 
damaging historic materials; and,
    4. The depth and width of any proposed ground disturbance associated 
with the collocation does not exceed the depth and width of any previous 
ground disturbance (including footings and other anchoring mechanisms). 
Up to four lightning grounding rods of no more than three-quarters of an 
inch in diameter may be installed per project, regardless of the extent 
of previous ground disturbance.
    B. A small antenna mounted inside a building or non-tower structure 
and subject to the provisions of this Stipulation VIII is to be 
installed in a way that does not damage historic materials and permits 
removal of such facilities without damaging historic materials.

                        IX. RESERVATION OF RIGHTS

    Neither execution of this Agreement, nor implementation of or 
compliance with any term herein shall operate in any way as a waiver by 
any party hereto, or by any person or entity complying herewith or 
affected hereby, of a right to assert in any court of law any claim, 
argument or defense regarding the validity or interpretation of any 
provision of the National Historic Preservation Act (54 U.S.C. 300101 et 
seq.) or its implementing regulations contained in 36 CFR part 800.

                              X. MONITORING

    A. FCC licensees shall retain records of the placement of all 
licensed antennas, including collocations subject to this Nationwide 
Programmatic Agreement, consistent with FCC rules and procedures.
    B. The Council will forward to the FCC and the relevant SHPO any 
written objections it receives from members of the public regarding a 
collocation activity or general compliance with the provisions of this 
Nationwide Programmatic Agreement within thirty (30) days following 
receipt of the written objection. The FCC will forward a copy of the 
written objection to the appropriate licensee or tower owner.
    C. Any member of the public may notify the FCC of concerns it has 
regarding the application of this Programmatic Agreement within a State 
or with regard to the review of individual undertakings covered or 
excluded under the terms of this Agreement. Comments shall be directed 
to the FCC's Federal Preservation Officer. The FCC will consider public 
comments and, following consultation with the SHPO, potentially affected 
Tribes, or the Council, as appropriate, take appropriate actions. The 
FCC shall notify the objector of the outcome of its actions.

                             XI. AMENDMENTS

    If any signatory to this Nationwide Collocation Programmatic 
Agreement believes that this Agreement should be amended, that signatory 
may at any time propose amendments, whereupon the signatories will 
consult to consider the amendments. This agreement may be amended only 
upon the written concurrence of the signatories.

[[Page 485]]

                            XII. TERMINATION

    A. If the FCC determines, or if NCSHPO determines on behalf of its 
members, that it or they cannot implement the terms of this Nationwide 
Collocation Programmatic Agreement, or if the FCC, NCSHPO or the Council 
determines that the Programmatic Agreement is not being properly 
implemented or that the spirit of Section 106 is not being met by the 
parties to this Programmatic Agreement, the FCC, NCSHPO or the Council 
may propose to the other signatories that the Programmatic Agreement be 
terminated.
    B. The party proposing to terminate the Programmatic Agreement shall 
notify the other signatories in writing, explaining the reasons for the 
proposed termination and the particulars of the asserted improper 
implementation. Such party also shall afford the other signatories a 
reasonable period of time of no less than thirty (30) days to consult 
and remedy the problems resulting in improper implementation. Upon 
receipt of such notice, the parties shall consult with each other and 
notify and consult with other entities that either are involved in such 
implementation or would be substantially affected by termination of this 
Agreement, and seek alternatives to termination. Should the consultation 
fail to produce within the original remedy period or any extension a 
reasonable alternative to termination, a resolution of the stated 
problems, or convincing evidence of substantial implementation of this 
Agreement in accordance with its terms, this Programmatic Agreement 
shall be terminated thirty days after notice of termination is served on 
all parties and published in the Federal Register.
    C. In the event that the Programmatic Agreement is terminated, the 
FCC shall advise its licensees and tower owner and management companies 
of the termination and of the need to comply with any applicable Section 
106 requirements on a case-by-case basis for collocation activities.

                 XIII. ANNUAL MEETING OF THE SIGNATORIES

    The signatories to this Nationwide Collocation Programmatic 
Agreement will meet annually on or about the anniversary of the 
effective date of the NPA to discuss the effectiveness of this Agreement 
and the NPA, including any issues related to improper implementation, 
and to discuss any potential amendments that would improve the 
effectiveness of this Agreement.

               XIV. DURATION OF THE PROGRAMMATIC AGREEMENT

    This Programmatic Agreement for collocation shall remain in force 
unless the Programmatic Agreement is terminated or superseded by a 
comprehensive Programmatic Agreement for wireless communications 
antennas.
    Execution of this Nationwide Programmatic Agreement by the FCC, 
NCSHPO and the Council, and implementation of its terms, constitutes 
evidence that the FCC has afforded the Council an opportunity to comment 
on the collocation as described herein of antennas covered under the 
FCC's rules, and that the FCC has taken into account the effects of 
these collocations on historic properties in accordance with Section 106 
of the National Historic Preservation Act and its implementing 
regulations, 36 CFR part 800.

FEDERAL COMMUNICATIONS COMMISSION
________________________________________________________________________

 Date:__________________________________________________________________

NATIONAL CONFERENCE OF STATE HISTORIC PRESERVATION OFFICERS
________________________________________________________________________

 Date:__________________________________________________________________

ADVISORY COUNCIL ON HISTORIC PRESERVATION
________________________________________________________________________

 Date:__________________________________________________________________

[81 FR 59148, Aug. 29, 2016]



 Sec. Appendix C to Part 1--Nationwide Programmatic Agreement Regarding 
    the Section 106 National Historic Preservation Act Review Process

  Nationwide Programmatic Agreement for Review of Effects on Historic 
      Properties for Certain Undertakings Approved by the Federal 
                        Communications Commission

    Executed by the Federal Communications Commission, the National 
  Conference of State Historic Preservation Officers and the Advisory 
                    Council on Historic Preservation

                             September 2004

                              Introduction

    Whereas, Section 106 of the National Historic Preservation Act of 
1966, as amended (``NHPA'') (codified at 16 U.S.C. 470f), requires 
federal agencies to take into account the effects of certain of their 
Undertakings on Historic Properties (see Section II, below), included in 
or eligible for inclusion in the National Register of Historic Places 
(``National Register''), and to afford the Advisory Council on Historic 
Preservation (``Council'') a reasonable opportunity to comment with 
regard to such Undertakings; and
    Whereas, under the authority granted by Congress in the 
Communications Act of 1934, as amended (47 U.S.C. 151 et seq.), the 
Federal

[[Page 486]]

Communications Commission (``Commission'') establishes rules and 
procedures for the licensing of non-federal government communications 
services, and the registration of certain antenna structures in the 
United States and its Possessions and Territories; and
    Whereas, Congress and the Commission have deregulated or streamlined 
the application process regarding the construction of individual 
Facilities in many of the Commission's licensed services; and
    Whereas, under the framework established in the Commission's 
environmental rules, 47 CFR 1.1301-1.1319, Commission licensees and 
applicants for authorizations and antenna structure registrations are 
required to prepare, and the Commission is required to independently 
review and approve, a pre-construction Environmental Assessment (``EA'') 
in cases where a proposed tower or antenna may significantly affect the 
environment, including situations where a proposed tower or antenna may 
affect Historic Properties that are either listed in or eligible for 
listing in the National Register, including properties of religious and 
cultural importance to an Indian tribe or Native Hawaiian organization 
(``NHO'') that meet the National Register criteria; and
    Whereas, the Council has adopted rules implementing Section 106 of 
the NHPA (codified at 36 CFR Part 800) and setting forth the process, 
called the ``Section 106 process,'' for complying with the NHPA; and
    Whereas, pursuant to the Commission's rules and the terms of this 
Nationwide Programmatic Agreement for Review of Effects on Historic 
Properties for Certain Undertakings Approved by the Federal 
Communications Commission (``Nationwide Agreement''), Applicants (see 
Section II.A.2) have been authorized, consistent with the terms of the 
memorandum from the Council to the Commission, titled ``Delegation of 
Authority for the Section 106 Review of Telecommunications Projects,'' 
dated September 21, 2000, to initiate, coordinate, and assist the 
Commission with compliance with many aspects of the Section 106 review 
process for their Facilities; and
    Whereas, in August 2000, the Council established a 
Telecommunications Working Group (the ``Working Group'') to provide a 
forum for the Commission, the Council, the National Conference of State 
Historic Preservation Officers (``Conference''), individual State 
Historic Preservation Officers (``SHPOs''), Tribal Historic Preservation 
Officers (``THPOs''), other tribal representatives, communications 
industry representatives, and other interested members of the public to 
discuss improved Section 106 compliance and to develop methods of 
streamlining the Section 106 review process; and
    Whereas, Section 214 of the NHPA (16 U.S.C. 470v) authorizes the 
Council to promulgate regulations implementing exclusions from Section 
106 review, and Section 800.14(b) of the Council's regulations (36 CFR 
800.14(b)) allows for programmatic agreements to streamline and tailor 
the Section 106 review process to particular federal programs, if they 
are consistent with the Council's regulations; and
    Whereas, the Commission, the Council, and the Conference executed on 
March 16, 2001, the Nationwide Programmatic Agreement for the 
Collocation of Wireless Antennas (the ``Collocation Agreement''), in 
order to streamline review for the collocation of antennas on existing 
towers and other structures and thereby reduce the need for the 
construction of new towers (Attachment 1 to this Nationwide Agreement); 
and
    Whereas, the Council, the Conference, and the Commission now agree 
it is desirable to further streamline and tailor the Section 106 review 
process for Facilities that are not excluded from Section 106 review 
under the Collocation Agreement while protecting Historic Properties 
that are either listed in or eligible for listing in the National 
Register; and
    Whereas, the Working Group agrees that a nationwide programmatic 
agreement is a desirable and effective way to further streamline and 
tailor the Section 106 review process as it applies to Facilities; and
    Whereas, this Nationwide Agreement will, upon its execution by the 
Council, the Conference, and the Commission, constitute a substitute for 
the Council's rules with respect to certain Commission Undertakings; and
    Whereas, the Commission sought public comment on a draft of this 
Nationwide Agreement through a Notice of Proposed Rulemaking released on 
June 9, 2003;
    Whereas, the Commission has actively sought and received 
participation and comment from Indian tribes and NHOs regarding this 
Nationwide Agreement; and
    Whereas, the Commission has consulted with federally recognized 
Indian tribes regarding this Nationwide Agreement (see Report and Order, 
FCC 04-222, at ] 31); and
    Whereas, this Nationwide Agreement provides for appropriate public 
notification and participation in connection with the Section 106 
process; and
    Whereas, Section 101(d)(6) of the NHPA provides that federal 
agencies ``shall consult with any Indian tribe or Native Hawaiian 
organization'' that attaches religious and cultural significance to 
properties of traditional religious and cultural importance that may be 
determined to be eligible for inclusion in the National Register and 
that might be affected by a federal undertaking (16 U.S.C. 470a(d)(6)); 
and
    Whereas, the Commission has adopted a ``Statement of Policy on 
Establishing a Government-to-Government Relationship with

[[Page 487]]

Indian Tribes'' dated June 23, 2000, pursuant to which the Commission: 
recognizes the unique legal relationship that exists between the federal 
government and Indian tribal governments, as reflected in the 
Constitution of the United States, treaties, federal statutes, Executive 
orders, and numerous court decisions; affirms the federal trust 
relationship with Indian tribes, and recognizes that this historic trust 
relationship requires the federal government to adhere to certain 
fiduciary standards in its dealings with Indian tribes; commits to 
working with Indian tribes on a government-to-government basis 
consistent with the principles of tribal self-governance; commits, in 
accordance with the federal government's trust responsibility, and to 
the extent practicable, to consult with tribal governments prior to 
implementing any regulatory action or policy that will significantly or 
uniquely affect tribal governments, their land and resources; strives to 
develop working relationships with tribal governments, and will endeavor 
to identify innovative mechanisms to facilitate tribal consultations in 
the Commission's regulatory processes; and endeavors to streamline its 
administrative process and procedures to remove undue burdens that its 
decisions and actions place on Indian tribes; and
    Whereas, the Commission does not delegate under this Programmatic 
Agreement any portion of its responsibilities to Indian tribes and NHOs, 
including its obligation to consult under Section 101(d)(6) of the NHPA; 
and
    Whereas, the terms of this Nationwide Agreement are consistent with 
and do not attempt to abrogate the rights of Indian tribes or NHOs to 
consult directly with the Commission regarding the construction of 
Facilities; and
    Whereas, the execution and implementation of this Nationwide 
Agreement will not preclude Indian tribes or NHOs, SHPO/THPOs, local 
governments, or members of the public from filing complaints with the 
Commission or the Council regarding effects on Historic Properties from 
any Facility or any activity covered under the terms of the Nationwide 
Agreement; and
    Whereas, Indian tribes and NHOs may request Council involvement in 
Section 106 cases that present issues of concern to Indian tribes or 
NHOs (see 36 CFR Part 800, Appendix A, Section (c)(4)); and
    Whereas, the Commission, after consulting with federally recognized 
Indian tribes, has developed an electronic Tower Construction 
Notification System through which Indian tribes and NHOs may voluntarily 
identify the geographic areas in which Historic Properties to which they 
attach religious and cultural significance may be located, Applicants 
may ascertain which participating Indian tribes and NHOs have identified 
such an interest in the geographic area in which they propose to 
construct Facilities, and Applicants may voluntarily provide electronic 
notification of proposed Facilities construction for the Commission to 
forward to participating Indian tribes, NHOs, and SHPOs/THPOs; and
    Whereas, the Council, the Conference and the Commission recognize 
that Applicants' use of qualified professionals experienced with the 
NHPA and Section 106 can streamline the review process and minimize 
potential delays; and
    Whereas, the Commission has created a position and hired a cultural 
resources professional to assist with the Section 106 process; and
    Whereas, upon execution of this Nationwide Agreement, the Council 
may still provide advisory comments to the Commission regarding the 
coordination of Section 106 reviews; notify the Commission of concerns 
raised by consulting parties and the public regarding an Undertaking; 
and participate in the resolution of adverse effects for complex, 
controversial, or other non-routine projects;
    Now Therefore, in consideration of the above provisions and of the 
covenants and agreements contained herein, the Council, the Conference 
and the Commission (the ``Parties'') agree as follows:

         I. Applicability and Scope of This Nationwide Agreement

    A. This Nationwide Agreement (1) Excludes from Section 106 review 
certain Undertakings involving the construction and modification of 
Facilities, and (2) streamlines and tailors the Section 106 review 
process for other Undertakings involving the construction and 
modification of Facilities. An illustrative list of Commission 
activities in relation to which Undertakings covered by this Agreement 
may occur is provided as Attachment 2 to this Agreement.
    B. This Nationwide Agreement applies only to federal Undertakings as 
determined by the Commission (``Undertakings''). The Commission has sole 
authority to determine what activities undertaken by the Commission or 
its Applicants constitute Undertakings within the meaning of the NHPA. 
Nothing in this Agreement shall preclude the Commission from revisiting 
or affect the existing ability of any person to challenge any prior 
determination of what does or does not constitute an Undertaking. 
Maintenance and servicing of Towers, Antennas, and associated equipment 
are not deemed to be Undertakings subject to Section 106 review.
    C. This Agreement does not apply to Antenna Collocations that are 
exempt from Section 106 review under the Collocation Agreement (see 
Attachment 1). Pursuant to the terms of the Collocation Agreement, such 
Collocations shall not be subject to the Section 106 review process and 
shall not be submitted to the SHPO/THPO for review. This Agreement does 
apply to collocations

[[Page 488]]

that are not exempt from Section 106 review under the Collocation 
Agreement.
    D. This Agreement does not apply on ``tribal lands'' as defined 
under Section 800.16(x) of the Council's regulations, 36 CFR Sec. 
800.16(x) (``Tribal lands means all lands within the exterior boundaries 
of any Indian reservation and all dependent Indian communities.''). This 
Nationwide Agreement, however, will apply on tribal lands should a 
tribe, pursuant to appropriate tribal procedures and upon reasonable 
notice to the Council, Commission, and appropriate SHPO/THPO, elect to 
adopt the provisions of this Nationwide Agreement. Where a tribe that 
has assumed SHPO functions pursuant to Section 101(d)(2) of the NHPA (16 
U.S.C. 470(d)(2)) has agreed to application of this Nationwide Agreement 
on tribal lands, the term SHPO/THPO denotes the Tribal Historic 
Preservation Officer with respect to review of proposed Undertakings on 
those tribal lands. Where a tribe that has not assumed SHPO functions 
has agreed to application of this Nationwide Agreement on tribal lands, 
the tribe may notify the Commission of the tribe's intention to perform 
the duties of a SHPO/THPO, as defined in this Nationwide Agreement, for 
proposed Undertakings on its tribal lands, and in such instances the 
term SHPO/THPO denotes both the State Historic Preservation Officer and 
the tribe's authorized representative. In all other instances, the term 
SHPO/THPO denotes the State Historic Preservation Officer.
    E. This Nationwide Agreement governs only review of Undertakings 
under Section 106 of the NHPA. Applicants completing the Section 106 
review process under the terms of this Nationwide Agreement may not 
initiate construction without completing any environmental review that 
is otherwise required for effects other than historic preservation under 
the Commission's rules (See 47 CFR 1.1301-1.1319). Completion of the 
Section 106 review process under this Nationwide Agreement satisfies an 
Applicant's obligations under the Commission's rules with respect to 
Historic Properties, except for Undertakings that have been determined 
to have an adverse effect on Historic Properties and that therefore 
require preparation and filing of an Environmental Assessment (See 47 
CFR 1.1307(a)(4)).
    F. This Nationwide Agreement does not govern any Section 106 
responsibilities that agencies other than the Commission may have with 
respect to those agencies' federal Undertakings.

                             II. Definitions

    A. The following terms are used in this Nationwide Agreement as 
defined below:
    1. Antenna. An apparatus designed for the purpose of emitting radio 
frequency (``RF'') radiation, to be operated or operating from a fixed 
location pursuant to Commission authorization, for the transmission of 
writing, signs, signals, data, images, pictures, and sounds of all 
kinds, including the transmitting device and any on-site equipment, 
switches, wiring, cabling, power sources, shelters or cabinets 
associated with that antenna and added to a Tower, structure, or 
building as part of the original installation of the antenna. For most 
services, an Antenna will be mounted on or in, and is distinct from, a 
supporting structure such as a Tower, structure or building. However, in 
the case of AM broadcast stations, the entire Tower or group of Towers 
constitutes the Antenna for that station. For purposes of this 
Nationwide Agreement, the term Antenna does not include unintentional 
radiators, mobile stations, or devices authorized under Part 15 of the 
Commission's rules.
    2. Applicant. A Commission licensee, permittee, or registration 
holder, or an applicant or prospective applicant for a wireless or 
broadcast license, authorization or antenna structure registration, and 
the duly authorized agents, employees, and contractors of any such 
person or entity.
    3. Area of Potential Effects (``APE''). The geographic area or areas 
within which an Undertaking may directly or indirectly cause alterations 
in the character or use of Historic Properties, if any such properties 
exist.
    4. Collocation. The mounting or installation of an Antenna on an 
existing Tower, building, or structure for the purpose of transmitting 
radio frequency signals for telecommunications or broadcast purposes.
    5. Effect. An alteration to the characteristics of a Historic 
Property qualifying it for inclusion in or eligibility for the National 
Register.
    6. Experimental Authorization. An authorization issued to conduct 
experimentation utilizing radio waves for gathering scientific or 
technical operation data directed toward the improvement or extension of 
an established service and not intended for reception and use by the 
general public. ``Experimental Authorization'' does not include an 
``Experimental Broadcast Station'' authorized under Part 74 of the 
Commission's rules.
    7. Facility. A Tower or an Antenna. The term Facility may also refer 
to a Tower and its associated Antenna(s).
    8. Field Survey. A research strategy that utilizes one or more 
visits to the area where construction is proposed as a means of 
identifying Historic Properties.
    9. Historic Property. Any prehistoric or historic district, site, 
building, structure, or object included in, or eligible for inclusion 
in, the National Register maintained by the Secretary of the Interior. 
This term includes artifacts, records, and remains that are related to 
and located within such properties. The term includes properties of 
traditional

[[Page 489]]

religious and cultural importance to an Indian tribe or NHO that meet 
the National Register criteria.
    10. National Register. The National Register of Historic Places, 
maintained by the Secretary of the Interior's office of the Keeper of 
the National Register.
    11. SHPO/THPO Inventory. A set of records of previously gathered 
information, authorized by state or tribal law, on the absence, presence 
and significance of historic and archaeological resources within the 
state or tribal land.
    12. Special Temporary Authorization. Authorization granted to a 
permittee or licensee to allow the operation of a station for a limited 
period at a specified variance from the terms of the station's permanent 
authorization or requirements of the Commission's rules applicable to 
the particular class or type of station.
    13. Submission Packet. The document to be submitted initially to the 
SHPO/THPO to facilitate review of the Applicant's findings and any 
determinations with regard to the potential impact of the proposed 
Undertaking on Historic Properties in the APE. There are two Submission 
Packets: (a) The New Tower Submission Packet (FCC Form 620) (See 
Attachment 3) and (b) The Collocation Submission Packet (FCC Form 621) 
(See Attachment 4). Any documents required to be submitted along with a 
Form are part of the Submission Packet.
    14. Tower. Any structure built for the sole or primary purpose of 
supporting Commission-licensed or authorized Antennas, including the on-
site fencing, equipment, switches, wiring, cabling, power sources, 
shelters, or cabinets associated with that Tower but not installed as 
part of an Antenna as defined herein.
    B. All other terms not defined above or elsewhere in this Nationwide 
Agreement shall have the same meaning as set forth in the Council's 
rules section on Definitions (36 CFR 800.16) or the Commission's rules 
(47 CFR Chapter I).
    C. For the calculation of time periods under this Agreement, 
``days'' mean ``calendar days.'' Any time period specified in the 
Agreement that ends on a weekend or a Federal or State holiday is 
extended until the close of the following business day.
    D. Written communications include communications by e-mail or 
facsimile.

           III. Undertakings Excluded From Section 106 Review

    Undertakings that fall within the provisions listed in the following 
sections III.A. through III.F. are excluded from Section 106 review by 
the SHPO/THPO, the Commission, and the Council, and, accordingly, shall 
not be submitted to the SHPO/THPO for review. The determination that an 
exclusion applies to an Undertaking should be made by an authorized 
individual within the Applicant's organization, and Applicants should 
retain documentation of their determination that an exclusion applies. 
Concerns regarding the application of these exclusions from Section 106 
review may be presented to and considered by the Commission pursuant to 
Section XI.
    A. Enhancement of a tower and any associated excavation that does 
not involve a collocation and does not substantially increase the size 
of the existing tower, as defined in the Collocation Agreement. For 
towers constructed after March 16, 2001, this exclusion applies only if 
the tower has completed the Section 106 review process and any 
associated environmental reviews required by the Commission.
    B. Construction of a replacement for an existing communications 
tower and any associated excavation that does not substantially increase 
the size of the existing tower under elements 1-3 of the definition as 
defined in the Collocation Agreement (see Attachment 1 to this 
Agreement, Stipulation 1.c.1-3) and that does not expand the boundaries 
of the leased or owned property surrounding the tower by more than 30 
feet in any direction or involve excavation outside these expanded 
boundaries or outside any existing access or utility easement related to 
the site. For towers constructed after March 16, 2001, this exclusion 
applies only if the tower has completed the Section 106 review process 
and any associated environmental reviews required by the Commission's 
rules.
    C. Construction of any temporary communications Tower, Antenna 
structure, or related Facility that involves no excavation or where all 
areas to be excavated will be located in areas described in Section 
VI.D.2.c.i below, including but not limited to the following:
    1. A Tower or Antenna authorized by the Commission for a temporary 
period, such as any Facility authorized by a Commission grant of Special 
Temporary Authority (``STA'') or emergency authorization;
    2. A cell on wheels (COW) transmission Facility;
    3. A broadcast auxiliary services truck, TV pickup station, remote 
pickup broadcast station (e.g., electronic newsgathering vehicle) 
authorized under Part 74 or temporary fixed or transportable earth 
station in the fixed satellite service (e.g., satellite newsgathering 
vehicle) authorized under Part 25;
    4. A temporary ballast mount Tower;
    5. Any Facility authorized by a Commission grant of an experimental 
authorization.
    For purposes of this Section III.C, the term ``temporary'' means 
``for no more than twenty-four months duration except in the case of 
those Facilities associated with national security.''

[[Page 490]]

    D. Construction of a Facility less than 200 feet in overall height 
above ground level in an existing industrial park, \1\ commercial strip 
mall, \2\ or shopping center \3\ that occupies a total land area of 
100,000 square feet or more, provided that the industrial park, strip 
mall, or shopping center is not located within the boundaries of or 
within 500 feet of a Historic Property, as identified by the Applicant 
after a preliminary search of relevant records. Proposed Facilities 
within this exclusion must complete the process of participation of 
Indian tribes and NHOs pursuant to Section IV of this Agreement. If as a 
result of this process the Applicant or the Commission identifies a 
Historic Property that may be affected, the Applicant must complete the 
Section 106 review process pursuant to this Agreement notwithstanding 
the exclusion.
---------------------------------------------------------------------------

    \1\ A tract of land that is planned, developed, and operated as an 
integrated facility for a number of individual industrial uses, with 
consideration to transportation facilities, circulation, parking, 
utility needs, aesthetics and compatibility.
    \2\ A structure or grouping of structures, housing retail business, 
set back far enough from the street to permit parking spaces to be 
placed between the building entrances and the public right of way.
    \3\ A group of commercial establishments planned, constructed, and 
managed as a total entity, with customer and employee parking provided 
on-site, provision for goods delivery separated from customer access, 
aesthetic considerations and protection from the elements, and 
landscaping and signage in accordance with an approved plan.
---------------------------------------------------------------------------

    E. Construction of a Facility in or within 50 feet of the outer 
boundary of a right-of-way designated by a Federal, State, local, or 
Tribal government for the location of communications Towers or above-
ground utility transmission or distribution lines and associated 
structures and equipment and in active use for such purposes, provided:
    1. The proposed Facility would not constitute a substantial increase 
in size, under elements 1-3 of the definition in the Collocation 
Agreement, over existing structures located in the right-of-way within 
the vicinity of the proposed Facility, and;
    2. The proposed Facility would not be located within the boundaries 
of a Historic Property, as identified by the Applicant after a 
preliminary search of relevant records.
    Proposed Facilities within this exclusion must complete the process 
of participation of Indian tribes and NHOs pursuant to Section IV of 
this Agreement. If as a result of this process the Applicant or the 
Commission identifies a Historic Property that may be affected, the 
Applicant must complete the Section 106 review process pursuant to this 
Agreement notwithstanding the exclusion.
    F. Construction of a Facility in any area previously designated by 
the SHPO/THPO at its discretion, following consultation with appropriate 
Indian tribes and NHOs, as having limited potential to affect Historic 
Properties. Such designation shall be documented by the SHPO/THPO and 
made available for public review.

IV. Participation of Indian Tribes and Native Hawaiian Organizations in 
                      Undertakings Off Tribal Lands

    A. The Commission recognizes its responsibility to carry out 
consultation with any Indian tribe or NHO that attaches religious and 
cultural significance to a Historic Property if the property may be 
affected by a Commission undertaking. This responsibility is founded in 
Sections 101(d)(6)(a-b) and 106 of the NHPA (16 U.S.C. 470a(d)(6)(a-b) 
and 470f), the regulations of the Council (36 CFR Part 800), the 
Commission's environmental regulations (47 CFR 1.1301-1.1319), and the 
unique legal relationship that exists between the federal government and 
Indian Tribal governments, as reflected in the Constitution of the 
United States, treaties, federal statutes, Executive orders, and 
numerous court decisions. This historic trust relationship requires the 
federal government to adhere to certain fiduciary standards in its 
dealings with Indian Tribes. (Commission Statement of Policy on 
Establishing a Government-to-Government Relationship with Indian 
Tribes).
    B. As an initial step to enable the Commission to fulfill its duty 
of consultation, Applicants shall use reasonable and good faith efforts 
to identify any Indian tribe or NHO that may attach religious and 
cultural significance to Historic Properties that may be affected by an 
Undertaking. Applicants should be aware that frequently, Historic 
Properties of religious and cultural significance to Indian tribes and 
NHOs are located on ancestral, aboriginal, or ceded lands of such tribes 
and organizations and Applicants should take this into account when 
complying with their responsibilities. Where an Indian tribe or NHO has 
voluntarily provided information to the Commission's Tower Construction 
Notification System regarding the geographic areas in which Historic 
Properties of religious and cultural significance to that Indian tribe 
or NHO may be located, reference to the Tower Construction Notification 
System shall constitute a reasonable and good faith effort at 
identification with respect to that Indian tribe or NHO. In addition, 
such reasonable and good faith efforts may include, but are not limited 
to, seeking relevant information from the relevant SHPO/THPO, Indian 
tribes, state agencies, the U.S. Bureau of Indian Affairs (``BIA''),

[[Page 491]]

or, where applicable, any federal agency with land holdings within the 
state (e.g., the U.S. Bureau of Land Management). Although these 
agencies can provide useful information in identifying potentially 
affected Indian tribes, contacting BIA, the SHPO or other federal and 
state agencies is not a substitute for seeking information directly from 
Indian tribes that may attach religious and cultural significance to a 
potentially affected Historic Property, as described below.
    C. After the Applicant has identified Indian tribes and NHOs that 
may attach religious and cultural significance to potentially affected 
Historic Properties, the Commission has the responsibility, and the 
Commission imposes on the Applicant the obligation, to ensure that 
contact is made at an early stage in the planning process with such 
Indian tribes and NHOs in order to begin the process of ascertaining 
whether such Historic Properties may be affected. This initial contact 
shall be made by the Commission or the Applicant, in accordance with the 
wishes of the Indian tribe or NHO. This contact shall constitute only an 
initial effort to contact the Indian tribe or NHO, and does not in 
itself fully satisfy the Applicant's obligations or substitute for 
government-to-government consultation unless the Indian tribe or NHO 
affirmatively disclaims further interest or the Indian tribe or NHO has 
otherwise agreed that such contact is sufficient. Depending on the 
preference of the Indian tribe or NHO, the means of initial contact may 
include, without limitation:
    1. Electronic notification through the Commission's Tower 
Construction Notification System;
    2. Written communication from the Commission at the request of the 
Applicant;
    3. Written, e-mail, or telephonic notification directly from the 
Applicant to the Indian tribe or NHO;
    4. Any other means that the Indian Tribe or NHO has informed the 
Commission are acceptable, including through the adoption of best 
practices pursuant to Section IV.J, below; or
    5. Any other means to which an Indian tribe or NHO and an Applicant 
have agreed pursuant to Section IV.K, below.
    D. The Commission will use its best efforts to ascertain the 
preferences of each Indian tribe and NHO for initial contact, and to 
make these preferences available to Applicants in a readily accessible 
format. In addition, the Commission will use its best efforts to 
ascertain, and to make available to Applicants, any locations or types 
of construction projects, within the broad geographic areas in which 
Historic Properties of religious and cultural significance to an Indian 
tribe or NHO may be located, for which the Indian tribe or NHO does not 
expect notification. To the extent they are comfortable doing so, the 
Commission encourages Indian tribes and NHOs to accept the Tower 
Construction Notification System as an efficient and thorough means of 
making initial contact.
    E. In the absence of any contrary indication of an Indian tribe's or 
NHO's preference, where an Applicant does not have a pre-existing 
relationship with an Indian tribe or NHO, initial contact with the 
Indian tribe or NHO shall be made through the Commission. Unless the 
Indian tribe or NHO has indicated otherwise, the Commission may make 
this initial contact through the Tower Construction Notification System. 
An Applicant that has a pre-existing relationship with an Indian tribe 
or NHO shall make initial contact in the manner that is customary to 
that relationship or in such other manner as may be accepted by the 
Indian tribe or NHO. An Applicant shall copy the Commission on any 
initial written or electronic direct contact with an Indian tribe or 
NHO, unless the Indian tribe or NHO has agreed through a best practices 
agreement or otherwise that such copying is not necessary.
    F. Applicants' direct contacts with Indian tribes and NHOs, where 
accepted by the Indian tribe or NHO, shall be made in a sensitive manner 
that is consistent with the reasonable wishes of the Indian tribe or 
NHO, where such wishes are known or can be reasonably ascertained. In 
general, unless an Indian tribe or NHO has provided guidance to the 
contrary, Applicants shall follow the following guidelines:
    1. All communications with Indian tribes shall be respectful of 
tribal sovereignty;
    2. Communications shall be directed to the appropriate 
representative designated or identified by the tribal government or 
other governing body;
    3. Applicants shall provide all information reasonably necessary for 
the Indian tribe or NHO to evaluate whether Historic Properties of 
religious and cultural significance may be affected. The parties 
recognize that it may be neither feasible nor desirable to provide 
complete information about the project at the time of initial contact, 
particularly when initial contact is made early in the process. Unless 
the Indian tribe or NHO affirmatively disclaims interest, however, it 
shall be provided with complete information within the earliest 
reasonable time frame;
    4. The Applicant must ensure that Indian tribes and NHOs have a 
reasonable opportunity to respond to all communications. Ordinarily, 30 
days from the time the relevant tribal or NHO representative may 
reasonably be expected to have received an inquiry shall be considered a 
reasonable time. Should a tribe or NHO request additional time to 
respond, the Applicant shall afford additional time as reasonable under 
the circumstances. However, where initial contact is made automatically 
through the Tower Construction Notification System, and where an Indian

[[Page 492]]

tribe or NHO has stated that it is not interested in reviewing proposed 
construction of certain types or in certain locations, the Applicant 
need not await a response to contact regarding proposed construction 
meeting that description;
    5. Applicants should not assume that failure to respond to a single 
communication establishes that an Indian tribe or NHO is not interested 
in participating, but should make a reasonable effort to follow up.
    G. The purposes of communications between the Applicant and Indian 
tribes or NHOs are: (1) To ascertain whether Historic Properties of 
religious and cultural significance to the Indian tribe or NHO may be 
affected by the undertaking and consultation is therefore necessary, and 
(2) where possible, with the concurrence of the Indian tribe or NHO, to 
reach an agreement on the presence or absence of effects that may 
obviate the need for consultation. Accordingly, the Applicant shall 
promptly refer to the Commission any request from a federally recognized 
Indian tribe for government-to-government consultation. The Commission 
will then carry out government-to-government consultation with the 
Indian tribe. Applicants shall also seek guidance from the Commission in 
the event of any substantive or procedural disagreement with an Indian 
tribe or NHO, or if the Indian tribe or NHO does not respond to the 
Applicant's inquiries. Applicants are strongly advised to seek guidance 
from the Commission in cases of doubt.
    H. If an Indian tribe or NHO indicates that a Historic Property of 
religious and cultural significance to it may be affected, the Applicant 
shall invite the commenting tribe or organization to become a consulting 
party. If the Indian tribe or NHO agrees to become a consulting party, 
it shall be afforded that status and shall be provided with all of the 
information, copies of submissions, and other prerogatives of a 
consulting party as provided for in 36 CFR 800.2.
    I. Information regarding Historic Properties to which Indian tribes 
or NHOs attach religious and cultural significance may be highly 
confidential, private, and sensitive. If an Indian tribe or NHO requests 
confidentiality from the Applicant, the Applicant shall honor this 
request and shall, in turn, request confidential treatment of such 
materials or information in accordance with the Commission's rules and 
Section 304 of the NHPA (16 U.S.C. 470w-3(a)) in the event they are 
submitted to the Commission. The Commission shall provide such 
confidential treatment consistent with its rules and applicable federal 
laws. Although the Commission will strive to protect the privacy 
interests of all parties, the Commission cannot guarantee its own 
ability or the ability of Applicants to protect confidential, private, 
and sensitive information from disclosure under all circumstances.
    J. In order to promote efficiency, minimize misunderstandings, and 
ensure that communications among the parties are made in accordance with 
each Indian tribe or NHO's reasonable preferences, the Commission will 
use its best efforts to arrive at agreements regarding best practices 
with Indian tribes and NHOs and their representatives. Such best 
practices may include means of making initial contacts with Indian 
tribes and NHOs as well as guidelines for subsequent discussions between 
Applicants and Indian tribes or NHOs in fulfillment of the requirements 
of the Section 106 process. To the extent possible, the Commission will 
strive to achieve consistency among best practice agreements with Indian 
tribes and NHOs. Where best practices exist, the Commission encourages 
Applicants to follow those best practices.
    K. Nothing in this Section shall be construed to prohibit or limit 
Applicants and Indian tribes or NHOs from entering into or continuing 
pre-existing arrangements or agreements governing their contacts, 
provided such arrangements or agreements are otherwise consistent with 
federal law and no modification is made in the roles of other parties to 
the process under this Nationwide Agreement without their consent. 
Documentation of such alternative arrangements or agreements should be 
filed with the Commission.

             V. Public Participation and Consulting Parties

    A. On or before the date an Applicant submits the appropriate 
Submission Packet to the SHPO/THPO, as prescribed by Section VII, below, 
the Applicant shall provide the local government that has primary land 
use jurisdiction over the site of the planned Undertaking with written 
notification of the planned Undertaking.
    B. On or before the date an Applicant submits the appropriate 
Submission Packet to the SHPO/THPO, as prescribed by Section VII, below, 
the Applicant shall provide written notice to the public of the planned 
Undertaking. Such notice may be accomplished (1) through the public 
notification provisions of the relevant local zoning or local historic 
preservation process for the proposed Facility; or (2) by publication in 
a local newspaper of general circulation. In the alternative, an 
Applicant may use other appropriate means of providing public notice, 
including seeking the assistance of the local government.
    C. The written notice to the local government and to the public 
shall include: (1) The location of the proposed Facility including its 
street address; (2) a description of the proposed Facility including its 
height and type of structure; (3) instruction on how to submit comments 
regarding potential effects

[[Page 493]]

on Historic Properties; and (4) the name, address, and telephone number 
of a contact person.
    D. A SHPO/THPO may make available lists of other groups, including 
Indian tribes, NHOs and organizations of Indian tribes or NHOs, which 
should be provided notice for Undertakings to be located in particular 
areas.
    E. If the Applicant receives a comment regarding potentially 
affected Historic Properties, the Applicant shall consider the comment 
and either include it in the initial submission to the SHPO/THPO, or, if 
the initial submission has already been made, immediately forward the 
comment to the SHPO/THPO for review. An Applicant need not submit to the 
SHPO/THPO any comment that does not substantially relate to potentially 
affected Historic Properties.
    F. The relevant SHPO/THPO, Indian tribes and NHOs that attach 
religious and cultural significance to Historic Properties that may be 
affected, and the local government are entitled to be consulting parties 
in the Section 106 review of an Undertaking. The Council may enter the 
Section 106 process for a given Undertaking, on Commission invitation or 
on its own decision, in accordance with 36 CFR Part 800, Appendix A. An 
Applicant shall consider all written requests of other individuals and 
organizations to participate as consulting parties and determine which 
should be consulting parties. An Applicant is encouraged to grant such 
status to individuals or organizations with a demonstrated legal or 
economic interest in the Undertaking, or demonstrated expertise or 
standing as a representative of local or public interest in historic or 
cultural resources preservation. Any such individual or organization 
denied consulting party status may petition the Commission for review of 
such denial. Applicants may seek assistance from the Commission in 
identifying and involving consulting parties. All entities granted 
consulting party status shall be identified to the SHPO/THPO as part of 
the Submission Packet.
    G. Consulting parties are entitled to: (1) Receive notices, copies 
of submission packets, correspondence and other documents provided to 
the SHPO/THPO in a Section 106 review; and (2) be provided an 
opportunity to have their views expressed and taken into account by the 
Applicant, the SHPO/THPO and, where appropriate, by the Commission.

        VI. Identification, Evaluation, and Assessment of Effects

    A. In preparing the Submission Packet for the SHPO/THPO and 
consulting parties pursuant to Section VII of this Nationwide Agreement 
and Attachments 3 and 4, the Applicant shall: (1) Define the area of 
potential effects (APE); (2) identify Historic Properties within the 
APE; (3) evaluate the historic significance of identified properties as 
appropriate; and (4) assess the effects of the Undertaking on Historic 
Properties. The standards and procedures described below shall be 
applied by the Applicant in preparing the Submission Packet, by the 
SHPO/THPO in reviewing the Submission Packet, and where appropriate, by 
the Commission in making findings.
    B. Exclusion of Specific Geographic Areas from Review.
    The SHPO/THPO, consistent with relevant State or tribal procedures, 
may specify geographic areas in which no review is required for direct 
effects on archeological resources or no review is required for visual 
effects.
    C. Area of Potential Effects.
    1. The term ``Area of Potential Effects'' is defined in Section 
II.A.3 of this Nationwide Agreement. For purposes of this Nationwide 
Agreement, the APE for direct effects and the APE for visual effects are 
further defined and are to be established as described below.
    2. The APE for direct effects is limited to the area of potential 
ground disturbance and any property, or any portion thereof, that will 
be physically altered or destroyed by the Undertaking.
    3. The APE for visual effects is the geographic area in which the 
Undertaking has the potential to introduce visual elements that diminish 
or alter the setting, including the landscape, where the setting is a 
character-defining feature of a Historic Property that makes it eligible 
for listing on the National Register.
    4. Unless otherwise established through consultation with the SHPO/
THPO, the presumed APE for visual effects for construction of new 
Facilities is the area from which the Tower will be visible:
    a. Within a half mile from the tower site if the proposed Tower is 
200 feet or less in overall height;
    b. Within \3/4\ of a mile from the tower site if the proposed Tower 
is more than 200 but no more than 400 feet in overall height; or
    c. Wthin 1 \1/2\ miles from the proposed tower site if the proposed 
Tower is more than 400 feet in overall height.
    5. In the event the Applicant determines, or the SHPO/THPO 
recommends, that an alternative APE for visual effects is necessary, the 
Applicant and the SHPO/THPO may mutually agree to an alternative APE.
    6. If the Applicant and the SHPO/THPO, after using good faith 
efforts, cannot reach an agreement on the use of an alternative APE, 
either the Applicant or the SHPO/THPO may submit the issue to the 
Commission for resolution. The Commission shall make its determination 
concerning an alternative APE within a reasonable time.
    D. Identification and Evaluation of Historic Properties.

[[Page 494]]

    1. Identification and Evaluation of Historic Properties Within the 
APE for Visual Effects.
    a. Except to identify Historic Properties of religious and cultural 
significance to Indian tribes and NHOs, Applicants shall identify 
Historic Properties within the APE for visual effects by reviewing the 
following records. Applicants are required to review such records only 
to the extent they are available at the offices of the SHPO/THPO or can 
be found in publicly available sources identified by the SHPO/THPO. With 
respect to these properties, Applicants are not required to undertake a 
Field Survey or other measures other than reviewing these records in 
order to identify Historic Properties:
    i. Properties listed in the National Register;
    ii. Properties formally determined eligible for listing by the 
Keeper of the National Register;
    iii. Properties that the SHPO/THPO certifies are in the process of 
being nominated to the National Register;
    iv. Properties previously determined eligible as part of a consensus 
determination of eligibility between the SHPO/THPO and a Federal Agency 
or local government representing the Department of Housing and Urban 
Development (HUD); and
    v. Properties listed in the SHPO/THPO Inventory that the SHPO/THPO 
has previously evaluated and found to meet the National Register 
criteria, and that are identified accordingly in the SHPO/THPO 
Inventory.
    b. At an early stage in the planning process and in accordance with 
Section IV of this Nationwide Agreement, the Commission or the 
Applicant, as appropriate, shall gather information from Indian tribes 
or NHOs identified pursuant to Section IV.B to assist in identifying 
Historic Properties of religious and cultural significance to them 
within the APE for visual effects. Such information gathering may 
include a Field Survey where appropriate.
    c. Based on the sources listed above and public comment received 
pursuant to Section V of this Nationwide Agreement, the Applicant shall 
include in its Submission Packet a list of properties it has identified 
as apparent Historic Properties within the APE for visual effects.
    i. During the review period described in Section VII.A, the SHPO/
THPO may identify additional properties included in the SHPO/THPO 
Inventory and located within the APE that the SHPO/THPO considers 
eligible for listing on the National Register, and notify the Applicant 
pursuant to Section VII.A.4.
    ii. The SHPO/THPO may also advise the Applicant that previously 
identified properties on the list no longer qualify for inclusion in the 
National Register.
    d. Applicants are encouraged at their discretion to use the services 
of professionals who meet the Secretary of the Interior's Professional 
Qualification Standards when identifying Historic Properties within the 
APE for visual effects.
    e. Applicants are not required to evaluate the historic significance 
of properties identified pursuant to Section VI.D.1.a., but may rely on 
the previous evaluation of these properties. Applicants may, at their 
discretion, evaluate whether such properties are no longer eligible for 
inclusion in the National Register and recommend to the SHPO/THPO their 
removal from consideration. Any such evaluation shall be performed by a 
professional who meets the Secretary of the Interior's Professional 
Qualification Standards.
    2. Identification and Evaluation of Historic Properties Within the 
APE for Direct Effects.
    a. In addition to the properties identified pursuant to Section 
VI.D.1, Applicants shall make a reasonable good faith effort to identify 
other above ground and archeological Historic Properties, including 
buildings, structures, and historic districts, that lie within the APE 
for direct effects. Such reasonable and good faith efforts may include a 
Field Survey where appropriate.
    b. Identification and evaluation of Historic Properties within the 
APE for direct effects, including any finding that an archeological 
Field Survey is not required, shall be undertaken by a professional who 
meets the Secretary of the Interior's Professional Qualification 
Standards. Identification and evaluation relating to archeological 
resources shall be performed by a professional who meets the Secretary 
of the Interior's Professional Qualification Standards in archeology.
    c. Except as provided below, the Applicant need not undertake a 
Field Survey for archeological resources where:
    i. the depth of previous disturbance exceeds the proposed 
construction depth (excluding footings and other anchoring mechanisms) 
by at least 2 feet as documented in the Applicant's siting analysis; or
    ii. geomorphological evidence indicates that cultural resource-
bearing soils do not occur within the project area or may occur but at 
depths that exceed 2 feet below the proposed construction depth.
    d. At an early stage in the planning process and in accordance with 
Section IV of this Nationwide Agreement, the Commission or the 
Applicant, as appropriate, shall gather information from Indian tribes 
or NHOs identified pursuant to Section IV.B to assist in identifying 
archeological Historic Properties of religious and cultural significance 
to them within the APE for direct effects. If an Indian tribe or NHO 
provides evidence that supports a high probability of the presence of 
intact archeological Historic Properties within the APE for direct 
effects, the

[[Page 495]]

Applicant shall conduct an archeological Field Survey notwithstanding 
Section VI.D.2.c.
    e. Where the Applicant pursuant to Sections VI.D.2.c and VI.D.2.d 
finds that no archeological Field Survey is necessary, it shall include 
in its Submission Packet a report substantiating this finding. During 
the review period described in Section VII.A, the SHPO/THPO may, based 
on evidence that supports a high probability of the presence of intact 
archeological Historic Properties within the APE for direct effects, 
notify the Applicant that the Submission Packet is inadequate without an 
archeological Field Survey pursuant to Section VII.A.4.
    f. The Applicant shall conduct an archeological Field Survey within 
the APE for direct effects if neither of the conditions in Section 
VI.D.2.c applies, or if required pursuant to Section VI.D.2.d or e. The 
Field Survey shall be conducted in consul-tation with the SHPO/THPO and 
consulting Indian tribes or NHOs.
    g. The Applicant, in consultation with the SHPO/THPO and appropriate 
Indian tribes or NHOs, shall apply the National Register criteria (36 
CFR Part 63) to properties identified within the APE for direct effects 
that have not previously been evaluated for National Register 
eligibility, with the exception of those identified pursuant to Section 
VI.D.1.a.
    3. Dispute Resolution. Where there is a disagreement regarding the 
identification or eligibility of a property, and after attempting in 
good faith to resolve the issue the Applicant and the SHPO/THPO continue 
to disagree, the Applicant or the SHPO/THPO may submit the issue to the 
Commission. The Commission shall handle such submissions in accordance 
with 36 CFR 800.4(c)(2).
    E. Assessment of Effects
    1. Applicants shall assess effects of the Undertaking on Historic 
Properties using the Criteria of Adverse Effect (36 CFR 800.5(a)(1)).
    2. In determining whether Historic Properties in the APE may be 
adversely affected by the Undertaking, the Applicant should consider 
factors such as the topography, vegetation, known presence of Historic 
Properties, and existing land use.
    3. An Undertaking will have a visual adverse effect on a Historic 
Property if the visual effect from the Facility will noticeably diminish 
the integrity of one or more of the characteristics qualifying the 
property for inclusion in or eligibility for the National Register. 
Construction of a Facility will not cause a visual adverse effect except 
where visual setting or visual elements are character-defining features 
of eligibility of a Historic Property located within the APE.
    4. For collocations not excluded from review by the Collocation 
Agreement or this Agreement, the assessment of effects will consider 
only effects from the newly added or modified Facilities and not effects 
from the existing Tower or Antenna.
    5. Assessment pursuant to this Agreement shall be performed by 
professionals who meet the Secretary of the Interior's Professional 
Qualification Standards.

                             VII. Procedures

                     A. Use of the Submission Packet

    1. For each Undertaking within the scope of this Nationwide 
Agreement, the Applicant shall initially determine whether there are no 
Historic Properties affected, no adverse effect on Historic Properties, 
or an adverse effect on Historic Properties. The Applicant shall prepare 
a Submission Packet and submit it to the SHPO/THPO and to all consulting 
parties, including any Indian tribe or NHO that is participating as a 
consulting party.
    2. The SHPO/THPO shall have 30 days from receipt of the requisite 
documentation to review the Submission Packet.
    3. If the SHPO/THPO receives a comment or objection, in accordance 
with Section V.E, more than 25 but less than 31 days following its 
receipt of the initial submission, the SHPO/THPO shall have five 
calendar days to consider such comment or objection before the Section 
106 process is complete or the matter may be submitted to the 
Commission.
    4. If the SHPO/THPO determines the Applicant's Submission Packet is 
inadequate, or if the SHPO/THPO identifies additional Historic 
Properties within the APE, the SHPO/THPO will immediately notify the 
Applicant and describe any deficiencies. The SHPO/THPO may close its 
file without prejudice if the Applicant does not resubmit an amended 
Submission Packet within 60 days following the Applicant's receipt of 
the returned Submission Packet. Resubmission of the Submission Packet to 
the SHPO/THPO commences a new 30 day period for review.

          B. Determinations of No Historic Properties Affected

    1. If the SHPO/THPO concurs in writing with the Applicant's 
determination of no Historic Properties affected, it is deemed that no 
Historic Properties exist within the APE or the Undertaking will have no 
effect on any Historic Properties located within the APE. The Section 
106 process is then complete, and the Applicant may proceed with the 
project, unless further processing for reasons other than Section 106 is 
required.
    2. If the SHPO/THPO does not provide written notice to the Applicant 
that it agrees or disagrees with the Applicant's determination of no 
Historic Properties affected within 30 days following receipt of a 
complete Submission Packet, it is deemed that no Historic

[[Page 496]]

Properties exist within the APE or the Undertaking will have no effect 
on Historic Properties. The Section 106 process is then complete and the 
Applicant may proceed with the project, unless further processing for 
reasons other than Section 106 is required.
    3. If the SHPO/THPO provides written notice within 30 days following 
receipt of the Submission Packet that it disagrees with the Applicant's 
determination of no Historic Properties affected, it should provide a 
short and concise explanation of exactly how the criteria of eligibility 
and/or criteria of Adverse Effect would apply. The Applicant and the 
SHPO/THPO should engage in further discussions and make a reasonable and 
good faith effort to resolve their disagreement.
    4. If the SHPO/THPO and Applicant do not resolve their disagreement, 
the Applicant may at any time choose to submit the matter, together with 
all relevant documents, to the Commission, advising the SHPO/THPO 
accordingly.

                 C. Determinations of No Adverse Effect

    1. If the SHPO/THPO concurs in writing with the Applicant's 
determination of no adverse effect, the Facility is deemed to have no 
adverse effect on Historic Properties. The Section 106 process is then 
complete and the Applicant may proceed with the project, unless further 
processing for reasons other than Section 106 is required.
    2. If the SHPO/THPO does not provide written notice to the Applicant 
that it agrees or disagrees with the Applicant's determination of no 
adverse effect within thirty days following its receipt of a complete 
Submission Packet, the SHPO/THPO is presumed to have concurred with the 
Applicant's determination. The Applicant shall, pursuant to procedures 
to be promulgated by the Commission, forward a copy of its Submission 
Packet to the Commission, together with all correspondence with the 
SHPO/THPO and any comments or objections received from the public, and 
advise the SHPO/THPO accordingly. The Section 106 process shall then be 
complete unless the Commission notifies the Applicant otherwise within 
15 days after the Commission receives the Submission Packet and 
accompanying material electronically or 25 days after the Commission 
receives this material by other means.
    3. If the SHPO/THPO provides written notice within 30 days following 
receipt of the Submission Packet that it disagrees with the Applicant's 
determination of no adverse effect, it should provide a short and 
concise explanation of the Historic Properties it believes to be 
affected and exactly how the criteria of Adverse Effect would apply. The 
Applicant and the SHPO/THPO should engage in further discussions and 
make a reasonable and good faith effort to resolve their disagreement.
    4. If the SHPO/THPO and Applicant do not resolve their dispute, the 
Applicant may at any time choose to submit the matter, together with all 
relevant documents, to the Commission, advising the SHPO/THPO 
accordingly.
    5. Whenever the Applicant or the Commission concludes, or a SHPO/
THPO advises, that a proposed project will have an adverse effect on a 
Historic Property, after applying the criteria of Adverse Effect, the 
Applicant and the SHPO/THPO are encouraged to investigate measures that 
would avoid the adverse effect and permit a conditional ``No Adverse 
Effect'' determination.
    6. If the Applicant and SHPO/THPO mutually agree upon conditions 
that will result in no adverse effect, the Applicant shall advise the 
SHPO/THPO in writing that it will comply with the conditions. The 
Applicant can then make a determination of no adverse effect subject to 
its implementation of the conditions. The Undertaking is then deemed 
conditionally to have no adverse effect on Historic Properties, and the 
Applicant may proceed with the project subject to compliance with those 
conditions. Where the Commission has previously been involved in the 
matter, the Applicant shall notify the Commission of this resolution.

                   D. Determinations of Adverse Effect

    1. If the Applicant determines at any stage in the process that an 
Undertaking would have an adverse effect on Historic Properties within 
the APE(s), or if the Commission so finds, the Applicant shall submit to 
the SHPO/THPO a plan designed to avoid, minimize, or mitigate the 
adverse effect.
    2. The Applicant shall forward a copy of its submission with its 
mitigation plan and the entire record to the Council and the Commission. 
Within fifteen days following receipt of the Applicant's submission, the 
Council shall indicate whether it intends to participate in the 
negotiation of a Memorandum of Agreement by notifying both the Applicant 
and the Commission.
    3. Where the Undertaking would have an adverse effect on a National 
Historic Landmark, the Commission shall request the Council to 
participate in consultation and shall invite participation by the 
Secretary of the Interior.
    4. The Applicant, SHPO/THPO, and consulting parties shall negotiate 
a Memorandum of Agreement that shall be sent to the Commission for 
review and execution.
    5. If the parties are unable to agree upon mitigation measures, they 
shall submit the matter to the Commission, which shall coordinate 
additional actions in accordance with the Council's rules, including 36 
CFR 800.6(b)(1)(v) and 800.7.

[[Page 497]]

                       E. Retention of Information

    The SHPO/THPO shall, subject to applicable state or tribal laws and 
regulations, and in accordance with its rules and procedures governing 
historic property records, retain the information in the Submission 
Packet pertaining to the location and National Register eligibility of 
Historic Properties and make such information available to Federal 
agencies and Applicants in other Section 106 reviews, where disclosure 
is not prevented by the confidentiality standards in 36 CFR 800.11(c).

                      F. Removal of Obsolete Towers

    Applicants that construct new Towers under the terms of this 
Nationwide Agreement adjacent to or within the boundaries of a Historic 
Property are encouraged to disassemble such Towers should they become 
obsolete or remain vacant for a year or more.

                       VIII. Emergency Situations

    Unless the Commission deems it necessary to issue an emergency 
authorization in accordance with its rules, or the Undertaking is 
otherwise excluded from Section 106 review pursuant to the Collocation 
Agreement or Section III of this Agreement, the procedures in this 
Agreement shall apply.

               IX. Inadvertent or Post-Review Discoveries

    A. In the event that an Applicant discovers a previously 
unidentified site within the APE that may be a Historic Property that 
would be affected by an Undertaking, the Applicant shall promptly notify 
the Commission, the SHPO/THPO and any potentially affected Indian tribe 
or NHO, and within a reasonable time shall submit to the Commission, the 
SHPO/THPO and any potentially affected Indian tribe or NHO, a written 
report evaluating the property's eligibility for inclusion in the 
National Register. The Applicant shall seek the input of any potentially 
affected Indian tribe or NHO in preparing this report. If found during 
construction, construction must cease until evaluation has been 
completed.
    B. If the Applicant and SHPO/THPO concur that the discovered 
resource is eligible for listing in the National Register, the Applicant 
will consult with the SHPO/THPO, and Indian tribes or NHOs as 
appropriate, to evaluate measures that will avoid, minimize, or mitigate 
adverse effects. Upon agreement regarding such measures, the Applicant 
shall implement them and notify the Commission of its action.
    C. If the Applicant and SHPO/THPO cannot reach agreement regarding 
the eligibility of a property, the matter will be referred to the 
Commission for review in accordance with Section VI.D.3. If the 
Applicant and the SHPO/THPO cannot reach agreement on measures to avoid, 
minimize, or mitigate adverse effects, the matter shall be referred to 
the Commission for appropriate action.
    D. If the Applicant discovers any human or burial remains during 
implementation of an Undertaking, the Applicant shall cease work 
immediately, notify the SHPO/THPO and Commission, and adhere to 
applicable State and Federal laws regarding the treatment of human or 
burial remains.

          X. Construction Prior to Compliance With Section 106

    A. The terms of Section 110(k) of the National Historic Preservation 
Act (16 U.S.C. 470h-2(k)) (``Section 110(k)'') apply to Undertakings 
covered by this Agreement. Any SHPO/THPO, potentially affected Indian 
tribe or NHO, the Council, or a member of the public may submit a 
complaint to the Commission alleging that a facility has been 
constructed or partially constructed after the effective date of this 
Agreement in violation of Section 110(k). Any such complaint must be in 
writing and supported by substantial evidence specifically describing 
how Section 110(k) has been violated. Upon receipt of such complaint the 
Commission will assume responsibility for investigating the 
applicability of Section 110(k) in accordance with the provisions 
herein.
    B. If upon its initial review, the Commission concludes that a 
complaint on its face demonstrates a probable violation of Section 
110(k), the Commission will immediately notify and provide the relevant 
Applicant with copies of the Complaint and order that all construction 
of a new tower or installation of any new collocations immediately cease 
and remain suspended pending the Commission's resolution of the 
complaint.
    C. Within 15 days of receipt, the Commission will review the 
complaint and take appropriate action, which the Commission may 
determine, and which may include the following:
    1. Dismiss the complaint without further action if the complaint 
does not establish a probable violation of Section 110(k) even if the 
allegations are taken as true;
    2. Provide the Applicant with a copy of the complaint and request a 
written response within a reasonable time;
    3. Request from the Applicant a background report which documents 
the history and chronology of the planning and construction of the 
Facility;
    4. Request from the Applicant a summary of the steps taken to comply 
with the requirements of Section 106 as set forth in this Nationwide 
Agreement, particularly the application of the Criteria of Adverse 
Effect;
    5. Request from the Applicant copies of any documents regarding the 
planning or construction of the Facility, including correspondence, 
memoranda, and agreements;

[[Page 498]]

    6. If the Facility was constructed prior to full compliance with the 
requirements of Section 106, request from the Applicant an explanation 
for such failure, and possible measures that can be taken to mitigate 
any resulting adverse effects on Historic Properties.
    D. If the Commission concludes that there is a probable violation of 
Section 110(k) (i.e., that ``with intent to avoid the requirements of 
Section 106, [an Applicant] has intentionally significantly adversely 
affected a Historic Property''), the Commission shall notify the 
Applicant and forward a copy of the documentation set forth in Section 
X.C. to the Council and, as appropriate, the SHPO/THPO and other 
consulting parties, along with the Commission's opinion regarding the 
probable violation of Section 110(k). The Commission will consider the 
views of the consulting parties in determining a resolution, which may 
include negotiating a Memorandum of Agreement (MOA) that will resolve 
any adverse effects. The Commission, SHPO/THPO, Council, and Applicant 
shall sign the MOA to evidence acceptance of the mitigation plan and 
conclusion of the Section 106 review process.
    E. Nothing in Section X or any other provision of this Agreement 
shall preclude the Commission from continuing or instituting enforcement 
proceedings under the Communications Act and its rules against an 
Applicant that has constructed a Facility prior to completing required 
review under this Agreement. Sanctions for violations of the 
Commission's rules may include any sanctions allowed under the 
Communications Act and the Commission's rules.
    F. The Commission shall provide copies of all concluding reports or 
orders for all Section 110(k) investigations conducted by the Commission 
to the original complainant, the Applicant, the relevant local 
government, and other consulting parties.
    G. Facilities that are excluded from Section 106 review pursuant to 
the Collocation Agreement or Section III of this Agreement are not 
subject to review under this provision. Any parties who allege that such 
Facilities have violated Section 110(k) should notify the Commission in 
accordance with the provisions of Section XI, Public Comments and 
Objections.

                   XI. Public Comments and Objections

    Any member of the public may notify the Commission of concerns it 
has regarding the application of this Nationwide Agreement within a 
State or with regard to the review of individual Undertakings covered or 
excluded under the terms of this Agreement. Comments related to 
telecommunications activities shall be directed to the Wireless 
Telecommunications Bureau and those related to broadcast facilities to 
the Media Bureau. The Commission will consider public comments and 
following consultation with the SHPO/THPO, potentially affected Indian 
tribes and NHOs, or Council, where appropriate, take appropriate 
actions. The Commission shall notify the objector of the outcome of its 
actions.

                             XII. Amendments

    The signatories may propose modifications or other amendments to 
this Nationwide Agreement. Any amendment to this Agreement shall be 
subject to appropriate public notice and comment and shall be signed by 
the Commission, the Council, and the Conference.

                            XIII. Termination

    A. Any signatory to this Nationwide Agreement may request 
termination by written notice to the other parties. Within sixty (60) 
days following receipt of a written request for termination from a 
signatory, all other signatories shall discuss the basis for the 
termination request and seek agreement on amendments or other actions 
that would avoid termination.
    B. In the event that this Agreement is terminated, the Commission 
and all Applicants shall comply with the requirements of 36 CFR Part 
800.

                           XIV. Annual Review

    The signatories to this Nationwide Agreement will meet annually on 
or about the anniversary of the effective date of the Agreement to 
discuss the effectiveness of this Agreement, including any issues 
related to improper implementation, and to discuss any potential 
amendments that would improve the effectiveness of this Agreement.

                        XV. Reservation of Rights

    Neither execution of this Agreement, nor implementation of or 
compliance with any term herein, shall operate in any way as a waiver by 
any party hereto, or by any person or entity complying herewith or 
affected hereby, of a right to assert in any court of law any claim, 
argument or defense regarding the validity or interpretation of any 
provision of the NHPA or its implementing regulations contained in 36 
CFR Part 800.

                            XVI. Severability

    If any section, subsection, paragraph, sentence, clause or phrase in 
this Agreement is, for any reason, held to be unconstitutional or 
invalid or ineffective, such decision shall not affect the validity or 
effectiveness of the remaining portions of this Agreement.
    In witness whereof, the Parties have caused this Agreement to be 
executed by their respective authorized officers as of the day and year 
first written above.

Federal Communications Commission


[[Page 499]]


________________________________________________________________________
Chairman

 Date___________________________________________________________________

Advisory Council on Historic Preservation

________________________________________________________________________
Chairman

 Date___________________________________________________________________

National Conference of State Historic Preservation Officers

________________________________________________________________________

 Date___________________________________________________________________

[70 FR 580, Jan. 4, 2005]



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 Frequency and wavelength bands.
2.102 Assignment of frequencies.
2.103 Federal use of non-Federal 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.
2.805 Operation 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.
2.910 Incorporation by reference.

           Application Procedures for Equipment Authorizations

2.911 Application requirements.
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.
2.937 Equipment defect and/or design change.

[[Page 500]]

2.938 Retention of records.
2.939 Revocation or withdrawal of equipment authorization.
2.941 Availability of information relating to grants.
2.944 Software defined radios.
2.945 Submission of equipment for testing and equipment records.
2.947 Measurement procedure.
2.948 Measurement facilities.
2.949 Recognition of laboratory accreditation bodies.
2.950 Transition periods.

                              Verification

2.951 Cross reference.
2.952 Limitation on verification.
2.953 Responsibility for compliance.
2.954 Identification.
2.955 Retention of records.

              Telecommunication Certification Bodies (TCBs)

2.960 Recognition of Telecommunication Certification Bodies (TCBs).
2.962 Requirements for Telecommunication Certification Bodies.
2.964 Pre-approval guidance procedure 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.
2.1077 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 [Reserved]

    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 definition and 
shall prevail throughout the Commission's Rules.
    (b) The source of each definition is indicated as follows:

CS--Annex to the Constitution of the International Telecommunication 
    Union (ITU)
CV--Annex to the Convention of the ITU
FCC--Federal Communications Commission
RR--ITU Radio Regulations

    (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

[[Page 501]]

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 radiocommunication 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)
    Adaptive System. A radiocommunication system which varies its radio 
characteristics according to channel quality. (RR)
    Administration. Any governmental department or service responsible 
for discharging the obligations undertaken in the Constitution of the 
International Telecommunication Union, in the Convention of the 
International Telecommunication Union and in the Administrative 
Regulations. (CS)
    Aeronautical Earth Station. An Earth station in the fixed-satellite 
service, or, in some cases, in the aeronautical mobile-satellite 
service, located at a specified fixed point on land to provide a feeder 
link for the aeronautical mobile-satellite service. (RR)
    Aeronautical Fixed Service. A radiocommunication 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 of a given frequency band for the purpose of its use by one 
or more terrestrial or space radiocommunication services or the radio 
astronomy service under specified conditions. This term shall also be 
applied to the frequency band concerned. (RR)
    Allotment (of a radio frequency or radio frequency channel). Entry 
of a designated frequency channel in an agreed

[[Page 502]]

plan, adopted by a competent conference, for use by one or more 
administrations for a terrestrial or space radiocommunication 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 radiocommunication service using space 
stations on earth satellites for the same purposes as those of the 
amateur service. (RR)
    Amateur Service. A radiocommunication 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 radiocommunication 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 radiocommunication 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. (CS)
    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 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)
    Conterminous United States. The contiguous 48 States and the 
District of Columbia. (FCC)

[[Page 503]]

    Coordinated Universal Time (UTC). Time scale, based on the second 
(SI), as defined in Recommendation ITU-R TF.460-6.

    Note: For most practical purposes associated with the ITU Radio 
Regulations, UTC is equivalent to mean solar time at the prime meridian 
(0[deg] longitude), formerly expressed in GMT. (RR)

    Coordination Area. When determining the need for coordination, the 
area surrounding an earth station sharing the same frequency band with 
terrestrial stations, or surrounding a transmitting earth station 
sharing the same bidirectionally allocated frequency band with receiving 
earth stations, beyond which the level of permissible interference will 
not be exceeded and coordination is therefore not required. (RR)
    Coordination Contour. The line enclosing the coordination area. (RR)
    Coordination Distance. When determining the need for coordination, 
the distance on a given azimuth from an earth station sharing the same 
frequency band with terrestrial stations, or from a transmitting earth 
station sharing the same bidirectionally allocated frequency band with 
receiving earth stations, beyond which the level of permissible 
interference will not be exceeded and coordination is therefore not 
required. (RR)
    Deep Space. Space at distance from the Earth equal to, or greater 
than, 2 x 10\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 radiocommunication; simplex operation may use either 
one or two.
---------------------------------------------------------------------------

    Earth Exploration-Satellite Service. A radiocommunication 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, including data relating to the state of the 
environment, is obtained from active sensors or passive sensors on Earth 
satellites;
    (2) Similar information is collected from airborne or Earth-based 
platforms;
    (3) Such information may be distributed to earth stations within the 
system concerned; and
    (4) Platform interrogation may be included. This service may also 
include feeder links necessary 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)

    End Product. A completed electronic device that has received all 
requisite

[[Page 504]]

FCC approvals and is suitable for marketing.
    Equivalent Isotropically Radiated Power (e.i.r.p.). The product of 
the power supplied to the antenna and the antenna gain in a given 
direction relative to an isotropic antenna (absolute or isotropic gain). 
(RR)
    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)
    Evaluation Kit. An assembly of components, subassemblies, or 
circuitry, including software, created by or for a component maker, 
system integrator, or product developer for the sole purpose of 
facilitating: (i) End product developer evaluation of all or some of 
such components, subassemblies, or circuitry, or (ii) the development of 
software to be used in an end product.
    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. (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 
radiocommunication 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 radiocommunication service between earth 
stations at given positions, when one or more satellites are used; the 
given position may be a specified fixed point or any fixed point within 
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 radiocommunication services. (RR)
    Fixed Service. A radiocommunication service between specified fixed 
points. (RR)
    Fixed Station. A station in the fixed service. (RR)
    Frequency Assignment Subcommittee (FAS). A subcommittee of the 
Interdepartment Radio Advisory Committee (IRAC) within NTIA that 
develops and executes procedures for the assignment and coordination of 
Federal radio frequencies. (FCC)
    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)


[[Page 505]]


    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 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 geosynchronous 
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)
    Government Master File (GMF). NTIA's database of Federal 
assignments. It also includes non-Federal authorizations coordinated 
with NTIA for the bands allocated for shared Federal and non-Federal 
use. (FCC)
    Harmful Interference. Interference which endangers the functioning 
of a radionavigation service or of other safety services or seriously 
degrades, obstructs, or repeatedly interrupts a radiocommunication 
service operating in accordance with [the ITU] Radio Regulations. (CS)
    High Altitude Platform Station (HAPS). A station located on an 
object at an altitude of 20 to 50 km and at a specified, nominal, fixed 
point relative to the Earth. (RR)
    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 measured in degrees between 0[deg] and 180[deg] and in 
counter-clockwise direction from the Earth's equatorial plane at the 
ascending node of the orbit. (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)

[[Page 506]]

    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)
    Insular area. A jurisdiction that is neither a part of one of the 
several States nor a Federal district. The U.S. insular areas are listed 
in 47 CFR 2.105(a) at notes 2 and 3. (FCC)
    Interdepartment Radio Advisory Committee (IRAC). A committee of the 
Federal departments, agencies, and administrations that advises NTIA in 
assigning frequencies to Federal radio stations and in developing and 
executing policies, programs, procedures, and technical criteria 
pertaining to the allocation, management, and use of the spectrum. The 
IRAC consists of a main committee, subcommittees, and several ad hoc 
groups that consider various aspects of spectrum management policy. The 
FCC serves as a member of the Frequency Assignment Subcommittee and as 
Liaison Representative on the main committee, all other subcommittees 
and ad hoc groups. (FCC)
    Interference. The effect of unwanted energy due to one or a 
combination of emissions, radiations, or inductions upon reception in a 
radiocommunication system, manifested by any performance degradation, 
misinterpretation, or loss of information which could be extracted in 
the absence of such unwanted energy. (RR)
    International Telecommunication Union (ITU). An international 
organization within the United Nations System where governments and the 
private sector coordinate global telecom networks and services. The ITU 
is headquartered in Geneva, Switzerland and its internet address is 
www.itu.int. (FCC)
    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 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.,

[[Page 507]]

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 radiocommunication service used for 
meteorological, including hydrological, observation and exploration. 
(RR)
    Meteorological-Satellite Service. An earth exploration-satellite 
service for meteorological purposes. (RR)
    Mobile Earth Station. An earth station in the mobile-satellite 
service intended to be used while in motion or during halts at 
unspecified points. (RR)
    Mobile-Satellite Service. A radiocommunication service:
    (1) Between mobile earth stations and one or more space stations, or 
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 radiocommunication service between mobile and land 
stations, or between mobile stations. (CV)
    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)

    National Telecommunications and Information Administration (NTIA). 
An agency of the United States Department of Commerce that serves as the 
President's principal advisor on telecommunications and information 
policy issues. NTIA manages Federal use of the radio spectrum and 
coordinates Federal use with the FCC. NTIA sets forth regulations for 
Federal use of the radio spectrum within its Manual of Regulations & 
Procedures for Federal Radio Frequency Management (NTIA Manual). (FCC)
    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)


[[Page 508]]


    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 in an ITU-R Recommendation 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 domain (of an emission). The frequency range, 
immediately outside the necessary bandwidth but excluding the spurious 
domain, in which out-of-band emissions generally predominate. Out-of-
band emissions, defined based on their source, occur in the out-of-band 
domain and, to a lesser extent, in the spurious domain. Spurious 
emissions likewise may occur in the out-of-band domain as well as in the 
spurious domain. (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.\3\ Observed or predicted interference 
which complies with quantitative interference and sharing criteria 
contained in these [ITU Radio] Regulations or in ITU-R Recommendations 
or in special agreements as provided for in these Regulations. (RR)
---------------------------------------------------------------------------

    \3\ See footnote under Accepted Interference.
---------------------------------------------------------------------------

    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);
    (3) Carrier power (PZ or pZ).

    Note 1: For different classes of emission, the relationships between 
peak envelope power, mean power and carrier power, under the conditions 
of normal operation and of no modulation, are contained in ITU-R 
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)

[[Page 509]]

    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. (CS)
    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. (RR)
    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. (CS) 
(CV)
    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 radiocommunication service relates to terrestrial 
radiocommunication. (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 radiocommunication 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 radiocommunication 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)
    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 Mobile 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)

[[Page 510]]

    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 radiocommunication 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 radiocommunication 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 radiocommunication 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 
radiocommunication 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 radiocommunication service used permanently or 
temporarily for the safeguarding of human life and property. (RR)
    Satellite. A body which revolves around another body of preponderant 
mass and which has a motion primarily and permanently determined by the 
force of attraction of that other body. (RR)
    Satellite Link. A radio link between a transmitting earth station 
and a 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)
    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.\4\ A method which is simplex operation on one 
end of the circuit and duplex operation at the other. (RR)
    Simplex Operation.\4\ Operating method in which transmission is made 
possible alternatively in each direction of a

[[Page 511]]

telecommunication channel, for example, by means of manual control.
---------------------------------------------------------------------------

    \4\ See footnote under Duplex Operation.
---------------------------------------------------------------------------

    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), or the circumstances under 
which the transmitter operates in accordance with Commission rules, can 
be altered by making a change in software without making any changes to 
hardware components that affect the radio frequency emissions. In 
accordance with Sec. 2.944 of this part, only radios in which the 
software is designed or expected to be modified by a party other than 
the manufacturer and would affect the above-listed operating parameters 
or circumstances under which the radio transmits must be certified as 
software defined radios.
    Spacecraft. A man-made vehicle which is intended to go beyond the 
major portion of the Earth's atmosphere. (RR)
    Space Operation Service. A radiocommunication 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 radiocommunication involving the use 
of one or more space stations or the use of one or more reflecting 
satellites or other objects in space. (RR)
    Space Research Service. A radiocommunication service in which 
spacecraft or other objects in space are used for scientific or 
technological 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 radiocommunication for specific purposes. (RR)
    Space Telecommand. The use of radiocommunication 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 radiocommunication 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 512]]

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 domain (of an emission): The frequency range beyond the 
out-of-band domain in which spurious emissions generally predominate. 
(RR)
    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 
radiocommunication service using space stations on earth satellites for 
the same purposes as those of the standard frequency and time signal 
service.

    Note: This service may also include feeder links necessary for its 
operation. (RR)

    Standard Frequency and Time Signal Service. A radiocommunication 
service for scientific, technical and other 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 radiocommunication 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, writings, images and sounds or intelligence of any nature by 
wire, radio, optical or other electromagnetic systems. (CS)
    Telegram. Written matter intended to be transmitted by telegraphy 
for delivery to the addressee. This term also includes radiotelegrams 
unless otherwise specified. (CS)

    Note: In this definition the term telegraphy has the same general 
meaning as defined in the Convention.

    Telegraphy.\5\ A form of telecommunication in which the transmitted 
information is intended to be recorded on arrival as a graphic document; 
the transmitted information may sometimes be presented in an alternative 
form or may be stored for subsequent use. (CS)
---------------------------------------------------------------------------

    \5\ A graphic document records information in a permanent form and 
is capable of being filed and consulted; it may take the form of written 
or printed matter or of a fixed image.
---------------------------------------------------------------------------

    Telemetry. The use of telecommunication for automatically indicating 
or recording measurements at a distance from the measuring instrument. 
(RR)
    Telephony. A form of telecommunication primarily intended for the 
exchange of information in the form of speech. (CS)
    Television. A form of telecommunication for the transmission of 
transient images of fixed or moving objects. (RR)
    Terrestrial Radiocommunication. Any radiocommunication other than 
space radiocommunication or radio astronomy. (RR)
    Terrestrial Station. A station effecting terrestrial 
radiocommunication.

    Note: In these [international Radio] Regulations, unless otherwise 
stated, any station is a terrestrial station. (RR)


[[Page 513]]


    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, 2003; 70 FR 
23039, May 4, 2005; 70 FR 46583, Aug. 10, 2005; 71 FR 15619, Mar. 29, 
2006; 72 FR 31192, June 6, 2007; 73 FR 25421, May 6, 2008; 75 FR 62933, 
Oct. 13, 2010; 78 FR 25161, Apr. 29, 2013; 80 FR 38823, July 7, 2015]



     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 ITU Radio Regulations, Edition of 2012, have been incorporated 
to the extent practicable in this part.

[82 FR 27185, June 14, 2017]



Sec. 2.101  Frequency and wavelength bands.

    (a) The radio spectrum shall be subdivided into nine frequency 
bands, which shall be designated by progressive whole numbers in 
accordance with the following table. As the unit of frequency is the 
hertz (Hz), frequencies shall be expressed:
    (1) In kilohertz (kHz), up to and including 3 000 kHz;
    (2) In megahertz (MHz), above 3 MHz, up to and including 3 000 MHz;
    (3) In gigahertz (GHz), above 3 GHz, up to and including 3 000 GHz.
    (b) However, where adherence to these provisions would introduce 
serious difficulties, for example in connection with the notification 
and registration of frequencies, the lists of frequencies and related 
matters, reasonable departures may be made.\1\
---------------------------------------------------------------------------

    \1\ In the application of the ITU Radio Regulations, the 
Radiocommunication Bureau uses the following units:
    kHz: For frequencies up to 28 000 kHz inclusive;
    MHz: For frequencies above 28 000 kHz up to 10 500 MHz inclusive; 
and
    GHz: For frequencies above 10 500 MHz.

----------------------------------------------------------------------------------------------------------------
                                                        Frequency range
                                                         (lower limit        Corresponding          Metric
           Band number                  Symbols        exclusive, upper   metric subdivision   abbreviations for
                                                       limit inclusive)                            the bands
----------------------------------------------------------------------------------------------------------------
4...............................  VLF...............  3 to 30 kHz.......  Myriametric waves.  B.Mam
5...............................  LF................  30 to 300 kHz.....  Kilometric waves..  B.km
6...............................  MF................  300 to 3 000 kHz..  Hectometric waves.  B.hm
7...............................  HF................  3 to 30 MHz.......  Decametric waves..  B.dam
8...............................  VHF...............  30 to 300 MHz.....  Metric waves......  B.m
9...............................  UHF...............  300 to 3 000 MHz..  Decimetric waves..  B.dm
10..............................  SHF...............  3 to 30 GHz.......  Centimetric waves.  B.cm
11..............................  EHF...............  30 to 300 GHz.....  Millimetric waves.  B.mm
12..............................  ..................  300 to 3 000 GHz..  Decimillimetric     ..................
                                                                           waves.
----------------------------------------------------------------------------------------------------------------
Note 1: ``Band N'' (N = band number) extends from 0.3 x 10\N\ Hz to 3 x 10\N\ Hz.
Note 2: Prefix: k = kilo (10\3\), M = mega (10\6\), G = giga (10\9\).


[[Page 514]]

    (c) In communications between administrations and the ITU, no names, 
symbols or abbreviations should be used for the various frequency bands 
other than those specified in this section.

----------------------------------------------------------------------------------------------------------------
                                         Frequency range (lower
    Band No.       Symbols (terms) \2\   limit exclusive, upper   Corresponding metric     Metric abbreviations
                                            limit inclusive)           subdivision            for the bands
----------------------------------------------------------------------------------------------------------------
4..............  VLF (very low           3 to 30 kHz...........  Myriametric waves.....  B.Mam
                  frequency).
5..............  LF (low frequency)....  30 to 300 kHz.........  Kilometric waves......  B.km
6..............  MF (medium frequency).  300 to 3,000 kHz......  Hectometric waves.....  B.hm
7..............  HF (high frequency)...  3 to 30 MHz...........  Decametric waves......  B.dam
8..............  VHF (very high          30 to 300 MHz.........  Metric waves..........  B.m
                  frequency).
9..............  UHF (ultra high         300 to 3,000 MHz......  Decimetric waves......  B.dm
                  frequency).
10.............  SHF (super high         3 to 30 GHz...........  Centimetric waves.....  B.cm
                  frequency).
11.............  EHF (extremely high     30 to 300 GHz.........  Millimetric waves.....  B.mm
                  frequency).
12.............                          300 to 3,000 GHz......  Decimillimetric waves.
----------------------------------------------------------------------------------------------------------------
NOTE 1: ``Band N'' (N = band number) extends from 0.3 x 10\N\ Hz to 3 x 10\N\ Hz.
NOTE 2: Prefix: k = kilo (10\3\), M = mega (10\6\), G = giga (10\9\).


[70 FR 46583, Aug. 10, 2005; 70 FR 53074, Sept. 7, 2005; 75 FR 62933, 
Oct. 13, 2010; 80 FR 38823, July 7, 2015]



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 8.3 kHz and 275 GHz, and the actual use of such 
frequencies for radiocommunication 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) [Reserved]
    (3) Experimental stations, pursuant to part 5 of this chapter, 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.
    (c) Non-Federal stations may be authorized to use Federal 
frequencies in the bands above 25 MHz if the Commission finds, after 
consultations with the appropriate Federal agency or agencies, that such 
use is necessary for coordination of Federal and non-Federal activities: 
Provided, however, that:
    (1) Non-Federal operation on Federal frequencies shall conform with 
the conditions agreed upon by the Commission and NTIA (the more 
important of which are contained in paragraphs (c)(2), (c)(3), and 
(c)(4) of this section);
    (2) Such operations shall be in accordance with NTIA rules governing 
the service to which the frequencies involved are allocated;
    (3) Such operations shall not cause harmful interference to Federal 
stations and, should harmful interference result, that the interfering 
non-Federal operation shall immediately terminate; and
    (4) Non-Federal operation has been certified as necessary by the 
Federal agency involved and this certification has been furnished, in 
writing, to the non-Federal licensee with which communication is 
required.
    (d) Aircraft stations may communicate with stations of the maritime

[[Page 515]]

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-Federal 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-Federal 
land mobile service, fixed stations may be authorized on the following 
conditions:
    (1) That such stations are authorized in the service shown in Column 
5 of the Table of Frequency Allocations in the band in question;
    (2) That harmful interference will not be caused to services 
operating in 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-Federal 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;
    (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

[[Page 516]]

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.

[49 FR 2373, Jan. 19, 1984, 70 FR 46585, Aug. 10, 2005, as amended at 78 
FR 25161, Apr. 29, 2013; 82 FR 27185, June 14, 2017]



Sec. 2.103  Federal use of non-Federal frequencies.

    (a) Federal stations may be authorized to use non-Federal 
frequencies in the bands above 25 MHz (except the 758-775 MHz and 788-
805 MHz public safety bands) if the Commission finds that such use is 
necessary for coordination of Federal and non-Federal activities: 
Provided, however, that:
    (1) Federal operation on non-Federal frequencies shall conform with 
the conditions agreed upon by the Commission and NTIA (the more 
important of which are contained in paragraphs (a)(2), (a)(3) and (a)(4) 
of this section);
    (2) Such operations shall be in accordance with Commission rules 
governing the service to which the frequencies involved are allocated;
    (3) Such operations shall not cause harmful interference to non-
Federal stations and, should harmful interference result, that the 
interfering Federal operation shall immediately terminate; and
    (4) Federal operation has been certified as necessary by the non-
Federal licensees involved and this certification has been furnished, in 
writing, to the Federal agency with which communication is required.
    (b) Federal stations may be authorized to use channels in the 769-
775 MHz, 799-805 MHz and 4940-4990 MHz public safety bands with non-
Federal entities if the Commission finds such use necessary; where:
    (1) The stations are used for interoperability or part of a Federal/
non-Federal shared or joint-use system;
    (2) The Federal entity obtains the approval of the non-Federal 
(State/local government) licensee(s) or applicant(s) involved;
    (3) Federal operation is in accordance with the Commission's Rules 
governing operation of this band and conforms with any conditions agreed 
upon by the Commission and NTIA; and
    (4) Interoperability, shared or joint-use systems are the subject of 
a mutual agreement between the Federal and non-Federal entities. This 
section does not preclude other arrangements or agreements as permitted 
under part 90 of the rules. See 47 CFR 90.179 and 90.421 of this 
chapter.
    (c) Federal stations may be authorized by the First Responder 
Network Authority to use channels in the 758-769 MHz and 788-799 MHz 
public safety bands.

[63 FR 58650, Nov. 2, 1998, as amended at 68 FR 38638, June 30, 2003; 70 
FR 46586, Aug. 10, 2005; 72 FR 48843, Aug. 24, 2007; 79 FR 596, Jan. 6, 
2014]



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

[[Page 517]]

on the west by line B, excluding any of the territory of the Islamic 
Republic of Iran which lies between these limits. It also includes the 
whole of the territory of Armenia, Azerbaijan, the Russian Federation, 
Georgia, Kazakhstan, Mongolia, Uzbekistan, Kyrgyzstan, Tajikistan, 
Turkmenistan, Turkey and Ukraine and the area to the north of the 
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, the Russian Federation, Georgia, Kazakhstan, Mongolia, 
Uzbekistan, Kyrgyzstan, Tajikistan, Turkmenistan, Turkey and Ukraine and 
the area to the north of the Russian Federation. It also includes that 
part of the territory of the Islamic Republic of Iran lying outside of 
those limits.
    (4) The lines A, B and C are defined as follows:
    (i) Line A. Line A extends from the North Pole along meridian 
40[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 
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, 
Armenia, Azerbaijan, Georgia and those parts of the territories of Iraq, 
Jordan, Syrian Arab Republic, 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:

[[Page 518]]

    (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 Libyan Arab Jamahiriya 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 (see Article 6 of the ITU Radio Regulations).
    (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.
    (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.

[[Page 519]]

    (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 in the 
International Table that a service or stations in a service may operate 
in a specific frequency band subject to not causing harmful interference 
to another service or to another station in the same service, this means 
also that the service which is subject to not causing harmful 
interference cannot claim protection from harmful interference caused by 
the other service or other station in the same service.
    (2) Where it is indicated in the International Table that a service 
or stations in a service may operate in a specific frequency band 
subject to not claiming protection from another service or from another 
station in the same service, this means also that the service which is 
subject to not claiming protection shall not cause harmful interference 
to the other service or other station in the same service.
    (3) Except if otherwise specified in a footnote, the term ``fixed 
service'', where appearing in the International Table, does not include 
systems using ionospheric scatter propagation.
    (h) Description of the International Table of Frequency Allocations. 
(1) The heading of the International Table 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 more than one of the 
allocated services, or 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 520]]

                      Figure 1 to Sec. 2.104--Map
[GRAPHIC] [TIFF OMITTED] TR31JA00.000


[65 FR 4636, Jan. 31, 2000, as amended at 70 FR 46586, Aug. 10, 2005; 75 
FR 62933, Oct. 13, 2010]

[[Page 521]]



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 Table of Frequency Allocations 
(Federal Table, column 4 of Sec. 2.106) and the non-Federal Table of 
Frequency Allocations (non-Federal 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\ The Federal Table is 
administered by NTIA \4\ and the non-Federal Table is administered by 
the Federal Communications Commission (FCC). \5\
---------------------------------------------------------------------------

    \1\ See 2.104(b) for definitions of the ITU Regions.
    \2\ The operation of stations in the U.S. insular areas located in 
Region 2 is generally governed by the United States Table. The U.S. 
insular areas located in Region 2 are comprised of the Caribbean insular 
areas and two of the eleven Pacific insular areas. The Caribbean insular 
areas are Puerto Rico, the United States Virgin Islands, and Navassa 
Island. The Pacific insular areas located in Region 2 are Johnston Atoll 
and Midway Atoll.
    \3\ The operation of stations in the Pacific insular areas located 
in Region 3 is generally governed by the Region 3 Table (i.e., column 3 
of Sec. 2.106). The Pacific insular areas located in Region 3 are 
American Samoa, Guam, the Northern Mariana Islands, Baker Island, 
Howland Island, Jarvis Island, Kingman Reef, Palmyra Island, and Wake 
Island.
    \4\ Section 305(a) of the Communications Act of 1934, as amended. 
See Public Law 102-538, 106 Stat. 3533 (1992).
    \5\ The Communications Act of 1934, as amended.
---------------------------------------------------------------------------

    (b) In the United States, radio spectrum may be allocated to either 
Federal or non-Federal use exclusively, or for shared use. In the case 
of shared use, the type of service(s) permitted need not be the same 
[e.g., Federal FIXED, non-Federal MOBILE]. The terms used to designate 
categories of services and allocations \6\ in columns 4 and 5 of Sec. 
2.106 correspond to the terms in the ITU Radio Regulations.
---------------------------------------------------------------------------

    \6\ The radio services are defined in 47 CFR 2.1.
---------------------------------------------------------------------------

    (c) Category of services. (1) Any segment of the radio spectrum may 
be allocated to the Federal and/or non-Federal 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. (1) The frequency band 
referred to in each allocation, column 4 for Federal operations and 
column 5 for non-Federal operations, is indicated in the left-hand top 
corner of the column. If there is no service or footnote indicated for a 
band of frequencies in column 4, then the Federal sector has no access 
to that band except as provided for by Sec. 2.103. If there is no 
service or footnote indicated for a band of frequencies in column 5, 
then the non-Federal sector has no access to that band except as 
provided for by Sec. 2.102.
    (2) When the Federal Table and the non-Federal Table 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 Table, given in column 4, is included for 
informational purposes only.
    (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.

[[Page 522]]

    (5) The following symbols are used to designate footnotes in the 
United States Table:
    (i) Any footnote number consisting of ``5.'' followed by one or more 
digits,\7\ e.g., 5.53, denotes an international footnote. Where an 
international footnote is applicable, without modification, to both 
Federal and non-Federal operations, the Commission places the footnote 
in both the Federal Table and the non-Federal Table (columns 4 and 5) 
and the international footnote is binding on both Federal users and non-
Federal licensees. If, however, an international footnote pertains to a 
service allocated only for Federal or non-Federal use, the international 
footnote will be placed only in the affected Table. For example, 
footnote 5.142 pertains only to the amateur service, and thus, footnote 
5.142 is shown only in the non-Federal Table.
---------------------------------------------------------------------------

    \7\ In some cases, a letter, or letters, may be appended to the 
digit(s) of a footnote number in order to preserve the sequential order.
---------------------------------------------------------------------------

    (ii) Any footnote consisting of the letters ``US'' followed by one 
or more digits,\7\ e.g., US7, denotes a stipulation affecting both 
Federal and non-Federal operations. United States footnotes appear in 
both the Federal Table and the non-Federal Table.
    (iii) Any footnote consisting of the letters ``NG'' followed by one 
or more digits,\7\ e.g., NG2, denotes a stipulation applicable only to 
non-Federal operations. Non-Federal footnotes appear solely in the non-
Federal Table (column 5).
    (iv) Any footnote consisting of the letters ``G'' followed by one or 
more digits,\7\ e.g., G2, denotes a stipulation applicable only to 
Federal operations. Federal footnotes appear solely in the Federal Table 
(column 4).
    (6) The coordinates of latitude and longitude that are listed in 
United States, Federal, and non-Federal footnotes are referenced to the 
North American Datum of 1983 (NAD 83).
    (e) Rule Part Cross References. If a frequency or frequency band has 
been allocated to a radiocommunication service in the non-Federal Table, 
then a cross reference may be added for the pertinent FCC Rule part 
(column 6 of Sec. 2.106). For example, the band 849-851 MHz is 
allocated to the aeronautical mobile service for non-Federal use, rules 
for the use of the 849-851 MHz band have been added to Part 22--Public 
Mobile Services (47 CFR part 22), and a cross reference, Public Mobile 
(22), has been added in column 6 of Sec. 2.106. The exact use that can 
be made of any given frequency or frequency band (e.g., channelling 
plans, allowable emissions, etc.) is given in the FCC Rule part(s) so 
indicated. The FCC Rule parts in this column are not allocations and are 
provided for informational purposes only. This column also may contain 
explanatory notes for informational purposes only.
    (f) The FCC Online Table of Frequency Allocations is updated shortly 
after a final rule that amends Sec. 2.106 is released. The address for 
the FCC Radio Spectrum Home Page, which includes the FCC Online Table 
and the FCC Allocation History File, is http://www.fcc.gov/oet/spectrum.

[65 FR 4640, Jan. 31, 2000, as amended at 70 FR 46587, Aug. 10, 2005; 73 
FR 25421, May 6, 2008; 75 FR 62933, Oct. 13, 2010]

[[Page 523]]



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 8.3 
kHz shall ensure that no harmful interference is caused to services to 
which the bands above 8.3 kHz are allocated. (WRC-12)
    5.54 Administrations conducting scientific research using 
frequencies below 8.3

[[Page 592]]

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. (WRC-12)
    5.54A Use of the 8.3-11.3 kHz frequency band by stations in the 
meteorological aids service is limited to passive use only. In the band 
9-11.3 kHz, meteorological aids stations shall not claim protection from 
stations of the radionavigation service submitted for notification to 
the Bureau prior to 1 January 2013. For sharing between stations of the 
meteorological aids service and stations in the radionavigation service 
submitted for notification after this date, the most recent version of 
Recommendation ITU-R RS.1881 should be applied. (WRC-12)
    5.54B Additional allocation: In Algeria, Saudi Arabia, Egypt, the 
United Arab Emirates, the Russian Federation, Iraq, Lebanon, Morocco, 
Qatar, the Syrian Arab Republic, Sudan and Tunisia, the frequency band 
8.3-9 kHz is also allocated to the radionavigation, fixed and mobile 
services on a primary basis. (WRC-12)
    5.54C Additional allocation: In China, the frequency band 8.3-9 kHz 
is also allocated to the maritime radionavigation and maritime mobile 
services on a primary basis. (WRC-12)
    5.55 Additional allocation: in Armenia, Azerbaijan, the Russian 
Federation, Georgia, Kyrgyzstan, Tajikistan and Turkmenistan, the band 
14-17 kHz is also allocated to the radionavigation service on a primary 
basis. (WRC-07)
    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, the Russian Federation, Georgia, 
Kazakhstan, Kyrgyzstan, Tajikistan and Turkmenistan, the frequencies 25 
kHz and 50 kHz will be used for this purpose under the same conditions. 
(WRC-12)
    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, the Russian 
Federation, Georgia, Kazakhstan, Kyrgyzstan, 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 Mongolia, Kyrgyzstan 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. (WRC-07)
    5.67A Stations in the amateur service using frequencies in the band 
135.7-137.8 kHz shall not exceed a maximum radiated power of 1 W 
(e.i.r.p.) and shall not cause harmful interference to stations of the 
radionavigation service operating in countries listed in No. 5.67. (WRC-
07)
    5.67B The use of the band 135.7-137.8 kHz in Algeria, Egypt, Iran 
(Islamic Republic of), Iraq, Lebanon, Syrian Arab Republic, Sudan, South 
Sudan and Tunisia is limited to the

[[Page 593]]

fixed and maritime mobile services. The amateur service shall not be 
used in the above-mentioned countries in the band 135.7-137.8 kHz, and 
this should be taken into account by the countries authorizing such use. 
(WRC-12)
    5.68 Alternative allocation: In Angola, Congo (Rep. of the), the 
Dem. Rep. of the Congo and South Africa, the band 160-200 kHz is 
allocated to the fixed service on a primary basis. (WRC-12)
    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, the 
Central African Rep., Congo (Rep. of the), Ethiopia, Kenya, Lesotho, 
Madagascar, Malawi, Mozambique, Namibia, Nigeria, Oman, the Dem. Rep. of 
the Congo, 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. (WRC-12)
    5.71 Alternative allocation: in Tunisia, the band 255-283.5 kHz is 
allocated to the broadcasting service on a primary basis.
    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.
    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, 
the Russian Federation, Georgia, Moldova, Kyrgyzstan, Tajikistan, 
Turkmenistan, Ukraine and the Black Sea areas of 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. (WRC-07)
    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 communities of Region 3, Korea (Rep. of), India, Iran (Islamic 
Republic of), Japan, Pakistan, Papua New Guinea and Sri Lanka, the 
allocation of the frequency band 415-495 kHz to the aeronautical 
radionavigation service is on a primary basis. In Armenia, Azerbaijan, 
Belarus, the Russian Federation, Kazakhstan, Latvia, Uzbekistan and 
Kyrgyzstan, the allocation of the frequency band 435-495 kHz to the 
aeronautical radionavigation service is on a primary basis. 
Administrations in all the aforementioned countries shall take all 
practical steps necessary to ensure that aeronautical radionavigation 
stations in the frequency band 435-495 kHz do not cause interference to 
reception by coast stations of transmissions from ship stations on 
frequencies designated for ship stations on a worldwide basis. (WRC-12)
    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 4209.5 kHz, administrations are 
strongly recommended to coordinate the operating characteristics in 
accordance with the procedures of the International Maritime 
Organization (IMO) (see Resolution 339 (Rev.WRC-07)). (WRC-07)
    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.
    5.80A The maximum equivalent isotropically radiated power (e.i.r.p.) 
of stations in the amateur service using frequencies in the band 472-479 
kHz shall not exceed 1 W. Administrations may increase this limit of 
e.i.r.p. to 5 W in portions of their territory which are at a distance 
of over 800 km from the borders of Algeria, Saudi Arabia, Azerbaijan, 
Bahrain, Belarus, China, Comoros, Djibouti, Egypt, United Arab Emirates, 
the Russian Federation, Iran (Islamic Republic of), Iraq, Jordan, 
Kazakhstan, Kuwait, Lebanon, Libya, Morocco, Mauritania, Oman, 
Uzbekistan, Qatar, Syrian Arab Republic, Kyrgyzstan, Somalia, Sudan, 
Tunisia, Ukraine and Yemen. In this frequency band, stations in the 
amateur service shall not cause harmful interference to, or claim 
protection from, stations of the aeronautical radionavigation service. 
(WRC-12)
    5.80B The use of the frequency band 472-479 kHz in Algeria, Saudi 
Arabia, Azerbaijan, Bahrain, Belarus, China, Comoros, Djibouti, Egypt, 
United Arab Emirates, the Russian Federation, Iraq, Jordan, Kazakhstan, 
Kuwait, Lebanon, Libya, Mauritania, Oman, Uzbekistan, Qatar, Syrian Arab 
Republic, Kyrgyzstan, Somalia, Sudan, Tunisia and Yemen is limited to 
the maritime mobile

[[Page 594]]

and aeronautical radionavigation services. The amateur service shall not 
be used in the above-mentioned countries in this frequency band, and 
this should be taken into account by the countries authorizing such use. 
(WRC-12)
    5.82 In the maritime mobile service, the frequency 490 kHz is 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 
frequency 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. In using the frequency band 472-479 kHz 
for the amateur service, administrations shall ensure that no harmful 
interference is caused to the frequency 490 kHz. (WRC-12)
    5.84 The conditions for the use of the frequency 518 kHz by the 
maritime mobile service are prescribed in Articles 31 and 52. (WRC-07)
    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, Niger and Swaziland, the band 526.5-535 kHz is also 
allocated to the mobile service on a secondary basis. (WRC-12)
    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.
    5.93 Additional allocation: In Angola, Armenia, Azerbaijan, Belarus, 
the Russian Federation, Georgia, Hungary, Kazakhstan, Latvia, Lithuania, 
Mongolia, Nigeria, Uzbekistan, Poland, Kyrgyzstan, Slovakia, Tajikistan, 
Chad, Turkmenistan and Ukraine, the bands 1625-1635 kHz, 1800-1810 kHz 
and 2160-2170 kHz are also allocated to the fixed and land mobile 
services on a primary basis, subject to agreement obtained under No. 
9.21. (WRC-12)
    5.96 In Germany, Armenia, Austria, Azerbaijan, Belarus, Denmark, 
Estonia, the Russian Federation, Finland, Georgia, Hungary, Ireland, 
Iceland, Israel, Kazakhstan, Latvia, Liechtenstein, Lithuania, Malta, 
Moldova, Norway, Uzbekistan, Poland, Kyrgyzstan, Slovakia, the Czech 
Rep., the United Kingdom, 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, Cameroon, Congo (Rep. of the), Denmark, Egypt, 
Eritrea, Spain, Ethiopia, the Russian Federation, Georgia, Greece, 
Italy, Kazakhstan, Lebanon, Lithuania, the Syrian Arab Republic, 
Kyrgyzstan, 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. (WRC-12)
    5.99 Additional allocation: In Saudi Arabia, Austria, Iraq, Libya, 
Uzbekistan, Slovakia, Romania, Slovenia, Chad, and Togo, the band 1810-
1830 kHz is also allocated to the fixed and mobile, except aeronautical 
mobile, services on a primary basis. (WRC-12)

[[Page 595]]

    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.
    5.102 Alternative allocation: in Bolivia, Chile, Mexico, Paraguay, 
Peru and Uruguay, the band 1850-2000 kHz is allocated to the fixed, 
mobile except aeronautical mobile, radiolocation and radionavigation 
services on a primary basis. (WRC-07)
    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, Eritrea, Ethiopia, 
Iraq, 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. (WRC-12)
    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. (WRC-
07)
    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 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, 156.525 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.
    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. (WRC-07)
    5.112 Alternative allocation: In Denmark and Sri Lanka, the band 
2194-2300 kHz is allocated to the fixed and mobile, except aeronautical 
mobile, services on a primary basis. (WRC-12)
    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 Denmark and Iraq, the band 2502-
2625 kHz is allocated to the fixed and mobile, except aeronautical 
mobile, services on a primary basis. (WRC-12)
    5.115 The carrier (reference) frequencies 3023 kHz and 5680 kHz may 
also be used, in accordance with Article 31, by stations of the maritime 
mobile service engaged in coordinated search and rescue operations. 
(WRC-07)
    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 C[ocirc]te d'Ivoire, Denmark, 
Egypt, Liberia, Sri Lanka and Togo, the band 3155-3200 kHz is allocated 
to the fixed and mobile, except aeronautical mobile, services on a 
primary basis. (WRC-12)
    5.118 Additional allocation: in the United States, 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 and Peru, the band 
3500-3750 kHz is also allocated to the fixed and mobile services on a 
primary basis. (WRC-07)

[[Page 596]]

    5.122 Alternative allocation: in 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. (WRC-
07)
    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 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, on condition that harmful interference 
is not caused to the maritime mobile service. In addition, in 
Afghanistan, Argentina, Armenia, Azerbaijan, Belarus, Botswana, Burkina 
Faso, the Central African Rep., China, the Russian Federation, Georgia, 
India, Kazakhstan, Mali, Niger, Pakistan, Kyrgyzstan, Tajikistan, Chad, 
Turkmenistan and Ukraine, in the bands 4063-4123 kHz, 4130-4133 kHz and 
4408-4438 kHz, stations in the fixed service, with a mean power not 
exceeding 1 kW, can be operated on condition that they are situated at 
least 600 km from the coast and that harmful interference is not caused 
to the maritime mobile service. (WRC-12)
    5.130 The conditions for the use of the carrier frequencies 4125 kHz 
and 6215 kHz are prescribed in Articles 31 and 52. (WRC-07)
    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).
    5.132A Stations in the radiolocation service shall not cause harmful 
interference to, or claim protection from, stations operating in the 
fixed or mobile services. Applications of the radiolocation service are 
limited to oceanographic radars operating in accordance with Resolution 
612 (Rev. WRC-12). (WRC-12)
    5.132B Alternative allocation: In Armenia, Austria, Belarus, 
Moldova, Uzbekistan and Kyrgyzstan, the frequency band 4438-4488 kHz is 
allocated to the fixed and mobile, except aeronautical mobile (R), 
services on a primary basis. (WRC-12)
    5.133 Different category of service: In Armenia, Azerbaijan, 
Belarus, the Russian Federation, Georgia, Kazakhstan, Latvia, Lithuania, 
Niger, Uzbekistan, Kyrgyzstan, 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). (WRC-12)
    5.133A Alternative allocation: In Armenia, Austria, Belarus, 
Moldova, Uzbekistan and Kyrgyzstan, the frequency bands 5250-5275 kHz 
and 26200-26350 kHz are allocated to the fixed and mobile, except 
aeronautical mobile, services on a primary basis. (WRC-12)
    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 subject to the application of the procedure of Article 12. 
Administrations are encouraged to use these bands to facilitate the 
introduction of digitally modulated emissions in accordance with the 
provisions of Resolution 517 (Rev. WRC-07). (WRC-07)
    5.136 Additional allocation: frequencies in the band 5900-5950 kHz 
may be used by stations in the following services, communicating only 
within the boundary of the country in which they are located: fixed 
service (in all three Regions), land mobile service (in Region 1), 
mobile except aeronautical mobile (R) service (in Regions 2 and 3), 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. (WRC-07)
    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),

[[Page 597]]

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.
    5.140 Additional allocation: In Angola, Iraq, Kenya, Somalia and 
Togo, the band 7000-7050 kHz is also allocated to the fixed service on a 
primary basis. (WRC-12)
    5.141 Alternative allocation: In Egypt, Eritrea, Ethiopia, Guinea, 
Libya, Madagascar and Niger, the band 7000-7050 kHz is allocated to the 
fixed service on a primary basis. (WRC-12)
    5.141A Additional allocation: in Uzbekistan and Kyrgyzstan, the 
bands 7000-7100 kHz and 7100-7200 kHz are also allocated to the fixed 
and land mobile services on a secondary basis.
    5.141B Additional allocation: In Algeria, Saudi Arabia, Australia, 
Bahrain, Botswana, Brunei Darussalam, China, Comoros, Korea (Rep. of), 
Diego Garcia, Djibouti, Egypt, United Arab Emirates, Eritrea, Indonesia, 
Iran (Islamic Republic of), Japan, Jordan, Kuwait, Libya, Morocco, 
Mauritania, Niger, New Zealand, Oman, Papua New Guinea, Qatar, the 
Syrian Arab Republic, Singapore, Sudan, South Sudan, Tunisia, Viet Nam 
and Yemen, the band 7100-7200 kHz is also allocated to the fixed and the 
mobile, except aeronautical mobile (R), services on a primary basis. 
(WRC-12)
    5.142 The use of the band 7200-7300 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. (WRC-12)
    5.143 Additional allocation: frequencies in the band 7300-7350 kHz 
may be used by stations in the fixed service and in the land mobile 
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 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. (WRC-07)
    5.143A In Region 3, frequencies in the band 7350-7450 kHz may be 
used by stations in the fixed service on a primary basis and land mobile 
service on a secondary basis, 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. (WRC-12)
    5.143B In Region 1, frequencies in the band 7350-7450 kHz may be 
used by stations in the fixed and land mobile services communicating 
only within the boundary of the country in which they are located on 
condition that harmful interference is not caused to the broadcasting 
service. The total radiated power of each station shall not exceed 24 
dBW. (WRC-12)
    5.143C Additional allocation: In Algeria, Saudi Arabia, Bahrain, 
Comoros, Djibouti, Egypt, United Arab Emirates, Iran (Islamic Republic 
of), Jordan, Kuwait, Libya, Morocco, Mauritania, Niger, Oman, Qatar, the 
Syrian Arab Republic, Sudan, South Sudan, Tunisia and Yemen, the bands 
7350-7400 kHz and 7400-7450 kHz are also allocated to the fixed service 
on a primary basis. (WRC-12)
    5.143D In Region 2, frequencies in the band 7350-7400 kHz may be 
used by stations in the fixed service and in the land mobile 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 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. (WRC-12)
    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. (WRC-
07)
    5.145A Stations in the radiolocation service shall not cause harmful 
interference to, or claim protection from, stations operating in the 
fixed service. Applications of the radiolocation service are limited to 
oceanographic radars operating in accordance with Resolution 612 (Rev. 
WRC-12). (WRC-12)
    5.145B Alternative allocation: in Armenia, Austria, Belarus, 
Moldova, Uzbekistan and Kyrgyzstan, the frequency bands 9305-9355 kHz 
and 16100-16200 kHz are allocated to the fixed service on a primary 
basis. (WRC-12)
    5.146 Additional allocation: frequencies in the bands 9400-9500 kHz, 
11600-11650 kHz, 12050-12100 kHz, 15600-15800 kHz, 17480-17550 kHz and 
18900-19020 kHz 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

[[Page 598]]

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 the broadcasting service published in accordance with the 
Radio Regulations. (WRC-07)
    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,                     22.81-22.86 GHz,
25550-25670 kHz,                     23.07-23.12 GHz,
37.5-38.25 MHz,                      31.2-31.3 GHz,
73-74.6 MHz in                       31.5-31.8 GHz in
 Regions 1 and 3,                     Regions 1 and 3,
150.05-153 MHz in                    36.43-36.5 GHz,
 Region 1,                           42.5-43.5 GHz,
322-328.6 MHz,                       48.94-49.04 GHz,
406.1-410 MHz,                       76-86 GHz,
608-614 MHz in                       92-94 GHz,
 Regions 1 and 3,                    94.1-100 GHz,
1330-1400 MHz,                       102-109.5 GHz,
1610.6-1613.8 MHz,                   111.8-114.25 GHz,
1660-1670 MHz,                       128.33-128.59 GHz,
1718.8-1722.2 MHz,                   129.23-129.49 GHz,
2655-2690 MHz,                       130-134 GHz,
3260-3267 MHz,                       136-148.5 GHz,
3332-3339 MHz,                       151.5-158.5 GHz,
3345.8-3352.5 MHz,                   168.59-168.93 GHz,
4825-4835 MHz,                       171.11-171.45 GHz,
4950-4990 MHz,                       172.31-172.65 GHz,
4990-5000 MHz,                       173.52-173.85 GHz,
6650-6675.2 MHz,                     195.75-196.15 GHz,
10.6-10.68 GHz,                      209-226 GHz,
14.47-14.5 GHz,                      241-250 GHz,
22.01-22.21 GHz,                     252-275 GHz
22.21-22.5 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). (WRC-07)
    5.149A Alternative allocation: In Armenia, Austria, Belarus, 
Moldova, Uzbekistan and Kyrgyzstan, the frequency band 13450-13550 kHz 
is allocated to the fixed service on a primary basis and to the mobile, 
except aeronautical mobile (R), service on a secondary basis. (WRC-12)
    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 Additional allocation: frequencies in the bands 13570-13600 
kHz and 13800-13870 kHz may be used by stations in the fixed service and 
in the mobile except aeronautical mobile (R) service, 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. (WRC-07)
    5.152 Additional allocation: in Armenia, Azerbaijan, China, 
C[ocirc]te d'Ivoire, the Russian Federation, Georgia, Iran (Islamic 
Republic of), Kazakhstan, Uzbekistan, Kyrgyzstan, Tajikistan, 
Turkmenistan and Ukraine, the band 14250-14350 kHz is also allocated to 
the fixed service on a primary basis. Stations of the fixed service 
shall not use a radiated power exceeding 24 dBW.
    5.153 In Region 3, the stations of those services to which the band 
15995-16005 kHz is allocated may transmit standard frequency and time 
signals.
    5.154 Additional allocation: in Armenia, Azerbaijan, the Russian 
Federation, Georgia, Kazakhstan, Kyrgyzstan, Tajikistan, Turkmenistan 
and Ukraine, the band 18068-18168 kHz is also allocated to the fixed 
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, the 
Russian Federation, Georgia, Kazakhstan, Moldova, Mongolia, Uzbekistan, 
Kyrgyzstan, Slovakia, Tajikistan, Turkmenistan and Ukraine, the band 
21850-21870 kHz is also allocated to the aeronautical mobile (R) service 
on a primary basis. (WRC-07)
    5.155A In Armenia, Azerbaijan, Belarus, the Russian Federation, 
Georgia, Kazakhstan, Moldova, Mongolia, Uzbekistan, Kyrgyzstan, 
Slovakia, Tajikistan,

[[Page 599]]

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. (WRC-07)
    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.
    5.158 Alternative allocation: In Armenia, Austria, Belarus, Moldova, 
Uzbekistan and Kyrgyzstan, the frequency band 24450-24600 kHz is 
allocated to the fixed and land mobile services on a primary basis. 
(WRC-12)
    5.159 Alternative allocation: In Armenia, Austria, Belarus, Moldova, 
Uzbekistan and Kyrgyzstan, the frequency band 39-39.5 MHz is allocated 
to the fixed and mobile services on a primary basis. (WRC-12)
    5.160 Additional allocation: In Botswana, Burundi, Dem. Rep. of the 
Congo and Rwanda, the band 41-44 MHz is also allocated to the 
aeronautical radionavigation service on a primary basis. (WRC-12)
    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.
    5.161A Additional allocation: In Korea (Rep. of) and the United 
States, the frequency bands 41.015-41.665 MHz and 43.35-44 MHz are also 
allocated to the radiolocation service on a primary basis. Stations in 
the radiolocation service shall not cause harmful interference to, or 
claim protection from, stations operating in the fixed or mobile 
services. Applications of the radiolocation service are limited to 
oceanographic radars operating in accordance with Resolution 612 (Rev. 
WRC-12). (WRC-12)
    5.161B Alternative allocation: In Albania, Germany, Armenia, 
Austria, Belarus, Belgium, Bosnia and Herzegovina, Bulgaria, Cyprus, 
Vatican, Croatia, Denmark, Spain, Estonia, Finland, France, Greece, 
Hungary, Ireland, Iceland, Italy, Latvia, The Former Yugoslav Rep. of 
Macedonia, Liechtenstein, Lithuania, Luxembourg, Malta, Moldova, Monaco, 
Montenegro, Norway, Uzbekistan, Netherlands, Poland, Portugal, 
Kyrgyzstan, Slovakia, Czech Rep., Romania, United Kingdom, San Marino, 
Slovenia, Sweden, Switzerland, Turkey and Ukraine, the frequency band 
42-42.5 MHz is allocated to the fixed and mobile services on a primary 
basis. (WRC-12)
    5.162 Additional allocation: In Australia, the band 44-47 MHz is 
also allocated to the broadcasting service on a primary basis. (WRC-12)
    5.162A Additional allocation: In Germany, Austria, Belgium, Bosnia 
and Herzegovina, China, Vatican, Denmark, Spain, Estonia, the Russian 
Federation, Finland, France, Ireland, Iceland, Italy, Latvia, The Former 
Yugoslav Republic of Macedonia, Liechtenstein, Lithuania, Luxembourg, 
Monaco, Montenegro, Norway, the Netherlands, Poland, Portugal, the Czech 
Rep., the United Kingdom, Serbia, Slovenia, 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). (WRC-12)
    5.163 Additional allocation: In Armenia, Belarus, the Russian 
Federation, Georgia, Hungary, Kazakhstan, Latvia, Moldova, Uzbekistan, 
Kyrgyzstan, 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. (WRC-12)
    5.164 Additional allocation: In Albania, Algeria, Germany, Austria, 
Belgium, Bosnia and Herzegovina, Botswana, Bulgaria, C[ocirc]te 
d'Ivoire, Denmark, Spain, Estonia, Finland, France, Gabon, Greece, 
Ireland, Israel, Italy, Jordan, Lebanon, Libya, Liechtenstein, 
Lithuania, Luxembourg, Madagascar, Mali, Malta, Morocco, Mauritania, 
Monaco, Montenegro, Nigeria, Norway, the Netherlands, Poland, Syrian 
Arab Republic, Slovakia, Czech Rep., Romania, the United Kingdom, 
Serbia, Slovenia, Sweden, Switzerland, Swaziland, Chad, Togo, Tunisia 
and Turkey, the band 47-68 MHz, in South Africa the band 47-50 MHz, and 
in Latvia the band 48.5-56.5 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. (WRC-12)
    5.165 Additional allocation: In Angola, Cameroon, Congo (Rep. of 
the), Madagascar, Mozambique, Niger, Somalia, Sudan, South 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. (WRC-
12)
    5.166 Alternative allocation: In New Zealand, the band 50-51 MHz is 
allocated to the fixed and mobile services on a primary basis; the band 
53-54 MHz is allocated to the fixed and mobile services on a primary 
basis. (WRC-12)
    5.167 Alternative allocation: in Bangladesh, Brunei Darussalam, 
India, Iran (Islamic Republic of), Pakistan, Singapore and Thailand, the 
band 50-54 MHz is allocated to the fixed, mobile and broadcasting 
services on a primary basis. (WRC-07)

[[Page 600]]

    5.167A Additional allocation: in Indonesia, the band 50-54 MHz is 
also allocated to the fixed, mobile and broadcasting services on a 
primary basis. (WRC-07)
    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, Lesotho, Malawi, Namibia, 
the 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. In Senegal, the band 50-51 MHz is allocated to the 
amateur service on a primary basis. (WRC-12)
    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, Lesotho, Malawi, Mali, 
Namibia, Dem. Rep. of the Congo, Rwanda, South Africa, Swaziland, Zambia 
and Zimbabwe, the band 54-68 MHz is also allocated to the fixed and 
mobile, except aeronautical mobile, services on a primary basis. (WRC-
12)
    5.172 Different category of service: in the French overseas 
departments and communities in Region 2, Guyana, Jamaica and Mexico, the 
allocation of the band 54-68 MHz to the fixed and mobile services is on 
a primary basis (see No. 5.33).
    5.173 Different category of service: in the French overseas 
departments and communities 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).
    5.175 Alternative allocation: in Armenia, Azerbaijan, Belarus, the 
Russian Federation, Georgia, Kazakhstan, Moldova, Uzbekistan, 
Kyrgyzstan, Tajikistan, Turkmenistan and Ukraine, the bands 68-73 MHz 
and 76-87.5 MHz are allocated to the broadcasting service on a primary 
basis. In Latvia and Lithuania, the bands 68-73 MHz and 76-87.5 MHz are 
allocated to the broadcasting and mobile, except aeronautical mobile, 
services 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. (WRC-07)
    5.176 Additional allocation: in Australia, China, Korea (Rep. of), 
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. 
(WRC-07)
    5.177 Additional allocation: in Armenia, Azerbaijan, Belarus, the 
Russian Federation, Georgia, Kazakhstan, Uzbekistan, Kyrgyzstan, 
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. (WRC-07)
    5.178 Additional allocation: In Colombia, 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. (WRC-
12)
    5.179 Additional allocation: In Armenia, Azerbaijan, Belarus, China, 
the Russian Federation, Georgia, Kazakhstan, Lithuania, Mongolia, 
Kyrgyzstan, 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. (WRC-12)
    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 and the Syrian Arab 
Republic, 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.
    5.185 Different category of service: in the United States, the 
French overseas departments and communities 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

[[Page 601]]

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, Kyrgyzstan, Somalia and 
Turkmenistan, the band 104-108 MHz is also allocated to the mobile, 
except aeronautical mobile (R), service on a secondary basis. (WRC-07)
    5.197 Additional allocation: In the Syrian Arab Republic, the band 
108-111.975 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 procedures invoked under No. 9.21. 
(WRC-12)
    5.197A Additional allocation: The band 108-117.975 MHz is also 
allocated on a primary basis to the aeronautical mobile (R) service, 
limited to systems operating in accordance with recognized international 
aeronautical standards. Such use shall be in accordance with Resolution 
413 (Rev.WRC-12). The use of the band 108-112 MHz by the aeronautical 
mobile (R) service shall be limited to systems composed of ground-based 
transmitters and associated receivers that provide navigational 
information in support of air navigation functions in accordance with 
recognized international aeronautical standards. (FCC)
    5.200 In the band 117.975-137 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 for distress 
and safety purposes with stations of the aeronautical mobile service. 
(WRC-07)
    5.201 Additional allocation: In Angola, Armenia, Azerbaijan, 
Belarus, Bulgaria, Estonia, the Russian Federation, Georgia, Hungary, 
Iran (Islamic Republic of), Iraq (Republic of), Japan, Kazakhstan, 
Latvia, Moldova, Mongolia, Mozambique, Uzbekistan, Papua New Guinea, 
Poland, Kyrgyzstan, Romania, 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. (WRC-12)
    5.202 Additional allocation: In Saudi Arabia, Armenia, Azerbaijan, 
Belarus, Bulgaria, the United Arab Emirates, the Russian Federation, 
Georgia, Iran (Islamic Republic of), Jordan, Latvia, Oman, Uzbekistan, 
Poland, the Syrian Arab Republic, Kyrgyzstan, Romania, 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. (WRC-12)
    5.204 Different category of service: in Afghanistan, Saudi Arabia, 
Bahrain, Bangladesh, Brunei Darussalam, China, Cuba, the United Arab 
Emirates, India, Indonesia, Iran (Islamic Republic of), Iraq, Kuwait, 
Montenegro, Oman, Pakistan, the Philippines, Qatar, Serbia, Singapore, 
Thailand and Yemen, the band 137-138 MHz is allocated to the fixed and 
mobile, except aeronautical mobile (R), services on a primary basis (see 
No. 5.33). (WRC-07)
    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, the Russian Federation, Finland, France, 
Georgia, Greece, Kazakhstan, Lebanon, Moldova, Mongolia, Uzbekistan, 
Poland, Kyrgyzstan, the Syrian Arab Republic, Slovakia, the Czech Rep., 
Romania, 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 
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 the relevant ITU-R Recommendation. (WRC-
07)
    5.208B In the bands:

137-138 MHz,
387-390 MHz,

[[Page 602]]

400.15-401 MHz,
1452-1492 MHz,
1525-1610 MHz,
1613.8-1626.5 MHz,
2655-2690 MHz,
21.4-22 GHz,
    Resolution 739 (Rev.WRC-07) applies. (WRC-07) (FCC)
    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 Italy, the Czech Rep. and the United 
Kingdom, 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. 
(WRC-07)
    5.211 Additional allocation: In Germany, Saudi Arabia, Austria, 
Bahrain, Belgium, Denmark, the United Arab Emirates, Spain, Finland, 
Greece, Ireland, Israel, Kenya, Kuwait, The Former Yugoslav Republic of 
Macedonia, Lebanon, Liechtenstein, Luxembourg, Mali, Malta, Montenegro, 
Norway, the Netherlands, Qatar, Slovakia, the United Kingdom, Serbia, 
Slovenia, Somalia, Sweden, Switzerland, Tanzania, Tunisia and Turkey, 
the band 138-144 MHz is also allocated to the maritime mobile and land 
mobile services on a primary basis. (WRC-12)
    5.212 Alternative allocation: In Angola, Botswana, Cameroon, the 
Central African Rep., Congo (Rep. of the), Gabon, Gambia, Ghana, Guinea, 
Iraq, Jordan, Lesotho, Liberia, Libya, Malawi, Mozambique, Namibia, 
Niger, Oman, Uganda, Syrian Arab Republic, the Dem. Rep. of the Congo, 
Rwanda, Sierra Leone, South Africa, Swaziland, Chad, Togo, Zambia and 
Zimbabwe, the band 138-144 MHz is allocated to the fixed and mobile 
services on a primary basis. (WRC-12)
    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 Eritrea, Ethiopia, Kenya, The Former 
Yugoslav Republic of Macedonia, Montenegro, Serbia, Somalia, Sudan, 
South Sudan and Tanzania, the band 138-144 MHz is also allocated to the 
fixed service on a primary basis. (WRC-12)
    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, Botswana, 
Brunei Darussalam, Bulgaria, Cameroon, China, Cyprus, Congo (Rep. of 
the), Korea (Rep. of), C[ocirc]te d'Ivoire, Croatia, Cuba, Denmark, 
Djibouti, Egypt, the United Arab Emirates, Eritrea, Spain, Estonia, 
Ethiopia, the Russian Federation, Finland, France, Gabon, Ghana, Greece, 
Guinea, Guinea Bissau, Hungary, India, Iran (Islamic Republic of), 
Ireland, Iceland, Israel, Italy, Jamaica, Japan, Jordan, Kazakhstan, 
Kenya, Kuwait, The Former Yugoslav Republic of Macedonia, Lesotho, 
Latvia, Lebanon, Libya, Liechtenstein, Lithuania, Luxembourg, Malaysia, 
Mali, Malta, Mauritania, Moldova, Mongolia, Montenegro, Mozambique, 
Namibia, Norway, New Zealand, Oman, Uganda, Uzbekistan, Pakistan, 
Panama, Papua New Guinea, Paraguay, the Netherlands, the Philippines, 
Poland, Portugal, Qatar, the Syrian Arab Republic, Kyrgyzstan, Dem. 
People's Rep. of Korea, Slovakia, Romania, the United Kingdom, Senegal, 
Serbia, Sierra Leone, Singapore, Slovenia, Sudan, Sri Lanka, South 
Africa, Sweden, Switzerland, Swaziland, Tanzania, Chad, Thailand, Togo, 
Tonga, Trinidad and Tobago, Tunisia, Turkey, Ukraine, Viet Nam, Yemen, 
Zambia and Zimbabwe. (WRC-12)
    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 603]]

    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.
    5.225A Additional allocation: In Algeria, Armenia, Azerbaijan, 
Belarus, China, the Russian Federation, France, Iran (Islamic Republic 
of), Kazakhstan, Uzbekistan, Kyrgyzstan, Tajikistan, Turkmenistan, 
Ukraine and Viet Nam, the frequency band 154-156 MHz is also allocated 
to the radiolocation service on a primary basis. The usage of the 
frequency band 154-156 MHz by the radiolocation service shall be limited 
to space-object detection systems operating from terrestrial locations. 
The operation of stations in the radiolocation service in the frequency 
band 154-156 MHz shall be subject to agreement obtained under No. 9.21. 
For the identification of potentially affected administrations in Region 
1, the instantaneous field-strength value of 12 dB([micro]V/m) for 10% 
of the time produced at 10 m above ground level in the 25 kHz reference 
frequency band at the border of the territory of any other 
administration shall be used. For the identification of potentially 
affected administrations in Region 3, the interference-to-noise ratio 
(I/N) value of -6 dB (N = -161 dBW/4 kHz), or -10 dB for applications 
with greater protection requirements, such as public protection and 
disaster relief (PPDR (N = -161 dBW/4 kHz)), for 1% of the time produced 
at 60 m above ground level at the border of the territory of any other 
administration shall be used. In the frequency bands 156.7625-156.8375 
MHz, 156.5125-156.5375 MHz, 161.9625-161.9875 MHz, 162.0125-162.0375 
MHz, out-of-band e.i.r.p. of space surveillance radars shall not exceed 
-16 dBW. Frequency assignments to the radiolocation service under this 
allocation in Ukraine shall not be used without the agreement of 
Moldova. (WRC-12)
    5.226 The frequency 156.525 MHz is the international distress, 
safety and calling frequency for the maritime mobile VHF radiotelephone 
service using digital selective calling (DSC). The conditions for the 
use of this frequency and the band 156.4875-156.5625 MHz are contained 
in Articles 31 and 52, and in Appendix 18.
    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 and the band 156.7625-
156.8375 MHz are contained in Article 31 and Appendix 18.
    In the bands 156-156.4875 MHz, 156.5625-156.7625 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 18).
    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 frequencies 156.8 MHz and 156.525 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. (WRC-07)
    5.227 Additional allocation: the bands 156.4875-156.5125 MHz and 
156.5375-156.5625 MHz are also allocated to the fixed and land mobile 
services on a primary basis. The use of these bands by the fixed and 
land mobile services shall not cause harmful interference to nor claim 
protection from the maritime mobile VHF radiocommunication service. 
(WRC-07)
    5.228 The use of the frequency bands 156.7625-156.7875 MHz and 
156.8125-156.8375 MHz by the mobile-satellite service (Earth-to-space) 
is limited to the reception of automatic identification system (AIS) 
emissions of long-range AIS broadcast messages (Message 27, see the most 
recent version of Recommendation ITU-R M.1371). With the exception of 
AIS emissions, emissions in these frequency bands by systems operating 
in the maritime mobile service for communications shall not exceed 1 W. 
(WRC-12)
    5.228A The frequency bands 161.9625-161.9875 MHz and 162.0125-
162.0375 MHz may be used by aircraft stations for the purpose of search 
and rescue operations and other safety-related communications. (WRC-12)
    5.228B The use of the frequency bands 161.9625-161.9875 MHz and 
162.0125-162.0375 MHz by the fixed and land mobile services shall not 
cause harmful interference to, or claim protection from, the maritime 
mobile service. (WRC-12)
    5.228C The use of the frequency bands 161.9625-161.9875 MHz and 
162.0125-162.0375 MHz by the maritime mobile service and the mobile-
satellite (Earth-to-space) service is limited to the automatic 
identification system (AIS). The use of these frequency bands by the 
aeronautical mobile (OR) service is limited to AIS emissions from search 
and rescue aircraft operations. The AIS operations in these frequency 
bands shall not constrain the development and use of the fixed and 
mobile services operating in the adjacent frequency bands. (WRC-12)
    5.228D The frequency bands 161.9625-161.9875 MHz (AIS 1) and 
162.0125-162.0375 MHz (AIS 2) may continue to be used by the fixed and 
mobile services on a primary basis until

[[Page 604]]

1 January 2025, at which time this allocation shall no longer be valid. 
Administrations are encouraged to make all practicable efforts to 
discontinue the use of these bands by the fixed and mobile services 
prior to the transition date. During this transition period, the 
maritime mobile service in these frequency bands has priority over the 
fixed, land mobile and aeronautical mobile services. (WRC-12)
    5.228E The use of the automatic identification system in the 
frequency bands 161.9625-161.9875 MHz and 162.0125-162.0375 MHz by the 
aeronautical mobile (OR) service is limited to aircraft stations for the 
purpose of search and rescue operations and other safety-related 
communications. (WRC-12)
    5.228F The use of the frequency bands 161.9625-161.9875 MHz and 
162.0125-162.0375 MHz by the mobile-satellite service (Earth-to-space) 
is limited to the reception of automatic identification system emissions 
from stations operating in the maritime mobile service. (WRC-12)
    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 and China, 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. (WRC-12)
    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 Congo (Rep. of the), Egypt, Eritrea, 
Ethiopia, Gambia, Guinea, Libya, Mali, Sierra Leone, Somalia and Chad, 
the band 174-223 MHz is also allocated to the fixed and mobile services 
on a secondary basis. (WRC-12)
    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 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 Syrian Arab Republic, 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.

[[Page 605]]

    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 except 
for the additional allocation made in footnote No. 5.256A.
    5.255 The bands 312-315 MHz (Earth-to-space) and 387-390 MHz (space-
to-Earth) in the mobile-satellite service may also be used by non-
geostationary-satellite systems. Such use is subject to coordination 
under No. 9.11A.
    5.256 The frequency 243 MHz is the frequency in this band for use by 
survival craft stations and equipment used for survival purposes. (WRC-
07)
    5.256A Additional allocation: in China, the Russian Federation, 
Kazakhstan and Ukraine, the band 258-261 MHz is also allocated to the 
space research service (Earth-to-space) and space operation service 
(Earth-to-space) on a primary basis. Stations in the space research 
service (Earth-to-space) and space operation service (Earth-to-space) 
shall not cause harmful interference to, nor claim protection from, nor 
constrain the use and development of the mobile service systems and 
mobile-satellite service systems operating in the band. Stations in 
space research service (Earth-to-space) and space operation service 
(Earth-to-space) shall not constrain the future development of fixed 
service systems of other countries.
    5.257 The band 267-272 MHz may be used by administrations for space 
telemetry in their countries on a primary basis, subject to agreement 
obtained under No. 9.21.
    5.258 The use of the band 328.6-335.4 MHz by the aeronautical 
radionavigation service is limited to Instrument Landing Systems (glide 
path).
    5.259 Additional allocation: In Egypt and the Syrian Arab Republic, 
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. (WRC-12)
    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, Botswana, Colombia, Cuba, Egypt, the United Arab 
Emirates, Ecuador, the Russian Federation, Georgia, Hungary, Iran 
(Islamic Republic of), Iraq, Israel, Jordan, Kazakhstan, Kuwait, 
Liberia, Malaysia, Moldova, Oman, Uzbekistan, Pakistan, the Philippines, 
Qatar, the Syrian Arab Republic, Kyrgyzstan, Singapore, Somalia, 
Tajikistan, Chad, Turkmenistan and Ukraine, the band 400.05-401 MHz is 
also allocated to the fixed and mobile services on a primary basis. 
(WRC-12)
    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). (WRC-07)
    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/
m\2\) for 0[deg] <=[delta] <=5[deg], -153 + 0.077 ([delta]-5) dB(W/
m\2\;) for 5[deg] <=[delta] <=70[deg] and -148 dB(W/m\2\) 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 606]]

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 Belarus, China, India, Kyrgyzstan 
and Turkmenistan, the band 420-460 MHz is also allocated to the 
aeronautical radionavigation service (radio altimeters) on a secondary 
basis. (WRC-07)
    5.274 Alternative allocation: In Denmark, Norway, Sweden and Chad, 
the bands 430-432 MHz and 438-440 MHz are allocated to the fixed and 
mobile, except aeronautical mobile, services on a primary basis. (WRC-
12)
    5.275 Additional allocation: In Croatia, Estonia, Finland, Libya, 
The Former Yugoslav Republic of Macedonia, Montenegro, Serbia and 
Slovenia, 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. (WRC-07)
    5.276 Additional allocation: In Afghanistan, Algeria, Saudi Arabia, 
Bahrain, Bangladesh, Brunei Darussalam, Burkina Faso, Djibouti, Egypt, 
the United Arab Emirates, Ecuador, Eritrea, Ethiopia, Greece, Guinea, 
India, Indonesia, Iran (Islamic Republic of), Iraq, Israel, Italy, 
Jordan, Kenya, Kuwait, Libya, Malaysia, Niger, Nigeria, Oman, Pakistan, 
the Philippines, Qatar, the Syrian Arab Republic, the Dem. People's Rep. 
of Korea, Singapore, Somalia, Sudan, 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. (WRC-12)
    5.277 Additional allocation: In Angola, Armenia, Azerbaijan, 
Belarus, Cameroon, Congo (Rep. of the), Djibouti, the Russian 
Federation, Georgia, Hungary, Israel, Kazakhstan, Mali, Mongolia, 
Uzbekistan, Poland, the Dem. Rep. of the Congo, Kyrgyzstan, Slovakia, 
Romania, Rwanda, Tajikistan, Chad, Turkmenistan and Ukraine, the band 
430-440 MHz is also allocated to the fixed service on a primary basis. 
(WRC-12)
    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.
    5.279A The use of this band by sensors in the Earth exploration-
satellite service (active) shall be in accordance with Recommendation 
ITU-R RS.1260-1. Additionally, the Earth exploration-satellite service 
(active) in the band 432-438 MHz shall not cause harmful interference to 
the aeronautical radionavigation service in China. The provisions of 
this footnote in no way diminish the obligation of the Earth 
exploration-satellite service (active) to operate as a secondary service 
in accordance with Nos. 5.29 and 5.30.
    5.280 In Germany, Austria, Bosnia and Herzegovina, Croatia, The 
Former Yugoslav Republic of Macedonia, Liechtenstein, Montenegro, 
Portugal, Serbia, Slovenia and Switzerland, 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. (WRC-07)
    5.281 Additional allocation: in the French overseas departments and 
communities 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.

[[Page 607]]

    5.286AA The band 450-470 MHz is identified for use by 
administrations wishing to implement International Mobile 
Telecommunications (IMT). See Resolution 224 (Rev.WRC-12). This 
identification does not preclude the use of this band by any application 
of the services to which it is allocated and does not establish priority 
in the Radio Regulations. (FCC)
    5.286B The use of the band 454-455 MHz in the countries listed in 
No. 5.286D, 455-456 MHz and 459-460 MHz in Region 2, and 454-456 MHz and 
459-460 MHz in the countries listed in No. 5.286E, by stations in the 
mobile-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 and 
Panama, the band 454-455 MHz is also allocated to the mobile-satellite 
service (Earth-to-space) on a primary basis. (WRC-07)
    5.286E Additional allocation: in Cape Verde, Nepal and Nigeria, the 
bands 454-456 MHz and 459-460 MHz are also allocated to the mobile-
satellite (Earth-to-space) service on a primary basis. (WRC-07)
    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.1174-2. (WRC-07)
    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.1174-2. (WRC-03)
    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, the Russian Federation, Japan, Kyrgyzstan, Tajikistan 
and Turkmenistan, 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. (WRC-12)
    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, the allocation of 
the band 470-512 MHz to the fixed and mobile services, and in Argentina, 
Uruguay and Venezuela to the mobile service, is on a primary basis (see 
No. 5.33), subject to agreement obtained under No. 9.21. (WRC-07)
    5.293 Different category of service: In Canada, Chile, 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 service 
is on a primary basis (see No. 5.33), subject to agreement obtained 
under No. 9.21. In Canada, Chile, Cuba, the United States, Guyana, 
Honduras, Jamaica, Mexico, Panama and Peru, the allocation of the bands 
470-512 MHz and 614-698 MHz to the mobile service 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. (WRC-12)
    5.294 Additional allocation: In Saudi Arabia, Cameroon, C[ocirc]te 
d'Ivoire, Egypt, Ethiopia, Israel, Kenya, Libya, the Syrian Arab 
Republic, South Sudan, Chad and Yemen, the band 470-582 MHz is also 
allocated to the fixed service on a secondary basis. (WRC-12)
    5.296 Additional allocation: In Albania, Germany, Saudi Arabia, 
Austria, Bahrain, Belgium, Benin, Bosnia and Herzegovina, Burkina Faso, 
Cameroon, Congo (Rep. of the), C[ocirc]te d'Ivoire, Croatia, Denmark, 
Djibouti, Egypt, United Arab Emirates, Spain, Estonia, Finland, France, 
Gabon, Ghana, Iraq, Ireland, Iceland, Israel, Italy,

[[Page 608]]

Jordan, Kuwait, Latvia, The Former Yugoslav Republic of Macedonia, 
Libya, Liechtenstein, Lithuania, Luxembourg, Mali, Malta, Morocco, 
Moldova, Monaco, Niger, Norway, Oman, the Netherlands, Poland, Portugal, 
Qatar, the Syrian Arab Republic, Slovakia, the Czech Republic, the 
United Kingdom, Sudan, Sweden, Switzerland, Swaziland, Chad, Togo, 
Tunisia and Turkey, the band 470-790 MHz, and in Angola, Botswana, 
Lesotho, Malawi, Mauritius, Mozambique, Namibia, Nigeria, South Africa, 
Tanzania, Zambia and Zimbabwe, the band 470-698 MHz are 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. 
(WRC-12)
    5.297 Additional allocation: in Canada, 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. (WRC-07)
    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 Saudi Arabia, Cameroon, Egypt, 
United Arab Emirates, Israel, Jordan, Libya, Oman, Qatar, the Syrian 
Arab Republic, Sudan and South Sudan, the band 582-790 MHz is also 
allocated to the fixed and mobile, except aeronautical mobile, services 
on a secondary basis. (WRC-12)
    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.
    5.311A For the frequency band 620-790 MHz, see also Resolution 549 
(WRC-07). (WRC-07)
    5.312 Additional allocation: in Armenia, Azerbaijan, Belarus, the 
Russian Federation, Georgia, Kazakhstan, Uzbekistan, Kyrgyzstan, 
Tajikistan, Turkmenistan and Ukraine, the band 645-862 MHz, in Bulgaria 
the bands 646-686 MHz, 726-758 MHz, 766-814 MHz and 822-862 MHz, in 
Romania the band 830-862 MHz, and in Poland, the band 830-860 MHz until 
31 December 2012 and the band 860-862 MHz until 31 December 2017, are 
also allocated to the aeronautical radionavigation service on a primary 
basis. (WRC-12)
    5.312A In Region 1, the use of the band 694-790 MHz by the mobile, 
except aeronautical mobile, service is subject to the provisions of 
Resolution 232 (WRC-12). See also Resolution 224 (Rev. WRC-12). (WRC-12)
    5.313A The band, or portions of the band 698-790 MHz, in Bangladesh, 
China, Korea (Rep. of), India, Japan, New Zealand, Pakistan, Papua New 
Guinea, Philippines and Singapore are identified for use by these 
administrations wishing to implement International Mobile 
Telecommunications (IMT). 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. In 
China, the use of IMT in this band will not start until 2015. (WRC-12)
    5.313B Different category of service: in Brazil, the allocation of 
the band 698-806 MHz to the mobile service is on a secondary basis (see 
No. 5.32). (WRC-07)
    5.314 Additional allocation: in Austria, Italy, Moldova, Uzbekistan, 
Kyrgyzstan and the United Kingdom, the band 790-862 MHz is also 
allocated to the land mobile service on a secondary basis. (WRC-12)
    5.315 Alternative allocation: in Greece, the band 790-838 MHz is 
allocated to the broadcasting service on a primary basis. (WRC-12)
    5.316 Additional allocation: in Germany, Saudi Arabia, Bosnia and 
Herzegovina, Burkina Faso, Cameroon, C[ocirc]te d'Ivoire, Croatia, 
Denmark, Egypt, Finland, Greece, Israel, Jordan, Kenya, Libya, The 
Former Yugoslav Republic of Macedonia, Liechtenstein, Mali, Monaco, 
Montenegro, Norway, the Netherlands, Portugal, the United Kingdom, the 
Syrian Arab Republic, Serbia, Sweden and Switzerland, 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. This allocation is effective until 16 June 
2015. (WRC-07)
    5.316A Additional allocation: in Spain, France, Gabon and Malta, the 
band 790-830 MHz, in Albania, Angola, Bahrain, Benin,

[[Page 609]]

Botswana, Burundi, Congo (Rep. of the), Egypt, United Arab Emirates, 
Estonia, Gambia, Ghana, Guinea, Guinea-Bissau, Hungary, Iraq, Kuwait, 
Lesotho, Latvia, Lebanon, Lithuania, Luxembourg, Malawi, Morocco, 
Mauritania, Mozambique, Namibia, Niger, Nigeria, Oman, Uganda, Poland, 
Qatar, Slovakia, Czech Rep., Romania, Rwanda, Senegal, Sudan, South 
Sudan, South Africa, Swaziland, Tanzania, Chad, Togo, Yemen, Zambia, 
Zimbabwe and French overseas departments and communities of Region 1, 
the band 790-862 MHz and in Georgia, the band 806-862 MHz are also 
allocated to the mobile, except aeronautical mobile, service on a 
primary basis subject to the agreement by the administrations concerned 
obtained under No. 9.21 and under the GE06 Agreement, as appropriate, 
including those administrations mentioned in No. 5.312 where 
appropriate. See Resolutions 224 (Rev. WRC-12) and 749 (Rev. WRC-12). 
This allocation is effective until 16 June 2015. (WRC-12)
    5.316B In Region 1, the allocation to the mobile, except 
aeronautical mobile, service on a primary basis in the frequency band 
790-862 MHz shall come into effect from 17 June 2015 and shall be 
subject to agreement obtained under No. 9.21 with respect to the 
aeronautical radionavigation service in countries mentioned in No. 
5.312. For countries party to the GE06 Agreement, the use of stations of 
the mobile service is also subject to the successful application of the 
procedures of that Agreement. Resolutions 224 (Rev. WRC-12) and 749 
(Rev. WRC-12) shall apply, as appropriate. (WRC-12)
    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 Those parts of the band 698-960 MHz in Region 2 and the band 
790-960 MHz in Regions 1 and 3 which are allocated to the mobile service 
on a primary basis are identified for use by administrations wishing to 
implement International Mobile Telecommunications (IMT)--see Resolutions 
224 (Rev. WRC-12) and 749 (Rev. WRC-12), as appropriate. 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. (WRC-12)
    5.318 Additional allocation: in Canada, the United States and 
Mexico, the bands 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, the 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 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.
    5.322 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, Burundi, Egypt, Spain, 
Lesotho, Libya, Morocco, Malawi, Namibia, Nigeria, South Africa, 
Tanzania, Zimbabwe and Zambia, subject to agreement obtained under No. 
9.21. (WRC-12)
    5.323 Additional allocation: in Armenia, Azerbaijan, Belarus, the 
Russian Federation, Kazakhstan, Uzbekistan, Kyrgyzstan, Tajikistan, 
Turkmenistan and Ukraine, the band 862-960 MHz, in Bulgaria the bands 
862-890.2 MHz and 900-935.2 MHz, in Poland the band 862-876 MHz until 31 
December 2017, and in Romania the bands 862-880 MHz and 915-925 MHz, are 
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. (WRC-12)
    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).

[[Page 610]]

    5.327A The use of the frequency band 960-1164 MHz by the 
aeronautical mobile (R) service is limited to systems that operate in 
accordance with recognized international aeronautical standards. Such 
use shall be in accordance with Resolution 417 (Rev. WRC-12). (WRC-12)
    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 Stations in the radionavigation-satellite service in the band 
1164-1215 MHz shall operate in accordance with the provisions of 
Resolution 609 (Rev.WRC-07) and shall not claim protection from stations 
in the aeronautical radionavigation service in the band 960-1215 MHz. 
No. 5.43A does not apply. The provisions of No. 21.18 shall apply. (WRC-
07)
    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; however, 
in the case of radionavigation-satellite service (space-to-space) 
networks and systems, Resolution 610 (WRC-03) shall only apply to 
transmitting space stations. In accordance with No. 5.329A, for systems 
and networks in the radionavigation-satellite service (space-to-space) 
in the bands 1215-1300 MHz and 1559-1610 MHz, the provisions of Nos. 
9.7, 9.12, 9.12A and 9.13 shall only apply with respect to other systems 
and networks in the radionavigation-satellite service (space-to-space). 
(WRC-07)
    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. Furthermore, the use of the 
radionavigation-satellite service in the band 1215-1300 MHz shall be 
subject to the condition that no harmful interference is caused to the 
radiolocation service. No. 5.43 shall not apply in respect of the 
radiolocation service. Resolution 608 (WRC-03) shall apply.
    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 radionavigation-satellite service 
(space-to-Earth) systems or on other services operating in accordance 
with the Table of Frequency Allocations. (WRC-07)
    5.330 Additional allocation: in Angola, Saudi Arabia, Bahrain, 
Bangladesh, Cameroon, China, Djibouti, Egypt, the United Arab Emirates, 
Eritrea, Ethiopia, Guyana, India, Indonesia, Iran (Islamic Republic of), 
Iraq, Israel, Japan, Jordan, Kuwait, Nepal, Oman, Pakistan, the 
Philippines, Qatar, the Syrian Arab Republic, Somalia, Sudan, South 
Sudan, Chad, Togo and Yemen, the band 1215-1300 MHz is also allocated to 
the fixed and mobile services on a primary basis. (WRC-12)
    5.331 Additional allocation: in Algeria, Germany, Saudi Arabia, 
Australia, Austria, Bahrain, Belarus, Belgium, Benin, Bosnia and 
Herzegovina, Brazil, Burkina Faso, Burundi, Cameroon, China, Korea (Rep. 
of), Croatia, Denmark, Egypt, the United Arab Emirates, Estonia, the 
Russian Federation, Finland, France, Ghana, Greece, Guinea, Equatorial 
Guinea, Hungary, India, Indonesia, Iran (Islamic Republic of), Iraq, 
Ireland, Israel, Jordan, Kenya, Kuwait, The Former Yugoslav Republic of 
Macedonia, Lesotho, Latvia, Lebanon, Liechtenstein, Lithuania, 
Luxembourg, Madagascar, Mali, Mauritania, Montenegro, Nigeria, Norway, 
Oman, Pakistan, the Netherlands, Poland, Portugal, Qatar, the Syrian 
Arab Republic, Dem. People's Rep. of Korea, Slovakia, the United 
Kingdom, Serbia, Slovenia, Somalia, Sudan, South Sudan, Sri Lanka, South 
Africa, Sweden, Switzerland, Thailand, Togo, Turkey, Venezuela and Viet 
Nam, the band 1215-1300 MHz is also allocated to the radionavigation 
service on a primary basis. In Canada and the United States, the band 
1240-1300 MHz is also allocated to the radionavigation service, and use 
of the radionavigation service shall be limited to the aeronautical 
radionavigation service. (WRC-12)
    5.332 In the band 1215-1260 MHz, active spaceborne sensors in the 
Earth exploration-satellite and space research services shall not cause 
harmful interference to, claim 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 
band 1350-1370 MHz is 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

[[Page 611]]

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 Kyrgyzstan, Slovakia and Turkmenistan, existing 
installations of the radionavigation service may continue to operate in 
the band 1350-1400 MHz. (WRC-12)
    5.338A In the bands 1350-1400 MHz, 1427-1452 MHz, 22.55-23.55 GHz, 
30-31.3 GHz, 49.7-50.2 GHz, 50.4-50.9 GHz, 51.4-52.6 GHz, 81-86 GHz and 
92-94 GHz, Resolution 750 (Rev. WRC-12) applies. (WRC-12)
    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\
---------------------------------------------------------------------------

    \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.
---------------------------------------------------------------------------

52.6-54.25 GHz,
86-92 GHz,
100-102 GHz,
109.5-111.8 GHz,
114.25-116 GHz,
148.5-151.5 GHz,
164-167 GHz,
182-185 GHz,
190-191.8 GHz,
200-209 GHz,
226-231.5 GHz,
250-252 GHz.

    5.341 In the bands 1400-1727 MHz, 101-120 GHz and 197-220 GHz, 
passive research is being conducted by some countries in a programme for 
the search for intentional emissions of extraterrestrial origin.
    5.342 Additional allocation: in Armenia, Azerbaijan, Belarus, the 
Russian Federation, Uzbekistan, Kyrgyzstan and Ukraine, the band 1429-
1535 MHz, and in Bulgaria the band 1525-1535 MHz, are 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. (WRC-12)
    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 
(Rev.WRC-03). (FCC)
    5.348 The use of the band 1518-1525 MHz by the mobile-satellite 
service is subject to coordination under No. 9.11A. In the band 1518-
1525 MHz stations in the mobile-satellite service shall not claim 
protection from the stations in the fixed service. No. 5.43A does not 
apply.
    5.348A In the band 1518-1525 MHz, the 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/m\2\) in any 4 kHz band for all 
angles of arrival, instead of those given in Table 5-2 of Appendix 5. In 
the band 1518-1525 MHz stations in the mobile-satellite service shall 
not claim protection from stations in the mobile service in the 
territory of Japan. No. 5.43A does not apply.
    5.348B In the band 1518-1525 MHz, stations in the mobile-satellite 
service shall not claim protection from aeronautical mobile telemetry 
stations in the mobile service in the territory of the United States 
(see Nos. 5.343 and 5.344) and in the countries listed in No. 5.342. No. 
5.43A does not apply.
    5.349 Different category of service: in Saudi Arabia, Azerbaijan, 
Bahrain, Cameroon, Egypt, France, Iran (Islamic Republic of), Iraq, 
Israel, Kazakhstan, Kuwait, The Former Yugoslav Republic of Macedonia,

[[Page 612]]

Lebanon, Morocco, Qatar, Syrian Arab Republic, Kyrgyzstan, Turkmenistan 
and Yemen, the allocation of the band 1525-1530 MHz to the mobile, 
except aeronautical mobile, service is on a primary basis (see No. 
5.33). (WRC-07)
    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 1518-1544 MHz, 1545-1559 MHz, 1610-
1645.5 MHz, 1646.5-1660.5 MHz, 1668-1675 MHz, 1980-2010 MHz, 2170-2200 
MHz, 2483.5-2520 MHz and 2670-2690 MHz by the mobile-satellite service, 
see Resolutions 212 (Rev. WRC-07) and 225 (Rev. WRC-12). (FCC)
    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 Algeria, Saudi Arabia, Egypt, France and French 
overseas communities of Region 3, Guinea, India, Israel, Italy, Jordan, 
Kuwait, Mali, Morocco, Mauritania, Nigeria, Oman, Pakistan, the 
Philippines, Qatar, Syrian Arab Republic, Tanzania, Viet Nam and Yemen 
notified prior to 1 April 1998. (WRC-12)
    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 (Rev. WRC-12) 
shall apply.) (FCC)
    5.354 The use of the bands 1525-1559 MHz and 1626.5-1660.5 MHz by 
the mobile-satellite services is subject to coordination under No. 
9.11A.
    5.355 Additional allocation: in Bahrain, Bangladesh, Congo (Rep. of 
the), Djibouti, Egypt, Eritrea, Iraq, Israel, Kuwait, Qatar, Syrian Arab 
Republic, Somalia, Sudan, South 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. (WRC-12)
    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 frequency 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 (Rev. WRC-
12) shall apply.) (WRC-12)
    5.359 Additional allocation: in Germany, Saudi Arabia, Armenia, 
Austria, Azerbaijan, Belarus, Benin, Cameroon, the Russian Federation, 
France, Georgia, Greece, Guinea, Guinea-Bissau, Jordan, Kazakhstan, 
Kuwait, Lithuania, Mauritania, Uganda, Uzbekistan, Pakistan, Poland, the 
Syrian Arab Republic, Kyrgyzstan, the Dem. People's Rep. of Korea, 
Romania, 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. (WRC-12)
    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.

[[Page 613]]

    5.362B Additional allocation: The band 1559-1610 MHz is also 
allocated to the fixed service on a secondary basis in Algeria, Saudi 
Arabia, Armenia, Azerbaijan, Belarus, Benin, Cameroon, Russian 
Federation, Gabon, Georgia, Guinea, Guinea-Bissau, Jordan, Kazakhstan, 
Libya, Lithuania, Mali, Mauritania, Nigeria, Uzbekistan, Pakistan, 
Poland, the Syrian Arab Republic, Kyrgyzstan, Dem. People's Rep. of 
Korea, Romania, Senegal, Tajikistan, Tanzania, Tunisia, Turkmenistan and 
Ukraine 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. (WRC-12)
    5.362C Additional allocation: in Congo (Rep. of the), Eritrea, Iraq, 
Israel, Jordan, Qatar, the Syrian Arab Republic, Somalia, Sudan, South 
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. (WRC-12)
    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 frequency band 1610-1626.5 MHz is 
also allocated to the aeronautical mobile-satellite (R) service on a 
primary basis, subject to agreement obtained under No. 9.21. (WRC-12)
    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, China, 
Eritrea, Ethiopia, India, Iran (Islamic Republic of), Israel, Lebanon, 
Liberia, Madagascar, Mali, Pakistan, Papua New Guinea, Syrian Arab 
Republic, the Dem. Rep. of the Congo, Sudan, South Sudan, 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. (WRC-12)
    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 band 1610-1626.5 MHz 
(Earth-to-space) is also allocated to the radiodetermination-satellite 
service on a secondary basis, subject to agreement obtained under No. 
9.21. (WRC-12)
    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.
    5.379 Additional allocation: in Bangladesh, India, Indonesia, 
Nigeria and Pakistan, the band 1660.5-1668.4 MHz is also allocated to

[[Page 614]]

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.
    5.379B The use of the band 1668-1675 MHz by the mobile-satellite 
service is subject to coordination under No. 9.11A. In the band 1668-
1668.4 MHz, Resolution 904 (WRC-07) shall apply. (WRC-07)
    5.379C In order to protect the radio astronomy service in the band 
1668-1670 MHz, the aggregate power flux-density values produced by 
mobile earth stations in a network of the mobile-satellite service 
operating in this band shall not exceed -181 dB(W/m\2\) in 10 MHz and -
194 dB(W/m\2\) in any 20 kHz at any radio astronomy station recorded in 
the Master International Frequency Register, for more than 2% of 
integration periods of 2000s.
    5.379D For sharing of the band 1668.4-1675 MHz between the mobile-
satellite service and the fixed and mobile services, Resolution 744 
(Rev.WRC-07) shall apply. (WRC-07)
    5.379E In the band 1668.4-1675 MHz, stations in the mobile-satellite 
service shall not cause harmful interference to stations in the 
meteorological aids service in China, Iran (Islamic Republic of), Japan 
and Uzbekistan. In the band 1668.4-1675 MHz, administrations are urged 
not to implement new systems in the meteorological aids service and are 
encouraged to migrate existing meteorological aids service operations to 
other bands as soon as practicable.
    5.380A In the band 1670-1675 MHz, stations in the mobile-satellite 
service shall not cause harmful interference to, nor constrain the 
development of, existing earth stations in the meteorological-satellite 
service notified before 1 January 2004. Any new assignment to these 
earth stations in this band shall also be protected from harmful 
interference from stations in the mobile-satellite service. (WRC-07)
    5.381 Additional allocation: in Afghanistan, Cuba, India, Iran 
(Islamic Republic of) and Pakistan, the band 1690-1700 MHz is also 
allocated to the fixed and mobile, except aeronautical mobile, services 
on a primary basis. (WRC-12)
    5.382 Different category of service: in Saudi Arabia, Armenia, 
Azerbaijan, Bahrain, Belarus, Congo (Rep. of the), Egypt, the United 
Arab Emirates, Eritrea, Ethiopia, the Russian Federation, Guinea, Iraq, 
Israel, Jordan, Kazakhstan, Kuwait, the Former Yugoslav Republic of 
Macedonia, Lebanon, Mauritania, Moldova, Mongolia, Oman, Uzbekistan, 
Poland, Qatar, the Syrian Arab Republic, Kyrgyzstan, Somalia, 
Tajikistan, Tanzania, Turkmenistan, Ukraine and Yemen, 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. (WRC-12)
    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, 2300-2400 
MHz and 2500-2690 MHz, are identified for use by administrations wishing 
to implement International Mobile Telecommunications (IMT) in accordance 
with Resolution 223 (Rev. WRC-12). 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. 
(FCC)
    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, Guam, 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 Belarus, Georgia, Kazakhstan, 
Kyrgyzstan, 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. (WRC-12)
    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 (IMT). 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 in accordance with 
Resolution 212 (Rev. WRC-07). (See also Resolution 223 (Rev. WRC-12).) 
(WRC-12) (FCC)
    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 (IMT), in accordance 
with Resolution 221 (Rev. WRC-07). Their use by IMT applications using 
high altitude platform stations as base stations does not preclude the 
use of these bands by any station in the services to

[[Page 615]]

which they are allocated and does not establish priority in the Radio 
Regulations. (WRC-12)
    5.388B In Algeria, Saudi Arabia, Bahrain, Benin, Burkina Faso, 
Cameroon, Comoros, C[ocirc]te d'Ivoire, China, Cuba, Djibouti, Egypt, 
United Arab Emirates, Eritrea, Ethiopia, Gabon, Ghana, India, Iran 
(Islamic Republic of), Israel, Jordan, Kenya, Kuwait, Libya, Mali, 
Morocco, Mauritania, Nigeria, Oman, Uganda, Pakistan, Qatar, the Syrian 
Arab Republic, Senegal, Singapore, Sudan, South Sudan, Tanzania, Chad, 
Togo, Tunisia, Yemen, Zambia and Zimbabwe, for the purpose of protecting 
fixed and mobile services, including IMT mobile stations, in their 
territories from co-channel interference, a high altitude platform 
station (HAPS) operating as an IMT base station in neighbouring 
countries, in the bands referred to in No. 5.388A, shall not exceed a 
co-channel power flux-density of -127 dB(W/(m\2\ [middot] MHz)) at the 
Earth's surface outside a country's borders unless explicit agreement of 
the affected administration is provided at the time of the notification 
of HAPS. (WRC-12)
    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 (Rev. WRC-12). (FCC)
    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 is subject to coordination 
under No. 9.11A and to the provisions of Resolution 716 (Rev. WRC-12). 
(FCC)
    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, Syrian Arab Republic 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.
    5.391 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.
    5.393 Additional allocation: in Canada, 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 
(Rev. WRC-03), with the exception of resolves 3 in regard to the 
limitation on broadcasting-satellite systems in the upper 25 MHz. (WRC-
07)
    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 2360-2400 MHz by 
the aeronautical mobile service for telemetry has priority over other 
uses by the mobile services. (WRC-07)
    5.395 In France and Turkey, 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 allocated in other countries 
shall be coordinated and notified in accordance with Resolution 33 (Rev. 
WRC-03). Complementary terrestrial broadcasting stations shall be 
subject to bilateral coordination with neighbouring countries prior to 
their bringing into use. (FCC)
    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.
    5.398A Different category of service: In Armenia, Azerbaijan, 
Belarus, the Russian Federation, Kazakhstan, Uzbekistan, Kyrgyzstan, 
Tajikistan and Ukraine, the band 2483.5-2500 MHz is allocated on a 
primary basis to the radiolocation service. The radiolocation stations 
in these countries shall not cause harmful interference to, or claim 
protection from, stations of the fixed, mobile and mobile-satellite 
services operating in accordance with the Radio Regulations in the 
frequency band 2483.5-2500 MHz. (WRC-12)
    5.399 Except for cases referred to in No. 5.401, stations of the 
radiodetermination-satellite service operating in the frequency

[[Page 616]]

band 2483.5-2500 MHz for which notification information is received by 
the Bureau after 17 February 2012, and the service area of which 
includes Armenia, Azerbaijan, Belarus, the Russian Federation, 
Kazakhstan, Uzbekistan, Kyrgyzstan, Tajikistan and Ukraine, shall not 
cause harmful interference to, and shall not claim protection from 
stations of the radiolocation service operating in these countries in 
accordance with No. 5.398A. (WRC-12)
    5.401 In Angola, Australia, Bangladesh, Burundi, China, Eritrea, 
Ethiopia, India, Iran (Islamic Republic of), Lebanon, Liberia, Libya, 
Madagascar, Mali, Pakistan, Papua New Guinea, Syrian Arab Republic, Dem. 
Rep. of the Congo, Sudan, Swaziland, Togo and Zambia, the band 2483.5-
2500 MHz was already allocated on a primary basis to the 
radiodetermination-satellite service before WRC-12, subject to agreement 
obtained under No. 9.21 from countries not listed in this provision. 
Systems in the radiodetermination-satellite service for which complete 
coordination information has been received by the Radiocommunication 
Bureau before 18 February 2012 will retain their regulatory status, as 
of the date of receipt of the coordination request information. (WRC-12)
    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 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. (WRC-07)
    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.
    5.407 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\ 
[middot] 4 kHz)) in Argentina, unless otherwise agreed by the 
administrations concerned.
    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. No. 
9.21 does not apply to tropospheric scatter links situated entirely 
outside Region 1. Administrations shall make all practicable efforts to 
avoid developing new tropospheric scatter systems in this band. When 
planning new tropospheric scatter radio-relay links in this band, all 
possible measures shall be taken to avoid directing the antennas of 
these links towards the geostationary-satellite orbit. (WRC-12)
    5.412 Alternative allocation: in Kyrgyzstan and Turkmenistan, the 
band 2500-2690 MHz is allocated to the fixed and mobile, except 
aeronautical mobile, services on a primary basis. (WRC-12)
    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) is subject to coordination 
under No. 9.11A. (WRC-07)
    5.414A In Japan and India, the use of the bands 2500-2520 MHz and 
2520-2535 MHz, under No. 5.403, by a satellite network in the mobile-
satellite service (space-to-Earth) is limited to operation within 
national boundaries and subject to the application of No. 9.11A. The 
following pfd values shall be used as a threshold for coordination under 
No. 9.11A, for all conditions and for all methods of modulation, in an 
area of 1000 km around the territory of the administration notifying the 
mobile-satellite service network:

-136 dB(W/(m\2\ [middot] MHz)) for 0[deg] <=[thetas] <=5[deg]
-136 + 0.55 ([thetas] - 5) dB(W/(m\2\ [middot] MHz)) for 5[deg] 
          <[thetas] <=25[deg]
-125 dB(W/(m\2\ [middot] MHz)) for 25[deg] <[thetas] <=90[deg]

where [thetas] is the angle of arrival of the incident wave above the 
horizontal plane, in degrees. Outside this area Table 21-4 of Article 21 
shall apply. Furthermore, the coordination thresholds in Table 5-2 of 
Annex 1 to Appendix 5 of the Radio Regulations (Edition of 2004), in 
conjunction with the applicable provisions of Articles 9 and 11 
associated with No. 9.11A, shall apply to systems for which complete 
notification information has been received by the Radicommunication 
Bureau by 14 November 2007 and that have been brought into use by that 
date. (WRC-07)
    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. (WRC-07)
    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

[[Page 617]]

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 
provisions of No. 9.19 shall be applied by administrations in this band 
in their bilateral and multilateral negotiations. (WRC-07)
    5.417A In applying provision No. 5.418, in Korea (Rep. of) and 
Japan, resolves 3 of Resolution 528 (Rev. WRC-03) is relaxed to allow 
the broadcasting-satellite service (sound) and the complementary 
terrestrial broadcasting service to additionally operate on a primary 
basis in the band 2605-2630 MHz. This use is limited to systems intended 
for national coverage. An administration listed in this provision shall 
not have simultaneously two overlapping frequency assignments, one under 
this provision and the other under No. 5.416. The provisions of No. 
5.416 and Table 21-4 of Article 21 do not apply. Use of non-
geostationary-satellite systems in the broadcasting-satellite service 
(sound) in the band 2605-2630 MHz is subject to the provisions of 
Resolution 539 (Rev. WRC-03). The power flux-density at the Earth's 
surface produced by emissions from a geostationary broadcasting-
satellite service (sound) space station operating in the band 2605-2630 
MHz for which complete Appendix 4 coordination information, or 
notification information, has been received after 4 July 2003, for all 
conditions and for all methods of modulation, shall not exceed the 
following limits:

-130 dB(W/(m\2\ [middot] MHz)) for 0[deg] <=[thetas] <=5[deg]
-130 + 0.4 ([thetas] - 5) dB(W/(m\2\ [middot] MHz)) for 5[deg] <[thetas] 
          <=25[deg]
-122 dB(W/(m\2\ [middot] MHz)) for 25[deg] <[thetas] <=90[deg]

where [thetas] is the angle of arrival of the incident wave above the 
horizontal plane, in degrees. These limits may be exceeded on the 
territory of any country whose administration has so agreed. In the case 
of the broadcasting-satellite service (sound) networks of Korea (Rep. 
of), as an exception to the limits above, the power flux-density value 
of -122 dB(W/(m\2\ [middot] MHz)) shall be used as a threshold for 
coordination under No. 9.11 in an area of 1000 km around the territory 
of the administration notifying the broadcasting-satellite service 
(sound) system, for angles of arrival greater than 35[deg].
    5.417B In Korea (Rep. of) and Japan, use of the band 2605-2630 MHz 
by non-geostationary-satellite systems in the broadcasting-satellite 
service (sound), pursuant to No. 5.417A, for which complete Appendix 4 
coordination information, or notification information, has been received 
after 4 July 2003, 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 4 July 2003, and 
No. 22.2 does not apply. No. 22.2 shall continue to apply with respect 
to geostationary-satellite networks for which complete Appendix 4 
coordination information, or notification information, is considered to 
have been received before 5 July 2003.
    5.417C Use of the band 2605-2630 MHz by non-geostationary-satellite 
systems in the broadcasting-satellite service (sound), pursuant to No. 
5.417A, for which complete Appendix 4 coordination information, or 
notification information, has been received after 4 July 2003, is 
subject to the application of the provisions of No. 9.12.
    5.417D Use of the band 2605-2630 MHz by geostationary-satellite 
networks for which complete Appendix 4 coordination information, or 
notification information, has been received after 4 July 2003 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), pursuant to No. 5.417A, and No. 22.2 does not apply.
    5.418 Additional allocation: in Korea (Rep. of), India, Japan and 
Thailand, the band 2535-2655 MHz is also allocated to the broadcasting-
satellite service (sound) and complementary terrestrial broadcasting 
service on a primary basis. Such use is limited to digital audio 
broadcasting and is subject to the provisions of Resolution 528 (Rev. 
WRC-03). The provisions of No. 5.416 and Table 21-4 of Article 21, do 
not apply to this additional allocation. Use of non-geostationary-
satellite systems in the broadcasting-satellite service (sound) is 
subject to Resolution 539 (Rev. WRC-03). Geostationary broadcasting-
satellite service (sound) systems for which complete Appendix 4 
coordination information has been received after 1 June 2005 are limited 
to systems intended for national coverage. The power flux-density at the 
Earth's surface produced by emissions from a geostationary broadcasting-
satellite service (sound) space station operating in the band 2630-2655 
MHz, and for which complete Appendix 4 coordination information has been 
received after 1 June 2005, shall not exceed the following limits, for 
all conditions and for all methods of modulation:

-130 dB (W/(m\2\ [middot] MHz)) for 0[deg] <= [theta] <= 5[deg]
-130 + 0.4 ([theta] - 5) dB (W/(m\2\ [middot] MHz)) for 5[deg] < [theta] 
<= 25[deg]
-122 dB (W/(m\2\ [middot] MHz)) for 25[deg] < [theta] <= 90[deg]

where [thgr] is the angle of arrival of the incident wave above the 
horizontal plane, in degrees. These limits may be exceeded on the 
territory of any country whose administration has so agreed. As an 
exception to the limits above, the pfd value of -122 dB(W/(m\2\ [middot] 
MHz)) shall be used as a threshold for coordination under No. 9.11 in an 
area of 1500 km

[[Page 618]]

around the territory of the administration notifying the broadcasting-
satellite service (sound) system.

    In addition, an administration listed in this provision shall not 
have simultaneously two overlapping frequency assignments, one under 
this provision and the other under No. 5.416 for systems for which 
complete Appendix 4 coordination information has been received after 1 
June 2005. (WRC-12)
    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.
    5.418B Use of the band 2630-2655 MHz by non-geostationary-satellite 
systems in the broadcasting-satellite service (sound), pursuant to No. 
5.418, 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.
    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), pursuant to No. 5.418 and No. 22.2 does not apply.
    5.419 When introducing systems of the mobile-satellite service in 
the band 2670-2690 MHz, 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. (WRC-07)
    5.420 The band 2655-2670 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. (WRC-07)
    5.422 Additional allocation: in Saudi Arabia, Armenia, Azerbaijan, 
Bahrain, Belarus, Brunei Darussalam, Congo (Rep. of the), C[ocirc]te 
d'Ivoire, Cuba, Djibouti, Egypt, the United Arab Emirates, Eritrea, 
Ethiopia, Gabon, Georgia, Guinea, Guinea-Bissau, Iran (Islamic Republic 
of), Iraq, Israel, Jordan, Kuwait, Lebanon, Mauritania, Mongolia, 
Montenegro, Nigeria, Oman, Pakistan, the Philippines, Qatar, Syrian Arab 
Republic, Kyrgyzstan, the Dem. Rep. of the Congo, Romania, Somalia, 
Tajikistan, Tunisia, Turkmenistan, Ukraine and Yemen, 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. (WRC-12)
    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.
    5.424A In the band 2900-3100 MHz, stations in the radiolocation 
service shall not cause harmful interference to, nor claim protection 
from, radar systems in the radionavigation service.
    5.425 In the band 2900-3100 MHz, the use of the shipborne 
interrogator-transponder (SIT) system 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, Mongolia, Kyrgyzstan and 
Turkmenistan, the band 3100-3300 MHz is also allocated to the 
radionavigation service on a primary basis. (WRC-12)
    5.429 Additional allocation: in Saudi Arabia, Bahrain, Bangladesh, 
Brunei Darussalam, Cameroon, China, Congo (Rep. of the), Korea (Rep. 
of), C[ocirc]te d'Ivoire, Egypt, the United Arab Emirates, India, 
Indonesia, Iran (Islamic Republic of), Iraq, Israel, Japan, Jordan, 
Kenya, Kuwait, Lebanon, Libya, Malaysia, Oman, Uganda, Pakistan, Qatar, 
the Syrian Arab Republic, the Dem. Rep. of the Congo, the 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. (WRC-12)
    5.430 Additional allocation: In Azerbaijan, Mongolia, Kyrgyzstan and 
Turkmenistan, the band 3300-3400 MHz is also allocated to

[[Page 619]]

the radionavigation service on a primary basis. (WRC-12)
    5.430A Different category of service: In Albania, Algeria, Germany, 
Andorra, Saudi Arabia, Austria, Azerbaijan, Bahrain, Belgium, Benin, 
Bosnia and Herzegovina, Botswana, Bulgaria, Burkina Faso, Cameroon, 
Cyprus, Vatican, Congo (Rep. of the), C[ocirc]te d'Ivoire, Croatia, 
Denmark, Egypt, Spain, Estonia, Finland, France and French overseas 
departments and communities in Region 1, Gabon, Georgia, Greece, Guinea, 
Hungary, Ireland, Iceland, Israel, Italy, Jordan, Kuwait, Lesotho, 
Latvia, The Former Yugoslav Republic of Macedonia, Liechtenstein, 
Lithuania, Malawi, Mali, Malta, Morocco, Mauritania, Moldova, Monaco, 
Mongolia, Montenegro, Mozambique, Namibia, Niger, Norway, Oman, 
Netherlands, Poland, Portugal, Qatar, the Syrian Arab Republic, the Dem. 
Rep. of the Congo, Slovakia, Czech Rep., Romania, United Kingdom, San 
Marino, Senegal, Serbia, Sierra Leone, Slovenia, South Africa, Sweden, 
Switzerland, Swaziland, Chad, Togo, Tunisia, Turkey, Ukraine, Zambia and 
Zimbabwe, the band 3400-3600 MHz is allocated to the mobile, except 
aeronautical mobile, service on a primary basis subject to agreement 
obtained under No. 9.21 with other administrations and is identified for 
International Mobile Telecommunications (IMT). This identification does 
not preclude the use of this band by any application of the services to 
which it is allocated and does not establish priority in the Radio 
Regulations. At the stage of coordination the provisions of Nos. 9.17 
and 9.18 also apply. Before an administration brings into use a (base or 
mobile) station of the mobile service in this band, it shall ensure that 
the power flux-density (pfd) produced at 3 m above ground does not 
exceed -154.5 dB(W/(m\2\ [sdot] 4 kHz)) for more than 20% of time at the 
border of the territory of any other administration. This limit may be 
exceeded on the territory of any country whose administration has so 
agreed. In order to ensure that the pfd limit at the border of the 
territory of any other administration is met, the calculations and 
verification shall be made, taking into account all relevant 
information, with the mutual agreement of both administrations (the 
administration responsible for the terrestrial station and the 
administration responsible for the earth station), with the assistance 
of the Bureau if so requested. In case of disagreement, the calculation 
and verification of the pfd shall be made by the Bureau, taking into 
account the information referred to above. Stations of the mobile 
service in the band 3400-3600 MHz shall not claim more protection from 
space stations than that provided in Table 21-4 of the Radio Regulations 
(Edition of 2004). This allocation is effective from 17 November 2010. 
(WRC-12)
    5.431 Additional allocation: in Germany, Israel and the United 
Kingdom, the band 3400-3475 MHz is also allocated to the amateur service 
on a secondary basis.
    5.431A Different category of service: In Argentina, Brazil, Chile, 
Costa Rica, Cuba, French overseas departments and communities in Region 
2, Dominican Republic, El Salvador, Guatemala, Mexico, Paraguay, 
Suriname, Uruguay and Venezuela, the band 3400-3500 MHz is allocated to 
the mobile, except aeronautical mobile, service on a primary basis, 
subject to agreement obtained under No. 9.21. Stations of the mobile 
service in the band 3400-3500 MHz shall not claim more protection from 
space stations than that provided in Table 21-4 of the Radio Regulations 
(Edition of 2004). (WRC-12)
    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).
    5.432A In Korea (Rep. of), Japan and Pakistan, the band 3400-3500 
MHz is identified for International Mobile Telecommunications (IMT). 
This identification does not preclude the use of this band by any 
application of the services to which it is allocated and does not 
establish priority in the Radio Regulations. At the stage of 
coordination the provisions of Nos. 9.17 and 9.18 also apply. Before an 
administration brings into use a (base or mobile) station of the mobile 
service in this band it shall ensure that the power flux-density (pfd) 
produced at 3 m above ground does not exceed -154.5 dB(W/(m\2\ 4 kHz)) 
for more than 20% of time at the border of the territory of any other 
administration. This limit may be exceeded on the territory of any 
country whose administration has so agreed. In order to ensure that the 
pfd limit at the border of the territory of any other administration is 
met, the calculations and verification shall be made, taking into 
account all relevant information, with the mutual agreement of both 
administrations (the administration responsible for the terrestrial 
station and the administration responsible for the earth station), with 
the assistance of the Bureau if so requested. In case of disagreement, 
the calculation and verification of the pfd shall be made by the Bureau, 
taking into account the information referred to above. Stations of the 
mobile service in the band 3400-3500 MHz shall not claim more protection 
from space stations than that provided in Table 21-4 of the Radio 
Regulations (Edition of 2004). (WRC-07)
    5.432B Different category of service: In Bangladesh, China, French 
overseas communities of Region 3, India, Iran (Islamic Republic of), New 
Zealand and Singapore, the band 3400-3500 MHz is allocated to the 
mobile, except aeronautical mobile, service on a primary basis, subject 
to agreement obtained under No. 9.21 with other administrations and is 
identified for International Mobile

[[Page 620]]

Telecommunications (IMT). This identification does not preclude the use 
of this band by any application of the services to which it is allocated 
and does not establish priority in the Radio Regulations. At the stage 
of coordination the provisions of Nos. 9.17 and 9.18 also apply. Before 
an administration brings into use a (base or mobile) station of the 
mobile service in this band it shall ensure that the power flux-density 
(pfd) produced at 3 m above ground does not exceed -154.5 dB(W/(m\2\ 
[sdot] 4 kHz)) for more than 20% of time at the border of the territory 
of any other administration. This limit may be exceeded on the territory 
of any country whose administration has so agreed. In order to ensure 
that the pfd limit at the border of the territory of any other 
administration is met, the calculations and verification shall be made, 
taking into account all relevant information, with the mutual agreement 
of both administrations (the administration responsible for the 
terrestrial station and the administration responsible for the earth 
station) with the assistance of the Bureau if so requested. In case of 
disagreement, the calculation and verification of the pfd shall be made 
by the Bureau, taking into account the information referred to above. 
Stations of the mobile service in the band 3400-3500 MHz shall not claim 
more protection from space stations than that provided in Table 21-4 of 
the Radio Regulations (Edition of 2004). This allocation is effective 
from 17 November 2010. (WRC-12)
    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.
    5.433A In Bangladesh, China, French overseas communities of Region 
3, Korea (Rep. of), India, Iran (Islamic Republic of), Japan, New 
Zealand and Pakistan, the band 3500-3600 MHz is identified for 
International Mobile Telecommunications (IMT). This identification does 
not preclude the use of this band by any application of the services to 
which it is allocated and does not establish priority in the Radio 
Regulations. At the stage of coordination the provisions of Nos. 9.17 
and 9.18 also apply. Before an administration brings into use a (base or 
mobile) station of the mobile service in this band it shall ensure that 
the power flux-density (pfd) produced at 3 m above ground does not 
exceed -154.5 dB (W/(m\2\ [sdot] 4 kHz)) for more than 20% of time at 
the border of the territory of any other administration. This limit may 
be exceeded on the territory of any country whose administration has so 
agreed. In order to ensure that the pfd limit at the border of the 
territory of any other administration is met, the calculations and 
verification shall be made, taking into account all relevant 
information, with the mutual agreement of both administrations (the 
administration responsible for the terrestrial station and the 
administration responsible for the earth station), with the assistance 
of the Bureau if so requested. In case of disagreement, the calculation 
and verification of the pfd shall be made by the Bureau, taking into 
account the information referred to above. Stations of the mobile 
service in the band 3500-3600 MHz shall not claim more protection from 
space stations than that provided in Table 21-4 of the Radio Regulations 
(Edition of 2004). (WRC-12)
    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), the band 
4200-4400 MHz is also allocated to the fixed service on a secondary 
basis. (WRC-12)
    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.
    5.440A In Region 2 (except Brazil, Cuba, French overseas departments 
and communities, Guatemala, Paraguay, Uruguay and Venezuela), and in 
Australia, the band 4400-4940 MHz may be used for aeronautical mobile 
telemetry for flight testing by aircraft stations (see No. 1.83). Such 
use shall be in accordance with Resolution 416 (WRC-07) and shall not 
cause harmful interference to, nor claim protection from, the fixed-
satellite and fixed services. Any such use does not preclude the use of 
this band by other mobile service applications or by other services to 
which this band is allocated on a co-primary basis and does not 
establish priority in the Radio Regulations. (WRC-07)
    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),

[[Page 621]]

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. In Region 2 (except Brazil, Cuba, Guatemala, Paraguay, 
Uruguay and Venezuela), and in Australia, the band 4825-4835 MHz is also 
allocated to the aeronautical mobile service, limited to aeronautical 
mobile telemetry for flight testing by aircraft stations. Such use shall 
be in accordance with Resolution 416 (WRC-07) and shall not cause 
harmful interference to the fixed service. (WRC-07)
    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).
    5.443AA In the frequency bands 5000-5030 MHz and 5091-5150 MHz, the 
aeronautical mobile-satellite (R) service is subject to agreement 
obtained under No. 9.21. The use of these bands by the aeronautical 
mobile-satellite (R) service is limited to internationally standardized 
aeronautical systems. (WRC-12)
    5.443B 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, 
radionavigation-satellite service systems operating in the band 5010-
5030 MHz shall comply with the limits in the band 4990-5000 MHz defined 
in Resolution 741 (Rev. WRC-12). (WRC-12)
    5.443C The use of the frequency band 5030-5091 MHz by the 
aeronautical mobile (R) service is limited to internationally 
standardized aeronautical systems. Unwanted emissions from the 
aeronautical mobile (R) service in the frequency band 5030-5091 MHz 
shall be limited to protect RNSS system downlinks in the adjacent 5010-
5030 MHz band. Until such time that an appropriate value is established 
in a relevant ITU-R Recommendation, the e.i.r.p. density limit of -75 
dBW/MHz in the frequency band 5010-5030 MHz for any AM(R)S station 
unwanted emission should be used. (WRC-12)
    5.443D In the frequency band 5030-5091 MHz, the aeronautical mobile-
satellite (R) service is subject to coordination under No. 9.11A. The 
use of this frequency band by the aeronautical mobile-satellite (R) 
service is limited to internationally standardized aeronautical systems. 
(WRC-12)
    5.444 The frequency band 5030-5150 MHz is to be used for the 
operation of the international standard system (microwave landing 
system) for precision approach and landing. In the frequency band 5030-
5091 MHz, the requirements of this system shall have priority over other 
uses of this band. For the use of the frequency band 5091-5150 MHz, No. 
5.444A and Resolution 114 (Rev. WRC-12) apply. (WRC-12)
    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 
satellite systems in the mobile-satellite service and is subject to 
coordination under No. 9.11A.
    In the band 5091-5150 MHz, the following conditions also apply:
--prior to 1 January 2018, 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 (Rev. WRC-12);
--after 1 January 2016, no new assignments shall be made to earth 
stations providing feeder links of non-geostationary mobile-satellite 
systems;
--after 1 January 2018, the fixed-satellite service will become 
secondary to the aeronautical radionavigation service. (FCC)

    5.444B The use of the frequency band 5091-5150 MHz by the 
aeronautical mobile service is limited to:

--systems operating in the aeronautical mobile (R) service and in 
accordance with international aeronautical standards, limited to surface 
applications at airports. Such use shall be in accordance with 
Resolution 748 (Rev. WRC-12);
--aeronautical telemetry transmissions from aircraft stations (see No. 
1.83) in accordance with Resolution 418 (Rev. WRC-12). (WRC-12)

[[Page 622]]

    5.446 Additional allocation: In the countries listed in No. 5.369, 
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 Bangladesh, 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. 
(WRC-12)
    5.446A The use of the bands 5150-5350 MHz and 5470-5725 MHz by the 
stations in the mobile, except aeronautical mobile, service shall be in 
accordance with Resolution 229 (Rev. WRC-12). (WRC-12)
    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.
    5.446C Additional allocation: In Region 1 (except in Algeria, Saudi 
Arabia, Bahrain, Egypt, United Arab Emirates, Jordan, Kuwait, Lebanon, 
Morocco, Oman, Qatar, Syrian Arab Republic, Sudan, South Sudan and 
Tunisia) and in Brazil, the band 5150-5250 MHz is also allocated to the 
aeronautical mobile service on a primary basis, limited to aeronautical 
telemetry transmissions from aircraft stations (see No. 1.83), in 
accordance with Resolution 418 (Rev. WRC-12). These stations shall not 
claim protection from other stations operating in accordance with 
Article 5. No. 5.43A does not apply. (WRC-12)
    5.447 Additional allocation: In C[ocirc]te d'Ivoire, Egypt, Israel, 
Lebanon, 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 (Rev. WRC-12) do not apply. (WRC-12)
    5.447A The allocation to the fixed-satellite service (Earth-to-
space) in the band 5150-5250 MHz 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, the 
Philippines, Dem. People's Rep. of Korea, Sri Lanka, Thailand and Viet 
Nam. The use of this band by the fixed service is intended for the 
implementation of fixed wireless access systems and shall comply with 
Recommendation ITU-R F.1613. In 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 fixed wireless access systems in the 
fixed service with protection for the existing radiodetermination 
systems, no more stringent constraints should be imposed on the fixed 
wireless access systems by future radiodetermination implementations. 
(WRC-07)
    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 RS.1632.
    5.448 Additional allocation: In Azerbaijan, Kyrgyzstan, Romania and 
Turkmenistan, the band 5250-5350 MHz is also allocated to the 
radionavigation service on a primary basis. (WRC-12)

[[Page 623]]

    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), Kyrgyzstan, Romania, Turkmenistan and Ukraine, the band 
5470-5650 MHz is also allocated to the aeronautical radionavigation 
service on a primary basis. (WRC-12)
    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 (Rep. of the), Korea (Rep. 
of), C[ocirc]te d'Ivoire, Djibouti, Egypt, the United Arab Emirates, 
Gabon, Guinea, Equatorial Guinea, India, Indonesia, Iran (Islamic 
Republic of), Iraq, Israel, Japan, Jordan, Kenya, Kuwait, Lebanon, 
Libya, Madagascar, Malaysia, Niger, Nigeria, Oman, Uganda, 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 (Rev. WRC-12) do not apply. (WRC-12)
    5.454 Different category of service: In Azerbaijan, the Russian 
Federation, Georgia, Kyrgyzstan, 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). (WRC-12)
    5.455 Additional allocation: in Armenia, Azerbaijan, Belarus, Cuba, 
the Russian Federation, Georgia, Hungary, Kazakhstan, Moldova, Mongolia, 
Uzbekistan, Kyrgyzstan, Tajikistan, Turkmenistan and Ukraine, the band 
5670-5850 MHz is also allocated to the fixed service on a primary basis. 
(WRC-07)
    5.456 Additional allocation: in Cameroon, the band 5755-5850 MHz is 
also allocated to the fixed service on a primary basis.
    5.457 In Australia, Burkina Faso, C[ocirc]te d'Ivoire, Mali and 
Nigeria, the allocation to the fixed service in the bands 6440-6520 MHz 
(HAPS-to-ground direction) and 6560-6640 MHz (ground-to-HAPS direction) 
may also be used by gateway links for high-altitude platform stations 
(HAPS) within the territory of these countries. Such use is limited to 
operation in HAPS gateway links and shall not cause harmful interference 
to, and shall not claim protection from, existing services, and shall be 
in compliance with Resolution 150 (WRC-12). Existing services shall not 
be constrained in future development by HAPS gateway links. The use of 
HAPS gateway links in these bands requires explicit agreement with other 
administrations whose territories are located within 1000 kilometres 
from the border of an administration intending to use the HAPS gateway 
links. (WRC-12)
    5.457A In the bands 5925-6425 MHz and 14-14.5 GHz, earth stations 
located 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, Libya, Morocco, Mauritania, Oman, Qatar, the Syrian Arab 
Republic, Sudan, South Sudan, Tunisia and Yemen, in the maritime mobile-
satellite service on a secondary basis. Such use shall

[[Page 624]]

be in accordance with Resolution 902 (WRC-03). (WRC-12)
    5.457C In Region 2 (except Brazil, Cuba, French overseas departments 
and communities, Guatemala, Paraguay, Uruguay and Venezuela), the band 
5925-6700 MHz may be used for aeronautical mobile telemetry for flight 
testing by aircraft stations (see No. 1.83). Such use shall be in 
accordance with Resolution 416 (WRC-07) and shall not cause harmful 
interference to, nor claim protection from, the fixed-satellite and 
fixed services. Any such use does not preclude the use of this band by 
other mobile service applications or by other services to which this 
band is allocated on a co-primary basis and does not establish priority 
in the Radio Regulations. (WRC-07)
    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 the 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 The use of the band 7145-7190 MHz by the space research 
service (Earth-to-space) is restricted to deep space; no emissions to 
deep space shall be effected in the band 7190-7235 MHz. Geostationary 
satellites in the space research service operating in the band 7190-7235 
MHz shall not claim protection from existing and future stations of the 
fixed and mobile services and No. 5.43A does not apply.
    5.461 Additional allocation: the bands 7250-7375 MHz (space-to-
Earth) and 7900-8025 MHz (Earth-to-space) are also allocated to the 
mobile-satellite service on a primary basis, subject to agreement 
obtained under No. 9.21.
    5.461A The use of the band 7450-7550 MHz by the meteorological-
satellite service (space-to-Earth) is limited to geostationary-satellite 
systems. Non-geostationary 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 7750-7900 MHz by the meteorological-
satellite service (space-to-Earth) is limited to non-geostationary 
satellite systems. (WRC-12)
    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 values for angles of arrival ([thgr]), without the consent of 
the affected administration:

--135 dB (W/m\2\) in a 1 MHz band for 0[ordm] <= [thgr] < 5[ordm]
--135 + 0.5 ([thgr]-5) dB (W/m\2\) in a 1 MHz band for 5[ordm] <= f < 
25[ordm]
--125 dB (W/m\2\) in a 1 MHz band for 25[ordm] <= f <= 90[ordm] (WRC-12) 
(FCC)
    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 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). (WRC-12)
    5.468 Additional allocation: In Saudi Arabia, Bahrain, Bangladesh, 
Brunei Darussalam, Burundi, Cameroon, China, Congo (Rep. of the), Costa 
Rica, Djibouti, Egypt, the United Arab Emirates, Gabon, Guyana, 
Indonesia, Iran (Islamic Republic of), Iraq, Jamaica, Jordan, Kenya, 
Kuwait, Lebanon, Libya, Malaysia, Mali, Morocco, Mauritania, Nepal, 
Nigeria, Oman, Uganda, Pakistan, Qatar, Syrian Arab Republic, the Dem. 
People's Rep. of Korea, Senegal, Singapore, Somalia, Sudan, 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. (WRC-12)

[[Page 625]]

    5.469 Additional allocation: In Armenia, Azerbaijan, Belarus, the 
Russian Federation, Georgia, Hungary, Lithuania, Mongolia, Uzbekistan, 
Poland, Kyrgyzstan, the Czech Rep., Romania, Tajikistan, Turkmenistan 
and Ukraine, the band 8500-8750 MHz is also allocated to the land mobile 
and radionavigation services on a primary basis. (WRC-12)
    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, Egypt, the United Arab Emirates, France, Greece, Indonesia, Iran 
(Islamic Republic of), Libya, the Netherlands, Qatar, Sudan and South 
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. (WRC-12)
    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, Cuba, the Russian Federation, Georgia, Hungary, Mongolia, 
Uzbekistan, Poland, Kyrgyzstan, Romania, Tajikistan, Turkmenistan and 
Ukraine, the bands 8850-9000 MHz and 9200-9300 MHz are also allocated to 
the radionavigation service on a primary basis. (WRC-07)
    5.473A In the band 9000-9200 MHz, stations operating in the 
radiolocation service shall not cause harmful interference to, nor claim 
protection from, systems identified in No. 5.337 operating in the 
aeronautical radionavigation service, or radar systems in the maritime 
radionavigation service operating in this band on a primary basis in the 
countries listed in No. 5.471. (WRC-07)
    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. (WRC-07)
    5.475A The use of the band 9300-9500 MHz by the Earth exploration-
satellite service (active) and the space research service (active) is 
limited to systems requiring necessary bandwidth greater than 300 MHz 
that cannot be fully accommodated within the 9500-9800 MHz band. (WRC-
07)
    5.475B In the band 9300-9500 MHz, stations operating in the 
radiolocation service shall not cause harmful interference to, nor claim 
protection from, radars operating in the radionavigation service in 
conformity with the Radio Regulations. Ground-based radars used for 
meteorological purposes have priority over other radiolocation uses. 
(WRC-07)
    5.476A In the band 9300-9800 MHz, stations in the Earth exploration-
satellite service (active) and space research service (active) shall not 
cause harmful interference to, nor claim protection from, stations of 
the radionavigation and radiolocation services. (WRC-07)
    5.477 Different category of service: In Algeria, Saudi Arabia, 
Bahrain, Bangladesh, Brunei Darussalam, Cameroon, Djibouti, 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, Syrian Arab Republic, 
the Dem. People's Rep. of Korea, Singapore, Somalia, Sudan, South Sudan, 
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). (WRC-12)
    5.478 Additional allocation: in Azerbaijan, Mongolia, Kyrgyzstan, 
Romania, Turkmenistan and Ukraine, the band 9800-10000 MHz is also 
allocated to the radionavigation service on a primary basis. (WRC-07)
    5.478A The use of the band 9800-9900 MHz by the Earth exploration-
satellite service (active) and the space research service (active) is 
limited to systems requiring necessary bandwidth greater than 500 MHz 
that cannot be fully accommodated within the 9300-9800 MHz band. (WRC-
07)
    5.478B In the band 9800-9900 MHz, stations in the Earth exploration-
satellite service (active) and space research service (active) shall not 
cause harmful interference to, nor claim protection from stations of the 
fixed service to which this band is allocated on a secondary basis. 
(WRC-07)
    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, 
the Netherlands Antilles, Peru and Uruguay, the band 10-10.45 GHz is 
also allocated to the fixed and mobile services on a primary basis. In 
Venezuela, the band 10-10.45 GHz is also allocated to the fixed service 
on a primary basis. (WRC-07)
    5.481 Additional allocation: In Germany, Angola, Brazil, China, 
Costa Rica, C[ocirc]te

[[Page 626]]

d'Ivoire, El Salvador, Ecuador, Spain, Guatemala, Hungary, Japan, Kenya, 
Morocco, Nigeria, Oman, Uzbekistan, Pakistan, Paraguay, Peru, the Dem. 
People's Rep. of Korea, Romania, Tanzania, Thailand and Uruguay, the 
band 10.45-10.5 GHz is also allocated to the fixed and mobile services 
on a primary basis. (WRC-12)
    5.482 In the band 10.6-10.68 GHz, the power delivered to the antenna 
of stations of the fixed and mobile, except aeronautical mobile, 
services shall not exceed -3 dBW. This limit may be exceeded, subject to 
agreement obtained under No. 9.21. However, in Algeria, Saudi Arabia, 
Armenia, Azerbaijan, Bahrain, Bangladesh, Belarus, Egypt, United Arab 
Emirates, Georgia, India, Indonesia, Iran (Islamic Republic of), Iraq, 
Jordan, Kazakhstan, Kuwait, Lebanon, Libya, Morocco, Mauritania, 
Moldova, Nigeria, Oman, Uzbekistan, Pakistan, Philippines, Qatar, Syrian 
Arab Republic, Kyrgyzstan, Singapore, Tajikistan, Tunisia, Turkmenistan 
and Viet Nam, this restriction on the fixed and mobile, except 
aeronautical mobile, services is not applicable. (WRC-07)
    5.482A For sharing of the band 10.6-10.68 GHz between the Earth 
exploration-satellite (passive) service and the fixed and mobile, except 
aeronautical mobile, services, Resolution 751 (WRC-07) applies. (WRC-07)
    5.483 Additional allocation: In Saudi Arabia, Armenia, Azerbaijan, 
Bahrain, Belarus, China, Colombia, Korea (Rep. of), Costa Rica, Egypt, 
the United Arab Emirates, Georgia, Iran (Islamic Republic of), Iraq, 
Israel, Jordan, Kazakhstan, Kuwait, Lebanon, Mongolia, Qatar, 
Kyrgyzstan, the Dem. People's Rep. of Korea, Tajikistan, Turkmenistan 
and Yemen, 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. (WRC-12)
    5.484 In Region 1, the use of the band 10.7-11.7 GHz by the fixed-
satellite service (Earth-to-space) is limited to feeder links for the 
broadcasting-satellite service.
    5.484A The use of the bands 10.95-11.2 GHz (space-to-Earth), 11.45-
11.7 GHz (space-to-Earth), 11.7-12.2 GHz (space-to-Earth) in 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 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 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.

[[Page 627]]

    5.488 The use of the band 11.7-12.2 GHz by geostationary-satellite 
networks in the fixed-satellite service in Region 2 is subject to 
application of the provisions of No. 9.14 for coordination with stations 
of terrestrial services in Regions 1, 2 and 3. For the use of the band 
12.2-12.7 GHz by the broadcasting-satellite service in Region 2, see 
Appendix 30.
    5.489 Additional allocation: in Peru, the band 12.1-12.2 GHz is also 
allocated to the fixed service on a primary basis.
    5.490 In Region 2, in the band 12.2-12.7 GHz, existing and future 
terrestrial radiocommunication services shall not cause harmful 
interference to the space services operating in conformity with the 
broadcasting-satellite Plan for Region 2 contained in Appendix 30.
    5.492 Assignments to stations of the broadcasting-satellite service 
which are in conformity with the appropriate regional Plan or included 
in the Regions 1 and 3 List in Appendix 30 may also be used for 
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/
(m\2\ [middot] 27 MHz)) for all conditions and for all methods of 
modulation at the edge of the service area.
    5.494 Additional allocation: In Algeria, Angola, Saudi Arabia, 
Bahrain, Cameroon, the Central African Rep., Congo (Rep. of the), 
C[ocirc]te d'Ivoire, Djibouti, Egypt, the United Arab Emirates, Eritrea, 
Ethiopia, Gabon, Ghana, Guinea, Iraq, Israel, Jordan, Kuwait, Lebanon, 
Libya, Madagascar, Mali, Morocco, Mongolia, Nigeria, Oman, Qatar, the 
Syrian Arab Republic, the Dem. Rep. of the Congo, Somalia, Sudan, South 
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. (WRC-12)
    5.495 Additional allocation: In France, Greece, Monaco, Montenegro, 
Uganda, Romania, Tanzania and Tunisia, the band 12.5-12.75 GHz is also 
allocated to the fixed and mobile, except aeronautical mobile, services 
on a secondary basis. (WRC-12)
    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 and India, the band 
13.25-14 GHz is also allocated to the fixed service on a primary basis. 
In Pakistan, the band 13.25-13.75 GHz is allocated to the fixed service 
on a primary basis. (WRC-12)
    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, Morocco, Mauritania, Niger, 
Nigeria, Oman, Qatar, the Syrian Arab Republic, Singapore, Sudan, South 
Sudan, Chad and Tunisia, the band 13.4-14 GHz is also allocated to the 
fixed and mobile services on a primary basis. In Pakistan, the band 
13.4-13.75 GHz is also allocated to the fixed and mobile services on a 
primary basis. (WRC-12)
    5.501 Additional allocation: In Azerbaijan, Hungary, Japan, 
Kyrgyzstan, Romania and Turkmenistan, the band 13.4-14 GHz is also 
allocated to the radionavigation service on a primary basis. (WRC-12)
    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 of a geostationary 
fixed-satellite service network shall have a minimum antenna diameter of 
1.2 m and an earth station of a non-geostationary fixed-satellite 
service system shall have a minimum antenna diameter of 4.5 m. 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 
for elevation angles above 2[deg] and 65 dBW at lower angles. Before an 
administration brings into use an earth station in a geostationary-
satellite network in the fixed-satellite service in this band with an 
antenna diameter smaller than 4.5 m, it shall ensure that the power 
flux-density produced by this earth station does not exceed:

-- -115 dB(W/(m\2\ [middot] 10 MHz)) for more than 1% of the time 
produced at 36 m above sea

[[Page 628]]

level at the low water mark, as officially recognized by the coastal 
State;
-- -115 dB(W/(m\2\ [middot] 10 MHz)) for more than 1% of the time 
produced 3 m above ground at the border of the territory of an 
administration deploying or planning to deploy land mobile radars in 
this band, unless prior agreement has been obtained.

    For earth stations within the fixed-satellite service having an 
antenna diameter greater than or equal to 4.5 m, the e.i.r.p. of any 
emission should be at least 68 dBW and should not exceed 85 dBW.
    5.503 In the band 13.75-14 GHz, 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:

--In the band 13.77-13.78 GHz, 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:

    (i) 4.7D + 28 dB (W/40 kHz), where D is the fixed-satellite service 
earth station antenna diameter (m) for antenna diameters equal to or 
greater than 1.2 m and less than 4.5 m;
    (ii) 49.2 + 20 log (D/4.5) dB(W/40 kHz), where D is the fixed-
satellite service earth station antenna diameter (m) for antenna 
diameters equal to or greater than 4.5 m and less than 31.9 m;
    (iii) 66.2 dB(W/40 kHz) for any fixed-satellite service earth 
station for antenna diameters (m) equal to or greater than 31.9 m;
    (iv) 56.2 dB(W/4 kHz) for narrow-band (less than 40 kHz of necessary 
bandwidth) fixed-satellite service earth station emissions from any 
fixed-satellite service earth station having an antenna diameter of 4.5 
m or greater;

-- the e.i.r.p. density of emissions from any earth station in the 
fixed-satellite service operating with a space station in non-
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 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. meeting the above limits in clear-sky conditions.
    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 (Islamic Republic of), Kuwait, 
Nigeria, Oman, the 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. (WRC-12)
    5.505 Additional allocation: In Algeria, Angola, Saudi Arabia, 
Bahrain, Botswana, Brunei Darussalam, Cameroon, China, Congo (Rep. of 
the), Korea (Rep. of), Djibouti, Egypt, the United Arab Emirates, Gabon, 
Guinea, India, Indonesia, Iran (Islamic Republic of), Iraq, Israel, 
Japan, Jordan, Kuwait, Lebanon, Malaysia, Mali, Morocco, Mauritania, 
Oman, the Philippines, Qatar, the Syrian Arab Republic, the Dem. 
People's Rep. of Korea, Singapore, Somalia, Sudan, South Sudan, 
Swaziland, Tanzania, Chad, Viet Nam and Yemen, the band 14-14.3 GHz is 
also allocated to the fixed service on a primary basis. (WRC-12)
    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 Bureau prior to 
5 July 2003.

[[Page 629]]

    5.506B Earth stations located on board vessels communicating with 
space stations in the fixed-satellite service may operate in the 
frequency band 14-14.5 GHz without the need for prior agreement from 
Cyprus, Greece and Malta, within the minimum distance given in 
Resolution 902 (WRC-03) from these countries.
    5.508 Additional allocation: In Germany, France, Italy, Libya, The 
Former Yugoslav Rep. of Macedonia and the United Kingdom, the band 
14.25-14.3 GHz is also allocated to the fixed service on a primary 
basis. (WRC-12)
    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 (Islamic 
Republic of), Italy, Kuwait, Nigeria, Oman, the 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. (WRC-12)
    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 
(Islamic Republic of), Italy, Kuwait, Morocco, Nigeria, Oman, the 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. (WRC-12)
    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, Cameroon, 
Egypt, the United Arab Emirates, Guinea, Iran (Islamic Republic of), 
Iraq, Israel, Kuwait, Lebanon, Oman, Pakistan, Qatar, the Syrian Arab 
Republic and Somalia, the band 15.35-15.4 GHz is also allocated to the 
fixed and mobile services on a secondary basis. (WRC-12)
    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/m\2\) 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).
    5.511E In the frequency band 15.4-15.7 GHz, stations operating in 
the radiolocation service shall not cause harmful interference to, or 
claim protection from, stations operating

[[Page 630]]

in the aeronautical radionavigation service. (WRC-12)
    5.511F In order to protect the radio astronomy service in the 
frequency band 15.35-15.4 GHz, radiolocation stations operating in the 
frequency band 15.4-15.7 GHz shall not exceed the power flux-density 
level of -156 dB(W/m\2\) in a 50 MHz bandwidth in the frequency band 
15.35-15.4 GHz, at any radio astronomy observatory site for more than 2 
per cent of the time. (WRC-12)
    5.512 Additional allocation: In Algeria, Angola, Saudi Arabia, 
Austria, Bahrain, Bangladesh, Brunei Darussalam, Cameroon, Congo (Rep. 
of the), Costa Rica, Egypt, El Salvador, the United Arab Emirates, 
Eritrea, Finland, Guatemala, India, Indonesia, Iran (Islamic Republic 
of), Jordan, Kenya, Kuwait, Lebanon, Libya, Malaysia, Mali, Morocco, 
Mauritania, Montenegro, Nepal, Nicaragua, Niger, Oman, Pakistan, Qatar, 
Syrian Arab Republic, the Dem. Rep. of the Congo, Serbia, Singapore, 
Somalia, Sudan, South Sudan, Tanzania, Chad, Togo and Yemen, the band 
15.7-17.3 GHz is also allocated to the fixed and mobile services on a 
primary basis. (WRC-12)
    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, Angola, Saudi Arabia, 
Bahrain, Bangladesh, Cameroon, El Salvador, the United Arab Emirates, 
Guatemala, India, Iran (Islamic Republic of), Iraq, Israel, Italy, 
Japan, Jordan, Kuwait, Libya, Lithuania, Nepal, Nicaragua, Nigeria, 
Oman, Uzbekistan, Pakistan, Qatar, Kyrgyzstan, Sudan and South Sudan, 
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. (WRC-12)
    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 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.
    5.516A In the band 17.3-17.7 GHz, earth stations of the fixed-
satellite service (space-to-Earth) in Region 1 shall not claim 
protection from the broadcasting-satellite service feeder-link earth 
stations operating under Appendix 30A, nor put any limitations or 
restrictions on the locations of the broadcasting-satellite service 
feeder-link earth stations anywhere within the service area of the 
feeder link.
    5.516B The following bands are identified for use by high-density 
applications in the fixed-satellite service:

17.3-17.7 GHz (space-to-Earth) in Region 1,
18.3-19.3 GHz (space-to-Earth) in Region 2,
19.7-20.2 GHz (space-to-Earth) in all Regions,
39.5-40 GHz (space-to-Earth) in Region 1,
40-40.5 GHz (space-to-Earth) in all Regions,
40.5-42 GHz (space-to-Earth) in Region 2,
47.5-47.9 GHz (space-to-Earth) in Region 1,
48.2-48.54 GHz (space-to-Earth) in Region 1,
49.44-50.2 GHz (space-to-Earth) in Region 1, and
27.5-27.82 GHz (Earth-to-space) in Region 1,
28.35-28.45 GHz (Earth-to-space) in Region 2,
28.45-28.94 GHz (Earth-to-space) in all Regions,
28.94-29.1 GHz (Earth-to-space) in Regions 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 Radio Regulations among users of the bands. 
Administrations should take this into

[[Page 631]]

account when considering regulatory provisions in relation to these 
bands. See Resolution 143 (Rev.WRC-07). (FCC)
    5.517 In Region 2, use of the fixed-satellite (space-to-Earth) 
service in the band 17.7-17.8 GHz shall not cause harmful interference 
to nor claim protection from assignments in the broadcasting-satellite 
service operating in conformity with the Radio Regulations. (WRC-07)
    5.519 Additional allocation: The bands 18-18.3 GHz in Region 2 and 
18.1-18.4 GHz in Regions 1 and 3 are also allocated to the 
meteorological-satellite service (space-to-Earth) on a primary basis. 
Their use is limited to geostationary satellites. (WRC-07)
    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 and Greece, the band 18.1-18.4 GHz is allocated to the fixed, 
fixed-satellite (space-to-Earth) and mobile services on a primary basis 
(see No. 5.33). The provisions of No. 5.519 also apply.
    5.522A The emissions of the fixed service and the fixed-satellite 
service in the band 18.6-18.8 GHz are limited to the values given in 
Nos. 21.5A and 21.16.2, respectively.
    5.522B The use of the band 18.6-18.8 GHz by the fixed-satellite 
service is limited to geostationary systems and systems with an orbit of 
apogee greater than 20000 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, the Syrian Arab Republic, 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.
    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, Brunei Darussalam, Cameroon, China, Congo (Rep. of 
the), 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 Syrian Arab Republic, the 
Dem. Rep. of the Congo, the Dem. People's Rep. of Korea, Singapore, 
Somalia, Sudan, South 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. (WRC-12)
    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

[[Page 632]]

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.
    5.530A Unless otherwise agreed between the administrations 
concerned, any station in the fixed or mobile services of an 
administration shall not produce a power flux-density in excess of -
120.4 dB(W/(m\2\ [middot] MHz)) at 3 m above the ground of any point of 
the territory of any other administration in Regions 1 and 3 for more 
than 20% of the time. In conducting the calculations, administrations 
should use the most recent version of Recommendation ITU-R P.452 (see 
Recommendation ITU-R BO.1898). (WRC-12)
    5.530B In the band 21.4-22 GHz, in order to facilitate the 
development of the broadcasting-satellite service, administrations in 
Regions 1 and 3 are encouraged not to deploy stations in the mobile 
service and are encouraged to limit the deployment of stations in the 
fixed service to point-to-point links. (WRC-12)
    5.530C The use of the band 21.4-22 GHz is subject to the provisions 
of Resolution 755 (WRC-12). (WRC-12)
    5.530D See Resolution 555 (WRC-12). (WRC-12)
    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.
    5.532A The location of earth stations in the space research service 
shall maintain a separation distance of at least 54 km from the 
respective border(s) of neighbouring countries to protect the existing 
and future deployment of fixed and mobile services unless a shorter 
distance is otherwise agreed between the corresponding administrations. 
Nos. 9.17 and 9.18 do not apply. (WRC-12)
    5.532B Use of the band 24.65-25.25 GHz in Region 1 and the band 
24.65-24.75 GHz in Region 3 by the fixed-satellite service (Earth-to-
space) is limited to earth stations using a minimum antenna diameter of 
4.5 m. (WRC-12)
    5.533 The inter-satellite service shall not claim protection from 
harmful interference from airport surface detection equipment stations 
of the radionavigation service.
    5.535 In the band 24.75-25.25 GHz, feeder links to stations of the 
broadcasting-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.
    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 operating earth stations in the Earth 
exploration-satellite service or the space research service shall not 
claim protection from stations in the fixed and mobile services operated 
by other administrations. In addition, earth stations in the Earth 
exploration-satellite service or in the space research service should be 
operated taking into account the most recent version of Recommendation 
ITU-R SA.1862. (WRC-12)
    5.536B In Saudi Arabia, Austria, Belgium, Brazil, Bulgaria, China, 
Korea (Rep. of), Denmark, Egypt, United Arab Emirates, Estonia, Finland, 
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, the Syrian Arab Republic, Dem. People's Rep. of Korea, 
Slovakia, the

[[Page 633]]

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. (WRC-12)
    5.536C In Algeria, Saudi Arabia, Bahrain, Botswana, Brazil, 
Cameroon, Comoros, Cuba, Djibouti, Egypt, United Arab Emirates, Estonia, 
Finland, Iran (Islamic Republic of), Israel, Jordan, Kenya, Kuwait, 
Lithuania, Malaysia, Morocco, Nigeria, Oman, Qatar, Syrian Arab 
Republic, Somalia, Sudan, South Sudan, Tanzania, Tunisia, Uruguay, 
Zambia and Zimbabwe, earth stations operating in the space research 
service in the band 25.5-27 GHz shall not claim protection from, or 
constrain the use and deployment of, stations of the fixed and mobile 
services. (WRC-12)
    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, Cameroon, Korea (Rep. of), the Russian Federation, 
India, Indonesia, Iran (Islamic Republic of), Iraq, Japan, Kazakhstan, 
Malaysia, Maldives, Mongolia, Myanmar, Uzbekistan, Pakistan, the 
Philippines, Kyrgyzstan, the Dem. People's Rep. of Korea, Sudan, Sri 
Lanka, Thailand and Viet Nam, the allocation to the fixed service in the 
band 27.9-28.2 GHz may also be used by high altitude platform stations 
(HAPS) within the territory of these countries. Such use of 300 MHz of 
the fixed-service allocation by HAPS in the above countries is further 
limited to operation in the HAPS-to-ground direction and shall not cause 
harmful interference to, nor claim protection from, other types of 
fixed-service systems or other co-primary services. Furthermore, the 
development of these other services shall not be constrained by HAPS. 
See Resolution 145 (Rev. WRC-12). (WRC-12)
    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. 
(WRC-07)
    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, 
Brunei Darussalam, Cameroon, China, Congo (Rep. of the), Egypt, the 
United Arab Emirates, Eritrea, Ethiopia, Guinea, India, Iran (Islamic 
Republic of), Iraq, Japan, Jordan, Kuwait, Lebanon, Malaysia, Mali, 
Morocco, Mauritania, Nepal, Oman, Pakistan, Philippines, Qatar, the 
Syrian Arab Republic, the Dem. People's Rep. of Korea, Somalia, Sudan, 
South 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. (WRC-12)
    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, Cameroon, Korea (Rep. of), the Russian Federation, 
India, Indonesia, Iran (Islamic Republic of), Iraq, Japan, Kazakhstan, 
Malaysia, Maldives, Mongolia, Myanmar, Uzbekistan, Pakistan, the 
Philippines, Kyrgyzstan, the Dem. People's Rep. of Korea, Sudan, Sri 
Lanka, Thailand and Viet Nam, the allocation to the fixed service in the 
band 31-31.3 GHz may also be used by systems using high altitude 
platform stations (HAPS) in the ground-to-HAPS direction. The use of the 
band 31-31.3 GHz by systems using HAPS is limited to the territory of 
the countries listed above and shall not cause harmful interference to, 
nor claim protection from, other types of fixed-service systems, systems 
in the mobile service and systems operated under No. 5.545. Furthermore, 
the development of these services shall not be constrained by HAPS. 
Systems using HAPS in the band 31-31.3 GHz shall not

[[Page 634]]

cause harmful interference to the radio astronomy service having a 
primary allocation in the band 31.3-31.8 GHz, taking into account the 
protection criterion as given in Recommendation ITU-R RA.769. In order 
to ensure the protection of satellite passive services, the level of 
unwanted power density into a HAPS ground station antenna in the band 
31.3-31.8 GHz shall be limited to -106 dB(W/MHz) under clear-sky 
conditions, and may be increased up to -100 dB(W/MHz) under rainy 
conditions to mitigate fading due to rain, provided the effective impact 
on the passive satellite does not exceed the impact under clear-sky 
conditions. See Resolution 145 (Rev. WRC-12). (WRC-12)
    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, Georgia, 
Kyrgyzstan, Tajikistan and Turkmenistan, the allocation of the band 31-
31.3 GHz to the space research service is on a primary basis (see No. 
5.33). (WRC-12)
    5.546 Different category of service: In Saudi Arabia, Armenia, 
Azerbaijan, Belarus, Egypt, the United Arab Emirates, Spain, Estonia, 
the Russian Federation, Georgia, Hungary, Iran (Islamic Republic of), 
Israel, Jordan, Lebanon, Moldova, Mongolia, Oman, Uzbekistan, Poland, 
the Syrian Arab Republic, Kyrgyzstan, Romania, the United Kingdom, South 
Africa, Tajikistan, Turkmenistan and Turkey, the allocation of the band 
31.5-31.8 GHz to the fixed and mobile, except aeronautical mobile, 
services is on a primary basis (see No. 5.33). (WRC-12)
    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 Resolution 75 (WRC-12)). 
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. (FCC)
    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 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 service in the 
band 32.3-33 GHz, for the radionavigation service in the band 32-33 GHz, 
and for the space research service (deep space) in the band 31.8-32.3 
GHz, 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, Morocco, Mauritania, Nepal, Nigeria, Oman, Pakistan, the 
Philippines, Qatar, the Syrian Arab Republic, the Dem. Rep. of the 
Congo, Singapore, Somalia, Sudan, South 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. (WRC-12)
    5.549A In the band 35.5-36.0 GHz, the mean power flux-density at the 
Earth's surface, generated by any spaceborne sensor in the Earth 
exploration-satellite service (active) or space research service 
(active), for any angle greater than 0.8[deg] from the beam centre shall 
not exceed -73.3 dB(W/m2) in this band.
    5.550 Different category of service: In Armenia, Azerbaijan, 
Belarus, the Russian Federation, Georgia, Kyrgyzstan, Tajikistan and 
Turkmenistan, the allocation of the band 34.7-35.2 GHz to the space 
research service is on a primary basis (see No. 5.33). (WRC-12)
    5.550A For sharing of the band 36-37 GHz between the Earth 
exploration-satellite (passive) service and the fixed and mobile 
services, Resolution 752 (WRC-07) shall apply. (WRC-07)
    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 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:

-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

[[Page 635]]

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.1586-1 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 
[theta]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 
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. (WRC-07)
    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 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/m\2\) in 1 GHz and -153 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

-116 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 values shall apply at the site of any radio astronomy station 
that either:

--Was in operation prior to 5 July 2003 and has been notified to the 
Bureau before 4 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 (Rev.WRC-07). (WRC-07)
    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.
    5.555B 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/m\2\) 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 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/(m\2\ [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.

[[Page 636]]

    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/(m\2\ [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).
    5.560 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/(m\2\ [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.
    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 following frequency bands in the range 275-1000 GHz are 
identified for use by administrations for passive service applications:

--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): 275-286 GHz, 296-306 GHz, 313-356 GHz, 361-365 GHz, 
369-392 GHz, 397-399 GHz, 409-411

[[Page 637]]

GHz, 416-434 GHz, 439-467 GHz, 477-502 GHz, 523-527 GHz, 538-581 GHz, 
611-630 GHz, 634-654 GHz, 657-692 GHz, 713-718 GHz, 729-733 GHz, 750-754 
GHz, 771-776 GHz, 823-846 GHz, 850-854 GHz, 857-862 GHz, 866-882 GHz, 
905-928 GHz, 951-956 GHz, 968-973 GHz and 985-990 GHz.

    The use of the range 275-1000 GHz by the passive services does not 
preclude use of this range by active services. Administrations wishing 
to make frequencies in the 275-1000 GHz range available for active 
service applications are urged to take all practicable steps to protect 
these passive services from harmful interference until the date when the 
Table of Frequency Allocations is established in the above-mentioned 
275-1000 GHz frequency range.
    All frequencies in the range 1000-3000 GHz may be used by both 
active and passive services. (WRC-12)

                      United States (US) Footnotes

(These footnotes, each consisting of the letters ``US'' followed by one 
or more digits, denote stipulations applicable to both Federal and non-
Federal operations and thus appear in both the Federal Table and the 
non-Federal Table.)
    US1 The bands 2501-2502 kHz, 5003-5005 kHz, 10003-10005 kHz, 15005-
15010 kHz, 19990-19995 kHz, 20005-20010 kHz, and 25005-25010 kHz are 
also allocated to the space research service on a secondary basis for 
Federal use. In the event of interference to the reception of the 
standard frequency and time broadcasts, these space research 
transmissions are subject to immediate temporary or permanent shutdown.
    US2 In the band 9-490 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 provisions of 47 CFR part 
15, or Chapter 8 of the NTIA Manual, on an unprotected and non-
interference basis with respect to authorized radio users. Notification 
of intent to place new or revised radio frequency assignments or PLC 
frequency uses in the band 9-490 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 extent practicable. This footnote 
does not provide any allocation status to PLC radio frequency uses.
    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 On the condition that harmful interference is not caused to 
present or future Federal stations in the band 162-174 MHz, the 
frequencies 166.25 MHz and 170.15 MHz may be authorized to non-Federal 
stations, as follows:
    (a) Eligibles in the Public Safety Radio Pool may be authorized to 
operate in the fixed and land mobile services for locations within 150 
miles (241.4 kilometers) of New York City; and
    (b) Remote pickup broadcast stations may be authorized to operate in 
the land mobile service for locations within the conterminous United 
States, excluding locations within 150 miles of New York City and the 
Tennessee Valley Authority Area (TVA Area). The TVA Area is bounded on 
the west by the Mississippi River, on the north by the parallel of 
latitude 37[deg]30[min] N, and on the east and south by that arc of the 
circle with center at Springfield, IL, and radius equal to the airline 
distance between Springfield, IL, and Montgomery, AL, subtended between 
the foregoing west and north boundaries.
    US13 The following center frequencies, each with a channel bandwidth 
not greater than 12.5 kHz, are available for assignment to non-Federal 
fixed stations for the specific purpose of transmitting hydrological and 
meteorological data in cooperation with Federal agencies, subject to the 
condition that harmful interference will not be caused to Federal 
stations:

                          Hydro Channels (MHz)
------------------------------------------------------------------------
 
------------------------------------------------------------------------
169.425..............................    170.2625    171.100    406.1250
169.4375.............................    170.275     171.1125   406.1750
169.450..............................    170.2875    171.125    412.6625
169.4625.............................    170.300     171.825    412.6750
169.475..............................    170.3125    171.8375   412.6875
169.4875.............................    170.325     171.850    412.7125
169.500..............................    171.025     171.8625   412.7250
169.5125.............................    171.0375    171.875    412.7375
169.525..............................    171.050     171.8875   412.7625
170.225..............................    171.0625    171.900    412.7750
170.2375.............................    171.075     171.9125   415.1250
170.250..............................    171.0875    171.925    415.1750
------------------------------------------------------------------------

    New assignments on the frequencies 406.125 MHz and 406.175 MHz are 
to be primarily for paired operations with the frequencies 415.125 MHz 
and 415.175 MHz, respectively.
    US14 When 500 kHz is being used for distress purposes, ship and 
coast stations using morse telegraph may use 512 kHz for calling.
    US18 In the bands 9-14 kHz, 90-110 kHz, 190-415 kHz, 510-535 kHz, 
and 2700-2900 MHz, navigation aids in the U.S. and its insular

[[Page 638]]

areas are normally operated by the Federal Government. However, 
authorizations may be made by the FCC for non-Federal 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.
    US22 The following provisions shall apply to non-Federal use of 68 
carrier frequencies in the range 2-8 MHz, which are not coordinated with 
NTIA:
    (a) The frequencies authorized pursuant to 47 CFR 90.264 (Disaster 
Communications) and 47 CFR 90.266 (Long Distance Communications) are 
listed in columns 1-2 and columns 3-5, respectively. All stations are 
restricted to emission designator 2K80J3E, upper sideband transmissions, 
a maximum transmitter output power of 1 kW PEP, and to the class of 
station(s) listed in the column heading (i.e., fixed (FX) for all 
frequencies; base and mobile (FB and ML) for the frequencies in column 1 
and 3; itinerant FX for the frequencies in columns 4-5).
    (b) Use, Geographic, and Time Restrictions. Letter(s) to the right 
of a frequency indicate that the frequency is available only for the 
following purpose(s):

--A or I: Alternate channel or Interstate coordination.
--C, E, M, or W: For stations located in the Conterminous U.S., East of 
108[deg] West Longitude (WL), West of the Mississippi River, or West of 
90[deg] WL.
--D or N: From two hours after local sunrise until two hours before 
local sunset (i.e., Day only operations) or from two hours prior to 
local sunset until two hours after local sunrise (i.e., Night only 
operations).

                                       Preferred Carrier Frequencies (kHz)
----------------------------------------------------------------------------------------------------------------
 
----------------------------------------------------------------------------------------------------------------
          Disaster communications       Long distance communications
----------------------------------------------------------------------------------------------------------------
     FX, FB, ML                FX                FX, FB, ML                  FX (including itinerant)
----------------------------------------------------------------------------------------------------------------
2326 ... I            5135 ... A            2289                  5046.6 ... E          7480.1
2411                  5140 ... A, I         2292                  5052.6 ... E          7483.1
2414                  5192 ... I            2395                  5055.6 ... E          7486.1 ... E
2419                  5195 ... I            2398                  5061.6 ... W          7549.1 ... D
                     --------------------------------------------
2422                  7477 ... A            3170                  5067.6                7552.1
                                           ----------------------
2439                  7480 ... A            4538.6 ... N          5074.6 ... E          7555.1 ... W
2463                  7802 ... D            4548.6 ... N          5099.1                7558.1 ... W
2466                  7805 ... I            4575                  5102.1                7559.1 ... W
2471                  7932                  4610.5                5313.6                7562.1 ... W
2474                  7935 ... C, D         4613.5                ....................  7697.1
                                                                 ----------------------
2487                  ....................  4634.5                6800.1 ... N
---------------------
2511                  ....................  4637.5                6803.1
2535                  ....................  4647                  6806.1 ... W
2569                  ....................  ....................  6855.1 ... N, M
2587                  ....................  ....................  6858.1 ... N
2801                  ....................  ....................  6861.1 ... W
2804 ... A            ....................  ....................  6885.1 ... N
2812                  ....................  ....................  6888.1 ... N
----------------------------------------------------------------------------------------------------------------

    Note: To determine the assigned frequency, add 1.4 kHz to the 
carrier frequency. Other emission designators may be authorized within 
the 2.8 kHz maximum necessary bandwidth pursuant to 47 CFR 90.264 and 
90.266.

    US23 In the band 5330.5-5406.4 kHz (60 m band), the assigned 
frequencies 5332, 5348, 5358.5, 5373, and 5405 kHz are allocated to the 
amateur service on a secondary basis. Amateur service use of the 60 m 
band frequencies is restricted to a maximum effective radiated power of 
100 W PEP and to the following emission types and designators: phone 
(2K80J3E), data (2K80J2D), RTTY (60H0J2B), and CW (150HA1A). Amateur 
operators using the data and RTTY emissions must exercise care to limit 
the length of transmissions so as to avoid causing harmful interference 
to Federal stations.

[[Page 639]]

    US25 The use of frequencies in the band 25.85-26.175 MHz may be 
authorized in any area to non-Federal remote pickup broadcast base and 
mobile stations on the condition that harmful interference is not caused 
to stations of the broadcasting service in the band 25.85-26.1 MHz and 
to stations of the maritime mobile service in the band 26.1-26.175 MHz. 
Frequencies within the band 26.1-26.175 MHz may also be assigned for use 
by low power auxiliary stations.
    US26 The bands 117.975-121.4125 MHz, 123.5875-128.8125 MHz and 
132.0125-136.0 MHz are for air traffic control communications.
    US28 The band 121.5875-121.9375 MHz is for use by aeronautical 
utility land and mobile stations, and for air traffic control 
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 Federal 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 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.
    US36 In Hawaii, the bands 120.647-120.653 MHz and 127.047-127.053 
MHz are also allocated to the aeronautical mobile service on a primary 
basis for non-Federal aircraft air-to-air communications on 120.65 MHz 
(Maui) and 127.05 MHz (Hawaii and Kauai) as specified in 47 CFR 87.187.
    US41 In the band 2450-2500 MHz, the Federal radiolocation service is 
permitted on condition that harmful interference is not caused to non-
Federal services.
    US44 In the band 2900-3100 MHz, the non-Federal radiolocation 
service may be authorized on the condition that no harmful interference 
is caused to Federal services.
    US49 In the band 5460-5470 MHz, the non-Federal radiolocation 
service may be authorized on the condition that it does not cause 
harmful interference to the aeronautical or maritime radionavigation 
services or to the Federal radiolocation service.
    US50 In the band 5470-5650 MHz, the radiolocation service may be 
authorized for non-Federal use on the condition that harmful 
interference is not caused to the maritime radionavigation service or to 
the Federal radiolocation service.
    US52 In the VHF maritime mobile band (156-162 MHz), the following 
provisions shall apply:
    (a) Except as provided for below, the use of the bands 161.9625-
161.9875 MHz (AIS 1 with center frequency 161.975 MHz) and 162.0125-
162.0375 MHz (AIS 2 with center frequency 162.025 MHz) by the maritime 
mobile and mobile-satellite (Earth-to-space) services is restricted to 
Automatic Identification Systems (AIS). The use of these bands by the 
aeronautical mobile (OR) service is restricted to AIS emissions from 
search and rescue aircraft operations. Frequencies in the AIS 1 band may 
continue to be used by non-Federal base, fixed, and land mobile stations 
until March 2, 2024.
    (b) Except as provided for below, the use of the bands 156.7625-
156.7875 MHz (AIS 3 with center frequency 156.775 MHz) and 156.8125-
156.8375 MHz (AIS 4 with center frequency 156.825 MHz) by the mobile-
satellite service (Earth-to-space) is restricted to the reception of 
long-range AIS broadcast messages from ships (Message 27; see most 
recent version of Recommendation ITU-R M.1371). The frequencies 156.775 
MHz and 156.825 MHz may continue to be used by non-Federal ship and 
coast stations for navigation-related port operations or ship movement 
until August 26, 2019.
    (c) The frequency 156.3 MHz may also be used by aircraft stations 
for the purpose of search and rescue operations and other safety-related 
communication.
    (d) Federal stations in the maritime mobile service may also be 
authorized as follows: (1) 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; (2) Inter-ship use 
of the frequency 156.3 MHz on

[[Page 640]]

a simplex basis; (3) 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; (4) Port operations use on a simplex 
basis by coast and ship stations on the frequencies 156.6 and 156.7 MHz; 
(5) Environmental communications on the frequency 156.75 MHz in 
accordance with the national plan; and (6) Duplex port operations use of 
the frequencies 157 MHz for ship stations and 161.6 MHz for coast 
stations.
    US53 In view of the fact that the band 13.25-13.4 GHz is allocated 
to doppler navigation aids, Federal and non-Federal 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.
    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.
    US64 (a) In the band 401-406 MHz, the mobile, except aeronautical 
mobile, service is allocated on a secondary basis and is limited to, 
with the exception of military tactical mobile stations, Medical Device 
Radiocommunication Service (MedRadio) operations. MedRadio 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 MedRadio stations 
accept interference from stations in the meteorological aids, 
meteorological-satellite, and Earth exploration-satellite services.
    (b) The bands 413-419 MHz, 426-432 MHz, 438-444 MHz, and 451-457 MHz 
are also allocated on a secondary basis to the mobile, except 
aeronautical mobile, service. The use of this allocation is limited to 
MedRadio operations. MedRadio stations are authorized by rule and 
operate in accordance with 47 CFR part 95.
    US65 The use of the band 5460-5650 MHz by the maritime 
radionavigation service is limited to shipborne radars.
    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.
    US73 The frequencies 150.775, 150.79, 152.0075, and 163.25 MHz, and 
the bands 462.94-463.19675 and 467.94-468.19675 MHz shall be authorized 
for the purpose of delivering or rendering medical services to 
individuals (medical radiocommunication systems), and shall be 
authorized on a primary basis for Federal and non-Federal use. The 
frequency 152.0075 MHz may also be used for the purpose of conducting 
public safety radio communications that include, but are not limited to, 
the delivering or rendering of medical services to individuals.
    (a) The use of the frequencies 150.775 and 150.79 MHz is restricted 
to mobile stations operating with a maximum e.r.p. of 100 watts. 
Airborne operations are prohibited.
    (b) The use of the frequencies 152.0075 and 163.25 MHz is restricted 
to base stations that are authorized only for one-way paging 
communications to mobile receivers. Transmissions for the purpose of 
activating or controlling remote objects on these frequencies shall not 
be authorized.
    (c) Non-Federal licensees in the Public Safety Radio Pool holding a 
valid authorization on May 27, 2005, to operate on the frequencies 
150.7825 and 150.7975 MHz may, upon proper renewal application, continue 
to be authorized for such operation; provided that harmful interference 
is not caused to present or future Federal stations in the band 150.05-
150.8 MHz and, should harmful interference result, that the interfering 
non-Federal operation shall immediately terminate.
    US74 In the bands 25.55-25.67, 73-74.6, 406.1-410, 608-614, 1400-
1427, 1660.5-1670, 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 unwanted emissions 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 US385.
    US79 In the bands 1390-1400 MHz and 1427-1432 MHz, the following 
provisions shall apply:
    (a) Airborne and space-to-Earth operations are prohibited.
    (b) Federal operations (except for devices authorized by the FCC for 
the Wireless Medical Telemetry Service) are on a non-interference basis 
to non-Federal operations and shall not constrain implementation of non-
Federal operations.

[[Page 641]]

    US80 Federal stations may use the frequency 122.9 MHz subject to the 
following conditions: (a) All operations by Federal stations shall be 
restricted to the purpose for which the frequency is authorized to non-
Federal stations, and shall be in accordance with the appropriate 
provisions of the Commission's Rules and Regulations, Part 87, Aviation 
Services; (b) Use of the frequency is required for coordination of 
activities with Commission licensees operating on this frequency; and 
(c) Federal stations will not be authorized for operation at fixed 
locations.
    US81 The band 38-38.25 MHz is used by both Federal and non-Federal 
radio astronomy observatories. No new fixed or mobile assignments are to 
be made and Federal stations in the band 38-38.25 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 Engineering 
and Technology, FCC, Washington, DC 20554.
    US82 In the bands 4146-4152 kHz, 6224-6233 kHz, 8294-8300 kHz, 
12353-12368 kHz, 16528-16549 kHz, 18825-18846 kHz, 22159-22180 kHz, and 
25100-25121 kHz, the assignable frequencies may be authorized on a 
shared non-priority basis to Federal and non-Federal ship and coast 
stations (SSB telephony, with peak envelope power not to exceed 1 kW).
    US83 In the 1432-1435 MHz band, Federal stations in the fixed and 
mobile services may operate indefinitely on a primary basis at the 22 
sites listed in the table below. The first 21 sites are in the United 
States and the last site is in Guam (GU). All other Federal 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.

----------------------------------------------------------------------------------------------------------------
         State                        Site                     North               West              Radius
----------------------------------------------------------------------------------------------------------------
AK.....................  Fort Greely...................     63[deg]47[min]    145[deg]52[min]                 80
AL.....................  Redstone Arsenal..............     34[deg]35[min]    086[deg]35[min]                 80
AZ.....................  Fort Huachuca.................     31[deg]33[min]    110[deg]18[min]                 80
AZ.....................  Yuma Proving Ground...........     32[deg]29[min]    114[deg]20[min]                160
CA.....................  China Lake/Edwards AFB........     35[deg]29[min]    117[deg]16[min]                100
CA.....................  Lemoore.......................     36[deg]20[min]    119[deg]57[min]                120
FL.....................  Eglin AFB/Ft Rucker, AL.......     30[deg]28[min]    086[deg]31[min]                140
FL.....................  NAS Cecil Field...............     30[deg]13[min]    081[deg]52[min]                160
MD.....................  Patuxent River................     38[deg]17[min]    076[deg]24[min]                 70
ME.....................  Naval Space Operations Center.     44[deg]24[min]    068[deg]01[min]                 80
MI.....................  Alpene Range..................     44[deg]23[min]    083[deg]20[min]                 80
MS.....................  Camp Shelby...................     31[deg]20[min]    089[deg]18[min]                 80
NC.....................  MCAS Cherry Point.............     34[deg]54[min]    076[deg]53[min]                100
NM.....................  White Sands Missile Range/         32[deg]11[min]    106[deg]20[min]                160
                          Holloman AFB.
NV.....................  NAS Fallon....................     39[deg]30[min]    118[deg]46[min]                100
NV.....................  Nevada Test and Training Range     37[deg]29[min]    114[deg]14[min]                130
                          (NTTR).
SC.....................  Beaufort MCAS.................     32[deg]26[min]    080[deg]40[min]                160
SC.....................  Savannah River................     33[deg]15[min]    081[deg]39[min]                  3
UT.....................  Utah Test and Training Range/      40[deg]57[min]    113[deg]05[min]                160
                          Dugway Proving Ground, Hill
                          AFB.
VA.....................  NAS Oceana....................     36[deg]49[min]    076[deg]01[min]                100
WA.....................  NAS Whidbey Island............     48[deg]21[min]    122[deg]39[min]                 70
GU.....................  NCTAMS........................     13[deg]35[min]    144[deg]51[min]                 80
----------------------------------------------------------------------------------------------------------------
Note: The coordinates (North latitude and West longitude) are listed under the headings North and West. The Guam
  entry under the West heading is actually 144[deg]51[min] East longitude. The operating radii in kilometers are
  listed under the heading Radius.

    US84 In the band 1435-1525 MHz, low power auxiliary stations may be 
authorized on a secondary basis, subject to the terms and conditions set 
forth in 47 CFR part 74, subpart H.
    US85 Differential-Global-Positioning-System (DGPS) Stations, limited 
to ground-based transmitters, may be authorized on a primary basis in 
the band 1559-1610 MHz for the specific purpose of transmitting DGPS 
information intended for aircraft navigation.
    US87 The band 449.75-450.25 MHz may be used by Federal and non-
Federal stations for space telecommand (Earth-to-space) at specific 
locations, subject to such conditions as may be applied on a case-by-
case basis. Operators shall take all practical steps to keep the carrier 
frequency close to 450 MHz.
    US88 In the bands 1675-1695 MHz and 1695-1710 MHz, the following 
provisions shall apply:

[[Page 642]]

    (a) Non-Federal use of the band 1695-1710 MHz by the fixed and 
mobile except aeronautical mobile services is restricted to stations in 
the Advanced Wireless Service (AWS). Base stations that enable AWS 
mobile and portable stations to operate in the band 1695-1710 MHz must 
be successfully coordinated prior to operation as follows: (i) All base 
stations within the 27 protection zones listed in paragraph (b) that 
enable mobiles to operate at a maximum e.i.r.p. of 20 dBm, and (ii) 
nationwide for base stations that enable mobiles to operate with a 
maximum e.i.r.p. greater than 20 dBm, up to a maximum e.i.r.p. of 30 
dBm, unless otherwise specified by Commission rule, order, or notice.
    (b) Forty-seven Federal earth stations located within the protection 
zones listed below operate on a co-equal, primary basis with AWS 
operations. All other Federal earth stations operate on a secondary 
basis.
    (1) Protection zones for Federal earth stations receiving in the 
band 1695-1710 MHz:

----------------------------------------------------------------------------------------------------------------
       State               Location                 Latitude                   Longitude            Radius (km)
----------------------------------------------------------------------------------------------------------------
AK................  Barrow...............  71[deg]19[min]22[sec]       156[deg]36[min]41[sec]                 35
AK................  Elmendorf AFB........  61[deg]14[min]08[sec]       149[deg]55[min]31[sec]                 98
AK................  Fairbanks............  64[deg]58[min]22[sec]       147[deg]30[min]02[sec]                 20
AZ................  Yuma.................  32[deg]39[min]24[sec]       114[deg]36[min]22[sec]                 95
CA................  Monterey.............  36[deg]35[min]34[sec]       121[deg]51[min]20[sec]                 76
CA................  Twenty-Nine Palms....  34[deg]17[min]46[sec]       116[deg]09[min]44[sec]                 80
FL................  Miami................  25[deg]44[min]05[sec]       080[deg]09[min]45[sec]                 51
HI................  Hickam AFB...........  21[deg]19[min]18[sec]       157[deg]57[min]30[sec]                 28
MD................  Suitland.............  38[deg]51[min]07[sec]       076[deg]56[min]12[sec]                 98
MS................  Stennis Space Center.  30[deg]21[min]23[sec]       089[deg]36[min]41[sec]                 57
SD................  Sioux Falls..........  43[deg]44[min]09[sec]       096[deg]37[min]33[sec]                 42
VA................  Wallops Island.......  37[deg]56[min]45[sec]       075[deg]27[min]45[sec]                 30
----------------------------------------------------------------------------------------------------------------
GU................  Andersen AFB.........  13[deg]34[min]52[sec]       144[deg]55[min]28[sec]                 42
----------------------------------------------------------------------------------------------------------------

    (2) Protection zones for Federal earth stations receiving in the 
band 1675-1695 MHz:

----------------------------------------------------------------------------------------------------------------
       State               Location                 Latitude                   Longitude            Radius (km)
----------------------------------------------------------------------------------------------------------------
CA................  Sacramento...........  38[deg]35[min]50[sec]       121[deg]32[min]34[sec]                 55
CO................  Boulder..............  39[deg]59[min]26[sec]       105[deg]15[min]51[sec]                 02
ID................  Boise................  43[deg]35[min]42[sec]       116[deg]13[min]49[sec]                 39
IL................  Rock Island..........  41[deg]31[min]04[sec]       090[deg]33[min]46[sec]                 19
MO................  Kansas City..........  39[deg]16[min]40[sec]       094[deg]39[min]44[sec]                 40
MO................  St. Louis............  38[deg]35[min]26[sec]       090[deg]12[min]25[sec]                 34
MS................  Columbus Lake........  33[deg]32[min]04[sec]       088[deg]30[min]06[sec]                 03
MS................  Vicksburg............  32[deg]20[min]47[sec]       090[deg]50[min]10[sec]                 16
NE................  Omaha................  41[deg]20[min]56[sec]       095[deg]57[min]34[sec]                 30
OH................  Cincinnati...........  39[deg]06[min]10[sec]       084[deg]30[min]35[sec]                 32
OK................  Norman...............  35[deg]10[min]52[sec]       097[deg]26[min]21[sec]                 03
TN................  Knoxville............  35[deg]57[min]58[sec]       083[deg]55[min]13[sec]                 50
WV................  Fairmont.............  39[deg]26[min]02[sec]       080[deg]11[min]33[sec]                 04
----------------------------------------------------------------------------------------------------------------
PR................  Guaynabo.............  18[deg]25[min]26[sec]       066[deg]06[min]50[sec]                 48
----------------------------------------------------------------------------------------------------------------

    Note: The coordinates are specified in the conventional manner 
(North latitude, West longitude), except that the Guam (GU) entry is 
specified in terms of East longitude.

    US90 In the band 2025-2110 MHz, the power flux-density at the 
Earth's surface produced by emissions from a space station in the space 
operation, Earth exploration-satellite, or space research service that 
is 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].
    US91 In the band 1755-1780 MHz, the following provisions shall 
apply:
    (a) Non-Federal use of the band 1755-1780 MHz by the fixed and 
mobile services is restricted to stations in the Advanced Wireless 
Service (AWS). Base stations that enable AWS mobile and portable 
stations to operate in the band 1755-1780 MHz must be successfully 
coordinated on a nationwide basis prior

[[Page 643]]

to operation, unless otherwise specified by Commission rule, order, or 
notice.
    (b) In the band 1755-1780 MHz, the Federal systems listed below 
operate on a co-equal, primary basis with AWS stations. All other 
Federal stations in the fixed and mobile services identified in an 
approved Transition Plan will operate on a primary basis until 
reaccommodated in accordance with 47 CFR part 301.
    (1) Joint Tactical Radio Systems (JTRS) may operate indefinitely at 
the following locations:

----------------------------------------------------------------------------------------------------------------
         State                Training area                   Latitude                       Longitude
----------------------------------------------------------------------------------------------------------------
AZ....................  Yuma Proving Ground......  33[deg]12[min]14[sec]           114[deg]13[min]47[sec]
CA....................  Fort Irwin...............  35[deg]23[min]19[sec]           116[deg]37[min]43[sec]
LA....................  Fort Polk................  31[deg]08[min]38[sec]           093[deg]06[min]52[sec]
NC....................  Fort Bragg (including      35[deg]09[min]04[sec]           078[deg]59[min]13[sec]
                         Camp MacKall).
NM....................  White Sands Missile Range  32[deg]52[min]50[sec]           106[deg]23[min]10[sec]
TX....................  Fort Hood................  31[deg]13[min]50[sec]           097[deg]45[min]23[sec]
----------------------------------------------------------------------------------------------------------------

    (2) Air combat training system (ACTS) stations may operate on two 
frequencies within two geographic zones that are defined by the 
following coordinates:

------------------------------------------------------------------------
        Geographic zone               Latitude            Longitude
------------------------------------------------------------------------
Polygon 1.....................  41[deg]52[min]00[se  117[deg]49[min]00[s
                                 c]                   ec]
                                42[deg]00[min]00[se  115[deg]05[min]00[s
                                 c]                   ec]
                                43[deg]31[min]13[se  115[deg]47[min]18[s
                                 c]                   ec]
Polygon 2.....................  47[deg]29[min]00[se  111[deg]22[min]00[s
                                 c]                   ec]
                                48[deg]13[min]00[se  110[deg]00[min]00[s
                                 c]                   ec]
                                47[deg]30[min]00[se  107[deg]00[min]00[s
                                 c]                   ec]
                                44[deg]11[min]00[se  103[deg]06[min]00[s
                                 c]                   ec]
------------------------------------------------------------------------

    Note: ACTS transmitters may cause interference to AWS base stations 
between separation distances of 285 km (minimum) and 415 km (maximum).
    (3) In the sub-band 1761-1780 MHz, Federal earth stations in the 
space operation service (Earth-to-space) may transmit at the following 
25 sites and non-Federal base stations must accept harmful interference 
caused by the operation of these earth stations:

----------------------------------------------------------------------------------------------------------------
         State                     Site                       Latitude                       Longitude
----------------------------------------------------------------------------------------------------------------
AK....................  Fairbanks................  64[deg]58[min]20[sec]           147[deg]30[min]59[sec]
CA....................  Camp Parks...............  37[deg]43[min]51[sec]           121[deg]52[min]50[sec]
CA....................  Huntington Beach.........  33[deg]44[min]50[sec]           118[deg]02[min]04[sec]
CA....................  Laguna Peak..............  34[deg]06[min]31[sec]           119[deg]03[min]53[sec]
CA....................  Monterey.................  36[deg]35[min]42[sec]           121[deg]52[min]28[sec]
CA....................  Sacramento...............  38[deg]39[min]59[sec]           121[deg]23[min]33[sec]
CA....................  Vandenberg AFB...........  34[deg]49[min]23[sec]           120[deg]30[min]07[sec]
CO....................  Buckley..................  39[deg]42[min]55[sec]           104[deg]46[min]29[sec]
CO....................  Schriever AFB............  38[deg]48[min]22[sec]           104[deg]31[min]41[sec]
FL....................  Cape Canaveral AFS.......  28[deg]29[min]09[sec]           080[deg]34[min]33[sec]
FL....................  Cape GA, CCAFB...........  28[deg]29[min]03[sec]           080[deg]34[min]21[sec]
FL....................  JIATF-S Key West.........  24[deg]32[min]36[sec]           081[deg]48[min]17[sec]
HI....................  Kaena Point, Oahu........  21[deg]33[min]43[sec]           158[deg]14[min]31[sec]
MD....................  Annapolis................  38[deg]59[min]27[sec]           076[deg]29[min]25[sec]
MD....................  Blossom Point............  38[deg]25[min]53[sec]           077[deg]05[min]06[sec]
MD....................  Patuxent River NAS.......  38[deg]16[min]28[sec]           076[deg]24[min]45[sec]
ME....................  Prospect Harbor..........  44[deg]24[min]16[sec]           068[deg]00[min]46[sec]
NC....................  Ft Bragg.................  35[deg]09[min]04[sec]           078[deg]59[min]13[sec]
NH....................  New Boston AFS...........  42[deg]56[min]46[sec]           071[deg]37[min]44[sec]
NM....................  Kirtland AFB.............  34[deg]59[min]06[sec]           106[deg]30[min]28[sec]
TX....................  Ft Hood..................  31[deg]08[min]57[sec]           097[deg]46[min]12[sec]
VA....................  Fort Belvoir.............  38[deg]44[min]04[sec]           077[deg]09[min]12[sec]
WA....................  Joint Base Lewis-McChord.  47[deg]06[min]11[sec]           122[deg]33[min]11[sec]
----------------------------------------------------------------------------------------------------------------
GU....................  Andersen AFB.............  13[deg]36[min]54[sec]           144[deg]51[min]22[sec]
GU....................  NAVSOC Det. Charlie......  13[deg]34[min]58[sec]           144[deg]50[min]32[sec]
----------------------------------------------------------------------------------------------------------------

    Note: The coordinates are specified in the conventional manner 
(North latitude, West longitude), except that the Guam (GU) entries are 
specified in terms of East longitude. Use at Cape Canaveral AFS is 
restricted to launch support only. If required, successfully coordinated 
with all affected AWS licensees, and authorized by NTIA, reasonable 
modifications of these grandfathered Federal systems beyond their 
current authorizations or the addition of new earth station locations 
may be permitted. The details of the coordination must be filed with 
NTIA and FCC.

[[Page 644]]

    (c) In the band 1755-1780 MHz, the military services may conduct 
Electronic Warfare (EW) operations on Federal ranges and within 
associated airspace on a non-interference basis with respect to non-
Federal AWS operations and shall not constrain implementation of non-
Federal AWS operations. This use is restricted to Research, Development, 
Test and Evaluation (RDT&E), training, and Large Force Exercise (LFE) 
operations.
    US92 In the band 2025-2110 MHz, Federal use of the co-primary fixed 
and mobile services is restricted to the military services and the 
following provisions apply:
    (a) Federal use shall not cause harmful interference to, nor 
constrain the deployment and use of the band by, the Television 
Broadcast Auxiliary Service, the Cable Television Relay Service, or the 
Local Television Transmission Service. To facilitate compatible 
operations, coordination is required in accordance with a Memorandum of 
Understanding between Federal and non-Federal fixed and mobile 
operations. Non-Federal licensees shall make all reasonable efforts to 
accommodate military mobile and fixed operations; however, the use of 
the band 2025-2110 MHz by the non-Federal fixed and mobile services has 
priority over military fixed and mobile operations.
    (b) Military stations should, to the extent practicable, employ 
frequency agile technologies and techniques, including the capability to 
tune to other frequencies and the use of a modular retrofit capability, 
to facilitate sharing of this band with incumbent Federal and non-
Federal operations.
    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 nor shall 
the authorization of a VOR test facility on 108 MHz preclude the 
Commission from authorizing additional FM broadcasting stations.
    US97 The following provisions shall apply in the band 2305-2320 MHz:
    (a) In the sub-band 2305-2310 MHz, space-to-Earth operations are 
prohibited.
    (b) Within 145 km of Goldstone, CA (35[deg]25[min]33[sec] N, 
116[deg]53[min]23[sec] W), Wireless Communications Service (WCS) 
licensees operating base stations in the band 2305-2320 MHz shall, prior 
to operation of those base stations, achieve a mutually satisfactory 
coordination agreement with the National Aeronautics and Space 
Administration (NASA).

    Note: NASA operates a deep space facility in Goldstone in the band 
2290-2300 MHz.

    US99 In the band 1668.4-1670 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, Room 1030, National Science Foundation, 4201 Wilson Blvd., 
Arlington, VA 22230.
    US100 The following provisions shall apply to the bands 2310-2320 
MHz and 2345-2360 MHz:
    (a) The bands 2310-2320 and 2345-2360 MHz are available for Federal 
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 (WCS). The frequencies 2312.5 MHz and 2352.5 MHz are shared on a 
co-equal basis by Federal stations for telemetering and associated 
telecommand operations of expendable and reusable launch vehicles, 
irrespective of whether such operations involve flight testing. Other 
Federal mobile telemetering uses may be provided in the bands 2310-2320 
and 2345-2360 MHz on a non-interference basis to all other uses 
authorized pursuant to this footnote.
    (b) The band 2345-2360 MHz is available for non-Federal 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 WCS until January 1, 2020. The use of this 
allocation is restricted to non-Federal licensees in the Aeronautical 
and Fixed Radio Service holding a valid authorization on April 23, 2015.
    US101 The band 2360-2400 MHz is also allocated on a secondary basis 
to the mobile, except aeronautical mobile, service. The use of this 
allocation is limited to MedRadio operations. MedRadio stations are 
authorized by rule and operate in accordance with 47 CFR part 95.
    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 In the band 90-110 kHz, the LORAN radionavigation system has 
priority in the United States and its insular areas. Radiolocation land 
stations making use of LORAN type equipment may be authorized to both

[[Page 645]]

Federal and non-Federal 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.
    US105 In the band 3550-3650 MHz, non-Federal stations in the 
radiolocation service that were licensed or applied for prior to July 
23, 2015 may continue to operate on a secondary basis until the end of 
the equipment's useful lifetime.
    US107 In the band 3600-3650 MHz, the following provisions shall 
apply to earth stations in the fixed-satellite service (space-to-Earth):
    (a) Earth stations authorized prior to, or granted as a result of an 
application filed prior to July 23, 2015, and constructed within 12 
months of initial authorization may continue to operate on a primary 
basis. Applications for modifications to such earth station facilities 
filed after July 23, 2015 shall not be accepted, except for repair or 
replacement of equipment; changes in polarization, antenna orientation, 
or ownership; and increases in antenna size for interference mitigation 
purposes.
    (b) The assignment of frequencies to new earth stations after July 
23, 2015 shall be authorized on a secondary basis.
    US108 In the bands 3300-3500 MHz and 10-10.5 GHz, survey operations, 
using transmitters with a peak power not to exceed five watts into the 
antenna, may be authorized for Federal and non-Federal use on a 
secondary basis to other Federal radiolocation operations.
    US109 The band 3650-3700 MHz is also allocated to the Federal 
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 29[min] W); and Pensacola, FL 
(30[deg]21[min]28[sec] N, 87[deg]16[min]26[sec] W). The FCC shall 
coordinate all non-Federal operations authorized under 47 CFR part 90 
within 80 km of these sites with NTIA on a case-by-case basis. For 
stations in the Citizens Broadband Radio Service these sites shall be 
protected consistent with the procedures set forth in 47 CFR 96.15(b) 
and 96.67.
    US110 In the band 9200-9300 MHz, the use of the radiolocation 
service by non-Federal licensees may be authorized on the condition that 
harmful interference is not caused to the maritime radionavigation 
service or to the Federal radiolocation service.
    US111 In the band 5091-5150 MHz, aeronautical mobile telemetry 
operations for flight testing are conducted at the following locations. 
Flight testing at additional locations may be authorized on a case-by-
case basis.

----------------------------------------------------------------------------------------------------------------
                   Location                                   Test sites                  Lat. (N)    Long. (W)
----------------------------------------------------------------------------------------------------------------
Gulf Area Ranges Complex (GARC)...............  Eglin AFB, Tyndall AFB, FL; Gulfport        30[deg]      86[deg]
                                                 ANG Range, MS; Ft. Rucker, Redstone,       28[min]      31[min]
                                                 NASA Marshall Space Flight Center, AL.
Utah Ranges Complex (URC).....................  Dugway PG; Utah Test & Training Range       40[deg]     113[deg]
                                                 (Hill AFB), UT.                            57[min]      05[min]
Western Ranges Complex (WRC)..................  Pacific Missile Range; Vandenberg AFB,      35[deg]     117[deg]
                                                 China Lake NAWS, Pt. Mugu NAWS,            29[min]      16[min]
                                                 Edwards AFB, Thermal, Nellis AFB, Ft.
                                                 Irwin, NASA Dryden Flight Research
                                                 Center, Victorville, CA.
Southwest Ranges Complex (SRC)................  Ft. Huachuca, Tucson, Phoenix, Mesa,        31[deg]     110[deg]
                                                 Yuma, AZ.                                  33[min]      18[min]
Mid-Atlantic Ranges Complex (MARC)............  Patuxent River, Aberdeen PG, NASA           38[deg]      76[deg]
                                                 Langley Research Center, NASA Wallops      17[min]      24[min]
                                                 Flight Facility, MD.
New Mexico Ranges Complex (NMRC)..............  White Sands Missile Range, Holloman         32[deg]     106[deg]
                                                 AFB, Albuquerque, Roswell, NM;             11[min]      20[min]
                                                 Amarillo, TX.
Colorado Ranges Complex (CoRC)................  Alamosa, Leadville, CO................      37[deg]     105[deg]
                                                                                            26[min]      52[min]
Texas Ranges Complex (TRC)....................  Dallas/Ft. Worth, Greenville, Waco,         32[deg]      97[deg]
                                                 Johnson Space Flight Center/Ellington      53[min]      02[min]
                                                 Field, TX.
Cape Ranges Complex (CRC).....................  Cape Canaveral, Palm Beach-Dade, FL...      28[deg]      80[deg]
                                                                                            33[min]      34[min]
Northwest Range Complex (NWRC)................  Seattle, Everett, Spokane, Moses Lake,      47[deg]     122[deg]
                                                 WA; Klamath Falls, Eugene, OR.             32[min]      18[min]
St. Louis.....................................  St Louis, MO..........................      38[deg]      90[deg]
                                                                                            45[min]      22[min]
Wichita.......................................  Wichita, KS...........................      37[deg]      97[deg]
                                                                                            40[min]      26[min]
Marietta......................................  Marietta, GA..........................      33[deg]      84[deg]
                                                                                            54[min]      31[min]
Glasgow.......................................  Glasgow, MT...........................      48[deg]     106[deg]
                                                                                            25[min]      32[min]
Wilmington/Ridley.............................  Wilmington, DE/Ridley, PA.............      39[deg]      75[deg]
                                                                                            49[min]      26[min]
San Francisco Bay Area (SFBA).................  NASA Ames Research Center, CA.........      37[deg]     122[deg]
                                                                                            25[min]      03[min]
Charleston....................................  Charleston, SC........................      32[deg]      80[deg]
                                                                                            52[min]      02[min]
----------------------------------------------------------------------------------------------------------------


[[Page 646]]

    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 locale 
involved.
    US113 Radio astronomy observations of the formaldehyde line 
frequencies 4825-4835 MHz and 14.47-14.5 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 (NAIC),
                                           Arecibo, PR
X..................  X..................  National Radio Astronomy
                                           Observatory (NRAO), Green
                                           Bank, WV
X..................  X..................  NRAO, Socorro, NM
X..................  ...................  Allen Telescope Array (ATA),
                                           Hat Creek, CA
X..................  X..................  Owens Valley Radio Observatory
                                           (OVRO), Big Pine, CA
X..................  X..................  NRAO's ten Very Long Baseline
                                           Array (VLBA) stations (see
                                           US131)
X..................  X..................  University of Michigan Radio
                                           Astronomy Observatory,
                                           Stinchfield Woods, MI
X..................  ...................  Pisgah Astronomical Research
                                           Institute, Rosman, NC
------------------------------------------------------------------------

    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.
    US115 In the bands 5000-5010 MHz and 5010-5030 MHz, the following 
provisions shall apply:
    (a) In the band 5000-5010 MHz, systems in the aeronautical mobile 
(R) service (AM(R)S) are limited to surface applications at airports 
that operate in accordance with international aeronautical standards 
(i.e., AeroMACS).
    (b) The band 5010-5030 MHz is also allocated on a primary basis to 
the AM(R)S, limited to surface applications at airports that operate in 
accordance with international aeronautical standards. In making 
assignments for this band, attempts shall first be made to satisfy the 
AM(R)S requirements in the bands 5000-5010 MHz and 5091-5150 MHz. AM(R)S 
systems used in the band 5010-5030 MHz shall be designed and implemented 
to be capable of operational modification if receiving harmful 
interference from the radionavigation-satellite service. Finally, 
notwithstanding Radio Regulation No. 4.10, stations in the AM(R)S 
operating in this band shall be designed and implemented to be capable 
of operational modification to reduce throughput and/or preclude the use 
of specific frequencies in order to ensure protection of 
radionavigation-satellite service systems operating in this band.
    (c) Aeronautical fixed communications that are an integral part of 
the AeroMACS system in the bands 5000-5010 MHz and 5010-5030 MHz are 
also authorized on a primary basis.
    US116 In the bands 890-902 MHz and 935-941 MHz, no new assignments 
are to be made to Federal radio stations after July 10, 1970, except on 
a case-by-case basis to experimental stations. Federal assignments 
existing prior to July 10, 1970, shall be on a secondary basis to 
stations in the non-Federal land mobile service and shall be subject to 
adjustment or removal from the bands 890-902 MHz, 928-932 MHz, and 935-
941 MHz at the request of the FCC.
    US117 In the band 406.1-410 MHz, the following provisions shall 
apply:
    (a) Stations in the fixed and mobile services are limited to a 
transmitter output power of 125 watts, and new authorizations for 
stations, other than mobile stations, are subject to prior coordination 
by the applicant in the following areas:
    (1) Within Puerto Rico and the U.S. Virgin Islands, contact Spectrum 
Manager, Arecibo Observatory, HC3 Box 53995, Arecibo, PR 00612. Phone: 
787-878-2612, Fax: 787-878-1861, Email: [email protected].
    (2) Within 350 km of the Very Large Array (34[deg]04[min]44[sec] N, 
107[deg]37[min]06[sec] W), contact Spectrum Manager, National Radio 
Astronomy Observatory, P.O. Box O, 1003 Lopezville Road, Socorro, NM 
87801. Phone: 505-835-7000, Fax: 505-835-7027, Email: [email protected].
    (3) Within 10 km of the Table Mountain Observatory 
(40[deg]08[min]02[sec] N, 105[deg]14[min]40[sec] W) and for operations 
only within the sub-band 407-409 MHz, contact Radio Frequency Manager, 
Department of Commerce, 325 Broadway, Boulder, CO 80305. Phone: 303-497-
4619, Fax: 303-497-6982, Email: [email protected].
    (b) Non-Federal use is limited to the radio astronomy service and as 
provided by footnote US13.
    US128 In the band 10-10.5 GHz, pulsed emissions are prohibited, 
except for weather radars on board meteorological satellites in the sub-
band 10-10.025 GHz. The amateur service, the amateur-satellite service, 
and the non-Federal radiolocation service, which shall not cause harmful 
interference to the Federal radiolocation service, are the only non-
Federal services permitted in this band. The non-Federal radiolocation 
service is limited to survey operations as specified in footnote US108.
    US130 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

[[Page 647]]

urbanized areas as defined by the 1990 U.S. Census. For the list of 
observatories operating in this band, see footnote US131.
    US131 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 (in
                      Observatory                          North latitude     West longitude        meters)
----------------------------------------------------------------------------------------------------------------
Arecibo Observatory, PR................................  18[deg]20[min]37[  66[deg]45[min]11[                497
                                                                      sec]               sec]
Green Bank Telescope (GBT), WV.........................  38[deg]25[min]59[  79[deg]50[min]23[                807
                                                                      sec]               sec]
Very Large Array (VLA), Socorro, NM....................  34[deg]04[min]44[  107[deg]37[min]06              2,115
                                                                      sec]              [sec]
Very Long Baseline Array (VLBA) Stations:
    Brewster, WA.......................................  48[deg]07[min]52[  119[deg]41[min]00                250
                                                                      sec]              [sec]
    Fort Davis, TX.....................................  30[deg]38[min]06[  103[deg]56[min]41              1,606
                                                                      sec]              [sec]
    Hancock, NH........................................  42[deg]56[min]01[  71[deg]59[min]12[                296
                                                                      sec]               sec]
    Kitt Peak, AZ......................................  31[deg]57[min]23[  111[deg]36[min]45              1,902
                                                                      sec]              [sec]
    Los Alamos, NM.....................................  35[deg]46[min]30[  106[deg]14[min]44              1,962
                                                                      sec]              [sec]
    Mauna Kea, HI......................................  19[deg]48[min]05[  155[deg]27[min]20              3,763
                                                                      sec]              [sec]
    North Liberty, IA..................................  41[deg]46[min]17[  91[deg]34[min]27[                222
                                                                      sec]               sec]
    Owens Valley, CA...................................  37[deg]13[min]54[  118[deg]16[min]37              1,196
                                                                      sec]              [sec]
    Pie Town, NM.......................................  34[deg]18[min]04[  108[deg]07[min]09              2,365
                                                                      sec]              [sec]
    St. Croix, VI......................................  17[deg]45[min]24[  64[deg]35[min]01[                 16
                                                                      sec]               sec]
----------------------------------------------------------------------------------------------------------------

    US132A In the bands 26.2-26.42 MHz, 41.015-41.665 MHz, and 43.35-44 
MHz, applications of radiolocation service are limited to oceanographic 
radars operating in accordance with ITU Resolution 612 (Rev. WRC-12). 
Oceanographic radars shall not cause harmful interference to, or claim 
protection from, non-Federal stations in the land mobile service in the 
bands 26.2-26.42 MHz and 43.69-44 MHz, Federal stations in the fixed or 
mobile services in the band 41.015-41.665 MHz, and non-Federal stations 
in the fixed or land mobile services in the band 43.35-43.69 MHz.
    US133 In the bands 14-14.2 GHz and 14.47-14.5 GHz, the following 
provisions shall apply to the operations of Earth Stations Aboard 
Aircraft (ESAA):
    (a) In the band 14-14.2 GHz, ESAA licensees proposing to operate 
within radio line-of-sight of the coordinates specified in 47 CFR 
25.227(c) are subject to prior coordination with NTIA in order to 
minimize harmful interference to the ground terminals of NASA's Tracking 
and Data Relay Satellite System (TDRSS).
    (b) In the band 14.47-14.5 GHz, operations within radio line-of-
sight of the radio astronomy stations specified in 47 CFR 25.226(d)(2) 
are subject to coordination with the National Science Foundation in 
accordance with 47 CFR 25.227(d).
    US136 The following provisions shall apply in eight HF bands that 
are allocated to the broadcasting service (HFBC) on a primary basis in 
all Regions.
    (a) In Alaska, the assigned frequency band 7368.48-7371.32 kHz is 
allocated exclusively to the fixed service (FS) on a primary basis for 
non-Federal use in accordance with 47 CFR 80.387.
    (b) On the condition that harmful interference is not caused to the 
broadcasting service (NIB operations), Federal and non-Federal stations 
that communicate wholly within the United States and its insular areas 
may operate as specified herein. All such stations must take account of 
the seasonal use of frequencies by the broadcasting service published in 
accordance with Article 12 of the ITU Radio Regulations and are limited 
to the minimum power needed for reliable communications.
    (1) Federal stations. Frequencies in the 13 HF bands/sub-bands 
listed in the table below (HF NIB Bands) may be authorized to Federal 
stations in the FS. In the bands 5.9-5.95, 7.3-7.4, 13.57-13.6, and 
13.80-13.87 MHz (6, 7, 13.6, and 13.8 MHz bands), frequencies may also 
be authorized to Federal stations in the mobile except aeronautical 
mobile route (R) service (MS except AM(R)S). Federal use of the bands 
9.775-9.9, 11.65-11.7, and 11.975-12.05 MHz is restricted to stations in 
the FS that were authorized as of June 12, 2003, and each grandfathered 
station is restricted to a total radiated power of 24 dBW. In all other 
HF NIB Bands (*), new Federal stations may be authorized.
    (2) Non-Federal stations. Non-Federal use of the HF NIB Bands is 
restricted to stations in the FS, land mobile service (LMS), and 
maritime mobile service (MMS) that were licensed prior to March 25, 
2007, except that, in the sub-band 7.35-7.4 MHz, use is restricted to 
stations that were licensed prior to March 29, 2009.

[[Page 648]]



                                    NIB Operations in Eight HFBC Bands (MHz)
----------------------------------------------------------------------------------------------------------------
                                          Federal (* new stations
             HF NIB band                         permitted)                  Non-Federal            HFBC band
----------------------------------------------------------------------------------------------------------------
5.90-5.95............................  * FS and MS except AM(R)S....  MMS.....................         5.90-6.20
7.30-7.40............................  * FS and MS except AM(R)S....  FS, LMS and MMS.........         7.30-7.40
9.40-9.50............................  * 9 MHz: FS..................  FS and LMS..............         9.40-9.90
9.775-9.90...........................  FS (Grandfathered, restricted
                                        to 24 dBW).
11.60-11.65..........................  * 11 MHz: FS.................  FS......................       11.60-12.10
11.65-11.70..........................  FS (Grandfathered, restricted
                                        to 24 dBW).
11.975-12.05.........................  FS (Grandfathered, restricted
                                        to 24 dBW).
12.05-12.10..........................  * 12 MHz: FS.................  FS......................
13.57-13.60..........................  * FS and MS except AM(R)S....  MMS.....................       13.57-13.87
13.80-13.87..........................  * FS and MS except AM(R)S....  MMS.....................
15.60-15.80..........................  * 15 MHz: FS.................  FS......................       15.10-15.80
17.48-17.55..........................  * 17 MHz: FS.................  ........................       17.48-17.90
18.90-19.02..........................  * 19 MHz: FS.................  MMS.....................       18.90-19.02
----------------------------------------------------------------------------------------------------------------

    Note: Non-Federal stations may continue to operate in nine HF NIB 
Bands as follows: (i) In the 6, 7, 13.6, 13.8, and 19 MHz bands, 
stations in the MMS; (ii) In the 7 and 9 MHz bands, stations in the FS 
and LMS; and (iii) In the 11, 12, and 15 MHz band, stations in the FS.
    US139 Fixed stations authorized in the band 18.3-19.3 GHz under the 
provisions of 47 CFR 74.502(c), 74.602(g), 78.18(a)(4), and 101.147(r) 
may continue operations consistent with the provisions of those 
sections.
    US142 In the bands 7.2-7.3 and 7.4-7.45 MHz, the following 
provisions shall apply:
    (a) In the U.S. Pacific insular areas located in Region 3 (see 47 
CFR 2.105(a), note 3), the bands 7.2-7.3 and 7.4-7.45 MHz are 
alternatively allocated to the broadcasting service on a primary basis. 
Use of this allocation is restricted to international broadcast stations 
that transmit to geographical zones and areas of reception in Region 1 
or Region 3.
    (b) The use of the band 7.2-7.3 MHz in Region 2 by the amateur 
service shall not impose constraints on the broadcasting service 
intended for use within Region 1 and Region 3.
    US145 The following unwanted emissions power limits for non-
geostationary satellites operating in the inter-satellite service that 
transmit in the band 22.55-23.55 GHz shall apply in any 200 MHz of the 
passive band 23.6-24 GHz, based on the date that complete advance 
publication information is received by the ITU's Radiocommunication 
Bureau:
    (a) For information received before January 1, 2020: -36 dBW/200 
MHz.
    (b) For information received on or after January 1, 2020: -46 dBW/
200 MHz.
    US151 In the band 37-38 GHz, stations in the fixed and mobile 
services shall not cause harmful interference to Federal earth stations 
in the space research service (space-to-Earth) at the following sites: 
Goldstone, CA; Socorro, NM; and White Sands, NM. Applications for non-
Federal use of this band shall be coordinated with NTIA in accordance 
with 47 CFR 30.205.
    US156 In the bands 49.7-50.2 GHz and 50.4-50.9 GHz, for earth 
stations in the fixed-satellite service (Earth-to-space), the unwanted 
emissions power in the band 50.2-50.4 GHz shall not exceed -20 dBW/200 
MHz (measured at the input of the antenna), except that the maximum 
unwanted emissions power may be increased to -10 dBW/200 MHz for earth 
stations having an antenna gain greater than or equal to 57 dBi. These 
limits apply under clear-sky conditions. During fading conditions, the 
limits may be exceeded by earth stations when using uplink power 
control.
    US157 In the band 51.4-52.6 GHz, for stations in the fixed service, 
the unwanted emissions power in the band 52.6-54.25 GHz shall not exceed 
-33 dBW/100 MHz (measured at the input of antenna).
    US161 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.
    (a) Within 25 km of the National Radio Astronomy Observatory's 
(NRAO's) Very Long Baseline Array (VLBA) Stations:

----------------------------------------------------------------------------------------------------------------
                   State                              VLBA station               Lat. (N)          Long. (W)
----------------------------------------------------------------------------------------------------------------
AZ.........................................  Kitt Peak....................    31[deg] 57[min]   111[deg] 36[min]
                                                                                      23[sec]            45[sec]
CA.........................................  Owens Valley.................    37[deg] 13[min]   118[deg] 16[min]
                                                                                      54[sec]            37[sec]
HI.........................................  Mauna Kea....................    19[deg] 48[min]   155[deg] 27[min]
                                                                                      05[sec]            20[sec]
IA.........................................  North Liberty................    41[deg] 46[min]   091[deg] 34[min]
                                                                                      17[sec]            27[sec]
NH.........................................  Hancock......................    42[deg] 56[min]   071[deg] 59[min]
                                                                                      01[sec]            12[sec]
NM.........................................  Los Alamos...................    35[deg] 46[min]   106[deg] 14[min]
                                                                                      30[sec]            44[sec]

[[Page 649]]

 
NM.........................................  Pie Town.....................    34[deg] 18[min]   108[deg] 07[min]
                                                                                      04[sec]            09[sec]
TX.........................................  Fort Davis...................    30[deg] 38[min]   103[deg] 56[min]
                                                                                      06[sec]            41[sec]
VI.........................................  Saint Croix..................    17[deg] 45[min]   064[deg] 35[min]
                                                                                      24[sec]            01[sec]
WA.........................................  Brewster.....................    48[deg] 07[min]   119[deg] 41[min]
                                                                                      52[sec]            00[sec]
----------------------------------------------------------------------------------------------------------------

    (b) Within 150 km of the following observatories:

------------------------------------------------------------------------
    State       Telescope and site       Lat. (N)          Long. (W)
------------------------------------------------------------------------
AZ...........  Heinrich Hertz         32[deg] 42[min]   109[deg] 53[min]
                Submillimeter                 06[sec]            28[sec]
                Observatory, Mt.
                Graham.
AZ...........  University of          31[deg] 57[min]   111[deg] 36[min]
                Arizona 12-m                  12[sec]            53[sec]
                Telescope, Kitt
                Peak.
CA...........  Caltech Telescope,     37[deg] 13[min]   118[deg] 17[min]
                Owens Valley.                 54[sec]            36[sec]
CA...........  Combined Array for     37[deg] 16[min]   118[deg] 08[min]
                Research in                   43[sec]            32[sec]
                Millimeter-wave
                Astronomy (CARMA).
HI...........  James Clerk Maxwell    19[deg] 49[min]   155[deg] 28[min]
                Telescope, Mauna              33[sec]            47[sec]
                Kea.
MA...........  Haystack               42[deg] 37[min]   071[deg] 29[min]
                Observatory,                  24[sec]            18[sec]
                Westford.
NM...........  NRAO's Very Large      34[deg] 04[min]   107[deg] 37[min]
                Array, Socorro.               44[sec]            06[sec]
WV...........  NRAO's Robert C.       38[deg] 25[min]   079[deg] 50[min]
                Byrd Telescope,               59[sec]            23[sec]
                Green Bank.
------------------------------------------------------------------------

    Note: Satisfactory completion of the coordination procedure 
utilizing the automated mechanism, see 47 CFR 101.1523, will be deemed 
to establish sufficient separation from radio astronomy observatories, 
regardless of whether the distances set forth above are met.
    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 Federal and 
non-Federal radio stations for one-way, non-voice bio-medical telemetry 
operations in hospitals, or medical or convalescent centers.
    US210 In the bands 40.66-40.7 MHz and 216-220 MHz, frequencies may 
be authorized to Federal and non-Federal stations on a 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 Section 8.2.42 of the NTIA Manual for Federal 
use, or 47 CFR 90.248 for non-Federal 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, or within 92.6 km (50 nautical miles) of, the State of 
Alaska, the carrier frequency 5167.5 kHz (assigned frequency 5168.9 kHz) 
is designated for emergency 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.
    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 Federal stations authorized in this band. These systems 
must tolerate interference from the operation of industrial, scientific, 
and medical (ISM) equipment and the operation of Federal stations 
authorized in this band.
    US220 The frequencies 36.25 and 41.71 MHz may be authorized to 
Federal stations and non-Federal stations in the petroleum radio 
service, for oil spill containment and cleanup operations. The use of 
these frequencies for oil spill containment or cleanup operations is 
limited to the inland and coastal waterway regions.

[[Page 650]]

    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 (GOES) 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 Honolulu, HI (21[deg]21[min]12[sec] N, 
157[deg]52[min]36[sec] W); Seattle, WA (47[deg]34[min]15[sec] N, 
122[deg]33[min]10[sec] W); and Wallops Island, VA (37[deg]56[min]44[sec] 
N, 75[deg]27[min]42[sec] W).
    US224 Federal 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 use, the band 510-525 kHz 
is available to Federal and non-Federal 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 ship-helicopter operations when beyond 100 nautical miles 
from shore and required for aeronautical radionavigation.
    US227 The bands 156.4875-156.5125 MHz and 156.5375-156.5625 MHz are 
also allocated to the fixed and land mobile services on a primary basis 
for non-Federal use in VHF Public Coast Station Areas 10-42. The use of 
these bands by the fixed and land mobile services shall not cause 
harmful interference to, nor claim protection from, the maritime mobile 
VHF radiocommunication service.
    US230 The bands 422.1875-425.4875 MHz and 427.1875-429.9875 MHz are 
allocated to the land mobile service on a primary basis for non-Federal 
use within 80.5 kilometers (50 miles) of Cleveland, OH 
(41[deg]29[min]51.2[sec] N, 81[deg]41[min]49.5[sec] W) and Detroit, MI 
(42[deg]19[min]48.1[sec] N, 83[deg]02[min]56.7[sec] W). The bands 
423.8125-425.4875 MHz and 428.8125-429.9875 MHz are allocated to the 
land mobile service on a primary basis for non-Federal use within 80.5 
kilometers of Buffalo, NY (42[deg]52[min]52.2[sec] N, 
78[deg]52[min]20.1[sec] W).
    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 bands at 435-472 kHz and 479-490 kHz, on a secondary basis, 
subject to the coordination and agreement of those agencies having 
assignments within the maritime mobile bands which may be affected. 
Assignments to Federal aeronautical radionavigation radiobeacons in the 
bands 435-472 kHz and 479-490 kHz shall not be a bar to any required 
changes to the maritime mobile service and shall be limited to non-voice 
emissions.
    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.
    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).
    US241 The following provision shall apply to Federal operations in 
the band 216-220.035 MHz:
    (a) Use of the fixed and land mobile services in the band 216-220 
MHz and of the aeronautical mobile service in the sub-band 217-220 MHz 
is restricted to telemetry and associated telecommand operations. New 
stations in the fixed and land mobile services shall not be authorized 
in the sub-band 216-217 MHz.
    (b) The sub-band 216.965-216.995 MHz is also allocated to the 
Federal radiolocation service on a primary basis and the use of this 
allocation is restricted to the Air Force Space Surveillance System 
(AFSSS) radar system. AFSSS stations transmit on the frequency 216.98 
MHz and other operations may be affected within: 1) 250 km of Lake 
Kickapoo (Archer City), TX (33[deg]2[min]48[sec] N, 
98[deg]45[min]46[sec] W); and 2) 150 km of Gila River (Phoenix), AZ 
(33[deg]6[min]32[sec] N, 112[deg]1[min]45[sec] W) and Jordan Lake 
(Wetumpka), AL (32[deg]39[min]33[sec] N, 86[deg]15[min]52[sec] W). AFSSS 
reception shall be protected from harmful interference within 50 km of: 
(1) Elephant Butte, NM (33[deg]26[min]35[sec] N, 106[deg]59[min]50[sec] 
W); (2) Fort Stewart, GA (31[deg]58[min]36[sec] N, 81[deg]30[min]34[sec] 
W); (3) Hawkinsville, GA (32[deg]17[min]20[sec] N, 83[deg]32[min]10[sec] 
W); (4) Red River, AR (33[deg]19[min]48[sec] N, 93[deg]33[min]1[sec] W); 
(5) San Diego, CA (32[deg]34[min]42[sec] N, 116[deg]58[min]11[sec] W); 
and (6) Silver Lake, MS (33[deg]8[min]42[sec] N, 91[deg]1[min]16[sec] 
W).
    (c) The sub-band 219.965-220.035 MHz is also allocated to the 
Federal radiolocation service on a secondary basis and the use of this 
allocation is restricted to air-search radars onboard Coast Guard 
vessels.
    US242 Use of the fixed and land mobile services in the band 220-222 
MHz shall be in accordance with the following plan:
    (a) Frequencies are assigned in pairs, with base station transmit 
frequencies taken from the sub-band 220-221 MHz and with corresponding 
mobile and control station transmit frequencies being 1 MHz higher and 
taken from the sub-band 221-222 MHz.
    (b) In the non-Federal exclusive sub-bands, temporary fixed 
geophysical telemetry operations are also permitted on a secondary 
basis.

[[Page 651]]

    (c) The use of Channels 161-170 is restricted to public safety/
mutual aid communications.
    (d) The use of Channels 181-185 is restricted to emergency medical 
communications.

                                                  220 MHz Plan
----------------------------------------------------------------------------------------------------------------
                            Use                               Base transmit    Mobile transmit    Channel Nos.
----------------------------------------------------------------------------------------------------------------
Non-Federal exclusive.....................................     220.00-220.55     221.00-221.55           001-110
Federal exclusive.........................................     220.55-220.60     221.55-221.60           111-120
Non-Federal exclusive.....................................     220.60-220.80     221.60-221.80           121-160
Shared....................................................     220.80-220.85     221.80-221.85           161-170
Non-Federal exclusive.....................................     220.85-220.90     221.85-221.90           171-180
Shared....................................................    220.90-220.925    221.90-221.925           181-185
Non-Federal exclusive.....................................       220.925-221       221.925-222           186-200
----------------------------------------------------------------------------------------------------------------

    US244 The band 136-137 MHz is allocated to the non-Federal 
aeronautical mobile (R) service on a primary basis, and is subject to 
pertinent international treaties and 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 In the bands 3600-3650 MHz (space-to-Earth), 4500-4800 MHz 
(space-to-Earth), and 5850-5925 MHz (Earth-to-space), the use of the 
non-Federal fixed-satellite service is limited to international inter-
continental systems and is subject to case-by-case electromagnetic 
compatibility analysis. The FCC's policy for these bands is codified at 
47 CFR 2.108.
    US246 No station shall be authorized to transmit in the following 
bands: 73-74.6 MHz, 608-614 MHz, except for medical telemetry equipment 
\1\ and white space devices,\2\ 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.
    \2\ White space devices shall not cause harmful interference to 
radio astronomy operations in the band 608-614 MHz and shall not operate 
within the areas described in 47 CFR 15.712(h).
---------------------------------------------------------------------------

    US247 The band 10100-10150 kHz is allocated to the fixed service on 
a primary basis outside the United States and its insular areas. 
Transmissions from stations in the amateur service shall not cause 
harmful 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, CA (35[deg]20[min] N, 116[deg]53[min] W).
    US252 The band 2110-2120 MHz is also allocated to the space research 
service (deep space) (Earth-to-space) on a primary basis at Goldstone, 
CA (35[deg]20[min] N, 116[deg]53[min] W).
    US254 In the band 18.6-18.8 GHz the fixed and mobile services shall 
be limited to a maximum equivalent isotropically radiated power of + 35 
dBW and the power delivered to the antenna shall not exceed -3 dBW.
    US255 In addition to any other applicable limits, the power flux-
density across the 200 MHz band 18.6-18.8 GHz produced at the 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 bands 8025-8400 MHz and 25.5-27 GHz, the Earth 
exploration-satellite service (space-to-Earth) is allocated on a primary 
basis for non-Federal use. Authorizations are subject to a case-by-case 
electromagnetic compatibility analysis.
    US259 In the band 17.3-17.7 GHz, Federal stations in the 
radiolocation service shall operate with an e.i.r.p. of less than 51 
dBW.
    US260 Aeronautical mobile 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

[[Page 652]]

(no protection is provided from the radio altimeters).
    US262 The band 7145-7190 MHz is also allocated to the space research 
service (deep space) (Earth-to-space) on a secondary basis for non-
Federal use. Federal and non-Federal use of the bands 7145-7190 MHz and 
34.2-34.7 GHz by the space research service (deep space) (Earth-to-
space) and of the band 31.8-32.3 GHz by the space research service (deep 
space) (space-to-Earth) is limited to Goldstone, CA (35[deg]20[min] N, 
116[deg]53[min] W).
    US264 In the band 48.94-49.04 GHz, airborne stations shall not be 
authorized.
    US266 Non-Federal licensees in the Public Safety Radio Pool holding 
a valid authorization on June 30, 1958, to operate in the frequency band 
156.27-157.45 MHz or on the frequencies 161.85 MHz or 161.91 MHz may, 
upon proper application, continue to be authorized for such operation, 
including expansion of existing systems, until such time as harmful 
interference is caused to the operation of any authorized station other 
than those licensed in the Public Safety Radio Pool.
    US267 In the band 902-928 MHz, amateur stations shall transmit only 
in the sub-bands 902-902.4, 902.6-904.3, 904.7-925.3, 925.7-927.3, and 
927.7-928 MHz within the States of Colorado and Wyoming, bounded by the 
area of latitudes 39[deg] N and 42[deg] N and longitudes 103[deg] W and 
108[deg] W.
    US268 The bands 890-902 MHz and 928-942 MHz are also allocated to 
the radiolocation service for Federal ship stations (off-shore ocean 
areas) on the condition that harmful interference is not caused to non-
Federal land mobile stations. The provisions of footnote US116 apply.
    US269 In the band 420-450 MHz, the following provisions shall apply 
to the non-Federal radiolocation service:
    (a) Pulse-ranging radiolocation systems may be authorized for use 
along the shoreline of the conterminous United States and Alaska.
    (b) In the sub-band 420-435 MHz, spread spectrum radiolocation 
systems may be authorized within the conterminous United States and 
Alaska.
    (c) All stations operating in accordance with this provision shall 
be secondary to stations operating in accordance with the Table of 
Frequency Allocations.
    (d) Authorizations shall be granted on a case-by-case basis; 
however, operations proposed to be located within the areas listed in 
paragraph (a) of US270 should not expect to be accommodated.
    US270 In the band 420-450 MHz, the following provisions shall apply 
to the amateur service:
    (a) The peak envelope power of an amateur station shall not exceed 
50 watts in the following areas, unless expressly authorized by the FCC 
after mutual agreement, on a case-by-case basis, between the Regional 
Director of the applicable field office and the military area frequency 
coordinator at the applicable military base. For areas (5) through (7), 
the appropriate military coordinator is located at Peterson AFB, CO.
    (1) Arizona, Florida and New Mexico.
    (2) Within those portions of California and Nevada that are south of 
latitude 37[deg]0[min] N.
    (3) Within that portion of Texas that is west of longitude 104[deg] 
W.
    (4) Within 322 km of Eglin AFB, FL (30[deg]30[min] N, 86[deg]30[min] 
W); Patrick AFB, FL (28[deg]21[min] N, 80[deg]43[min] W); and the 
Pacific Missile Test Center, Point Mugu, CA (34[deg]09[min] N, 
119[deg]11[min] W).
    (5) Within 240 km of Beale AFB, CA (39[deg]08[min] N, 
121[deg]26[min] W).
    (6) Within 200 km of Goodfellow AFB, TX (31[deg]25[min] N, 
100[deg]24[min] W) and Warner Robins AFB, GA (32[deg]38[min] N, 
83[deg]35[min] W).
    (7) Within 160 km of Clear AFS, AK (64[deg]17[min] N, 
149[deg]10[min] W); Concrete, ND (48[deg]43[min] N, 97[deg]54[min] W); 
and Otis AFB, MA (41[deg]45[min] N, 70[deg]32[min] W).
    (b) In the sub-band 420-430 MHz, the amateur service is not 
allocated north of Line A (def. Sec. 2.1).
    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 bands 74.6-74.8 MHz and 75.2-75.4 MHz, stations in the 
fixed and mobile services are limited to a maximum power of 1 watt from 
the transmitter into the antenna transmission line.
    US275 The band 902-928 MHz is allocated on a secondary basis to the 
amateur service subject to not causing harmful interference to the 
operations of Federal stations 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 Federal 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-
2395 MHz by the mobile service is limited to aeronautical telemetering 
and associated telecommand operations for flight testing of aircraft, 
missiles or major components thereof. The following three frequencies 
are shared on a co-

[[Page 653]]

equal basis by Federal and non-Federal 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 not cause harmful interference to, or claim protection from 
interference from, the above uses.
    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 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 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 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 frequencies 2635 
kHz, 2638 kHz, and 2738 kHz may be authorized to coast stations.
    US288 In the territorial waters of the United States, 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. 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 
characteristics of the equipment used shall conform to those specified 
in Recommendation ITU-R M.1174-2.
    US289 In the bands 460-470 MHz and 1690-1695 MHz, the following 
provisions shall apply:
    (a) In the band 460-470 MHz, space stations in the Earth 
exploration-satellite service (EESS) 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 
EESS applications. The power flux density produced at the Earth's 
surface by any space station in this band shall not exceed -152 dBW/
m\2\/4 kHz.
    (b) In the band 1690-1695 MHz, EESS applications, other than the 
meteorological-satellite service, may also be used for space-to-Earth 
transmissions subject to not causing harmful interference to stations 
operating in accordance with the Table of Frequency Allocations.
    US296 In the bands designated for ship wide-band telegraphy, 
facsimile and special transmission systems, the following assignable 
frequencies are available to non-Federal stations on a shared basis with 
Federal 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 The assigned frequencies 27.555, 27.615, 27.635, 27.655, 
27.765, and 27.860 MHz are available for use by forest product licensees 
on a secondary basis to Federal operations including experimental 
stations. Non-Federal operations on these frequencies 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 In Alaska, the band 1615-1705 kHz is also allocated to the 
maritime mobile and Alaska fixed services on a secondary basis to Region 
2 broadcast operations.
    US300 The frequencies 169.445, 169.505, 170.245, 170.305, 171.045, 
171.105, 171.845 and 171.905 MHz are available for wireless microphone 
operations on a secondary basis to Federal and non-Federal operations.
    US301 Except as provided in NG30, 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.
    US303 In the band 2285-2290 MHz, non-Federal 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 stations. The power flux-density at the Earth's 
surface

[[Page 654]]

from such non-Federal 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 band 5150-5216 MHz is also allocated to the fixed-
satellite service (space-to-Earth) 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\2\ per 4 kHz for all 
angles of arrival.
    US308 In the bands 1549.5-1558.5 MHz and 1651-1660 MHz, those 
requirements of the aeronautical mobile-satellite (R) service that 
cannot be accommodated in the bands 1545-1549.5 MHz, 1558.5-1559 MHz, 
1646.5-1651 MHz, and 1660-1660.5 MHz shall have priority access with 
real-time preemptive capability for communications in the mobile-
satellite service. Systems not interoperable with the aeronautical 
mobile-satellite (R) service shall operate on a secondary basis. Account 
shall be taken of the priority of safety-related communications in the 
mobile-satellite service.
    US309 In the bands 1545-1559 MHz, transmissions 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. In the band 1646.5-1660.5 MHz, transmissions from 
aircraft stations in the aeronautical mobile (R) service directly to 
terrestrial aeronautical stations, or between aircraft stations, are 
also authorized when such transmissions are used to extend or supplement 
the aircraft-to-satellite links.
    US310 In the band 14.896-15.121 GHz, non-Federal space stations in 
the space research service may be authorized on a secondary basis to 
transmit to Tracking and Data Relay Satellites subject to such 
conditions as may be applied on a case-by-case basis. Such transmissions 
shall not cause harmful interference to authorized Federal stations. The 
power flux-density (pfd) produced by such non-Federal stations at the 
Earth's surface in any 1 MHz band for all conditions and methods of 
modulation shall not exceed:

-124 dB(W/m\2\ for 0[deg] <[thetas] <=5[deg]
-124 + ([thetas] -5)/2 dB(W/m\2\) for 5[deg] <[thetas] <=25[deg]
-114 dB(W/m\2\) for 25[deg] <[thetas] <=90[deg]

where [thetas] is the angle of arrival of the radio-frequency wave 
(degrees above the horizontal). These limits relate to the pfd and 
angles of arrival which would be obtained under free-space propagation 
conditions.
    US312 The frequency 173.075 MHz may also be authorized on a primary 
basis to non-Federal stations in the Public Safety Radio Pool, limited 
to police licensees, for stolen vehicle recovery systems (SVRS). As of 
May 27, 2005, new SVRS licenses shall be issued for an authorized 
bandwidth not to exceed 12.5 kHz. Stations that operate as part of a 
stolen vehicle recovery system that was authorized and in operation 
prior to May 27, 2005 may operate with an authorized bandwidth not to 
exceed 20 kHz until May 27, 2019. After that date, all SVRS shall 
operate with an authorized bandwidth not to exceed 12.5 kHz.
    US315 In the bands 1530-1544 MHz and 1626.5-1645.5 MHz, maritime 
mobile-satellite distress and safety communications, e.g., GMDSS, shall 
have priority access with real-time preemptive capability in the mobile-
satellite service. Communications of mobile-satellite system stations 
not participating in the GMDSS shall operate on a secondary basis to 
distress and safety communications of stations operating in the GMDSS. 
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 to the meteorological 
aids service on a primary basis for Federal use. Operations in this 
service are limited to Next Generation Weather Radar (NEXRAD) systems 
where accommodation in the band 2700-2900 MHz 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 stations in the mobile-satellite service shall be limited to 
earth stations operating with non-Federal space stations.
    US320 The use of the bands 137-138 MHz, 148-150.05 MHz, 399.9-400.05 
MHz, and 400.15-401 MHz by the mobile-satellite service is limited to 
non-voice, non-geostationary satellite systems and may include satellite 
links between land earth stations at fixed locations.
    US323 In the band 148-149.9 MHz, 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/4 kHz 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.

[[Page 655]]

    US324 In the band 400.15-401 MHz, Federal and non-Federal satellite 
systems shall be subject to electromagnetic compatibility analysis and 
coordination.
    US325 In the band 148-149.9 MHz fixed and mobile stations shall not 
claim protection from land earth stations in the mobile-satellite 
service that have been previously coordinated; Federal 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 bands between 17.7 GHz and 20.2 GHz, the following 
provisions shall apply:
    (a) In the bands between 17.8 GHz and 20.2 GHz, Federal space 
stations in both geostationary (GSO) and non-geostationary satellite 
orbits (NGSO) and associated earth stations in the fixed-satellite 
service (FSS) (space-to-Earth) may be authorized on a primary basis. For 
a Federal GSO FSS network to operate on a primary basis, the space 
station shall be located outside the arc, measured from east to west, 
70-120[deg] West longitude. Coordination between Federal FSS systems and 
non-Federal space and terrestrial systems operating in accordance with 
the United States Table of Frequency Allocations is required.
    (b) In the bands between 17.8 GHz and 20.2 GHz, Federal earth 
stations operating with Federal space stations shall be authorized on a 
primary basis only in the following areas: Denver, Colorado; Washington, 
DC; San Miguel, California; and Guam. Prior to the commencement of non-
Federal terrestrial operations in these areas, the FCC shall coordinate 
with NTIA all applications for new stations and modifications to 
existing stations as specified in 47 CFR 1.924(f), 74.32, and 78.19(f). 
In the band 17.7-17.8 GHz, the FCC shall also coordinate with NTIA all 
applications for new stations and modifications to existing stations 
that support the operations of Multichannel Video Programming 
Distributors (MVPD) in these areas, as specified in the aforementioned 
regulations.
    (c) In the bands between 17.8 GHz and 19.7 GHz, the power flux-
density (pfd) at the surface of the Earth produced by emissions from a 
Federal GSO space station or from a Federal space station in a NGSO 
constellation of 50 or fewer 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].
    (d) In the bands between 17.8 GHz and 19.3 GHz, the pfd at the 
surface of the Earth produced by emissions from a Federal 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:
    For n <= 288, X = (5/119) (n - 50) dB; and
    For n  288, X = (1/69) (n + 402) dB.
    US337 In the band 13.75-13.8 GHz, the FCC shall coordinate earth 
stations in the fixed-satellite service with NTIA on a case-by-case 
basis in order to minimize harmful interference to the Tracking and Data 
Relay Satellite System's forward space-to-space link (TDRSS forward 
link-to-LEO).
    US338A In the band 1435-1452 MHz, operators of aeronautical 
telemetry stations are encouraged to take all reasonable steps to ensure 
that the unwanted emissions power does not exceed -28 dBW/27 MHz in the 
band 1400-1427 MHz. Operators of aeronautical telemetry stations that do 
not meet this limit shall first attempt to operate in the band 1452-1525 
MHz prior to operating in the band 1435-1452 MHz.
    US340 The band 2-30 MHz is available on a non-interference basis to 
Federal and non-Federal maritime and aeronautical stations for the 
purposes of measuring the quality of reception on radio channels. See 47 
CFR 87.149 for the list of protected frequencies and bands within this 
frequency range. 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
25550-25670 kHz
37.5-38.25 MHz
322-328.6 MHz*
1330-1400 MHz*
1610.6-1613.8 MHz*
1660-1660.5 MHz*
1668.4-1670 MHz*
3260-3267 MHz*
3332-3339 MHz*
3345.8-3352.5 MHz*
4825-4835 MHz*
4950-4990 MHz
6650-6675.2 MHz*
14.47-14.5 GHz*
22.01-22.21 GHz*
22.21-22.5 GHz
22.81-22.86 GHz*
23.07-23.12 Gz*
31.2-31.3 GHz
36.43-36.5 GHz*
42.5-43.5 GHz
42.77-42.87 GHz*
43.07-43.17 GHz*
43.37-43.47 GHz*
48.94-49.04 GHz*
76-86 GHz
92-94 GHz
94.1-100 GHz
102-109.5 GHz
111.8-114.25 GHz
128.33-128.59 GHz*

[[Page 656]]


129.23-129.49 GHz*
130-134 GHz
136-148.5 GHz
151.5-158.5 GHz
168.59-168.93 GHz*
171.11-171.45 GHz*
172.31-172.65 GHz*
173.52-173.85 GHz*
195.75-196.15 GHz*
209-226 GHz
241-250 GHz
252-275 GHz

are allocated (*indicates radio astronomy use for spectral line 
observations), all 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 ITU Radio Regulations at Nos. 4.5 
and 4.6 and Article 29).
    US343 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 on 
a co-equal basis with flight telemetering mobile stations: 1444.5, 
1453.5, 1501.5, 1515.5, and 1524.5 MHz.
    US344 In the band 5091-5250 MHz, the FCC shall coordinate earth 
stations in the fixed-satellite service (Earth-to-space) with NTIA (see 
Recommendation ITU-R S.1342). In order to better protect the operation 
of the international standard system (microwave landing system) in the 
band 5000-5091 MHz, non-Federal tracking and telecommand operations 
should be conducted in the band 5150-5250 MHz.
    US346 Except as provided for below and by US222, Federal use of the 
band 2025-2110 MHz by the space operation service (Earth-to-space), 
Earth exploration-satellite service (Earth-to-space), and space research 
service (Earth-to-space) shall not constrain the deployment of the 
Television Broadcast Auxiliary Service, the Cable Television Relay 
Service, or the Local Television Transmission Service. To facilitate 
compatible operations between non-Federal terrestrial receiving stations 
at fixed sites and Federal earth station transmitters, coordination is 
required. To facilitate compatible operations between non-Federal 
terrestrial transmitting stations and Federal spacecraft receivers, the 
terrestrial transmitters in the band 2025-2110 MHz shall not be high-
density systems (see Recommendations ITU-R SA.1154 and ITU-R F.1247). 
Military satellite control stations at the following sites shall operate 
on a co-equal, primary basis with non-Federal operations:

------------------------------------------------------------------------
             Facility                           Coordinates
------------------------------------------------------------------------
Naval Satellite Control Network,   44[deg]24[min]16[sec] N,
 Prospect Harbor, ME.               068[deg]00[min]46[sec] W
New Hampshire Tracking Station,    42[deg]56[min]52[sec] N,
 New Boston AFS, NH.                071[deg]37[min]36[sec] W
Eastern Vehicle Check-out          28[deg]29[min]09[sec] N,
 Facility & GPS Ground Antenna &    080[deg]34[min]33[sec] W
 Monitoring Station, Cape
 Canaveral, FL.
Buckley AFB, CO..................  39[deg]42[min]55[sec] N,
                                    104[deg]46[min]36[sec] W
Colorado Tracking Station,         38[deg]48[min]21[sec] N,
 Schriever AFB, CO.                 104[deg]31[min]43[sec] W
Kirtland AFB, NM.................  34[deg]59[min]46[sec] N,
                                    106[deg]30[min]28[sec] W
Camp Parks Communications Annex,   37[deg]43[min]51[sec] N,
 Pleasanton, CA.                    121[deg]52[min]50[sec] W
Naval Satellite Control Network,   34[deg]06[min]31[sec] N,
 Laguna Peak, CA.                   119[deg]03[min]53[sec] W
Vandenberg Tracking Station,       34[deg]49[min]21[sec] N,
 Vandenberg AFB, CA.                120[deg]30[min]07[sec] W
Hawaii Tracking Station, Kaena     21[deg]33[min]44[sec] N,
 Pt, Oahu, HI.                      158[deg]14[min]31[sec] W
Guam Tracking Stations, Anderson   13[deg]36[min]54[sec] N,
 AFB, and Naval CTS, Guam.          144[deg]51[min]18[sec] E
------------------------------------------------------------------------

    US347 In the band 2025-2110 MHz, non-Federal 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 Federal and non-Federal stations operating in 
accordance with the Table of Frequency Allocations.
    US349 The band 3650-3700 MHz is also allocated to the Federal 
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-Federal 
operations.
    US350 In the band 1427-1432 MHz, Federal use of the land mobile 
service and non-Federal use of the fixed and land mobile services is 
limited to telemetry and telecommand operations as described further:
    (a) Medical operations. The use of the band 1427-1432 MHz for 
medical telemetry and telecommand operations (medical operations) shall 
be authorized for both Federal and non-Federal stations.
    (1) Medical operations shall be authorized in the band 1427-1429.5 
MHz in the United States and its insular areas, except in the following 
locations: Austin/Georgetown, Texas; Detroit and Battle Creek, Michigan; 
Pittsburgh, Pennsylvania; Richmond/Norfolk, Virginia; Spokane, 
Washington; and Washington, DC metropolitan area (collectively, the 
``carved-out'' locations). See Section 47 CFR 90.259(b)(4) for a 
detailed description of these areas.

[[Page 657]]

    (2) In the carved-out locations, medical operations shall be 
authorized in the band 1429-1431.5 MHz.
    (3) Medical operations may operate on frequencies in the band 1427-
1432 MHz other than those described in paragraphs (a)(1) and (2) only if 
the operations were registered with a designated frequency coordinator 
prior to April 14, 2010.
    (b) Non-medical operations. The use of the band 1427-1432 MHz for 
non-medical telemetry and telecommand operations (non-medical 
operations) shall be limited to non-Federal stations.
    (1) Non-medical operations shall be authorized on a secondary basis 
to the Wireless Medical Telemetry Service (WMTS) in the band 1427-1429.5 
MHz and on a primary basis in the band 1429.5-1432 MHz in the United 
States and its insular areas, except in the carved-out locations.
    (2) In the carved-out locations, non-medical operations shall be 
authorized on a secondary basis in the band 1429-1431.5 MHz and on a 
primary basis in the bands 1427-1429 MHz and 1431.5-1432 MHz.
    US353 In the bands 56.24-56.29 GHz, 58.422-58.472 GHz, 59.139-59.189 
GHz, 59.566-59.616 GHz, 60.281-60.331 GHz, 60.41-60.46 GHz, and 62.461-
62.511 GHz, space-based radio astronomy observations may be made on an 
unprotected basis.
    US354 In the band 58.422-58.472 GHz, airborne stations and space 
stations in the space-to-Earth direction shall not be authorized.
    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 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-Federal feeder links of non-
geostationary systems in the mobile-satellite service. The FCC shall 
coordinate Earth stations in this band with NTIA (see Annex 3 of 
Recommendation ITU-R S.1340).
    US360 The band 33-36 GHz is also allocated to the fixed-satellite 
service (space-to-Earth) on a primary basis for Federal use. 
Coordination between Federal fixed-satellite service systems and non-
Federal systems operating in accordance with the United States Table of 
Frequency Allocations is required.
    US362 The band 1670-1675 MHz is allocated to the meteorological-
satellite service (space-to-Earth) on a primary basis for Federal use. 
Earth station use of this allocation is limited to Wallops Island, VA 
(37[deg]56[min]44[sec] N, 75[deg]27[min]37[sec] W), Fairbanks, AK 
(64[deg]58[min]22[sec] N, 147[deg]30[min]04[sec] W), and Greenbelt, MD 
(39[deg]00[min]02[sec] N, 76[deg]50[min]29[sec] W). Applicants for non-
Federal 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.
    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.
    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, and 2483.5-2500 MHz, a non-Federal licensee in the 
mobile-satellite service (MSS) may also operate an ancillary terrestrial 
component in conjunction with its MSS network, subject

[[Page 658]]

to the Commission's rules for ancillary terrestrial component and 
subject to all applicable conditions and provisions of its MSS 
authorization.
    US382 In the band 39.5-40 GHz, Federal earth stations in the mobile-
satellite service (space-to-Earth) shall not claim protection from non-
Federal stations in the fixed and mobile services. ITU Radio Regulation 
No. 5.43A does not apply.
    US384 In the band 401-403 MHz, the non-Federal Earth exploration-
satellite (Earth-to-space) and meteorological-satellite (Earth-to-space) 
services are limited to earth stations transmitting to Federal space 
stations.
    US385 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, 
and in the band 2655-2690 MHz on a secondary basis, at the following 
radio astronomy observatories:

------------------------------------------------------------------------
 
------------------------------------------------------------------------
Allen Telescope Array, Hat        Rectangle between latitudes
 Creek, CA.                        40[deg]00[min] N and 42[deg]00[min] N
                                   and between longitudes
                                   120[deg]15[min] W and 122[deg]15[min]
                                   W.
NASA Goldstone Deep Space         80 kilometers (50 mile) radius
 Communications Complex,           centered on 35[deg]20[min] N,
 Goldstone, CA.                    116[deg]53[min] W.
National Astronomy and            Rectangle between latitudes
 Ionosphere Center, Arecibo, PR.   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.
National Radio Astronomy          Rectangle between latitudes
 Observatory, Socorro, NM.         32[deg]30[min] N and 35[deg]30[min] N
                                   and between longitudes
                                   106[deg]00[min] W and 109[deg]00[min]
                                   W.
National Radio Astronomy          Rectangle between latitudes
 Observatory, Green Bank, WV.      37[deg]30[min] N and 39[deg]15[min] N
                                   and between longitudes 78[deg]30[min]
                                   W and 80[deg]30[min] W.
National Radio Astronomy          80 kilometer radius centered on:
 Observatory, Very Long Baseline
 Array Stations.
                                 ---------------------------------------
                                    North latitude      West longitude
------------------------------------------------------------------------
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]45[min]....  64[deg]35[min]
------------------------------------------------------------------------
Owens Valley Radio Observatory,   Two contiguous rectangles, one between
 Big Pine, CA.                     latitudes 36[deg]00[min] N and
                                   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.
------------------------------------------------------------------------

    (a) 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 659]]

    (b) In the band 2655-2690 MHz, for radio astronomy observations 
performed at the locations listed above, 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 22230.
    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 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        CO...........  Twentynine Palms
 Center.
Buckley AFB.........................  GA...........  Aurora (Denver)
Schriever AFB.......................  CO...........  Colorado Springs
Fort Gordon.........................  GA...........  Augusta
Naval Satellite Operations Center...  GU...........  Finegayan (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 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 stations in the 
aeronautical radionavigation service nor Federal 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 stations 
in the fixed and mobile except aeronautical mobile services operating in 
that band.
    US397 In the band 432-438 MHz, the Earth exploration-satellite 
service (active) is allocated on a secondary basis for Federal use. 
Stations in the Earth exploration-satellite service (active) shall not 
be operated within line-of-sight of the United States except for the 
purpose of short duration pre-operational testing. Operations under this 
allocation shall not cause harmful interference to, nor claim protection 
from, any other services allocated in the band 432-438 MHz in the United 
States, including secondary services and the amateur-satellite service.
    US402 In the band 17.3-17.7 GHz, existing Federal satellites and 
associated earth stations in the fixed-satellite service (Earth-to-
space) are authorized to operate on a primary basis in the frequency 
bands and areas listed below. Receiving earth stations in the 
broadcasting-satellite service within the bands and areas listed below 
shall not claim protection from Federal earth stations in the fixed-
satellite service.
    (a) 17.600-17.700 GHz for stations within a 120 km radius of 
38[deg]49[min] N latitude and 76[deg]52[min] W longitude.
    (b) 17.375-17.475 GHz for stations within a 160 km radius of 
39[deg]42[min] N latitude and 104[deg]45[min] W longitude.
    US433 In the band 3550-3650 MHz, the following provisions shall 
apply to Federal use of the aeronautical radionavigation (ground-based) 
and radiolocation services and to non-Federal use of the fixed and 
mobile except aeronautical mobile services:
    (a) Non-Federal stations in the fixed and mobile except aeronautical 
mobile services are restricted to stations in the Citizens Broadband 
Radio Service and shall not cause harmful interference to, or claim 
protection from, Federal stations in the aeronautical radionavigation 
(ground-based) and radiolocation services at the locations listed at: 
ntia.doc.gov/category/3550-3650-mhz. New and modified federal stations 
shall be allowed at current or new locations, subject only to approval 
through the National Telecommunications and Information Administration 
frequency assignment process with new locations added to the list at: 
ntia.doc.gov/category/3550-3650-mhz. Coordination of the Federal 
stations with Citizens Broadband Radio Service licensees or users is not 
necessary. Federal operations, other than airborne radiolocation 
systems, shall be protected consistent with the procedures set forth in 
47 CFR 96.15 and 96.67.
    (b) Non-federal fixed and mobile stations shall not claim protection 
from federal airborne radar systems.
    (c) Federal airborne radar systems shall not claim protection from 
non-Federal stations in the fixed and mobile except aeronautical mobile 
services operating in the band.
    US444 The frequency band 5030-5150 MHz is to be used for the 
operation of the international standard system (microwave landing 
system) for precision approach and landing. In the frequency band 5030-
5091 MHz, the

[[Page 660]]

requirements of this system shall have priority over other uses of this 
band. For the use of the frequency band 5091-5150 MHz, US444A and 
Resolution 114 (Rev.WRC-12) of the ITU Radio Regulations apply.
    US444A The band 5091-5150 MHz is also allocated to the fixed-
satellite service (Earth-to-space) on a primary basis for non-Federal 
use. This allocation is limited to feeder links of non-geostationary 
satellite systems in the mobile-satellite service and is subject to 
coordination under No. 9.11A of the ITU Radio Regulations. In the band 
5091-5150 MHz, the following conditions also apply:
    (a) Prior to January 1, 2018, 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 
(Rev.WRC-12);
    (b) After January 1, 2016, no new assignments shall be made to earth 
stations providing feeder links of non-geostationary mobile-satellite 
systems; and
    (c) After January 1, 2018, the fixed-satellite service will become 
secondary to the aeronautical radionavigation service.
    US444B In the band 5091-5150 MHz, the following provisions shall 
apply to the aeronautical mobile service:
    (a) Use is restricted to:
    (1) Systems operating in the aeronautical mobile (R) service 
(AM(R)S) in accordance with international aeronautical standards, 
limited to surface applications at airports, and in accordance with 
Resolution 748 (Rev. WRC-12) (i.e., AeroMACS); and
    (2) Aeronautical telemetry transmissions from aircraft stations 
(AMT) in accordance with Resolution 418 (Rev. WRC-12).
    (b) Consistent with Radio Regulation No. 4.10, airport surface 
wireless systems operating in the AM(R)S have priority over AMT systems 
in the band.
    (c) Operators of AM(R)S and AMT systems at the following airports 
are urged to cooperate with each other in the exchange of information 
about planned deployments of their respective systems so that the 
prospects for compatible sharing of the band are enhanced:
    (1) Boeing Field/King County Intl Airport, Seattle, WA;
    (2) Lambert-St. Louis Intl Airport, St. Louis, MO;
    (3) Charleston AFB/Intl Airport, Charleston, SC;
    (4) Wichita Dwight D. Eisenhower National Airport, Wichita, KS;
    (5) Roswell Intl Air Center Airport, Roswell, NM; and
    (6) William P. Gwinn Airport, Jupiter, FL. Other airports may be 
addressed on a case-by-case basis.
    (d) Aeronautical fixed communications that are an integral part of 
the AeroMACS system authorized in paragraph (a)(1) are also authorized 
on a primary basis.
    US475 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.
    US476A In the band 9300-9500 MHz, Federal stations in the Earth 
exploration-satellite service (active) and space research service 
(active) shall not cause harmful interference to, nor claim protection 
from, stations of the radionavigation and Federal radiolocation 
services.
    US482 In the band 10.6-10.68 GHz, the following provisions and 
urgings apply:
    (a) Non-Federal use of the fixed service shall be restricted to 
point-to-point stations, with each station supplying not more than -3 
dBW of transmitter power to the antenna, producing not more than 40 dBW 
of EIRP, and radiating at an antenna main beam elevation angle of 
20[deg] or less. Licensees holding a valid authorization on August 6, 
2015 to operate in this band may continue to operate as authorized, 
subject to proper license renewal.
    (b) In order to minimize interference to the Earth exploration-
satellite service (passive) receiving in this band, licensees of 
stations in the fixed service are urged to:
    (1) Limit the maximum transmitter power supplied to the antenna to -
15 dBW; and
    (2) Employ automatic transmitter power control (ATPC).
    The maximum transmitter power supplied to the antenna of stations 
using ATPC may be increased by a value corresponding to the ATPC range, 
up to a maximum of -3 dBW.
    US511E The use of the band 15.4-15.7 GHz by the radiolocation 
service is limited to Federal systems requiring a necessary bandwidth 
greater than 1600 MHz that cannot be accommodated within the band 15.7-
17.3 GHz except as described below. In the band 15.4-15.7 GHz, stations 
operating in the radiolocation service shall not cause harmful 
interference to, nor claim protection from, radars operating in the 
aeronautical radionavigation service. Radar systems operating in the 
radiolocation service shall not be developed solely for operation in the 
band 15.4-15.7 GHz. Radar systems requiring use of the band 15.4-15.7 
GHz for testing, training, and exercises may be accommodated on a case-
by-case basis.
    US519 The band 18-18.3 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 of the ITU Radio Regulations.
    US532 In the bands 21.2-21.4 GHz, 22.21-22.5 GHz, and 56.26-58.2 
GHz, the space research

[[Page 661]]

and Earth exploration-satellite services shall not receive protection 
from the fixed and mobile services operating in accordance with the 
Table of Frequency Allocations.
    US550A In the band 36-37 GHz, the following provisions shall apply:
    (a) For stations in the mobile service, the transmitter power 
supplied to the antenna shall not exceed -10 dBW, except that the 
maximum transmitter power may be increased to -3 dBW for stations used 
for public safety and disaster management.
    (b) For stations in the fixed service, the elevation angle of the 
antenna main beam shall not exceed 20[deg] and the transmitter power 
supplied to the antenna shall not exceed:
    (1) -5 dBW for hub stations of point-to-multipoint systems; or
    (2) -10 dBW for all other stations, except that the maximum 
transmitter power of stations using automatic transmitter power control 
(ATPC) may be increased by a value corresponding to the ATPC range, up 
to a maximum of -7 dBW.
    US565 The following frequency bands in the range 275-1000 GHz are 
identified for passive service applications:

--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): 275-286 GHz, 296-306 GHz, 313-356 GHz, 361-365 GHz, 
369-392 GHz, 397-399 GHz, 409-411 GHz, 416-434 GHz, 439-467 GHz, 477-502 
GHz, 523-527 GHz, 538-581 GHz, 611-630 GHz, 634-654 GHz, 657-692 GHz, 
713-718 GHz, 729-733 GHz, 750-754 GHz, 771-776 GHz, 823-846 GHz, 850-854 
GHz, 857-862 GHz, 866-882 GHz, 905-928 GHz, 951-956 GHz, 968-973 GHz and 
985-990 GHz.

    The use of the range 275-1000 GHz by the passive services does not 
preclude use of this range by active services. This provision does not 
establish priority of use in the United States Table of Frequency 
Allocations, and does not preclude or constrain any active service use 
or future allocation of frequency bands in the 275-3000 GHz range.

                  Non-Federal Government (NG) Footnotes

(These footnotes, each consisting of the letters ``NG'' followed by one 
or more digits, denote stipulations applicable only to non-Federal 
operations and thus appear solely in the non-Federal Table.)
    NG1 The band 535-1705 kHz is also allocated to the 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.
    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.
    NG5 In the band 535-1705 kHz, AM broadcast licensees and 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 and 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 614-698 MHz, TV broadcast licensees and permittees are 
permitted to use subcarriers on a secondary basis for both broadcast and 
non-broadcast purposes.
    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.
    NG7 In the bands 2000-2065, 2107-2170, and 2194-2495 kHz, 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 these bands on the condition that harmful 
interference will not be caused to services operating in accordance with 
the Table of Frequency Allocations. See 47 CFR 80.371(a) for the list of 
available carrier frequencies.
    NG8 In the band 472-479 kHz, non-Federal stations in the maritime 
mobile service that were licensed or applied for prior to [insert 
effective date of the WRC-12 R&O] may continue to operate on a primary 
basis, subject to periodic license renewals.
    NG14 TV broadcast stations authorized to operate in the bands 54-72, 
76-88, 174-216, 470-608, and 614-698 MHz may use a portion of the 
television vertical blanking interval for the transmission of 
telecommunications signals, on the condition that harmful interference

[[Page 662]]

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.
    NG16 In the bands 72-73 MHz and 75.4-76 MHz, frequencies may be 
authorized for mobile operations in the Industrial/Business Radio Pool, 
subject to not causing interference to the reception of broadcast 
television signals on channels 4 and 5.
    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.
    NG22 The frequencies 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 operations in the New Orleans and Houston VTS areas.
    NG28 In Puerto Rico and the United States Virgin Islands, the band 
160.86-161.4 MHz is available for assignment to remote pickup broadcast 
stations on a shared basis with stations in the Industrial/Business 
Pool.
    NG30 In Puerto Rico, the band 942-944 MHz is alternatively allocated 
to the fixed service (aural broadcast auxiliary stations).
    NG32 Frequencies in the bands 454.6625-454.9875 MHz and 459.6625-
459.9875 MHz may be assigned to domestic public land and mobile stations 
to provide a two-way air-ground public radiotelephone service.
    NG34 The bands 758-775 MHz and 788-805 MHz are available for 
assignment to the public safety services, as described in 47 CFR part 
90.
    NG35 Frequencies in the bands 928-929 MHz, 932-932.5 MHz, 941-941.5 
MHz, and 952-960 MHz may be assigned for multiple address systems and 
associated mobile operations on a primary basis.
    NG41 In the band 2120-2180 MHz, the following provisions shall apply 
to grandfathered stations in the fixed service:
    (a) In the sub-band 2160-2162 MHz, authorizations in the Broadband 
Radio Service (BRS) applied for after January 16, 1992 shall be granted 
on a secondary basis to Advanced Wireless Services (AWS). In the band 
2150-2162 MHz, all other BRS stations shall operate on a primary basis 
until December 9, 2021, and may continue to operate on a secondary basis 
thereafter, unless said facility is relocated in accordance with 47 CFR 
27.1250 through 27.1255.
    (b) In the sub-band 2160-2180 MHz, fixed stations authorized 
pursuant to 47 CFR part 101 may continue to operate on a secondary basis 
to AWS.
    NG50 In the band 10-10.5 GHz, non-Federal stations in the 
radiolocation service shall not cause harmful interference to the 
amateur service; and in the sub-band 10.45-10.5 GHz, these stations 
shall not cause harmful interference to the amateur-satellite service.
    NG51 In Puerto Rico and the United States Virgin Islands, the use of 
band 150.8-151.49 MHz by the fixed and land mobile services is limited 
to stations in the Industrial/Business Pool.
    NG52 Except as otherwise provided for herein, use of the bands 10.7-
11.7 GHz (space-to-Earth) and 12.75-13.25 GHz (Earth-to-space) by 
geostationary satellites in the fixed-satellite service (FSS) shall be 
limited to international systems, i.e., other than domestic systems. In 
the sub-bands 10.95-11.2 GHz and 11.45-11.7 GHz, Earth Stations on 
Vessels (ESV), Vehicle-Mounted Earth Stations (VMES), and Earth Stations 
Aboard Aircraft (ESAA) as regulated under 47 CFR part 25 may be 
authorized for the reception of FSS emissions from geostationary 
satellites, subject to the condition that these earth stations shall not 
claim protection from transmissions of non-Federal stations in the fixed 
service.
    NG53 In the band 13.15-13.25 GHz, the following provisions shall 
apply:
    (a) The sub-band 13.15-13.2 GHz is reserved for television pickup 
(TVPU) and cable television relay service (CARS) pickup stations inside 
a 50 km radius of the 100 television markets delineated in 47 CFR 76.51; 
and outside these areas, TVPU stations, CARS stations and non-
geostationary satellite orbit fixed-satellite service (NGSO FSS) gateway 
earth stations shall operate on a co-primary basis.
    (b) The sub-band 13.2-13.2125 GHz is reserved for TVPU stations on a 
primary basis and for CARS pickup stations on a secondary basis inside a 
50 km radius of the 100 television markets delineated in 47 CFR 76.51; 
and outside these areas, TVPU stations and NGSO FSS gateway earth 
stations shall operate on a co-primary basis and CARS stations shall 
operate on a secondary basis.
    (c) In the band 13.15-13.25 GHz, fixed television auxiliary stations 
licensed pursuant to applications accepted for filing before September 
1, 1979, may continue operation, subject to periodic license renewals.
    (d) In the sub-band 13.15-13.2125 GHz, NGSO FSS gateway uplink 
transmissions shall be limited to a maximum e.i.r.p. of 3.2 dBW towards 
0[deg] on the radio horizon.

    Note: The above provisions shall not apply to geostationary 
satellite orbit (GSO) FSS operations in the band 12.75-13.25 GHz.


[[Page 663]]


    NG55 In the bands 11.7-12.2 GHz (space-to-Earth) and 14.0-14.5 GHz 
(Earth-to-space), Earth Stations on Vessels (ESV), Vehicle-Mounted Earth 
Stations (VMES), and Earth Stations Aboard Aircraft (ESAA) as regulated 
under 47 CFR part 25 are applications of the fixed-satellite service and 
may be authorized to communicate with geostationary satellites in the 
fixed-satellite service on a primary basis.
    NG56 In the bands 72-73 and 75.4-76 MHz, the use of mobile radio 
remote control of models is on a secondary basis to all other fixed and 
mobile operations. Such operations are subject to the condition that 
interference will not be caused to common carrier domestic public 
stations, to remote control of industrial equipment operating in the 
band 72-76 MHz, or to the reception of television signals on channels 4 
(66-72 MHz) or 5 (76-82 MHz). Television interference shall be 
considered to occur whenever reception of regularly used television 
signals is impaired or destroyed, regardless of the strength of the 
television signal or the distance to the television station.
    NG59 The frequencies 37.60 and 37.85 MHz may be authorized only for 
use by base, mobile, and operational fixed stations participating in an 
interconnected or coordinated power service utility system.
    NG60 In the band 31-31.3 GHz, for stations in the fixed service 
authorized after August 6, 2018, the unwanted emissions power in any 100 
MHz of the 31.3-31.5 GHz Earth exploration-satellite service (passive) 
band shall be limited to -38 dBW (-38 dBW/100 MHz), as measured at the 
input to the antenna.
    NG63 In the band 37.5-40 GHz, earth station operations in the fixed-
satellite service (space-to-Earth) shall not claim protection from 
stations in the fixed and mobile services, except where individually 
licensed earth stations are authorized pursuant to 47 CFR 25.136.
    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 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, NJ.

------------------------------------------------------------------------
         Urbanized area              Bands (MHz)         TV channels
------------------------------------------------------------------------
Boston, MA.....................  470-476, 482-488..  14, 16
Chicago, IL-Northwestern IN....  470-476, 476-482..  14, 15
Cleveland, OH..................  470-476, 476-482..  14, 15
Dallas-Fort Worth, TX..........  482-488...........  16
Detroit, MI....................  476-482, 482-488..  15, 16
Houston, TX....................  488-494...........  17
Los Angeles, CA................  470-476, 482-488,   14, 16, 20
                                  506-512.
Miami, FL......................  470-476...........  14
New York, NY-Northeastern NJ...  470-476, 476-482,   14, 15, 16
                                  482-488.
Philadelphia, PA-NJ............  500-506, 506-512..  19, 20
Pittsburgh, PA.................  470-476, 494-500..  14, 18
San Francisco-Oakland, CA......  482-488, 488-494..  16, 17
Washington, DC-MD-VA...........  488-494, 494-500..  17, 18
------------------------------------------------------------------------

    (b) In the Gulf of Mexico offshore from the Louisiana-Texas coast, 
the band 476-494 MHz (TV channels 15-17) is allocated to the fixed and 
mobile services on a primary basis for assignment to eligibles in the 
Public Mobile and Private Land Mobile Radio Services.
    (c) In Hawaii, the band 488-494 MHz (TV channel 17) is allocated 
exclusively to the fixed service for use by common carrier 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.
    NG92 The band 1900-2000 kHz is also allocated on a primary basis to 
the maritime mobile service in Regions 2 and 3 and to the radiolocation 
service in Region 2, and on a secondary basis to the radiolocation 
service in Region 3. The use of these allocations is restricted to radio 
buoy operations on the open sea and the Great Lakes. Stations in

[[Page 664]]

the amateur, maritime mobile, and radiolocation services in Region 2 
shall be protected from harmful interference only to the extent that the 
offending station does not operate in compliance with the technical 
rules applicable to the service in which it operates.
    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 
Industrial/Business Pool 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 614-698 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.
    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.
    NG124 In the bands 30.85-34, 37-38, 39-40, 42-47.41, 150.995-156.25, 
158.715-159.465, 453.0125-453.9875, 458.0125-458.9875, 460.0125-
465.6375, and 467.9375-467.9875 MHz, police licensees are authorized to 
operate low-power transmitters on a secondary basis in accordance with 
the provisions of 47 CFR 2.803 and 90.20(e)(5).
    NG141 In Alaska, the frequencies 42.4 MHz and 44.1 MHz are 
authorized on a primary basis for meteor burst communications by fixed 
stations in the Rural Radio Service operating under the provisions of 47 
CFR part 22. In Alaska, the frequencies 44.2 MHz and 45.9 MHz are 
authorized on a primary basis for meteor burst communications by fixed 
private radio stations operating under the provisions of 47 CFR part 90. 
The private radio station frequencies may be used by Common Carrier 
stations on a secondary, noninterference basis and the Common 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.
    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 No. 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 No. 
5.488.
    NG147 In the band 2483.5-2500 MHz, non-Federal stations in the fixed 
and mobile services that are licensed under 47 CFR parts 74, 90, or 101, 
which were licensed as of July 25, 1985, and those whose initial 
applications were filed on or before July 25, 1985, may continue to 
operate on a primary basis with the mobile-satellite and 
radiodetermination-satellite services, and in the sub-band 2495-2500 
MHz, these grandfathered stations may also continue to operate on a 
primary basis with stations in the fixed and mobile except aeronautical 
mobile services that are licensed under 47 CFR part 27.
    NG148 The frequencies 154.585 MHz, 159.480 MHz, 160.725 MHz, 160.785 
MHz, 454.000 MHz and 459.000 MHz may be authorized to maritime mobile 
stations for offshore radiolocation and associated telecommand 
operations.
    NG149 The bands 54-72 MHz, 76-88 MHz, 174-216 MHz, 470-512 MHz, 512-
608 MHz, and 614-698 MHz are also allocated to the fixed service to 
permit subscription television operations in accordance with 47 CFR part 
73.
    NG152 The use of the band 219-220 MHz by the amateur service is 
limited to stations participating, as forwarding stations, in point-to-
point fixed digital message forwarding systems, including intercity 
packet backbone networks.
    NG155 The bands 159.500-159.675 MHz and 161.375-161.550 MHz are 
allocated to the maritime service as described in 47 CFR part 80. 
Additionally, the frequencies 159.550, 159.575 and 159.600 MHz are 
available for low-power intership communications.
    NG159 In the band 698-806 MHz, stations authorized under 47 CFR part 
74, subparts E, F, and G may continue to operate indefinitely on a 
secondary basis to all other stations operating in that band.
    NG160 In the band 5850-5925 MHz, the use of the non-Federal mobile 
service is limited to Dedicated Short Range Communications operating in 
the Intelligent Transportation System radio service.
    NG163 The use of the band 17.3-17.7 GHz by the broadcasting-
satellite service is limited to geostationary satellites.
    NG164 The use of the band 18.3-18.8 GHz by the fixed-satellite 
service (space-to-Earth) is limited to systems in the 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.
    NG169 After December 1, 2000, operations on a primary basis by the 
fixed-satellite service (space-to-Earth) in the band 3650-3700

[[Page 665]]

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 within 16.1 kilometers (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.
    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: (a) In the band 7025-7075 MHz, 
Brewster, WA (48[deg]08[min]46.7[sec] N., 119[deg]42[min]8.0[sec] W.); 
and (b) In the sub-band 7025-7055 MHz, Clifton, TX 
(31[deg]47[min]58.5[sec] N., 97[deg]36[min]46.7[sec] W.) and Finca 
Pascual, PR (17[deg]58[min]41.8[sec] N., 67[deg]8[min]12.6[sec] W.).
    NG173 In the band 216-220 MHz, secondary telemetry operations are 
permitted subject to the requirements of 47 CFR 90.259. After January 1, 
2002, no new assignments shall be authorized in the sub-band 216-217 
MHz.
    NG175 In the band 38.6-40 GHz, television pickup stations that were 
authorized on or before April 16, 2003, may continue to operate on a 
secondary basis to stations operating in accordance with the Table of 
Frequency Allocations.
    NG180 In the band 3700-4200 MHz (space-to-Earth) earth stations on 
vessels (ESVs) may be authorized to communicate with space stations of 
the fixed-satellite service and, while docked, may be coordinated for up 
to 180 days, renewable. ESVs in motion must operate on a secondary 
basis.
    NG181 In the band 5925-6425 MHz (Earth-to-space), earth stations on 
vessels are an application of the fixed-satellite service (FSS) and may 
be authorized to communicate with space stations of the FSS on a primary 
basis.
    NG185 In the band 3650-3700 MHz, the use of the non-Federal fixed-
satellite service (space-to-Earth) is limited to international inter-
continental systems.
    NG338A In the bands 1390-1395 MHz and 1427-1435 MHz, licensees are 
encouraged to take all reasonable steps to ensure that unwanted 
emissions power does not exceed the following levels in the band 1400-
1427 MHz:
    (a) For stations of point-to-point systems in the fixed service: -45 
dBW/27 MHz.
    (b) For stations in the mobile service (except for devices 
authorized by the FCC for the Wireless Medical Telemetry Service): -60 
dBW/27 MHz.
    NG535 The following provisions shall apply to the use of the 24.75-
25.25 GHz range by the fixed-satellite service (Earth-to-space):
    (a) In the band 24.75-25.05 GHz, feeder links to stations of the 
broadcasting-satellite service have priority over other uses. Such other 
uses must protect and may not claim protection from existing and future 
operating feeder-link networks to such broadcasting satellite stations.
    (b) The use of the band 25.05-25.25 GHz is restricted to feeder 
links for the broadcasting-satellite service.

                    Federal Government (G) Footnotes

(These footnotes, each consisting of the letter ``G'' followed by one or 
more digits, denote stipulations applicable only to Federal operations 
and thus appear solely in the Federal Table.)
    G2 In the bands 216.965-216.995 MHz, 420-450 MHz (except as provided 
for in G129), 890-902 MHz, 928-942 MHz, 1300-1390 MHz, 2310-2390 MHz, 
2417-2450 MHz, 2700-2900 MHz, 3300-3500 MHz (except as provided for in 
US108), 5650-5925 MHz, and 9000-9200 MHz, use of the Federal 
radiolocation service is restricted to the military services.
    G5 In the bands 162.0125-173.2, 173.4-174, 406.1-410 and 410-420 
MHz, use by the military services is limited by the provisions specified 
in the channeling plans shown in Sections 4.3.7 and 4.3.9 of the NTIA 
Manual.
    G6 Military tactical fixed and mobile operations may be conducted 
nationally on a secondary basis: (a) To the meteorological aids service 
in the band 403-406 MHz; and (b) To the radio astronomy service in the 
band 406.1-410 MHz. Such fixed and mobile operations are subject to 
local coordination to ensure that harmful interference will not be 
caused to the services to which the bands are allocated.
    G8 Low power Federal radio control operations are permitted in the 
band 420-450 MHz.
    G11 Federal fixed and mobile radio services, including low power 
radio control operations, are permitted in the band 902-928 MHz on a 
secondary basis.

[[Page 666]]

    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 225-328.6 MHz, 335.4-399.9 MHz, and 1350-1390 MHz, 
the fixed and mobile services are limited to the military systems.
    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.
    G32 Except for weather radars on meteorological satellites in the 
band 9975-10025 MHz and for Federal survey operations (see footnote 
US108), Federal radiolocation in the band 10-10.5 GHz is limited to the 
military services.
    G34 In the band 34.4-34.5 GHz, weather 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 The space operation service (Earth-to-space) is limited to the 
band 1761-1842 MHz, and is limited to space command, control, range and 
range rate systems.
    G56 Federal radiolocation in the bands 1215-1300, 2900-3100, 5350-
5650 and 9300-9500 MHz is primarily for the military services; however, 
limited secondary use is permitted by other Federal agencies in support 
of 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 Federal non-military radiolocation shall be 
secondary to military radiolocation, except in the sub-band 15.7-16.2 
GHz airport surface detection equipment (ASDE) is permitted on a co-
equal basis subject to coordination with the military departments.
    G100 The bands 235-322 MHz and 335.4-399.9 MHz are also allocated on 
a primary basis to the mobile-satellite service, limited to 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.
    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 Federal 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 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, 17.375-17.475 GHz, 
17.6-21.2 GHz, 30-31 GHz, 33-36 GHz, 39.5-41 GHz, 43.5-45.5 GHz, and 
50.4-51.4 GHz, the Federal fixed-satellite and mobile-satellite services 
are limited to military systems.
    G120 Development of airborne primary radars in the band 2360-2390 
MHz with peak transmitter power in excess of 250 watts for use in the 
United States is not permitted.
    G122 In the bands 2300-2310 MHz, 2395-2400 MHz, 2400-2417 MHz, and 
4940-4990 MHz, Federal operations may be authorized on a non-
interference basis to authorized non-Federal

[[Page 667]]

operations, and shall not constrain the implementation of any non-
Federal operations.
    G127 Federal Travelers Information Stations (TIS) on 1610 kHz have 
coprimary status with AM Broadcast assignments. Federal TIS authorized 
as of August 4, 1994, preclude subsequent assignment for conflicting 
allotments.
    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 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 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 stations in the radiolocation service operating in the 
band 5470-5650 MHz, with the exception of ground-based radars used for 
meteorological purposes operating in the band 5600-5650 MHz, shall not 
cause harmful interference to, nor claim protection from, Federal 
stations in the maritime radionavigation service.
    G132 Use of the radionavigation-satellite service in the band 1215-
1240 MHz shall be subject to the condition that no harmful interference 
is caused to, and no protection is claimed from, the radionavigation 
service authorized under ITU Radio Regulation No. 5.331. Furthermore, 
the use of the radionavigation-satellite service in the band 1215-1240 
MHz shall be subject to the condition that no harmful interference is 
caused to the radiolocation service. ITU Radio Regulation No. 5.43 shall 
not apply in respect of the radiolocation service. ITU Resolution 608 
(WRC-03) shall apply.
    G133 In the band 7190-7235 MHz, emissions to deep space are 
prohibited. Geostationary satellites in the space research service 
operating in the band 7190-7235 MHz shall not claim protection from 
existing and future stations in the fixed service and ITU Radio 
Regulation No. 5.43A does not apply.
    G134 In the band 7190-7235 MHz, Federal earth stations operating in 
the meteorological-satellite service (Earth-to-space) may be authorized 
subject to the following conditions:
    (a) Earth stations are limited to those communicating with the 
Department of Commerce Geostationary Operational Environmental 
Satellites (GOES).
    (b) There shall not be more than five earth stations authorized at 
one time.
    (c) The GOES satellite receiver shall not claim protection from 
existing and future stations in the fixed service (ITU Radio Regulation 
No. 5.43A does not apply).

[49 FR 2373, Jan. 19, 1984]

    Editorial Note: 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 at www.fdsys.gov.

    Effective Date Notes: 1. At 82 FR 41557, Sept. 1, 2017, Sec. 2.106, 
the Table of Frequency Allocations, was amended by revising page 32 and 
footnotes US84 and US300 in the list of United States (US) Footnotes, 
effective Oct. 2, 2017. For the convenience of the user, the revised 
text is set forth as follows:



Sec. 2.106  Table of Frequency Allocations.

                                * * * * *

[[Page 668]]

[GRAPHIC] [TIFF OMITTED] TR01SE17.138

                                * * * * *

                      United States (US) Footnotes

                                * * * * *

[[Page 669]]

    US84 In the bands 941.5-944 MHz and 1435-1525 MHz, low power 
auxiliary stations may be authorized on a secondary basis, subject to 
the terms and conditions set forth in 47 CFR part 74, subpart H.

                                * * * * *

    US300 The frequencies 169.445, 169.505, 169.545, 169.575, 169.605, 
169.995, 170.025, 170.055, 170.245, 170.305, 171.045, 171.075, 171.105, 
171.845, 171.875, and 171.905 MHz are available for wireless microphone 
operations on a secondary basis to Federal and non-Federal operations. 
On center frequencies 169.575 MHz, 170.025 MHz, 171.075 MHz, and 171.875 
MHz, the emission bandwidth shall not exceed 200 kHz. On the other 
center frequencies, the emission bandwidth shall not exceed 54 kHz.
    2. At 82 FR 43868, Sept. 20, 2017, Sec. 2.106 was amended by 
revising page 62, and adding, under ``International Footnotes,'' in 
numerical order, footnote 5.559B, effective Oct. 20, 2017. For the 
convenience of the user, the added and revised text is set forth as 
follows:



Sec. 2.106  Table of Frequency Allocations.

                                * * * * *

[[Page 670]]

[GRAPHIC] [TIFF OMITTED] TR20SE17.002

                                * * * * *

                         International Footnotes

                                * * * * *

[[Page 671]]

    5.559B The use of the frequency band 77.5-78 GHz by the 
radiolocation service shall be limited to short-range radar for ground-
based applications, including automotive radars. The technical 
characteristics of these radars are provided in the most recent version 
of Recommendation ITU-R M.2057. The provisions of No. 4.10 do not apply. 
(WRC-15).

                                * * * * *



Sec. 2.107  Radio astronomy station notification.

    (a) Pursuant to No. 1492 of Article 13 and Section F of Appendix 3 
to the 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) Three symbols are used to describe the basic characteristics of 
emissions. Emissions are classified and symbolized according to the 
following characteristics:
    (1) First symbol--type of modulation of the main carrier;
    (2) Second symbol--nature of signal(s) modulating the main carrier;
    (3) Third symbol--type of information to be transmitted.

    Note to paragraph (b):
    Two additional symbols for the classification of emissions

[[Page 672]]

may be added for a more complete description of an emission. See 
Appendix 1, Sub-Section IIB of the ITU Radio Regulations for the 
specifications of these fourth and fifth symbols. Use of these symbols 
is not required by the Commission.

    (c) First Symbol--types of modulation of the main carrier:

 (1) Emission of an unmodulated carrier.............................   N
 (2) Emission in which the main carrier is amplitude-modulated
 (including cases where sub-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

[[Page 673]]

be preceded by the necessary bandwidth of the emission as indicated in 
Sec. 2.202(b)(1).

[49 FR 48697, Dec. 14, 1984, as amended at 75 FR 63030, Oct. 13, 2010]



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.

[[Page 674]]

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).

    (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   25 words per minute; B = 20, K = 5, Bandwidth:    100HA1A
                                        = 3 for non-fading circuits             100 Hz
 
Telegraphy by on-off keying of a tone  Bn = BK + 2M, K = 5 for fading          25 words per minute; B = 20, M = 1000, K = 5,     2K10A2A
 modulated carrier.                     circuits, K = 3 for non-fading          Bandwidth: 2100 Hz = 2.1 kHz
                                        circuits
 

[[Page 675]]

 
Selective calling signal, single-      Bn = M                                  Maximum code frequency is: 2110 Hz, M = 2110,     2K11H2B
 sideband full carrier.                                                         Bandwidth: 2110 Hz = 2.11 kHz
 
Direct-printing telegraphy using a     Bn = 2M + 2DK, M = B / 2                B = 50, D = 35 Hz (70 Hz shift), K = 1.2,         134HJ2B
 frequency shifted modulating sub-                                              Bandwidth: 134 Hz
 carrier single-sideband suppressed
 carrier.
 
Telegraphy, single sideband reduced    Bn = central frequency + M + DK, M = B  15 channels; highest central frequency is: 2805   2K89R7B
 carrier.                               / 2                                     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     2K70J3E
 carrier.                                                                       Hz, 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   Nc = 2, M = 3000 lowest modulation frequency is   5K75J8E
 sideband, suppressed carrier (two or   in the lowest channel                   250 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=   8K00A3E
                                        10000 depending on the quality          8 kHz
                                        desired
 
Sound broadcasting, single-sideband    Bn = M, M may vary between 4000 and     Speech and music, M = 4000, Bandwidth: 4000 Hz=   4K00R3E
 reduced carrier (single channel).      10000 depending on the quality          4 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            2K89R3C
 frequency modulation of a single-                                              cooperation of 352 and a cycler rotation speed
 sideband emission with reduced                                                 of 60 rpm. Index of cooperation is the product
 carrier.                                                                       of the drum diameter and number of lines per
                                                                                unit length C = 1900, D = 400 Hz, Bandwidth =
                                                                                2.890 Hz = 2.89 kHz
 

[[Page 676]]

 
Analogue facsimile; frequency          Bn = 2M + 2DK, M = N/2, K = 1.1         N = 1100, D = 400 Hz, Bandwidth: 1980 Hz = 1.98   1K98J3C
 modulation of an audio frequency sub-  (typically)                             kHz
 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 = 6.5 x 10\6\ D = 50 x 10\3\ Hz, M =
                                                                                15,000, Bandwidth: 13.13 x 10\6\ 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            The main carrier is modulated by: --a 30 Hz sub-  20K9A9W
 voice (VOR = VHF omnidirectional       (typically)                             carrier--a carrier resulting from a 9960 Hz
 radio 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       B = 100, D = 85 Hz (170 Hz shift), Bandwidth:     304HF1B
 (single channel).                      (typically)                             304 Hz
 
Four-frequency duplex telegraphy.....  Bn2M + 2DK, B = Modulation rate in      Spacing between adjacent frequencies = 400 Hz;    1K42F7B
                                        bands of the faster channel. If the     Synchronized channels; B = 100, M = 50, D = 600
                                        channels are synchronized: M = B / 2,   Hz, 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    For an average case of commercial telephony, M =  16K0F3E
                                        under conditions a higher value may     3,000, Bandwidth: 16,000 Hz = 16 kHz
                                        be 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       N = 1100 elements/sec; D = 400 Hz, Bandwidth:     1K98F1C
 modulation of the carrier; black and   (typically)                             1980 Hz = 1.98 kHZ
 white.
 
Analogue facsimile...................  Bn = 2M + 2DK, M = N / 2, K = 1.1       N = 1100 elements/sec; D = 400 Hz, Bandwidth:     1K98F3C
                                        (typically)                             1980 Hz = 1.98 kHz
--------------------------------------------------------------------------------------------------------------------------------------------------------

[[Page 677]]

 
                                                        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
                                                                                = (200 x 10\3\3 x 3.76 x 1.19), Hz = 0.895 x
                                                                                10\6\, P = 0.331 x 10\6\ Hz; Bandwidth: 2.452 x
                                                                                10\6\ 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
                                                                                = (20\0\ x 10\3\ x 3.76 x 3.63) = 2.73 x 10\6\;
                                                                                M = 5.64 x 10\6\ Hz; P = 6.2 x 10\6\ Hz; (2M +
                                                                                2DK<2P; Bandwidth 16.59 x 10\6\ 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
                                                                                = (200 x 10\3\ x 3.76 x 2.565) = 1.93 x 10\6\
                                                                                Hz; M = 2.54 x 10\6\ Hz; 2DK)<=2P Bandwidth: 17
                                                                                x 10\6\ Hz
--------------------------------------------------------------------------------------------------------------------------------------------------------
Unmodulated pulse emission...........  Bn = 2K / t, K depends upon the ratio   Primary Radar Range resolution: 150 m, K = 1.5    3M00P0N
                                        of 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 = 2 x range resolution /
                                                                                velocity of light = 2 x 150 / 3 x 10\8\ = 1 x
                                                                                10-6 seconds, Bandwidth: 3 x 10\6\ 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: 8 x 10\6\ 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; Bn = 10 MHz

[[Page 678]]

 
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 679]]

 
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 680]]

 
\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 FR 50239, Dec. 5, 1989]

    Editorial Note: For Federal Register citations affecting Sec. 
2.302, see the List of CFR Sections Affected, which appears in the 
Finding Aids section of the printed volume and at www.fdsys.gov.



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.

[[Page 681]]

 
Broadcasting (television           Retransmission of the call sign of the primary station.
 booster)..
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 
radiocommunications 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 radiocommunications or signals until there is 
assurance that no interference will be caused with the 
radiocommunications 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

[[Page 682]]

FM broadcast, or television broadcast) may, during a period of emergency 
in which normal communication facilities are disrupted as a result of 
hurricane, flood, earthquake, or similar disaster, utilize such station 
for emergency communication service in 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 Public Safety and Homeland Security Bureau of 
the Commission at Washington, D.C., 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 Public Safety and Homeland Security Bureau of the 
Commission at Washington, D.C., 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, as amended at 80 FR 53749, Sept. 8, 2015]



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 683]]



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) 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.
    (b) General rule. No person may market a radio frequency device 
unless:
    (1) For devices subject to authorization under certification, the 
device has been authorized in accordance with the rules in subpart J of 
this chapter and is properly identified and labeled as required by Sec. 
2.925 and other relevant sections in this chapter; or
    (2) For devices subject to authorization under verification or 
Declaration of Conformity in accordance with the rules in subpart J of 
this chapter, the device complies with all applicable technical, 
labeling, identification and administrative requirements; or
    (3) For devices that do not require a grant of equipment 
authorization under subpart J of this chapter but must comply with the 
specified technical standards prior to use, the device complies with all 
applicable, technical, labeling, identification and administrative 
requirements.
    (c) Exceptions. The following marketing activities are permitted 
prior to equipment authorization:
    (1) Activities under market trials conducted pursuant to subpart H 
of part 5.
    (2) Limited marketing is permitted, as described in the following 
text, for devices that could be authorized under the current rules; 
could be authorized under waivers of such rules that are in effect at 
the time of marketing; or could be authorized under rules that have been 
adopted by the Commission but that have not yet become effective. These 
devices may not be operated unless permitted by Sec. 2.805.
    (i) Conditional sales contracts (including agreements to produce new 
devices manufactured in accordance with designated specifications) are 
permitted between manufacturers and wholesalers or retailers provided 
that delivery is made contingent upon compliance with the applicable 
equipment authorization and technical requirements.
    (ii) A radio frequency device that is in the conceptual, 
developmental, design or pre-production stage may be offered 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) if the prospective buyer is advised in writing 
at the time of the offer for sale that the equipment is subject to the 
FCC rules and that the equipment will comply with the appropriate rules 
before delivery to the buyer or to centers of distribution.
    (iii) (A) A radio frequency device may be advertised or displayed, 
(e.g., at a trade show or exhibition) if accompanied by a conspicuous 
notice containing this language:

    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.

    (B) If the device being displayed is a prototype of a device that 
has been properly authorized and the prototype, itself, is not 
authorized due to differences between the prototype and the authorized 
device, this language may

[[Page 684]]

be used instead: Prototype. Not for Sale.
    (iv) An evaluation kit as defined in Sec. 2.1 may be sold provided 
that:
    (A) Sales are limited to product developers, software developers, 
and system integrators;
    (B) The following notice is included with the kit:
    FCC NOTICE: This kit is designed to allow:
    (1) Product developers to evaluate electronic components, circuitry, 
or software associated with the kit to determine whether to incorporate 
such items in a finished product and
    (2) Software developers to write software applications for use with 
the end product. This kit is not a finished product and when assembled 
may not be resold or otherwise marketed unless all required FCC 
equipment authorizations are first obtained. Operation is subject to the 
condition that this product not cause harmful interference to licensed 
radio stations and that this product accept harmful interference. Unless 
the assembled kit is designed to operate under part 15, part 18 or part 
95 of this chapter, the operator of the kit must operate under the 
authority of an FCC license holder or must secure an experimental 
authorization under part 5 of this chapter.
    (C) The kit is labeled with the following legend: For evaluation 
only; not FCC approved for resale; and
    (D) Any radiofrequency transmitter employed as part of an evaluation 
kit shall be designed to comply with all applicable FCC technical rules, 
including frequency use, spurious and out-of-band emission limits, and 
maximum power or field strength ratings applicable to final products 
that would employ the components or circuitry to be evaluated.
    (d) Importation. The provisions of subpart K of this part continue 
to apply to imported radio frequency devices.

[78 FR 25161, Apr. 29, 2013, as amended at 79 FR 48691, Aug. 18, 2014; 
80 FR 52414, Aug. 31, 2015]



Sec. 2.805  Operation of radio frequency devices prior to equipment
authorization.

    (a) General rule. A radio frequency device may not be operated prior 
to equipment authorization unless the conditions set forth in paragraphs 
(b), (c), (d) or (e), of this section are meet. Radio frequency devices 
operated under these provisions may not be marketed (as defined in Sec. 
2.803(a)) except as provided elsewhere in this chapter. In addition, the 
provisions of subpart K continue to apply to imported radio frequency 
devices.
    (b) Operation of a radio frequency device prior to equipment 
authorization is permitted under the authority of an experimental radio 
service authorization issued under part 5 of this chapter.
    (c) Operation of a radio frequency device prior to equipment 
authorization is permitted for experimentation or compliance testing of 
a device that is fully contained within an anechoic chamber or a Faraday 
cage.
    (d) For devices designed to operate solely under parts 15, 18, or 95 
of this chapter without a station license, operation of a radio 
frequency device prior to equipment authorization is permitted under the 
following conditions, so long as devices are either rendered inoperable 
or retrieved at the conclusion of such operation:
    (1) The radio frequency device shall be operated in compliance with 
existing Commission rules, waivers of such rules that are in effect at 
the time of operation, or rules that have been adopted by the Commission 
but that have not yet become effective; and
    (2) The radio frequency device shall be operated for at least one of 
these purposes:
    (i) Demonstrations at a trade show or an exhibition, provided a 
notice containing the wording specified in Sec. 2.803(c)(2)(iii) is 
displayed in a conspicuous location on, or immediately adjacent to, the 
device; or all prospective buyers at the trade show or exhibition are 
advised in writing that the equipment is subject to the FCC rules and 
that the equipment will comply with the appropriate rules before 
delivery to the buyer or to centers of distribution; or
    (ii) Evaluation of performance and determination of customer 
acceptability, during developmental, design, or pre-production states. 
If the device is not operated at the manufacturer's facilities, it must 
be labeled with the

[[Page 685]]

wording specified in Sec. 2.803(c)(2)(iii), and in the case of an 
evaluation kit, the wording specified in Sec. 2.803(c)(2)(iv)(C).
    (e) Operation of a radio frequency device prior to equipment 
authorization is permitted under either paragraph (e)(1) or (e)(2) of 
this section so long as devices are either rendered inoperable or 
retrieved at the conclusion of such operation:
    (1) The radio frequency device shall be operated in compliance with 
existing Commission rules, waivers of such rules that are in effect at 
the time of operation, or rules that have been adopted by the Commission 
but that have not yet become effective; and
    (i) Under the authority of a service license (only in the bands for 
which that service licensee holds a license) provided that the licensee 
grants permission and the licensee continues to remain responsible for 
complying with all of the operating conditions and requirements 
associated with its license; or
    (ii) Under a grant of special temporary authorization.
    (2) The radio frequency device shall be operated at or below the 
maximum level specified in the table in Sec. 15.209(a) of this chapter 
for at least one of these purposes:
    (i) Demonstrations at a trade show or an exhibition, provided a 
notice containing the wording specified in Sec. 2.803(c)(2)(iii) is 
displayed in a conspicuous location on, or immediately adjacent to, the 
device; or all prospective buyers at the trade show or exhibition are 
advised in writing that the equipment is subject to the FCC rules and 
that the equipment will comply with the appropriate rules before 
delivery to the buyer or to centers of distribution; or
    (ii) Evaluation of performance and determination of customer 
acceptability, during developmental, design, or pre-production states. 
If the device is not operated at the manufacturer's facilities, it must 
be labeled with the wording specified in Sec. 2.803(c)(2)(iii), and in 
the case of an evaluation kit, the wording specified in Sec. 
2.803(c)(2)(iv)(C).

[78 FR 25162, Apr. 29, 2013, as amended at 79 FR 48691, Aug. 18, 2014]



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 (c) 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.

[78 FR 25162, Apr. 29, 2013]



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

[[Page 686]]

of that signal, and (2) is not an integral part of a radio transmitter 
as manufactured.
    (b) 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 capable of operation 
on any frequency or frequencies below 144 MHz unless the amplifier has 
received a grant of certification in accordance with subpart J of this 
part and other relevant parts of this chapter. These amplifiers shall 
comply with the following:
    (1) The external radio frequency power amplifier shall not be 
capable of amplification in the frequency band 26-28 MHz.
    (2) The amplifier shall not be capable of easy modification to 
permit its use as an amplifier in the frequency band 26-28 MHz.
    (3) No more than 10 external radio frequency power amplifiers may be 
constructed for evaluation purposes in preparation for the submission of 
an application for a grant of certification.
    (4) If the external radio frequency power amplifier is intended for 
operation in the Amateur Radio Service under part 97 of this chapter, 
the requirements of Sec. Sec. 97.315 and 97.317 of this chapter shall 
be met.

[40 FR 1246, Jan. 7, 1975; 40 FR 6474, Feb. 12, 1975, as amended at 43 
FR 12687, Mar. 27, 1978; 43 FR 33725, Aug. 1, 1978; 46 FR 18981, Mar. 
27, 1981; 62 FR 10470, Mar. 7, 1997; 71 FR 66461, Nov. 15, 2006]



              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 a grant of Certification from a Telecommunication 
Certification Body.
    (b) Sections 2.902 through 2.1077 describe the verification 
procedure, the procedure for a Declaration of Conformity, and the 
procedures to be followed in obtaining certification and the conditions 
attendant to such a grant.

[80 FR 33439, June 12, 2015]



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. 2.945.

[[Page 687]]

    (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, as amended at 80 FR 33439, June 12, 2015]



Sec. 2.907  Certification.

    (a) Certification is an equipment authorization approved by the 
Commission or issued by a Telecommunication Certification Body (TCB) and 
authorized under the authority of 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; 80 FR 33439, June 12, 2015]



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 of a grant 
of certification, the party to whom that grant of certification 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) 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; 80 FR 33439, June 
12, 2015]



Sec. 2.910  Incorporation by reference.

    (a) The materials listed in this section are incorporated by 
reference in

[[Page 688]]

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. All approved material is available 
for inspection at the Federal Communications Commission, 445 12th St. 
SW., Reference Information Center, Room CY-A257, Washington, DC 20554, 
(202) 418-0270 and is available from the sources below. It is also 
available for 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.
    (b) International Electrotechnical Commission (IEC), IEC Central 
Office, 3, rue de Varembe, CH-1211 Geneva 20, Switzerland, Email: 
[email protected], www.iec.ch.
    (1) CISPR 16-1-4:2010-04: ``Specification for radio disturbance and 
immunity measuring apparatus and methods--Part 1-4: Radio disturbance 
and immunity measuring apparatus--Antennas and test sites for radiated 
disturbance measurements'', Edition 3.0, 2010-04, IBR approved for 
Sec. Sec. 2.948(d) and 2.950(f).
    (2) [Reserved]
    (c) Institute of Electrical and Electronic Engineers (IEEE), 3916 
Ranchero Drive, Ann Arbor, MI 48108, 1-800-699-9277, http://
www.techstreet.com/ieee; (ISO publications can also be purchased from 
the American National Standards Institute (ANSI) through its NSSN 
operation (www.nssn.org), at Customer Service, American National 
Standards Institute, 25 West 43rd Street, New York, NY 10036, telephone 
(212) 642-4900.)
    (1) ANSI C63.4-2014: ``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,'' ANSI approved 
June 13, 2014, IBR approved for Sec. 2.950(h) and:
    (i) Sections 5.4.4 through 5.5, IBR approved for Sec. Sec. 2.948(d) 
and 2.950(f); and
    (ii) [Reserved]
    (2) ANSI C63.10-2013, ``American National Standard of Procedures for 
Compliance Testing of Unlicensed Wireless Devices,'' ANSI approved June 
27, 2013, IBR approved for Sec. 2.950(g).
    (d) International Organization for Standardization (ISO), 1, ch. De 
la Voie-Creuse, CP 56, CH-1211, Geneva 20, Switzerland; www.iso.org ; 
Tel.: + 41 22 749 01 11; Fax: + 41 22 733 34 30; email: [email protected]. 
(ISO publications can also be purchased from the American National 
Standards Institute (ANSI) through its NSSN operation (www.nssn.org), at 
Customer Service, American National Standards Institute, 25 West 43rd 
Street, New York, NY 10036, telephone (212) 642-4900.)
    (1) ISO/IEC 17011:2004(E), ``Conformity assessment--General 
requirements for accreditation bodies accrediting conformity assessment 
bodies,'' First Edition, 2004-09-01, IBR approved for Sec. Sec. 
2.948(e), 2.949(b), 2.950(c) and (d), and 2.960(c).
    (2) ISO/IEC 17025:2005(E), ``General requirements for the competence 
of testing and calibration laboratories,'' Section Edition, 2005-05-15, 
IBR approved for Sec. Sec. 2.948(e), 2.949(b), 2.962(c) and (d).
    (3) ISO/IEC 17065:2012(E), ``Conformity assessment--Requirements for 
bodies certifying products, processes and services,'' First Edition, 
2012-09-15, IBR approved for Sec. Sec. 2.950(b), 2.960(b), 2.962(b), 
(c), (d), (f), and (g).
    (4) ISO/IEC Guide 58:1993(E), ``Calibration and testing laboratory 
accreditation systems--General requirements for operation and 
recognition'', First Edition 1993, IBR approved for Sec. 2.950(d).
    (5) ISO/IEC Guide 61:1996(E), ``General requirements for assessment 
and accreditation of certification/registration bodies'', First Edition 
1996, IBR approved for Sec. 2.950(c).
    (6) ISO/IEC Guide 65:1996(E), ``General requirements for bodies 
operating product certification systems,'' First Edition 1996, IBR 
approved for Sec. 2.950(b).

[80 FR 33439, June 12, 2015]

[[Page 689]]

           Application Procedures for Equipment Authorizations



Sec. 2.911  Application requirements.

    (a) All requests for equipment authorization shall be submitted in 
writing to a Telecommunication Certification Body (TCB) in a manner 
prescribed by the TCB.
    (b) A TCB shall submit an electronic copy of each equipment 
authorization application to the Commission pursuant to Sec. 
2.962(f)(6) on a form prescribed by the Commission at https://
www.fcc.gov/eas.
    (c) Each application that a TCB submits to the Commission shall be 
accompanied by all information required by this subpart and by those 
parts of the rules governing operation of the equipment, the applicant's 
certifications required by paragraphs (d)(1) and (2) of this section, 
and by requisite test data, diagrams, photographs, etc., as specified in 
this subpart and in those sections of rules under which the equipment is 
to be operated.
    (d) The applicant shall provide to the TCB all information that the 
TCB requests to process the equipment authorization request and to 
submit the application form prescribed by the Commission and all 
exhibits required with this form.
    (1) The applicant shall provide a written and signed certification 
to the TCB that all statements it makes in its request for equipment 
authorization are true and correct to the best of its knowledge and 
belief.
    (2) The applicant shall provide a written and signed certification 
to the TCB that the applicant complies with the requirements in Sec. 
1.2002 of this chapter concerning the Anti-Drug Abuse Act of 1988.
    (3) Each request for equipment authorization submitted to a TCB, 
including amendments thereto, and related statements of fact and 
authorizations required by the Commission, shall 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, 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.
    (4) Information on the Commission's equipment authorization 
requirements can be obtained from the Internet at https://www.fcc.gov/
eas.
    (e) Technical test data submitted to the TCB and to the Commission 
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 or TCB may require the person signing the test data to 
submit a statement showing that they are qualified to make or supervise 
the required measurements.
    (f) 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 or TCB with 
the intent that such symbol be a signature, including symbols formed by 
computer-generated electronic impulses.

[80 FR 33440, June 12, 2015]



Sec. 2.915  Grant of application.

    (a) A Commission recognized TCB 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.
    (d) Grants will be from the date of publication on the Commission 
Web site and shall show any special condition(s) attaching to the grant. 
The official copy of the grant shall be maintained on the Commission Web 
site.

[[Page 690]]

    (e) The grant shall identify the approving TCB and the Commission as 
the issuing authority.
    (f) In cases of a dispute the Commission will be the final arbiter.

[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; 80 FR 33440, June 12, 
2015]



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 to file additional documents or 
information and fails to submit the requested material within the 
specified time period, the application may be dismissed.

[39 FR 5919, Feb. 15, 1974, as amended at 62 FR 10470, Mar. 7, 1997; 80 
FR 33441, June 12, 2015]



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.



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, provided that such devices are electrically identical and 
the equipment bears an FCC Identifier validated by a grant of 
certification. A device will be considered to be electrically identical 
if no changes are made to the authorized device, 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.

[80 FR 33441, June 12, 2015]



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.
    (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

[[Page 691]]

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.
    (3) 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; 77 FR 
43536, July 25, 2012; 80 FR 33441, June 12, 2015]



Sec. 2.926  FCC identifier.

    (a) A grant of certification 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

[[Page 692]]

specified as the applicant/grantee in the code assignment(s).
    (c) A grantee code may consist of Arabic numerals, capital letters, 
or other characters. The format for this code will be specified by the 
Commission's Office of Engineering and Technology. A prospective grantee 
or its authorized representative may receive a grantee code 
electronically via the Internet at http://www.fcc.gov/eas. 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.
    (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. 
2.929(c) and (d) for additional information.
    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 
certification. This shall not prohibit placement of an FCC identifier on 
a transceiver which includes a verified receiver subject to Sec. 15.101 
of this chapter, 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; 69 FR 54033, Sept. 7, 2004; 77 FR 43536, July 25, 2012; 80 FR 
33441, June 12, 2015]

           Conditions Attendant to an Equipment Authorization



Sec. 2.927  Limitations on grants.

    (a) A grant of certification is valid only when the FCC Identifier 
is permanently affixed on the device and remains until set aside, 
revoked, withdrawn, surrendered, or terminated.
    (b) A grant of certification recognizes the determination 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 certification shall not be construed as a 
finding with respect to matters not encompassed by the Commission's 
rules, especially with respect to compliance with 18 U.S.C. 2512.
    (c) No person shall, in any advertising matter, brochure, etc., use 
or make reference to an equipment authorization in a deceptive or 
misleading manner or convey the impression that such certification 
reflects more than a Commission-authorized determination that the device 
or product has been shown to be capable of compliance with the 
applicable technical standards of the Commission's rules.

[80 FR 33441, June 12, 2015]

[[Page 693]]



Sec. 2.929  Changes in name, address, ownership or control of grantee.

    (a) An equipment authorization 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 certification, notice of such change(s) shall be submitted to 
the Commission via the Internet at https://apps.fcc.gov/eas 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://apps.fcc.gov/eas within 60 days after the 
consummation of the transaction. Depending on the circumstances in each 
case, the Commission may require new applications for certification. 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 certification may 
be filed covering all the affected equipment.

[63 FR 36598, July 7, 1998, as amended at 69 FR 54033, Sept. 7, 2004; 80 
FR 33441, June 12, 2015]



Sec. 2.931  Responsibility of the grantee.

    In accepting a grant of an equipment authorization, the grantee 
warrants that each unit of equipment marketed under such grant and 
bearing the 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 must be accompanied by the 
anti-drug abuse certification required under Sec. 1.2002 of this 
chapter.

[63 FR 36598, July 7, 1998, as amended at 66 FR 50840, Oct. 5, 2001; 70 
FR 23039, May 4, 2005; 80 FR 33441, June 12, 2015]

[[Page 694]]



Sec. 2.933  Change in identification of equipment.

    (a) A new application for certification 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.
    (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. 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 (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.
    (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 Sec. 2.1043, a complete application shall be filed 
pursuant to Sec. 2.911.

[63 FR 36598, July 7, 1998, as amended at 80 FR 33441, June 12, 2015]



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

[[Page 695]]

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 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. 2.944  Software defined radios.

    (a) Manufacturers must take steps to ensure that only software that 
has been approved with a software defined radio can be loaded into the 
radio. The software must not allow the user to operate the transmitter 
with operating frequencies, output power, modulation types or other 
radio frequency parameters outside those that were approved. 
Manufacturers may use means including, but not limited to the use of a 
private network that allows only authenticated users to download 
software, electronic signatures in software or coding in hardware that 
is decoded by software to verify that new software can be legally loaded 
into a device to meet these requirements and must describe the methods 
in their application for equipment authorization.
    (b) Any radio in which the software is designed or expected to be 
modified by a party other than the manufacturer and would affect the 
operating parameters of frequency range, modulation type or maximum 
output power (either radiated or conducted), or the circumstances under 
which the transmitter operates in accordance with Commission rules, must 
comply with

[[Page 696]]

the requirements in paragraph (a) of this section and must be certified 
as a software defined radio.
    (c) Applications for certification of software defined radios must 
include a high level operational description or flow diagram of the 
software that controls the radio frequency operating parameters.

[70 FR 23039, May 4, 2005]



Sec. 2.945  Submission of equipment for testing and equipment records.

    (a) Prior to certification. (1) The Commission or a 
Telecommunication Certification Body (TCB) may require an applicant for 
certification to submit one or more sample units for measurement at the 
Commission's laboratory or the TCB.
    (2) If the applicant fails to provide a sample of the equipment, the 
TCB may dismiss the application without prejudice.
    (3) In the event the applicant believes that shipment of the sample 
to the Commission's laboratory or the TCB 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.
    (4) The Commission may take administrative sanctions against a 
grantee of certification that fails to respond within 21 days to a 
Commission or TCB request for an equipment sample, such as suspending 
action on applications for equipment authorization submitted by that 
party while the matter is being resolved. The Commission may consider 
extensions of time upon submission of a showing of good cause.
    (b) Subsequent to equipment authorization. (1) The Commission may 
request that the responsible party or any other party marketing 
equipment subject to this chapter submit a sample of the equipment, or 
provide a voucher for the equipment to be obtained from the marketplace, 
to determine the extent to which 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 verification or Declaration 
of Conformity. The Commission may request that a sample or voucher to 
obtain a product from the marketplace be submitted to the Commission, or 
in the case of equipment subject to certification, to the TCB that 
certified the equipment.
    (2) A TCB may request samples of equipment that it has certified 
from the grantee of certification, or request a voucher to obtain a 
product from the marketplace, for the purpose of performing post-market 
surveillance as described in Sec. 2.962. TCBs must document their 
sample requests to show the date they were sent and provide this 
documentation to the Commission upon request.
    (3) The cost of shipping the equipment to the Commission's 
laboratory and back to the party submitting the equipment shall be borne 
by the party from which the Commission requested the equipment.
    (4) In the event a party believes that shipment of the sample to the 
Commission's laboratory or the TCB is impractical because of the size or 
weight of the equipment, or the power requirement, or for any other 
reason, that party may submit a written explanation why such shipment is 
impractical and should not be required.
    (5) Failure of a responsible party or other party marketing 
equipment subject to this chapter to comply with a request from the 
Commission or TCB for equipment samples or vouchers within 21 days may 
be cause for actions such as such as suspending action on applications 
for certification submitted by a grantee or forfeitures pursuant to 
Sec. 1.80 of this chapter. The Commission or TCB requesting the sample 
may consider extensions of time upon submission of a showing of good 
cause.
    (c) Submission of records. Upon request by the Commission, each 
responsible party shall submit copies of the records required by 
Sec. Sec. 2.938, 2.955, and 2.1075 to the Commission. Failure of a 
responsible party or other party marketing equipment subject to this 
chapter to comply with a request from the Commission for records within 
21 days may be cause for forfeiture, pursuant to Sec. 1.80 of this 
chapter. The Commission may consider extensions of time upon submission 
of a showing of good cause.

[[Page 697]]

    (d) Inspection by the Commission. Upon request by the Commission, 
each responsible party shall make its manufacturing plant and facilities 
available for inspection.

[80 FR 33442, June 12, 2015]



Sec. 2.947  Measurement procedure.

    (a) Test data must be 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, additional information may be required 
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; 80 FR 33442, June 12, 2015]



Sec. 2.948  Measurement facilities.

    (a) Equipment authorized under the certification or Declaration of 
Conformity (DoC) procedure shall be tested at a laboratory that is 
accredited in accordance with paragraph (e) of this section.
    (b) A laboratory that makes measurements of equipment subject to an 
equipment authorization under the certification, DoC or verification 
procedure shall compile a description of the measurement facilities 
employed.
    (1) The description of the measurement facilities shall contain the 
following information:
    (i) Location of the test site.
    (ii) Physical description of the test site accompanied by 
photographs that clearly show the details of the test site.
    (iii) 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.
    (iv) Description of structures used to support the device being 
measured and the test instrumentation.
    (v) List of measuring equipment used.
    (vi) Information concerning the calibration of the measuring 
equipment, i.e., the date the equipment was last calibrated and how 
often the equipment is calibrated.
    (vii) For a measurement facility that will be used for testing 
radiated emissions, a plot of site attenuation data taken pursuant to 
paragraph (d) of this section.
    (2) The description of the measurement facilities shall be provided 
to a laboratory accreditation body upon request.
    (3) The description of the measurement facilities shall be retained 
by the party responsible for verification of equipment and provided to 
the Commission upon request.
    (i) The party responsible for verification of equipment may rely 
upon the description of the measurement facilities retained by an 
independent laboratory that performed the tests. 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) No specific site calibration data is required for equipment 
that is

[[Page 698]]

verified for compliance based on measurements performed at the 
installation site of the equipment. The description of the measurement 
facilities may be retained at the site at which the measurements were 
performed.
    (c) The Commission will maintain a list of accredited laboratories 
that it has recognized. The Commission will make publicly available a 
list of those laboratories that have indicated a willingness to perform 
testing for the general public. Inclusion of a facility on the 
Commission's list does not constitute Commission endorsement of that 
facility. In order to be included on this list, the accrediting 
organization (or Designating Authority in the case of foreign 
laboratories) must submit the information listed below to the 
Commission's laboratory:
    (1) Laboratory name, location of test site(s), mailing address and 
contact information;
    (2) Name of accrediting organization;
    (3) Scope of laboratory accreditation;
    (4) Date of expiration of accreditation;
    (5) Designation number;
    (6) FCC Registration Number (FRN);
    (7) A statement as to whether or not the laboratory performs testing 
on a contract basis;
    (8) For laboratories outside the United States, the name of the 
mutual recognition agreement or arrangement under which the 
accreditation of the laboratory is recognized;
    (9) Other information as requested by the Commission.
    (d) When the measurement method used requires the testing of 
radiated emissions on a validated test site, the site attenuation must 
comply with the requirements of Sections 5.4.4 through 5.5 of the 
following procedure: ANSI C63.4-2014 (incorporated by reference, see 
Sec. 2.910). Measurement facilities used to make radiated emission 
measurements from 30 MHz to 1 GHz shall comply with the site validation 
requirements in ANSI C63.4-2014 (clause 5.4.4) and for radiated emission 
measurements from 1 GHz to 40 GHz shall comply with the site validation 
requirement of ANSI C63.4-2014 (clause 5.5.1 a) 1)), such that the site 
validation criteria called out in CISPR 16-1-4:2010-04 (incorporated by 
reference, see Sec. 2.910) is met. Test site revalidation shall occur 
on an interval not to exceed three years.
    (e) A laboratory that has been accredited with a scope covering the 
measurements required for the types of equipment that it will test 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 a Commission recognized accreditation 
organization based on the International Organization for 
Standardization/International Electrotechnical Commission International 
Standard ISO/IEC 17025, (incorporated by reference, see Sec. 2.910). 
The organization accrediting the laboratory must be recognized by the 
Commission's Office of Engineering and Technology, as indicated in Sec. 
0.241 of this chapter, to perform such accreditation based on 
International Standard ISO/IEC 17011 (incorporated by reference, see 
Sec. 2.910). The frequency for reassessment of the test facility 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, but shall occur on an interval not to exceed two years.
    (f) 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 
(MRA); or
    (2) If the laboratory is located in a country that does not have an 
MRA with the United States, then it must be accredited by an 
organization recognized by the Commission under the provisions of Sec. 
2.949 for performing accreditations in the country where the laboratory 
is located.

[80 FR 33442, June 12, 2015]



Sec. 2.949  Recognition of laboratory accreditation bodies.

    (a) A party wishing to become a laboratory accreditation body 
recognized by OET must submit a written request

[[Page 699]]

to the Chief of OET requesting such recognition. OET will make a 
determination based on the information provided in support of the 
request for recognition.
    (b) Applicants shall provide the following information as evidence 
of their credentials and qualifications to perform accreditation of 
laboratories that test equipment to Commission requirements, consistent 
with the requirements of Sec. 2.948(e). OET may request additional 
information, or showings, as needed, to determine the applicant's 
credentials and qualifications.
    (1) Successful completion of an ISO/IEC 17011 (incorporated by 
reference, see Sec. 2.910) peer review, such as being a signatory to an 
accreditation agreement that is acceptable to the Commission.
    (2) Experience with the accreditation of electromagnetic 
compatibility (EMC), radio and telecommunications testing laboratories 
to ISO/IEC 17025 (incorporated by reference, see Sec. 2.910).
    (3) Accreditation personnel/assessors with specific technical 
experience on the Commission equipment authorization rules and 
requirements.
    (4) Procedures and policies developed for the accreditation of 
testing laboratories for FCC equipment authorization programs.

[80 FR 33443, June 12, 2015]



Sec. 2.950  Transition periods.

    (a) As of July 13, 2015 the Commission will no longer accept 
applications for Commission issued grants of equipment certification.
    (b) Prior to September 15, 2015 a TCB shall be accredited to either 
ISO/IEC Guide 65 or ISO/IEC 17065 (incorporated by reference, see Sec. 
2.910). On or after September 15, 2015 a TCB shall be accredited to ISO/
IEC 17065.
    (c) Prior to September 15, 2015 an organization accrediting the 
prospective telecommunication certification body shall be capable of 
meeting the requirements and conditions of ISO/IEC Guide 61 or ISO/IEC 
17011 (incorporated by reference, see Sec. 2.910). On or after 
September 15, 2015 an organization accrediting the prospective 
telecommunication certification body shall be capable of meeting the 
requirements and conditions of ISO/IEC 17011.
    (d) Prior to September 15, 2015 an organization accrediting the 
prospective accredited testing laboratory shall be capable of meeting 
the requirements and conditions of ISO/IEC Guide 58 or ISO/IEC 17011. On 
or after September 15, 2015 an organization accrediting the prospective 
accredited testing laboratory shall be capable of meeting the 
requirements and conditions of ISO/IEC 17011.
    (e) The Commission will no longer accept applications for Sec. 
2.948 test site listing as of July 13, 2015. Laboratories that are 
listed by the Commission under the Sec. 2.948 process will remain 
listed until the sooner of their expiration date or through July 12, 
2017 and may continue to submit test data in support of certification 
applications through October 12, 2017. Laboratories with an expiration 
date before July 13, 2017 may request the Commission to extend their 
expiration date through July 12, 2017.
    (f) Measurement facilities used to make radiated emission 
measurements from 1 GHz to 40 GHz shall comply with the site validation 
option of ANSI C63.4-2014, (clause 5.5.1a)1)) which references CISPR 16-
1-4:2010-04 (incorporated by reference, see Sec. 2.910) by July 13, 
2018.
    (g) Measurements for intentional radiators subject to part 15 of 
this chapter are to be made using the procedures in ANSI C63.10-2013 
(incorporated by reference, see Sec. 2.910) by July 13, 2016.
    (h) Measurements for unintentional radiators are to be made using 
the procedures in ANSI C63.4, except clauses 4.5.3, 4.6, 6.2.13, 8.2.2, 
9, and 13 (incorporated by reference, see Sec. 2.910), by July 13, 
2016.

[80 FR 33443, June 12, 2015, as amended at 81 FR 42265, June 29, 2016]

                              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 2.955 appear at 46 FR 23249, Apr. 24, 
1981, unless otherwise noted.

[[Page 700]]



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. 2.945.
    (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; 80 
FR 33444, June 12, 2015]



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:

[[Page 701]]

    (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]

              Telecommunication Certification Bodies (TCBs)



Sec. 2.960  Recognition of Telecommunication Certification Bodies
(TCBs).

    (a) The Commission may recognize Telecommunication Certification 
Bodies (TCBs) which have been designated according to requirements of 
paragraph (b) or (c) of this section to issue grants of certification 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 review the application to determine compliance with the 
Commission's requirements and shall issue a grant of equipment 
certification in accordance with Sec. 2.911.
    (b) In the United States, TCBs shall be accredited and designated 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 17065 (incorporated by 
reference, see Sec. 2.910) 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. 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

[[Page 702]]

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 17011 (incorporated by reference, see Sec. 
2.910).
    (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, as amended at 80 FR 33444, June 12, 2015]



Sec. 2.962  Requirements for Telecommunication Certification Bodies.

    (a) Telecommunication certification bodies (TCBs) designated by 
NIST, or designated by another authority pursuant to an bilateral or 
multilateral mutual recognition agreement or arrangement to which the 
United States is a party, shall comply with the requirements of this 
section.
    (b) Certification methodology. (1) The certification system shall be 
based on type testing as identified in ISO/IEC 17065 (incorporated by 
reference, see Sec. 2.910).
    (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.
    (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 17065 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 17025 (incorporated by reference, see Sec. 
2.910) 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 knowledge of how to obtain current and correct 
technical regulation interpretations. The competence of the TCB shall be 
demonstrated by assessment. The general competence, efficiency, 
experience, familiarity with technical regulations and products covered 
by those technical regulations, as well as compliance with applicable 
parts of ISO/IEC 17025 and ISO/IEC 17065 shall be taken into 
consideration during assessment.
    (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.
    (7) A TCB shall be reassessed for continued accreditation on 
intervals not exceeding two years.
    (d) External resources. (1) In accordance with the provisions of 
ISO/IEC 17065 the evaluation of a product, or a portion thereof, may be 
performed by bodies that meet the applicable requirements of ISO/IEC 
17025 in accordance with the applicable provisions of ISO/IEC 17065 for 
external resources (outsourcing) and other relevant standards. 
Evaluation is the selection of applicable requirements and the 
determination that those requirements are

[[Page 703]]

met. Evaluation may be performed using internal TCB resources or 
external (outsourced) resources.
    (2) A TCB shall not outsource review and certification decision 
activities.
    (3) When external resources are used to provide the evaluation 
function, including the testing of equipment subject to certification, 
the TCB shall be responsible for the evaluation and shall maintain 
appropriate oversight of the external resources used to ensure 
reliability of the evaluation. Such oversight shall include periodic 
audits of products that have been tested and other activities as 
required in ISO/IEC 17065 when a certification body uses external 
resources for evaluation.
    (e) Recognition of a TCB. (1)(i) The Commission will recognize as a 
TCB any organization in the United States that meets the qualification 
criteria and is accredited and designated by NIST or NIST's recognized 
accreditor as provided in Sec. 2.960(b).
    (ii) The Commission will recognize as a TCB any organization outside 
the United States that meets the qualification criteria and is 
designated pursuant to an bilateral or multilateral MRA as provided in 
Sec. 2.960(c).
    (2) The Commission will withdraw its recognition of a TCB if the 
TCB's designation or accreditation is withdrawn, if the Commission 
determines there is just cause for withdrawing the recognition, or if 
the TCB requests that it no longer hold its designation or recognition. 
The Commission will limit the scope of equipment that can be certified 
by a TCB if its accreditor limits the scope of its accreditation or if 
the Commission determines there is good cause to do so. The Commission 
will notify a TCB in writing of its intention to withdraw or limit the 
scope of the TCB's recognition and provide at least 60 days for the TCB 
to respond. In the case of a TCB designated and recognized pursuant to 
an bilateral or multilateral mutual recognition agreement or arrangement 
(MRA), 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).
    (3) The Commission will notify a TCB in writing when it has concerns 
or evidence that the TCB is not certifying equipment in accordance with 
the Commission's rules and policies and request that it explain and 
correct any apparent deficiencies. The Commission may require that all 
applications for the TCB be processed under the pre-approval guidance 
procedure in Sec. 2.964 for at least 30 days, and will provide a TCB 
with 30 days' notice of its intent to do so unless good cause exists for 
providing shorter notice. The Commission may request that a TCB's 
Designating Authority or accreditation body investigate and take 
appropriate corrective actions as required, and the Commission may 
initiate action to limit or withdraw the recognition of the TCB as 
described in Sec. 2.962(e)(2).
    (4) If the Commission withdraws its recognition of a TCB, all 
certifications issued by that TCB will remain valid unless specifically 
set aside or revoked by the Commission under paragraph (f)(5) of this 
section.
    (5) A list of recognized TCBs will be published by the Commission.
    (f) Scope of responsibility. (1) A TCB shall certify equipment in 
accordance with the Commission's rules and policies.
    (2) A TCB shall accept test data from any Commission-recognized 
accredited test laboratory, subject to the requirements in ISO/IEC 17065 
and shall not unnecessarily repeat tests.
    (3) A TCB may establish and assess fees for processing certification 
applications and other Commission-required tasks.
    (4) A TCB may only act on applications that it has received or which 
it has issued a grant of certification.
    (5) A TCB shall dismiss an application which is not in accordance 
with the provisions of this subpart or when the applicant requests 
dismissal, and may dismiss an application if the applicant does not 
submit additional information or test samples requested by the TCB.
    (6) Within 30 days of the date of grant of certification the 
Commission or TCB issuing the grant may set aside a grant of 
certification that does not comply

[[Page 704]]

with the requirements or upon the request of the applicant. A TCB shall 
notify the applicant and the Commission when a grant is set aside. After 
30 days, the Commission may revoke a grant of certification through the 
procedures in Sec. 2.939.
    (7) A TCB shall follow the procedures in Sec. 2.964 of this part 
for equipment on the pre-approval guidance list.
    (8) A TCB shall supply an electronic copy of each certification 
application and all necessary exhibits to the Commission prior to grant 
or dismissal of the application. Where appropriate, the application must 
be accompanied by a request for confidentiality of any material that may 
qualify for confidential treatment under the Commission's rules.
    (9) A TCB shall grant or dismiss each certification application 
through the Commission's electronic filing system.
    (10) A TCB may not:
    (i) Grant a waiver of the rules;
    (ii) Take enforcement actions; or
    (iii) Authorize a transfer of control of a grantee.
    (11) All TCB actions are subject to Commission review.
    (g) Post-market surveillance requirements. (1) In accordance with 
ISO/IEC 17065 a TCB shall perform appropriate post-market surveillance 
activities. These activities shall be based on type testing a certain 
number of samples of the total number of product types which the 
certification body has certified.
    (2) The Chief of the Office of Engineering and Technology (OET) has 
delegated authority under Sec. 0.241(g) of this chapter to develop 
procedures that TCBs will use for performing post-market surveillance. 
OET will publish a document on TCB post-market surveillance 
requirements, and this document will provide specific information such 
as the number and types of samples that a TCB must test.
    (3) OET may request that a grantee of equipment certification submit 
a sample directly to the TCB that performed the original certification 
for evaluation. Any equipment samples requested by the Commission and 
tested by a TCB will be counted toward the minimum number of samples 
that the TCB must test.
    (4) TCBs may request samples of equipment that they have certified 
directly from the grantee of certification in accordance with Sec. 
2.945.
    (5) If during post market surveillance of a certified product, a TCB 
determines that a product fails to comply with the technical regulations 
for that product, the TCB shall immediately notify the grantee and the 
Commission in writing of its findings. The grantee shall provide a 
report to the TCB describing the actions taken to correct the situation, 
and the TCB shall provide a report of these actions to the Commission 
within 30 days.
    (6) TCBs shall submit periodic reports to OET of their post-market 
surveillance activities and findings in the format and by the date 
specified by OET.

[80 FR 33444, June 12, 2015]



Sec. 2.964  Pre-approval guidance procedure for Telecommunication
Certification Bodies.

    (a) The Commission will publish a ``Pre-approval Guidance List'' 
identifying the categories of equipment or types of testing for which 
Telecommunication Certification Bodies (TCBs) must request guidance from 
the Commission before approving equipment on the list.
    (b) TCBs shall use the following procedure for approving equipment 
on the Commission's pre-approval guidance list.
    (1) A TCB shall perform an initial review of the application and 
determine the issues that require guidance from the Commission. The TCB 
shall electronically submit the relevant exhibits to the Commission 
along with a specific description of the pertinent issues.
    (2) The TCB shall complete the review of the application in 
accordance with the Commission's guidance.
    (3) The Commission may request and test a sample of the equipment 
before the application can be granted.
    (4) The TCB shall electronically submit the application and all 
exhibits to the Commission along with a request to grant the 
application.
    (5) The Commission will give its concurrence for the TCB to grant 
the application if it determines that the

[[Page 705]]

equipment complies with the rules. The Commission will advise the TCB if 
additional information or equipment testing is required, or if the 
equipment cannot be certified because it does not comply with the 
Commission's rules.

[80 FR 33445, June 12, 2015]

                              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 8 x 10 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 8.5 x 11 inch (21.6 cm x 27.9 
cm) paper. A sample label or facsimile together with the sketch showing 
the placement of this label shall be on the same size paper.
    (8) If the equipment for which 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

[[Page 706]]

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) of this chapter.
    (12) An application for certification of a software defined radio 
must include the information required by Sec. 2.944.
    (13) Applications for certification of U-NII devices in the 5.15-
5.35 GHz and the 5.47-5.85 GHz bands must include a high level 
operational description of the security procedures that control the 
radio frequency operating parameters and ensure that unauthorized 
modifications cannot be made.
    (14) Contain at least one drawing or photograph showing the test 
set-up for each of the required types of tests applicable to the device 
for which certification is requested. 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.
    (c) Applications for equipment other than that operating under parts 
15, 11 and 18 of this chapter 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 (8 x 10) 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 with 
the technical specifications in subpart C of part 97 of this chapter and

[[Page 707]]

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.
    (18) An application for certification of a software defined radio 
must include the information required by Sec. 2.944.
    (19) Applications for certification of equipment operating under 
part 27 of this chapter, that a manufacturer is seeking to certify for 
operation in the:
    (i) 1755-1780 MHz, 2155-2180 MHz, or both bands shall include a 
statement indicating compliance with the pairing of 1710-1780 and 2110-
2180 MHz specified in Sec. Sec. 27.5(h) and 27.75 of this chapter.
    (ii) 1695-1710 MHz, 1755-1780 MHz, or both bands shall include a 
statement indicating compliance with Sec. 27.77 of this chapter.
    (iii) 600 MHz band shall include a statement indicating compliance 
with Sec. 27.75 of this chapter.
    (20) Before equipment operating under part 90 of this chapter and 
capable of operating on the 700 MHz interoperability channels (See Sec. 
90.531(b)(1) of this chapter) may be marketed or sold, the manufacturer 
thereof shall have a Compliance Assessment Program Supplier's 
Declaration of Conformity and Summary Test Report or, alternatively, a 
document detailing how the manufacturer determined that its equipment 
complies with Sec. 90.548 of this chapter and that the equipment is 
interoperable across vendors. Submission of a 700 MHz narrowband radio 
for certification will constitute a representation by the manufacturer 
that the radio will be shown, by testing, to be interoperable across 
vendors before it is marketed or sold.
    (21) Contain at least one drawing or photograph showing the test 
set-up for each of the required types of tests applicable to the device 
for which certification is requested. 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.
    (d) Applications for certification of equipment operating under part 
20 of this chapter, that a manufacturer is seeking to certify as hearing 
aid compatible, as set forth in Sec. 20.19 of this chapter, shall 
include a statement indicating compliance with the test requirements of 
Sec. 20.19 of this chapter and indicating the appropriate M-rating and 
T-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; 70 FR 
23039, May 4, 2005; 77 FR 41928, July 17, 2012; 78 FR 59850, Sept. 30, 
2013; 79 FR 24578, May 1, 2014; 79 FR 32410, June 4, 2014; 79 FR 48536, 
Aug. 15, 2014; 79 FR 71325, Dec. 2, 2014; 80 FR 33446, June 12, 2015; 81 
FR 66832, Sept. 29, 2016]

    Effective Date Notes: 1. At 79 FR 71325, Dec. 2, 2014, Sec. 
2.1033(c)(20) 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.
    2. At 81 FR 66832, Sept. 29, 2016, Sec. 2.1033(c)(20) was revised. 
This paragraphcontains information collection and recordkeeping 
requirements and will not become effective until approval has been given 
by the Office of Management and Budget.

[[Page 708]]



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 any additional filings 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 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 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 
provide 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 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 range, modulation type or maximum output power (either 
radiated or conducted) outside the parameters previously approved, or 
that change the circumstances under which the transmitter operates in 
accordance with Commission rules. When a Class III permissive change is 
made, the grantee shall provide 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 
the equipment, and the equipment shall not be marketed with the modified 
software under the existing grant of certification, prior to 
acknowledgement that the change is acceptable. Class III changes are 
permitted only for equipment in which no Class II changes have been made 
from the originally approved device.

    Note to paragraph (b)(3):
    Any software change that degrades spurious and out-of-band emissions 
previously reported 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.
    (c) A grantee desiring to make a change other than a permissive 
change shall file a new application for certification accompanied by the 
required information as specified in this part and shall not market the 
modified device until the grant of certification has been issued. The 
grantee shall attach a

[[Page 709]]

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 of 
this chapter, 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 prior to acknowledgement 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

[[Page 710]]

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; 70 
FR 23040, May 4, 2005; 80 FR 33446, June 12, 2015]



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 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]

[[Page 711]]



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 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

[[Page 712]]

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 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

[[Page 713]]

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--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

[[Page 714]]

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.
    (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.

[[Page 715]]

    (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.
    (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

[[Page 716]]

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) Certification of external radio frequency power amplifiers may 
be denied when denial would prevent the use of these amplifiers in 
services other than the Amateur Radio Service.

[63 FR 36601, July 7, 1998, as amended at 71 FR 66461, Nov. 15, 2006]

                        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, relies 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. 2.945.
    (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 
with the applicable technical standards

[[Page 717]]

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, as amended at 80 FR 33446, June 12, 2015]



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 718]]

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. 2.945.

[61 FR 31047, June 19, 1996, as amended at 80 FR 33447, June 12, 2015]



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 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. 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

[[Page 719]]

manual in that alternative form, provided the user can reasonably be 
expected to have the capability to access information in that form.

[61 FR 31048, June 19, 1996, as amended at 62 FR 41880, Aug. 4, 1997; 69 
FR 71383, Dec. 9, 2004]

                    Radiofrequency Radiation Exposure



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)(1) Mobile devices that operate in the Commercial Mobile Radio 
Services pursuant to part 20 of this chapter; the Cellular 
Radiotelephone Service pursuant to part 22 of this chapter; the Personal 
Communications Services pursuant to part 24 of this chapter; the 
Satellite Communications Services pursuant to part 25 of this chapter; 
the Miscellaneous Wireless Communications Services pursuant to part 27 
of this chapter; the Upper Microwave Flexible Use Service pursuant to 
part 30 of this chapter; the Maritime Services (ship earth station 
devices only) pursuant to part 80 of this chapter; the Specialized 
Mobile Radio Service, and the 3650 MHz Wireless Broadband Service 
pursuant to part 90 of this chapter; and the Citizens Broadband Radio 
Service pursuant to part 96 of this chapter are subject to routine 
environmental evaluation for RF exposure prior to equipment 
authorization or use if:
    (i) They operate at frequencies of 1.5 GHz or below and their 
effective radiated power (ERP) is 1.5 watts or more, or
    (ii) They operate at frequencies above 1.5 GHz and their ERP is 3 
watts or more.
    (2) Unlicensed personal communications service devices, unlicensed 
millimeter wave devices and unlicensed NII devices authorized under 
Sec. Sec. 15.253(f), 15.255(g), 15.257(g), 15.319(i), and 15.407(f) 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.
    (3) 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.
    (4) 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. 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.

[[Page 720]]

    (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 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, awareness of exposure from devices in this 
section can be accomplished by the use of visual advisories (such as 
labeling, embossing, or on an equivalent electronic display) and by 
providing users with information concerning minimum separation distances 
from radiating structures and proper installation of antennas.
    (i) Visual advisories shall be legible and clearly visible to the 
user from the exterior of the device.
    (ii) Visual advisories used on devices that are subject to 
occupational/controlled exposure limits must indicate that the device is 
for occupational use only, must refer the user to specific information 
on RF exposure, such as that provided in a user manual, and must note 
that the advisory and its information is required for FCC RF exposure 
compliance. Such instructional material must provide the user with 
information on how to use the device in order to ensure compliance with 
the occupational/controlled exposure limits.
    (iii) A sample of the visual advisory, illustrating its location on 
the device, and any instructional material intended to accompany the 
device when marketed, shall be filed with the Commission along with the 
application for equipment authorization.
    (iv) For occupational devices, details of any special training 
requirements pertinent to limiting RF exposure should also be submitted. 
Holders of grants for mobile devices to be used in occupational settings 
are encouraged, but not required, to coordinate with end-user 
organizations to ensure appropriate RF safety training.
    (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; 70 FR 24725, May 11, 2005; 78 FR 
21559, Apr. 11, 2013; 78 FR 29062, May 17, 2013; 78 FR 33651, June 4, 
2013; 80 FR 36221, June 23, 2015; 81 FR 79936, Nov. 14, 2016]

    Effective Date Note: At 82 FR 43870, Sept. 20, 2017, Sec. 2.1091 
was amended by revising paragraphs (c)(1) introductory text and (c)(2), 
effective Oct. 20, 2017. For the convenience of the user, the revised 
text is set forth as follows:



Sec. 2.1091  Radiofrequency radiation exposure evaluation: mobile 
          devices.

                                * * * * *

    (c)(1) Mobile devices that operate in the Commercial Mobile Radio 
Services pursuant to part 20 of this chapter; the Cellular 
Radiotelephone Service pursuant to part 22 of this chapter; the Personal 
Communications Services pursuant to part 24 of this chapter; the 
Satellite Communications Services pursuant to part 25 of this chapter; 
the Miscellaneous Wireless Communications Services pursuant to part 27 
of this chapter; the Upper Microwave Flexible Use Service pursuant to 
part 30 of this chapter; the Maritime Services (ship earth station 
devices only) pursuant to part 80 of this chapter; the Specialized 
Mobile Radio Service, and the 3650 MHz Wireless Broadband Service 
pursuant to part 90 of this chapter; the 76-81 GHz Band Radar Service 
pursuant to part 95 of this chapter; and the Citizens Broadband Radio 
Service pursuant to part 96 of this chapter are subject to routine 
environmental evaluation for RF exposure prior to equipment 
authorization or use if:

                                * * * * *

    (2) Unlicensed personal communications service devices, unlicensed 
millimeter-wave devices, and unlicensed NII devices authorized under 
Sec. Sec. 15.255(g), 15.257(g), 15.319(i), and 15.407(f) of this 
chapter are also subject to

[[Page 721]]

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.

                                * * * * *



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)(1) Portable devices that operate in the Cellular Radiotelephone 
Service pursuant to part 22 of this chapter; the Personal Communications 
Service (PCS) pursuant to part 24 of this chapter; the Satellite 
Communications Services pursuant to part 25 of this chapter; the 
Miscellaneous Wireless Communications Services pursuant to part 27 of 
this chapter; the Upper Microwave Flexible Use Service pursuant to part 
30 of this chapter; the Maritime Services (ship earth station devices 
only) pursuant to part 80 of this chapter; the Specialized Mobile Radio 
Service, the 4.9 GHz Band Service, and the 3650 MHz Wireless Broadband 
Service pursuant to part 90 of this chapter; the Wireless Medical 
Telemetry Service (WMTS) and the Medical Device Radiocommunication 
Service (MedRadio), pursuant to subparts H and I of part 95 of this 
chapter, respectively, unlicensed personal communication service, 
unlicensed NII devices and millimeter wave devices authorized under 
Sec. Sec. 15.253(f), 15.255(g), 15.257(g), 15.319(i), and 15.407(f) of 
this chapter; and the Citizens Broadband Radio Service pursuant to part 
96 of this chapter are subject to routine environmental evaluation for 
RF exposure prior to equipment authorization or use.
    (2) 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.
    (3) 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. 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) 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) The SAR limits for occupational/controlled exposure are 0.4 W/
kg, as averaged over the whole body, and a

[[Page 722]]

peak spatial-average SAR of 8 W/kg, averaged over any 1 gram of tissue 
(defined as a tissue volume in the shape of a cube). Exceptions are the 
parts of the human body treated as extremities, such as hands, wrists, 
feet, ankles, and pinnae, where the peak spatial-average SAR limit for 
occupational/controlled exposure is 20 W/kg, averaged over any 10 grams 
of tissue (defined as a tissue volume in the shape of a cube). Exposure 
may be averaged over a time period not to exceed 6 minutes to determine 
compliance with occupational/controlled SAR limits.
    (i) 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 visual advisories (such as labeling, 
embossing, or on an equivalent electronic display) or by specific 
training or education through appropriate means, such as an RF safety 
program in a work environment.
    (ii) Visual advisories on portable devices designed only for 
occupational use can be used as part of an applicant's evidence of the 
device user's awareness of occupational/controlled exposure limits.
    (A) Such visual advisories shall be legible and clearly visible to 
the user from the exterior of the device.
    (B) Visual advisories must indicate that the device is for 
occupational use only, refer the user to specific information on RF 
exposure, such as that provided in a user manual and note that the 
advisory and its information is required for FCC RF exposure compliance.
    (C) Such instructional material must provide the user with 
information on how to use the device in order to ensure compliance with 
the occupational/controlled exposure limits.
    (D) A sample of the visual advisory, illustrating its location on 
the device, and any instructional material intended to accompany the 
device when marketed, shall be filed with the Commission along with the 
application for equipment authorization. Details of any special training 
requirements pertinent to limiting RF exposure should also be submitted.
    (E) Holders of grants for portable devices to be used in 
occupational settings are encouraged, but not required, to coordinate 
with end-user organizations to ensure appropriate RF safety training.
    (2) The SAR limits for general population/uncontrolled exposure are 
0.08 W/kg, as averaged over the whole body, and a peak spatial-average 
SAR of 1.6 W/kg, averaged over any 1 gram of tissue (defined as a tissue 
volume in the shape of a cube). Exceptions are the parts of the human 
body treated as extremities, such as hands, wrists, feet, ankles, and 
pinnae, where the peak spatial-average SAR limit is 4 W/kg, averaged 
over any 10 grams of tissue (defined as a tissue volume in the shape of 
a cube). Exposure may be averaged over a time period not to exceed 30 
minutes to determine compliance with general population/uncontrolled SAR 
limits.
    (i) 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.
    (ii) Visual advisories (such as labeling, embossing, or on an 
equivalent electronic display) 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. The 
latter must be supported by adequate documentation showing that the test 
device and exposure conditions have been correctly modeled in accordance 
with the operating configurations for normal use. Guidance regarding SAR 
measurement techniques can be found in the Office of Engineering and 
Technology (OET) Laboratory Division Knowledge Database (KDB). The staff 
guidance provided in the KDB does not necessarily represent the only 
acceptable methods for measuring RF exposure or emissions, and is not 
binding on the Commission or any interested party.

[[Page 723]]

    (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; 70 FR 
24725, May 11, 2005; 74 FR 22704, May 14, 2009; 76 FR 67607, Nov. 2, 
2011; 78 FR 21559, Apr. 11, 2013; 78 FR 33652, June 4, 2013; 80 FR 
36221, June 23, 2015; 81 FR 79936, Nov. 14, 2016]

    Effective Date Note: At 82 FR 43870, Sept. 20, 2017, Sec. 2.1093 
was amended by revising paragraph (c)(1), effective Oct. 20, 2017. For 
the convenience of the user, the revised text is set forth as follows:



Sec. 2.1093  Radiofrequency radiation exposure evaluation: portable 
          devices.

                                * * * * *

    (c)(1) Portable devices that operate in the Cellular Radiotelephone 
Service pursuant to part 22 of this chapter; the Personal Communications 
Service (PCS) pursuant to part 24 of this chapter; the Satellite 
Communications Services pursuant to part 25 of this chapter; the 
Miscellaneous Wireless Communications Services pursuant to part 27 of 
this chapter; the Upper Microwave Flexible Use Service pursuant to part 
30 of this chapter; the Maritime Services (ship earth station devices 
only) pursuant to part 80 of this chapter; the Specialized Mobile Radio 
Service, the 4.9 GHz Band Service, and the 3650 MHz Wireless Broadband 
Service pursuant to part 90 of this chapter; the Wireless Medical 
Telemetry Service (WMTS), the Medical Device Radiocommunication Service 
(MedRadio), and the 76-81 GHz Band Radar Service pursuant to subparts H, 
I, and M of part 95 of this chapter, respectively; unlicensed personal 
communication service, unlicensed NII devices and millimeter-wave 
devices authorized under Sec. Sec. 15.255(g), 15.257(g), 15.319(i), and 
15.407(f) of this chapter; and the Citizens Broadband Radio Service 
pursuant to part 96 of this chapter are subject to routine environmental 
evaluation for RF exposure prior to equipment authorization or use.

                                * * * * *



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 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

[[Page 724]]

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.
    (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 quantities of 
4,000 or fewer units for testing and evaluation to determine compliance 
with the FCC Rules and Regulations, product development, or suitability 
for marketing. The devices will not be offered for sale or marketed.
    (i) Prior to importation of a greater number of units than shown in 
paragraph (a)(3) of this section, written approval must be obtained from 
the Chief, Office of Engineering and Technology, FCC; and
    (ii) Distinctly different models of a device 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:

[[Page 725]]

    (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 or a medical body-worn transmitter as defined in 
part 95, granted entry into the United States or is a control 
transmitter associated with such an implanted or body-worn transmitter, 
provided, however that the transmitters covered by this provision 
otherwise comply with the technical requirements applicable to 
transmitters authorized to operate in the Medical Device 
Radiocommunication Service (MedRadio) under part 95 of this chapter. 
Such transmitters are permitted to be imported without the issuance of a 
grant of equipment authorization only for the personal use of the person 
in whom the medical implant transmitter has been inserted or on whom the 
medical body-worn transmitter is applied.
    (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; 74 FR 
22704, May 14, 2009; 78 FR 25162, Apr. 29, 2013]



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

[[Page 726]]

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 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

[[Page 727]]

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 [Reserved]



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.
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

[[Page 728]]

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 
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

[[Page 729]]

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 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.

[[Page 730]]

    (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 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

[[Page 731]]

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 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

[[Page 732]]

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.



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

[[Page 733]]

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.
    (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

[[Page 734]]

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:

 
 

    (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
 
 


                                    Modifications to Current Vessel Inventory
 
 


                  Deletions to Current Vessel Inventory
 
 


The preceding report must be received by the Commission no later than 15 
days following the end of the period (March or September) for which the 
report pertains. Modifications refer to changes to call sign or ship 
name of vessels for which the accounting authority settles accounts and 
for which fbasic information has previously been provided to the 
Commission. Reports are to be submitted even if there have been no 
additions, modifications or 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.

[[Page 735]]



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;
    (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

[[Page 736]]

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.



PART 4_DISRUPTIONS TO COMMUNICATIONS--Table of Contents



                                 General

Sec.
4.1 Scope, basis, and purpose.
4.2 Availability of reports filed under this part.

        Reporting Requirements for Disruptions to Communications

4.3 Communications providers covered by the requirements of this part.
4.5 Definitions of outage, special offices and facilities, and 911 
          special facilities.
4.7 Definitions of metrics used to determine the general outage-
          reporting threshold criteria.
4.9 Outage reporting requirements--threshold criteria.
4.11 Notification and initial and final communications outage reports 
          that must be filed by communications providers.
4.13 [Reserved]
4.15 Submarine cable outage reporting.

    Authority: Sections 1, 4(i), 4(j), 4(o), 251(e)(3), 254, 301, 
303(b), 303(g), 303(r), 307, 309(a), 309(j), 316, 332, 403, 615a-1, and 
615c of Pub. L. 73-416, 48 Stat. 1064, as amended, and section 706 of 
Pub. L. 104-104, 110 Stat. 56; 47 U.S.C. 151, 154(i)-(j) & (o), 
251(e)(3), 254, 301, 303(b), 303(g), 303(r), 307, 309(a), 309(j), 316, 
332, 403, 615a-1, 615c, and 1302, unless otherwise noted.

    Source: 69 FR 70338, Dec. 3, 2004, unless otherwise noted.

                                 General



Sec. 4.1  Scope, basis, and purpose.

    (a) In this part, the Federal Communications Commission is setting 
forth requirements pertinent to the reporting of disruptions to 
communications and to the reliability and security of communications 
infrastructures.
    (b) The definitions, criteria, and reporting requirements set forth 
in Sections 4.2 through 4.13 of this part are applicable to the 
communications providers defined in Section 4.3 of this part.
    (c) The definitions, criteria, and reporting requirements set forth 
in Section 4.15 of this part are applicable to

[[Page 737]]

submarine cable providers who have been licensed pursuant to 47 U.S.C. 
34-39.

[81 FR 52362, Aug. 8, 2016]

    Effective Date Note: At 81 FR 52362, Aug. 8, 2016, Sec. 4.1 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.



Sec. 4.2  Availability of reports filed under this part.

    Reports filed under this part will be presumed to be confidential. 
Public access to reports filed under this part may be sought only 
pursuant to the procedures set forth in 47 CFR Sec. 0.461. Notice of 
any requests for inspection of outage reports will be provided pursuant 
to 47 CFR 0.461(d)(3).

        Reporting Requirements for Disruptions to Communications



Sec. 4.3  Communications providers covered by the requirements of 
this part.

    (a) Cable communications providers are cable service providers that 
also provide circuit-switched telephony. Also included are affiliated 
and non-affiliated entities that maintain or provide communications 
networks or services used by the provider in offering telephony.
    (b) Communications provider is an entity that provides for a fee to 
one or more unaffiliated entities, by radio, wire, cable, satellite, 
and/or lightguide: two-way voice and/or data communications, paging 
service, and/or SS7 communications.
    (c) IXC or LEC tandem facilities refer to tandem switches (or their 
equivalents) and interoffice facilities used in the provision of 
interexchange or local exchange communications.
    (d) Satellite communications providers use space stations as a means 
of providing the public with communications, such as telephony and 
paging. Also included are affiliated and non-affiliated entities that 
maintain or provide communications networks or services used by the 
provider in offering such communications. ``Satellite operators'' refer 
to entities that operate space stations but do not necessarily provide 
communications services directly to end users.
    (e) Signaling System 7 (SS7) is a signaling system used to control 
telecommunications networks. It is frequently used to ``set up,'' 
process, control, and terminate circuit-switched telecommunications, 
including but not limited to domestic and international telephone calls 
(irrespective of whether the call is wholly or in part wireless, 
wireline, local, long distance, or is carried over cable or satellite 
infrastructure), SMS text messaging services, 8XX number type services, 
local number portability, VoIP signaling gateway services, 555 number 
type services, and most paging services. For purposes of this rule part, 
SS7 refers to both the SS7 protocol and the packet networks through 
which signaling information is transported and switched or routed. It 
includes future modifications to the existing SS7 architecture that will 
provide the functional equivalency of the SS7 services and network 
elements that exist as of August 4, 2004. SS7 communications providers 
are subject to the provisions of this part 4 regardless of whether or 
not they provide service directly to end users. Also subject to part 4 
of the Commission's rules are affiliated and non-affiliated entities 
that maintain or provide communications networks or services used by the 
SS7 provider in offering SS7 communications.
    (f) Wireless service providers include Commercial Mobile Radio 
Service communications providers that use cellular architecture and CMRS 
paging providers. See Sec. 20.9 of this chapter for the definition of 
Commercial Mobile Radio Service. Also included are affiliated and non-
affiliated entities that maintain or provide communications networks or 
services used by the provider in offering such communications.
    (g) Wireline communications providers offer terrestrial 
communications through direct connectivity, predominantly by wire, 
coaxial cable, or optical fiber, between the serving central office (as 
defined in the appendix to part 36 of this chapter) and end user 
location(s). Also included are affiliated

[[Page 738]]

and non-affiliated entities that maintain or provide communications 
networks or services used by the provider in offering such 
communications.
    (h) Interconnected Voice over Internet Protocol (VoIP) providers are 
providers of interconnected VoIP service. See Sec. 9.3 of this chapter 
for the definition of interconnected VoIP service. Such providers may be 
facilities-based or non-facilities-based. Also included are affiliated 
and non-affiliated entities that maintain or provide communications 
networks or services used by the provider in offering such 
communications.
    (i) Exclusion of equipment manufacturers or vendors. Excluded from 
the requirements of this part 4 are those equipment manufacturers or 
vendors that do not maintain or provide communications networks or 
services used by communications providers in offering communications.

[69 FR 70338, Dec. 3, 2004, as amended at 77 FR 25097, Apr. 27, 2012]



Sec. 4.5  Definitions of outage, special offices and facilities,
and 911 special facilities.

    (a) Outage is defined as a significant degradation in the ability of 
an end user to establish and maintain a channel of communications as a 
result of failure or degradation in the performance of a communications 
provider's network.
    (b) Special offices and facilities are defined as entities enrolled 
in the Telecommunications Service Priority (TSP) Program at priority 
Levels 1 and 2, which may include, but are not limited to, major 
military installations, key government facilities, nuclear power plants, 
and those airports that are listed as current primary (PR) airports in 
the FAA's National Plan of Integrated Airports Systems (NPIAS) (as 
issued at least one calendar year prior to the outage).
    (c) A critical communications outage that potentially affects an 
airport is defined as an outage that:
    (1) Disrupts 50 percent or more of the air traffic control links or 
other FAA communications links to any airport;
    (2) Has caused an Air Route Traffic Control Center (ARTCC) or 
airport to lose its radar;
    (3) Causes a loss of both primary and backup facilities at any ARTCC 
or airport;
    (4) Affects an ARTCC or airport that is deemed important by the FAA 
as indicated by FAA inquiry to the provider's management personnel; or
    (5) Has affected any ARTCC or airport and that has received any 
media attention of which the communications provider's reporting 
personnel are aware.
    (d) [Reserved]
    (e) An outage that potentially affects a 911 special facility occurs 
whenever:
    (1) There is a loss of communications to PSAP(s) potentially 
affecting at least 900,000 user-minutes and: The failure is neither at 
the PSAP(s) nor on the premises of the PSAP(s); no reroute for all end 
users was available; and the outage lasts 30 minutes or more; or
    (2) There is a loss of 911 call processing capabilities in one or 
more E-911 tandems/selective routers for at least 30 minutes duration; 
or
    (3) One or more end-office or MSC switches or host/remote clusters 
is isolated from 911 service for at least 30 minutes and potentially 
affects at least 900,000 user-minutes; or
    (4) There is a loss of ANI/ALI (associated name and location 
information) and/or a failure of location determination equipment, 
including Phase II equipment, for at least 30 minutes and potentially 
affecting at least 900,000 user-minutes (provided that the ANI/ALI or 
location determination equipment was then currently deployed and in use, 
and the failure is neither at the PSAP(s) or on the premises of the 
PSAP(s)).

[69 FR 70338, Dec. 3, 2004, as amended at 81 FR 45067, July 12, 2016]



Sec. 4.7  Definitions of metrics used to determine the general outage
-reporting threshold criteria.

    (a) Administrative numbers are defined as the telephone numbers used 
by communications providers to perform internal administrative or 
operational functions necessary to maintain reasonable quality of 
service standards.
    (b) Assigned numbers are defined as the telephone numbers working in 
the Public Switched Telephone Network

[[Page 739]]

under an agreement such as a contract or tariff at the request of 
specific end users or customers for their use. This excludes numbers 
that are not yet working but have a service order pending.
    (c) Assigned telephone number minutes are defined as the 
mathematical result of multiplying the duration of an outage, expressed 
in minutes, by the sum of the number of assigned numbers (defined in 
paragraph (b) of this section) potentially affected by the outage and 
the number of administrative numbers (defined in paragraph (a) of this 
section) potentially affected by the outage. ``Assigned telephone number 
minutes'' can alternatively be calculated as the mathematical result of 
multiplying the duration of an outage, expressed in minutes, by the 
number of working telephone numbers potentially affected by the outage, 
where working telephone numbers are defined as the telephone numbers, 
including DID numbers, working immediately prior to the outage.
    (d) Optical Carrier 3 (OC3) minutes are defined as the mathematical 
result of multiplying the duration of an outage, expressed in minutes, 
by the number of previously operating OC3 circuits or their equivalents 
that were affected by the outage.
    (e) User minutes are defined as:
    (1) Assigned telephone number minutes (as defined in paragraph (c) 
of this section), for telephony, including non-mobile interconnected 
VoIP telephony, and for those paging networks in which each individual 
user is assigned a telephone number;
    (2) The mathematical result of multiplying the duration of an 
outage, expressed in minutes, by the number of end users potentially 
affected by the outage, for all other forms of communications. For 
interconnected VoIP service providers to mobile users, the number of 
potentially affected users should be determined by multiplying the 
simultaneous call capacity of the affected equipment by a concentration 
ratio of 8.
    (f) Working telephone numbers are defined to be the sum of all 
telephone numbers that can originate, or terminate telecommunications. 
This includes, for example, all working telephone numbers on the 
customer's side of a PBX, or Centrex, or similar arrangement.

[69 FR 70338, Dec. 3, 2004, as amended at 77 FR 25097, Apr. 27, 2012; 81 
FR 45068, July 12, 2016]



Sec. 4.9  Outage reporting requirements--threshold criteria.

    (a) Cable. All cable communications providers shall submit 
electronically a Notification to the Commission within 120 minutes of 
discovering that they have experienced on any facilities that they own, 
operate, lease, or otherwise utilize, an outage of at least 30 minutes 
duration that:
    (1) Potentially affects at least 900,000 user minutes of telephony 
service;
    (2) Affects at least 667 OC3 minutes;
    (3) Potentially affects any special offices and facilities (in 
accordance with paragraphs (a) through (d) of Sec. 4.5); or
    (4) Potentially affects a 911 special facility (as defined in 
paragraph (e) of Sec. 4.5), in which case they also shall notify, as 
soon as possible by telephone or other electronic means, any official 
who has been designated by the management of the affected 911 facility 
as the provider's contact person for communications outages at that 
facility, and they shall convey to that person all available information 
that may be useful to the management of the affected facility in 
mitigating the effects of the outage on callers to that facility. (OC3 
minutes and user minutes are defined in paragraphs (d) and (e) of Sec. 
4.7.) Not later than 72 hours after discovering the outage, the provider 
shall submit electronically an Initial Communications Outage Report to 
the Commission. Not later than thirty days after discovering the outage, 
the provider shall submit electronically a Final Communications Outage 
Report to the Commission. The Notification and the Initial and Final 
reports shall comply with all of the requirements of Sec. 4.11.
    (b) IXC or LEC tandem facilities. In the case of IXC or LEC tandem 
facilities, providers must, if technically possible, use real-time 
blocked calls to determine whether criteria for reporting an outage have 
been reached. Providers must report IXC and LEC tandem outages of at 
least 30 minutes duration in

[[Page 740]]

which at least 90,000 calls are blocked or at least 667 OC3-minutes are 
lost. For interoffice facilities which handle traffic in both directions 
and for which blocked call information is available in one direction 
only, the total number of blocked calls shall be estimated as twice the 
number of blocked calls determined for the available direction. 
Providers may use historic carried call load data for the same day(s) of 
the week and the same time(s) of day as the outage, and for a time 
interval not older than 90 days preceding the onset of the outage, to 
estimate blocked calls whenever it is not possible to obtain real-time 
blocked call counts. When using historic data, providers must report 
incidents where at least 30,000 calls would have been carried during a 
time interval with the same duration of the outage. (OC3 minutes are 
defined in paragraph (d) of Sec. 4.7.) In situations where, for 
whatever reason, real-time and historic carried call load data are 
unavailable to the provider, even after a detailed investigation, the 
provider must determine the carried call load based on data obtained in 
the time interval between the onset of the outage and the due date for 
the final report; this data must cover the same day of the week, the 
same time of day, and the same duration as the outage. Justification 
that such data accurately estimates the traffic that would have been 
carried at the time of the outage had the outage not occurred must be 
available on request. If carried call load data cannot be obtained 
through any of the methods described, for whatever reason, then the 
provider shall report the outage.
    (c) Satellite. (1) All satellite operators shall submit 
electronically a Notification to the Commission within 120 minutes of 
discovering that they have experienced on any facilities that they own, 
operate, lease, or otherwise utilize, of an outage of at least 30 
minutes duration that manifests itself as a failure of any of the 
following key system elements: One or more satellite transponders, 
satellite beams, inter-satellite links, or entire satellites. In 
addition, all Mobile-Satellite Service (``MSS'') satellite operators 
shall submit electronically a Notification to the Commission within 120 
minutes of discovering that they have experienced on any facilities that 
they own, operate, lease, or otherwise utilize, of an outage of at least 
30 minutes duration that manifests itself as a failure of any gateway 
earth station, except in the case where other earth stations at the 
gateway location are used to continue gateway operations within 30 
minutes of the onset of the failure.
    (2) All satellite communications providers shall submit 
electronically a Notification to the Commission within 120 minutes of 
discovering that they have experienced on any facilities that they own, 
operate, lease, or otherwise utilize, an outage of at least 30 minutes 
duration that manifests itself as:
    (i) A loss of complete accessibility to at least one satellite or 
transponder;
    (ii) A loss of a satellite communications link that potentially 
affects at least 900,000 user-minutes (as defined in Sec. 4.7(d)) of 
either telephony service or paging service;
    (iii) Potentially affecting any special offices and facilities (in 
accordance with paragraphs (a) through (d) of Sec. 4.5) other than 
airports; or
    (iv) Potentially affecting a 911 special facility (as defined in (e) 
of Sec. 4.5), in which case they also shall notify, as soon as possible 
by telephone or other electronic means, any official who has been 
designated by the management of the affected 911 facility as the 
provider's contact person for communications outages at that facility, 
and they shall convey to that person all available information that may 
be useful to the management of the affected facility in mitigating the 
effects of the outage on callers to that facility.
    (3) Not later than 72 hours after discovering the outage, the 
operator and/or provider shall submit electronically an Initial 
Communications Outage Report to the Commission. Not later than thirty 
days after discovering the outage, the operator and/or provider shall 
submit electronically a Final Communications Outage Report to the 
Commission.
    (4) The Notification and the Initial and Final reports shall comply 
with all of the requirements of Sec. 4.11.
    (5) Excluded from these outage-reporting requirements are those 
satellites, satellite beams, inter-satellite

[[Page 741]]

links, MSS gateway earth stations, satellite networks, and transponders 
that are used exclusively for intra-corporate or intra-organizational 
private telecommunications networks, for the one-way distribution of 
video or audio programming, or for other non-covered services (that is, 
when they are never used to carry common carrier voice or paging 
communications).
    (d) Signaling system 7. Signaling System 7 (SS7) providers shall 
submit electronically a Notification to the Commission within 120 
minutes of discovering that they have experienced on any facilities that 
they own, operate, lease, or otherwise utilize an outage of at least 30 
minutes duration that is manifested as the generation of at least 90,000 
blocked calls based on real-time traffic data or at least 30,000 lost 
calls based on historic carried loads. In cases where a third-party SS7 
provider cannot directly estimate the number of blocked calls, the 
third-party SS7 provider shall use 500,000 real-time lost MTP messages 
as a surrogate for 90,000 real-time blocked calls, or 167,000 lost MTP 
messages on a historical basis as a surrogate for 30,000 lost calls 
based on historic carried loads. Historic carried load data or the 
number of lost MTP messages on a historical basis shall be for the same 
day(s) of the week and the same time(s) of day as the outage, and for a 
time interval not older than 90 days preceding the onset of the outage. 
In situations where, for whatever reason, real-time and historic data 
are unavailable to the provider, even after a detailed investigation, 
the provider must determine the carried load based on data obtained in 
the time interval between the onset of the outage and the due date for 
the final report; this data must cover the same day of the week and the 
same time of day as the outage. If this cannot be done, for whatever 
reason, the outage must be reported. Justification that such data 
accurately estimates the traffic that would have been carried at the 
time of the outage had the outage not occurred must be available on 
request. Finally, whenever a pair of STPs serving any communications 
provider becomes isolated from a pair of interconnected STPs that serve 
any other communications provider, for at least 30 minutes duration, 
each of these communications providers shall submit electronically a 
Notification to the Commission within 120 minutes of discovering such 
outage. Not later than 72 hours after discovering the outage, the 
provider(s) shall submit electronically an Initial Communications Outage 
Report to the Commission. Not later than thirty days after discovering 
the outage, the provider(s) shall submit electronically a Final 
Communications Outage Report to the Commission. The Notification and the 
Initial and Final reports shall comply with all of the requirements of 
Sec. 4.11.
    (e)(1) All wireless service providers shall submit electronically a 
Notification to the Commission within 120 minutes of discovering that 
they have experienced on any facilities that they own, operate, lease, 
or otherwise utilize, an outage of at least 30 minutes duration:
    (i) Of a Mobile Switching Center (MSC);
    (ii) That potentially affects at least 900,000 user minutes of 
either telephony and associated data (2nd generation or lower) service 
or paging service;
    (iii) That affects at least 667 OC3 minutes (as defined in Sec. 
4.7);
    (iv) That potentially affects any special offices and facilities (in 
accordance with paragraphs (a) through (d) of Sec. 4.5) other than 
airports through direct service facility agreements; or
    (v) That potentially affects a 911 special facility (as defined in 
paragraph (e) of Sec. 4.5), in which case they also shall notify, as 
soon as possible by telephone or other electronic means, any official 
who has been designated by the management of the affected 911 facility 
as the provider's contact person for communications outages at that 
facility, and they shall convey to that person all available information 
that may be useful to the management of the affected facility in 
mitigating the effects of the outage on callers to that facility.
    (2) In determining the number of users potentially affected by a 
failure of a switch, a wireless provider must multiply the number of 
macro cell sites disabled in the outage by the average number of users 
served per site, which is calculated as the total number

[[Page 742]]

of users for the provider divided by the total number of the provider's 
macro cell sites.
    (3) For providers of paging service only, a notification must be 
submitted if the failure of a switch for at least 30 minutes duration 
potentially affects at least 900,000 user-minutes.
    (4) Not later than 72 hours after discovering the outage, the 
provider shall submit electronically an Initial Communications Outage 
Report to the Commission. Not later than 30 days after discovering the 
outage, the provider shall submit electronically a Final Communications 
Outage Report to the Commission.
    (5) The Notification and Initial and Final reports shall comply with 
the requirements of Sec. 4.11.
    (f) Wireline. All wireline communications providers shall submit 
electronically a Notification to the Commission within 120 minutes of 
discovering that they have experienced on any facilities that they own, 
operate, lease, or otherwise utilize, an outage of at least 30 minutes 
duration that:
    (1) Potentially affects at least 900,000 user minutes of either 
telephony or paging;
    (2) Affects at least 667 OC3 minutes;
    (3) Potentially affects any special offices and facilities (in 
accordance with paragraphs (a) through (d) of Sec. 4.5); or
    (4) Potentially affects a 911 special facility (as defined in 
paragraph (e) of Sec. 4.5), in which case they also shall notify, as 
soon as possible by telephone or other electronic means, any official 
who has been designated by the management of the affected 911 facility 
as the provider's contact person for communications outages at that 
facility, and the provider shall convey to that person all available 
information that may be useful to the management of the affected 
facility in mitigating the effects of the outage on efforts to 
communicate with that facility. (OC3 minutes and user minutes are 
defined in paragraphs (d) and (e) of Sec. 4.7.) Not later than 72 hours 
after discovering the outage, the provider shall submit electronically 
an Initial Communications Outage Report to the Commission. Not later 
than thirty days after discovering the outage, the provider shall submit 
electronically a Final Communications Outage Report to the Commission. 
The Notification and the Initial and Final reports shall comply with all 
of the requirements of Sec. 4.11.
    (g) Interconnected VoIP Service Providers. (1) All interconnected 
VoIP service providers shall submit electronically a Notification to the 
Commission:
    (i) Within 240 minutes of discovering that they have experienced on 
any facilities that they own, operate, lease, or otherwise utilize, an 
outage of at least 30 minutes duration that potentially affects a 9-1-1 
special facility (as defined in (e) of Sec. 4.5), in which case they 
also shall notify, as soon as possible by telephone or other electronic 
means, any official who has been designated by the management of the 
affected 9-1-1 facility as the provider's contact person for 
communications outages at that facility, and the provider shall convey 
to that person all available information that may be useful to the 
management of the affected facility in mitigating the effects of the 
outage on efforts to communicate with that facility; or
    (ii) Within 24 hours of discovering that they have experienced on 
any facilities that they own, operate, lease, or otherwise utilize, an 
outage of at least 30 minutes duration:
    (A) That potentially affects at least 900,000 user minutes of 
interconnected VoIP service and results in complete loss of service; or
    (B) That potentially affects any special offices and facilities (in 
accordance with paragraphs Sec. 4.5(a) through (d)).
    (2) Not later than thirty days after discovering the outage, the 
provider shall submit electronically a Final Communications Outage 
Report to the Commission. The Notification and Final reports shall 
comply with all of the requirements of Sec. 4.11.
    (h) Covered 911 service providers. In addition to any other 
obligations imposed in this section, within thirty minutes of 
discovering an outage that potentially affects a 911 special facility 
(as defined in Sec. 4.5), all covered 911 service providers (as defined 
in Sec. 12.4(a)(4) of this chapter) shall notify as soon as possible 
but no later than thirty minutes after discovering the outage any 
official who has been designated by the

[[Page 743]]

affected 911 special facility as the provider's contact person(s) for 
communications outages at that facility and convey all available 
information that may be useful in mitigating the effects of the outage, 
as well as a name, telephone number, and email address at which the 
service provider can be reached for follow-up. The covered 911 service 
provider shall communicate additional material information to the 
affected 911 special facility as it becomes available, but no later than 
two hours after the initial contact. This information shall include the 
nature of the outage, its best-known cause, the geographic scope of the 
outage, the estimated time for repairs, and any other information that 
may be useful to the management of the affected facility. All 
notifications shall be transmitted by telephone and in writing via 
electronic means in the absence of another method mutually agreed upon 
in advance by the 911 special facility and the covered 911 service 
provider.

[69 FR 70338, Dec. 3, 2004, as amended at 77 FR 25097, Apr. 27, 2012; 79 
FR 3130, Jan. 17, 2014; 79 FR 7589, Feb. 10, 2014; 81 FR 45068, July 12, 
2016]



Sec. 4.11  Notification and initial and final communications outage
reports that must be filed by communications providers.

    Notification and Initial and Final Communications Outage Reports 
shall be submitted by a person authorized by the communications provider 
to submit such reports to the Commission. The person submitting the 
Final report to the Commission shall also be authorized by the provider 
to legally bind the provider to the truth, completeness, and accuracy of 
the information contained in the report. Each Final report shall be 
attested by the person submitting the report that he/she has read the 
report prior to submitting it and on oath deposes and states that the 
information contained therein is true, correct, and accurate to the best 
of his/her knowledge and belief and that the communications provider on 
oath deposes and states that this information is true, complete, and 
accurate. The Notification shall provide: The name of the reporting 
entity; the date and time of onset of the outage; a brief description of 
the problem; service effects; the geographic area affected by the 
outage; and a contact name and contact telephone number by which the 
Commission's technical staff may contact the reporting entity. The 
Initial and Final Reports shall contain the information required in this 
part 4. The Initial report shall contain all pertinent information then 
available on the outage and shall be submitted in good faith. The Final 
report shall contain all pertinent information on the outage, including 
any information that was not contained in, or that has changed from that 
provided in, the Initial report. The Notification and the Initial and 
Final Communications Outage Reports are to be submitted electronically 
to the Commission. ``Submitted electronically'' refers to submission of 
the information using Commission-approved Web-based outage report 
templates. If there are technical impediments to using the Web-based 
system during the Notification stage, then a written Notification to the 
Commission by e-mail, FAX, or courier may be used; such Notification 
shall contain the information required. All hand-delivered Notifications 
and Initial and Final Communications Outage Reports, shall be addressed 
to the Federal Communications Commission, The Office of Secretary, 
Attention: Chief, Public Safety & Homeland Security Bureau. Electronic 
filing shall be effectuated in accordance with procedures that are 
specified by the Commission by public notice. Notifications and initial 
reports may be withdrawn under legitimate circumstances, e.g., when the 
filing was made under the mistaken assumption that an outage was 
required to be reported.

[71 FR 69037, Nov. 29, 2006, as amended at 80 FR 34324, June 16, 2015]



Sec. 4.13  [Reserved]



Sec. 4.15  Submarine cable outage reporting.

    (a) Definitions. (1) For purposes of this section, ``outage'' is 
defined as a failure or significant degradation in the performance of a 
licensee's cable service regardless of whether the traffic can be re-
routed to an alternate path.

[[Page 744]]

    (2) An ``outage'' requires reporting under this section when there 
is:
    (i) An outage, including those caused by planned maintenance, of a 
portion of submarine cable system between submarine line terminal 
equipment (SLTE) at one end of the system and SLTE at another end of the 
system for more than 30 minutes; or
    (ii) The loss of any fiber pair, including losses due to terminal 
equipment, on a cable segment for four hours or more, regardless of the 
number of fiber pairs that comprise the total capacity of the cable 
segment.
    (b) Outage reporting. (1) For each outage that requires reporting 
under this section, the licensee (or Responsible Licensee as designated 
by a Consortium) shall provide the Commission with a Notification, 
Interim Report (subject to the limitations on planned outages in Section 
4.15(b)(2)(iii)), and a Final Outage Report.
    (i) For a submarine cable that is jointly owned and operated by 
multiple licensees, the licensees of that cable may designate a 
Responsible Licensee that files outage reports under this rule on behalf 
of all licensees on the affected cable.
    (ii) Licensees opting to designate a Responsible Licensee must 
jointly notify the Chief of the Public Safety and Homeland Security 
Bureau's Cybersecurity and Communications Reliability Division of this 
decision in writing. Such notification shall include the name of the 
submarine cable at issue; and contact information for all licensees on 
the submarine cable at issue, including the Responsible Licensee.
    (2) Notification, Interim, and Final Outage Reports shall be 
submitted by a person authorized by the licensee to submit such reports 
to the Commission.
    (i) The person submitting the Final Outage Report to the Commission 
shall also be authorized by the licensee to legally bind the provider to 
the truth, completeness, and accuracy of the information contained in 
the report. Each Final report shall be attested by the person submitting 
the report that he/she has read the report prior to submitting it and on 
oath deposes and states that the information contained therein is true, 
correct, and accurate to the best of his/her knowledge and belief and 
that the licensee on oath deposes and states that this information is 
true, complete, and accurate.
    (ii) The Notification is due within 480 minutes (8 hours) of the 
time of determining that an event is reportable for the first three 
years from the effective date of these rules. After three years from the 
effective date of the rules, Notifications shall be due within 240 
minutes (4 hours). The Notification shall be submitted in good faith. 
Licensees shall provide: The name of the reporting entity; the name of 
the cable and a list of all licensees for that cable; the date and time 
of onset of the outage, if known (for planned events, this is the 
estimated start time/date of the repair); a brief description of the 
event, including root cause if known; nearest cable landing station; 
best estimate of approximate location of the event, if known (expressed 
in either nautical miles and the direction from the nearest cable 
landing station or in latitude and longitude coordinates); best estimate 
of the duration of the event, if known; whether the event is planned or 
unplanned; and a contact name, contact email address, and contact 
telephone number by which the Commission's technical staff may contact 
the reporting entity.
    (iii) The Interim Report is due within 24 hours of receiving the 
Plan of Work. The Interim Report shall be submitted in good faith. 
Licensees shall provide: The name of the reporting entity; the name of 
the cable; a brief description of the event, including root cause, if 
known; the date and time of onset of the outage; nearest cable landing 
station; approximate location of the event (expressed in either nautical 
miles and the direction from the nearest cable landing station or in 
latitude and longitude); best estimate of when the cable is scheduled to 
be repaired, including approximate arrival time and date of the repair 
ship, if applicable; a contact name, contact email address, and contact 
telephone number by which the Commission's technical staff may contact 
the reporting entity. The Interim report is not required where the 
licensee has reported in the Notification that the outage at issue is a 
planned outage.

[[Page 745]]

    (iv) The Final Outage Report is due seven (7) days after the repair 
is completed. The Final Outage Report shall be submitted in food faith. 
Licensees shall provide: The name of the reporting entity; the name of 
the cable; whether the outage was planned or unplanned; the date and 
time of onset of the outage (for planned events, this is the start date 
and time of the repair); a brief description of the event, including the 
root cause if known; nearest cable landing station; approximate location 
of the event (expressed either expressed in either nautical miles and 
the direction from the nearest cable landing station or in latitude and 
longitude coordinates); duration of the event, as defined in paragraph 
(a)(2) of this section; the restoration method; and a contact name, 
contact email address, and contact telephone number by which the 
Commission's technical staff may contact the reporting entity. If any 
required information is unknown at the time of submission of the Final 
Report but later becomes known, licensees should amend their report to 
reflect this knowledge. The Final Report must also contain an 
attestation as described in paragraph (b)(2)(i) of this section.
    (v) The Notification, Interim Report, and Final Outage Reports are 
to be submitted electronically to the Commission. ``Submitted 
electronically'' refers to submission of the information using 
Commission-approved Web-based outage report templates. If there are 
technical impediments to using the Web-based system during the 
Notification stage, then a written Notification to the Commission by 
email to the Chief, Public Safety and Homeland Security Bureau is 
permitted; such Notification shall contain the information required. 
Electronic filing shall be effectuated in accordance with procedures 
that are specified by the Commission by public notice.
    (c) Confidentiality. Reports filed under this part will be presumed 
to be confidential. Public access to reports filed under this part may 
be sought only pursuant to the procedures set forth in 47 CFR 0.461. 
Notice of any requests for inspection of outage reports will be provided 
pursuant to 47 CFR 0.461(d)(3).

[81 FR 52363, Aug. 8, 2016]

    Effective Date Note: At 81 FR 52363, Aug. 8, 2016, Sec. 4.15 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.



PART 5_EXPERIMENTAL RADIO SERVICE--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

                          License Requirements

5.51 Eligibility.
5.53 Station authorization required.
5.54 Types of authorizations available.

                       General Filing Requirements

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 Supplemental statements required.
5.64 Special provisions for satellite systems.
5.65 Defective applications.
5.67 Amendment or dismissal of applications.
5.69 License grants that differ from applications.
5.71 License period.
5.73 Experimental report.
5.77 Change in equipment and emission characteristics.
5.79 Transfer and assignment of station authorization for conventional, 
          program, medical testing, and compliance testing experimental 
          radio licenses.
5.81 Discontinuance of station operation.
5.83 Cancellation provisions.
5.84 Non-interference criterion.
5.85 Frequencies and policy governing frequency assignment.
5.91 Notification to the National Radio Astronomy Observatory.
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 Responsibility for antenna structure painting and lighting.
5.110 Power limitations.
5.111 Limitations on use.
5.115 Station identification.

[[Page 746]]

5.121 Station record requirements.
5.123 Inspection of stations.
5.125 Authorized points of communication.

                Subpart D_Broadcast Experimental Licenses

5.201 Applicable rules.
5.203 Experimental authorizations for licensed broadcast stations.
5.205 Licensing requirements, necessary showing.
5.207 Supplemental reports with application for renewal of license.
5.211 Frequency monitors and measurements.
5.213 Time of operation.
5.215 Program service and charges.
5.217 Rebroadcasts.
5.219 Broadcasting emergency information.

                 Subpart E_Program Experimental Licenses

5.301 Applicable rules.
5.302 Eligibility.
5.303 Frequencies.
5.304 Area of operations.
5.305 Program license not permitted.
5.307 Responsible party.
5.308 Stop buzzer.
5.309 Notification requirements.
5.311 Additional requirements related to safety of the public.
5.313 Innovation zones.

             Subpart F_Medical Testing Experimental Licenses

5.401 Applicable rules.
5.402 Eligibility and usage.
5.403 Frequencies.
5.404 Area of operation.
5.405 Yearly report.
5.406 Responsible party, ``stop-buzzer,'' and notification requirements, 
          and additional requirements related to safety of the public.
5.407 Exemption from station identification requirement.

           Subpart G_Compliance Testing Experimental Licenses

5.501 Applicable rules.
5.502 Eligibility.
5.503 Scope of testing activities.
5.504 Responsible party.
5.505 Exemption from station identification requirement.

             Subpart H_Product Development and Market Trials

5.601 Product development trials.
5.602 Market trials.

    Authority: Secs. 4, 302, 303, 307, 336 48 Stat. 1066, 1082, as 
amended; 47 U.S.C. 154, 302, 303, 307, 336. Interpret or apply sec. 301, 
48 Stat. 1081, as amended; 47 U.S.C. 301.

    Source: 78 FR 25162, Apr. 29, 2013, unless otherwise noted.



                            Subpart A_General



Sec. 5.1  Basis and purpose.

    (a) Basis. 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) Purpose. The rules in this part provide the conditions by which 
portions of the radio frequency spectrum may be used for the purposes of 
experimentation, product development, and market trials.



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 in the broadcast services.
    (c) Experimentations under contractual agreement with the United 
States Government, or for export purposes.
    (d) Communications essential to a research project.
    (e) Technical demonstrations of equipment or techniques.
    (f) Field strength surveys.
    (g) Demonstration of equipment to prospective purchasers by persons 
engaged in the business of selling radio equipment.
    (h) Testing of equipment in connection with production or regulatory 
approval of such equipment.
    (i) Testing of medical devices that use RF wireless technology or 
communications functions for diagnosis, treatment, or patient 
monitoring.
    (j) Development of radio technique, equipment, operational data or 
engineering data, including field or factory testing or calibration of 
equipment, related to an existing or proposed radio service.
    (k) Product development and market trials.

[[Page 747]]

    (l) Types of experiments that are not specifically covered under 
paragraphs (a) through (k) of this section will be considered upon 
demonstration of need for such additional types of experiments.



Sec. 5.5  Definition of terms.

    For the purposes 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.
    Emergency notification providers. All participants in the Emergency 
Alert System, as identified in section 11.1 of this chapter.
    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.
    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), 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.
    Market trial. A program designed to evaluate product performance and 
customer acceptability prior to the production stage, and typically 
requires testing a specific product under expected use conditions to 
evaluate actual performance and effectiveness.
    Open Area Test Site. A site for electromagnetic measurements that 
has a reflective ground plane, and is characterized by open, flat 
terrain at a distance far enough away from buildings, electric lines, 
fences, trees, underground cables, pipelines, and other potential 
reflective objects, so that the effects due to such objects are 
negligible.
    Person. An individual, partnership, association, joint stock 
company, trust, corporation, or state or local government.
    Product development trial. An experimental program designed to 
evaluate product performance (including medical devices in clinical 
trials) in the conceptual, developmental, and design stages, and 
typically requiring testing under expected use conditions.

[78 FR 25162, Apr. 29, 2013, as amended at 80 FR 52414, Aug. 31, 2015]



                   Subpart B_Applications and Licenses

                          License Requirements



Sec. 5.51  Eligibility.

    (a) Authorizations for stations in the Experimental Radio Service 
will be issued only to persons qualified to conduct the types of 
operations permitted in Sec. 5.3, including testing laboratories 
recognized by the Commission for radio frequency device testing.
    (b) No foreign government or representative thereof is eligible to 
hold a station license in the Experimental Radio Service.



Sec. 5.53  Station authorization required.

    No radio transmitter shall be operated in the Experimental Radio 
Service in the United States and its Territories except under and in 
accordance with a proper station authorization granted by the 
Commission.



Sec. 5.54  Types of authorizations available.

    The Commission issues the following types of experimental 
authorizations:
    (a)(1) Conventional experimental radio license. This type of license 
is issued for

[[Page 748]]

a specific research or experimentation project (or a series of closely-
related research or experimentation projects), a product development 
trial, or a market trial. Widely divergent and unrelated experiments 
must be conducted under separate licenses.
    (2) Special temporary authorization. When an experimental program is 
expected to last no more than six months, its operation is considered to 
be temporary and the special temporary authorization procedure outlined 
in Sec. 5.61 must be used.
    (b) Broadcast experimental radio license. This type of license is 
issued for the purpose of research and experimentation for the 
development and advancement of new broadcast technology, equipment, 
systems or services. This is limited to stations intended for reception 
and use by the general public.
    (c) Program experimental radio license. This type of license is 
issued to qualified institutions and to conduct an ongoing program of 
research and experimentation under a single experimental authorization 
subject to the requirements of subpart E of this part. Program 
experimental radio licenses are available to colleges, universities, 
research laboratories, manufacturers of radio frequency equipment, 
manufacturers that integrate radio frequency equipment into their end 
products, and medical research institutions.
    (d) Medical testing experimental radio license. This type of license 
is issued to hospitals and health care institutions that demonstrate 
expertise in testing and operation of experimental medical devices that 
use wireless telecommunications technology or communications functions 
in clinical trials for diagnosis, treatment, or patient monitoring.
    (e) Compliance testing experimental radio license. This type of 
license will be issued to laboratories recognized by the FCC under 
subpart J of part 2 of this chapter to perform:
    (1) Testing of radio frequency devices, and
    (2) Testing of radio frequency equipment in an Open Area Test Site.
    (f) An experimental license is not required when operation of a 
radiofrequency device is fully contained within an anechoic chamber or a 
Faraday cage.

                       General Filing Requirements



Sec. 5.55  Filing of applications.

    (a) To assure that necessary information is supplied in a consistent 
manner by applicants, standard forms must be used, except for 
applications for special temporary authorization (STA) and reports 
submitted for Commission consideration. Standard numbered forms for the 
Experimental Radio Service are described in Sec. 5.59.
    (b) 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 the information required by the application form 
and this part.
    (1) Conventional license and STA applications shall be specific as 
to station location, proposed equipment, power, antenna height, and 
operating frequencies.
    (2) Broadcast license applicants shall comply with the requirements 
in subpart D of this part; Program license applicants shall comply with 
the requirements in subpart E of this part; Medical Testing license 
applicants shall comply with the requirements in subpart F of this part; 
and Compliance Testing license applicants shall comply with the 
requirements in subpart G of this part.
    (d) Filing conventional, program, medical, and compliance testing 
experimental radio license applications:
    (1) Applications for radio station authorization shall be submitted 
electronically through the Office of Engineering and Technology Web site 
http://www.fcc.gov/els.
    (2) Applications for special temporary authorization shall be filed 
in accordance with the procedures of Sec. 5.61.
    (3) 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.

[[Page 749]]

    (e) For broadcast experimental radio licenses, applications for 
radio station authorization shall be submitted in accordance with the 
provisions of Sec. 5.59.



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 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 conventional, program, medical, and compliance 
testing experimental radio licenses. (1) Application for new 
authorization or modification of existing authorization. Entities must 
submit FCC Form 442.
    (2) Application for renewal of experimental authorization. 
Application for renewal of station license shall be submitted on FCC 
Form 405. 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.
    (3) Application for consent to assign an experimental authorization. 
Application for consent to assign shall be submitted on FCC Form 702 
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.
    (4) 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.
    (5) Application for product development and market trials. 
Application for product development and market trials shall be submitted 
on FCC Form 442.
    (b) Applications for broadcast experimental radio license--(1) 
Application for new authorization or modification of existing 
authorization. An application for

[[Page 750]]

a construction permit for a new broadcast experimental station or 
modification of an existing broadcast experimental station must be 
submitted on FCC Form 309.
    (2) Application for a license. An application for a license to cover 
a construction permit for a broadcast experimental station must be 
submitted on FCC Form 310.
    (3) Application for renewal of license. An application for renewal 
of station license for a broadcast experimental station must be 
submitted on FCC Form 311. 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.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.61  Procedure for obtaining a special temporary authorization.

    (a)(1) An applicant may request a Special Temporary Authorization 
(STA) for operation of a conventional experimental radio service station 
during a period of time not to exceed 6 months.
    (2) Applications for STA must be submitted electronically through 
the Office of Engineering and Technology Web site http://www.fcc.gov/els 
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.
    (3) In special situations, as defined in Sec. 1.915(b)(1) of this 
chapter, a request for STA may be made by telephone or electronic media 
provided a properly signed application is filed within 10 days of such 
request.
    (b) An application for STA shall contain the following information:
    (1) Name, address, phone number (also email address and facsimile 
number, if available) of the applicant.
    (2) Explanation 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 (e.g., fixed, mobile, or both) 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 (or frequency bands) requested.
    (9) Maximum effective radiated power (ERP) or equivalent 
isotropically 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).
    (c) Extensions of an STA may be granted provided that an application 
for a conventional experimental license that is consistent with the 
terms and conditions of that STA (i.e., there is no increase in 
interference potential to authorized services) has been filed at least 
15 days prior to the expiration of the licensee's STA. When such an 
application is timely filed, operations may continue in accordance with 
the other terms and conditions of the STA pending disposition of the 
application, unless the applicant is notified otherwise by the 
Commission.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.63  Supplemental statements required.

    Applicants must provide the information set forth on the applicable 
form as specified in Sec. 5.59. In addition, applicants must provide 
supplemental information as described below:
    (a) 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.
    (b) If an applicant requests non-disclosure of proprietary 
information, requests shall follow the procedures for submission set 
forth in Sec. 0.459 of this chapter.
    (c) For conventional and broadcast experimental radio licenses, each 
application must include:

[[Page 751]]

    (1) 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 
use of the radio art, or is along lines not already investigated.
    (2) 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, a narrative statement describing the project, the name of 
the contracting agency, and the contract number.
    (3) 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, a narrative statement 
describing the project, any associated contract number, and the name of 
the foreign government concerned.
    (4) If the authorization is to be used with a satellite system, a 
narrative statement containing the information required in Sec. 5.64.
    (d) For program experimental radio licenses, each application must 
include:
    (1) A narrative statement describing how the applicant meets the 
eligibility criteria set forth in subpart E of this part.
    (2) 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, a narrative statement describing the project, the name of 
the contracting agency, and the contract number.
    (3) 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, a narrative statement 
describing the project, any associated contract number, and the name of 
the foreign government concerned.
    (e) For medical testing and compliance testing experimental radio 
licenses, each application must include a narrative statement describing 
how the applicant meets the eligibility criteria set forth in Sec. Sec. 
5.402(a) and 5.502 respectively.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.64  Special provisions for satellite systems.

    (a) Construction of proposed experimental satellite facilities may 
begin prior to Commission grant of an authorization. Such construction 
is entirely at the applicant's risk and does not entitle the applicant 
to any assurances that its proposed experiment will be subsequently 
approved or regular services subsequently authorized. 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) 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 shall 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

[[Page 752]]

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 
shall 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, a statement disclosing that fact shall 
be included in the debris mitigation disclosure. Such systems shall also 
indicate the anticipated evolution over time of the orbit of the 
proposed satellite or satellites. Where a space station operator 
requests the assignment of a geostationary-Earth orbit location, it 
shall 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 
shall identify those parties and describe 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 shall disclose 
the altitude selected for a post-mission disposal orbit and the 
calculations that are used in deriving the disposal altitude. The 
statement shall also include a casualty risk assessment if planned post-
mission disposal involves atmospheric re-entry of the space station. An 
assessment shall include a statement as to the likelihood that portions 
of the spacecraft will survive re-entry and reach the surface of the 
Earth, and the probability of human casualty as a result.

[78 FR 25162, Apr. 29, 2013]



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 be found to be unacceptable 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, failure to comply with such request will constitute a defect in 
the application.
    (c) Applications 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 for waiver of any rule, regulation, or requirement 
with which the application is in conflict. Such request shall show the 
nature of the waiver desired and set forth the reasons in support 
thereof.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.67  Amendment or dismissal of applications.

    (a) Any application may be amended or dismissed without prejudice 
upon request of the applicant. Each amendment to or request for 
dismissal of an application shall be signed, authenticated, and 
submitted in the same manner 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

[[Page 753]]

submitted in the form of an amendment to the application.
    (b) Defective applications, as defined in Sec. 5.65, are subject to 
dismissal without prejudice.



Sec. 5.69  License grants that differ from applications.

    If the Commission grants a license or special temporary authority 
with parameters that differ from those set forth in the application, an 
applicant may reject the grant by filing, within 30 days from the 
effective date of the grant, a written description of its objections. 
Upon receipt of such objection, the Commission will coordinate with the 
applicant in an attempt to resolve issues arising from the grant.
    (a) Applicants may continue operating under the parameters of a 
granted special temporary authority (STA) during the time any problems 
are being resolved when:
    (1) An application for a conventional license has been timely filed 
in accordance with Sec. 5.61; and
    (2) The application for conventional license is for the same 
facilities and technical limitations as the existing STA.
    (b) The applicant, at its option, may accept a grant-in-part of 
their license while working to resolve any issues.



Sec. 5.71  License period.

    (a) Conventional experimental radio licenses. (1) The regular 
license term is 2 years. An applicant may request a license term up to 5 
years, but must provide justification for a license of that duration.
    (2) A license may be renewed for an additional term not exceeding 5 
years, upon an adequate showing of need to complete the experiment.
    (b) Program, medical testing, and compliance testing experimental 
radio licenses. Licenses are issued for a term of 5 years and may be 
renewed for up to 5 years upon an adequate showing of need.
    (c) Broadcast experimental radio license. Licenses are issued for a 
one-year period and may be renewed for an additional term not exceeding 
5 years, upon an adequate showing of need.



Sec. 5.73  Experimental report.

    (a) The following provisions apply to conventional experimental 
radio licenses and to medical testing experimental licenses that operate 
under part 15, Radio Frequency Devices; part 18, Industrial, Scientific, 
and Medical Equipment, part 95, Personal Radio Services subpart H--
Wireless Medical Telemetry Service; or part 95, subpart I--Medical 
Device Radiocommunication Service:
    (1) The Commission may, as a condition of authorization, request 
that the licensee forward periodic reports in order to evaluate the 
progress of the experimental program.
    (2) 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.
    (b) The provisions in Sec. 5.207 apply to broadcast experimental 
radio licenses.
    (c) The provisions in Sec. 5.309 apply to program experimental 
licenses and to medical testing experimental licenses that do not 
operate under part 15, Radio Frequency Devices; part 18, Industrial, 
Scientific, and Medical Equipment, part 95, Personal Radio Services 
subpart H--Wireless Medical Telemetry Service; or part 95, subpart I--
Medical Device Radiocommunication Service.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.77  Change in equipment and emission characteristics.

    (a) The licensee of a conventional or broadcast experimental radio 
station may make any changes in equipment that are deemed desirable or 
necessary provided:
    (1) That the operating frequency is not permitted to deviate more 
than the allowed tolerance;
    (2) That the emissions are not permitted outside the authorized 
band;
    (3) That the ERP (or EIRP) and antenna complies with the license and 
the regulations governing the same; and
    (b) For conventional experimental radio stations, the changes 
permitted in paragraph (a) of this section may be

[[Page 754]]

made without prior authorization from the Commission provided that the 
license supplements its application file with a description of such 
change. If the licensee wants these emission changes to become a 
permanent part of the license, an application for modification must be 
filed.
    (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 one second or more, or when such relocation involves a change in 
street address.



Sec. 5.79  Transfer and assignment of station authorization for
conventional, program, medical testing, and compliance testing 
experimental radio licenses.

    (a) A station authorization for a conventional experimental radio 
license, 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 decides that such a 
transfer is in the public interest and gives its consent in writing.
    (b) A station authorization for a program, medical testing, or 
compliance testing experimental radio license, the frequencies 
authorized to be used by the grantees of such authorizations, and the 
rights therein granted by such authorizations shall not be transferred, 
assigned, or in any manner either voluntarily or involuntarily disposed 
of.

[78 FR 36679, June 19, 2013]



Sec. 5.81  Discontinuance of station operation.

    In case of permanent discontinuance of operation of a station in the 
Experimental Radio Service prior to the license expiration date, the 
licensee shall notify the Commission. Licensees who willfully fail to do 
so may be subject to disciplinary action, including monetary fines, by 
the Commission.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.83  Cancellation provisions.

    The applicant for a station in the Experimental Radio Services 
accepts the license with the express understanding that:
    (a) The authority to use the frequency or frequencies permitted by 
the license is granted upon an experimental basis only and does not 
confer any right to conduct an activity of a continuing nature; and
    (b) The grant is subject to change or cancellation by the Commission 
at any time without notice or 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. 5.84  Non-interference criterion.

    Operation of an experimental radio station is permitted only on the 
condition that harmful interference is not caused to any station 
operating in accordance with the Table of Frequency Allocation of part 2 
of this chapter. If harmful interference to an established radio service 
occurs, upon becoming aware of such harmful interference the 
Experimental Radio Service licensee shall immediately cease 
transmissions. Furthermore, the licensee shall not resume transmissions 
until the licensee establishes to the satisfaction of the Commission 
that further harmful interference will not be caused to any established 
radio service.



Sec. 5.85  Frequencies and policy governing frequency assignment.

    (a)(1) Stations operating in the Experimental Radio Service may be 
authorized to use any Federal or non-Federal 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. Stations authorized under Subparts E and F are subject to 
additional restrictions.
    (2) Applications to use any frequency or frequency band exclusively 
allocated to the passive services (including the radio astronomy 
service) must include

[[Page 755]]

an explicit justification of why nearby bands that have non-passive 
allocations are not adequate for the experiment. Such applications must 
also state that the applicant acknowledges that long term or multiple 
location use of passive bands is not possible and that the applicant 
intends to transition any long-term use to a band with appropriate 
allocations.
    (b) Frequency or frequency bands are assigned to stations in the 
Experimental Radio Service on a shared basis and are not assigned for 
the exclusive use of any one licensee. Frequency assignments may be 
restricted to specified geographical areas.
    (c) Broadcast experimental radio stations. (1) The applicant shall 
select frequencies best suited to the purpose of the experimentation and 
on which there appears to be the least likelihood of interference to 
established stations.
    (2) Except as indicated only frequencies allocated to broadcasting 
service are assigned. If an experiment cannot be feasibly conducted on 
frequencies allocated to a broadcasting service, an experimental station 
may be authorized to operate on other frequencies upon a satisfactory 
showing of the need therefore and a showing that the proposed operation 
can be conducted without causing harmful interference to established 
services.
    (d) Use of Public Safety Frequencies. (1) Conventional experimental 
licenses. Applicants in the Experimental Radio Service shall avoid use 
of public safety frequencies identified in part 90 of this chapter 
except when a compelling showing is made that use of such frequencies is 
in the public interest. If an experimental license to use public safety 
radio frequencies is granted, the authorization will include a condition 
requiring the experimental licensee to coordinate the operation with the 
appropriate frequency coordinator or all of the public safety licensees 
using the frequencies in question in the experimenter's proposed area of 
operation.
    (2) Program experimental licenses. A program licensee shall plan a 
program of experimentation that avoids use of public safety frequencies, 
and may only operate on such frequencies when it can make a compelling 
showing that use of such frequencies is in the public interest. A 
licensee planning to operate on public safety frequencies must 
incorporate its public interest showing into the narrative statement it 
prepares under Sec. 5.309(a)(1), and must coordinate, prior to 
operating, with the appropriate frequency coordinator or all of the 
public safety licensees that operate on the frequencies in question in 
the program experimental licensee's proposed 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 may need 
to protect FCC monitoring stations from interference and their station 
authorization may be conditioned accordingly. Geographical coordinates 
of such stations are listed in Sec. 0.121(b) of this chapter.
    (2) In the event that calculated value of expected field strength 
exceeds 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 reference coordinates, or if there is any question whether field 
strength levels might exceed the threshold value, the applicant should 
call the FCC, telephone 1-888-225-5322 (1-888-CALL FCC).
    (3) Coordination is suggested particularly for those applicants who 
have no reliable data that indicates whether the field strength or power 
flux density figure indicated in paragraph (f)(2) of this section would 
be exceeded by their proposed radio facilities (except mobile stations). 
The following is a suggested guide for determining whether coordination 
is needed:
    (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;

[[Page 756]]

    (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(b) of this chapter and also meets the criteria outlined in 
paragraphs (f)(2) and (3) of this section.

[78 FR 25162, Apr. 29, 2013, as amended at 80 FR 52414, Aug. 31, 2015]



Sec. 5.91  Notification to 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 an 
Experimental Radio Service station authorization other than a mobile, 
temporary base, or temporary fixed 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 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. 5.95  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 be submitted electronically 
consistent with the requirements set forth in Sec. 5.55.



        Subpart C_Technical Standards and Operating Requirements



Sec. 5.101  Frequency stability.

    Experimental Radio Service licensees shall ensure that transmitted 
emissions remain within the authorized frequency band under normal 
operating conditions: 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.

    The occupied bandwidth of transmitted emissions from an Experimental 
Radio Service station shall not exceed the authorized bandwidth 
specified in the authorization. Each authorization will show, as the 
prefix to the emission classification, a figure specifying the necessary 
bandwidth. The application may request an authorized bandwidth that is 
greater than the necessary bandwidth for the emission to be used, if 
required for the experimental purpose. Necessary bandwidth and occupied 
bandwidth are defined and determined in accordance with Sec. 2.1 and 
Sec. 2.202 of this chapter.

[[Page 757]]



Sec. 5.107  Transmitter control requirements.

    Each licensee shall be responsible for maintaining control of the 
transmitter authorized under its station authorization, including the 
ability to terminate transmissions should interference occur.
    (a) Conventional experimental radio stations. The licensee shall 
ensure 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.
    (b) Program experimental radio stations. The licensee shall ensure 
that transmissions are in conformance with the requirements in subpart E 
of this part and that the station is operated only by persons duly 
authorized by the licensee.
    (c) Medical testing experimental radio stations. The licensee shall 
ensure that transmissions are in conformance with the requirements in 
subpart F of this part and that the station is operated only by persons 
duly authorized by the licensee.
    (d) Compliance testing experimental radio stations. The licensee 
shall ensure that transmissions are in conformance with the requirements 
in subpart G of this part and that the station is operated only by 
persons duly authorized by the licensee.
    (e) Broadcast experimental stations. Except where unattended 
operation is specifically permitted, the licensee of each station 
authorized under the provisions of this part shall designate a person or 
persons to activate and control its transmitter. At the discretion of 
the station licensee, persons so designated may be employed for other 
duties and for operation of other transmitting stations if such other 
duties will not interfere with the proper operation of the station 
transmission systems.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.109  Responsibility for antenna structure painting
and lighting.

    Experimental Radio Service licensees may become responsible for 
maintaining the painting and lighting of any antenna structure they are 
authorized to use in accordance with part 17 of this chapter. See Sec. 
17.6 of this chapter.



Sec. 5.110  Power limitations.

    (a) The transmitting radiated power for stations authorized under 
the Experimental Radio Service shall be limited to the minimum practical 
radiated power necessary for the success of the experiment.
    (b) For broadcast experimental radio stations, the operating power 
shall not exceed by more than 5 percent the maximum power specified. 
Engineering standards have not been established for these stations. The 
efficiency factor for the last radio stage of transmitters employed will 
be subject to individual determination but shall be in general agreement 
with values normally employed for similar equipment operated within the 
frequency range authorized.



Sec. 5.111  Limitations on use.

    (a) Stations may make only such transmissions as are necessary and 
directly related to the conduct of the licensee's stated program of 
experimentation and the related station instrument of authorization, and 
as governed by the provisions of the rules and regulations contained in 
this part. When transmitting, the licensee must use every precaution to 
ensure that it 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.
    (b) A licensee shall adhere to the program of experimentation as 
stated in its application or in the station instrument of authorization.
    (c) 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. 5.115  Station identification.

    (a) Conventional experimental radio licenses. A licensee, unless 
specifically exempted by the terms of the station

[[Page 758]]

authorization, shall 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.
    (b) Broadcast experimental licenses. Each experimental broadcast 
station must transmit aural or visual announcements of its call letters 
and location at the beginning and end of each period of operation, and 
at least once every hour during operation.
    (c) Program experimental radio licenses. Program experimental radio 
licenses shall comply with either paragraph (c)(1) or (c)(2):
    (1) Stations may transmit identifying information sufficient to 
identify the license holder and the geographic coordinates of the 
station. This information shall be transmitted at the end of each 
complete transmission except that: this information is not required at 
the end of each transmission for projects requiring continuous, 
frequent, or extended use of the transmitting apparatus, if, during such 
periods and in connection with such use, the information 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; or
    (2) Stations may post information sufficient to identify it on the 
Commission's program experimental registration Web site.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.121  Station record requirements.

    (a) For conventional, program, medical testing, and compliance 
testing experimental radio stations, the current original authorization 
or a clearly legible photocopy for each station shall be retained as a 
permanent part of the station records, but need not be posted. Station 
records are required to be kept for a period of at least one year after 
license expiration.
    (b) For Broadcast experimental radio stations, the license must be 
available at the transmitter site. The licensee of each experimental 
broadcast station must maintain and retain for a period of two years, 
adequate records of the operation, including:
    (1) Information concerning the nature of the experimental operation 
and the periods in which it is being conducted; and
    (2) Information concerning any specific data requested by the FCC.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.123  Inspection of stations.

    All stations and records of stations in the authorized under this 
part 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.

[78 FR 25162, Apr. 29, 2013]



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.



                Subpart D_Broadcast Experimental Licenses



Sec. 5.201  Applicable rules.

    In addition to the rules in this subpart, broadcast experimental 
station applicants and licensees shall follow the rules in subparts B 
and C of this part. In case of any conflict between the rules set forth 
in this subpart and the rules set forth in subparts B and C of this 
part, the rules in this subpart shall govern.

[[Page 759]]



Sec. 5.203  Experimental authorizations for licensed broadcast 
stations.

    (a) Licensees of broadcast stations (including TV Translator, LPTV, 
and TV Booster stations) may obtain experimental authorizations to 
conduct technical experimentation directed toward improvement of the 
technical phases of operation and service, and for such purposes may use 
a signal other than the normal broadcast program signal.
    (b) Experimental authorizations for licensed broadcast stations may 
be requested by filing an informal application with the FCC in 
Washington, DC, describing the nature and purpose of the experimentation 
to be conducted, the nature of the experimental signal to be 
transmitted, and the proposed schedule of hours and duration of the 
experimentation. Experimental authorizations shall be posted with the 
station license.
    (c) Experimental operations for licensed broadcast stations are 
subject to the following conditions:
    (1) The authorized power of the station may not be exceeded more 
than 5 percent above the maximum power specified, except as specifically 
authorized for the experimental operations.
    (2) Emissions outside the authorized bandwidth must be attenuated to 
the degree required for the particular type of station.
    (3) The experimental operations may be conducted at any time the 
licensed station is authorized to operate, but the minimum required 
schedule of programming for the class and type of station must be met. 
AM stations also may conduct experimental operations during the 
experimental period (12 midnight local time to local sunrise) and at 
additional hours if permitted by the experimental authorization provided 
no interference is caused to other stations maintaining a regular 
operating schedule within such period(s).
    (4) If a licensed station's experimental authorization permits the 
use of additional facilities or hours of operation for experimental 
purposes, no sponsored programs or commercial announcements may be 
transmitted during such experimentation.
    (5) The licensee may transmit regularly scheduled programming 
concurrently with the experimental transmission if there is no 
significant impairment of service.
    (6) No charges may be made, either directly or indirectly, for the 
experimentation; however, normal charges may be made for regularly 
scheduled programming transmitted concurrently with the experimental 
transmissions.
    (d) The FCC may request a report of the research, experimentation 
and results at the conclusion of the experimental operation.



Sec. 5.205  Licensing requirements, necessary showing.

    (a) An applicant for a new experimental broadcast station, change in 
facilities of any existing station, or modification of license is 
required to make a satisfactory showing of compliance with the general 
requirements of the Communications Act of 1934, as amended, as well as 
the following:
    (1) That the applicant has a definite program of research and 
experimentation in the technical phases of broadcasting which indicates 
reasonable promise of substantial contribution to the developments of 
the broadcasting art.
    (2) That upon the authorization of the proposed station the 
applicant can and will proceed immediately with its program of research 
and experimentation.
    (3) That the transmission of signals by radio is essential to the 
proposed program of research and experimentation.
    (4) That the program of research and experimentation will be 
conducted by qualified personnel.
    (b) A license for an experimental broadcast station will be issued 
only on the condition that no objectionable interference to the regular 
program transmissions of broadcast stations will result from the 
transmissions of the experimental stations.
    (c) Special provision for broadcast experimental radio station 
applications. For purposes of the definition of ``experimental 
authorization'' in Section II.A.6 of the Nationwide Programmatic 
Agreement Regarding the Section 106 National Historic Preservation Act 
Review Process set forth in Appendix C to

[[Page 760]]

Part 1 of this chapter, an Broadcast Experimental Radio Station 
authorized under this Subpart shall be considered an ``Experimental 
Broadcast Station authorized under part 74 of the Commission's Rules.''

[78 FR 25162, Apr. 29, 2013]



Sec. 5.207  Supplemental reports with application for renewal of 
license.

    A report shall be filed with each application for renewal of 
experimental broadcast station license which shall include a statement 
of each of the following:
    (a) Number of hours operated.
    (b) Full data on research and experimentation conducted including 
the types of transmitting and studio equipment used and their mode of 
operation.
    (c) Data on expense of research and operation during the period 
covered.
    (d) Power employed, field intensity measurements and visual and 
aural observations and the types of instruments and receivers utilized 
to determine the station service area and the efficiency of the 
respective types of transmissions.
    (e) Estimated degree of public participation in reception and the 
results of observations as to the effectiveness of types of 
transmission.
    (f) Conclusions, tentative and final.
    (g) Program of further developments in broadcasting.
    (h) All developments and major changes in equipment.
    (i) Any other pertinent developments.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.211  Frequency monitors and measurements.

    The licensee of a broadcast experimental radio station shall provide 
the necessary means for determining that the frequency of the station is 
within the allowed tolerance. The date and time of each frequency check, 
the frequency as measured, and a description or identification of the 
method employed shall be entered in the station log. Sufficient 
observations shall be made to insure that the assigned carrier frequency 
is maintained within the prescribed tolerance.



Sec. 5.213  Time of operation.

    (a) Unless specified or restricted hours of operation are shown in 
the station authorization, broadcast experimental radio stations may be 
operated at any time and are not required to adhere to a regular 
schedule of operation.
    (b) The FCC may limit or restrict the periods of station operation 
in the event interference is caused to other broadcast or non-broadcast 
stations.
    (c) The FCC may require that a broadcast experimental radio station 
conduct such experiments as are deemed desirable and reasonable for 
development of the type of service for which the station was authorized.



Sec. 5.215  Program service and charges.

    (a) The licensee of a broadcast experimental radio station may 
transmit program material only when necessary to the experiments being 
conducted, and no regular program service may be broadcast unless 
specifically authorized.
    (b) The licensee of a broadcast experimental radio station may make 
no charges nor ask for any payment, directly or indirectly, for the 
production or transmission of any programming or information used for 
experimental broadcast purposes.



Sec. 5.217  Rebroadcasts.

    (a) The term rebroadcast means reception by radio of the programs or 
other transmissions of a broadcast station, and the simultaneous or 
subsequent retransmission of such programs or transmissions by a 
broadcast station.
    (1) As used in this section, the word ``program'' includes any 
complete program or part thereof.
    (2) The transmission of a program from its point of origin to a 
broadcast station entirely by common carrier facilities, whether by wire 
line or radio, is not considered a rebroadcast.
    (3) The broadcasting of a program relayed by a remote broadcast 
pickup station is not considered a rebroadcast.
    (b) No licensee of a broadcast experimental radio station may 
retransmit the program of another U.S. broadcast station without the 
express authority of the originating station. A copy of the written 
consent of the licensee originating the program must be kept

[[Page 761]]

by the licensee of the broadcast experimental radio station 
retransmitting such program and made available to the FCC upon request.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.219  Broadcasting emergency information.

    (a) In an emergency where normal communication facilities have been 
disrupted or destroyed by storms, floods or other disasters, a broadcast 
experimental radio station may be operated for the purpose of 
transmitting essential communications intended to alleviate distress, 
dispatch aid, assist in rescue operations, maintain order, or otherwise 
promote the safety of life and property. In the course of such 
operation, a station of any class may communicate with stations of other 
classes and in other services. However, such operation shall be 
conducted only on the frequency or frequencies for which the station is 
licensed and the used power shall not exceed the maximum authorized in 
the station license. When such operation involves the use of frequencies 
shared with other stations, licensees are expected to cooperate fully to 
avoid unnecessary or disruptive interference.
    (b) Whenever such operation involves communications of a nature 
other than those for which the station is licensed to perform, the 
licensee shall, at the earliest practicable time, notify the FCC in 
Washington, DC of the nature of the emergency and the use to which the 
station is being put and shall subsequently notify the same offices when 
the emergency operation has been terminated.
    (c) Emergency operation undertaken pursuant to the provisions of 
this section shall be discontinued as soon as substantially normal 
communications facilities have been restored. The Commission may at any 
time order discontinuance of such operation.



              Subpart E_Program Experimental Radio Licenses



Sec. 5.301  Applicable rules.

    In addition to the rules in this subpart, program experimental 
applicants and licensees must follow the rules in subparts B and C of 
this part. In case of any conflict between the rules set forth in this 
subpart and the rules set forth in subparts B and C of this part, the 
rules in this subpart shall govern.



Sec. 5.302  Eligibility.

    Program experimental licensees may be granted to the following 
entities: a college or university with a graduate research program in 
engineering that is accredited by the Accreditation Board for 
Engineering and Technology (ABET); a research laboratory; a hospital or 
health care institution; a manufacturer of radio frequency equipment; or 
a manufacturer that integrates radio frequency equipment into its end 
product. Each applicant must meet the following requirements:
    (a) The radiofrequency experimentation will be conducted in a 
defined geographic area under the applicant's control;
    (b) The applicant has institutional processes to monitor and 
effectively manage a wide variety of research projects; and
    (c) The applicant has demonstrated expertise in radio spectrum 
management or partner with another entity that has such expertise.

[78 FR 25162, Apr. 29, 2013, as amended at 79 FR 48691, Aug. 18, 2014]



Sec. 5.303  Frequencies.

    (a) Licensees may operate in any frequency band, including those 
above 38.6 GHz, except for frequency bands exclusively allocated to the 
passive services (including the radio astronomy service). In addition, 
licensees may not use any frequency or frequency band below 38.6 GHz 
that is listed in Sec. 15.205(a) of this chapter.
    (b) Exception: Licensees may use frequencies listed in Sec. 
15.205(a) of this chapter for testing medical devices (as defined in 
Sec. 5.402(b) of this chapter), if the device is designed to comply 
with all applicable service rules in part 18; part 95, subpart H; or 
part 95, subpart I of this chapter.

[81 FR 48363, July 25, 2016]



Sec. 5.304  Area of operations.

    Applications must specify, and the Commission will grant 
authorizations

[[Page 762]]

for, a geographic area that is inclusive of an institution's real-
property facilities where the experimentation will be conducted and that 
is under the applicant's control. If an applicant wants to conduct 
experiments in more than one defined geographic area, it shall apply for 
a license for each location.



Sec. 5.305  Program license not permitted.

    Experiments are not permitted under this subpart and a conventional 
experimental radio license is required when:
    (a) An environmental assessment must be filed with the Commission as 
required by Sec. 5.63(a), or
    (b) An orbital debris mitigation plan must be filed with the 
Commission as required by Sec. 5.64, or
    (c) The applicant requires non-disclosure of proprietary information 
as part of its justification for its license application; or
    (d) A product development or a market trial is to be conducted.



Sec. 5.307  Responsible party.

    (a) Each program experimental radio applicant must identify a single 
point of contact responsible for all experiments conducted under the 
license, including
    (1) Ensuring compliance with the notification requirements of Sec. 
5.309 of this part; and
    (2) Ensuring compliance with all applicable FCC rules.
    (b) The responsible individual will serve as the initial point of 
contact for all matters involving interference resolution and must have 
the authority to discontinue any and all experiments being conducted 
under the license, if necessary.
    (c) The license application must include the name of the responsible 
individual and contact information at which the person can be reached at 
any time of the day; this information will be listed on the license. 
Licensees are required to keep this information current.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.308  Stop buzzer.

    A ``Stop Buzzer'' point of contact must be identified and available 
at all times during operation of each experiment conducted under a 
program license. A ``stop buzzer'' point of contact is a person who can 
address interference concerns and cease all transmissions immediately if 
interference occurs.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.309  Notification requirements.

    (a) At least ten calendar days prior to commencement of any 
experiment, program experimental licensees must provide the following 
information to the Commission's program experimental registration Web 
site.
    (1) A narrative statement describing the experiment, including a 
description and explanation of measures taken to avoid causing harmful 
interference to any existing service licensee;
    (2) Contact information for the researcher-in-charge of the 
described experiment;
    (3) Contact information for a ``stop buzzer''; and
    (4) Technical details including:
    (i) The frequency or frequency bands;
    (ii) The maximum equivalent isotropically radiated power (EIRP) or 
effective radiated power (ERP) under consideration;
    (iii) The emission designators to be used;
    (iv) A description of the geographic area in which the test will be 
conducted;
    (v) The number of units to be used; and
    (vi) A mitigation plan as required by Sec. 5.311, if necessary.
    (5) For program license experiments that may affect frequency bands 
used for the provision of commercial mobile services, emergency 
notifications, or public safety purposes, a list of those critical 
service licensees that are authorized to operate in the same bands and 
geographic area of the planned experiment.
    (b) Experiments may commence without specific approval or 
authorization once ten calendar days have elapsed from the time of 
posting to the above Web site. During that ten-day period, the licensee 
of an authorized service may contact the program licensee to resolve any 
objections to an experiment. It is expected that parties will work in 
good faith to resolve such

[[Page 763]]

objections, including modifying experiments if necessary to reach an 
agreeable resolution. However, only the Commission has the authority to 
prevent a program licensee from beginning operations (or to order the 
cessation of operations). Therefore, if an incumbent licensee believes 
that it will suffer interference (or in fact, has experienced 
interference), it must bring its concerns to the Commission for action. 
In such an event, the Commission will evaluate the concerns, and 
determine whether a planned experiment should be permitted to commence 
as proposed (or be terminated, if the experiment has commenced).
    (c) The Commission can prohibit or require modification of specific 
experiments under a program experimental radio license at any time 
without notice or hearing if in its discretion the need for such action 
arises.
    (d) Within 30 days after completion of each experiment conducted 
under a program experimental radio license, the licensee shall file a 
narrative statement describing the results of the experiment, including 
any interference incidents and steps taken to resolve them. This 
narrative statement must be filed to the Commission's program 
experimental registration Web site and be associated with the materials 
described in paragraphs (a) and (b) of this section.
    (e)(1) The Commission may ask licensees for additional information 
to resolve an interference incident, gain a better understanding of new 
technology development, or for auditing purposes to ensure that 
licensees are actually conducting experiments. Failure to comply with a 
Commission request for additional information under this section, or if, 
upon review of such information, the Commission determines that a 
licensee is not actually conducting experimentation, could result in 
forfeiture of the program license and loss of privilege of obtaining 
such a license in the future.
    (2) All information submitted pursuant to this section will be 
treated as routinely available for publicly inspection, within the 
meaning of Sec. 0.459 of this chapter. Licensees are permitted to 
request that information requested by the Commission pursuant to this 
section be withheld from public inspection. The Commission will consider 
such requests pursuant to the procedures set forth in Sec. 0.459 of 
this chapter.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.311  Additional requirements related to safety of the public.

    In addition to the notification requirements of Sec. 5.309, for 
experiments that may affect frequency bands used for the provision of 
commercial mobile services, emergency notifications, or public safety 
purposes, the program experimental radio licensee shall, prior to 
commencing transmissions, develop a specific plan to avoid interference 
to these bands. The plan must include provisions for:
    (a) Providing notice to parties, including other Commission 
licensees that are authorized to operate in the same bands and 
geographic area as the planned experiment and, as appropriate, their end 
users;
    (b) Rapid identification, and elimination, of any harm the 
experiment may cause; and
    (c) Identifying an alternate means for accomplishing potentially-
affected vital public safety functions during the experiment.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.313  Innovation zones.

    (a) An innovation zone is a specified geographic location with pre-
authorized boundary conditions (such as frequency band, maximum power, 
etc.) created by the Commission on its own motion or in response to a 
request from the public. Innovation zones will be announced via public 
notice and posted on the Commission's program experimental registration 
Web site.
    (b) A program experimental licensee may conduct experiments in an 
innovation zone consistent with the specified boundary conditions 
without specific authorization from the Commission. All licensees 
operating under this authority must comply with the requirements and 
limitations set forth for program licensees in this part, including 
providing notification of its intended operations on the program 
experimental registration Web site prior to operation.

[[Page 764]]



          Subpart F_Medical Testing Experimental Radio Licenses



Sec. 5.401  Applicable rules.

    In addition to the rules in this subpart, medical testing 
experimental applicants and licensees must follow the rules in subparts 
B and C of this part. In case of any conflict between the rules set 
forth in this subpart and the rules set forth in subparts B and C of 
this part, the rules in this subpart shall govern.



Sec. 5.402  Eligibility and usage.

    (a) Eligibility for medical testing licenses is limited to health 
care facilities as defined in Sec. 95.1103(b) of this chapter.
    (b) Medical testing experimental radio licenses are for testing in 
clinical trials medical devices that use RF wireless technology for 
diagnosis, treatment, or patient monitoring for the purposes of, but not 
limited to, assessing patient compatibility and usage issues, as well as 
operational, interference, and RF immunity issues. Medical testing is 
limited to testing equipment designed to comply with the rules in part 
15, Radio Frequency Devices; part 18, Industrial, Scientific, and 
Medical Equipment; part 95, Personal Radio Services subpart H--Wireless 
Medical Telemetry Service; or part 95, subpart I--Medical Device 
Radiocommunication Service.
    (c) Marketing of devices (as defined in Sec. 2.803(a) of this 
chapter) is permitted under this license as provided in Sec. 5.602.

[78 FR 25162, Apr. 29, 2013, as amended at 80 FR 52415, Aug. 31, 2015]



Sec. 5.403  Frequencies.

    (a) Licensees may operate in any frequency band, including those 
above 38.6 GHz, except for frequency bands exclusively allocated to the 
passive services (including the radio astronomy service). In addition, 
licensees may not use any frequency or frequency band below 38.6 GHz 
that is listed in Sec. 15.205(a) of this chapter.
    (b) Exception: Licensees may use frequencies listed in Sec. 
15.205(a) of this chapter if the device under test is designed to comply 
with all applicable service rules in part 18, Industrial, Scientific, 
and Medical Equipment; part 95, Personal Radio Services subpart H--
Wireless Medical Telemetry Service; or part 95, subpart I--Medical 
Device Radiocommunication Service.



Sec. 5.404  Area of operation.

    Applications must specify, and the Commission will grant 
authorizations for, a geographic area that is inclusive of an 
institution's real-property facilities where the experimentation will be 
conducted and that is under the applicant's control. Applications also 
may specify, and the Commission will grant authorizations for, defined 
geographic areas beyond the institution's real-property facilities that 
will be included in clinical trials and monitored by the licensee. In 
general, operations will be permitted where the likelihood of harmful 
interference being caused to authorized services is minimal.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.405  Yearly report.

    Medical testing licensees must file a yearly report detailing the 
activity that has been performed under the license. This report is to be 
filed electronically to the Commission's program experimental 
registration Web site and must, at a minimum, include:
    (a) A list of each test performed and the testing period; and
    (b) A Description of each test, including equipment tested; and
    (c) The results of the test including any interference incidents and 
their resolution.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.406  Responsible party, ``stop-buzzer,'' and notification 
requirements, and additional requirements related to safety of
the public.

    (a) Medical testing licensees must identify a single point of 
contact responsible for all experiments conducted under the license and 
must also identify a ``stop buzzer'' point of contact for all 
experiments, consistent with subpart E, Sec. Sec. 5.307 and 5.308.
    (b) Medical testing licensees must meet the notification and safety 
of the

[[Page 765]]

public requirements of subpart E, Sec. Sec. 5.309 and 5.311.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.407  Exemption from station identification requirement.

    Medical testing experimental licensees are exempt from complying 
with the station identification requirements of Sec. 5.115.



        Subpart G_Compliance Testing Experimental Radio Licenses



Sec. 5.501  Applicable rules.

    In addition to the rules in this subpart, compliance testing 
experimental applicants and licensees must follow the rules in subparts 
B and C of this part. In case of any conflict between the rules set 
forth in this subpart and the rules set forth in subparts B and C of 
this part, the rules in this subpart shall govern.



Sec. 5.502  Eligibility.

    Compliance testing experimental radio licenses may be granted to 
those testing laboratories recognized by the FCC as being competent to 
perform measurements of equipment for equipment authorization.



Sec. 5.503  Scope of testing activities.

    The authority of a compliance testing experimental license is 
limited to only those testing activities necessary for device 
certification (including antenna calibration, test site validation, 
proficiency testing, and testing in an Open Area Test Site); i.e., 
compliance testing experimental licensees are not authorized to conduct 
immunity testing.



Sec. 5.504  Responsible party.

    Compliance testing licensees must identify a single point of contact 
responsible for all experiments conducted under the license, including 
ensuring compliance with all applicable FCC rules:
    (a) The responsible individual will serve as the initial point of 
contact for all matters involving interference resolution and must have 
the authority to discontinue any and all experiments being conducted 
under the license, if necessary.
    (b) The name of the responsible individual, along with contact 
information, such as a phone number and email address at which he or she 
can be reached at any time of the day, must be identified on the license 
application, and this information will be listed on the license. 
Licensees are required to keep this information current.

[78 FR 25162, Apr. 29, 2013]



Sec. 5.505  Exemption from station identification requirement.

    Compliance testing experimental licensees are exempt from complying 
with the station identification requirements of Sec. 5.115.



             Subpart H_Product Development and Market Trials



Sec. 5.601  Product development trials.

    Unless otherwise stated in the instrument of authorization, 
experimental radio licenses granted for the purpose of product 
development trials pursuant to Sec. 5.3(k) 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 all participants in 
the experiment that the operation of the service or device is being 
conducted under an experimental authorization and is strictly temporary.
    (c) Marketing of devices (as defined in Sec. 2.803 of this chapter) 
or provision of services for hire is not permitted.
    (d) The size and scope of the experiment are subject to such 
limitations as the Commission may establish on a case-by-case basis. If 
the Commission subsequently determines that a product development trial 
is not so limited, the trial shall be immediately terminated.
    (e) Broadcast experimental station applicants and licensees must 
also meet the requirements of Sec. 5.205.



Sec. 5.602  Market trials.

    Unless otherwise stated in the instrument of authorization, 
experimental radio licenses granted for the purpose

[[Page 766]]

of market trials pursuant to Sec. 5.3(k) are subject to the following 
conditions:
    (a) Marketing of devices (as defined in Sec. 2.803 of this chapter) 
and provision of services for hire is permitted before the radio 
frequency device has been authorized by the Commission, subject to the 
ownership provisions in paragraph (d) of this section and provided that 
the device will be operated in compliance with existing Commission 
rules, waivers of such rules that are in effect at the time of 
operation, or rules that have been adopted by the Commission but that 
have not yet become effective.
    (b) The operation of all radio frequency devices that are included 
in a market trial must be authorized under this rule section, including 
those devices that are designed to operate under parts 15, 18, or 95 of 
this chapter.
    (c) If more than one entity will be responsible for conducting the 
same market trial e.g., manufacturer and service provider, each entity 
will be authorized under a separate license. If more than one licensee 
is authorized, the licensees or the Commission shall designate one as 
the responsible party for the trial.
    (d) All transmitting and/or receiving equipment used in the study 
shall be owned by the experimental licensees. Marketing of devices is 
only permitted as follows:
    (1) The licensees may sell equipment to each other, e.g., 
manufacturer to service provider,
    (2) The licensees may lease equipment to trial participants for 
purposes of the study, and
    (3) The number of devices to be marketed shall be the minimum 
quantity of devices necessary to conduct the market trial as approved by 
the Commission.
    (e) Licensees are required to ensure that trial devices are either 
rendered inoperable or retrieved by them from trial participants at the 
conclusion of the trial. Licensees are required to notify trial 
participants in advance that operation of the trial device is subject to 
this condition.
    (f) 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 trial is not so 
limited, the trial shall be immediately terminated.
    (g) Broadcast experimental station applicants and licensees must 
also meet the requirements of Sec. 5.205.

[78 FR 25162, Apr. 29, 2013]



PART 6_ACCESS TO TELECOMMUNICATIONS SERVICE, TELECOMMUNICATIONS
EQUIPMENT AND CUSTOMER PREMISES EQUIPMENT BY PERSONS WITH DISABILITIES
--Table of Contents



            Subpart A_Scope_Who Must Comply With These Rules?

Sec.
6.1 Applicability.

                          Subpart B_Definitions

6.3 Definitions.

          Subpart C_Obligations_What Must Covered Entities Do?

6.5 General obligations.
6.7 Product design, development and 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 Sec. Sec. 1.720 through 1.736 
          of this chapter.
6.22 Formal complaints based on unsatisfied informal complaints.
6.23 Actions by the Commission on its own motion.

    Authority: 47 U.S.C. 151-154, 208, 255, and 303(r).

    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;

[[Page 767]]

    (b) Any manufacturer of telecommunications equipment or customer 
premises equipment;
    (c) Any telecommunications carrier;
    (d) Any provider of interconnected Voice over Internet Protocol 
(VoIP) service, as that term is defined in Sec. 9.3 of this chapter; 
and
    (e) Any manufacturer of equipment or customer premises equipment 
that is specially designed to provide interconnected VoIP service and 
that is needed for the effective use of an interconnected VoIP service.

[64 FR 63251, Nov. 19, 1999, as amended at 72 FR 43558, Aug. 6, 2007]



                          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.
    (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

[[Page 768]]

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.
    (3) Real-Time Text. Voice communication services subject to this 
part that are provided over wireless IP facilities and handsets and 
other text-capable end user devices used with such service that do not 
themselves provide TTY functionality, may provide TTY connectability and 
signal compatibility pursuant to paragraphs (b)(3) and (4) of this 
section, or support real-time text communications, in accordance with 47 
CFR part 67.
    (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.
    (5) TTY Support Exemption. Voice communication services subject to 
this part that are provided over wireless IP facilities and equipment 
used with such services are not required to provide TTY connectability 
and TTY signal compatibility if such services and equipment support 
real-time text, in accordance with 47 CFR part 67.
    (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. For purposes of this 
part, the term customer premises equipment shall include equipment 
employed on the premises of a person (other than a carrier) that is 
specially designed to provide interconnected VoIP service and that is 
needed for the effective use of an interconnected VoIP service.
    (d) The term disability shall mean a physical or mental impairment 
that substantially limits one or more of the major life activities of an 
individual; a record of such an impairment; or being regarded as having 
such an impairment.
    (e) The term interconnected VoIP service shall have the same meaning 
as in Sec. 9.3 of this chapter.
    (f) The term manufacturer shall mean an entity that makes or 
produces a product.
    (g) The term peripheral devices shall mean devices employed in 
connection with equipment covered by this part to translate, enhance, or 
otherwise 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;

[[Page 769]]

    (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.
    (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). For purposes of this part, the term 
telecommunications equipment shall include equipment that is specially 
designed to provide interconnected VoIP service and that is needed for 
the effective use of an interconnected VoIP service as that term is 
defined in Sec. 9.3 of this chapter.
    (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. For purposes of this part, the term 
telecommunications service shall include ``interconnected VoIP service'' 
as that term is defined in Sec. 9.3 of this chapter.
    (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 real-time text shall have the meaning set forth in 
Sec. 67.1 of this chapter.
    (n) The term text-capable end user device means customer premises 
equipment that is able to send, receive, and display text.

[64 FR 63251, Nov. 19, 1999, as amended at 72 FR 43558, Aug. 6, 2007; 82 
FR 7706, Jan. 23, 2017]



          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 770]]



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.

[64 FR 63251, Nov. 19, 1999, as amended at 72 FR 43558, Aug. 6, 2007; 73 
FR 21252, Apr. 21, 2008]



                          Subpart D_Enforcement



Sec. 6.15  Generally.

    (a) All manufacturers of telecommunications equipment or customer 
premises equipment 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

[[Page 771]]

denote manufacturers of telecommunications equipment or customer 
premises equipment and the term ``providers'' shall denote providers of 
telecommunications services.

[76 FR 82389, Dec. 30, 2011]



Sec. 6.16  Informal or formal complaints.

    Sections 6.17 through 6.23 of this subpart shall sunset on October 
8, 2013. On October 8, 2013, any person may file either a formal or 
informal complaint against a manufacturer or provider alleging 
violations of section 255 or this part subject to the enforcement 
requirements set forth in Sec. Sec. 14.30 through 14.52 of this 
chapter.

[76 FR 82389, Dec. 30, 2011]



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.

[64 FR 63251, Nov. 19, 1999, as amended at 72 FR 43559, Aug. 6, 2007; 73 
FR 21252, Apr. 21, 2008]



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

[[Page 772]]

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.

[64 FR 63251, Nov. 19, 1999, as amended at 72 FR 43559, Aug. 6, 2007; 73 
FR 21252, Apr. 21, 2008]



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

[[Page 773]]

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 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



            Subpart A_Scope_Who Must Comply With These Rules?

Sec.
7.1 Who must comply with these rules?

                          Subpart B_Definitions

7.3 Definitions.

          Subpart C_Obligations_What must Covered Entities do?

7.5 General obligations.
7.7 Product design, development and 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 Sec. Sec. 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. 151-154, 208, 255, and 303(r).

    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.

[[Page 774]]

    (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 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.
    (3) Real-Time Text. Voice communication services subject to this 
part that are provided over wireless IP facilities and handsets and 
other text-capable end user devices used with such service that do not 
themselves provide TTY functionality, may provide TTY connectability and 
signal compatibility pursuant to paragraphs (b)(3) and (4) of this 
section, or support real-time text communications, in accordance with 47 
CFR part 67.
    (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

[[Page 775]]

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.
    (5) TTY Support Exemption. Voice communication services subject to 
this part that are offered over wireless IP facilities and equipment 
used with such services are not required to provide TTY connectability 
and TTY signal compatibility if such services and equipment support 
real-time text, in accordance with 47 CFR part 67.
    (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 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).

[[Page 776]]

    (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.
    (n) The term real-time text shall have the meaning set forth in 
Sec. 67.1 of this chapter.
    (o) The term text-capable end user device means customer premises 
equipment that is able to send, receive, and display text.

[64 FR 63255, Nov. 19, 1999, as amended at 82 FR 7706, Jan. 23, 2017]



          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 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

[[Page 777]]

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:
    (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 
premises equipment 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.

[64 FR 63255, Nov. 19, 1999, as amended at 76 FR 82389, Dec. 30, 2011]



Sec. 7.16  Informal or formal complaints.

    Sections 7.17 through 7.23 of this subpart shall sunset on October 
8, 2013. On October 8, 2013, any person may file either a formal or 
informal complaint against a manufacturer or provider alleging 
violations of section 255 or this part subject to the enforcement 
requirements set forth in Sec. Sec. 14.30 through 14.52 of this 
chapter.

[76 FR 82389, Dec. 30, 2011]



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;

[[Page 778]]

    (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 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,

[[Page 779]]

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 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 8_PROTECTING AND PROMOTING THE OPEN INTERNET--Table of Contents



Sec.
8.1 Purpose.
8.2 Definitions.
8.3 Transparency.
8.5 No Blocking.
8.7 No throttling.
8.9 No paid prioritization.
8.11 No unreasonable interference or unreasonable disadvantage standard 
          for Internet conduct.
8.12 Formal Complaints.
8.13 General pleading requirements.
8.14 General formal complaint procedures.
8.15 Status conference.
8.16 Confidentiality of proprietary information.

[[Page 780]]

8.17 Review.
8.18 Advisory opinions.
8.19 Other Laws and considerations.

    Authority: 47 U.S.C. 151, 152, 153, 154, 160, 201, 202, 301, 303, 
316, 332, 403, 501, 503, and 1302.

    Source: 76 FR 59232, Sept. 23, 2011, unless otherwise noted.



Sec. 8.1  Purpose.

    The purpose of this part is to protect and promote the Internet as 
an open platform enabling consumer choice, freedom of expression, end-
user control, competition, and the freedom to innovate without 
permission, and thereby to encourage the deployment of advanced 
telecommunications capability and remove barriers to infrastructure 
investment.

[80 FR 19847, Apr. 13, 2015]



Sec. 8.2  Definitions.

    (a) Broadband Internet access service. A mass-market retail service 
by wire or radio that provides the capability to transmit data to and 
receive data from all or substantially all Internet endpoints, including 
any capabilities that are incidental to and enable the operation of the 
communications service, but excluding dial-up Internet access service. 
This term also encompasses any service that the Commission finds to be 
providing a functional equivalent of the service described in the 
previous sentence, or that is used to evade the protections set forth in 
this part.
    (b) Edge provider. Any individual or entity that provides any 
content, application, or service over the Internet, and any individual 
or entity that provides a device used for accessing any content, 
application, or service over the Internet.
    (c) End user. Any individual or entity that uses a broadband 
Internet access service.
    (d) Fixed broadband Internet access service. A broadband Internet 
access service that serves end users primarily at fixed endpoints using 
stationary equipment. Fixed broadband Internet access service includes 
fixed wireless services (including fixed unlicensed wireless services), 
and fixed satellite services.
    (e) Mobile broadband Internet access service. A broadband Internet 
access service that serves end users primarily using mobile stations.
    (f) Reasonable network management. A network management practice is 
a practice that has a primarily technical network management 
justification, but does not include other business practices. A network 
management practice is reasonable if it is primarily used for and 
tailored to achieving a legitimate network management purpose, taking 
into account the particular network architecture and technology of the 
broadband Internet access service.

[80 FR 19847, Apr. 13, 2015]



Sec. 8.3  Transparency.

    A person engaged in the provision of broadband Internet access 
service shall publicly disclose accurate information regarding the 
network management practices, performance, and commercial terms of its 
broadband Internet access services sufficient for consumers to make 
informed choices regarding use of such services and for content, 
application, service, and device providers to develop, market, and 
maintain Internet offerings.



Sec. 8.5  No blocking.

    A person engaged in the provision of broadband Internet access 
service, insofar as such person is so engaged, shall not block lawful 
content, applications, services, or non-harmful devices, subject to 
reasonable network management.

[80 FR 19847, Apr. 13, 2015]



Sec. 8.7  No throttling.

    A person engaged in the provision of broadband Internet access 
service, insofar as such person is so engaged, shall not impair or 
degrade lawful Internet traffic on the basis of Internet content, 
application, or service, or use of a non-harmful device, subject to 
reasonable network management.

[80 FR 19847, Apr. 13, 2015]



Sec. 8.9  No paid prioritization.

    (a) A person engaged in the provision of broadband Internet access 
service,

[[Page 781]]

insofar as such person is so engaged, shall not engage in paid 
prioritization.
    (b) ``Paid prioritization'' refers to the management of a broadband 
provider's network to directly or indirectly favor some traffic over 
other traffic, including through use of techniques such as traffic 
shaping, prioritization, resource reservation, or other forms of 
preferential traffic management, either;
    (1) In exchange for consideration (monetary or otherwise) from a 
third party, or
    (2) To benefit an affiliated entity.
    (c) The Commission may waive the ban on paid prioritization only if 
the petitioner demonstrates that the practice would provide some 
significant public interest benefit and would not harm the open nature 
of the Internet.

[80 FR 19847, Apr. 13, 2015]



Sec. 8.11  No unreasonable interference or unreasonable disadvantage
standard for Internet conduct.

    Any person engaged in the provision of broadband Internet access 
service, insofar as such person is so engaged, shall not unreasonably 
interfere with or unreasonably disadvantage end users' ability to 
select, access, and use broadband Internet access service or the lawful 
Internet content, applications, services, or devices of their choice, or 
edge providers' ability to make lawful content, applications, services, 
or devices available to end users. Reasonable network management shall 
not be considered a violation of this rule.

[80 FR 19848, Apr. 13, 2015]



Sec. 8.12  Formal complaints.

    Any person may file a formal complaint alleging a violation of the 
rules in this part.



Sec. 8.13  General pleading requirements.

    (a) General pleading requirements. All written submissions, both 
substantive and procedural, must conform to the following standards:
    (1) A pleading must be clear, concise, and explicit. All matters 
concerning a claim, defense or requested remedy should be pleaded fully 
and with specificity.
    (2) Pleadings must contain facts that, if true, are sufficient to 
warrant a grant of the relief requested.
    (3) Facts must be supported by relevant documentation or affidavit.
    (4) The original of all pleadings and submissions by any party shall 
be signed by that party, or by the party's attorney. Complaints must be 
signed by the complainant. The signing party shall state his or her 
address, telephone number, email address, and the date on which the 
document was signed. Copies should be conformed to the original. Each 
submission must contain a written verification that the signatory has 
read the submission and, 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 for any improper purpose. If any pleading 
or other submission is signed in violation of this provision, the 
Commission shall upon motion or upon its own initiative impose 
appropriate sanctions.
    (5) Legal arguments must be supported by appropriate judicial, 
Commission, or statutory authority. Opposing authorities must be 
distinguished. 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.
    (6) 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.
    (7) Parties seeking expedited resolution of their complaint may 
request acceptance on the Enforcement Bureau's Accelerated Docket 
pursuant to the procedures at Sec. 1.730 of this chapter.
    (b) Initial Complaint: Fee remittance; Service; Copies to be filed. 
The complainant shall remit separately the correct fee either by check, 
wire transfer, or

[[Page 782]]

electronically, in accordance with part 1, subpart G (see Sec. 1.1106 
of this chapter) and:
    (1) Shall file an original copy of the complaint, using the 
Commission's Electronic Comment Filing System, and, on the same day:
    (2) Serve the complaint by hand delivery on either the named 
defendant or one of the named defendant's registered agents for service 
of process, if available, on the same date that the complaint is filed 
with the Commission;
    (c) Subsequent Filings: Service; Copies to be filed. (1) All 
subsequent submissions shall be filed using the Commission's Electronic 
Comment Filing System. In addition, all 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 email, together with a proof of such service in accordance with the 
requirements of Sec. 1.47(g) of this chapter.
    (2) Service is deemed effective as follows:
    (i) Service by hand delivery that is delivered to the office of the 
recipient by 5:30 p.m., 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 p.m., local time of 
the recipient, on a business day will be deemed served on the following 
business day;
    (ii) 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; or
    (iii) Service by email that is fully transmitted to the office of 
the recipient by 5:30 p.m., local time of the recipient, on a business 
day will be deemed served that day. Service by email that is fully 
transmitted to the office of the recipient after 5:30 p.m., local time 
of the recipient, on a business day will be deemed served on the 
following business day.
    (3) Parties shall provide hard copies of all submissions to staff in 
the Market Disputes Resolution Division of the Enforcement Bureau upon 
request.
    (d) Prefiling notice required. Any person intending to file a 
complaint under this section must first notify the potential defendant 
in writing that it intends to file a complaint with the Commission based 
on actions alleged to violate one or more of the provisions contained in 
this part. The notice must be sufficiently detailed so that its 
recipient(s) can determine the specific nature of the potential 
complaint. The potential complainant must allow a minimum of ten (10) 
days for the potential defendant(s) to respond before filing a complaint 
with the Commission.
    (e) Frivolous pleadings. It shall be unlawful for any party to file 
a frivolous pleading with the Commission. Any violation of this 
paragraph shall constitute an abuse of process subject to appropriate 
sanctions.

[76 FR 59232, Sept. 23, 2011, as amended at 80 FR 19848, Apr. 13, 2015]



Sec. 8.14  General formal complaint procedures.

    (a) Complaints. In addition to the general pleading requirements, 
complaints must adhere to the following requirements:
    (1) Certificate of service. Complaints shall be accompanied by a 
certificate of service on any defendant.
    (2) Statement of relief requested--(i) The complaint shall state the 
relief requested. It shall state fully and precisely all pertinent facts 
and considerations relied on to demonstrate the need for the relief 
requested and to support a determination that a grant of such relief 
would serve the public interest.
    (ii) The complaint shall set forth all steps taken by the parties to 
resolve the problem.
    (iii) A complaint may, on request of the filing party, be dismissed 
without prejudice as a matter of right prior to the adoption date of any 
final action taken by the Commission with respect to the petition or 
complaint. A request for the return of an initiating document will be 
regarded as a request for dismissal.
    (3) Failure to prosecute. Failure to prosecute a complaint, or 
failure to respond to official correspondence or request for additional 
information, will be cause for dismissal. Such dismissal

[[Page 783]]

will be without prejudice if it occurs prior to the adoption date of any 
final action taken by the Commission with respect to the initiating 
pleading.
    (b) Answers to complaints. Unless otherwise directed by the 
Commission, any party who is served with a complaint shall file an 
answer in accordance with the following requirements:
    (1) The answer shall be filed within 20 days of service of the 
complaint.
    (2) The answer shall advise the parties and the Commission fully and 
completely of the nature of any and all defenses, and shall respond 
specifically to all material allegations of the complaint. Collateral or 
immaterial issues shall be avoided in answers and every effort should be 
made to narrow the issues. Any party against whom a complaint is filed 
failing to file and serve an answer within the time and in the manner 
prescribed by these rules may be deemed in default and an order may be 
entered against defendant in accordance with the allegations contained 
in the complaint.
    (3) Facts must be supported by relevant documentation or affidavit.
    (4) The answer shall admit or deny the averments on which the 
adverse party relies. 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 
answer shall specify so much of it as is true and shall deny only the 
remainder, and state in detail the basis of that denial.
    (5) Averments in a complaint are deemed to be admitted when not 
denied in the answer.
    (c) Reply. In addition to the general pleading requirements, replies 
must adhere to the following requirements:
    (1) The complainant may file a reply to a responsive pleading that 
shall be served on the defendant and shall also contain a detailed full 
showing, supported by affidavit, of any additional facts or 
considerations relied on. Unless expressly permitted by the Commission, 
replies shall not contain new matters.
    (2) Failure to reply will not be deemed an admission of any 
allegations contained in the responsive pleading, except with respect to 
any affirmative defense set forth therein.
    (3) Unless otherwise directed by the Commission, replies must be 
filed within ten (10) days after submission of the responsive pleading.
    (d) Motions. Except as provided in this section, or upon a showing 
of extraordinary circumstances, additional motions or pleadings by any 
party will not be accepted.
    (e) Additional procedures and written submissions. (1) The 
Commission may specify other procedures, such as oral argument or 
evidentiary hearing directed to particular aspects, as it deems 
appropriate. In the event that an evidentiary hearing is required, the 
Commission will determine, on the basis of the pleadings and such other 
procedures as it may specify, whether temporary relief should be 
afforded any party pending the hearing and the nature of any such 
temporary relief.
    (2) 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 copies of all contracts and 
documents reflecting arrangements and understandings alleged to violate 
the requirements set forth in the Communications Act and in this part, 
as well as affidavits and exhibits.
    (3) The Commission may, in its discretion, require the parties to 
file briefs summarizing the facts and issues presented in the pleadings 
and other record evidence.
    (i) These briefs shall contain the findings of fact and conclusions 
of law which that party is urging the Commission to adopt, with specific 
citations to the record, and supported by relevant authority and 
analysis.
    (ii) The schedule for filing any briefs shall be at the discretion 
of the Commission. Unless ordered otherwise by the Commission, such 
briefs shall not exceed fifty (50) pages.
    (iii) Reply briefs may be submitted at the discretion of the 
Commission. Unless ordered otherwise by the Commission, reply briefs 
shall not exceed thirty (30) pages.
    (f) Discovery. (1) The Commission may in its discretion order 
discovery limited to the issues specified by the Commission. Such 
discovery may include

[[Page 784]]

answers to written interrogatories, depositions, document production, or 
requests for admissions.
    (2) The Commission may in its discretion direct the parties to 
submit discovery proposals, together with a memorandum in support of the 
discovery requested. Such discovery requests may include answers to 
written interrogatories, admissions, document production, or 
depositions. The Commission may hold a status conference with the 
parties, pursuant to Sec. 8.15, to determine the scope of discovery, or 
direct the parties regarding the scope of discovery. If the Commission 
determines that extensive discovery is required or that depositions are 
warranted, the Commission may advise the parties that the proceeding 
will be referred to an administrative law judge in accordance with 
paragraph (g) of this section.
    (g) Request for written opinion from outside technical organization. 
(1) After reviewing the pleadings, and at any stage of the proceeding 
thereafter, the Enforcement Bureau may, in its discretion, request a 
written opinion from an outside technical organization regarding one or 
more issues in dispute.
    (2)(i) Wherever possible, the opinion shall be requested from an 
outside technical organization whose members do not include any of the 
parties to the proceeding.
    (ii) If no such outside technical organization exists, or if the 
Enforcement Bureau in its discretion chooses to request an opinion from 
an organization that includes among its members a party to the 
proceeding, the Bureau shall instruct the organization that any 
representative of a party to the proceeding within the organization may 
not participate in either the organization's consideration of the 
issue(s) referred or its drafting of the opinion.
    (iii) No outside technical organization shall be required to respond 
to the Bureau's request.
    (3)(i) If an opinion from an outside technical organization is 
requested and the request is accepted, the Enforcement Bureau shall 
notify the parties to the dispute of the request within ten (10) days 
and shall provide them copies of the opinion once it is received.
    (ii) The outside technical organization shall provide its opinion 
within thirty (30) days of the Enforcement Bureau's request, unless 
otherwise specified by the Bureau.
    (iii) Parties shall be given the opportunity to file briefs in reply 
to the opinion.
    (h) Referral to administrative law judge. (1) After reviewing the 
pleadings, and at any stage of the proceeding thereafter, the Commission 
may, in its discretion, designate any proceeding or discrete issues 
arising out of any proceeding for an adjudicatory hearing before an 
administrative law judge.
    (2) Before designation for hearing, the Commission shall notify, 
either orally or in writing, the parties to the proceeding of its intent 
to so designate, and the parties shall be given a period of ten (10) 
days to elect to resolve the dispute through alternative dispute 
resolution procedures, or to proceed with an adjudicatory hearing. Such 
election shall be submitted in writing to the Commission.
    (3) Unless otherwise directed by the Commission, or upon motion by 
the Enforcement Bureau Chief, the Enforcement Bureau Chief shall not be 
deemed to be a party to a proceeding designated for a hearing before an 
administrative law judge pursuant to this paragraph (g).
    (i) Commission ruling. The Commission (or the Enforcement Bureau on 
delegated authority), after consideration of the pleadings, shall issue 
an order ruling on the complaint.

[76 FR 59232, Sept. 23, 2011, as amended at 80 FR 19848, Apr. 13, 2015]



Sec. 8.15  Status conference.

    (a) In any proceeding subject to the part 8 rules, the Commission 
may in its discretion direct the attorneys and/or the parties to appear 
for a conference to consider:
    (1) Simplification or narrowing of the issues;
    (2) The necessity for or desirability of amendments to the 
pleadings, additional pleadings, or other evidentiary submissions;
    (3) Obtaining admissions of fact or stipulations between the parties 
as to any or all of the matters in controversy;

[[Page 785]]

    (4) Settlement of the matters in controversy by agreement of the 
parties;
    (5) The necessity for and extent of discovery, including objections 
to interrogatories or requests for written documents;
    (6) The need and schedule for filing briefs, and the date for any 
further conferences; and
    (7) Such other matters that may aid in the disposition of the 
proceeding.
    (b) Any party may request that a conference be held at any time 
after an initiating document has been filed.
    (c) Conferences will be scheduled by the Commission at such time and 
place as it may designate, to be conducted in person or by telephone 
conference call.
    (d) The failure of any attorney or party, following advance notice 
with an opportunity to be present, to appear at a scheduled conference 
will be deemed a waiver and will not preclude the Commission from 
conferring with those parties or counsel present.
    (e) During a status conference, the Commission may issue oral 
rulings pertaining to a variety of matters relevant to the conduct of 
the proceeding including, inter alia, procedural matters, discovery, and 
the submission of briefs or other evidentiary materials. These rulings 
will be promptly memorialized in writing and served on the parties. When 
such rulings require a party to take affirmative action, such action 
will be required within ten (10) days from the date of the written 
memorialization unless otherwise directed by the Commission.



Sec. 8.16  Confidentiality of proprietary information.

    (a) Any materials generated in the course of a proceeding under this 
part may be designated as proprietary by either party to the proceeding 
or a third 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 must:
    (1) Clearly mark 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 materials 
designated as proprietary fall under the standards for nondisclosure 
enunciated in the FOIA.
    (2) File with the Commission, using the Commission's Electronic 
Comment Filing System, a public version of the materials that redacts 
any proprietary information and clearly marks each page of the redacted 
public version with a header stating ``Public Version.'' The redacted 
document shall be machine-readable whenever technically possible. Where 
the document to be filed electronically contains metadata that is 
confidential or protected from disclosure by a legal privilege 
(including, for example, the attorney-client privilege), the filer may 
remove such metadata from the document before filing it electronically.
    (3) File with the Secretary's Office an unredacted hard copy version 
of the materials that contain the proprietary information and clearly 
marks each page of the unredacted confidential version with a header 
stating ``Confidential Version.'' The unredacted version must be filed 
on the same day as the redacted version.
    (4) Serve one hard copy of the filed unredacted materials and one 
hard copy of the filed redacted materials 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 email, together with a proof of such service in 
accordance with the requirements of Sec. 1.47(g) of this chapter and 
Sec. 8.13(c)(1)(a) through (c).
    (b) Except as provided in paragraph (c) of this section, materials 
marked as proprietary may be disclosed solely to the following persons, 
only for use in the proceeding, 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;

[[Page 786]]

    (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) The Commission will entertain, subject to a proper showing under 
Sec. 0.459 of this chapter, a party's request to further restrict 
access to proprietary information. Pursuant to Sec. 0.459 of this 
chapter, the other parties will have an opportunity to respond to such 
requests. Requests and responses to requests may not be submitted by 
means of the Commission's Electronic Comment Filing System but instead 
must be filed under seal with the Office of the Secretary.
    (d) The individuals designated in paragraphs (b)(1) through (3) of 
this section 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.
    (e) No copies of materials marked proprietary may be made except 
copies to be used by persons designated in paragraphs (b) and (c) 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.
    (f) Upon termination of a 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 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.

[80 FR 19848, Apr. 13, 2015]



Sec. 8.17  Review.

    (a) Interlocutory review. (1) Except as provided below, no party may 
seek review of interlocutory rulings until a decision on the merits has 
been issued by the Commission's staff, including an administrative law 
judge.
    (2) Rulings listed in this paragraph are reviewable as a matter of 
right. An application for review of such ruling may not be deferred and 
raised as an exception to a decision on the merits.
    (i) If the staff's ruling denies or terminates the right of any 
person to participate as a party to the proceeding, such person, as a 
matter of right, may file an application for review of that ruling.
    (ii) If the staff's ruling requires production of documents or other 
written evidence, over objection based on a claim of privilege, the 
ruling on the claim of privilege is reviewable as a matter of right.
    (iii) If the staff's ruling denies a motion to disqualify a staff 
person from participating in the proceeding, the ruling is reviewable as 
a matter of right.
    (b) Petitions for reconsideration. Petitions for reconsideration of 
interlocutory actions by the Commission's staff or by an administrative 
law judge will not be entertained. Petitions for reconsideration of a 
decision on the merits made by the Commission's staff should be filed in 
accordance with Sec. Sec. 1.104 through 1.106 of this chapter.
    (c) Application for review. (1) Any party to a part 8 proceeding 
aggrieved by any decision on the merits issued by the staff pursuant to 
delegated authority may file an application for review by the Commission 
in accordance with Sec. 1.115 of this chapter.
    (2) Any party to a part 8 proceeding aggrieved by any decision on 
the merits by an administrative law judge may file an appeal of the 
decision directly with the Commission, in accordance with Sec. Sec. 
1.276(a) and 1.277(a) through (c) of this chapter.



Sec. 8.18  Advisory opinions.

    (a) Procedures. (1) Any entity that is subject to the Commission's 
jurisdiction may request an advisory opinion from the Enforcement Bureau 
regarding its own proposed conduct that may

[[Page 787]]

implicate the open Internet rules or any rules or policies related to 
the open Internet that may be adopted in the future. Requests for 
advisory opinions may be filed via the Commission's Web site or with the 
Office of the Secretary and must be copied to the Chief of the 
Enforcement Bureau and the Chief of the Investigations and Hearings 
Division of the Enforcement Bureau.
    (2) The Enforcement Bureau may, in its discretion, refuse to 
consider a request for an advisory opinion. If the Bureau declines to 
respond to a request, it will inform the requesting party in writing.
    (3) Requests for advisory opinions must relate to prospective or 
proposed conduct that the requesting party intends to pursue. The 
Enforcement Bureau will not respond to requests for opinions that relate 
to ongoing or prior conduct, and the Bureau may initiate an enforcement 
investigation to determine whether such conduct violates the open 
Internet rules. Additionally, the Bureau will not respond to requests if 
the same or substantially the same conduct is the subject of a current 
government investigation or proceeding, including any ongoing litigation 
or open rulemaking at the Commission.
    (4) Requests for advisory opinions must be accompanied by all 
material information sufficient for Enforcement Bureau staff to make a 
determination on the proposed conduct for which review is requested. 
Requesters must certify that factual representations made to the Bureau 
are truthful and accurate, and that they have not intentionally omitted 
any information from the request. A request for an advisory opinion that 
is submitted by a business entity or an organization must be executed by 
an individual who is authorized to act on behalf of that entity or 
organization.
    (5) Enforcement Bureau staff will have discretion to ask parties 
requesting opinions, as well as other parties that may have information 
relevant to the request or that may be impacted by the proposed conduct, 
for additional information that the staff deems necessary to respond to 
the request. Such additional information, if furnished orally or during 
an in-person conference with Bureau staff, shall be promptly confirmed 
in writing. Parties are not obligated to respond to staff inquiries 
related to advisory opinions. If a requesting party fails to respond to 
a staff inquiry, then the Bureau may dismiss that party's request for an 
advisory opinion. If a party voluntarily responds to a staff inquiry for 
additional information, then it must do so by a deadline to be specified 
by Bureau staff. Advisory opinions will expressly state that they rely 
on the representations made by the requesting party, and that they are 
premised on the specific facts and representations in the request and 
any supplemental submissions.
    (b) After review of a request submitted hereunder, the Enforcement 
Bureau will:
    (1) Issue an advisory opinion that will state the Bureau's present 
enforcement intention with respect to the proposed open Internet 
practices;
    (2) Issue a written statement declining to respond to the request; 
or;
    (3) Take such other position or action as it considers appropriate. 
An advisory opinion states only the enforcement intention of the 
Enforcement Bureau as of the date of the opinion, and it is not binding 
on any party. Advisory opinions will be issued without prejudice to the 
Enforcement Bureau or the Commission to reconsider the questions 
involved, or to rescind or revoke the opinion. Advisory opinions will 
not be subject to appeal or further review.
    (c) The Enforcement Bureau will have discretion to indicate the 
Bureau's lack of enforcement intent in an advisory opinion based on the 
facts, representations, and warranties made by the requesting party. The 
requesting party may rely on the opinion only to the extent that the 
request fully and accurately contains all the material facts and 
representations necessary to issuance of the opinion and the situation 
conforms to the situation described in the request for opinion. The 
Bureau will not bring an enforcement action against a requesting party 
with respect to any action taken in good faith reliance upon an advisory 
opinion if all of the relevant facts were fully, completely, and 
accurately presented

[[Page 788]]

to the Bureau, and where such action was promptly discontinued upon 
notification of rescission or revocation of the Commission's or Bureau's 
approval.
    (d) Public disclosure. The Enforcement Bureau will make advisory 
opinions available to the public on the Commission's Web site. The 
Bureau will also publish the initial request for guidance and any 
associated materials. Parties soliciting advisory opinions may request 
confidential treatment of information submitted in connection with a 
request for an advisory opinion pursuant to Sec. 0.459 of this chapter.
    (e) Withdrawal of request. Any requesting party may withdraw a 
request for review at any time prior to receipt of notice that the 
Enforcement Bureau intends to issue an adverse opinion, or the issuance 
of an opinion. The Enforcement Bureau remains free, however, to submit 
comments to such requesting party as it deems appropriate. Failure to 
take action after receipt of documents or information, whether submitted 
pursuant to this procedure or otherwise, does not in any way limit or 
stop the Bureau from taking such action at such time thereafter as it 
deems appropriate. The Bureau reserves the right to retain documents 
submitted to it under this procedure or otherwise and to use them for 
all governmental purposes.

[80 FR 19849, Apr. 13, 2015]



Sec. 8.19  Other laws and considerations.

    (a) Nothing in this part supersedes any obligation or authorization 
a provider of broadband Internet access service may have to address the 
needs of emergency communications or law enforcement, public safety, or 
national security authorities, consistent with or as permitted by 
applicable law, or limits the provider's ability to do so.
    (b) Nothing in this part prohibits reasonable efforts by a provider 
of broadband Internet access service to address copyright infringement 
or other unlawful activity.

[76 FR 59232, Sept. 23, 2011. Redesignated at 80 FR 19847, Apr. 13, 
2015]



PART 9_INTERCONNECTED VOICE OVER INTERNET PROTOCOL SERVICES--
Table of Contents



Sec.
9.1 Purposes.
9.3 Definitions.
9.5 E911 service.
9.7 Access to 911 and E911 service capabilities.

    Authority: 47 U.S.C. 151, 154(i)-(j), 251(e), 303(r), and 615a-1 
unless otherwise noted.

    Source: 70 FR 37286, June 29, 2005, unless otherwise noted.



Sec. 9.1  Purposes.

    The purposes of this part are to set forth the 911 and E911 service 
requirements and conditions applicable to interconnected Voice over 
Internet Protocol service providers, and to ensure that those providers 
have access to any and all 911 and E911 capabilities they need to comply 
with those 911 and E911 service requirements and conditions.

[74 FR 31874, July 6, 2009]



Sec. 9.3  Definitions.

    ANI. Automatic Number Identification, as such term is defined in 
Sec. 20.3 of this chapter.
    Appropriate local emergency authority. An emergency answering point 
that has not been officially designated as a Public Safety Answering 
Point (PSAP), but has the capability of receiving 911 calls and either 
dispatching emergency services personnel or, if necessary, relaying the 
call to another emergency service provider. An appropriate local 
emergency authority may include, but is not limited to, an existing 
local law enforcement authority, such as the police, county sheriff, 
local emergency medical services provider, or fire department.
    Automatic Location Information (ALI). Information transmitted while 
providing E911 service that permits emergency service providers to 
identify the geographic location of the calling party.
    CMRS. Commercial Mobile Radio Service, as defined in Sec. 20.9 of 
this chapter.

[[Page 789]]

    Interconnected VoIP service. An interconnected Voice over Internet 
protocol (VoIP) service is a service that:
    (1) Enables real-time, two-way voice communications;
    (2) Requires a broadband connection from the user's location;
    (3) Requires Internet protocol-compatible customer premises 
equipment (CPE); and
    (4) Permits users generally to receive calls that originate on the 
public switched telephone network and to terminate calls to the public 
switched telephone network.
    PSAP. Public Safety Answering Point, as such term is defined in 
Sec. 20.3 of this chapter.
    Pseudo Automatic Number Identification (Pseudo-ANI). A number, 
consisting of the same number of digits as ANI, that is not a North 
American Numbering Plan telephone directory number and may be used in 
place of an ANI to convey special meaning. The special meaning assigned 
to the pseudo-ANI is determined by agreements, as necessary, between the 
system originating the call, intermediate systems handling and routing 
the call, and the destination system.
    Registered Location. The most recent information obtained by an 
interconnected VoIP service provider that identifies the physical 
location of an end user.
    Statewide default answering point. An emergency answering point 
designated by the State to receive 911 calls for either the entire State 
or those portions of the State not otherwise served by a local PSAP.
    Wireline E911 Network. A dedicated wireline network that:
    (1) Is interconnected with but largely separate from the public 
switched telephone network;
    (2) Includes a selective router; and
    (3) Is utilized to route emergency calls and related information to 
PSAPs, designated statewide default answering points, appropriate local 
emergency authorities or other emergency answering points.

[70 FR 37286, June 29, 2005, as amended at 74 FR 31874, July 9, 2009]



Sec. 9.5  E911 Service.

    (a) Scope of Section. The following requirements are only applicable 
to providers of interconnected VoIP services. Further, the following 
requirements apply only to 911 calls placed by users whose Registered 
Location is in a geographic area served by a Wireline E911 Network 
(which, as defined in Sec. 9.3, includes a selective router).
    (b) E911 Service. As of November 28, 2005:
    (1) Interconnected VoIP service providers must, as a condition of 
providing service to a consumer, provide that consumer with E911 service 
as described in this section;
    (2) Interconnected VoIP service providers must transmit all 911 
calls, as well as ANI and the caller's Registered Location for each 
call, to the PSAP, designated statewide default answering point, or 
appropriate local emergency authority that serves the caller's 
Registered Location and that has been designated for telecommunications 
carriers pursuant to Sec. 64.3001 of this chapter, provided that ``all 
911 calls'' is defined as ``any voice communication initiated by an 
interconnected VoIP user dialing 911;''
    (3) All 911 calls must be routed through the use of ANI and, if 
necessary, pseudo-ANI, via the dedicated Wireline E911 Network; and
    (4) The Registered Location must be available to the appropriate 
PSAP, designated statewide default answering point, or appropriate local 
emergency authority from or through the appropriate automatic location 
information (ALI) database.
    (c) Service Level Obligation. Notwithstanding the provisions in 
paragraph (b) of this section, if a PSAP, designated statewide default 
answering point, or appropriate local emergency authority is not capable 
of receiving and processing either ANI or location information, an 
interconnected VoIP service provider need not provide such ANI or 
location information; however, nothing in this paragraph affects the 
obligation under paragraph (b) of this section of an interconnected VoIP 
service provider to transmit via the Wireline E911 Network all 911 calls 
to the PSAP, designated statewide default answering point, or 
appropriate local

[[Page 790]]

emergency authority that serves the caller's Registered Location and 
that has been designated for telecommunications carriers pursuant to 
Sec. 64.3001 of this chapter.
    (d) Registered Location Requirement. As of November 28, 2005, 
interconnected VoIP service providers must:
    (1) Obtain from each customer, prior to the initiation of service, 
the physical location at which the service will first be utilized; and
    (2) Provide their end users one or more methods of updating their 
Registered Location, including at least one option that requires use 
only of the CPE necessary to access the interconnected VoIP service. Any 
method utilized must allow an end user to update the Registered Location 
at will and in a timely manner.
    (e) Customer Notification. Each interconnected VoIP service provider 
shall:
    (1) Specifically advise every subscriber, both new and existing, 
prominently and in plain language, of the circumstances under which E911 
service may not be available through the interconnected VoIP service or 
may be in some way limited by comparison to traditional E911 service. 
Such circumstances include, but are not limited to, relocation of the 
end user's IP-compatible CPE, use by the end user of a non-native 
telephone number, broadband connection failure, loss of electrical 
power, and delays that may occur in making a Registered Location 
available in or through the ALI database;
    (2) Obtain and keep a record of affirmative acknowledgement by every 
subscriber, both new and existing, of having received and understood the 
advisory described in paragraph (e)(1) of this section; and
    (3) Distribute to its existing subscribers warning stickers or other 
appropriate labels warning subscribers if E911 service may be limited or 
not available and instructing the subscriber to place them on or near 
the equipment used in conjunction with the interconnected VoIP service. 
Each interconnected VoIP provider shall distribute such warning stickers 
or other appropriate labels to each new subscriber prior to the 
initiation of that subscriber's service.
    (f) Compliance Letter. All interconnected VoIP providers must submit 
a letter to the Commission detailing their compliance with this section 
no later than November 28, 2005.



Sec. 9.7  Access to 911 and E911 service capabilities.

    (a) Access. Subject to the other requirements of this part, an owner 
or controller of a capability that can be used for 911 or E911 service 
shall make that capability available to a requesting interconnected VoIP 
provider as set forth in paragraphs (a)(1) and (a)(2) of this section.
    (1) If the owner or controller makes the requested capability 
available to a CMRS provider, the owner or controller must make that 
capability available to the interconnected VoIP provider. An owner or 
controller makes a capability available to a CMRS provider if the owner 
or controller offers that capability to any CMRS provider.
    (2) If the owner or controller does not make the requested 
capability available to a CMRS provider within the meaning of paragraph 
(a)(1) of this section, the owner or controller must make that 
capability available to a requesting interconnected VoIP provider only 
if that capability is necessary to enable the interconnected VoIP 
provider to provide 911 or E911 service in compliance with the 
Commission's rules.
    (b) Rates, terms, and conditions. The rates, terms, and conditions 
on which a capability is provided to an interconnected VoIP provider 
under paragraph (a) of this section shall be reasonable. For purposes of 
this paragraph, it is evidence that rates, terms, and conditions are 
reasonable if they are:
    (1) The same as the rates, terms, and conditions that are made 
available to CMRS providers, or
    (2) In the event such capability is not made available to CMRS 
providers, the same rates, terms, and conditions that are made available 
to any telecommunications carrier or other entity for the provision of 
911 or E911 service.
    (c) Permissible use. An interconnected VoIP provider that obtains 
access to a capability pursuant to this section may use that capability 
only for the

[[Page 791]]

purpose of providing 911 or E911 service in accordance with the 
Commission's rules.

[74 FR 31874, July 6, 2009]

    Effective Date Note: At 74 FR 31874, July 6, 2009, Sec. 9.7(a) 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.



PART 10_WIRELESS EMERGENCY ALERTS--Table of Contents



                      Subpart A_General Information

Sec.
10.1 Basis.
10.2 Purpose.
10.10 Definitions.
10.11 WEA implementation timeline.

  Subpart B_Election to Participate in Wireless Emergency Alerts System

10.210 WEA participation election procedures.
10.220 Withdrawal of election to participate in WEA.
10.230 New CMS providers participating in WEA.
10.240 Notification to new subscribers of non-participation in WEA.
10.250 Notification to existing subscribers of non-participation in WEA.
10.260 Timing of subscriber notification.
10.270 Subscribers' right to terminate subscription.
10.280 Subscribers' right to opt out of WEA notifications.

                      Subpart C_System architecture

10.300 Alert aggregator. [Reserved]
10.310 Federal alert gateway. [Reserved]
10.320 Provider gateway requirements.
10.330 Provider infrastructure requirements.
10.340 Digital television transmission towers retransmission capability.
10.350 WEA testing and proficiency training requirements.

                  Subpart D_Alert message requirements

10.400 Classification.
10.410 Prioritization.
10.420 Message elements.
10.430 Character limit.
10.441 Embedded references.
10.450 Geographic targeting.
10.460 Retransmission frequency. [Reserved]
10.470 Roaming.
10.480 Language support.

                    Subpart E_Equipment requirements

10.500 General requirements.
10.510 Call preemption prohibition.
10.520 Common audio attention signal.
10.530 Common vibration cadence.
10.540 Attestation requirement. [Reserved]

    Authority: 47 U.S.C. 151, 154(i) and (o), 201, 303(r), 403, and 606; 
sections 602(a), (b), (c), (f), 603, 604 and 606 of Pub. L. 109-347, 120 
Stat. 1884.

    Source: 73 FR 43117, July 24, 2008, unless otherwise noted.



                      Subpart A_General Information



Sec. 10.1  Basis.

    The rules in this part are issued pursuant to the authority 
contained in the Warning, Alert, and Response Network Act, Title VI of 
the Security and Accountability for Every Port Act of 2006, Public Law 
109-347, Titles I through III of the Communications Act of 1934, as 
amended, and Executive Order 13407 of June 26, 2006, Public Alert and 
Warning System, 71 FR 36975, June 26, 2006.



Sec. 10.2  Purpose.

    The rules in this part establish the requirements for participation 
in the voluntary Wireless Emergency Alerts system.

[78 FR 16807, Mar. 19, 2013]



Sec. 10.10  Definitions.

    (a) Alert Message. An Alert Message is a message that is intended to 
provide the recipient information regarding an emergency, and that meets 
the requirements for transmission by a Participating Commercial Mobile 
Service Provider under this part.
    (b) Common Alerting Protocol. The Common Alerting Protocol (CAP) 
refers to Organization for the Advancement of Structured Information 
Standards (OASIS) Standard CAP-V1.1, October 2005 (available at http://
www.oasis-open.org/specs/index.phpcapv1.1), or any subsequent version 
of CAP adopted by OASIS and implemented by the WEA.
    (c) Wireless Emergency Alerts. The Wireless Emergency Alerts (WEA) 
system refers to the voluntary emergency alerting system established by 
this part, whereby Commercial Mobile Service Providers may elect to 
transmit Alert Messages to the public.

[[Page 792]]

    (d) Commercial Mobile Service Provider. A Commercial Mobile Service 
Provider (or CMS Provider) is an FCC licensee providing commercial 
mobile service as defined in section 332(d)(1) of the Communications Act 
of 1934 (47 U.S.C. 332(d)(1)). Section 332(d)(1) defines the term 
commercial mobile service as any mobile service (as defined in 47 U.S.C. 
153) that is provided for profit and makes interconnected service 
available to the public or to such classes of eligible users as to be 
effectively available to a substantial portion of the public, as 
specified by regulation by the Commission.
    (e) County and County Equivalent. The terms County and County 
Equivalent as used in this part are defined by Federal Information 
Processing Standards (FIPS) 6-4, which provides the names and codes that 
represent the counties and other entities treated as equivalent legal 
and/or statistical subdivisions of the 50 States, the District of 
Columbia, and the possessions and freely associated areas of the United 
States. Counties are considered to be the ``first-order subdivisions'' 
of each State and statistically equivalent entity, regardless of their 
local designations (county, parish, borough, etc.). Thus, the following 
entities are considered to be equivalent to counties for legal and/or 
statistical purposes: The parishes of Louisiana; the boroughs and census 
areas of Alaska; the District of Columbia; the independent cities of 
Maryland, Missouri, Nevada, and Virginia; that part of Yellowstone 
National Park in Montana; and various entities in the possessions and 
associated areas. The FIPS codes and FIPS code documentation are 
available online at http://www.itl.nist.gov/fipspubs/index.htm.
    (f) Participating Commercial Mobile Service Provider. A 
Participating Commercial Mobile Service Provider (or a Participating CMS 
Provider) is a Commercial Mobile Service Provider that has voluntarily 
elected to transmit Alert Messages under subpart B of this part.
    (g) ``C'' Interface. The interface between the Alert Gateway and CMS 
provider Gateway.
    (h) CMS provider Gateway. The mechanism(s) that supports the ``C'' 
interface and associated protocols between the Alert Gateway and the CMS 
provider Gateway, and which performs the various functions associated 
with the authentication, management and dissemination of WEA Alert 
Messages received from the Alert Gateway.
    (i) CMS provider infrastructure. The mechanism(s) that distribute 
received WEA Alert Messages throughout the CMS provider's network, 
including cell site/paging transceivers and perform functions associated 
with authentication of interactions with the Mobile Device.
    (j) Mobile Devices. The subscriber equipment generally offered by 
CMS providers that supports the distribution of WEA Alert Messages.

[73 FR 43117, July 24, 2008, as amended at 73 FR 54525, Sept. 22, 2008; 
78 FR 16807, Mar. 19, 2013]



Sec. 10.11  WEA implementation timeline.

    Notwithstanding anything in this part to the contrary, a 
participating CMS provider shall begin an 18 month period of 
development, testing and deployment of the WEA in a manner consistent 
with the rules in this part no later than 10 months from the date that 
the Federal Alert Aggregator and Alert Gateway makes the Government 
Interface Design specifications available.

[78 FR 16807, Mar. 19, 2013]



  Subpart B_Election To Participate in Wireless Emergency Alerts System

    Source: 73 FR 54525, Sept. 22, 2008, unless otherwise noted.



Sec. 10.210  WEA participation election procedures.

    (a) A CMS provider that elects to transmit WEA Alert Messages, in 
part or in whole, shall electronically file with the Commission a letter 
attesting that the Provider:
    (1) Agrees to transmit such alerts in a manner consistent with the 
technical standards, protocols, procedures, and other technical 
requirements implemented by the Commission; and
    (2) Commits to support the development and deployment of technology 
for

[[Page 793]]

the ``C'' interface, the CMS provider Gateway, the CMS provider 
infrastructure, and mobile devices with WEA functionality and support of 
the CMS provider selected technology.
    (b) A CMS provider that elects not to transmit WEA Alert Messages 
shall file electronically with the Commission a letter attesting to that 
fact.
    (c) CMS providers shall file their election electronically to the 
docket.

[73 FR 54525, Sept. 22, 2008, as amended at 78 FR 16807, Mar. 19, 2013]



Sec. 10.220  Withdrawal of election to participate in WEA.

    A CMS provider that elects to transmit WEA Alert Messages, in part 
or in whole, may withdraw its election without regulatory penalty or 
forfeiture if it notifies all affected subscribers as well as the 
Federal Communications Commission at least sixty (60) days prior to the 
withdrawal of its election. In the event that a carrier withdraws from 
its election to transmit WEA Alert Messages, the carrier must notify 
each affected subscriber individually in clear and conspicuous language 
citing the statute. Such notice must promptly inform the customer that 
he or she no longer could expect to receive alerts and of his or her 
right to terminate service as a result, without penalty or early 
termination fee. Such notice must facilitate the ability of a customer 
to automatically respond and immediately discontinue service.

[78 FR 16807, Mar. 19, 2013]



Sec. 10.230  New CMS providers participating in WEA.

    CMS providers who initiate service at a date after the election 
procedure provided for in Sec. 10.210(d) and who elect to provide WEA 
Alert Messages, in part or in whole, shall file electronically their 
election to transmit in the manner and with the attestations described 
in Sec. 10.210(a).

[78 FR 16807, Mar. 19, 2013]



Sec. 10.240  Notification to new subscribers of non-participation in WEA.

    (a) A CMS provider that elects not to transmit WEA Alert Messages, 
in part or in whole, shall provide clear and conspicuous notice, which 
takes into account the needs of persons with disabilities, to new 
subscribers of its non-election or partial election to provide Alert 
messages at the point-of-sale.
    (b) The point-of-sale includes stores, kiosks, third party reseller 
locations, web sites (proprietary or third party), and any other venue 
through which the CMS provider's devices and services are marketed or 
sold.
    (c) CMS providers electing to transmit alerts ``in part'' shall use 
the following notification:

    NOTICE REGARDING TRANSMISSION OF WIRELESS EMERGENCY ALERTS 
(Commercial Mobile Alert Service)
    [[CMS provider]] has chosen to offer wireless emergency alerts 
within portions of its service area, as defined by the terms and 
conditions of its service agreement, on wireless emergency alert capable 
devices. There is no additional charge for these wireless emergency 
alerts.
    Wireless emergency alerts may not be available on all devices or in 
the entire service area, or if a subscriber is outside of the [[CMS 
provider]] service area. For details on the availability of this service 
and wireless emergency alert capable devices, please ask a sales 
representative, or go to [[CMS provider's URL]].
    Notice required by FCC Rule 47 CFR 10.240 (Commercial Mobile Alert 
Service).

    (d) CMS providers electing in whole not to transmit alerts shall use 
the following notification language:

    NOTICE TO NEW AND EXISTING SUBSCRIBERS REGARDING TRANSMISSION OF 
WIRELESS EMERGENCY ALERTS (Commercial Mobile Alert Service)
    [[CMS provider]] presently does not transmit wireless emergency 
alerts. Notice required by FCC Rule 47 CFR 10.240 (Commercial Mobile 
Alert Service).

[73 FR 54525, Sept. 22, 2008, as amended at 78 FR 16807, Mar. 19, 2013]



Sec. 10.250  Notification to existing subscribers of non-participation
in WEA.

    (a) A CMS provider that elects not to transmit WEA Alert Messages, 
in part or in whole, shall provide clear and conspicuous notice, which 
takes into account the needs of persons with disabilities, to existing 
subscribers of its non-election or partial election to provide Alert 
messages by means of an announcement amending the existing subscriber's 
service agreement.

[[Page 794]]

    (b) For purposes of this section, a CMS provider that elects not to 
transmit WEA Alert Messages, in part or in whole, shall use the 
notification language set forth in Sec. 10.240 (c) or (d) respectively, 
except that the last line of the notice shall reference FCC Rule 47 CFR 
10.250, rather than FCC Rule 47 CFR 10.240.
    (c) In the case of prepaid customers, if a mailing address is 
available, the CMS provider shall provide the required notification via 
U.S. mail. If no mailing address is available, the CMS provider shall 
use any reasonable method at its disposal to alert the customer to a 
change in the terms and conditions of service and directing the 
subscriber to voice-based notification or to a Web site providing the 
required notification.

[73 FR 54525, Sept. 22, 2008, as amended at 78 FR 16807, Mar. 19, 2013]



Sec. 10.260  Timing of subscriber notification.

    A CMS provider that elects not to transmit WEA Alert Messages, in 
part or in whole, must comply with Sec. Sec. 10.240 and 10.250 no later 
than 60 days following an announcement by the Commission that the Alert 
Aggregator/Gateway system is operational and capable of delivering 
emergency alerts to participating CMS providers.

[78 FR 16807, Mar. 19, 2013]



Sec. 10.270  Subscribers' right to terminate subscription.

    If a CMS provider that has elected to provide WEA Alert Messages in 
whole or in part thereafter chooses to cease providing such alerts, 
either in whole or in part, its subscribers may terminate their 
subscription without penalty or early termination fee.

[78 FR 16807, Mar. 19, 2013]



Sec. 10.280  Subscribers' right to opt out of WEA notifications.

    (a) CMS providers may provide their subscribers with the option to 
opt out of both, or either, the ``Child Abduction Emergency/AMBER 
Alert'' and ``Imminent Threat Alert'' classes of Alert Messages.
    (b) CMS providers shall provide their subscribers with a clear 
indication of what each option means, and provide examples of the types 
of messages the customer may not receive as a result of opting out.

[73 FR 54525, Sept. 22, 2008, as amended at 78 FR 16808, Mar. 19, 2013]

    Effective Date Note: At 81 FR 75725, Nov. 1, 2016, Sec. 10.280(a) 
was revised, effective May 1, 2019. For the convenience of the user, the 
revised text is set forth as follows:



Sec. 10.280  Subscribers' right to opt out of WEA notifications.

    (a) CMS providers may provide their subscribers with the option to 
opt out of the ``Child Abduction Emergency/AMBER Alert,'' ``Imminent 
Threat Alert'' and ``Public Safety Message'' classes of Alert Messages.

                                * * * * *



                      Subpart C_System Architecture



Sec. 10.300  Alert aggregator. [Reserved]



Sec. 10.310  Federal alert gateway. [Reserved]



Sec. 10.320  Provider alert gateway requirements.

    This section specifies the functions that each Participating 
Commercial Mobile Service provider is required to support and perform at 
its CMS provider gateways.
    (a) General. The CMS provider gateway must provide secure, 
redundant, and reliable connections to receive Alert Messages from the 
Federal alert gateway. Each CMS provider gateway must be identified by a 
unique IP address or domain name.
    (b) Authentication and validation. The CMS provider gateway must 
authenticate interactions with the Federal alert gateway, and validate 
Alert Message integrity and parameters. The CMS provider gateway must 
provide an error message immediately to the Federal alert gateway if a 
validation fails.
    (c) Security. The CMS provider gateway must support standardized IP-
based security mechanisms such as a firewall, and support the defined 
WEA ``C'' interface and associated protocols between the Federal alert 
gateway and the CMS provider gateway.
    (d) Geographic targeting. The CMS provider gateway must determine

[[Page 795]]

whether the provider has elected to transmit an Alert Message within a 
specified alert area and, if so, map the Alert Message to an associated 
set of transmission sites.
    (e) Message management--(1) Formatting. The CMS provider gateway is 
not required to perform any formatting, reformatting, or translation of 
an Alert Message, except for transcoding a text, audio, video, or 
multimedia file into the format supported by mobile devices.
    (2) Reception. The CMS provider gateway must support a mechanism to 
stop and start Alert Message deliveries from the Federal alert gateway 
to the CMS provider gateway.
    (3) Prioritization. The CMS provider gateway must process an Alert 
Message on a first in-first out basis except for Presidential Alerts, 
which must be processed before all non-Presidential alerts.
    (4) Distribution. A Participating CMS provider must deploy one or 
more CMS provider gateways to support distribution of Alert Messages and 
to manage Alert Message traffic.
    (5) Retransmission. The CMS provider gateway must manage and execute 
Alert Message retransmission, and support a mechanism to manage 
congestion within the CMS provider's infrastructure.
    (f) CMS provider profile. The CMS provider gateway will provide 
profile information on the CMS provider for the Federal alert gateway to 
maintain at the Federal alert gateway. This profile information must be 
provided by an authorized CMS provider representative to the Federal 
alert gateway administrator. The profile information must include the 
data listed in Table 10.320(f) and must comply with the following 
procedures:
    (1) The information must be provided 30 days in advance of the date 
when the CMS provider begins to transmit WEA alerts.
    (2) Updates of any CMS provider profiles must be provided in writing 
at least 30 days in advance of the effective change date.

         Table 10.320(f)--CMSP Profile on Federal Alert Gateway
------------------------------------------------------------------------
                                    Parameter
       Profile parameter             election           Description
------------------------------------------------------------------------
CMSP Name.....................  .................  Unique identification
                                                    of CMSP.
CMSP gateway Address..........  IP address or
                                 Domain Name.
                                Alternate IP       Optional and subject
                                 address.           to implementation.
Geo-Location Filtering........  .               CMAM issued in the
                                                    listed states will
                                                    be sent to the CMSP
                                                    gateway.
                                                   If ``no'', all CMAM
                                                    will be sent to the
                                                    CMSP gateway.
If yes, list of states........  CMAC Geocode for   List can be state
                                 state.             name or abbreviated
                                                    state name.
------------------------------------------------------------------------


[73 FR 43117, July 24, 2008, as amended at 78 FR 16808, Mar. 19, 2013]

    Effective Date Note: At 81 FR 75725, Nov. 1, 2016, Sec. 10.320 was 
amended by adding paragraph (g). This paragraph will become effective on 
a date to be announced by the Commission. For the convenience of the 
user, the added text is set forth as follows:



Sec. 10.320  Provider alert gateway requirements.

                                * * * * *

    (g) Alert logging. The CMS provider gateway must perform the 
following functions:
    (1) Logging requirements. Log the CMAC attributes of all Alert 
Messages received at the CMS Provider Alert Gateway, including time 
stamps that verify when the message is received, and when it is 
retransmitted or rejected by the Participating CMS Provider Alert 
Gateway. If an Alert Message is rejected, a Participating CMS Provider 
is required to log the specific error code generated by the rejection.
    (2) Maintenance of logs. Participating CMS Providers are required to 
maintain a log of all active and cancelled Alert Messages for at least 
12 months after receipt of such alert or cancellation.
    (3) Availability of logs. Participating CMS Providers are required 
to make their alert logs available to the Commission and FEMA upon 
request. Participating CMS Providers are also required to make alert 
logs available to emergency management agencies that offer 
confidentiality protection at least equal to that provided by the 
federal Freedom of Information Act (FOIA) upon request, but only insofar 
as those logs pertain to Alert Messages initiated by that emergency 
management agency.

[[Page 796]]



Sec. 10.330  Provider infrastructure requirements.

    This section specifies the general functions that a Participating 
CMS Provider is required to perform within their infrastructure. 
Infrastructure functions are dependent upon the capabilities of the 
delivery technologies implemented by a Participating CMS Provider.
    (a) Distribution of Alert Messages to mobile devices.
    (b) Authentication of interactions with mobile devices.
    (c) Reference Points D & E. Reference Point D is the interface 
between a CMS Provider gateway and its infrastructure. Reference Point E 
is the interface between a provider's infrastructure and mobile devices 
including air interfaces. Reference Points D and E protocols are defined 
and controlled by each Participating CMS Provider.



Sec. 10.340  Digital television transmission towers retransmission
capability.

    Licensees and permittees of noncommercial educational broadcast 
television stations (NCE) or public broadcast television stations (to 
the extent such stations fall within the scope of those terms as defined 
in section 397(6) of the Communications Act of 1934 (47 U.S.C. 397(6))) 
are required to install on, or as part of, any broadcast television 
digital signal transmitter, equipment to enable the distribution of 
geographically targeted alerts by commercial mobile service providers 
that have elected to transmit WEA alerts. Such equipment and 
technologies must have the capability of allowing licensees and 
permittees of NCE and public broadcast television stations to receive 
WEA alerts from the Alert Gateway over an alternate, secure interface 
and then to transmit such WEA alerts to CMS Provider Gateways of 
participating CMS providers. This equipment must be installed no later 
than eighteen months from the date of receipt of funding permitted under 
section 606(b) of the WARN Act or 18 months from the effective date of 
these rules, whichever is later.

[78 FR 16808, Mar. 19, 2013]



Sec. 10.350  WEA testing and proficiency training requirements.

    This section specifies the testing that is required of Participating 
CMS Providers.
    (a) Required monthly tests. Testing of the WEA from the Federal 
Alert Gateway to each Participating CMS Provider's infrastructure shall 
be conducted monthly.
    (1) A Participating CMS Provider's Gateway shall support the ability 
to receive a required monthly test (RMT) message initiated by the 
Federal Alert Gateway Administrator.
    (2) Participating CMS Providers shall schedule the distribution of 
the RMT to their WEA coverage area over a 24 hour period commencing upon 
receipt of the RMT at the CMS Provider Gateway. Participating CMS 
Providers shall determine the method to distribute the RMTs, and may 
schedule over the 24 hour period the delivery of RMTs over geographic 
subsets of their coverage area to manage traffic loads and to 
accommodate maintenance windows.
    (3) A Participating CMS Provider may forego an RMT if the RMT is 
pre-empted by actual alert traffic or if an unforeseen condition in the 
CMS Provider infrastructure precludes distribution of the RMT. A 
Participating CMS Provider Gateway shall indicate such an unforeseen 
condition by a response code to the Federal Alert Gateway.
    (4) The RMT shall be initiated only by the Federal Alert Gateway 
Administrator using a defined test message. Real event codes or alert 
messages shall not be used for the WEA RMT message.
    (5) A Participating CMS Provider shall distribute an RMT within its 
WEA coverage area within 24 hours of receipt by the CMS Provider Gateway 
unless pre-empted by actual alert traffic or unable due to an unforeseen 
condition.
    (6) A Participating CMS Provider may provide mobile devices with the 
capability of receiving RMT messages.
    (7) A Participating CMS Provider must retain an automated log of RMT 
messages received by the CMS Provider Gateway from the Federal Alert 
Gateway.

[[Page 797]]

    (b) Periodic C interface testing. In addition to the required 
monthly tests, a Participating CMS Provider must participate in periodic 
testing of the interfaces between the Federal Alert Gateway and its CMS 
Provider Gateway, including the public television broadcast-based backup 
to the C-interface. This periodic interface testing is not intended to 
test the CMS Provider's infrastructure nor the mobile devices but rather 
is required to ensure the availability/viability of both gateway 
functions. Each CMS Provider Gateway shall send an acknowledgement to 
the Federal Alert Gateway upon receipt of such interface test messages. 
Real event codes or Alert Messages shall not be used for this periodic 
interface testing.

[73 FR 47558, Aug. 14, 2008, as amended at 78 FR 16808, Mar. 19, 2013; 
81 FR 75726, Nov. 1, 2016]

    Effective Date Note: At 81 FR 75726, Nov. 1, 2016, Sec. 10.350 was 
amended by adding paragraph (c), effective May 1, 2019. For the 
convenience of the user, the added text is set forth as follows:



Sec. 10.350  WEA testing and proficiency training requirements.

                                * * * * *

    (c) State/Local WEA Testing. A Participating CMS Provider must 
support State/Local WEA Tests in a manner that complies with the Alert 
Message Requirements specified in Subpart D.
    (1) A Participating CMS Provider's Gateway shall support the ability 
to receive a State/Local WEA Test message initiated by the Federal Alert 
Gateway Administrator.
    (2) A Participating CMS Provider shall immediately transmit a State/
Local WEA Test to the geographic area specified by the alert originator.
    (3) A Participating CMS Provider may forego a State/Local WEA Test 
if the State/Local WEA Test is pre-empted by actual alert traffic or if 
an unforeseen condition in the CMS Provider infrastructure precludes 
distribution of the State/Local WEA Test. If a Participating CMS 
Provider Gateway forgoes a State/Local WEA Test, it shall send a 
response code to the Federal Alert Gateway indicating the reason.
    (4) Participating CMS Providers shall provide their subscribers with 
the option to opt in to receive State/Local WEA Tests.



                  Subpart D_Alert Message Requirements



Sec. 10.400  Classification.

    A Participating CMS Provider is required to receive and transmit 
three classes of Alert Messages: Presidential Alert; Imminent Threat 
Alert; and Child Abduction Emergency/AMBER Alert.
    (a) Presidential Alert. A Presidential Alert is an alert issued by 
the President of the United States or the President's authorized 
designee.
    (b) Imminent Threat Alert. An Imminent Threat Alert is an alert that 
meets a minimum value for each of three CAP elements: Urgency, Severity, 
and Certainty.
    (1) Urgency. The CAP Urgency element must be either Immediate (i.e., 
responsive action should be taken immediately) or Expected (i.e., 
responsive action should be taken soon, within the next hour).
    (2) Severity. The CAP Severity element must be either Extreme (i.e., 
an extraordinary threat to life or property) or Severe (i.e., a 
significant threat to life or property).
    (3) Certainty. The CAP Certainty element must be either Observed 
(i.e., determined to have occurred or to be ongoing) or Likely (i.e., 
has a probability of greater than 50 percent).
    (c) Child Abduction Emergency/AMBER Alert. (1) An AMBER Alert is an 
alert initiated by a local government official based on the U.S. 
Department of Justice's five criteria that should be met before an alert 
is activated:
    (i) Law enforcement confirms a child has been abducted;
    (ii) The child is 17 years or younger;
    (iii) Law enforcement believes the child is in imminent danger of 
serious bodily harm or death;
    (iv) There is enough descriptive information about the victim and 
the abduction to believe an immediate broadcast alert will help; and
    (v) The child's name and other data have been entered into the 
National Crime Information Center.
    (2) There are four types of AMBER Alerts: Family Abduction; Non-
family Abduction; Lost, Injured or Otherwise Missing; and Endangered 
Runaway.

[[Page 798]]

    (i) Family Abduction. A Family Abduction (FA) alert involves an 
abductor who is a family member of the abducted child such as a parent, 
aunt, grandfather, or stepfather.
    (ii) Nonfamily Abduction. A Nonfamily Abduction (NFA) alert involves 
an abductor unrelated to the abducted child, either someone unknown to 
the child and/or the child's family or an acquaintance/friend of the 
child and/or the child's family.
    (iii) Lost, Injured, or Otherwise Missing. A Lost, Injured, or 
Otherwise Missing (LIM) alert involves a case where the circumstances of 
the child's disappearance are unknown.
    (iv) Endangered Runaway. An Endangered Runaway (ERU) alert involves 
a missing child who is believed to have run away and in imminent danger.

    Effective Date Note: At 81 FR 75726, Nov. 1, 2016, Sec. 10.400 was 
amended by revising the introductory text and adding paragraph (d), 
effective May 1, 2019. For the convenience of the user, the added and 
revised text is set forth as follows:



Sec. 10.400  Classification.

    A Participating CMS Provider is required to receive and transmit 
four classes of Alert Messages: Presidential Alert; Imminent Threat 
Alert; Child Abduction Emergency/AMBER Alert; and Public Safety Message.

                                * * * * *

    (d) Public Safety Message. A Public Safety Message is an essential 
public safety advisory that prescribes one or more actions likely to 
save lives and/or safeguard property during an emergency. A Public 
Safety Message may only be issued in connection with an Alert Message 
classified in paragraphs (a), (b) or (c) of this section.



Sec. 10.410  Prioritization.

    A Participating CMS Provider is required to transmit Presidential 
Alerts upon receipt. Presidential Alerts preempt all other Alert 
Messages. A Participating CMS Provider is required to transmit Imminent 
Threat Alerts and AMBER Alerts on a first in-first out (FIFO) basis.

    Effective Date Note: At 81 FR 75726, Nov. 1, 2016, Sec. 10.410 was 
revised, effective May 1, 2019. For the convenience of the user, the 
revised text is set forth as follows:



Sec. 10.410  Prioritization.

    A Participating CMS Provider is required to transmit Presidential 
Alerts upon receipt. Presidential Alerts preempt all other Alert 
Messages. A Participating CMS Provider is required to transmit Imminent 
Threat Alerts, AMBER Alerts and Public Safety Messages on a first in-
first out (FIFO) basis.



Sec. 10.420  Message elements.

    A WEA Alert Message processed by a Participating CMS Provider shall 
include five mandatory CAP elements--Event Type; Area Affected; 
Recommended Action; Expiration Time (with time zone); and Sending 
Agency. This requirement does not apply to Presidential Alerts.

[78 FR 16808, Mar. 19, 2013]



Sec. 10.430  Character limit.

    A WEA Alert Message processed by a Participating CMS Provider must 
not exceed 90 characters of alphanumeric text.

[78 FR 16808, Mar. 19, 2013]

    Effective Date Note: At 81 FR 75726, November 1, 2016, Sec. 10.430 
was revised, effective May 1, 2019. For the convenience of the user, the 
revised text is set forth as follows:



Sec. 10.430  Character limit.

    A Participating CMS Provider must support transmission of an Alert 
Message that contains a maximum of 360 characters of alphanumeric text. 
If, however, some or all of a Participating CMS Provider's network 
infrastructure is technically incapable of supporting the transmission 
of a 360-character maximum Alert Message, then that Participating CMS 
Provider must support transmission of an Alert Message that contains a 
maximum of 90 characters of alphanumeric text on and only on those 
elements of its network incapable of supporting a 360 character Alert 
Message.



Sec. 10.441  Embedded references.

    Participating CMS Providers are required to support Alert Messages 
that include an embedded Uniform Resource Locator (URL), which is a 
reference (an address) to a resource on the Internet, or an embedded 
telephone number.

[81 FR 75726, Nov. 1, 2016]

    Effective Date Note: At 81 FR 75726, Nov. 1, 2016, Sec. 10.441 was 
added, effective Nov. 1, 2017.

[[Page 799]]



Sec. 10.450  Geographic targeting.

    This section establishes minimum requirements for the geographic 
targeting of Alert Messages.
    (a) A Participating CMS Provider will determine which of its network 
facilities, elements, and locations will be used to geographically 
target Alert Messages. A Participating CMS Provider must transmit any 
Alert Message that is specified by a geocode, circle, or polygon to an 
area that best approximates the specified geocode, circle, or polygon. 
If, however, the Participating CMS Provider cannot broadcast the Alert 
Message to an area that best approximates the specified geocode, circle, 
or polygon, a Participating CMS Provider may transmit an Alert Message 
to an area not larger than the propagation area of a single transmission 
site.
    (b) Upon request from an emergency management agency, a 
Participating CMS Provider will disclose information regarding their 
capabilities for geo-targeting Alert Messages. A Participating CMS 
Provider is only required to disclose this information to an emergency 
management agency insofar as it would pertain to Alert Messages 
initiated by that emergency management agency, and only so long as the 
emergency management agency offers confidentiality protection at least 
equal to that provided by the federal FOIA.

[81 FR 75726, Nov. 1, 2016]



Sec. 10.460  Retransmission frequency. [Reserved]



Sec. 10.470  Roaming.

    When, pursuant to a roaming agreement (see Sec. 20.12 of this 
chapter), a subscriber receives services from a roamed-upon network of a 
Participating CMS Provider, the Participating CMS Provider must support 
WEA alerts to the roaming subscriber to the extent the subscriber's 
mobile device is configured for and technically capable of receiving WEA 
alerts.

[78 FR 16808, Mar. 19, 2013]



Sec. 10.480  Language support.

    Participating CMS Providers are required to transmit WEA Alert 
Messages that are issued in the Spanish language or that contain 
Spanish-language characters.

[81 FR 75726, Nov. 1, 2016]

    Effective Date Note: At 81 FR 75726, Nov. 1, 2016, Sec. 10.480 was 
added, effective Nov. 1, 2018.



                    Subpart E_Equipment Requirements



Sec. 10.500  General requirements.

    WEA mobile device functionality is dependent on the capabilities of 
a Participating CMS Provider's delivery technologies. Mobile devices are 
required to perform the following functions:
    (a) Authentication of interactions with CMS Provider infrastructure.
    (b) Monitoring for Alert Messages.
    (c) Maintaining subscriber alert opt-out selections, if any.
    (d) Maintaining subscriber alert language preferences, if any.
    (e) Extraction of alert content in English or the subscriber's 
preferred language, if applicable.
    (f) Presentation of alert content to the device, consistent with 
subscriber opt-out selections. Presidential Alerts must always be 
presented.
    (g) Detection and suppression of presentation of duplicate alerts.

[73 FR 43117, July 24, 2008, as amended at 78 FR 16808, Mar. 19, 2013



Sec. 10.510  Call preemption prohibition.

    Devices marketed for public use under part 10 must not enable an 
Alert Message to preempt an active voice or data session.

[73 FR 43117, July 24, 2008]

    Effective Date Note: At 81 FR 75726, Nov. 1, 2016, Sec. 10.510 was 
revised, effective May 1, 2019. For the convenience of the user, the 
revised text is set forth as follows:



Sec. 10.510  Call preemption prohibition.

    Devices marketed for public use under part 10 must present an Alert 
Message as soon as they receive it, but may not enable an Alert Message 
to preempt an active voice or data session. If a mobile device receives 
a WEA Alert Message during an active voice or data session, the user may 
be given the option to control how the Alert Message is presented on the 
mobile device with respect to the use of the common vibration cadence 
and audio attention signal.

[[Page 800]]



Sec. 10.520  Common audio attention signal.

    A Participating CMS Provider and equipment manufacturers may only 
market devices for public use under part 10 that include an audio 
attention signal that meets the requirements of this section.
    (a) The audio attention signal must have a temporal pattern of one 
long tone of two (2) seconds, followed by two short tones of one (1) 
second each, with a half (0.5) second interval between each tone. The 
entire sequence must be repeated twice with a half (0.5) second interval 
between each repetition.
    (b) For devices that have polyphonic capabilities, the audio 
attention signal must consist of the fundamental frequencies of 853 Hz 
and 960 Hz transmitted simultaneously.
    (c) For devices with only a monophonic capability, the audio 
attention signal must be 960 Hz.
    (d) No person may transmit or cause to transmit the WEA common audio 
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, except as designed and used for Public 
Service Announcements (PSAs) by federal, state, local, tribal and 
territorial entities, and non-governmental organizations in coordination 
with those entities, to raise public awareness about emergency alerting, 
provided that the entity presents the PSA in a non-misleading manner, 
including by explicitly stating that the emergency alerting attention 
signal is being used in the context of a PSA for the purpose of 
educating the viewing or listening public about emergency alerting.
    (e) A device may include the capability to mute the audio attention 
signal.

[73 FR 43117, July 24, 2008, as amended at 81 FR 75727, Nov. 1, 2016]



Sec. 10.530  Common vibration cadence.

    A Participating CMS Provider and equipment manufacturers may only 
market devices for public use under part 10 that include a vibration 
cadence capability that meets the requirements of this section.
    (a) The vibration cadence must have a temporal pattern of one long 
vibration of two (2) seconds, followed by two short vibrations of one 
(1) second each, with a half (0.5) second interval between each 
vibration. The entire sequence must be repeated twice with a half (0.5) 
second interval between each repetition.
    (b) The vibration cadence must be restricted to use for Alert 
Messages under part 10.
    (c) A device may include the capability to mute the vibration 
cadence.



Sec. 10.540  Attestation requirement. [Reserved]



PART 11_EMERGENCY ALERT SYSTEM (EAS)--Table of Contents



                            Subpart A_General

Sec.
11.1 Purpose.
11.2 Definitions.
11.11 The Emergency Alert System (EAS).
11.12-11.14 [Reserved]
11.15 EAS Operating Handbook.
11.16 National Control Point Procedures.
11.18 EAS Designations.
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 [Reserved]
11.43 National level participation.
11.44 [Reserved]
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 [Reserved]
11.54 EAS operation during a National Level emergency.

[[Page 801]]

11.55 EAS operation during a State or Local Area emergency.
11.56 Obligation to process CAP-formatted EAS messages.

                             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 analog AM, 
FM, and TV broadcast stations, digital broadcast stations, analog cable 
systems, digital cable systems, wireline video systems, wireless cable 
systems, Direct Broadcast Satellite (DBS) services, Satellite Digital 
Audio Radio Service (SDARS), and other participating entities. The EAS 
may be used to provide the heads of State and local government, or their 
designated representatives, with a means of emergency communication with 
the public in their State or Local Area.

[72 FR 62132, Nov. 2, 2007]



Sec. 11.2  Definitions.

    The definitions of terms used in part 11 are:
    (a) Emergency Action Notification (EAN). The Emergency Action 
Notification is the notice to all EAS Participants and to the general 
public that the EAS has been activated for a national emergency. EAN 
messages that are formatted in the EAS Protocol (specified in Sec. 
11.31) are sent from a government origination point to broadcast 
stations and other entities participating in the PEP system, and are 
subsequently disseminated via EAS Participants. Dissemination 
arrangements for EAN messages that are formatted in the EAS Protocol 
(specified in Sec. 11.31) at the State and local levels are specified 
in the State and Local Area plans (defined at Sec. 11.21). 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) 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 EAS messages that 
are formatted in the EAS Protocol (specified in Sec. 11.31), including 
the EAN and EAS national test messages. FEMA has designated some of the 
nation's largest radio broadcast stations as PEPs. The PEPs are 
designated to receive the Presidential alert from FEMA and distribute it 
to local stations.
    (c) Local Primary One (LP-1). The LP-1 is a radio or TV station that 
acts as a key EAS monitoring source. Each LP-1 station must monitor its 
regional PEP station and a back-up source for Presidential messages.
    (d) EAS Participants. Entities required under the Commission's rules 
to comply with EAS rules, e.g., analog radio and television stations, 
and wired and wireless cable television systems, DBS, DTV, SDARS, 
digital cable and DAB, and wireline video systems.
    (e) Wireline Video System. The system of a wireline common carrier 
used to provide video programming service.
    (f) Participating National (PN). PN stations are broadcast stations 
that transmit EAS National, state, or local EAS messages to the public.
    (g) National Primary (NP). Stations that are the primary entry point 
for Presidential messages delivered by FEMA. These stations are 
responsible for broadcasting a Presidential alert to the public and to 
State Primary stations within their broadcast range.
    (h) State Primary (SP). Stations that are the entry point for State 
messages, which can originate from the Governor or a designated 
representative.
    (i) Intermediary Device. An intermediary device is a stand-alone 
device that carries out the functions of monitoring for, receiving and/
or acquiring,

[[Page 802]]

and decoding EAS messages formatted in the Common Alerting Protocol 
(CAP) in accordance with Sec. 11.56, and converting such messages into 
a format that can be inputted into a separate EAS decoder, EAS encoder, 
or unit combining such decoder and encoder functions, so that the EAS 
message outputted by such separate EAS decoder, EAS encoder, or unit 
combining such decoder and encoder functions, and all other functions 
attendant to processing such EAS message, comply with the requirements 
in this part.

[77 FR 16698, Mar. 22, 2012]



Sec. 11.11  The Emergency Alert System (EAS).

    (a) The EAS is composed of analog radio broadcast stations including 
AM, FM, and Low-power FM (LPFM) stations; digital audio broadcasting 
(DAB) stations, including digital AM, FM, and Low-power FM stations; 
Class A television (CA) and Low-power TV (LPTV) stations; digital 
television (DTV) broadcast stations, including digital CA and digital 
LPTV stations; analog cable systems; digital cable systems which are 
defined for purposes of this part only as the portion of a cable system 
that delivers channels in digital format to subscribers at the input of 
a Unidirectional Digital Cable Product or other navigation device; 
wireline video systems; wireless cable systems which may consist of 
Broadband Radio Service (BRS), or Educational Broadband Service (EBS) 
stations; DBS services, as defined in Sec. 25.701(a) of this chapter 
(including certain Ku-band Fixed-Satellite Service Direct to Home 
providers); and SDARS, as defined in Sec. 25.201 of this chapter. These 
entities are referred to collectively as EAS Participants in this part, 
and are subject to this part, except as otherwise provided herein. At a 
minimum EAS Participants must use a common EAS protocol, as defined in 
Sec. 11.31, to send and receive emergency alerts, and comply with the 
requirements set forth in Sec. 11.56, in accordance with the following 
tables:

                                     Table 1--Analog and Digital Broadcast Station Equipment Deployment Requirements
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                                      Analog &                                  Analog &
               EAS equipment requirement                   AM & FM    Digital AM &   digital FM     Analog &         DTV         digital      Analog &
                                                                           FM          class D    digital LPFM                 class A TV   digital LPTV
--------------------------------------------------------------------------------------------------------------------------------------------------------
EAS decoder \1\.......................................            Y             Y             Y             Y             Y             Y             Y
EAS encoder...........................................            Y             Y             N             N             Y             Y             N
Audio message.........................................            Y             Y             Y             Y             Y             Y             Y
Video message.........................................          N/A           N/A           N/A           N/A             Y             Y             Y
--------------------------------------------------------------------------------------------------------------------------------------------------------
\1\ EAS Participants may comply with the obligations set forth in Sec. 11.56 to decode and convert CAP-formatted messages into EAS Protocol-compliant
  messages by deploying an Intermediary Device, as specified in Sec. 11.56(b).

                          Analog Cable Systems

    Analog cable systems are subject to the requirements in Table 2 
below. Analog cable systems serving fewer than 5,000 subscribers from a 
headend may either provide the National level EAS message on all 
programmed channels including the required testing, or comply with the 
requirements in Table 2.

     Table 2--Analog Cable System Equipment Deployment Requirements
------------------------------------------------------------------------
                                   =5,000
    EAS equipment requirement         subscribers     <5,000 subscribers
------------------------------------------------------------------------
EAS decoder \1\.................                  Y                   Y
EAS encoder.....................                  Y               Y \2\
Audio and Video EAS Message on                    Y                   N
 all channels...................
Video interrupt and audio alert                   N                   Y
 message on all channels;\3\
 Audio and Video EAS message on
 at least one channel...........
------------------------------------------------------------------------
\1\ EAS Participants may comply with the obligations set forth in Sec.
  11.56 to decode and convert CAP-formatted messages into EAS Protocol-
  compliant messages by deploying an Intermediary Device, as specified
  in Sec. 11.56(b).
\2\ Analog cable systems serving <5,000 subscribers are permitted to
  operate without an EAS encoder if they install an FCC-certified
  decoder.

[[Page 803]]

 
\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 (BRS/EBS Stations)

    Wireless cable systems are subject to the requirements in Table 3 
below. 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, or 
comply with the requirements in Table 3.

    Table 3--Wireless Cable System Equipment Deployment Requirements
------------------------------------------------------------------------
                                   =5,000
    EAS equipment requirement         subscribers     <5,000 subscribers
------------------------------------------------------------------------
EAS decoder \1\.................                  Y                   Y
EAS encoder.....................                  Y               Y \2\
Audio and Video EAS Message on                    Y                   N
 all channels \3\...............
Video interrupt and audio alert                   N                   Y
 message on all channels; \4\
 Audio and Video EAS message on
 at least one channel...........
------------------------------------------------------------------------
\1\ EAS Participants may comply with the obligations set forth in Sec.
  11.56 to decode and convert CAP-formatted messages into EAS Protocol-
  compliant messages by deploying an Intermediary Device, as specified
  in Sec. 11.56(b).
\2\ Wireless cable systems serving <5,000 subscribers are permitted to
  operate without an EAS encoder if they install an FCC-certified
  decoder.
\3\ All wireless cable systems may comply with this requirement by
  providing a means to switch all programmed channels to a predesignated
  channel that carries the required audio and video EAS messages.
\4\ The Video interrupt must cause all channels that carry programming
  to flash for the duration of the EAS emergency 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.]

            Digital Cable Systems and Wireline Video Systems

    Digital cable systems and Wireline Video Systems must comply with 
the requirements in Table 4 below. Digital cable systems and Wireline 
Video Systems serving fewer than 5,000 subscribers from a headend must 
either provide the National level EAS message on all programmed channels 
including the required testing, or comply with the requirements in Table 
4.

    Table 4--Digital Cable System and Wireline Video System Equipment
                         Deployment Requirements
------------------------------------------------------------------------
                                   =5,000
    EAS equipment requirement         subscribers     <5,000 subscribers
------------------------------------------------------------------------
EAS decoder \1\.................                  Y                   Y
EAS encoder.....................                  Y               Y \2\
Audio and Video EAS Message on                    Y                   N
 all channels \3\...............
Video interrupt and audio alert                   N                   Y
 message on all channels; \4\
 Audio and Video EAS message on
 at least one channel...........
------------------------------------------------------------------------
\1\ EAS Participants may comply with the obligations set forth in Sec.
  11.56 to decode and convert CAP-formatted messages into EAS Protocol-
  compliant messages by deploying an Intermediary Device, as specified
  in Sec. 11.56(b).
\2\ Digital cable systems and wireline video systems serving <5,000
  subscribers are permitted to operate without an EAS encoder if they
  install an FCC-certified decoder.
\3\ All digital cable systems and wireline video systems may comply with
  this requirement by providing a means to switch all programmed
  channels to a predesignated channel that carries the required audio
  and video EAS messages.
\4\ 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 access.]


                              SDARS and DBS
------------------------------------------------------------------------
    EAS equipment requirement            SDARS                DBS
------------------------------------------------------------------------
EAS decoder \1\.................                  Y                   Y
EAS encoder.....................                  Y                   Y
Audio message on all channels                     Y                   Y
 \2\............................
Video message on all channels                   N/A                   Y
 \2\............................
------------------------------------------------------------------------
\1\ EAS Participants may comply with the obligations set forth in Sec.
  11.56 to decode and convert CAP-formatted messages into EAS Protocol-
  compliant messages by deploying an Intermediary Device, as specified
  in Sec. 11.56(b).

[[Page 804]]

 
\2\ All SDARS and DBS providers may comply with this requirement by
  providing a means to switch all programmed channels to a predesignated
  channel that carries the required audio and video EAS messages or by
  any other method that ensures that viewers of all channels receive the
  EAS message.

    (b) Analog class D non-commercial educational FM stations as defined 
in Sec. 73.506 of this chapter, digital class D non-commercial 
educational FM stations, analog LPFM stations as defined in Sec. Sec. 
73.811 and 73.853 of this chapter, digital LPFM stations, analog LPTV 
stations as defined in Sec. 74.701(f), and digital LPTV stations as 
defined in Sec. 74.701(k) of this chapter are not required to comply 
with Sec. 11.32. Analog and digital 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. Analog and digital broadcast stations that 
operate as satellites or repeaters of a hub station (or common studio or 
control point if there is no hub station) and rebroadcast 100 percent of 
the 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, Broadband Radio Service (BRS) and 
Educational Broadband Service (EBS) stations operated as part of 
wireless cable systems in accordance with subpart M of part 27 of this 
chapter are defined as follows:
    (1) A ``wireless cable system'' is a collection of channels in the 
BRS or EBS used to provide video programming services to subscribers. 
The channels may be licensed to or leased by the wireless cable system 
operator.
    (2) A ``wireless cable operator'' is the entity that has acquired 
the right to use the channels of a wireless cable system for 
transmission of programming to subscribers.
    (d) Local franchise authorities may use any EAS codes authorized by 
the FCC in any agreements.
    (e) Other technologies and public service providers, such as low 
earth orbiting satellites, that wish to participate in the EAS may 
contact the FCC's Public Safety and Homeland Security Bureau or their 
State Emergency Communications Committee for information and guidance.

[63 FR 29662, June 1, 1998, as amended at 65 FR 7639, Feb. 15, 2000; 65 
FR 21657, Apr. 24, 2000; 65 FR 30001, May 10, 2000; 65 FR 34406, May 30, 
2000; 67 FR 18506, Apr. 16, 2002; 69 FR 72031, Dec. 10, 2004; 70 FR 
19315, Apr. 13, 2005; 70 FR 71031, Nov. 25, 2005; 71 FR 76220, Dec. 20, 
2006; 72 FR 62132, Nov. 2, 2007; 77 FR 16699, Mar. 22, 2012]



Sec. Sec. 11.12-11.14  [Reserved]



Sec. 11.15  EAS Operating Handbook.

    The EAS Operating Handbook states in summary form the actions to be 
taken by personnel at EAS Participant facilities upon receipt of an EAN, 
an EAT, tests, or State and Local Area alerts. It is issued by the FCC 
and 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.

[70 FR 71033, Nov. 25, 2005]



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.

[[Page 805]]

    (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.

[59 FR 67092, Dec. 28, 1994, as amended at 77 FR 16700, Mar. 22, 2012]



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 EAS 
Participants' 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 the Radio Broadcast Data System 
(RBDS). The plans also include information on actions taken by EAS 
Participants, in coordination with state and local governments, to 
ensure timely access to EAS alert content by non-English speaking 
populations. The plans must be reviewed and approved by the Chief, 
Public Safety and Homeland Security Bureau, prior to implementation to 
ensure that they are consistent with national plans, FCC regulations, 
and EAS operation.
    (a) The State EAS Plan contains procedures for State emergency 
management and other State officials, the NWS, and EAS Participants' 
personnel to transmit emergency information to the public during a State 
emergency using the EAS. EAS State Plans should include a data table, in 
computer readable form, clearly showing monitoring assignments and the 
specific primary and backup path for emergency action notification 
(``EAN'') messages that are formatted in the EAS Protocol (specified in 
Sec. 11.31), from the PEP to each station in the plan. If a state's 
emergency alert system is capable of initiating EAS messages formatted 
in the Common Alerting Protocol (CAP), its EAS State Plan must include 
specific and detailed information describing how such messages will be 
aggregated and distributed to EAS Participants within the state, 
including the monitoring requirements associated with distributing such 
messages. Consistent with the requirements of Sec. 11.61(a)(3)(iv), EAS 
Participants shall

[[Page 806]]

provide the identifying information required by the EAS Test Reporting 
System (ETRS) no later than sixty days after the publication in the 
Federal Register of a notice announcing the approval by the Office of 
Management and Budget of the modified information collection 
requirements under the Paperwork Reduction Act of 1995 and an effective 
date of the rule amendment, or within sixty days of the launch of the 
ETRS, whichever is later, and shall renew this identifying information 
on a yearly basis or as required by any revision of the EAS 
Participant's State EAS Plan filed pursuant to this section.
    (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 consolidation of the data table 
required in each State EAS plan with the identifying data contained in 
the ETRS. The Mapbook organizes all EAS Participants according to their 
State, EAS Local Area, and EAS designation.
    (d) EAS Participants are required to provide the following 
information to their respective State Emergency Communications 
Committees (SECC) within one year from the publication in the Federal 
Register of a notice announcing the approval by the Office of Management 
and Budget of the modified information collection requirements under the 
Paperwork Reduction Act of 1995 and an effective date of the rule 
amendment:
    (1) A description of any actions taken by the EAS Participant 
(acting individually, in conjunction with other EAS Participants in the 
geographic area, and/or in consultation with state and local emergency 
authorities), to make EAS alert content available in languages other 
than English to its non-English speaking audience(s),
    (2) A description of any future actions planned by the EAS 
Participant, in consultation with state and local emergency authorities, 
to provide EAS alert content available in languages other than English 
to its non-English speaking audience(s), along with an explanation for 
the Participant's decision to plan or not plan such actions, and
    (3) Any other relevant information that the EAS Participant may wish 
to provide, including state-specific demographics on languages other 
than English spoken within the state, and identification of resources 
used or necessary to originate current or proposed multilingual EAS 
alert content.
    (e) Within six months of the expiration of the one-year period 
referred to in subsection (d) of this section, SECCs shall, as 
determined by the Commission's Public Safety and Homeland Security 
Bureau, provide a summary of such information as an amendment to or as 
otherwise included as part of the State EAS Plan filed by the SECC 
pursuant to this section 11.21.
    (f) EAS Participants shall, within 60 days of any material change to 
the information they have reported pursuant to paragraphs (d)(1) and (2) 
of this section, submit letters describing such change to both their 
respective SECCs and the Chief, Public Safety and Homeland Security 
Bureau. SECCs shall incorporate the information in such letters as 
amendments to the State EAS Plans on file with the Bureau under this 
section 11.21.

[72 FR 62134, Nov. 2, 2007, as amended at 77 FR 16700, Mar. 22, 2012; 80 
FR 37174, June 30, 2015; 81 FR 27351, May 6, 2016]



                    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.

[[Page 807]]

    (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. Unused characters must be ASCII space characters. 
FM or TV call signs must use a slash ASCII character number 47 (/) in 
lieu of a dash.
    (c) The EAS protocol, including any codes, must not be amended, 
extended or abridged without FCC authorization. The EAS protocol and 
message format are specified in the following representation.
    Examples are provided in FCC Public Notices.

[PREAMBLE]ZCZC-ORG-EEE-PSSCCC + TTTT-JJJHHMM-LLLLLLLL-(one second pause)
[PREAMBLE]ZCZC-ORG-EEE-PSSCCC + TTTTpJJJHHMM-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 is 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 codes described in the American 
    National Standards Institute (ANSI) standard, ANSI INCITS 31-2009 
    (``Information technology--Codes for the Identification of Counties 
    and Equivalent Areas of the United States, Puerto Rico, and the 
    Insular Areas''). 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 EAS Participant, NWS office, 
    etc., transmitting or retransmitting the message. These codes will 
    be automatically affixed to all outgoing messages by the EAS 
    encoder.

[[Page 808]]

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
------------------------------------------------------------------------
EAS Participant............................  EAS
Civil authorities..........................  CIV
National Weather Service...................  WXR
Primary Entry Point System.................  PEP
------------------------------------------------------------------------

    (e) The following Event (EEE) codes are presently authorized:

------------------------------------------------------------------------
            Nature of activation                     Event codes
------------------------------------------------------------------------
National Codes (Required):
Emergency Action Notification (National      EAN.
 only).
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.
Avalanche Watch............................  AVA.
Blizzard Warning...........................  BZW.
Child Abduction Emergency..................  CAE.
Civil Danger Warning.......................  CDW.
Civil Emergency Message....................  CEM.
Coastal Flood Warning......................  CFW.
Coastal Flood Watch........................  CFA.
Dust Storm Warning.........................  DSW.
Earthquake Warning.........................  EQW.
Evacuation Immediate.......................  EVI.
Extreme Wind Warning.......................  EWW.
Fire Warning...............................  FRW.
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.
High Wind Warning..........................  HWW.
High Wind Watch............................  HWA.
Hurricane Warning..........................  HUW.
Hurricane Watch............................  HUA.
Hurricane Statement........................  HLS.
Law Enforcement Warning....................  LEW.
Local Area Emergency.......................  LAE.
Network Message Notification...............  NMN.
911 Telephone Outage Emergency.............  TOE.
Nuclear Power Plant Warning................  NUW.
Practice/Demo Warning......................  DMO.
Radiological Hazard Warning................  RHW.
Severe Thunderstorm Warning................  SVR.
Severe Thunderstorm Watch..................  SVA.
Severe Weather Statement...................  SVS.
Shelter in Place Warning...................  SPW
Special Marine Warning.....................  SMW.
Special Weather Statement..................  SPS.
Storm Surge Watch..........................  SSA.
Storm Surge Warning........................  SSW.
Tornado Warning............................  TOR.
Tornado Watch..............................  TOA.
Tropical Storm Warning.....................  TRW.
Tropical Storm Watch.......................  TRA.
Tsunami Warning............................  TSW.
Tsunami Watch..............................  TSA.
Volcano Warning............................  VOW.
Winter Storm Warning.......................  WSW.
Winter Storm Watch.........................  WSA.
------------------------------------------------------------------------

    (f) The All U.S. State, Territory and Offshore (Marine Area) ANSI 
number codes (SS) are as follows. County ANSI

[[Page 809]]

numbers (CCC) are contained in the State EAS Mapbook.
    (f) The All U.S., State, Territory and Offshore (Marine Area) ANSI 
number codes (SS) are as follows. County ANSI numbers (CCC) are 
contained in the State EAS Mapbook.

------------------------------------------------------------------------
                                                               ANSI No.
------------------------------------------------------------------------
All U.S....................................................           00
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
    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................................................

[[Page 810]]

 
    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, NC, following
     the coastline to Ocean Reef, FL, including the
     Caribbean.............................................
    Gulf of Mexico, and along the U.S. Gulf Coast from the            77
     Mexican border to Ocean Reef, 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\ The numbers assigned to the offshore marine areas listed in this
  table are not described under the ANSI standard, but rather are
  numeric codes that were assigned by the National Weather Service.


[59 FR 67092, Dec. 28, 1994, as amended at 60 FR 55999, Nov. 6, 1995; 61 
FR 54952, Oct. 23, 1996; 63 FR 29663, June 1, 1998; 67 FR 18508, Apr. 
16, 2002; 67 FR 77174, Dec. 17, 2002; 69 FR 72031, Dec. 10, 2004; 70 FR 
71033, Nov. 25, 2005; 77 FR 16701, Mar. 22, 2012; 80 FR 37174, June 30, 
2015; 81 FR 53043, Aug. 11, 2016]



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 at least one input port used for 
audio messages and at least one input port used for data messages.
    (3) Outputs. The encoder shall have at least one audio output port 
and at least one data output port.
    (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 8 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

[[Page 811]]

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.

[59 FR 67092, Dec. 28, 1994, as amended at 77 FR 16703, Mar. 22, 2012]



Sec. 11.33  EAS Decoder.

    (a) An EAS Decoder must at a minimum be capable of providing the EAS 
monitoring functions described in Sec. 11.52, decoding EAS messages 
formatted in accordance with the EAS Protocol described in Sec. 11.31, 
and converting Common Alerting Protocol (CAP)-formatted EAS messages 
into EAS alert messages that comply with the EAS Protocol, in accordance 
with Sec. 11.56(a)(2), with the exception that the CAP-related 
monitoring and conversion requirements set forth in Sec. Sec. 
11.52(d)(2) and 11.56(a)(2) can be satisfied via an Intermediary Device, 
as specified in Sec. 11.56(b), provided that all other requirements set 
forth in this part are met. An EAS Decoder also must be capable of the 
following minimum specifications:
    (1) Inputs. Decoders must have the capability to receive at least 
two audio inputs from EAS monitoring assignments, and at least one data 
input. The data input(s) may be used to monitor other communications 
modes such as Radio Broadcast Data System (RBDS), NWR, satellite, public 
switched telephone network, or any other source that uses the EAS 
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. For received alert messages formatted in 
both the EAS Protocol and Common Alerting Protocol, 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 
at a minimum 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 EAS Participant and 
be fully displayed on the decoder and readable in normal light and 
darkness. The visual message developed from received alert messages 
formatted in the Common Alerting Protocol must conform to the 
requirements in Sec. Sec. 11.51(d), (g)(3), (h)(3), and (j)(2) of this 
part. 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, analog radio and television broadcast 
stations, analog 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

[[Page 812]]

events. EAS Participants that install or 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 at least one data port where 
received valid EAS header codes and received preselected header codes 
are available, at least 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.
    (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 or data inputs must 
override all other messages.
    (b) 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; 70 FR 71033, Nov. 25, 2005; 77 FR 16703, Mar. 
22, 2012]



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 ANSI numbers with each unit sold 
or marketed in the U.S.
    (e) Waiver requests of the Certification requirements for EAS 
Encoders

[[Page 813]]

or EAS Decoders which are constructed for use by an EAS Participant, but 
are not offered for sale will be considered on an individual basis in 
accordance with part 1, subpart G, of this chapter.
    (f) Modifications to existing 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 to be certified under 
part 2, subpart J of this chapter.

[59 FR 67092, Dec. 28, 1994, as amended at 60 FR 56000, Nov. 6, 1995; 67 
FR 18510, Apr. 16, 2002; 70 FR 71034, Nov. 25, 2005; 77 FR 16703, Mar. 
22, 2012]



Sec. 11.35  Equipment operational readiness.

    (a) EAS Participants are responsible for ensuring that EAS Encoders, 
EAS Decoders, Attention Signal generating and receiving equipment, and 
Intermediate Devices used as part of the EAS to decode and/or encode 
messages formatted in the EAS Protocol and/or the Common Alerting 
Protocol are installed so that the monitoring and transmitting functions 
are available during the times the stations and systems are in 
operation. Additionally, EAS Participants must determine the cause of 
any failure to receive the required tests or activations specified in 
Sec. 11.61(a)(1) and (2). Appropriate entries indicating reasons why 
any tests were not received must be made in the broadcast station log as 
specified in Sec. Sec. 73.1820 and 73.1840 of this chapter for all 
broadcast streams and cable system records as specified in Sec. Sec. 
76.1700, 76.1708, and 76.1711 of this chapter. All other EAS 
Participants must also keep records indicating reasons why any tests 
were not received and these records must be retained for two years, 
maintained at the EAS Participant's headquarters, and made available for 
public inspection upon reasonable request.
    (b) If an EAS Encoder, EAS Decoder or Intermediary Device used as 
part of the EAS to decode and/or encode messages formatted in the EAS 
Protocol and/or the Common Alerting Protocol becomes defective, the EAS 
Participant 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 records, and 
records of other EAS Participants, as specified in paragraph (a) of this 
section, 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 Regional 
Director of the FCC field office serving the area in which the EAS 
Participant is located, or in the case of DBS and SDARS providers to the 
Regional Director of the FCC field office serving the area where their 
headquarters 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.

[70 FR 71034, Nov. 25, 2005, as amended at 77 FR 16704, Mar. 22, 2012; 
80 FR 53750, Sept. 8, 2015]



                         Subpart C_Organization



Sec. 11.41  Participation in EAS.

    All EAS Participants specified in Sec. 11.11 are categorized as 
Participating National (PN) sources, and must have

[[Page 814]]

immediate access to an EAS Operating Handbook.

[77 FR 16704, Mar. 22, 2012]



Sec. 11.42  [Reserved]



Sec. 11.43  National level participation.

    Entities that wish to voluntarily participate in the national level 
EAS may submit a written request to the Chief, Public Safety and 
Homeland Security Bureau.

[71 FR 69038, Nov. 29, 2006]



Sec. 11.44  [Reserved]



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, or as specified in Sec. 
10.520(d) of this chapter.

[81 FR 75727, Nov. 1, 2016]



Sec. 11.46  EAS public service announcements.

    EAS Participants 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, and may not simulate or attempt to 
copy alert tones or codes.

[70 FR 71034, Nov. 25, 2005]



Sec. 11.47  Optional use of other communications methods and systems.

    (a) Analog and digital broadcast stations may additionally transmit 
EAS messages through other communications means. 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 low 
earth orbiting satellites, that wish to participate in the EAS may 
contact the FCC's Public Safety and Homeland Security Bureau or their 
State Emergency Communications Committee for information and guidance.

[70 FR 71034, Nov. 25, 2005, as amended at 71 FR 76220, Dec. 20, 2006; 
72 FR 62135, Nov. 2, 2007]



                     Subpart D_Emergency Operations



Sec. 11.51  EAS code and Attention Signal Transmission requirements.

    (a) Analog and digital 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) codes using the EAS Protocol. The 
Attention Signal must precede any emergency audio message.
    (b) When relaying EAS messages, EAS Participants may transmit only 
the EAS header codes and the EOM code without the Attention Signal and 
emergency message for State and local emergencies. Pauses in video 
programming before EAS message transmission should 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) All analog and digital radio and television stations shall 
transmit EAS messages in the main audio channel. All DAB stations shall 
also transmit EAS messages on all audio streams. All DTV broadcast 
stations shall also transmit EAS messages on all program streams.
    (d) Analog and digital television broadcast stations shall transmit 
a visual message containing the Originator, Event, Location and the 
valid time period of an EAS message. Effective June 30, 2012, visual 
messages derived from CAP-formatted EAS messages shall contain the 
Originator, Event, Location and the valid time period of the message and 
shall be constructed in accordance with Sec. 3.6 of the ``ECIG 
Recommendations for a CAP EAS Implementation Guide, Version 1.0'' (May 
17,

[[Page 815]]

2010), except that if the EAS Participant has deployed an Intermediary 
Device to meet its CAP-related obligations, this requirement shall be 
effective June 30, 2015, and until such date shall be subject to the 
general requirement to transmit a visual message containing the 
Originator, Event, Location and the valid time period of the EAS 
message.
    (1) The visual message portion of an EAS alert, whether video crawl 
or block text, must be displayed:
    (i) At the top of the television screen or where it will not 
interfere with other visual messages
    (ii) In a manner (i.e., font size, color, contrast, location, and 
speed) that is readily readable and understandable,
    (iii) That does not contain overlapping lines of EAS text or extend 
beyond the viewable display (except for video crawls that intentionally 
scroll on and off of the screen), and
    (iv) In full at least once during any EAS message.
    (2) The audio portion of an EAS message must play in full at least 
once during any EAS message.
    (e) Analog class D non-commercial educational FM stations as defined 
in Sec. 73.506 of this chapter, digital class D non-commercial 
educational FM stations, analog Low Power FM (LPFM) stations as defined 
in Sec. Sec. 73.811 and 73.853 of this chapter, digital LPFM stations, 
analog low power TV (LPTV) stations as defined in Sec. 74.701(f) of 
this chapter, and digital LPTV stations as defined in Sec. 74.701(k) of 
this chapter are not required to have equipment capable of generating 
the EAS codes and Attention Signal specified in Sec. 11.31.
    (f) Analog and digital broadcast station equipment generating the 
EAS codes and the Attention Signal shall modulate a broadcast station 
transmitter so that the signal broadcast to other EAS Participants 
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) Analog cable systems and digital cable systems with fewer than 
5,000 subscribers per headend and wireline video systems and wireless 
cable 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, these analog cable systems, digital cable 
systems, and wireless cable systems:
    (1) Must install, operate, and maintain equipment capable of 
generating the EAS codes. The modulation levels for the EAS codes and 
Attention Signal for analog cable systems shall comply with the aural 
signal requirements in Sec. 76.605 of this chapter,
    (2) Must 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) Shall transmit a visual EAS message on at least one channel. The 
visual message shall contain the Originator, Event, Location, and the 
valid time period of the EAS message. Effective June 30, 2012, visual 
messages derived from CAP-formatted EAS messages shall contain the 
Originator, Event, Location and the valid time period of the message and 
shall be constructed in accordance with Sec. 3.6 of the ``ECIG 
Recommendations for a CAP EAS Implementation Guide, Version 1.0'' (May 
17, 2010), except that if the EAS Participant has deployed an 
Intermediary Device to meet its CAP-related obligations, this 
requirement shall be effective June 30, 2015, and until such date shall 
be subject to the general requirement to transmit a visual message 
containing the Originator, Event, Location and the valid time period of 
the EAS message.
    (i) The visual message portion of an EAS alert, whether video crawl 
or block text, must be displayed:

[[Page 816]]

    (A) At the top of the television screen or where it will not 
interfere with other visual messages;
    (B) In a manner (i.e., font size, color, contrast, location, and 
speed) that is readily readable and understandable;
    (C) That does not contain overlapping lines of EAS text or extend 
beyond the viewable display (except for video crawls that intentionally 
scroll on and off of the screen), and
    (D) In full at least once during any EAS message.
    (ii) The audio portion of an EAS message must play in full at least 
once during any EAS message.
    (4) May elect not to interrupt EAS messages from broadcast stations 
based upon a written agreement between all concerned. Further, analog 
cable systems, digital cable systems, and wireless cable systems may 
elect not to interrupt the programming of a broadcast station carrying 
news or weather related emergency information with state and local EAS 
messages based on a written agreement between all parties.
    (5) Wireless cable systems and digital cable systems with a 
requirement to carry the audio and video EAS message on at least one 
channel and a requirement to provide video interrupt and an audio alert 
message on all other channels stating which channel is carrying the 
audio and video EAS message, may comply by using a means on all 
programmed channels that automatically tunes the subscriber's set-top 
box to a pre-designated channel which carries the required audio and 
video EAS messages.
    (h) Analog cable systems and digital cable systems with 10,000 or 
more subscribers; analog cable and digital cable systems serving 5,000 
or more, but less than 10,000 subscribers per headend; and wireline 
video systems 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, these analog cable systems, digital 
cable systems, and wireless cable systems:
    (1) Must install, operate, and maintain equipment capable of 
generating the EAS codes. The modulation levels for the EAS codes and 
Attention Signal for analog cable systems shall comply with the aural 
signal requirements in Sec. 76.605 of this chapter. This will provide 
sufficient signal levels to operate subscriber television and radio 
receivers equipped with EAS decoders and to audibly alert subscribers. 
Wireless cable systems and digital 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) Shall transmit the EAS audio message required in paragraph (a) 
of this section on all downstream channels.
    (3) Shall transmit the EAS visual message on all downstream 
channels. The visual message shall contain the Originator, Event, 
Location, and the valid time period of the EAS message. Effective June 
30, 2012, visual messages derived from CAP-formatted EAS messages shall 
contain the Originator, Event, Location and the valid time period of the 
message and shall be constructed in accordance with Sec. 3.6 of the 
``ECIG Recommendations for a CAP EAS Implementation Guide, Version 1.0'' 
(May 17, 2010), except that if the EAS Participant has deployed an 
Intermediary Device to meet its CAP-related obligations, this 
requirement shall be effective June 30, 2015, and until such date shall 
be subject to the general requirement to transmit a visual message 
containing the Originator, Event, Location and the valid time period of 
the EAS message.
    (i) The visual message portion of an EAS alert, whether video crawl 
or block text, must be displayed:
    (A) At the top of the television screen or where it will not 
interfere with other visual messages
    (B) In a manner (i.e., font size, color, contrast, location, and 
speed) that is readily readable and understandable,
    (C) That does not contain overlapping lines of EAS text or extend 
beyond the viewable display (except for video crawls that intentionally 
scroll on and off of the screen), and
    (D) In full at least once during any EAS message.

[[Page 817]]

    (ii) The audio portion of an EAS message must play in full at least 
once during any EAS message.
    (4) May elect not to interrupt EAS messages from broadcast stations 
based upon a written agreement between all concerned. Further, analog 
cable systems, digital cable systems, and wireless cable systems may 
elect not to interrupt the programming of a broadcast station carrying 
news or weather related emergency information with state and local EAS 
messages based on a written agreement between all parties.
    (5) Wireless cable systems and digital cable systems with a 
requirement to carry the audio and video EAS message on all downstream 
channels may comply by using a means on all programmed channels that 
automatically tunes the subscriber's set-top box to a pre-designated 
channel which carries the required audio and video EAS messages.
    (i) SDARS licensees shall transmit national audio EAS messages on 
all channels in the same order specified in paragraph (a) of this 
section.
    (1) SDARS licensees must install, operate, and maintain equipment 
capable of generating the EAS codes.
    (2) SDARS licensees may determine the distribution methods they will 
use to comply with this requirement.
    (j) DBS providers shall transmit national audio and visual EAS 
messages on all channels in the same order specified in paragraph (a) of 
this section.
    (1) DBS providers must install, operate, and maintain equipment 
capable of generating the EAS codes.
    (2) The visual message shall contain the Originator, Event, 
Location, and the valid time period of the EAS message. Effective June 
30, 2012, visual messages derived from CAP-formatted EAS messages shall 
contain the Originator, Event, Location and the valid time period of the 
message and shall be constructed in accordance with Sec. 3.6 of the 
``ECIG Recommendations for a CAP EAS Implementation Guide, Version 1.0'' 
(May 17, 2010), except that if the EAS Participant has deployed an 
Intermediary Device to meet its CAP-related obligations, this 
requirement shall be effective June 30, 2015, and until such date shall 
be subject to the general requirement to transmit a visual message 
containing the Originator, Event, Location and the valid time period of 
the EAS message.
    (i) The visual message portion of an EAS alert, whether video crawl 
or block text, must be displayed:
    (A) At the top of the television screen or where it will not 
interfere with other visual messages
    (B) In a manner (i.e., font size, color, contrast, location, and 
speed) that is readily readable and understandable,
    (C) That does not contain overlapping lines of EAS text or extend 
beyond the viewable display (except for video crawls that intentionally 
scroll on and off of the screen), and
    (D) In full at least once during any EAS message.
    (ii) The audio portion of an EAS message must play in full at least 
once during any EAS message.
    (3) DBS providers may determine the distribution methods they will 
use to comply with this requirement. Such methods may include 
distributing the EAS message on all channels, using a means to 
automatically tune the subscriber's set-top box to a pre-designated 
channel which carries the required audio and video EAS messages, and/or 
passing through the EAS message provided by programmers and/or local 
channels (where applicable).
    (k) If manual interrupt is used as authorized in paragraph (m) of 
this section, EAS Encoders must be located so that EAS Participant 
staff, at normal duty locations, can initiate the EAS code and Attention 
Signal transmission.
    (l) EAS Participants that are co-owned and co-located with a 
combined studio or control facility, (such as an AM and FM licensed to 
the same entity and at the same location or a cable headend serving more 
than one system) may provide the EAS transmitting requirements contained 
in this section for the combined stations or systems with one EAS 
Encoder. The requirements of Sec. 11.32 must be met by the combined 
facility.
    (m) EAS Participants are required to transmit all received EAS 
messages in which the header code contains the Event codes for Emergency 
Action Notification (EAN) and Required Monthly

[[Page 818]]

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 EAS Participant 
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, EAS 
Participants shall use the event code RWT. The location codes are the 
state and county for the broadcast station city of license or system 
community or city. Other location codes may be included upon approval of 
station or 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, or the National 
Periodic Test (NPT) Event code in the case of a nationwide test of the 
EAS, must be transmitted immediately; Monthly EAS test messages must be 
transmitted within 60 minutes. All actions must be logged and include 
the minimum information required for EAS video messages.
    (n) EAS Participants may employ a minimum delay feature, not to 
exceed 15 minutes, for automatic interruption of EAS codes. However, 
this may not be used for the EAN Event code, or the NPT Event code in 
the case of a nationwide test of the EAS, which must be transmitted 
immediately. The delay time for an RMT message may not exceed 60 
minutes.
    (o) Either manual or automatic operation of EAS equipment may be 
used by EAS Participants that use remote control. If manual operation is 
used, an EAS decoder must be located at the 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. EAS Participants may change back and forth 
between automatic and manual operation.
    (p) The standard required in this section is incorporated by 
reference into this section with the approval of the Director of the 
Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any 
edition other than that specified in this section, the Federal 
Communications Commission must publish notice of change in the Federal 
Register and the material must be available to the public. All approved 
material is available for inspection at the Federal Communications 
Commission, 445 12th Street, SW., Washington, DC (Reference Information 
Center) and is available from the source indicated below. It is also 
available for 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.
    (1) The following standard is available from the EAS-CAP Industry 
Group (ECIG), 21010 Southbank Street, 365, Sterling, VA, 20165, go to 
http://www.eas-cap.org.
    (i) ``ECIG Recommendations for a CAP EAS Implementation Guide, 
Version 1.0'' (May 17, 2010).
    (ii) [Reserved]

[70 FR 71035, Nov. 25, 2005, as amended at 71 FR 76220, Dec. 20, 2006; 
72 FR 62135, Nov. 2, 2007; 71 FR 76220, Dec. 20, 2006; 72 FR 62135, Nov. 
2, 2007; 77 FR 16704, Mar. 22, 2012; 80 FR 37175, June 30, 2015]



Sec. 11.52  EAS code and Attention Signal Monitoring requirements.

    (a) EAS Participants must be capable of receiving the Attention 
Signal required by Sec. 11.31(a)(2) and emergency

[[Page 819]]

messages of other broadcast stations during their hours of operation. 
EAS Participants must install and operate during their hours of 
operation, equipment that is capable of receiving and decoding, either 
automatically or manually, the EAS header codes, emergency messages and 
EOM code, and which complies with the requirements in Sec. 11.56.

    Note to paragraph (a):
    The two-tone Attention Signal will not be used to actuate two-tone 
decoders but will be used as an aural alert signal.

    (b) If manual interrupt is used as authorized in Sec. 11.51(m)(2), 
decoders must be located so that operators at their normal duty stations 
can be alerted immediately when EAS messages are received.
    (c) EAS Participants that are co-owned and co-located with a 
combined studio or control facility (such as an AM and FM licensed to 
the same entity and at the same location or a cable headend serving more 
than one system) may comply with the EAS monitoring requirements 
contained in this section for the combined station or system with one 
EAS Decoder. The requirements of Sec. 11.33 must be met by the combined 
facility.
    (d) EAS Participants must comply with the following monitoring 
requirements:
    (1) With respect to monitoring for EAS messages that are formatted 
in accordance with the EAS Protocol, EAS Participants 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.
    (2) With respect to monitoring EAS messages formatted in accordance 
with the specifications set forth in Sec. 11.56(a)(2), EAS 
Participants' EAS equipment must interface with the Federal Emergency 
Management Agency's Integrated Public Alert and Warning System (IPAWS) 
to enable (whether through ``pull'' interface technologies, such as 
Really Simple Syndication (RSS) and Atom Syndication Format (ATOM), or 
``push'' interface technologies, such as instant messaging and email) 
the distribution of Common Alert Protocol (CAP)-formatted alert messages 
from the IPAWS system to EAS Participants' EAS equipment.
    (3) Monitoring specifications associated with the distribution of 
CAP-formatted alert messages by state alert message systems are 
described in the State EAS Plan, as set forth in Sec. 11.21(a).
    (4) If the required EAS message sources cannot be received, 
alternate arrangements or a waiver may be obtained by written request to 
the Chief, Public Safety and Homeland Security Bureau. In an emergency, 
a waiver may be issued over the telephone with a follow up letter to 
confirm temporary or permanent reassignment.
    (5) The management of EAS Participants shall determine which header 
codes will automatically interrupt their programming for State and Local 
Area emergency situations affecting their audiences.
    (e) EAS Participants are required to interrupt normal programming 
either automatically or manually when they receive an EAS message in 
which the header code contains the Event codes for Emergency Action 
Notification (EAN), the National Periodic Test (NPT), or the 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, or the NPT Event code 
in the case of a nationwide test of the EAS, must be transmitted 
immediately; Monthly EAS test messages must be transmitted within 60 
minutes. All actions must be logged and recorded as specified in 
Sec. Sec. 11.35(a) and 11.54(a)(3). Decoders must be programmed for the 
EAN Event header code and the RMT and RWT Event header codes (for 
required monthly and

[[Page 820]]

weekly tests), with the appropriate accompanying State and State/county 
location codes.

[70 FR 71036, Nov. 25, 2005, as amended at 77 FR 16705, Mar. 22, 2012; 
80 FR 37176, June 30, 2015]



Sec. 11.53  [Reserved]



Sec. 11.54  EAS operation during a National Level emergency.

    (a) Immediately upon receipt of an EAN message, or the NPT Event 
code in the case of a nationwide test of the EAS, EAS Participants must 
comply with the following requirements, as applicable:
    (1) Analog and digital broadcast stations may transmit their call 
letters and analog cable systems, digital 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.
    (2) Analog and digital broadcast stations are exempt from complying 
with Sec. Sec. 73.62 and 73.1560 of this chapter (operating power 
maintenance) while operating under this part.
    (3) The time of receipt of the EAN shall be entered by analog and 
digital broadcast stations in their logs (as specified in Sec. Sec. 
73.1820 and 73.1840 of this chapter), by analog and digital cable 
systems in their records (as specified in Sec. 76.1711 of this 
chapter), by subject wireless cable systems in their records (as 
specified in Sec. 21.304 of this chapter), and by all other EAS 
Participants in their records as specified in Sec. 11.35(a).
    (b) EAS Participants originating emergency communications 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 EAS Participants.
    (c) During a national level EAS emergency, EAS Participants may 
transmit in lieu of the EAS audio feed an audio feed of the President's 
voice message from an alternative source, such as a broadcast network 
audio feed.

[77 FR 16705, Mar. 22, 2012, as amended at 80 FR 37177, June 30, 2015]



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 
EAS Participants at their discretion for day-to-day emergency situations 
posing a threat to life and property. Examples of natural emergencies 
which may warrant state EAS activation are: Tornadoes, floods, 
hurricanes, earthquakes, heavy snows, icing conditions, widespread 
fires, etc. Man-made emergencies warranting state EAS activation may 
include: Toxic gas leaks or liquid spills, widespread power failures, 
industrial explosions, and civil disorders.
    (1) DBS providers shall pass through all EAS messages aired on local 
television broadcast stations carried by DBS providers under the 
Commission's broadcast signal carriage rules to subscribers receiving 
those channels.
    (2) SDARS licensees and DBS providers may participate in EAS at the 
state and local level and make their systems capable of receiving and 
transmitting state and local level EAS messages on all channels. If an 
SDARS licensee or DBS provider is not capable of receiving and 
transmitting state and local EAS message on all channels, it must inform 
its subscribers, on its website and in writing on an annual basis, of 
which channels are and are not capable of supplying state and local 
messages.
    (b) EAS operations must be 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 
that has been formatted in the EAS Protocol, EAS Participants 
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) sources monitor the Local Area LP 
sources for instructions.

[[Page 821]]

    (4) EAS Participants participating in the State or Local Area EAS 
must discontinue normal programming and follow the procedures in the 
State and Local Area Plans. Analog and digital television broadcast 
stations must transmit all EAS announcements visually and aurally as 
specified in Sec. 11.51(a) through (e) and 73.1250(h) of this chapter, 
as applicable; analog cable systems, digital cable systems, and wireless 
cable systems must transmit all EAS announcements visually and aurally 
as specified in Sec. 11.51(g) and (h); and DBS providers must transmit 
all EAS announcements visually and aurally as specified in Sec. 
11.51(j). EAS Participants providing foreign language programming should 
transmit all EAS announcements in the same language as the primary 
language of the EAS Participant.
    (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 EAS 
Participants' records as specified in Sec. Sec. 11.35(a) and 
11.54(a)(3).
    (8) Use of the EAS codes or Attention Signal automatically grants 
rebroadcast authority as specified in Sec. 11.54(b).
    (d) Immediately upon receipt of a State or Local Area EAS message 
that has been formatted in the Common Alerting Protocol, EAS 
Participants must do the following:
    (1) EAS Participants participating in the State or Local Area EAS 
must follow the procedures for processing such messages in the State and 
Local Area Plans.
    (2) Analog and digital television broadcast stations must transmit 
all EAS announcements visually and aurally as specified in Sec. 
11.51(a) through (e) and 73.1250(h) of this chapter, as applicable; 
analog cable systems, digital cable systems, and wireless cable systems 
must transmit all EAS announcements visually and aurally as specified in 
Sec. 11.51(g) and (h); and DBS providers must transmit all EAS 
announcements visually and aurally as specified in Sec. 11.51(j). EAS 
Participants providing foreign language programming should transmit all 
EAS announcements in the same language as the primary language of the 
EAS Participant.
    (3) Resume normal operations upon conclusion of the message.
    (4) The times of the above EAS actions must be entered in the EAS 
Participants' records as specified in Sec. Sec. 11.35(a) and 
11.54(a)(3).

[59 FR 67092, Dec. 28, 1994, as amended at 63 FR 29666, June 1, 1998; 65 
FR 21658, Apr. 24, 2000; 67 FR 18511, Apr. 16, 2002; 70 FR 71037, Nov. 
25, 2005; 71 FR 76220, Dec. 20, 2006; 72 FR 62135, Nov. 2, 2007; 77 FR 
16706, Mar. 22, 2012]



Sec. 11.56  Obligation to process CAP-formatted EAS messages.

    (a) On or by June 30, 2012, EAS Participants must have deployed 
operational equipment that is capable of the following:
    (1) Acquiring EAS alert messages in accordance with the monitoring 
requirements in Sec. 11.52(d)(2);
    (2) Converting EAS alert messages that have been formatted pursuant 
to the Organization for the Advancement of Structured Information 
Standards (OASIS) Common Alerting Protocol Version 1.2 (July 1, 2010), 
and Common Alerting Protocol, v. 1.2 USA Integrated Public Alert and 
Warning System Profile Version 1.0 (Oct. 13, 2009), into EAS alert 
messages that comply with the EAS Protocol, such that the Preamble and 
EAS Header Codes, audio Attention Signal, audio message, and Preamble 
and EAS End of Message (EOM) Codes of such messages are rendered 
equivalent to the EAS Protocol (set forth in Sec. 11.31), in accordance 
with the technical specifications governing such conversion process set 
forth in the EAS-CAP Industry Group's (ECIG) Recommendations for a CAP 
EAS Implementation Guide, Version 1.0 (May 17, 2010) (except that any 
and all specifications set forth therein related to gubernatorial ``must 
carry'' shall not be followed, and that EAS Participants may adhere to 
the specifications related to text-to-speech on a voluntary basis).

[[Page 822]]

    (3) Processing such converted messages in accordance with the other 
sections of this part.
    (b) EAS Participants may comply with the requirements of this 
section by deploying an Intermediary Device. If an EAS Participant 
elects to meet the requirements of this section by deploying an 
Intermediary Device, it shall be required to construct visual messages 
from CAP-formatted EAS messages in accordance with Sec. 3.6 of the 
``ECIG Recommendations for a CAP EAS Implementation Guide, Version 1.0'' 
(May 17, 2010), as set forth in Sec. Sec. 11.51(d), (g)(3), (h)(3), and 
(j)(2) of this part, on or by June 30, 2015.
    (c) The standards required in this section are incorporated by 
reference into this section with the approval of the Director of the 
Federal Register under 5 U.S.C. 552(a) and 1 CFR part 51. To enforce any 
edition other than that specified in this section, the Federal 
Communications Commission must publish notice of change in the Federal 
Register and the material must be available to the public. All approved 
material is available for inspection at the Federal Communications 
Commission, 445 12th Street SW., Washington, DC (Reference Information 
Center) and is available from the sources indicated below. It is also 
available for 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.
    (1) The following standard is available from the EAS-CAP Industry 
Group (ECIG), 21010 Southbank Street, 365, Sterling, VA 20165, or go to 
http://www.eas-cap.org.
    (i) ``ECIG Recommendations for a CAP EAS Implementation Guide, 
Version 1.0'' (May 17, 2010).
    (ii) [Reserved]
    (2) The following standards are available from Organization for the 
Advancement of Structured Information Standards (OASIS), 25 Corporate 
Drive, Suite 103, Burlington, MA 01803-4238, call 781-425-5073, or go to 
http://www.oasis-open.org.
    (i) ``Common Alerting Protocol Version 1.2'' (July 1, 2010).
    (ii) ``Common Alerting Protocol, v. 1.2 USA Integrated Public Alert 
and Warning System Profile Version 1.0'' (Oct. 13, 2009).

[77 FR 16706, Mar. 22, 2012, as amended at 77 FR 26703, May 7, 2012]



                             Subpart E_Tests



Sec. 11.61  Tests of EAS procedures.

    (a) EAS Participants shall conduct tests at regular intervals, as 
specified in paragraphs (a)(1) and (a)(2) of this section. Additional 
tests may be performed anytime. EAS activations and special tests may be 
performed in lieu of required tests as specified in paragraph (a)(4) of 
this section.
    (1) Required Monthly Tests of the EAS header codes, Attention 
Signal, Test Script and EOM code.
    (i) Tests in odd numbered months shall occur between 8:30 a.m. and 
local sunset. Tests in even numbered months shall occur between local 
sunset and 8:30 a.m. They will originate from Local or State Primary 
sources. The time and script content will be developed by State 
Emergency Communications Committees in cooperation with affected EAS 
Participants. Script content may be in the primary language of the EAS 
Participant. These monthly tests must be transmitted within 60 minutes 
of receipt by EAS Participants in an EAS Local Area or State. Analog and 
digital class D non-commercial educational FM, analog and digital LPFM 
stations, and analog and digital LPTV stations are required to transmit 
only the test script.
    (ii) Effective May 31, 2007, DBS providers must comply with this 
section by monitoring a state or local primary source to participate in 
testing. Tests should be performed on 10% of all channels monthly 
(excluding local-into-local channels for which the monthly transmission 
tests are passed through by the DBS provider), with channels tested 
varying from month to month, so that over the course of a given year, 
100% of all channels are tested.
    (2) Required Weekly Tests:
    (i) EAS Header Codes and EOM Codes:

[[Page 823]]

    (A) Analog and digital AM, FM, and TV broadcast stations must 
conduct tests of the EAS header and EOM codes at least once a week at 
random days and times. Effective December 31, 2006, DAB stations must 
conduct these tests on all audio streams. Effective December 31, 2006, 
DTV stations must conduct these tests on all program streams.
    (B) Analog cable systems and digital cable systems with 5,000 or 
more subscribers per headend and wireless cable systems with 5,000 or 
more subscribers must conduct tests of the EAS Header and EOM Codes at 
least once a week at random days and times on all programmed channels.
    (C) Analog cable systems and digital cable systems serving fewer 
than 5,000 subscribers per headend and wireless cable systems with fewer 
than 5,000 subscribers must conduct tests of the EAS Header and EOM 
Codes at least once a week at random days and times on at least one 
programmed channel.
    (D) SDARS providers must conduct tests of the EAS Header and EOM 
codes at least once a week at random days and times on all channels.
    (ii) DBS providers, analog and digital class D non-commercial 
educational FM stations, analog and digital LPFM stations, and analog 
and digital LPTV stations are not required to transmit this test but 
must log receipt, as specified in Sec. 11.35(a) and 11.54(a)(3).
    (iii) The EAS weekly test is not required during the week that a 
monthly test is conducted.
    (iv) EAS Participants are not required to transmit a video message 
when transmitting the required weekly test.
    (3) National tests. (i) All EAS Participants shall participate in 
national tests as scheduled by the Commission in consultation with the 
Federal Emergency Management Agency (FEMA). Such tests will consist of 
the delivery by FEMA to PEP/NP stations of a coded EAS message, 
including EAS header codes, Attention Signal, Test Script, and EOM code. 
All other EAS Participants will then be required to relay that EAS 
message. The coded message shall utilize EAS test codes as designated by 
the Commission's rules.
    (ii) A national test shall replace the required weekly and monthly 
tests for all EAS Participants, as set forth in paragraphs (a)(1) and 
(a)(2) of this section, in the week and month in which it occurs.
    (iii) Notice shall be provided to EAS Participants by the Commission 
at least two months prior to the conduct of any such national test.
    (iv) Test results as required by the Commission shall be logged by 
all EAS Participants into the EAS Test Reporting System (ETRS) as 
determined by the Commission's Public Safety and Homeland Security 
Bureau, subject to the following requirements.
    (A) EAS Participants shall provide the identifying information 
required by the ETRS initially no later than sixty days after the 
publication in the Federal Register of a notice announcing the approval 
by the Office of Management and Budget of the modified information 
collection requirements under the Paperwork Reduction Act of 1995 and an 
effective date of the rule amendment, or within sixty days of the launch 
of the ETRS, whichever is later, and shall renew this identifying 
information on a yearly basis or as required by any revision of the EAS 
Participant's State EAS Plan filed pursuant to Sec. 11.21.
    (B) ``Day of test'' data shall be filed in the ETRS within 24 hours 
of any nationwide test or as otherwise required by the Public Safety and 
Homeland Security Bureau.
    (C) Detailed post-test data shall be filed in the ETRS within forty 
five (45) days following any nationwide test.
    (4) EAS activations and special tests. The EAS may be activated for 
emergencies or special tests at the State or Local Area level by an EAS 
Participant 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 (a)(2)(i) of this section, activation must 
include transmission of the EAS header and EOM codes. Analog and digital 
television broadcast stations, analog cable systems, digital cable 
systems, wireless

[[Page 824]]

cable systems, and DBS providers 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 EAS Participant records, as specified 
in Sec. 11.35(a) and 11.54(a)(3).

[70 FR 71038, Nov. 25, 2005, as amended at 76 FR 12604, Mar. 8, 2011; 77 
FR 16707, Mar. 22, 2012; 80 FR 37177, June 30, 2015]



PART 12_RESILIENCY, REDUNDANCY AND RELIABILITY OF COMMUNICATIONS--
Table of Contents



Sec.
12.1 Purpose.
12.3 911 and E911 analyses and reports.
12.4 Reliability of covered 911 service providers.
12.5 Backup power obligations.

    Authority: Sections 1, 4(i), 4(j), 4(o), 5(c), 201(b), 214(d), 218, 
219, 251(e)(3), 301, 303(b), 303(g), 303(j), 303(r), 307, 309(a), 316, 
332, 403, 405, 615a-1, 615c, 621(b)(3), and 621(d) of the Communications 
Act of 1934, as amended, 47 U.S.C. 151, 154(i), 154 (j), 154 (o), 
155(c), 201(b), 214(d), 218, 219, 251(e)(3), 301, 303(b), 303(g), 
303(j), 303(r), 307, 309(a), 316, 332, 403, 405, 615a-1, 615c, 
621(b)(3), and 621(d) unless otherwise noted.

    Source: 72 FR 37673, July 11, 2007, unless otherwise noted.



Sec. 12.1  Purpose.

    The rules in this part include requirements that will help ensure 
the resiliency, redundancy and reliability of communications systems, 
particularly 911 and E911 networks and/or systems.



Sec. 12.3  911 and E911 analyses and reports.

    The following entities must analyze their 911 and E911 networks and/
or systems and provide a detailed report to the Commission on the 
redundancy, resiliency, and reliability of those networks and/or 
systems: Local exchange carriers (LECs), including incumbent LECs 
(ILECS) and competitive LECs (CLECs); commercial mobile radio service 
providers required to comply with the wireless 911 rules set forth in 
Sec. 20.18 of this chapter; and interconnected Voice over Internet 
Protocol (VoIP) service providers. LECs that meet the definition of a 
Class B company set forth in Sec. 32.11(b)(2) of this chapter, non-
nationwide commercial mobile radio service providers with no more than 
500,000 subscribers at the end of 2001, and interconnected VoIP service 
providers with annual revenues below the revenue threshold established 
pursuant to Sec. 32.11 of this chapter are exempt from this rule.
    (a) The Public Safety and Homeland Security Bureau (PSHSB) has the 
delegated authority to implement and activate a process through which 
these reports will be submitted, including the authority to establish 
the specific data that will be required. Where relevant, these reports 
should include descriptions of the steps the service providers intend to 
take to ensure diversity and dependability in their 911 and E911 
networks and/or systems, including any plans they have to migrate those 
networks and/or systems to a next generation Internet Protocol-based 
E911 platform.
    (b) These reports are due 120 days from the date that the Commission 
or its staff announces activation of the 911 network and system 
reporting process.
    (c) Reports filed under this Part will be presumed to be 
confidential. These reports will be shared with The National Emergency 
Number Association, The Association of Public Safety Communications 
Officials, and The National Association of State 9-1-1 Administrators 
only pursuant to a protective order. PSHSB has the delegated authority 
to issue such protective orders. All other access to these reports must 
be sought pursuant to procedures set forth in 47 CFR 0.461. Notice of 
any requests for inspection of these reports will be provided to the 
filers of the reports pursuant to 47 CFR 0.461(d)(3).

[72 FR 37673, July 11, 2007]



Sec. 12.4  Reliability of covered 911 service providers.

    (a) Definitions. Terms in this section shall have the following 
meanings:
    (1) Aggregation point. A point at which network monitoring data for 
a 911 service area is collected and routed to a network operations 
center (NOC)

[[Page 825]]

or other location for monitoring and analyzing network status and 
performance.
    (2) Certification. An attestation by a certifying official, under 
penalty of perjury, that a covered 911 service provider:
    (i) Has satisfied the obligations of paragraph (c) of this section.
    (ii) Has adequate internal controls to bring material information 
regarding network architecture, operations, and maintenance to the 
certifying official's attention.
    (iii) Has made the certifying official aware of all material 
information reasonably necessary to complete the certification.
    (iv) The term ``certification'' shall include both an annual 
reliability certification under paragraph (c) of this section and an 
initial reliability certification under paragraph (d)(1) of this 
section, to the extent provided under paragraph (d)(1) of this section.
    (3) Certifying official. A corporate officer of a covered 911 
service provider with supervisory and budgetary authority over network 
operations in all relevant service areas.
    (4) Covered 911 service provider.
    (i) Any entity that:
    (A) Provides 911, E911, or NG911 capabilities such as call routing, 
automatic location information (ALI), automatic number identification 
(ANI), or the functional equivalent of those capabilities, directly to a 
public safety answering point (PSAP), statewide default answering point, 
or appropriate local emergency authority as defined in Sec. Sec. 
64.3000(b) and 20.3 of this chapter; and/or
    (B) Operates one or more central offices that directly serve a PSAP. 
For purposes of this section, a central office directly serves a PSAP if 
it hosts a selective router or ALI/ANI database, provides equivalent 
NG911 capabilities, or is the last service-provider facility through 
which a 911 trunk or administrative line passes before connecting to a 
PSAP.
    (ii) The term ``covered 911 service provider'' shall not include any 
entity that:
    (A) Constitutes a PSAP or governmental authority to the extent that 
it provides 911 capabilities; or
    (B) Offers the capability to originate 911 calls where another 
service provider delivers those calls and associated number or location 
information to the appropriate PSAP.
    (5) Critical 911 circuits. 911 facilities that originate at a 
selective router or its functional equivalent and terminate in the 
central office that serves the PSAP(s) to which the selective router or 
its functional equivalent delivers 911 calls, including all equipment in 
the serving central office necessary for the delivery of 911 calls to 
the PSAP(s). Critical 911 circuits also include ALI and ANI facilities 
that originate at the ALI or ANI database and terminate in the central 
office that serves the PSAP(s) to which the ALI or ANI databases deliver 
911 caller information, including all equipment in the serving central 
office necessary for the delivery of such information to the PSAP(s).
    (6) Diversity audit. A periodic analysis of the geographic routing 
of network components to determine whether they are physically diverse. 
Diversity audits may be performed through manual or automated means, or 
through a review of paper or electronic records, as long as they reflect 
whether critical 911 circuits are physically diverse.
    (7) Monitoring links. Facilities that collect and transmit network 
monitoring data to a NOC or other location for monitoring and analyzing 
network status and performance.
    (8) Physically diverse. Circuits or equivalent data paths are 
Physically Diverse if they provide more than one physical route between 
end points with no common points where a single failure at that point 
would cause both circuits to fail. Circuits that share a common segment 
such as a fiber-optic cable or circuit board are not Physically diverse 
even if they are logically diverse for purposes of transmitting data.
    (9) 911 service area. The metropolitan area or geographic region in 
which a covered 911 service provider operates a selective router or the 
functional equivalent to route 911 calls to the geographically 
appropriate PSAP.
    (10) Selective router. A 911 network component that selects the 
appropriate

[[Page 826]]

destination PSAP for each 911 call based on the location of the caller.
    (11) Tagging. An inventory management process whereby critical 911 
circuits are labeled in circuit inventory databases to make it less 
likely that circuit rearrangements will compromise diversity. A covered 
911 service provider may use any system it wishes to tag circuits so 
long as it tracks whether critical 911 circuits are physically diverse 
and identifies changes that would compromise such diversity.
    (b) Provision of reliable 911 service. All covered 911 service 
providers shall take reasonable measures to provide reliable 911 service 
with respect to circuit diversity, central-office backup power, and 
diverse network monitoring. Performance of the elements of the 
certification set forth in paragraphs (c)(1)(i), (c)(2)(i), and 
(c)(3)(i) of this section shall be deemed to satisfy the requirements of 
this paragraph. If a covered 911 service provider cannot certify that it 
has performed a given element, the Commission may determine that such 
provider nevertheless satisfies the requirements of this paragraph based 
upon a showing in accordance with paragraph (c) of this section that it 
is taking alternative measures with respect to that element that are 
reasonably sufficient to mitigate the risk of failure, or that one or 
more certification elements are not applicable to its network.
    (c) Annual reliability certification. One year after the initial 
reliability certification described in paragraph (d)(1) of this section 
and every year thereafter, a certifying official of every covered 911 
service provider shall submit a certification to the Commission as 
follows.
    (1) Circuit auditing. (i) A covered 911 service provider shall 
certify whether it has, within the past year:
    (A) Conducted diversity audits of critical 911 circuits or 
equivalent data paths to any PSAP served;
    (B) Tagged such critical 911 circuits to reduce the probability of 
inadvertent loss of diversity in the period between audits; and
    (C) Eliminated all single points of failure in critical 911 circuits 
or equivalent data paths serving each PSAP.
    (ii) If a Covered 911 Service Provider does not conform with all of 
the elements in paragraph (c)(1)(i) of this section with respect to the 
911 service provided to one or more PSAPs, it must certify with respect 
to each such PSAP:
    (A) Whether it has taken alternative measures to mitigate the risk 
of critical 911 circuits that are not physically diverse or is taking 
steps to remediate any issues that it has identified with respect to 911 
service to the PSAP, in which case it shall provide a brief explanation 
of such alternative measures or such remediation steps, the date by 
which it anticipates such remediation will be completed, and why it 
believes those measures are reasonably sufficient to mitigate such risk; 
or
    (B) Whether it believes that one or more of the requirements of this 
paragraph are not applicable to its network, in which case it shall 
provide a brief explanation of why it believes any such requirement does 
not apply.
    (2) Backup power. (i) With respect to any central office it operates 
that directly serves a PSAP, a covered 911 service provider shall 
certify whether it:
    (A) Provisions backup power through fixed generators, portable 
generators, batteries, fuel cells, or a combination of these or other 
such sources to maintain full-service functionality, including network 
monitoring capabilities, for at least 24 hours at full office load or, 
if the central office hosts a selective router, at least 72 hours at 
full office load; provided, however, that any such portable generators 
shall be readily available within the time it takes the batteries to 
drain, notwithstanding potential demand for such generators elsewhere in 
the service provider's network.
    (B) Tests and maintains all backup power equipment in such central 
offices in accordance with the manufacturer's specifications;
    (C) Designs backup generators in such central offices for fully 
automatic operation and for ease of manual operation, when required;
    (D) Designs, installs, and maintains each generator in any central 
office that is served by more than one backup generator as a stand-alone 
unit that

[[Page 827]]

does not depend on the operation of another generator for proper 
functioning.
    (ii) If a covered 911 service provider does not conform with all of 
the elements in paragraph (c)(2)(i) of this section, it must certify 
with respect to each such central office:
    (A) Whether it has taken alternative measures to mitigate the risk 
of a loss of service in that office due to a loss of power or is taking 
steps to remediate any issues that it has identified with respect to 
backup power in that office, in which case it shall provide a brief 
explanation of such alternative measures or such remediation steps, the 
date by which it anticipates such remediation will be completed, and why 
it believes those measures are reasonably sufficient to mitigate such 
risk; or
    (B) Whether it believes that one or more of the requirements of this 
paragraph are not applicable to its network, in which case it shall 
provide a brief explanation of why it believes any such requirement does 
not apply.
    (3) Network monitoring. (i) A covered 911 service provider shall 
certify whether it has, within the past year:
    (A) Conducted diversity audits of the aggregation points that it 
uses to gather network monitoring data in each 911 service area;
    (B) Conducted diversity audits of monitoring links between 
aggregation points and NOCs for each 911 service area in which it 
operates; and
    (C) Implemented physically diverse aggregation points for network 
monitoring data in each 911 service area and physically diverse 
monitoring links from such aggregation points to at least one NOC.
    (ii) If a Covered 911 Service Provider does not conform with all of 
the elements in paragraph (c)(3)(i) of this section, it must certify 
with respect to each such 911 Service Area:
    (A) Whether it has taken alternative measures to mitigate the risk 
of network monitoring facilities that are not physically diverse or is 
taking steps to remediate any issues that it has identified with respect 
to diverse network monitoring in that 911 service area, in which case it 
shall provide a brief explanation of such alternative measures or such 
remediation steps, the date by which it anticipates such remediation 
will be completed, and why it believes those measures are reasonably 
sufficient to mitigate such risk; or
    (B) Whether it believes that one or more of the requirements of this 
paragraph are not applicable to its network, in which case it shall 
provide a brief explanation of why it believes any such requirement does 
not apply.
    (d) Other matters. (1) Initial reliability certification. One year 
after October 15, 2014, a certifying official of every covered 911 
service provider shall certify to the Commission that it has made 
substantial progress toward meeting the standards of the annual 
reliability certification described in paragraph (c) of this section. 
Substantial progress in each element of the certification shall be 
defined as compliance with standards of the full certification in at 
least 50 percent of the covered 911 service provider's critical 911 
circuits, central offices that directly serve PSAPs, and independently 
monitored 911 service areas.
    (2) Confidential treatment. (i) The fact of filing or not filing an 
annual reliability certification or initial reliability certification 
and the responses on the face of such certification forms shall not be 
treated as confidential.
    (ii) Information submitted with or in addition to such 
certifications shall be presumed confidential to the extent that it 
consists of descriptions and documentation of alternative measures to 
mitigate the risks of nonconformance with certification elements, 
information detailing specific corrective actions taken with respect to 
certification elements, or supplemental information requested by the 
Commission or Bureau with respect to a certification.
    (3) Record retention. A covered 911 service provider shall retain 
records supporting the responses in a certification for two years from 
the date of such certification, and shall make such records available to 
the Commission upon request. To the extent that a covered 911 service 
provider maintains records in electronic format, records supporting a 
certification hereunder shall be maintained and supplied in an 
electronic format.
    (i) With respect to diversity audits of critical 911 circuits, such 
records shall

[[Page 828]]

include, at a minimum, audit records separately addressing each such 
circuit, any internal report(s) generated as a result of such audits, 
records of actions taken pursuant to the audit results, and records 
regarding any alternative measures taken to mitigate the risk of 
critical 911 circuits that are not physically diverse.
    (ii) With respect to backup power at central offices, such records 
shall include, at a minimum, records regarding the nature and extent of 
backup power at each central office that directly serves a PSAP, testing 
and maintenance records for backup power equipment in each such central 
office, and records regarding any alternative measures taken to mitigate 
the risk of insufficient backup power.
    (iii) With respect to network monitoring, such records shall 
include, at a minimum, records of diversity audits of monitoring links, 
any internal report(s) generated as a result of such audits, records of 
actions taken pursuant to the audit results, and records regarding any 
alternative measures taken to mitigate the risk of aggregation points 
and/or monitoring links that are not physically diverse.

[79 FR 3131, Jan. 17, 2014, as amended at 79 FR 7589, Feb. 10, 2014; 80 
FR 10619, Feb. 27, 2015; 80 FR 60552, Oct. 7, 2015]



Sec. 12.5  Backup power obligations.

    (a) Covered service. For purposes of this section, a Covered Service 
is any facilities-based, fixed voice service offered as residential 
service, including fixed applications of wireless service offered as a 
residential service, that is not line powered.
    (b) Obligations of providers of a Covered Service to offer backup 
power. Providers of a Covered Service shall, at the point of sale for a 
Covered Service, offer subscribers the option to purchase backup power 
for the Covered Service as follows:
    (1) Eight hours. Providers shall offer for sale at least one option 
with a minimum of eight hours of standby backup power.
    (2) Twenty-four hours. By February 13, 2019, providers of a Covered 
Service shall offer for sale also at least one option that provides a 
minimum of twenty-four hours of standby backup power.
    (3) At the provider's discretion, the options in paragraphs (b)(1) 
and (2) of this section may be either:
    (i) A complete solution including battery or other power source; or
    (ii) Installation by the provider of a component that accepts or 
enables the use of a battery or other backup power source that the 
subscriber obtains separately. If the provider does not offer a complete 
solution, the provider shall install a compatible battery or other power 
source if the subscriber makes it available at the time of installation 
and so requests. After service has been initiated, the provider may, but 
is not required to, offer to sell any such options directly to 
subscribers.
    (c) Backup power required. The backup power offered for purchase 
under paragraph (b) of this section must include power for all provider-
furnished equipment and devices installed and operated on the customer 
premises that must remain powered in order for the service to provide 
911 access.
    (d) Subscriber disclosure. (1) The provider of a Covered Service 
shall disclose to each new subscriber at the point of sale and to all 
subscribers to a Covered Service annually thereafter:
    (i) Capability of the service to accept backup power, and if so, the 
availability of at least one backup power solution available directly 
from the provider, or after the initiation of service, available from 
either the provider or a third party. After the obligation to offer for 
purchase a solution for twenty-four hours of standby backup power 
becomes effective, providers must disclose this information also for the 
twenty-four-hour solution;
    (ii) Service limitations with and without backup power;
    (iii) Purchase and replacement information, including cost;
    (iv) Expected backup power duration;
    (v) Proper usage and storage conditions, including the impact on 
duration of failing to adhere to proper usage and storage;
    (vi) Subscriber backup power self-testing and -monitoring 
instructions; and
    (vii) Backup power warranty details, if any.
    (2) Disclosure reasonably calculated to reach each subscriber. A 
provider of a

[[Page 829]]

Covered Service shall make disclosures required by this rule in a manner 
reasonably calculated to reach individual subscribers, with due 
consideration for subscriber preferences. Information posted on a 
provider's public Web site and/or within a subscriber portal accessed by 
logging through the provider's Web site are not sufficient to comply 
with these requirements.
    (3) The disclosures required under this paragraph are in addition 
to, but may be combined with, any disclosures required under Sec. 
9.5(e) of this chapter.
    (e) Obligation with respect to existing subscribers. Providers are 
not obligated to offer for sale backup power options to or retrofit 
equipment for those who are subscribers as of the effective date listed 
in paragraph (f) of this section for the obligations in paragraph (b)(1) 
of this section, but shall provide such subscribers with the annual 
disclosures required by paragraph (d) of this section.
    (f) Effective dates of obligations. (1) Except as noted in 
paragraphs (b)(2) and (f)(2) of this section, the obligations under 
paragraph (b) of this section are effective February 16, 2016, and the 
obligations under paragraph (d) of this section are effective 120 days 
after the Commission announces approval from the Office of Management 
and Budget.
    (2) For a provider of a Covered Service that (together with any 
entities under common control with such provider) has fewer than 100,000 
domestic retail subscriber lines, the obligations in paragraph (b)(1) of 
this section are effective August 11, 2016, the obligations in paragraph 
(b)(2) of this section are effective as prescribed therein, and the 
obligations under paragraph (d) of this section are effective 300 days 
after the Commission announces approval from the Office of Management 
and Budget.
    (g) Sunset date. The requirements of this section shall no longer be 
in effect as of September 1, 2025.

[80 FR 62486, Oct. 16, 2015]

    Effective Date Note: At 80 FR 62486, Oct. 16, 2015, Sec. 12.5 was 
added. Paragraph (b)(2) will become effective Feb. 13, 2019.



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).

[[Page 830]]

    (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 80 and 87 of this chapter.

[78 FR 23152, Apr. 18, 2013]



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 twelve 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. Beginning May 
20, 2013, no applications for new First Class Radiotelegraph Operator's 
Certificates will be accepted for filing.
    (2) Second Class Radiotelegraph Operator's Certificate. Beginning 
May 20, 2013, no applications for new Second Class Radiotelegraph 
Operator's Certificates will be accepted for filing.
    (3) Third Class Radiotelegraph Operator's Certificate 
(radiotelegraph operator's special certificate). Beginning May 20, 2013, 
no applications for new Third Class Radiotelegraph Operator's 
Certificates will be accepted for filing.
    (4) Radiotelegraph Operator License.
    (5) General Radiotelephone Operator License (radiotelephone 
operator's general certificate).
    (6) Marine Radio Operator Permit (radiotelephone operator's 
restricted certificate).
    (7) Restricted Radiotelephone Operator Permit (radiotelephone 
operator's restricted certificate).
    (8) Restricted Radiotelephone Operator Permit-Limited Use 
(radiotelephone operator's restricted certificate).
    (9) GMDSS Radio Operator's License (general operator's certificate).
    (10) Restricted GMDSS Radio Operator's License (restricted 
operator's certificate).
    (11) GMDSS Radio Maintainer's License (technical portion of the 
first-class radio electronic certificate).
    (12) GMDSS Radio Operator/Maintainer License (general operator's 
certificate/technical portion of the first-class radio electronic 
certificate).
    (c) There are three license endorsements affixed by the FCC to 
provide special authorizations or restrictions. Endorsements may be 
affixed to the license(s) indicated in parentheses.
    (1) Ship Radar Endorsement (First and Second Class Radiotelegraph 
Operator's Certificates, Radiotelegraph Operator License, General 
Radiotelephone Operator License, GMDSS Radio Maintainer's License).
    (2) Six Months Service Endorsement (First and Second Class 
Radiotelegraph Operator's Certificates, Radiotelegraph Operator License)
    (3) Restrictive endorsements relating to physical disability, 
English language or literacy waivers, or other matters (all licenses).
    (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 valid only for the operation 
of radio

[[Page 831]]

stations for which that person is the station licensee.

[58 FR 9124, Feb. 19, 1993; 58 FR 12632, Mar. 5, 1993, as amended at 68 
FR 46958, Aug. 7, 2003; 73 FR 4479, Jan. 25, 2008; 78 FR 23152, Apr. 18, 
2013]



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) 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 
Radiotelegraph Operator License, the Restricted Radiotelephone Operator 
Permit, and the Marine Radio Operator Permit.
    (b) A Radiotelegraph Operator License conveys all of the operating 
authority of the Second Class Radiotelegraph Operator's Certificate, 
which conveys all of the operating authority of the Third Class 
Radiotelegraph Operator's Certificate, the Restricted Radiotelephone 
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 and the 
Restricted Radiotelephone Operator Permit.
    (e) A GMDSS Radio Operator's License conveys all of the operating 
authority of the Marine Radio Operator Permit and the Restricted 
Radiotelephone Operator Permit.
    (f) A GMDSS Radio Maintainer's License conveys all of the operating 
authority of the General Radiotelephone Operator License, the Marine 
Radio Operator Permit, and the Restricted Radiotelephone Operator 
Permit.
    (g) A Marine Radio Operator Permit conveys all of the authority of 
the Restricted Radiotelephone Operator Permit.

[64 FR 53240, Oct. 1, 1999, as amended at 78 FR 23152, Apr. 18, 2013]



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) Each application for a new General Radiotelephone Operator 
License, Marine Radio Operator Permit, Radiotelegraph Operator License, 
Ship Radar Endorsement, Six Months Service Endorsement, GMDSS Radio 
Operator's License, Restricted GMDSS Radio Operator's License, GMDSS 
Radio Maintainer's License, GMDSS Radio Operator/Maintainer License, 
Restricted Radiotelephone Operator Permit, or 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,

[[Page 832]]

Marine Radio Operator Permit, Radiotelegraph Operator License, Ship 
Radar Endorsement, GMDSS Radio Operator's License, Restricted GMDSS 
Radio Operator's License, GMDSS Radio Maintainer's License, or 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 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. When acting on behalf of 
qualified examinees, the COLEM must forward all required data to the FCC 
electronically.
    (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: Except as noted in paragraph (d)(3) of this 
section, the written examination and telegraphy Element(s) required to 
obtain the license held;
    (2) An expired or unexpired FCC-issued Amateur Extra Class operator 
license grant granted before April 15, 2000: Telegraphy Elements 1 and 
2; and
    (3) An FCC-issued Third Class Radiotelegraph Operator's Certificate 
that was renewed as a Marine Radio Operator Permit (see Sec. 13.13(b) 
of this chapter) that is unexpired (or within the grace period): 
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 Class Radiotelegraph 
Operator's Certificate, Second Class Radiotelegraph Operator's 
Certificate, or Radiotelegraph Operator License 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; 78 FR 23152, Apr. 18, 2013]



Sec. 13.10  Licensee address.

    In accordance with Sec. 1.923 of this chapter, all applicants 
(except applicants for a Restricted Radiotelephone

[[Page 833]]

Operator Permit or a Restricted Radiotelephone Operator Permit-Limited 
Use) must specify an address where the applicant can receive mail 
delivery by the United States Postal Service. Suspension of the operator 
license may result when correspondence from the FCC is returned as 
undeliverable because the applicant failed to provide the correct 
mailing address.

[78 FR 23153, Apr. 18, 2013]



Sec. 13.11  Holding more than one commercial radio operator license.

    (a) An eligible person may hold more than one commercial operator 
license.
    (1) No person may hold two or more unexpired radiotelegraph 
operator's certificates at the same time;
    (2) No person may hold any class of radiotelegraph operator's 
certificate and a Marine Radio Operator Permit;
    (3) No person may hold any class of radiotelegraph operator's 
certificate and a Restricted Radiotelephone 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.

[58 FR 9124, Feb. 19, 1993, as amended at 78 FR 23153, Apr. 18, 2013]



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, or 
Radiotelegraph Operator 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. Beginning May 20, 2013, 
First and Second Class Radiotelegraph Operator's Certificates will be 
renewed as Radiotelegraph Operator Licenses, and Third Class 
Radiotelegraph Operator's Certificates will be renewed as Marine Radio 
Operator Permits.
    (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 licenses within the 
grace period must apply for a new license and take the required 
examination(s). Beginning May 20, 2013, no applications for new First, 
Second, or Third Class Radiotelegraph Operator's Certificates will be 
accepted for filing.
    (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 examination 
Element(s) within the previous 365 days when the applicant files the 
application. If a COLEM files the application 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. When acting on behalf of 
qualified examinees, the COLEM must forward all required data to the FCC 
electronically.
    (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, Radiotelegraph Operator License, 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

[[Page 834]]

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: Except as noted in paragraph (e)(3) of this 
section, the written examination and telegraphy Element(s) required to 
obtain the license held;
    (2) An expired or unexpired FCC-issued Amateur Extra Class operator 
license grant granted before April 15, 2000: Telegraphy Elements 1 and 
2; and
    (3) An FCC-issued Third Class Radiotelegraph Operator's Certificate 
that was renewed as a Marine Radio Operator Permit (see Sec. 13.13(b) 
of this chapter) that is unexpired (or within the grace period): 
Telegraphy Elements 1 and 2.

[78 FR 23153, Apr. 18, 2013]



Sec. 13.15  License term.

    First Class Radiotelegraph Operator's Certificates, Second Class 
Radiotelegraph Operator's Certificates, and Third Class Radiotelegraph 
Operator's Certificates are normally valid for a term of five years from 
the date of issuance. All other commercial radio operator licenses are 
normally valid for the lifetime of the holder.

[78 FR 23153, Apr. 18, 2013]



Sec. 13.17  Replacement license.

    (a) Each licensee or permittee whose original document is lost, 
mutilated, or destroyed may 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, Radiotelegraph Operator Certificate, 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 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 or Restricted Radiotelephone Operator Permit-Limited Use 
must be on FCC Form 605.
    (d) 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; 78 FR 23154, Apr. 18, 2013]



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:

[[Page 835]]

    (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 (if applicable) 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; 78 
FR 23154, Apr. 18, 2013]

                           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) Radiotelegraph Operator License.
    (i) Telegraphy Elements 1 and 2;
    (ii) Written Elements 1 and 6.
    (2) General Radiotelephone Operator License: Written Elements 1 and 
3.
    (3) Marine Radio Operator Permit: Written Element 1.
    (4) 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.
    (5) 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.
    (6) GMDSS Radio Maintainer's License: Written Elements 1, 3, and 9.
    (7) 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; 78 FR 23154, Apr. 18, 2013]



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. For each Element, the Commission shall establish 
through public notices or other appropriate means the number of 
questions to be included in the question pool, the number of questions 
to be included in the examination, and the number of questions that must 
be answered correctly to pass the examination. Each written examination 
must consist of questions relating to the pertinent subject matter, as 
follows:
    (1) Element 1: Basic radio law and operating practice with which 
every maritime radio operator should be familiar. Questions concerning 
provisions of

[[Page 836]]

laws, treaties, regulations, and operating procedures and practices 
generally followed or required in communicating by means of 
radiotelephone stations.
    (2) Element 3: General radiotelephone. 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 and maritime radio services.
    (3) Element 6: Advanced radiotelegraph. Questions concerning 
technical, legal and other matters applicable to the operation of all 
classes of radiotelegraph stations, including 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.
    (4) Element 7: GMDSS radio operating practices. 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 radiotelephone 
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 of this 
chapter; and knowledge covering the requirements set forth in IMO 
Assembly Resolution on Training for Radio Personnel (GMDSS), Annex 3.
    (5) Element 7R: Restricted GMDSS radio operating practices. 
Questions concerning those GMDSS radio operating procedures and 
practices that are applicable to ship stations on vessels that sail 
exclusively in sea area A1, as defined in Sec. 80.1069 of this chapter, 
sufficient to show detailed practical knowledge of the operation of 
pertinent 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 governing radio communications 
within sea area A1, knowledge of the pertinent documents relating to 
charges for radio communications and knowledge of the pertinent 
provisions of the International Convention for the Safety of Life at 
Sea; sufficient knowledge of English to be able to express oneself 
satisfactorily both orally and in writing; knowledge of and ability to 
perform each pertinent function listed in Sec. 80.1081 of this chapter; 
and knowledge covering the pertinent requirements set forth in IMO 
Assembly Resolution on Training for Radio Personnel (GMDSS), Annex 3.
    (6) Element 8: Ship radar techniques. 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.
    (7) Element 9: GMDSS radio maintenance practices and procedures. 
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.
    (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.

[58 FR 9124, Feb. 19, 1993, as amended at 69 FR 64671, Nov. 8, 2004; 73 
FR 4479, Jan. 25, 2008; 78 FR 23154, Apr. 18, 2013]



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.

[[Page 837]]

    (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.
    (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. 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.
    (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(b).
    (2) To pass a sending telegraphy examination, an examinee is 
required to send correctly for a period of one minute at the rate of 
speed specified in Sec. 13.203(b).
    (e) 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.
    (f) No applicant who is eligible to apply for any commercial radio 
operator license shall, by reason of any physical disability, 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.
    (g) 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.
    (h) 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.
    (i) 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

[[Page 838]]

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.

[58 FR 9124, Feb. 19, 1993, as amended at 78 FR 23154, Apr. 18, 2013]



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 3 business 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.

[58 FR 9124, Feb. 19, 1993, as amended at 78 FR 23154, Apr. 18, 2013]



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;
    (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 five (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 
currently-authorized (through public notice or other appropriate means) 
question pools when preparing a question set for a written examination 
element.

[73 FR 4479, Jan. 25, 2008]



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 3 years and the 
records must be made available to the FCC upon request.

[78 FR 23154, Apr. 18, 2013]



PART 14_ACCESS TO ADVANCED COMMUNICATIONS SERVICES AND EQUIPMENT 
BY PEOPLE WITH DISABILITIES--Table of Contents



                             Subpart A_Scope

Sec.
14.1 Applicability.
14.2 Limitations.
14.3 Exemption for Customized Equipment or Services.
14.4 Exemption for Small Entities.
14.5 Waivers--Multi-purpose Services and Equipment.

[[Page 839]]

                          Subpart B_Definitions

14.10 Definitions.

  Subpart C_Implementation Requirements_What Must Covered Entities Do?

14.20 Obligations.
14.21 Performance Objectives.

  Subpart D_Recordkeeping, Consumer Dispute Assistance, and Enforcement

14.30 Generally.
14.31 Recordkeeping.
14.32 Consumer Dispute Assistance.
14.33 Informal or formal complaints.
14.34 Informal complaints; form, filing, content, and consumer 
          assistance.
14.35 Procedure; designation of agents for service.
14.36 Answers and Replies to informal complaints.
14.37 Review and disposition of informal complaints.
14.38 Formal Complaints; General pleading requirements.
14.39 Format and content of formal complaints.
14.40 Damages.
14.41 Joinder of complainants and causes of action.
14.42 Answers.
14.43 Cross-complaints and counterclaims.
14.44 Replies.
14.45 Motions.
14.46 Formal complaints not stating a cause of action; defective 
          pleadings.
14.47 Discovery.
14.48 Confidentiality of information produced or exchanged by the 
          parties.
14.49 Other required written submissions.
14.50 Status conference.
14.51 Specifications as to pleadings, briefs, and other documents; 
          subscription.
14.52 Copies; service; separate filings against multiple defendants.

   Subpart E_Internet Browsers Built into Telephones used with Public 
                            Mobile Services.

14.60 Applicability.
14.61 Obligations with respect to internet browsers built into mobile 
          phones.

    Authority: 47 U.S.C. 151-154, 255, 303, 403, 503, 617, 618, 619 
unless otherwise noted.

    Source: 76 FR 82389, Dec. 30, 2011, unless otherwise noted.



                             Subpart A_Scope



Sec. 14.1  Applicability.

    Except as provided in Sec. Sec. 14.2, 14.3, 14.4 and 14.5 of this 
chapter, the rules in this part apply to:
    (a) Any manufacturer of equipment used for advanced communications 
services, including end user equipment, network equipment, and software, 
that such manufacturer offers for sale or otherwise distributes in 
interstate commerce;
    (b) Any provider of advanced communications services that such 
provider offers in or affecting interstate commerce.



Sec. 14.2  Limitations.

    (a) Except as provided in paragraph (b) of this section no person 
shall be liable for a violation of the requirements of the rules in this 
part with respect to advanced communications services or equipment used 
to provide or access advanced communications services to the extent such 
person--
    (1) Transmits, routes, or stores in intermediate or transient 
storage the communications made available through the provision of 
advanced communications services by a third party; or
    (2) Provides an information location tool, such as a directory, 
index, reference, pointer, menu, guide, user interface, or hypertext 
link, through which an end user obtains access to such advanced 
communications services or equipment used to provide or access advanced 
communications services.
    (b) The limitation on liability under paragraph (a) of this section 
shall not apply to any person who relies on third party applications, 
services, software, hardware, or equipment to comply with the 
requirements of the rules in this part with respect to advanced 
communications services or equipment used to provide or access advanced 
communications services.
    (c) The requirements of this part shall not apply to any equipment 
or services, including interconnected VoIP service, that were subject to 
the requirements of Section 255 of the Act on October 7, 2010, which 
remain subject to Section 255 of the Act, as

[[Page 840]]

amended, and subject to the rules in parts 6 and 7 of this chapter, as 
amended.



Sec. 14.3  Exemption for Customized Equipment or Services.

    (a) The rules in this part shall not apply to customized equipment 
or services that are not offered directly to the public, or to such 
classes of users as to be effectively available directly to the public, 
regardless of the facilities used.
    (b) A provider of advanced communications services or manufacturer 
of equipment used for advanced communications services may claim the 
exemption in paragraph (a) of this section as a defense in an 
enforcement proceeding pursuant to subpart D of this part, but is not 
otherwise required to seek such an affirmative determination from the 
Commission.



Sec. 14.4  Exemption for Small Entities.

    (a) A provider of advanced communications services or a manufacturer 
of equipment used for advanced communications services to which this 
part applies is exempt from the obligations of this part if such 
provider or manufacturer, at the start of the design of a product or 
service:
    (1) Qualifies as a business concern under 13 CFR 121.105; and
    (2) Together with its affiliates, as determined by 13 CFR 121.103, 
meets the relevant small business size standard established in 13 CFR 
121.201 for the primary industry in which it is engaged as determined by 
13 CFR 121.107.
    (b) A provider or manufacturer may claim this exemption as a defense 
in an enforcement proceeding pursuant to subpart D of this part, but is 
not otherwise required to seek such an affirmative determination from 
the Commission.
    (c) This exemption will expire no later than October 8, 2013.



Sec. 14.5  Waivers--Multipurpose Services and Equipment.

    (a) Waiver. (1) On its own motion or in response to a petition by a 
provider of advanced communications services, a manufacturer of 
equipment used for advanced communications services, or by any 
interested party, the Commission may waive the requirements of this part 
for any feature or function of equipment used to provide or access 
advanced communications services, or for any class of such equipment, 
for any provider of advanced communications services, or for any class 
of such services, that--
    (i) Is capable of accessing an advanced communications service; and
    (ii) Is designed for multiple purposes, but is designed primarily 
for purposes other than using advanced communications services.
    (2) For any waiver petition under this section, the Commission will 
examine on a case-by-case basis--
    (i) Whether the equipment or service is designed to be used for 
advanced communications purposes by the general public; and
    (ii) Whether and how the advanced communications functions or 
features are advertised, announced, or marketed.
    (b) Class Waiver. For any petition for a waiver of more than one 
advanced communications service or one piece of equipment used for 
advanced communications services where the service or equipment share 
common defining characteristics, in addition to the requirements of 
Sec. Sec. 14.5(a)(1) and (2), the Commission will examine the 
similarity of the service or equipment subject to the petition and the 
similarity of the advanced communications features or functions of such 
services or equipment.
    (c) Duration. (1) A petition for a waiver of an individual advanced 
communications service or equipment used for advanced communications 
services may be granted for the life of the service or equipment as 
supported by evidence on the record, or for such time as the Commission 
determines based on evidence on the record.
    (2) A petition for a class waiver may be granted for a time to be 
determined by the Commission based on evidence on the record, including 
the lifecycle of the equipment or service in the class. Any class waiver 
granted under this section will waive the obligations of this part for 
all advanced communications services and equipment used for advanced 
communications services subject to a class waiver and made

[[Page 841]]

available to the public prior to the expiration of such waiver.
    (d) Public notice. All petitions for waiver filed pursuant to this 
section shall be put on public notice, with a minimum of a 30-day period 
for comments and oppositions.



                          Subpart B_Definitions



Sec. 14.10  Definitions.

    (a) The term accessible shall have the meaning provided in Sec. 
14.21(b).
    (b) The term achievable shall mean with reasonable effort or 
expense, as determined by the Commission. In making such a 
determination, the Commission shall consider:
    (1) The nature and cost of the steps needed to meet the requirements 
of section 716 of the Act and this part with respect to the specific 
equipment or service in question;
    (2) The technical and economic impact on the operation of the 
manufacturer or provider and on the operation of the specific equipment 
or service in question, including on the development and deployment of 
new communications technologies;
    (3) The type of operations of the manufacturer or provider; and
    (4) The extent to which the service provider or manufacturer in 
question offers accessible services or equipment containing varying 
degrees of functionality and features, and offered at differing price 
points.
    (c) The term advanced communications services shall mean:
    (1) Interconnected VoIP service, as that term is defined in this 
section;
    (2) Non-interconnected VoIP service, as that term is defined in this 
section;
    (3) Electronic messaging service, as that term is defined in this 
section; and
    (4) Interoperable video conferencing service, as that term is 
defined in this section.
    (d) The term application shall mean software designed to perform or 
to help the user perform a specific task or specific tasks, such as 
communicating by voice, electronic text messaging, or video 
conferencing.
    (e) The term compatible shall have the meaning provided in Sec. 
14.21(d).
    (f) 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.
    (g) The term customized equipment or services shall mean equipment 
and services that are produced or provided to meet unique specifications 
requested by a business or enterprise customer and not otherwise 
available to the general public, including public safety networks and 
devices.
    (h) 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.
    (i) The term electronic messaging service means a service that 
provides real-time or near real-time non-voice messages in text form 
between individuals over communications networks.
    (j) The term end user equipment shall mean equipment designed for 
consumer use. Such equipment may include both hardware and software 
components.
    (k) The term hardware shall mean a tangible communications device, 
equipment, or physical component of communications technology, including 
peripheral devices, such as a smart phone, a laptop computer, a desktop 
computer, a screen, a keyboard, a speaker, or an amplifier.
    (l) The term interconnected VoIP service shall have the same meaning 
as in Sec. 9.3 of this chapter, as such section may be amended from 
time to time.
    (m) An interoperable video conferencing service means a service that 
provides real-time video communications, including audio, to enable 
users to share information of the user's choosing.
    (n) The term manufacturer shall mean an entity that makes or 
produces a product, including equipment used for advanced communications 
services, including end user equipment, network equipment, and software.
    (o) The term network equipment shall mean equipment facilitating the 
use of a network, including, routers, network interface cards, 
networking cables, modems, and other related hardware. Such equipment 
may include both hardware and software components.

[[Page 842]]

    (p) The term nominal cost in regard to accessibility and usability 
solutions shall mean small enough so as to generally not be a factor in 
the consumer's decision to acquire a product or service that the 
consumer otherwise desires.
    (q) A non-interconnected VoIP service is a service that:
    (1) Enables real-time voice communications that originate from or 
terminate to the user's location using Internet protocol or any 
successor protocol; and
    (2) Requires Internet protocol compatible customer premises 
equipment; and
    (3) Does not include any service that is an interconnected VoIP 
service.
    (r) The term peripheral devices shall mean devices employed in 
connection with equipment, including software, covered by this part to 
translate, enhance, or otherwise transform advanced communications 
services into a form accessible to individuals with disabilities.
    (s) The term service provider shall mean a provider of advanced 
communications services that are offered in or affecting interstate 
commerce, including a provider of applications and services that can be 
used for advanced communications services and that can be accessed 
(i.e., downloaded or run) by users over any service provider network.
    (t) The term software shall mean programs, procedures, rules, and 
related data and documentation that direct the use and operation of a 
computer or related device and instruct it to perform a given task or 
function.
    (u) The term specialized customer premises equipment shall mean 
customer premise equipment which is commonly used by individuals with 
disabilities to achieve access.
    (v) The term usable shall have the meaning provided in Sec. 
14.21(c).
    (w) The term real-time text shall have the meaning set forth in 
Sec. 67.1 of this chapter.
    (x) The term text-capable end user device means end user equipment 
that is able to send, receive, and display text.

[76 FR 82389, Dec. 30, 2011, as amended at 82 FR 7707, Jan. 23, 2017]



  Subpart C_Implementation Requirements_What Must Covered Entities Do?



Sec. 14.20  Obligations.

    (a) General Obligations. (1) With respect to equipment manufactured 
after the effective date of this part, a manufacturer of equipment used 
for advanced communications services, including end user equipment, 
network equipment, and software, must ensure that the equipment and 
software that such manufacturer offers for sale or otherwise distributes 
in interstate commerce shall be accessible to and usable by individuals 
with disabilities, unless the requirements of this subsection are not 
achievable.
    (2) With respect to services provided after the effective date of 
this part, a provider of advanced communications services must ensure 
that services offered by such provider in or affecting interstate 
commerce are accessible to and usable by individuals with disabilities, 
unless the requirements of this paragraph are not achievable.
    (3) If accessibility is not achievable either by building it in or 
by using third party accessibility solutions available to the consumer 
at nominal cost and that individuals with disabilities can access, then 
a manufacturer or service provider shall ensure that its equipment or 
service is compatible with existing peripheral devices or specialized 
customer premises equipment, unless the requirements of this subsection 
are not achievable.
    (4) Providers of advanced communications services shall not install 
network features, functions, or capabilities that impede accessibility 
or usability.
    (5) Providers of advanced communications services, manufacturers of 
equipment used with these services, and providers of networks used with 
these services may not impair or impede the accessibility of information 
content when accessibility has been incorporated into that content for 
transmission through such services, equipment or networks.
    (b) Product design, development, and evaluation. (1) Manufacturers 
and service providers must consider performance objectives set forth in 
Sec. 14.21 at

[[Page 843]]

the design stage as early as possible and must implement such 
performance objectives, to the extent that they are achievable.
    (2) Manufacturers and service providers must identify barriers to 
accessibility and usability as part of such evaluation.
    (c) Information Pass Through. Equipment used for advanced 
communications services, including end user equipment, network 
equipment, and software must pass through cross-manufacturer, 
nonproprietary, industry-standard codes, translation protocols, formats 
or other information necessary to provide advanced communications 
services in an accessible format, if achievable. Signal compression 
technologies shall not remove information needed for access or shall 
restore it upon decompression.
    (d) Information, documentation, and training. Manufacturers and 
service providers must ensure that the information and documentation 
that they provide to customers is accessible, if achievable. Such 
information and documentation includes, but is not limited to, user 
guides, bills, installation guides for end user devices, and product 
support communications. The requirement to ensure the information is 
accessible also includes ensuring that individuals with disabilities can 
access, at no extra cost, call centers and customer support regarding 
both the product generally and the accessibility features of the 
product.



Sec. 14.21  Performance Objectives.

    (a) Generally. Manufacturers and service providers shall ensure that 
equipment and services covered by this part are accessible, usable, and 
compatible as those terms are defined in paragraphs (b) through (d) of 
this section.
    (b) Accessible. 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.
    (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, [shall] 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

[[Page 844]]

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.
    (3) Real-Time Text. Wireless interconnected VoIP services subject to 
this part and text-capable end user devices used with such services that 
do not themselves provide TTY functionality, may provide TTY 
connectability and signal compatibility pursuant to paragraphs (b)(3) 
and (4) of this section, or support real-time text communications, in 
accordance with 47 CFR part 67.
    (c) Usable. 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 and technical support 
functionally equivalent to that provided to individuals without 
disabilities.
    (d) Compatible. The term compatible shall mean compatible with 
peripheral devices and specialized customer premises equipment, 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 that 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.
    (5) TTY Support Exemption. Interconnected and non-interconnected 
VoIP services subject to this part that are provided over wireless IP 
facilities and equipment are not required to provide TTY connectability 
and TTY signal compatibility if such services and equipment support 
real-time text, in accordance with 47 CFR part 67.

[76 FR 82389, Dec. 30, 2011, as amended at 82 FR 7707, Jan. 23, 2017]



  Subpart D_Recordkeeping, Consumer Dispute Assistance, and Enforcement



Sec. 14.30  Generally.

    (a) The rules in this subpart regarding recordkeeping and 
enforcement are

[[Page 845]]

applicable to all manufacturers and service providers that are subject 
to the requirements of sections 255, 716, and 718 of the Act and parts 
6, 7 and 14 of this chapter.
    (b) The requirements set forth in Sec. 14.31 of this subpart shall 
be effective January 30, 2013.
    (c) The requirements set forth in Sec. Sec. 14.32 through 14.37 of 
this subpart shall be effective on October 8, 2013.



Sec. 14.31  Recordkeeping.

    (a) Each manufacturer and service provider subject to section 255, 
716, or 718 of the Act, must create and maintain, in the ordinary course 
of business and for a two year period from the date a product ceases to 
be manufactured or a service ceases to be offered, records of the 
efforts taken by such manufacturer or provider to implement sections 
255, 716, and 718 with regard to this product or service, as applicable, 
including:
    (1) Information about the manufacturer's or service provider's 
efforts to consult with individuals with disabilities;
    (2) Descriptions of the accessibility features of its products and 
services; and
    (3) Information about the compatibility of its products and services 
with peripheral devices or specialized customer premise equipment 
commonly used by individuals with disabilities to achieve access.
    (b) An officer of each manufacturer and service provider subject to 
section 255, 716, or 718 of the Act, must sign and file an annual 
compliance certificate with the Commission.
    (1) The certificate must state that the manufacturer or service 
provider, as applicable, has established operating procedures that are 
adequate to ensure compliance with the recordkeeping rules in this 
subpart and that records are being kept in accordance with this section 
and be supported with an affidavit or declaration under penalty of 
perjury, signed and dated by the authorized officer of the company with 
personal knowledge of the representations provided in the company's 
certification, verifying the truth and accuracy of the information 
therein.
    (2) The certificate shall identify the name and contact details of 
the person or persons within the company that are authorized to resolve 
complaints alleging violations of our accessibility rules and sections 
255, 716, and 718 of the Act, and the agent designated for service 
pursuant to Sec. 14.35(b) of this subpart and provide contact 
information for this agent. Contact information shall include, for the 
manufacturer or the service provider, a name or department designation, 
business address, telephone number, and, if available TTY number, 
facsimile number, and email address.
    (3) The annual certification must be filed with the Commission on 
April 1, 2013 and annually thereafter for records pertaining to the 
previous calendar year. The certificate must be updated when necessary 
to keep the contact information current.
    (c) Upon the service of a complaint, formal or informal, on a 
manufacturer or service provider under this subpart, a manufacturer or 
service provider must produce to the Commission, upon request, records 
covered by this section and may assert a statutory request for 
confidentiality for these records under 47 U.S.C. 618(a)(5)(C) and Sec. 
0.457(c) of this chapter. All other information submitted to the 
Commission pursuant to this subpart or pursuant to any other request by 
the Commission may be submitted pursuant to a request for 
confidentiality in accordance with Sec. 0.459 of this chapter.



Sec. 14.32  Consumer Dispute Assistance.

    (a) A consumer or any other party may transmit a Request for Dispute 
Assistance to the Consumer and Governmental Affairs Bureau by any 
reasonable means, including by the Commission's online informal 
complaint filing system, U.S. Mail, overnight delivery, or email to 
[email protected]. Any Requests filed using a method other than the 
Commission's online system should include a cover letter that references 
section 255, 716, or 718 or the rules of parts 6, 7, or 14 of this 
chapter and should be addressed to the Consumer and Governmental Affairs 
Bureau. Any party with a question about information that should be 
included in a Request for Dispute Assistance should

[[Page 846]]

email the Commission's Disability Rights Office at [email protected] or call 
(202) 418-2517 (voice), (202) 418-2922 (TTY).
    (b) A Request for Dispute Assistance shall include:
    (1) The name, address, email address, and telephone number of the 
party making the Request (Requester);
    (2) The name of the manufacturer or service provider that the 
requester believes is in violation of section 255, 716, or 718 or the 
rules in this part, and the name, address, and telephone number of the 
manufacturer or service provider, if known;
    (3) An explanation of why the requester believes the manufacturer or 
service provider is in violation of section 255, 716, or 718 or the 
rules in this part, including details regarding the service or equipment 
and the relief requested, and all documentation that supports the 
requester's contention;
    (4) The date or dates on which the requester either purchased, 
acquired, or used (or attempted to purchase, acquire, or use) the 
equipment or service in question;
    (5) The Requester's preferred format or method of response to its 
Request for Dispute Assistance by CGB or the manufacturer or service 
provider (e.g., letter, facsimile transmission, telephone (voice/TRS/
TTY), email, audio-cassette recording, Braille, or some other method 
that will best accommodate the Requester's disability, if any);
    (6) Any other information that may be helpful to CGB and the 
manufacturer or service provider to understand the nature of the 
dispute;
    (7) Description of any contacts with the manufacturer or service 
provider to resolve the dispute, including, but not limited to, dates or 
approximate dates, any offers to settle, etc.; and
    (8) What the Requester is seeking to resolve the dispute.
    (c) CGB shall forward the Request for Dispute Assistance to the 
manufacturer or service provider named in the Request. CGB shall serve 
the manufacturer or service provider using the contact details of the 
certification to be filed pursuant to Sec. 14.31(b). Service using 
contact details provided pursuant to Sec. 14.31(b) is deemed served. 
Failure by a manufacturer or service provider to file or keep the 
contact information current will not be a defense of lack of service.
    (d) CGB will assist the Requester and the manufacturer or service 
provider in reaching a settlement of the dispute.
    (e) Thirty days after the Request for Dispute Assistance was filed, 
if a settlement has not been reached between the Requester and the 
manufacturer or service provider, the Requester may file an informal 
complaint with the Commission;
    (f) When a Requester files an informal complaint with the 
Enforcement Bureau, as provided in Sec. 14.34, the Commission will deem 
the CGB dispute assistance process closed and the requester and 
manufacturer or service provider shall be barred from further use of the 
Commission's dispute assistance process so long as a complaint is 
pending.



Sec. 14.33  Informal or formal complaints.

    Complaints against manufacturers or service providers, as defined 
under this subpart, for alleged violations of this subpart may be either 
informal or formal.



Sec. 14.34  Informal complaints; form, filing, content, and consumer
assistance.

    (a) An informal complaint alleging a violation of section 255, 716 
or 718 of the Act or parts 6, 7, or 14 of this chapter may be 
transmitted to the Enforcement Bureau by any reasonable means, including 
the Commission's online informal complaint filing system, U.S. Mail, 
overnight delivery, or email. Any Requests filed using a method other 
than the Commission's online system should include a cover letter that 
references section 255, 716, or 718 or the rules of parts 6, 7, or 14 of 
this chapter and should be addressed to the Enforcement Bureau.
    (b) An informal complaint shall include:
    (1) The name, address, email address, and telephone number of the 
complainant;
    (2) The name, address, and telephone number of the manufacturer or 
service provider defendant against whom the complaint is made;

[[Page 847]]

    (3) The date or dates on which the complainant or person(s) on whose 
behalf the complaint is being filed either purchased, acquired, or used 
or attempted to purchase, acquire, or use the equipment or service about 
which the complaint is being made;
    (4) A complete statement of fact explaining why the complainant 
contends that the defendant manufacturer or provider is in violation of 
section 255, 716 or 718 of the Act or the Commission's rules, including 
details regarding the service or equipment and the relief requested, and 
all documentation that supports the complainant's contention;
    (5) A certification that the complainant submitted to the Commission 
a Request for Dispute Assistance, pursuant to Sec. 14.32, no less than 
30 days before the complaint is filed;
    (6) The complainant's preferred format or method of response to the 
complaint by the Commission and defendant (e.g., letter, facsimile 
transmissions, telephone (voice/TRS/TTY), email, audio-cassette 
recording, Braille, or some other method that will best accommodate the 
complainant's disability, if any); and
    (7) Any other information that is required by the Commission's 
accessibility complaint form.
    (c) Any party with a question about information that should be 
included in an Informal Complaint should email the Commission's 
Disability Rights Office at [email protected] or call (202) 418-2517 (voice), 
(202) 418-2922 (TTY).



Sec. 14.35  Procedure; designation of agents for service.

    (a) The Commission shall forward any informal complaint meeting the 
requirements of Sec. 14.34 of this subpart to each manufacturer and 
service provider named in or determined by the staff to be implicated by 
the complaint.
    (b) To ensure prompt and effective service of informal and formal 
complaints filed under this subpart, every manufacturer and service 
provider subject to the requirements of section 255, 716, or 718 of the 
Act and parts 6, 7, or 14 of this chapter 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. 
The agent shall be designated in the manufacturer or service provider's 
annual certification pursuant to Sec. 14.31.



Sec. 14.36  Answers and replies to informal complaints.

    (a) After a complainant makes a prima facie case by asserting that a 
product or service is not accessible, the manufacturer or service 
provider to whom the informal complaint is directed bears the burden of 
proving that the product or service is accessible or, if not accessible, 
that accessibility is not achievable under this part or readily 
achievable under parts 6 and 7. To carry its burden of proof, a 
manufacturer or service provider must produce documents demonstrating 
its due diligence in exploring accessibility and achievability, as 
required by parts 6, 7, or 14 of this chapter throughout the design, 
development, testing, and deployment stages of a product or service. 
Conclusory and unsupported claims are insufficient to carry this burden 
of proof.
    (b) Any manufacturer or service provider to whom an informal 
complaint is served by the Commission under this subpart shall file and 
serve an answer responsive to the complaint and any inquires set forth 
by the Commission.
    (1) The answer shall:
    (i) Be filed with the Commission within twenty days of service of 
the complaint, unless the Commission or its staff specifies another time 
period;
    (ii) Respond specifically to each material allegation in the 
complaint and assert any defenses that the manufacturer or service 
provider claim;
    (iii) Include a declaration by an officer of the manufacturer or 
service provider attesting to the truth of the facts asserted in the 
answer;
    (iv) Set forth any remedial actions already taken or proposed 
alternative relief without any prejudice to any denials or defenses 
raised;
    (v) Provide any other information or materials specified by the 
Commission as relevant to its consideration of the complaint; and

[[Page 848]]

    (vi) Be prepared or formatted, including in electronic readable 
format compatible with the Commission's Summation or other software in 
the manner requested by the Commission and the complainant, unless 
otherwise permitted by the Commission for good cause shown.
    (2) If the manufacturer's or service provider's answer includes the 
defense that it was not achievable for the manufacturer or service 
provider to make its product or service accessible, the manufacturer or 
service provider shall carry the burden of proof on the defense and the 
answer shall:
    (i) Set forth the steps taken by the manufacturer or service 
provider to make the product or service accessible and usable;
    (ii) Set forth the procedures and processes used by the manufacturer 
or service provider to evaluate whether it was achievable to make the 
product or service accessible and usable in cases where the manufacturer 
or service provider alleges it was not achievable to do so;
    (iii) Set forth the manufacturer's basis for determining that it was 
not achievable to make the product or service accessible and usable in 
cases where the manufacturer or service provider so alleges; and
    (iv) Provide all documents supporting the manufacturer's or service 
provider's conclusion that it was not achievable to make the product or 
service accessible and usable in cases where the manufacturer or service 
provider so alleges.
    (c) Any manufacturer or service provider to whom an informal 
complaint is served by the Commission under this subpart shall serve the 
complainant and the Commission with a non-confidential summary of the 
answer filed with the Commission within twenty days of service of the 
complaint. The non-confidential summary must contain the essential 
elements of the answer, including, but not limited to, any asserted 
defenses to the complaint, must address the material elements of its 
answer, and include sufficient information to allow the complainant to 
file a reply, if the complainant chooses to do so.
    (d) The complainant may file and serve a reply. The reply shall:
    (1) Be served on the Commission and the manufacturer or service 
provider that is subject of the complaint within ten days after service 
of answer, unless otherwise directed by the Commission;
    (2) Be responsive to matters contained in the answer and shall not 
contain new matters.



Sec. 14.37  Review and disposition of informal complaints.

    (a) The Commission will investigate the allegations in any informal 
complaint filed that satisfies the requirements of Sec. 14.34(b) of 
this subpart, and, within 180 days after the date on which such 
complaint was filed with the Commission, issue an order finding whether 
the manufacturer or service provider that is the subject of the 
complaint violated section 255, 716, or 718 of the Act, or the 
Commission's implementing rules, and provide a basis therefore, unless 
such complaint is resolved before that time.
    (b) If the Commission determines in an order issued pursuant to 
paragraph (a) of this section that the manufacturer or service provider 
violated section 255, 716, or 718 of the Act, or the Commission's 
implementing rules, the Commission may, in such order, or in a 
subsequent order:
    (1) Direct the manufacturer or service provider to bring the 
service, or in the case of a manufacturer, the next generation of the 
equipment or device, into compliance with the requirements of section 
255, 716, or 718 of the Act, and the Commission's rules, within a 
reasonable period of time; and
    (2) Take such other enforcement action as the Commission is 
authorized and as it deems appropriate.
    (c) Any manufacturer or service provider that is the subject of an 
order issued pursuant to paragraph (b)(1) of this section shall have a 
reasonable opportunity, as established by the Commission, to comment on 
the Commission's proposed remedial action before the Commission issues a 
final order with respect to that action.

[[Page 849]]



Sec. 14.38  Formal Complaints; 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 
briefs, written interrogatories, and other supplementary documents or 
pleadings.
    (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) 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.
    (i) 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.



Sec. 14.39  Format and content of formal complaints.

    (a) Subject to paragraph (d) of this section governing supplemental 
complaints filed pursuant to Sec. 14.39 of this subpart, 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. 14.38(c) of this subpart 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;
    (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

[[Page 850]]

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 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)

                                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 post office address, and telephone number of each 
complainant).
(2) (Here insert the name, 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).

[[Page 851]]

Wherefore, complainant asks (here state specifically the relief 
desired).
(Date)
(Name of each complainant)
(Name, address, and telephone number of attorney, if any)

    (c) The complainant may petition the staff, pursuant to Sec. 1.3 of 
this chapter, for a waiver of any of the requirements of this section. 
Such waiver may be granted for good cause shown.
    (d) Supplemental complaints.
    (1) Supplemental complaints filed pursuant to Sec. 14.39 shall 
conform to the requirements set out in this section and Sec. 14.38 of 
this subpart, except that the requirements in Sec. Sec. 14.38(b), 14.39 
(a)(4), (a)(5), (a)(8), (a)(9), (a)(12), and (a)(13) of this subpart 
shall not apply to such supplemental complaints;
    (2) In addition, supplemental complaints filed pursuant to Sec. 
14.39 of this subpart 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. 14.38(c) 
of this subpart 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. 14.39 of this 
subpart 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.




Sec. 14.40  Damages.

    (a) A complaint against a common carrier may seek damages. 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

[[Page 852]]

    (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, the complainant may initiate a separate proceeding to 
obtain a determination of damages by filing a supplemental complaint 
that complies with Sec. 14.39(d) of this subpart 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.

[[Page 853]]

    (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 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.



Sec. 14.41  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.



Sec. 14.42  Answers.

    (a) Any defendant upon whom 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. Sec. 14.38 and 14.39 of this subpart 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:

[[Page 854]]

    (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
    (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) The defendant may petition the staff, pursuant to Sec. 1.3 of 
this chapter, for a waiver of any of the requirements of this section. 
Such waiver may be granted for good cause shown.



Sec. 14.43  Cross-complaints and counterclaims.

    Cross-complaints seeking any relief within the jurisdiction of the 
Commission against any 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. 14.38 through 14.40 of this 
subpart. For purposes of this subpart, the term ``cross-complaint'' 
shall include counterclaims.



Sec. 14.44  Replies.

    (a) Within three days after service of an answer containing 
affirmative defenses presented in accordance with the requirements of 
Sec. 14.42(e) of this subpart, 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

[[Page 855]]

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 of 
this chapter, for a waiver of any of the requirements of this section. 
Such waiver may be granted for good cause shown.



Sec. 14.45  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. 14.38(c) of this subpart, 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. 14.51(d) of this 
subpart. 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. 
14.51(d) of this subpart. 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. 14.38(g) of this subpart.



Sec. 14.46  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 or a Commission 
rule or order will be dismissed. In such case, any amendment or 
supplement to such document will be considered a new filing which must 
be made within the statutory periods of limitations of actions contained 
in section 415 of the Communications Act.
    (b) Any other pleading filed in a formal complaint proceeding not in 
conformity with the requirements of the applicable rules in this part 
may be

[[Page 856]]

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.



Sec. 14.47  Discovery.

    (a) 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. 14.50(a) of this subpart.
    (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. 14.50(a)(5) of this subpart, 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 a Commission-ordered 
discovery request may file a motion to compel within ten days of the 
service of such response, or as otherwise directed by Commission staff, 
pursuant to the requirements of Sec. 14.45 of this subpart.
    (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

[[Page 857]]

    (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.



Sec. 14.48  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.



Sec. 14.49  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 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

[[Page 858]]

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. 14.39(a)(10)(i), (a)(10)(ii), 14.27(f)(1), 
(f)(2), and 14.44(d)(1), (d)(2) of this subpart. Any other supporting 
documentation or affidavits that are 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. 14.48 of this subpart 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. 14.50(a) of this subpart.



Sec. 14.50  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, 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;
    (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) Parties shall meet and confer prior to the initial status 
conference to discuss:

[[Page 859]]

    (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
    (2) 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 p.m., 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. 
14.51(d) of this subpart; or
    (2) Pursuant to the requirements of paragraph (e) of this section, 
submit to the Commission by 5:30 p.m., 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;
    (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.

[[Page 860]]



Sec. 14.51  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 of 
this chapter.
    (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.
    (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 word processing 
software. Each disk should be submitted in ``read only'' mode. Each disk 
should be clearly labeled 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.



Sec. 14.52  Copies; service; separate filings against multiple
defendants.

    (a) Complaints may generally be brought against only one named 
defendant; such actions may not be brought against multiple defendants 
unless the defendants 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 
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 Enforcement Bureau; and
    (3) If a complaint is addressed against multiple defendants, 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.

[[Page 861]]

    (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) of this chapter. 
Service is deemed effective as follows:
    (1) Service by hand delivery that is delivered to the office of the 
recipient by 5:30 p.m., 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 p.m., local time of 
the recipient, on a business day will be deemed served on the following 
business day;
    (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 p.m., 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 p.m., 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 Sec. 14.39 of this subpart 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.



   Subpart E_Internet Browsers Built Into Telephones Used With Public 
                            Mobile Services.

    Source: 78 FR 30230, May 22, 2013, unless otherwise noted.



Sec. 14.60  Applicability.

    (a) This subpart E shall apply to a manufacturer of a telephone used 
with public mobile services (as such term is defined in 47 U.S.C. 
710(b)(4)(B)) that includes an Internet browser in such telephone that 
is offered for sale or otherwise distributed in interstate commerce, or 
a provider of mobile services that arranges for the inclusion of a 
browser in telephones to sell or otherwise distribute to customers in 
interstate commerce.
    (b) Only the following enumerated provisions contained in this part 
14 shall apply to this subpart E.
    (1) The limitations contained in Sec. 14.2 shall apply to this 
subpart E.
    (2) The definitions contained in Sec. 14.10 shall apply to this 
subpart E.
    (3) The product design, development and evaluation provisions 
contained in Sec. 14.20(b) shall apply to this subpart E.
    (4) The information, documentation, and training provisions 
contained in Sec. 14.20(d) shall apply to this subpart E.
    (5) The performance objectives provisions contained in Sec. 
14.21(a), (b)(1)(i), (b)(1)(ii), (b)(1)(iii), (b)(2)(i), (b)(2)(ii), 
(b)(2)(iii), (b)(2)(vii), and (c) shall apply to this subpart E.
    (6) All of subpart D shall apply to this subpart E.



Sec. 14.61  Obligations with respect to internet browsers built into
mobile phones.

    (a) Accessibility. If on or after October 8, 2013 a manufacturer of 
a telephone used with public mobile services includes an Internet 
browser in such telephone, or if a provider of mobile service arranges 
for the inclusion of a browser in telephones to sell to customers, the 
manufacturer or provider shall ensure that the functions of the included 
browser (including the ability to launch the browser) are accessible to 
and usable by individuals who are blind or have a visual impairment, 
unless doing so is not achievable, except that

[[Page 862]]

this subpart shall not impose any requirement on such manufacturer or 
provider--
    (1) To make accessible or usable any Internet browser other than a 
browser that such manufacturer or provider includes or arranges to 
include in the telephone; or
    (2) To make Internet content, applications, or services accessible 
or usable (other than enabling individuals with disabilities to use an 
included browser to access such content, applications, or services).
    (b) Industry flexibility. A manufacturer or provider may satisfy the 
requirements of this subpart with respect to such telephone or services 
by--
    (1) Ensuring that the telephone or services that such manufacturer 
or provider offers is accessible to and usable by individuals with 
disabilities without the use of third-party applications, peripheral 
devices, software, hardware, or customer premises equipment; or
    (2) Using third-party applications, peripheral devices, software, 
hardware, or customer premises equipment that is available to the 
consumer at nominal cost and that individuals with disabilities can 
access.



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 [Reserved]
15.9 Prohibition against eavesdropping.
15.11 Cross reference.
15.13 Incidental radiators.
15.15 General technical requirements.
15.17 Susceptibility to interference.
15.19 Labelling requirements.
15.21 Information to user.
15.23 Home-built devices.
15.25 Kits.
15.27 Special accessories.
15.29 Inspection by the Commission.
15.31 Measurement standards.
15.32 Test procedures for CPU boards and computer power supplies.
15.33 Frequency range of radiated 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 [Reserved]
15.120 Program blocking technology requirements for television 
          receivers.
15.121 Scanning receivers and frequency converters used with scanning 
          receivers.
15.122 [Reserved]
15.123 Labeling of digital cable ready products.

                     Subpart C_Intentional Radiators

15.201 Equipment authorization requirement.
15.202 Certified operating frequency range.
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.
15.212 Modular transmitters.
15.213 Cable locating equipment.
15.214 Cordless telephones.

             Radiated Emission Limits, Additional Provisions

15.215 Additional provisions to the general radiated emission 
          limitations.
15.216 [Reserved]
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.

[[Page 863]]

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.
15.236 Operation of wireless microphones in the bands 54-72 MHz, 76-88 
          MHz, 174-216 MHz, 470-608 MHz and 614-698 MHz.
15.237 Operation in the bands 72.0-73.0 MHz, 74.6-74.8 MHz and 75.2-76.0 
          MHz.
15.239 Operation in the band 88-108 MHz.
15.240 Operation in the band 433.5-434.5 MHz.
15.241 Operation in the band 174-216 MHz.
15.242 Operation in the bands 174-216 MHz and 470-668 MHz.
15.243 Operation in the band 890-940 MHz.
15.245 Operation within the bands 902-928 MHz, 2435-2465 MHz, 5785-5815 
          MHz, 10500-10550 MHz, and 24075-24175 MHz.
15.247 Operation within the bands 902-928 MHz, 2400-2483.5 MHz, and 
          5725-5850 MHz.
15.249 Operation within the bands 902-928 MHz, 2400-2483.5 MHz, 5725-
          5875 MHz, and 24.0-24.25 GHz.
15.250 Operation of wideband systems within the band 5925-7250 MHz.
15.251 Operation within the bands 2.9-3.26 GHz, 3.267-3.332 GHz, 3.339-
          3.3458 GHz, and 3.358-3.6 GHz.
15.252 Operation of wideband vehicular radar systems within the bands 
          16.2-17.7 GHz and 23.12-29.0 GHz.
15.253 Operation within the bands 46.7-46.9 GHz and 76.0-77.0 GHz.
15.255 Operation within the band 57-71 GHz.
15.256 Operation of level probing radars within the bands 5.925-7.250 
          GHz, 24.05-29.00 GHz, and 75-85 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 [Reserved]
15.309 Cross reference.
15.313 Measurement procedures.
15.315 Conducted limits.
15.317 Antenna requirement.
15.319 General technical requirements.
15.321 [Reserved]
15.323 Specific requirements for devices operating in the 1920-1930 MHz 
          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.

         Subpart G_Access Broadband Over Power Line (Access BPL)

15.601 Scope.
15.603 Definitions.
15.605 Cross reference.
15.607 Equipment authorization of Access BPL equipment.
15.609 Marketing of Access BPL equipment.
15.611 General technical requirements.
15.613 Measurement procedures.
15.615 General administrative requirements.

                      Subpart H_White Space Devices

15.701 Scope.
15.703 Definitions.
15.705 Cross reference.
15.706 Information to the user.
15.707 Permissible channels of operation.
15.709 General technical requirements.
15.711 Interference avoidance methods.
15.712 Interference protection requirements.
15.713 White space database.
15.714 White space database administration fees.
15.715 White space database administrator.
15.717 White space devices that rely on spectrum sensing.

    Authority: 47 U.S.C. 154, 302a, 303, 304, 307, 336, 544a, and 549.

    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.

[[Page 864]]

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 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 communications (including but not limited to 
applications such as assistive listening, auricular training, audio 
description for the blind, and simultaneous language translation) for:
    (1) Persons with disabilities: In the context of part 15 rules (47 
CFR part 15), the term ``disability,'' with respect to the individual, 
has the meaning given to it by section 3(2)(A) of the Americans with 
Disabilities Act of 1990 (42 U.S.C. 12102(2)(A)), i.e., a physical or 
mental impairment that substantially limits one or more of the major 
life activities of such individuals;
    (2) Persons who require language translation; or
    (3) Persons who may otherwise benefit from auditory assistance 
communications in places of public gatherings, such as a church, 
theater, auditorium, or educational institution.
    (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 designated for 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

[[Page 865]]

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 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

[[Page 866]]

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 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

[[Page 867]]

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 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.
    (ff) Access Broadband over Power Line (Access BPL). A carrier 
current system installed and operated on an electric utility service as 
an unintentional radiator that sends radio frequency energy on 
frequencies between 1.705 MHz and 80 MHz over medium voltage lines or 
over low voltage lines to provide broadband communications and is 
located on the supply side of the utility service's points of 
interconnection with customer premises. Access BPL does not include 
power line carrier systems as defined in Sec. 15.3(t) or In-House BPL 
as defined in Sec. 15.3(gg).
    (gg) In-House Broadband over Power Line (In-House BPL). A carrier 
current system, operating as an unintentional radiator, that sends radio 
frequency energy by conduction over electric power lines that are not 
owned, operated or controlled by an electric service provider. The 
electric power lines may be aerial (overhead), underground, or inside 
the walls, floors or ceilings of user premises. In-House BPL devices may 
establish closed networks within a user's premises or provide 
connections to Access BPL networks, or both.
    (hh) Slant-Range distance. Diagonal distance measured from the 
center of the measurement antenna to the nearest point of the overhead 
power line carrying the Access BPL signal being measured. This distance 
is equal to the hypotenuse of the right triangle as calculated in the 
formula below. The slant-range distance shall be calculated as follows:
[GRAPHIC] [TIFF OMITTED] TR21NO11.002


[[Page 868]]


Where:

dslant is the slant-range distance, in meters (see Figure 1, 
          below);
dh is the horizontal (lateral) distance between the center of 
          the measurement antenna and the vertical projection of the 
          overhead power line carrying the BPL signals down to the 
          height of the measurement antenna, in meters;
hpwr--line is the height of the power line, in meters; and
hant is the measurement antenna height, in meters.
[GRAPHIC] [TIFF OMITTED] TR21NO11.003

Dslant is the slant-range distance, in meters;
Dh is the horizontal (lateral) distance between the center of 
          the measurement antenna and the vertical projection of the 
          overhead power line carrying the BPL signals down to the 
          height of the measurement antenna, in meters;
Dlimit is the distance at which the emission limit is 
          specified in Part 15 (e.g., 30 meters for frequencies below 30 
          MHz);
Hpwr--line is the height of the power line, in meters; and
Hant is the measurement antenna height, in meters.
    (ii) Level Probing Radar (LPR): A short-range radar transmitter used 
in a wide range of applications to measure the amount of various 
substances, mostly liquids or granulates. LPR equipment may operate in 
open-air environments or inside an enclosure containing the substance 
being measured.

[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 18340, May 2, 1990; 57 
FR 33448, July 29, 1992; 59 FR 25340, May 16, 1994; 61 FR 31048, June 
19, 1996; 62 FR 26242, May 13, 1997; 64 FR 22561, Apr. 27, 1999; 65 FR 
64391, Oct. 27, 2000; 66 FR 32582, June 15, 2001; 67 FR 48993, July 29, 
2002; 70 FR 1373, Jan. 7, 2005; 76 FR 71907, Nov. 21, 2011; 78 FR 34927, 
June 11, 2013; 79 FR 12677, Mar. 6, 2014; 82 FR 41103, Aug. 29, 2017]



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. 90.35(g) of this chapter.

[[Page 869]]

    (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.

[54 FR 17714, Apr. 25, 1989, as amended at 75 FR 63031, Oct. 13, 2010]



Sec. 15.7  [Reserved]



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.



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) Except as follows, 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. Access BPL 
equipment shall comply with the applicable standards at the control 
adjustment that is employed. The measurement report used in support of 
an application for Certification and the user instructions for Access 
BPL equipment shall clearly specify the user-or installer-control 
settings that are required for conformance with these 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)).

[54 FR 17714, Apr. 25, 1989, as amended at 70 FR 1373, Jan. 7, 2005]



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

[[Page 870]]

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.

    (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:

[[Page 871]]

[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, 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 
66733, 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,

[[Page 872]]

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.
    (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

[[Page 873]]

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 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

[[Page 874]]

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 Communications Service (UPCS) devices are to 
be measured for compliance using ANSI C63.17-2013: ``American National 
Standard Methods of Measurement of the Electromagnetic and Operational 
Compatibility of Unlicensed Personal Communications Services (UPCS) 
Devices'' (incorporated by reference, see Sec. 15.38).
    (3) Other intentional radiators are to be measured for compliance 
using the following procedure: ANSI C63.10-2013 (incorporated by 
reference, see Sec. 15.38).
    (4) Unintentional radiators are to be measured for compliance using 
the following procedure excluding clauses 4.5.3, 4.6, 6.2.13, 8.2.2, 9, 
and 13: ANSI C63.4-2014 (incorporated by reference, see Sec. 15.38).
    (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 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) Except as otherwise indicated in Sec. 15.256, 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 authorization 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

[[Page 875]]

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). This paragraph (f) shall not apply 
to Access BPL devices operating below 30 MHz.
    (3) For Access BPL devices operating below 30 MHz, measurements 
shall be performed at the 30-meter reference distance specified in the 
regulations whenever possible. Measurements may be performed at a 
distance closer than that specified in the regulations if circumstances 
such as high ambient noise levels or geographic limitations are present. 
When performing measurements at a distance which is closer than 
specified, the field strength results shall be extrapolated to the 
specified distance by using the square of an inverse linear distance 
extrapolation factor (i.e., 40 dB/decade) in conjunction with the slant-
range distance defined in Sec. 15.3(hh) of this part. As an 
alternative, a site-specific extrapolation factor derived from a 
straight line best fit of measurements of field strength in dB[micro]V/m 
vs. logarithmic distance in meters for each carrier frequency, as 
determined by a linear least squares regression calculation from 
measurements for at least four distances from the power line, may be 
used. Compliance measurements for Access BPL and the use of site-
specific extrapolation factors shall be made in accordance with the 
Measurement Guidelines for Access BPL systems specified by the 
Commission. Site-specific determination of the distance extrapolation 
factor shall not be used at locations where a ground conductor is 
present within 30 meters if the Access BPL signals are on the neutral/
grounded line of a power system.
    (4) 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.
    (5) 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 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.
    (6) 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 the equipment authorization report. This paragraph shall not apply to 
Access BPL equipment on overhead medium voltage lines. In lieu thereof, 
the measurement guidelines established by the Commission for Access BPL 
shall be followed.
    (g) Equipment under test shall be positioned and 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 operator, 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

[[Page 876]]

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 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

[[Page 877]]

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).
    (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.
    (q) As an alternative to Sec. 15.256, a level probing radar (LPR) 
may be certified as an intentional radiator by showing compliance with 
the general provisions for operation under part 15 subpart C of this 
chapter, provided that the device is tested in accordance with the 
provisions in either paragraphs (q)(1) or (2) of this section. 
Compliance with the general provisions for an intentional radiator may 
require compliance with other rules in this part, e.g., Sec. Sec. 15.5, 
15.31, and 15.35, etc., when referenced.
    (1) An LPR device intended for installation inside metal and 
concrete enclosures may show compliance for radiated emissions when 
measured outside a representative enclosure with the LPR installed 
inside, in accordance with the measurement guidelines established by the 
Commission for these devices. LPR devices operating inside these types 
of enclosures shall ensure that the enclosure is closed when the radar 
device is operating. Care shall be taken to ensure that gaskets, 
flanges, and other openings are sealed to eliminate signal leakage 
outside of the structure. The responsible party shall take reasonable 
steps to ensure that LPR devices intended for use in these types of 
enclosures shall not be installed in open-air environments or inside 
enclosures with lower radio-frequency attenuating characteristics (e.g., 
fiberglass, plastic, etc.). An LPR device approved under this subsection 
may only be operated in the type of enclosure for which it was approved.
    (2) Except as provided in paragraph (q)(1) of this section, an LPR 
device shall be placed in testing positions that ensure the field 
strength values of the

[[Page 878]]

radiated emissions are maximized, including in the main beam of the LPR 
antenna.

[54 FR 17714, Apr. 25, 1989, as amended at 56 FR 13083, Mar. 29, 1991; 
57 FR 24990, June 12, 1992; 57 FR 33448, July 29, 1992; 58 FR 37430, 
July 12, 1993; 58 FR 51249, Oct. 1, 1993; 61 FR 14502, Apr. 2, 1996; 62 
FR 41881, Aug. 4, 1997; 62 FR 45333, Aug. 27, 1997; 63 FR 36602, July 7, 
1998; 63 FR 42278, Aug. 7, 1998; 65 FR 58466, Sept. 29, 2000; 68 FR 
68545, Dec. 9, 2003; 69 FR 54034, Sept. 7, 2004; 70 FR 1373, Jan. 7, 
2005; 76 FR 71908, Nov. 21, 2011; 77 FR 4913, Feb. 1, 2012; 77 FR 43013, 
July 23, 2012; 79 FR 12677, Mar. 6, 2014; 80 FR 2838, Jan. 21, 2015; 80 
FR 33447, June 12, 2015]



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 an 
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 below 9 kHz, up to at least the frequency shown in this paragraph:

[[Page 879]]

    (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 equipment subject to those regulations. In some 
cases, depending on the frequency(ies) generated and used by

[[Page 880]]

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 specified, on any frequency or frequencies 
above 1000 MHz, the radiated emission limits are based on the use of 
measurement instrumentation employing an average detector function. 
Unless otherwise specified, measurements above 1000 MHz shall be 
performed using a minimum resolution bandwidth of 1 MHz. When average 
radiated emission measurements are specified in this part, including 
average emission measurements below 1000 MHz, there also is a limit on 
the peak level of the radio frequency emissions. Unless otherwise 
specified, e.g., see Sec. Sec. 15.250, 15.252, 15.253(d), 15.255, 
15.256, and 15.509 through 15.519 of this part, the limit on peak radio 
frequency emissions is 20 dB above the maximum permitted average 
emission limit applicable to the equipment under test. This peak limit 
applies to the total peak emission level radiated by the device, e.g., 
the total peak power level. Note that the use of a pulse desensitization 
correction factor may be needed to determine the total peak emission 
level. The instruction manual or application note for the measurement 
instrument should be consulted for determining pulse desensitization 
factors, as necessary.
    (c) Unless otherwise specified, e.g., Sec. Sec. 15.255(b), and 
15.256(l)(5), 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; 70 FR 6773, Feb. 9, 2005; 77 FR 48102, Aug. 13, 2012; 79 FR 
12678, Mar. 6, 2014]

[[Page 881]]



Sec. 15.37  Transition provisions for compliance with the rules.

    (a) 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.
    (b) 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 found in subpart H of part 95 of this chapter.
    (c) 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.
    (d) 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. 2.925 of this chapter and Sec. 15.19(a) on the individual 
equipment carton rather than on the device, and are exempt from 
complying with the requirements of Sec. 15.21.
    (e) U-NII equipment operating in the 5.25-5.35 GHz band for which 
applications for certification are filed on or after July 20, 2006 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 on or after July 20, 2007 shall comply with the DFS and TPC 
requirements in Sec. 15.407.
    (f) All Access BPL devices that are manufactured, imported, marketed 
or installed on or after July 7, 2006, shall comply with the 
requirements specified in subpart G of this part, including 
certification of the equipment.
    (g) The manufacture or importation of auditory assistance devices 
that operate in the 72.0-73.0 MHz, 74.6-74.8 MHz, and 75.2-76.0 MHz 
bands that do not comply with the requirements of Sec. 15.237(c) shall 
cease on or before July 11, 2016. Effective January 12, 2015, equipment 
approval will not be granted for auditory assistance devices that 
operate in the 72.0-73.0 MHz, 74.6-74.8 MHz, and 75.2-76.0 MHz bands 
that do not comply with the requirements of Sec. 15.237(c). These rules 
do not prohibit the sale or use of authorized auditory assistance 
devices that operate in the 72.0-73.0 MHz, 74.6-74.8 MHz, and 75.2-76.0 
MHz bands manufactured in the United States, or imported into the United 
States, prior to July 11, 2016.
    (h) Effective June 2, 2015 devices using digital modulation 
techniques in the 5725-5850 MHz bands will no longer be certified under 
the provisions of Sec. 15.247. The technical requirements for obtaining 
certification after this date for digitally modulated devices and the 
digitally modulated portion of hybrid devices are found in subpart E of 
this part. The provisions for the frequency hopping spread spectrum 
portion of hybrid devices will remain in Sec. 15.247. Effective June 2, 
2016 systems using digital modulation techniques in the 5725-5850 MHz 
band certified under the provisions of Sec. 15.247 may no longer be 
imported or marketed within the United States.
    (i) Wireless microphones for which an application for certification 
is filed beginning nine months after the release of the Channel 
Reassignment PN, as defined in Sec. 73.3700(a)(2) of this chapter, or 
no later than December 26, 2017, whichever occurs first, must comply 
with the requirements of Sec. 15.236. Manufacturing and marketing of 
wireless microphones

[[Page 882]]

that would not comply with the rules for operation in Sec. 15.236 of 
this part must cease 18 months after release of the Channel Reassignment 
PN or no later than September 24, 2018, whichever occurs first. A 
wireless microphone that is certified to operate in any portion of the 
600 MHz service band as defined in Sec. 15.236(a) may no longer be 
marketed or operated after the specified cutoff dates, even if it could 
be tuned to operate on frequencies outside of this band.
    (j) White space devices for which a certification application is 
filed beginning June 23, 2016, must comply with the channel push 
requirements in Sec. 15.711(i) of this part. White space devices that 
are imported or marketed beginning September 23, 2016, must comply with 
this requirement. White space devices that do not comply with this 
requirement must cease operation no later than December 23, 2016.
    (k) Disclosure requirements for unlicensed wireless microphones 
capable of operating in the 600 MHz service band. Any person who 
manufactures, sells, leases, or offers for sale or lease, unlicensed 
wireless microphones that are capable of operating in the 600 MHz 
service band, as defined in this part, three months following issuance 
of the Channel Reassignment Public Notice, as defined in section 
73.3700(a)(2) of this chapter, is subject to the following disclosure 
requirements:
    (1) Such persons must display the consumer disclosure text, as 
specified by the Consumer and Governmental Affairs Bureau, at the point 
of sale or lease of each such unlicensed wireless microphone. The text 
must be displayed in a clear, conspicuous, and readily legible manner. 
One way to fulfill the requirement in this section is to display the 
consumer disclosure text in a prominent manner on the product box by 
using a label (either printed onto the box or otherwise affixed to the 
box), a sticker, or other means. Another way to fulfill this requirement 
is to display the text immediately adjacent to each unlicensed wireless 
microphone offered for sale or lease and clearly associated with the 
model to which it pertains.
    (2) If such persons offer such unlicensed wireless microphones via 
direct mail, catalog, or electronic means, they shall prominently 
display the consumer disclosure text in close proximity to the images 
and descriptions of each such unlicensed wireless microphone. The text 
should be in a size large enough to be clear, conspicuous, and readily 
legible, consistent with the dimensions of the advertisement or 
description.
    (3) If such persons have Web sites pertaining to these unlicensed 
wireless microphones, the consumer disclosure text must be displayed 
there in a clear, conspicuous, and readily legible manner (even in the 
event such persons do not sell unlicensed wireless microphones directly 
to the public).
    (4) The consumer disclosure text described in paragraph (k)(1) of 
this section is set forth as an appendix to this section.

[77 FR 4913, Feb. 1, 2012, as amended at 78 FR 34927, June 11, 2013; 79 
FR 24578, May 1, 2014; 80 FR 71728, Nov. 17, 2015; 80 FR 73068, Nov. 23, 
2015]

    Effective Date Notes: 1. At 80 FR 71728, Nov. 17, 2015, Sec. 
15.37(k) 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.
    2. At 82 FR 41559, Sept. 1, 2017, Sec. 15.37 was amended by 
revising paragraph (i) and paragraph (k) introductory text, effective 
Oct. 2, 2017. For the convenience of the user, the revised text is set 
forth as follows:



Sec. 15.37  Transition provisions for compliance with the rules.

                                * * * * *

    (i) As of December 26, 2017, wireless microphones for which an 
application for certification is filed must comply with the requirements 
of Sec. 15.236. Manufacturing and marketing of wireless microphones 
that would not comply with the rules for operation in Sec. 15.236 must 
cease no later than September 24, 2018. Only wireless microphones 
certified for operation under this part may be operated under this part 
as of July 13, 2020.

                                * * * * *

    (k) Disclosure requirements for unlicensed wireless microphones 
capable of operating in the 600 MHz service band. Any person who 
manufactures, sells, leases, or offers for sale or lease, unlicensed 
wireless microphones that are capable of operating in the 600 MHz 
service band, as defined in this part, on or after

[[Page 883]]

July 13, 2017, is subject to the following disclosure requirements:

                                * * * * *

    3. At 82 FR 43870, Sept. 20, 2017, Sec. 15.37 was amended by adding 
paragraphs (l) through (p). Paragraph (l) is to become effective Sept. 
20, 2018. Paragraphs (m) through (p) are effective Oct. 20, 2017. For 
the convenience of the user, the added text is set forth as follows:



Sec. 15.37  Transition provisions for compliance with the rules.

                                * * * * *

    (l) The certification of wideband vehicular radars designed to 
operate in the 23.12-29 GHz band under Sec. 15.252 and ultra-wideband 
vehicular radars designed to operate in the 22-29 GHz band under Sec. 
15.515 shall not be permitted on or after September 20, 2018.
    (m) The manufacture, importation, marketing, sale, and installation 
of wideband or ultra-wideband vehicular radars that are designed to 
operate in the 23.12-29 GHz band under Sec. 15.252 and/or in the 22-29 
GHz band under Sec. 15.515 shall not be permitted after January 1, 
2022. Notwithstanding the foregoing, sale and installation of such 
radars is permitted, for the life of the vehicle, when the following 
conditions have been met:
    (1) The sale and installation is for the exclusive purpose of 
repairing or replacing defective, damaged, or potentially malfunctioning 
radars that are designed to operate in the 23.12-29 GHz band under Sec. 
15.252 and/or in the 22-29 GHz band under Sec. 15.515;
    (2) The equipment being repaired or replaced has been installed in 
the vehicle on or before January 1, 2022; and
    (3) It is not possible to replace the vehicular radar equipment 
designed to operate in the 23.12-29 GHz and/or 22-29 GHz bands with 
vehicular radar equipment designed to operate in the 76-81 GHz band.
    (n) Wideband or ultra-wideband vehicular radars operating in the 
23.12-29 GHz band under Sec. 15.252 and/or in the 22-29 GHz band under 
Sec. 15.515 that are already installed or in use may continue to 
operate in accordance with their previously obtained certification. 
Class II permissive changes for such equipment shall not be permitted 
after January 1, 2022.
    (o) Applicable July 13, 2017, the certification, manufacture, 
importation, marketing, sale, and installation of field disturbance 
sensors that are designed to operate in the 16.2-17.7 GHz and 46.7-46.9 
GHz bands shall not be permitted. Field disturbance sensors already 
installed or in use in the 16.2-17.7 GHz band may continue to operate in 
accordance with their previously obtained certification. Class II 
permissive changes shall not be permitted for such equipment.
    (p) Effective October 20, 2017, the certification under this part of 
vehicular radars and fixed radar systems used in airport air operations 
areas that are designed to operate in the 76-77 GHz band shall not be 
permitted. Vehicular radars and fixed radar systems used in airport air 
operations areas operating in the 76-77 GHz band that are already 
installed or in use may continue to operate in accordance with their 
previously obtained certification. Any future certification, or any 
change of already issued certification and operations of such equipment, 
shall be under part 95, subpart M, of this chapter.



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, (202) 418-0270, 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 documents are available from the following 
address: American National Standards Institute (ANSI), 25 West 43rd 
Street, 4th Floor, New York, NY 10036, (212) 642-4900, or at http://
webstore.ansi.org/ansidocstore/default.asp;
    (1) ANSI C63.17-2013: ``American National Standard for Methods of 
Measurement of the Electromagnetic and Operational Compatibility of 
Unlicensed Personal Communications Services (UPCS) Devices,'' approved 
August 12, 2013, IBR approved for Sec. 15.31.
    (2) Third Edition of the International Special Committee on Radio 
Interference (CISPR), Pub. 22, Information

[[Page 884]]

Technology Equipment-Radio Disturbance Characteristics-Limits and 
Methods of Measurement,'' 1997, IBR approved for Sec. 15.09.
    (c) The following documents are available from the following 
address: Cable Television Laboratories, Inc., 858 Coal Creek Circle, 
Louisville, Colorado, 80027, http://www.cablelabs.com/opencable/udcp, 
(303) 661-9100;
    (1) M-UDCP-PICS-I04-080225, ``Uni-Directional Cable Product 
Supporting M-Card: Multiple Profiles; Conformance Checklist: PICS,'' 
February 25, 2008, IBR approved for Sec. 15.123(c).
    (2) TP-ATP-M-UDCP-I05-20080304, ``Uni-Directional Digital Cable 
Products Supporting M-Card; M-UDCP Device Acceptance Test Plan,'' March 
4, 2008, IBR approved for Sec. 15.123(c).
    (d) The following documents are available from the following 
address: Consumer Electronics Association, 1919 S. Eads St., Arlington; 
VA 22202, http://www.ce.org/Standards/Standard-Listings.aspx, (703) 907-
7634.
    (1) CEA-542-B: ``CEA Standard: Cable Television Channel 
Identification Plan,'' July 2003, IBR approved for Sec. 15.118.
    (2) CEA-766-A: ``U.S. and Canadian Region Rating Tables (RRT) and 
Content Advisory Descriptors for Transport of Content Advisory 
Information using ATSC A/65-A Program and System Information Protocol 
(PSIP),'' April 2001, IBR approved for Sec. 15.120.
    (3) Uni-Dir-PICS-I01-030903: ``Uni-Directional Receiving Device: 
Conformance Checklist: PICS Proforma,'' September 3, 2003, IBR approved 
for Sec. 15.123(c).
    (4) Uni-Dir-ATP-I02-040225: ``Uni-Directional Receiving Device, 
Acceptance Test Plan,'' February 25, 2004, IBR approved for Sec. 
15.123(c).
    (e) The following document is available from the European 
Telecommunications Standards Institute, 650 Route des Lucioles, F-06921 
Sophia Antipolis Cedex, France, or at http://www.etsi.org/deliver/etsi--
en/300400--300499/30042201/01.04.02--60/en--30042201v010402p.pdf.
    (1) ETSI EN 300 422-1 V1.4.2 (2011-08): ``Electromagnetic 
compatibility and Radio spectrum Matters (ERM); Wireless microphones in 
the 25 MHz to 3 GHz frequency range; Part 1: Technical characteristics 
and methods of measurement,'' Copyright 2011, IBR approved for Sec. 
15.236(g).
    (2) [Reserved]
    (f) The following documents are available from the following 
address: Global Engineering Documents, 15 Inverness Way East, Englewood, 
CO 80112, (800) 854-7179, or at http://global.ihs.com;
    (1) EIA-608: ``Recommended Practice for Line 21 Data Service,'' 
1994, IBR approved for Sec. 15.120.
    (2) EIA-744: ``Transport of Content Advisory Information Using 
Extended Data Service (XDS),'' 1997, IBR approved for Sec. 15.120.
    (g) Institute of Electrical and Electronic Engineers (IEEE), 3916 
Ranchero Drive, Ann Arbor, MI 48108, 1-800-699-9277, http://
www.techstreet.com/ieee.
    (1) ANSI C63.4-2014: ``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,'' ANSI approved 
June 13, 2014, IBR approved for Sec. 15.31(a)(4), except clauses 4.5.3, 
4.6, 6.2.13, 8.2.2, 9, and 13.
    (2) ANSI C63.10-2013, ``American National Standard of Procedures for 
Compliance Testing of Unlicensed Wireless Devices,''ANSI approved June 
27, 2013, IBR approved for Sec. 15.31(a)(3).
    (h) The following documents are available from the following 
addresses: 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 or 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 40 2003 (formerly DVS 313): ``Digital Cable Network 
Interface Standard,'' 2003, IBR approved for Sec. 15.123.
    (3) SCTE 41 2003 (formerly DVS 301): ``POD Copy Protection System,'' 
2003, IBR approved for Sec. 15.123.
    (4) 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.

[[Page 885]]

    (5) ANSI/SCTE 65 2002 (formerly DVS 234): ``Service Information 
Delivered Out-of-Band for Digital Cable Television,'' 2002, IBR approved 
for Sec. 15.123.

[77 FR 43013, July 23, 2012, as amended at 80 FR 2838, Jan. 21, 2015; 80 
FR 33447, June 12, 2015; 80 FR 73068, Nov. 23, 2015]



                    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 &           Verification.
 peripherals.
Class A digital devices, peripherals &    Verification.
 external switching power supplies.
Access Broadband over Power Line (Access  Certification.
 BPL).
All other devices.......................  Verification.
----------------------------------------------------------------------------------------------------------------

    (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

[[Page 886]]

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 of Conformity are 
contained in subpart J of part 2 of this chapter.

[54 FR 17714, Apr. 25, 1989, as amended at 61 FR 31050, June 19, 1996; 
63 FR 36602, July 7, 1998; 64 FR 4997, Feb. 2, 1999; 67 FR 48993, July 
29, 2002; 70 FR 1373, Jan. 7, 2005]



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

[[Page 887]]

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.
    (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:


[[Page 888]]


    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 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

[[Page 889]]

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:

------------------------------------------------------------------------
                                                                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.

[[Page 890]]

    (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.
    (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; 80 FR 33447, June 12, 2015]



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. 90.35(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

[[Page 891]]

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.
    (g) Special provisions. An electric power utility entity shall not 
operate a new or modified power line carrier (PLC) system in the 135.7-
137.8 kHz and/or 472-479 kHz bands if a previously coordinated amateur 
station pursuant to Sec. 97.301(g)(2) of this chapter is located within 
one kilometer of the transmission lines conducting the PLC signal.

[54 FR 17714, Apr. 25, 1989; 54 FR 32339, Aug. 7, 1989; 75 FR 63031, 
Oct. 13, 2010; 82 FR 27213, June 14, 2017]



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 
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

[[Page 892]]

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.
    (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 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

[[Page 893]]

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 maintained in the event the device is not 
connected to a power source or power is interrupted.
    (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.

[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; 77 FR 4913, Feb. 
1, 2012]



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) Until August 31, 2017, TV broadcast receivers shall be capable 
of adequately receiving all channels allocated by the Commission to the 
television broadcast service. After August 31, 2017, TV broadcast 
receivers shall be capable of adequately receiving all channels 
allocated by the Commission to the television broadcast service that 
broadcast digital signals, buy they need not be capable of receiving 
analog signals.
    (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

[[Page 894]]

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 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 requirement. (1) Responsible 
parties, as defined in Sec. 2.909 of this chapter, are required to 
equip with DTV tuners 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

[[Page 895]]

comply with the provisions of this section. For purposes of this 
section, the term ``TV broadcast receivers'' includes other video 
devices (videocassette recorders (VCRs), digital video recorders such as 
hard drive and DVD recorders, etc.) that receive television signals.
    (2) The requirement to include digital television reception 
capability in new TV broadcast receivers does not apply to devices such 
as mobile telephones and personal digital assistants where such devices 
do not include the capability to receive TV service on the frequencies 
allocated for broadcast television service.
    (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 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.
    (k) The following requirements apply to all responsible parties, as 
defined in Sec. 2.909 of this chapter, and any person that displays or 
offers for sale or rent television receiving equipment that is not 
capable of receiving, decoding and tuning digital signals.
    (1) Such parties and persons shall place conspicuously and in close 
proximity to such television broadcast receivers a sign containing, in 
clear and conspicuous print, the Consumer Alert disclosure text required 
by paragraph (k)(3) of this section. The text should be in a size of 
type large enough to be clear, conspicuous and readily legible, 
consistent with the dimensions of the equipment and the label. The 
information may be printed on a transparent material and affixed to the 
screen, if the receiver includes a display, in a manner that is 
removable by the consumer and does not obscure the picture, or, if the 
receiver does not include a display, in a prominent location on the 
device, such as on the top or front of the device, when displayed for 
sale, or the information in this format may be displayed separately 
immediately adjacent to each television broadcast receiver offered for 
sale and clearly associated with the analog-only model to which it 
pertains.
    (2) If such parties and persons display or offer for sale or rent 
such television broadcast receivers via direct mail, catalog, or 
electronic means, they shall prominently display in close proximity to 
the images or descriptions of such television broadcast receivers, in 
clear and conspicuous print, the Consumer Alert disclosure text required 
by paragraph (k)(3) of this section. The text should be in a size large 
enough to be clear, conspicuous, and readily legible, consistent with 
the dimensions of the advertisement or description.
    (3) Consumer alert. This television receiver has only an analog 
broadcast tuner and will require a converter box after February 17, 
2009, to receive over-the-air broadcasts with an antenna because of the 
Nation's transition to digital broadcasting. Analog-only TVs should 
continue to work as before with cable and satellite TV services, gaming 
consoles, VCRs, DVD players, and similar products. For more information, 
call the Federal Communications Commission at 1-888-225-5322 (TTY: 1-
888-835-5322) or visit the Commission's digital television Web site at: 
http://www.dtv.gov.

[54 FR 17714, Apr. 25, 1993, as amended at 59 FR 25341, May 16, 1994; 61 
FR 30532, June 17, 1996; 67 FR 63294, Oct. 11, 2002; 70 FR 38804, July 
6, 2005; 70 FR 75743, Dec. 21, 2005; 72 FR 26560, May 10, 2007; 73 FR 
5681, Jan. 30, 2008; 77 FR 4913, Feb. 1, 2012; 81 FR 5052, Feb. 1, 2016]

[[Page 896]]



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 CEA-542-B: ``CEA Standard: 
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 
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

[[Page 897]]

+ 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.

[59 FR 25341, May 16, 1994, as amended at 61 FR 18509, Apr. 26, 1996; 65 
FR 64391, Oct. 27, 2000; 68 FR 68546, Dec. 9, 2003; 69 FR 2849, Jan. 21, 
2004; 69 FR 57861, Sept. 28, 2004; 77 FR 4913, Feb. 1, 2012]



Sec. 15.119  [Reserved]



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 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) All TV broadcast receivers as defined in Sec. 15.3(w), 
including personal computer systems meeting that definition, with 
picture screens 33 cm (13 in) or larger, measured diagonally, or with 
displays in the 16:9 aspect ratio that are 19.8 cm (7.8 in) or greater 
in height and digital television receivers without an associated display 
device shipped in interstate commerce or manufactured in the United 
States shall comply with the provisions of paragraphs (c), (d), and (e) 
of this section.

[[Page 898]]

    (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) Digital television program rating information shall be 
transmitted in digital television signals in accordance with Sec. 
73.682(d) of this chapter.
    (d) Operation. (1) Analog television receivers will receive program 
ratings transmitted pursuant to EIA-744: ``Transport of Content Advisory 
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. 
Digital television receivers will receive program rating descriptors 
transmitted pursuant to industry standard EIA/CEA-766-A ``U.S. and 
Canadian Region Rating Tables (RRT) and Content Advisory Descriptors for 
Transport of Content Advisory Information using ATSC A/65-A Program and 
System Information Protocol (PSIP),'' 2001 (incorporated by reference, 
see Sec. 15.38). Blocking of programs shall occur when a program rating 
is received that meets the pre-determined user requirements. Digital 
television receivers shall be able to respond to changes in the content 
advisory rating system.
    (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; 69 FR 59534, Oct. 4, 2004; 73 FR 5682, Jan. 30, 
2008; 74 FR 63079, Dec. 2, 2009; 77 FR 4913, Feb. 1, 2012]

[[Page 899]]



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 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

[[Page 900]]

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]



Sec. 15.122  [Reserved]



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 
interface specified in paragraphs (b)(6)(i) and (ii) of this section:
    (i) For 480p grade unidirectional digital cable televisions, either 
a DVI/HDCP, HDMI/HDCP, or 480p Y,Pb,Pr interface.
    (ii) For 720p/1080i grade unidirectional digital cable televisions, 
either a DVI/HDCP or HDMI/HDCP interface.
    (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. If the model fails to comply, the manufacturer or importer 
shall have any modifications to the product to correct

[[Page 901]]

failures of the procedures in Uni-Dir-PICS-I01-030903: ``Uni-Directional 
Receiving Device: Conformance Checklist: PICS Proforma,'' September 3, 
2003 (incorporated by reference, see Sec. 15.38) retested at a 
qualified test facility and the product must comply with Uni-Dir-PICS-
I01-030903: ``Uni-Directional Receiving Device: Conformance Checklist: 
PICS Proforma,'' September 3, 2003 (incorporated by reference, see Sec. 
15.38) in accordance with the test procedures set forth in Uni-Dir-ATP-
I02-040225: ``Uni-Directional Receiving Device, Acceptance Test Plan,'' 
February 25, 2004 (incorporated by reference, see Sec. 15.38) or with 
M-UDCP-PICS-I04-080225, ``Uni-Directional Cable Product Supporting M-
Card: Multiple Profiles; Conformance Checklist: PICS,'' February 25, 
2008 (incorporated by reference, see Sec. 15.38) in accordance with the 
test procedures set forth in TP-ATP-M-UDCP-I05-20080304, ``Uni-
Directional Digital Cable Products Supporting M-Card; M-UDCP Device 
Acceptance Test Plan,'' March 4, 2008 (incorporated by reference, see 
Sec. 15.38) before the product or any related model may be labeled or 
marketed. If the manufacturer or importer's first unidirectional digital 
cable product is not a television, then that manufacturer or importer's 
first model of a unidirectional digital cable product which is a 
television shall be tested pursuant to this subsection as though it were 
the first unidirectional digital cable product. A qualified test 
facility may only require compliance with the procedures set forth in 
Uni-Dir-PICS-I01-030903: Uni-Directional Receiving Device: Conformance 
Checklist: PICS Proforma, September 3, 2003 (incorporated by reference, 
see Sec. 15.38). Compliance testing beyond those procedures shall be at 
the discretion of the manufacturer or importer.
    (2) A qualified test facility is a testing laboratory representing 
cable television system operators serving a majority of the cable 
television subscribers in the United States or an appropriately 
qualified independent laboratory with adequate equipment and competent 
personnel knowledgeable with respect to Uni-Dir-PICS-I01-030903: ``Uni-
Directional Receiving Device: Conformance Checklist: PICS Proforma,'' 
September 03, 2003 (incorporated by reference, see Sec. 15.38); Uni-
Dir-ATP-I02-040225: ``Uni-Directional Receiving Device, Acceptance Test 
Plan,'' February 25, 2004 (incorporated by reference, see Sec. 15.38); 
M-UDCP-PICS-I04-080225, ``Uni-Directional Cable Product Supporting M-
Card: Multiple Profiles; Conformance Checklist: PICS,'' February 25, 
2008 (incorporated by reference, see Sec. 15.38); and TP-ATP-M-UDCP-
I05-20080304, ``Uni-Directional Digital Cable Products Supporting M-
Card; M-UDCP Device Acceptance Test Plan,'' March 4, 2008 (incorporated 
by reference, see Sec. 15.38). For any independent testing laboratory 
to be qualified hereunder such laboratory must ensure that all its 
decisions are impartial and have a documented structure which safeguards 
impartiality of the operations of the testing laboratory. In addition, 
any independent testing laboratory qualified hereunder must not supply 
or design products of the type it tests, nor provide any other products 
or services that could compromise confidentiality, objectivity or 
impartiality of the testing laboratory's testing process and decisions.
    (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,'' September 03, 2003 (incorporated by 
reference, see Sec. 15.38) unless the first model tested was not a 
television, in which event the first television shall be tested as 
provided in Sec. 15.123(c)(1). 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,'' September 03, 2003 (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

[[Page 902]]

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,'' September 03, 2003 (incorporated by reference, see Sec. 
15.38) to the qualified test facility.
    (4) Unidirectional digital cable product models must be tested for 
compliance with Uni-Dir-PICS-I01-030903: ``Uni-Directional Receiving 
Device: Conformance Checklist: PICS Proforma,'' September 3, 2003 
(incorporated by reference, see Sec. 15.38) in accordance with Uni-Dir-
ATP-I02-040225: ``Uni-Directional Receiving Device Acceptance Test 
Plan,'' February 25, 2004, (incorporated by reference, see Sec. 15.38) 
or an equivalent test procedure that produces identical pass/fail test 
results. In the event of any dispute over the applicable results under 
an equivalent test procedure, the results under Uni-Dir-ATP-I02-040225: 
``Uni-Directional Receiving Device Acceptance Test Plan,'' February 25, 
2004 (incorporated by reference, see Sec. 15.38) shall govern.
    (5) This paragraph applies to unidirectional digital cable product 
models which utilize Point-of-Deployment modules (PODs) in multi-stream 
mode (M-UDCPs).
    (i) The manufacturer or importer shall have a sample of its first 
model of a M-UDCP tested at a qualified test facility to show compliance 
with M-UDCP-PICS-I04-080225, ``Uni-Directional Cable Product Supporting 
M-Card: Multiple Profiles; Conformance Checklist: PICS,'' February 25, 
2008 (incorporated by reference, see Sec. 15.38) as specified in the 
procedures set forth in TP-ATP-M-UDCP-I05-20080304, ``Uni-Directional 
Digital Cable Products Supporting M-Card; M-UDCP Device Acceptance Test 
Plan,'' March 4, 2008 (both references incorporated by reference, see 
Sec. 15.38). If the model fails to comply, the manufacturer or importer 
shall have retested, at a qualified test facility, a product that 
complies with Uni-Dir-PICS-I01-030903: ``Uni-Directional Receiving 
Device: Conformance Checklist: PICS Proforma,'' September 03, 2003 
(incorporated by reference, see Sec. 15.38) in accordance with Uni-Dir-
ATP-I02-040225: ``Uni-Directional Receiving Device Acceptance Test 
Plan,'' February 25, 2004, (incorporated by reference, see Sec. 15.38) 
or an equivalent test procedure that produces identical pass/fail test 
results before any product or related model may be labeled or marketed. 
If the manufacturer or importer's first M-UDCP is not a television, then 
that manufacturer or importer's first model of a M-UDCP which is a 
television shall be tested pursuant to this subsection as though it were 
the first M-UDCP.
    (ii) A qualified test facility is a testing laboratory representing 
cable television system operators serving a majority of the cable 
television subscribers in the United States or an appropriately 
qualified independent laboratory with adequate equipment and competent 
personnel knowledgeable with Uni-Dir-PICS-I01-030903: ``Uni-Directional 
Receiving Device: Conformance Checklist: PICS Proforma,'' September 03, 
2003 (incorporated by reference, see Sec. 15.38); Uni-Dir-ATP-I02-
040225: ``Uni-Directional Receiving Device, Acceptance Test Plan,'' 
February 25, 2004 (incorporated by reference, see Sec. 15.38); M-UDCP-
PICS-I04-080225, ``Uni-Directional Cable Product Supporting M-Card: 
Multiple Profiles; Conformance Checklist: PICS,'' February 25, 2008 
(incorporated by reference, see Sec. 15.38); and TP-ATP-M-UDCP-I05-
20080304, ``Uni-Directional Digital Cable Products Supporting M-Card; M-
UDCP Device Acceptance Test Plan,'' March 4, 2008 (incorporated by 
reference, see Sec. 15.38). For any independent testing laboratory to 
be qualified hereunder such laboratory must ensure that all its 
decisions are impartial and have a documented structure which safeguards 
impartiality of the operations of the testing laboratory. In addition, 
any independent testing laboratory qualified hereunder must not supply 
or design products of the type it tests, nor provide any other products 
or services that could compromise confidentiality, objectivity or 
impartiality of the testing laboratory's testing process and decisions.
    (iii) Subsequent to the successful testing of its initial M-UDCP, a 
manufacturer or importer is not required to have other M-UDCP models 
tested at a qualified test facility for compliance

[[Page 903]]

with M-UDCP-PICS-I04-080225, ``Uni-Directional Cable Product Supporting 
M-Card: Multiple Profiles; Conformance Checklist: PICS,'' February 25, 
2008 (incorporated by reference, see Sec. 15.38) unless the first model 
tested was not a television, in which event the first television shall 
be tested as provided in Sec. 15.123(c)(5)(i). The manufacturer or 
importer shall ensure that all subsequent models of M-UDCPs comply with 
M-UDCP-PICS-I04-080225, ``Uni-Directional Cable Product Supporting M-
Card: Multiple Profiles; Conformance Checklist: PICS,'' February 25, 
2008 (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. For each M-UDCP model, the manufacturer or importer shall 
further submit documentation verifying compliance with M-UDCP-PICS-I04-
080225, ``Uni-Directional Cable Product Supporting M-Card: Multiple 
Profiles; Conformance Checklist: PICS,'' February 25, 2008 (incorporated 
by reference, see Sec. 15.38) to the qualified test facility.
    (iv) M-UDCPs must be in compliance with M-UDCP-PICS-I04-080225, 
``Uni-Directional Cable Product Supporting M-Card: Multiple Profiles; 
Conformance Checklist: PICS,'' February 25, 2008 (incorporated by 
reference, see Sec. 15.38) in accordance with the procedures set forth 
in TP-ATP-M-UDCP-I05-20080304, ``Uni-Directional Digital Cable Products 
Supporting M-Card; M-UDCP Device Acceptance Test Plan,'' March 4, 2008 
(incorporated by reference, see Sec. 15.38) or an equivalent test 
procedure that produces identical pass/fail test results. In the event 
of any dispute over the applicable results under an equivalent test 
procedure, the results under TP-ATP-M-UDCP-I05-20080304, ``Uni-
Directional Digital Cable Products Supporting M-Card; M-UDCP Device 
Acceptance Test Plan,'' March 4, 2008 (incorporated by reference, see 
Sec. 15.38) shall govern.
    (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. 
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, as amended at 76 FR 40277, July 8, 2011; 77 
FR 4914, Feb. 1, 2012]



                     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

[[Page 904]]

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. 15.202  Certified operating frequency range.

    Client devices that operate in a master/client network may be 
certified if they have the capability of operating outside permissible 
part 15 frequency bands, provided they operate on only permissible part 
15 frequencies under the control of the master device with which they 
communicate. Master devices marketed within the United States must be 
limited to operation on permissible part 15 frequencies. Client devices 
that can also act as master devices must meet the requirements of a 
master device. For the purposes of this section, a master device is 
defined as a device operating in a mode in which it has the capability 
to transmit without receiving an enabling signal. In this mode it is 
able to select a channel and initiate a network by sending enabling 
signals to other devices. A network always has at least one device 
operating in master mode. A client device is defined as a device 
operating in a mode in which the transmissions of the device are under 
control of the master. A device in client mode is not able to initiate a 
network.

[70 FR 23040, May 4, 2005]



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]

    Effective Date Note: At 82 FR 41559, Sept. 1, 2017, Sec. 15.203 was 
revised, effective Oct. 2, 2017. For the convenience of the user, the 
added and revised text is set forth as follows:



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. Sec. 15.211, 15.213, 15.217, 15.219, 15.221, or Sec. 15.236. 
Further, this requirement does not apply to intentional radiators that

[[Page 905]]

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.



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. Exceptions to the following provisions, if any, 
are noted in the rule section under which the transmitter operates, 
e.g., Sec. 15.255(b)(1)(ii) of this part.
    (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.

[69 FR 54034, Sept. 7, 2004, as amended at 78 FR 59850, Sept. 30, 2013]



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 906]]



----------------------------------------------------------------------------------------------------------------
                 MHz                             MHz                      MHz                      GHz
----------------------------------------------------------------------------------------------------------------
0.090-0.110..........................             16.42-16.423                399.9-410                 4.5-5.15
\1\ 0.495-0.505......................        16.69475-16.69525                  608-614                5.35-5.46
2.1735-2.1905........................        16.80425-16.80475                 960-1240                7.25-7.75
4.125-4.128..........................               25.5-25.67                1300-1427                8.025-8.5
4.17725-4.17775......................               37.5-38.25              1435-1626.5                  9.0-9.2
4.20725-4.20775......................                  73-74.6            1645.5-1646.5                  9.3-9.5
6.215-6.218..........................                74.8-75.2                1660-1710                10.6-12.7
6.26775-6.26825......................               108-121.94            1718.8-1722.2               13.25-13.4
6.31175-6.31225......................                  123-138                2200-2300               14.47-14.5
8.291-8.294..........................             149.9-150.05                2310-2390               15.35-16.2
8.362-8.366..........................      156.52475-156.52525              2483.5-2500                17.7-21.4
8.37625-8.38675......................              156.7-156.9                2690-2900              22.01-23.12
8.41425-8.41475......................          162.0125-167.17                3260-3267                23.6-24.0
12.29-12.293.........................             167.72-173.2                3332-3339                31.2-31.8
12.51975-12.52025....................                  240-285              3345.8-3358               36.43-36.5
12.57675-12.57725....................                322-335.4                3600-4400                    (\2\)
13.36-13.41..........................
----------------------------------------------------------------------------------------------------------------
\1\ Until February 1, 1999, this restricted band shall be 0.490-0.510 MHz.
\2\ Above 38.6

    (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. 15.253, 
15.255, and 15.256 in the frequency band 75-85 GHz, or Sec. 15.257 of 
this part.
    (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).
    (10) White space devices operating under subpart H of this part are 
exempt from complying with the requirements of this section for the 608-
614 MHz band.
    (e) Harmonic emissions appearing in the restricted bands above 17.7 
GHz

[[Page 907]]

from field disturbance sensors operating under the provisions of Sec. 
15.245 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; 69 FR 72031, 
Dec. 10, 2004; 79 FR 12678, Mar. 6, 2014; 80 FR 73069, Nov. 23, 2015]



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

[[Page 908]]

unwanted emissions to the limits specified in this table, the limits in 
this table are based on the frequency of the 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. 15.212  Modular transmitters.

    (a) Single modular transmitters consist of a completely self-
contained radiofrequency transmitter device that is typically 
incorporated into another product, host or device. Split modular 
transmitters consist of two components: a radio front end with antenna 
(or radio devices) and a transmitter control element (or specific 
hardware on which the software that controls the

[[Page 909]]

radio operation resides). All single or split modular transmitters are 
approved with an antenna. All of the following requirements apply, 
except as provided in paragraph (b) of this section.
    (1) Single modular transmitters must meet the following requirements 
to obtain a modular transmitter approval.
    (i) The radio elements of the modular transmitter must have their 
own shielding. The physical crystal and tuning capacitors may be located 
external to the shielded radio elements.
    (ii) The modular transmitter must have buffered modulation/data 
inputs (if such inputs are provided) to ensure that the module will 
comply with part 15 requirements under conditions of excessive data 
rates or over-modulation.
    (iii) The modular transmitter must have its own power supply 
regulation.
    (iv) The modular transmitter must comply with the antenna and 
transmission system requirements of Sec. Sec. 15.203, 15.204(b) and 
15.204(c). The antenna must either be permanently attached or employ a 
``unique'' antenna coupler (at all connections between the module and 
the antenna, including the cable). The ``professional installation'' 
provision of Sec. 15.203 is not applicable to modules but can apply to 
limited modular approvals under paragraph (b) of this section.
    (v) The modular transmitter must be tested in a stand-alone 
configuration, i.e., the module must not be inside another device during 
testing for compliance with part 15 requirements. Unless the transmitter 
module will be battery powered, it must comply with the AC line 
conducted requirements found in Sec. 15.207. AC or DC power lines and 
data input/output lines connected to the module must not contain 
ferrites, unless they will be marketed with the module (see Sec. 
15.27(a)). The length of these lines shall be the length typical of 
actual use or, if that length is unknown, at least 10 centimeters to 
insure that there is no coupling between the case of the module and 
supporting equipment. Any accessories, peripherals, or support equipment 
connected to the module during testing shall be unmodified and 
commercially available (see Sec. 15.31(i)).
    (vi) The modular transmitter must be equipped with either a 
permanently affixed label or must be capable of electronically 
displaying its FCC identification number.
    (A) If using a permanently affixed label, the modular transmitter 
must be labeled with its own FCC identification number, and, if the FCC 
identification number is not visible when the module is installed inside 
another device, then the outside of the device into which the module is 
installed must also display a label referring to the enclosed module. 
This exterior label can use wording such as the following: ``Contains 
Transmitter Module FCC ID: XYZMODEL1'' or ``Contains FCC ID: 
XYZMODEL1.'' Any similar wording that expresses the same meaning may be 
used. The Grantee may either provide such a label, an example of which 
must be included in the application for equipment authorization, or, 
must provide adequate instructions along with the module which explain 
this requirement. In the latter case, a copy of these instructions must 
be included in the application for equipment authorization.
    (B) If the modular transmitter uses an electronic display of the FCC 
identification number, the information must be readily accessible and 
visible on the modular transmitter or on the device in which it is 
installed. If the module is installed inside another device, then the 
outside of the device into which the module is installed must display a 
label referring to the enclosed module. This exterior label can use 
wording such as the following: ``Contains FCC certified transmitter 
module(s).'' Any similar wording that expresses the same meaning may be 
used. The user manual must include instructions on how to access the 
electronic display. A copy of these instructions must be included in the 
application for equipment authorization.
    (vii) The modular transmitter must comply with any specific rules or 
operating requirements that ordinarily apply to a complete transmitter 
and the manufacturer must provide adequate instructions along with the 
module to explain any such requirements. A copy of these instructions 
must be included in the application for equipment authorization.

[[Page 910]]

    (viii) The modular transmitter must comply with any applicable RF 
exposure requirements in its final configuration.
    (2) Split modular transmitters must meet the requirements in 
paragraph (a)(1) of this section, excluding paragraphs (a)(1)(i) and 
(a)(1)(v), and the following additional requirements to obtain a modular 
transmitter approval.
    (i) Only the radio front end must be shielded. The physical crystal 
and tuning capacitors may be located external to the shielded radio 
elements. The interface between the split sections of the modular system 
must be digital with a minimum signaling amplitude of 150 mV peak-to-
peak.
    (ii) Control information and other data may be exchanged between the 
transmitter control elements and radio front end.
    (iii) The sections of a split modular transmitter must be tested 
installed in a host device(s) similar to that which is representative of 
the platform(s) intended for use.
    (iv) Manufacturers must ensure that only transmitter control 
elements and radio front end components that have been approved together 
are capable of operating together. The transmitter module must not 
operate unless it has verified that the installed transmitter control 
elements and radio front end have been authorized together. 
Manufacturers may use means including, but not limited to, coding in 
hardware and electronic signatures in software to meet these 
requirements, and must describe the methods in their application for 
equipment authorization.
    (b) A limited modular approval may be granted for single or split 
modular transmitters that do not comply with all of the above 
requirements, e.g., shielding, minimum signaling amplitude, buffered 
modulation/data inputs, or power supply regulation, if the manufacturer 
can demonstrate by alternative means in the application for equipment 
authorization that the modular transmitter meets all the applicable part 
15 requirements under the operating conditions in which the transmitter 
will be used. Limited modular approval also may be granted in those 
instances where compliance with RF exposure rules is demonstrated only 
for particular product configurations. The applicant for certification 
must state how control of the end product into which the module will be 
installed will be maintained such that full compliance of the end 
product is always ensured.

[72 FR 28893, May 23, 2007]



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, 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

[[Page 911]]

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.
    (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, or whatever bandwidth may 
otherwise be specified in the specific rule section under which the 
equipment operates, is contained within the frequency band designated in 
the rule section under which the equipment is operated. In the case of 
intentional radiators operating under the provisions of subpart E, the 
emission bandwidth may span across multiple contiguous frequency bands 
identified in that subpart. The requirement to contain the designated 
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

[[Page 912]]

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; 70 FR 6774, Feb. 
9, 2005; 79 FR 24578, May 1, 2014]



Sec. 15.216  [Reserved]



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.
    (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

[[Page 913]]

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. 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

[[Page 914]]

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
    (5) Transmission of set-up information for security systems may 
exceed the transmission duration limits in paragraphs (a)(1) and (a)(2) 
of this section, provided such transmissions are under the control of a 
professional installer and do not exceed ten seconds after a manually 
operated switch is released or a transmitter is activated automatically. 
Such set-up information may include data.
    (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, 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

[[Page 915]]

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; 69 FR 71383, Dec. 9, 2004]



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 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

[[Page 916]]

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 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]

[[Page 917]]



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. 15.236  Operation of wireless microphones in the bands 54-72 MHz,
76-88 MHz, 174-216 MHz, 470-608 MHz and 614-698 MHz.

    (a) Definitions. The following definitions apply in this section.
    (1) Wireless Microphone. An intentional radiator that converts sound 
into electrical audio signals that are transmitted using radio signals 
to a receiver which converts the radio signals back into audio signals 
that are sent through a sound recording or amplifying system. Wireless 
microphones may be used for cue and control communications and 
synchronization of TV camera signals as defined in Sec. 74.801 of this 
chapter. Wireless microphones do not include auditory assistance devices 
as defined in Sec. 15.3(a) of this part.
    (2) 600 MHz duplex gap. An 11 megahertz guard band that separates 
part 27 600 MHz service uplink and downlink frequencies, in accordance 
with the terms and conditions established in GN Docket No. 12-268, 
pursuant to section 6403 of the Spectrum Act.
    (3) 600 MHz guard bands. Designated frequency bands that prevent 
interference between licensed services in the 600 MHz service band and 
either the television bands or channel 37, in accordance with the terms 
and conditions established in GN Docket No. 12-268, pursuant to section 
6403 of the Spectrum Act.
    (4) 600 MHz service band. Frequencies that will be reallocated and 
assigned for 600 MHz services pursuant to part 27, in accordance with 
the terms and conditions established in GN Docket No. 12-268, pursuant 
to section 6403 of the Spectrum Act.

    Note to paragraphs (a)(2), (3) and (4):
    The specific frequencies will be determined in light of further 
proceedings pursuant to GN Docket No. 12-268 and the rules will be 
updated accordingly pursuant to a future public notice.

    (5) Spectrum Act. Title VI of the Middle Class Tax Relief and Job 
Creation Act of 2012 (Pub. L. 112-96).
    (b) Operation under this section is limited to wireless microphones 
as defined in this section.
    (c) Operation is permitted in the following frequency bands.
    (1) Channels allocated and assigned for the broadcast television 
service. The highest channel available will depend on the outcome of the 
incentive auction.
    (2) Frequencies in the 600 MHz service band on which a 600 MHz 
service licensee has not commenced operations,

[[Page 918]]

as defined in Sec. 27.4 of this chapter. Operation on these frequencies 
must cease no later than the end of the post-auction transition period, 
as defined in Sec. 27.4 of this chapter. Operation must cease 
immediately if harmful interference occurs to a 600 MHz service 
licensee.
    (3) The upper six megahertz segment of the 600 MHz duplex gap.
    (4) The 600 MHz guard band between television and 600 MHz service 
downlink services, excluding the upper one megahertz segment.
    (5) The 600 MHz guard bands adjacent to channel 37, excluding the 
one megahertz segments furthest from channel 37.
    (6) Prior to operation in the frequencies identified in paragraphs 
(c)(2) through (5) of this section, wireless microphone users shall rely 
on the white space databases in part 15, Subpart H to determine that 
their intended operating frequencies are available for unlicensed 
wireless microphone operation at the location where they will be used. 
Wireless microphone users must register with and check a white space 
database to determine available channels prior to beginning operation at 
a given location. A user must re-check the database for available 
channels if it moves to another location.
    (d) The maximum radiated power shall not exceed the following 
values:
    (1) In the bands allocated and assigned for broadcast television and 
in the 600 MHz service band: 50 mW EIRP
    (2) In the 600 MHz guard bands including the duplex gap: 20 mW EIRP
    (e) Operation is limited to locations separated from licensed 
services by the following distances.
    (1) Four kilometers outside the following protected service contours 
of co-channel TV stations.

----------------------------------------------------------------------------------------------------------------
                                                                        Protected contour
                                               -----------------------------------------------------------------
                Type of station                                                                     Propagation
                                                             Channel               Contour (dBu)       curve
----------------------------------------------------------------------------------------------------------------
Analog: Class A TV, LPTV, translator and        Low VHF (2-6)...................              47        F(50,50)
 booster.
                                                High VHF (7-13).................              56        F(50,50)
                                                UHF (14-51).....................              64        F(50,50)
Digital: Full service TV, Class A TV, LPTV,     Low VHF (2-6)...................              28        F(50,90)
 translator and booster.
                                                High VHF (7-13).................              36        F(50,90)
                                                UHF (14-51).....................              41        F(50,90)
----------------------------------------------------------------------------------------------------------------

    (2) The following distances outside of the area where a 600 MHz 
service licensee has commenced operations, as defined in Sec. 27.4 of 
this chapter.

------------------------------------------------------------------------
                                                     Separation distance
                                                        in kilometers
                  Type of station                  ---------------------
                                                       Co-      Adjacent
                                                     channel    channel
------------------------------------------------------------------------
Base..............................................          7        0.2
Mobile............................................         35         31
------------------------------------------------------------------------

    (f) The operating frequency within a permissible band of operation 
as defined in paragraph (c) must comply with the following requirements.
    (1) The frequency selection shall be offset from the upper or lower 
band limits by 25 kHz or an integral multiple thereof.
    (2) One or more adjacent 25 kHz segments within the assignable 
frequencies may be combined to form a channel whose maximum bandwidth 
shall not exceed 200 kHz. The operating bandwidth shall not exceed 200 
kHz.
    (3) The frequency tolerance of the carrier signal shall be 
maintained within 0.005% 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. Battery operated equipment shall be tested using a new 
battery.
    (g) Emissions within the band from one megahertz below to one 
megahertz above the carrier frequency shall comply with the emission 
mask in Section 8.3 of ETSI EN 300 422-1 V1.4.2 (2011-08) (incorporated 
by reference, see Sec. 15.38).

[[Page 919]]

Emissions outside this band shall comply with the limit specified at the 
edges of the ETSI mask.

[80 FR 73069, Nov. 23, 2015, as amended at 81 FR 4974, Jan. 29, 2016]

    Effective Date Note: At 82 FR 41559, Sept. 1, 2017, Sec. 15.236 was 
amended by revising paragraphs (a)(2) through (4), (c)(1), (c)(3), 
removing and reserving paragraph (c)(4), revising paragraphs (c)(5), 
(d)(2), and (g), effective Oct. 2, 2017. For the convenience of the 
user, the revised text is set forth as follows:



Sec. 15.236  Operation of wireless microphones in the bands 54-72 MHz, 
          76-88 MHz, 174-216 MHz, 470-608 MHz and 614-698 MHz.

                                * * * * *

    (a) * * *
    (2) 600 MHz duplex gap. An 11 megahertz guard band at 652-663 MHz 
that separates part 27 600 MHz service uplink and downlink frequencies.
    (3) 600 MHz guard band. Designated frequency band at 614-617 MHz 
that prevents interference between licensed services in the 600 MHz 
service band and channel 37.
    (4) 600 MHz service band. Frequencies in the 617-652 MHz and 663-698 
MHz bands that are reallocated and reassigned for 600 MHz band services 
under part 27.

                                * * * * *

    (c) * * *
    (1) Channels allocated and assigned for the broadcast television 
service.

                                * * * * *

    (3) The 657-663 MHz segment of the 600 MHz duplex gap.
    (4) [Reserved]
    (5) The 614-616 MHz segment of the 600 MHz guard band.

                                * * * * *

    (d) * * *
    (2) In the 600 MHz guard band and the 600 MHz duplex gap: 20 mW 
EIRP.

                                * * * * *

    (g) Emissions within the band from one megahertz below to one 
megahertz above the carrier frequency shall comply with the emission 
mask in Sec. 8.3 of ETSI EN 300 422-1 V1.4.2 (2011-08), Electromagnetic 
compatibility and Radio spectrum Matters (ERM); Wireless microphones in 
the 25 MHz to 3 GHz frequency range; Part 1: Technical characteristics 
and methods of measurement. Emissions outside of this band shall comply 
with the limits specified in section 8.4 of ETSI EN 300 422-1 V1.4.2 
(2011-08).



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 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 the general radiated emissions limits specified in 
Sec. 15.209. 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; 
78 FR 34927, June 11, 2013]



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

[[Page 920]]

in this part and the educational institution notifies the Office of 
Engineering and Technology, in writing, in 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; 80 FR 53750, 
Sept. 8, 2015]



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[  121[deg]21[min]04[
                                    sec] N             sec] W
Cape Cod Air Force Station.......  41[deg]45[min]07[  070[deg]32[min]17[
                                    sec] N             sec] W
Clear Air Force Station..........  64[deg]55[min]16[  143[deg]05[min]02[
                                    sec] N             sec] W
Cavalier Air Force Station.......  48[deg]43[min]12[  097[deg]54[min]00[
                                    sec] N             sec] W
Eglin Air Force Base.............  30[deg]43[min]12[  086[deg]12[min]36[
                                    sec] N             sec] 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 number of the device. The material shall be submitted to 
the following address:

[[Page 921]]

    Experimental Licensing Branch, OET, Federal Communications 
Commission, 445 12th Street, SW., Washington, DC 20554, ATTN: RFID 
Registration.

[69 FR 29464, May 24, 2004]



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.
    (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 US385 of Section 2.106 of this chapter must coordinate with,

[[Page 922]]

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 Room 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, as amended at 77 FR 76248, Dec. 27, 2012]



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.
    (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

[[Page 923]]

 
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. 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 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 924]]

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.
    (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. 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

[[Page 925]]

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:
    (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.
    (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

[[Page 926]]

by 0.4. The power spectral density conducted from the intentional 
radiator to the antenna due to the digital modulation operation of the 
hybrid system, with the frequency hopping operation turned off, shall 
not be greater than 8 dBm in any 3 kHz band during any time interval of 
continuous transmission.

    Note to paragraph (f):
    The transition provisions found in Sec. 15.37(h) will apply to 
hybrid devices beginning June 2, 2015.

    (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.

    (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.

[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 28762, July 13, 1990; 
62 FR 26242, May 13, 1997; 65 FR 57561, Sept. 25, 2000; 67 FR 42734, 
June 25, 2002; 69 FR 54035, Sept. 7, 2004; 72 FR 5632, Feb. 7, 2007; 79 
FR 24578, May 1, 2014]



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

[[Page 927]]

both the azimuth and elevation planes. At antenna gains over 33 dBi or 
beamwidths narrower than 3.5 degrees, power must be reduced to ensure 
that the field strength does not exceed 2500 millivolts/meter.
    (c) Field strength limits are specified at a distance of 3 meters.
    (d) Emissions radiated outside of the specified frequency bands, 
except for harmonics, shall be attenuated by at least 50 dB below the 
level of the 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.

[54 FR 17714, Apr. 25, 1989, as amended at 55 FR 25095, June 20, 1990; 
67 FR 1625, Jan. 14, 2002; 77 FR 4914, Feb. 1, 2012]



Sec. 15.250  Operation of wideband systems within the band 5925-7250
MHz.

    (a) The -10 dB bandwidth of a device operating under the provisions 
of this section must be contained within the 5925-7250 MHz band under 
all conditions of operation including the effects from stepped 
frequency, frequency hopping or other modulation techniques that may be 
employed as well as the frequency stability of the transmitter over 
expected variations in temperature and supply voltage.
    (b) The -10 dB bandwidth of the fundamental emission shall be at 
least 50 MHz. For transmitters that employ frequency hopping, stepped 
frequency or similar modulation types, measurement of the -10 dB minimum 
bandwidth specified in this paragraph shall be made with the frequency 
hop or step function disabled and with the transmitter operating 
continuously at a fundamental frequency following the provisions of 
Sec. 15.31(m).
    (c) Operation on board an aircraft or a satellite is prohibited. 
Devices operating under this section may not be employed for the 
operation of toys. Except for operation onboard a ship or a terrestrial 
transportation vehicle, the use of a fixed outdoor infrastructure is 
prohibited. A fixed infrastructure includes antennas mounted on outdoor 
structures, e.g., antennas mounted on the outside of a building or on a 
telephone pole.
    (d) Emissions from a transmitter operating under this section shall 
not exceed the following equivalent isotropically radiated power (EIRP) 
density levels:
    (1) The radiated emissions above 960 MHz from a device operating 
under the provisions of this section shall not exceed the following RMS 
average limits based on measurements using a 1 MHz resolution bandwidth:

------------------------------------------------------------------------
                                                                EIRP in
                       Frequency in MHz                           dBm
------------------------------------------------------------------------
960-1610.....................................................      -75.3
1610-1990....................................................      -63.3
1990-3100....................................................      -61.3
3100-5925....................................................      -51.3
5925-7250....................................................      -41.3
7250-10600...................................................      -51.3
Above 10600..................................................      -61.3
------------------------------------------------------------------------

    (2) In addition to the radiated emission limits specified in the 
table in paragraph (d)(1) of this section, transmitters operating under 
the provisions of this section shall not exceed the following RMS 
average limits when measured using a resolution bandwidth of no less 
than 1 kHz:

------------------------------------------------------------------------
                                                                EIRP in
                       Frequency in MHz                           dBm
------------------------------------------------------------------------
1164-1240....................................................      -85.3
1559-1610....................................................      -85.3
------------------------------------------------------------------------

    (3) There is a limit on the peak level of the emissions contained 
within a 50 MHz bandwidth centered on the frequency at which the highest 
radiated emission occurs and this 50 MHz bandwidth must be contained 
within the 5925-7250 MHz band. The peak EIRP limit is 20 log (RBW/50) 
dBm where RBW is the resolution bandwidth in megahertz that is employed 
by the measurement instrument. RBW shall not be lower than 1 MHz or 
greater than 50 MHz. The video bandwidth of the measurement instrument 
shall not

[[Page 928]]

be less than RBW. If RBW is greater than 3 MHz, the application for 
certification filed with the Commission shall contain a detailed 
description of the test procedure, calibration of the test setup, and 
the instrumentation employed in the testing.
    (4) Radiated emissions at or below 960 MHz shall not exceed the 
emission levels in Sec. 15.209.
    (5) Emissions from digital circuitry used to enable the operation of 
the transmitter may comply with the limits in Sec. 15.209 provided it 
can be clearly demonstrated that those emissions are due solely to 
emissions from digital circuitry contained within the transmitter and 
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 functions or capabilities other than the operation of the 
transmitter, are subject to the limits contained in subpart B of this 
part. Emissisons from these digital circuits shall not be employed in 
determining the -10 dB bandwidth of the fundamental emission or the 
frequency at which the highest emission level occurs.
    (e) Measurement procedures:
    (1) All emissions at and below 960 MHz are based on measurements 
employing a CISPR quasi-peak detector. Unless otherwise specified, all 
RMS average emission levels specified in this section are to be measured 
utilizing a 1 MHz resolution bandwidth with a one millisecond dwell over 
each 1 MHz segment. The frequency span of the analyzer should equal the 
number of sampling bins times 1 MHz and the sweep rate of the analyzer 
should equal the number of sampling bins times one millisecond. The 
provision in Sec. 15.35(c) that allows emissions to be averaged over a 
100 millisecond period does not apply to devices operating under this 
section. The video bandwidth of the measurement instrument shall not be 
less than the resolution bandwidth and trace averaging shall not be 
employed. The RMS average emission measurement is to be repeated over 
multiple sweeps with the analyzer set for maximum hold until the 
amplitude stabilizes.
    (2) The peak emission measurement is to be repeated over multiple 
sweeps with the analyzer set for maximum hold until the amplitude 
stabilizes.
    (3) For transmitters that employ frequency hopping, stepped 
frequency or similar modulation types, the peak emission level 
measurement, the measurement of the RMS average emission levels, and the 
measurement to determine the frequency at which the highest level 
emission occurs shall be made with the frequency hop or step function 
active. Gated signals may be measured with the gating active. The 
provisions of Sec. 15.31(c) continue to apply to transmitters that 
employ swept frequency modulation.
    (4) The -10 dB bandwidth is based on measurement using a peak 
detector, a 1 MHz resolution bandwidth, and a video bandwidth greater 
than or equal to the resolution bandwidth.
    (5) Alternative measurement procedures may be considered by the 
Commission.

[70 FR 6774, Feb. 9, 2005]



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.

[[Page 929]]

    (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]



Sec. 15.252  Operation of wideband vehicular radar systems within
the bands 16.2-17.7 GHz and 23.12-29.0 GHz.

    (a) Operation under this section is limited to field disturbance 
sensors that are mounted in terrestrial transportation vehicles. 
Terrestrial use is limited to earth surface-based, non-aviation 
applications. Operation within the 16.2-17.7 GHz band is limited to 
field disturbance sensors that are used only for back-up assistance and 
that operate only when the vehicle is engaged in reverse.
    (1) The -10 dB bandwidth of the fundamental emission shall be 
located within the 16.2-17.7 GHz band or within the 23.12-29.0 GHz band, 
exclusive of the 23.6-24.0 GHz restricted band, as appropriate, under 
all conditions of operation including the effects from stepped 
frequency, frequency hopping or other modulation techniques that may be 
employed as well as the frequency stability of the transmitter over 
expected variations in temperature and supply voltage.
    (2) The -10 dB bandwidth of the fundamental emission shall be 10 MHz 
or greater. For transmitters that employ frequency hopping, stepped 
frequency or similar modulation types, measurement of the -10 dB minimum 
bandwidth specified in this paragraph shall be made with the frequency 
hop or step function disabled and with the transmitter operating 
continuously at a fundamental frequency following the provisions of 
Sec. 15.31(m).
    (3) For systems operating in the 23.12-29.0 GHz band, the 
frequencies at which the highest average emission level and at which the 
highest peak level emission appear shall be greater than 24.075 GHz.
    (4) These devices shall operate only when the vehicle is operating, 
e.g., the engine is running. Operation shall occur only upon specific 
activation, such as upon starting the vehicle, changing gears, or 
engaging a turn signal. The operation of these devices shall be related 
to the proper functioning of the transportation vehicle, e.g., collision 
avoidance.
    (b) Emissions from a transmitter operating under this section shall 
not exceed the following equivalent

[[Page 930]]

isotropically radiated power (EIRP) density levels:
    (1) For transmitters operating in the 16.2-17.7 GHz band, the RMS 
average radiated emissions above 960 MHz from a device operating under 
the provisions of this section shall not exceed the following EIRP 
limits based on measurements using a 1 MHz resolution bandwidth:

------------------------------------------------------------------------
                                                                EIRP in
                       Frequency in MHz                           dBm
------------------------------------------------------------------------
960-1610.....................................................      -75.3
1610-16,200..................................................      -61.3
16,200-17,700................................................      -41.3
Above 17,700.................................................      -61.3
------------------------------------------------------------------------

    (2) For transmitters operating in the 23.12-29.0 GHz band, the RMS 
average radiated emissions above 960 MHz from a device operating under 
the provisions of this section shall not exceed the following EIRP 
limits based on measurements using a 1 MHz resolution bandwidth:

------------------------------------------------------------------------
                                                                EIRP in
                       Frequency in MHz                           dBm
------------------------------------------------------------------------
960-1610.....................................................      -75.3
1610-23,120..................................................      -61.3
23,120-23,600................................................      -41.3
23,600-24,000................................................      -61.3
24,000-29,000................................................      -41.3
Above 29,000.................................................     --61.3
------------------------------------------------------------------------

    (3) In addition to the radiated emission limits specified in the 
tables in paragraphs (b)(1) and (b)(2) of this section, transmitters 
operating under the provisions of this section shall not exceed the 
following RMS average EIRP limits when measured using a resolution 
bandwidth of no less than 1 kHz:

------------------------------------------------------------------------
                                                                EIRP in
                       Frequency in MHz                           dBm
------------------------------------------------------------------------
1164-1240....................................................      -85.3
1559-1610....................................................      -85.3
------------------------------------------------------------------------

    (4) There is a limit on the peak level of the emissions contained 
within a 50 MHz bandwidth centered on the frequency at which the highest 
radiated emission occurs and this 50 MHz bandwidth must be contained 
within the 16.2-17.7 GHz band or the 24.05-29.0 GHz band, as 
appropriate. The peak EIRP limit is 20 log (RBW/50) dBm where RBW is the 
resolution bandwidth in MHz employed by the measurement instrument. RBW 
shall not be lower than 1 MHz or greater than 50 MHz. Further, RBW shall 
not be greater than the -10 dB bandwidth of the device under test. For 
transmitters that employ frequency hopping, stepped frequency or similar 
modulation types, measurement of the -10 dB minimum bandwidth specified 
in this paragraph shall be made with the frequency hop or step function 
disabled and with the transmitter operating continuously at a 
fundamental frequency. The video bandwidth of the measurement instrument 
shall not be less than RBW. The limit on peak emissions applies to the 
50 MHz bandwidth centered on the frequency at which the highest level 
radiated emission occurs. If RBW is greater than 3 MHz, the application 
for certification shall contain a detailed description of the test 
procedure, the instrumentation employed in the testing, and the 
calibration of the test setup.
    (5) Radiated emissions at or below 960 MHz shall not exceed the 
emission levels in Sec. 15.209.
    (6) Emissions from digital circuitry used to enable the operation of 
the transmitter may comply with the limits in Sec. 15.209 provided it 
can be clearly demonstrated that those emissions are due solely to 
emissions from digital circuitry contained within the transmitter and 
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 functions or capabilities other than the operation of the 
transmitter, are subject to the limits contained in subpart B of this 
part. Emissions from these digital circuits shall not be employed in 
determining the -10 dB bandwidth of the fundamental emission or the 
frequency at which the highest emission level occurs.
    (c) Measurement procedures:
    (1) All emissions at and below 960 MHz are based on measurements 
employing a CISPR quasi-peak detector. Unless otherwise specified, all 
RMS average emission levels specified in this section are to be measured 
utilizing a 1 MHz resolution bandwidth with a one

[[Page 931]]

millisecond dwell over each 1 MHz segment. The frequency span of the 
analyzer should equal the number of sampling bins times 1 MHz and the 
sweep rate of the analyzer should equal the number of sampling bins 
times one millisecond. The provision in Sec. 15.35(c) that allows 
emissions to be averaged over a 100 millisecond period does not apply to 
devices operating under this section. The video bandwidth of the 
measurement instrument shall not be less than the resolution bandwidth 
and trace averaging shall not be employed. The RMS average emission 
measurement is to be repeated over multiple sweeps with the analyzer set 
for maximum hold until the amplitude stabilizes.
    (2) The peak emission measurement is to be repeated over multiple 
sweeps with the analyzer set for maximum hold until the amplitude 
stabilizes.
    (3) For transmitters that employ frequency hopping, stepped 
frequency or similar modulation types, the peak emission level 
measurement, the measurement of the RMS average emission levels, the 
measurement to determine the center frequency, and the measurement to 
determine the frequency at which the highest level emission occurs shall 
be made with the frequency hop or step function active. Gated signals 
may be measured with the gating active. The provisions of Sec. 15.31(c) 
continue to apply to transmitters that employ swept frequency 
modulation.
    (4) The -10 dB bandwidth is based on measurement using a peak 
detector, a 1 MHz resolution bandwidth, and a video bandwidth greater 
than or equal to the resolution bandwidth.
    (5) Alternative measurement procedures may be considered by the 
Commission.

[70 FR 6775, Feb. 9, 2005]

    Effective Date Note: At 82 FR 43870, Sept. 20, 2017, Sec. 15.252 
was amended by revising the section heading and paragraphs (a) 
introductory text and (a)(1), removing paragraph (b)(1), redesignating 
paragraphs (b)(2) through (6) as paragraphs (b)(1) through (5), revising 
newly redesignated paragraphs (b)(2) and (3), and adding paragraph (d), 
effective Oct. 20, 2017. For the convenience of the user, the added and 
revised text is set forth as follows:



Sec. 15.252  Operation of wideband vehicular radar systems within the 
          band 23.12-29.0 GHz.

    (a) Operation under this section is limited to field disturbance 
sensors that are mounted in terrestrial transportation vehicles. 
Terrestrial use is limited to earth surface-based, non-aviation 
applications.
    (1) The -10 dB bandwidth of the fundamental emissions shall be 
located within the 23.12-29.0 GHz band, exclusive of the 23.6-24.0 GHz 
restricted band, as appropriate, under all conditions of operation 
including the effects from stepped frequency, frequency hopping or other 
modulation techniques that may be employed as well as the frequency 
stability of the transmitter over expected variations in temperature and 
supply voltage.

                                * * * * *

    (b) * * *
    (2) In addition to the radiated emissions limits specified in the 
table in paragraph (b)(1) of this section, transmitters operating under 
the provisions of this section shall not exceed the following RMS 
average EIRP 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
------------------------------------------------------------------------

    (3) 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 and this 50 MHz bandwidth must be contained 
within the 24.05-29.0 GHz band. The peak EIRP limit is 20 log (RBW/50) 
dBm where RBW is the resolution bandwidth in MHz employed by the 
measurement instrument. RBW shall not be lower than 1 MHz or greater 
than 50 MHz. Further, RBW shall not be greater than the -10 dB bandwidth 
of the device under test. For transmitters that employ frequency 
hopping, stepped frequency or similar modulation types, measurement of 
the -10 dB minimum bandwidth specified in this paragraph shall be made 
with the frequency hop or step function disabled and with the 
transmitter operating continuously at a fundamental frequency. The video 
bandwidth of the measurement instrument shall not be less than RBW. The 
limit on peak emissions applies to the 50 MHz bandwidth centered on the 
frequency at which the highest level radiated emission occurs. If RBW is

[[Page 932]]

greater than 3 MHz, the application for certification shall contain a 
detailed description of the test procedure, the instrumentation employed 
in the testing, and the calibration of the test setup.

                                * * * * *

    (d) Wideband vehicular radar systems operating in the 23.12-29.0 GHz 
band are subject to the transition provisions of Sec. 15.37(l) through 
(n).



Sec. 15.253  Operation within the bands 46.7-46.9 GHz and 76.0-77.0
GHz.

    (a) Operation within the band 46.7-46.9 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 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 [micro]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 [micro]W/cm\2\ at a distance of 3 meters from the exterior surface of 
the radiating structure.
    (4) The provisions in Sec. 15.35 limiting peak emissions apply.
    (c) Operation within the band 76.0-77.0 GHz is restricted to 
vehicle-mounted field disturbance sensors used as vehicle radar systems 
and to fixed radar systems used at airport locations for foreign object 
debris detection on runways and for monitoring aircraft as well as 
service vehicles on taxiways and other airport vehicle service areas 
that have no public vehicle access. The transmission of additional 
information, such as data, is permitted provided the primary mode of 
operation is as a field disturbance sensor. Operation under the 
provisions of this section is not permitted on aircraft or satellites.
    (d) The radiated emission limits within the band 76.0-77.0 GHz are 
as follows:
    (1) The average power density of any emission within the bands 
specified in this section shall not exceed 88 [micro]W/cm\2\ at a 
distance of 3 meters from the exterior surface of the radiating 
structure (average EIRP of 50 dBm).
    (2) The peak power density of any emission within the band 76-77 GHz 
shall not exceed 279 [micro]W/cm\2\ at a distance of 3 meters from the 
exterior surface of the radiating structure (peak EIRP of 55 dBm).
    (e) 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 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 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.
    (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.
    (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

[[Page 933]]

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.

[77 FR 48102, Aug. 13, 2012]

    Effective Date Note: At 82 FR 43871, Sept. 20, 2017, Sec. 15.253 
was removed and reserved, effective Oct. 20, 2017.



Sec. 15.255  Operation within the band 57-71 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 for fixed operation, 
or used as short-range devices for interactive motion sensing. 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 57-71 GHz band, emission levels shall not exceed the 
following equivalent isotropically radiated power (EIRP):
    (1) Products other than fixed field disturbance sensors and short-
range devices for interactive motion sensing shall comply with one of 
the following emission limits, as measured during the transmit interval:
    (i) The average power of any emission shall not exceed 40 dBm and 
the peak power of any emission shall not exceed 43 dBm; or
    (ii) For fixed point-to-point transmitters located outdoors, the 
average power of any emission shall not exceed 82 dBm, and shall be 
reduced by 2 dB for every dB that the antenna gain is less than 51 dBi. 
The peak power of any emission shall not exceed 85 dBm, and shall be 
reduced by 2 dB for every dB that the antenna gain is less than 51 dBi.
    (A) The provisions in this paragraph for reducing transmit power 
based on antenna gain shall not require that the power levels be reduced 
below the limits specified in paragraph (b)(1)(i) of this section.
    (B) The provisions of Sec. 15.204(c)(2) and (4) that permit the use 
of different antennas of the same type and of equal or less directional 
gain do not apply to intentional radiator systems operating under this 
provision. In lieu thereof, intentional radiator systems shall be 
certified using the specific antenna(s) with which the system will be 
marketed and operated. Compliance testing shall be performed using the 
highest gain and the lowest gain antennas for which certification is 
sought and with the intentional radiator operated at its maximum 
available output power level. The responsible party, as defined in Sec. 
2.909 of this chapter, shall supply a list of acceptable antennas with 
the application for certification.
    (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 of any emission, measured during the 
transmit interval, shall not exceed 40 dBm, and the peak power of any 
emission shall not exceed 43 dBm. In addition, the average power of any 
emission outside of the 61.0-61.5 GHz band, measured during the transmit 
interval, but still within the 57-71 GHz band, shall not exceed 10 dBm, 
and the peak power of any emission shall not exceed 13 dBm.
    (3) For fixed field disturbance sensors other than those operating 
under the provisions of paragraph (b)(2) of this section, and short-
range devices for interactive motion sensing, the peak transmitter 
conducted output power shall not exceed -10 dBm and the peak EIRP level 
shall not exceed 10 dBm.

[[Page 934]]

    (4) The peak power shall be measured with an RF detector that has a 
detection bandwidth that encompasses the 57-71 GHz band and has a video 
bandwidth of at least 10 MHz. The average emission levels shall be 
measured over the actual time period during which transmission occurs.
    (c) Limits on spurious emissions:
    (1) The power density of any emissions outside the 57-71 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) Except as specified paragraph (e)(1) of this section, the peak 
transmitter conducted output power shall not exceed 500 mW. Depending on 
the gain of the antenna, it may be necessary to operate the intentional 
radiator using a lower peak transmitter output power in order to comply 
with the EIRP limits specified in paragraph (b) of this section.
    (1) Transmitters with an emission bandwidth of less than 100 MHz 
must limit their peak transmitter conducted output power to the product 
of 500 mW times their emission bandwidth divided by 100 MHz. For the 
purposes of this paragraph, 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 conducted output power shall be measured with 
an RF detector that has a detection bandwidth that encompasses the 57-71 
GHz band and that has a video bandwidth of at least 10 MHz.
    (3) For purposes of demonstrating compliance with this paragraph, 
corrections to the transmitter conducted output power may be made due to 
the antenna and circuit loss.
    (e) Frequency stability. 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.
    (g) 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.
    (h) Measurement procedures that have been found to be acceptable to 
the Commission in accordance with Sec. 2.947 of this chapter may be 
used to demonstrate compliance.

[63 FR 42279, Aug. 7, 1998, as amended at 66 FR 7409, Jan. 23, 2001; 68 
FR 68547, Dec. 9, 2003; 78 FR 59850, Sept. 30, 2013; 81 FR 79936, Nov. 
14, 2016]

[[Page 935]]



Sec. 15.256  Operation of level probing radars within the bands
5.925-7.250 GHz, 24.05-29.00 GHz, and 75-85 GHz.

    (a) Operation under this section is limited to level probing radar 
(LPR) devices.
    (b) LPR devices operating under the provisions of this section shall 
utilize a dedicated or integrated transmit antenna, and the system shall 
be installed and maintained to ensure a vertically downward orientation 
of the transmit antenna's main beam.
    (c) LPR devices operating under the provisions of this section shall 
be installed only at fixed locations. The LPR device shall not operate 
while being moved, or while inside a moving container.
    (d) Hand-held applications are prohibited.
    (e) Marketing to residential consumers is prohibited.
    (f) The fundamental bandwidth of an LPR emission is defined as the 
width of the signal between two points, one below and one above the 
center frequency, outside of which all emissions are attenuated by at 
least 10 dB relative to the maximum transmitter output power when 
measured in an equivalent resolution bandwidth.
    (1) The minimum fundamental emission bandwidth shall be 50 MHz for 
LPR operation under the provisions of this section.
    (2) LPR devices operating under this section must confine their 
fundamental emission bandwidth within the 5.925-7.250 GHz, 24.05-29.00 
GHz, and 75-85 GHz bands under all conditions of operation.
    (g) Fundamental emissions limits. (1) All emission limits provided 
in this section are expressed in terms of Equivalent Isotropic Radiated 
Power (EIRP).
    (2) The EIRP level is to be determined from the maximum measured 
power within a specified bandwidth.
    (i) The EIRP in 1 MHz is computed from the maximum power level 
measured within any 1-MHz bandwidth using a power averaging detector;
    (ii) The EIRP in 50 MHz is computed from the maximum power level 
measured with a peak detector in a 50-MHz bandwidth centered on the 
frequency at which the maximum average power level is realized and this 
50 MHz bandwidth must be contained within the authorized operating 
bandwidth. For a RBW less than 50 MHz, the peak EIRP limit (in dBm) is 
reduced by 20 log(RBW/50) dB where RBW is the resolution bandwidth in 
megahertz. The RBW shall not be lower than 1 MHz or greater than 50 MHz. 
The video bandwidth of the measurement instrument shall not be less than 
the RBW. If the RBW is greater than 3 MHz, the application for 
certification filed shall contain a detailed description of the test 
procedure, calibration of the test setup, and the instrumentation 
employed in the testing.
    (3) The EIRP limits for LPR operations in the bands authorized by 
this rule section are provided in Table 1. The emission limits in Table 
1 are based on boresight measurements (i.e., measurements performed 
within the main beam of an LPR antenna).

                    Table 1--LPR EIRP Emission Limits
------------------------------------------------------------------------
                                              Average
                                          emission limit   Peak emission
    Frequency band of operation (GHz)      (EIRP in dBm   limit (EIRP in
                                           measured in 1   dBm measured
                                               MHz)         in 50 MHz)
------------------------------------------------------------------------
5.925-7.250.............................             -33               7
24.05-29.00.............................             -14              26
75-85...................................              -3              34
------------------------------------------------------------------------

    (h) Unwanted emissions limits. Unwanted emissions from LPR devices 
shall not exceed the general emission limit in Sec. 15.209 of this 
chapter.
    (i) Antenna beamwidth. (A) LPR devices operating under the 
provisions of this section within the 5.925-7.250 GHz and 24.05-29.00 
GHz bands must use an antenna with a -3 dB beamwidth no greater than 12 
degrees.
    (B) LPR devices operating under the provisions of this section 
within the 75-85 GHz band must use an antenna with a -3 dB beamwidth no 
greater than 8 degrees.
    (j) Antenna side lobe gain. LPR devices operating under the 
provisions of this section must limit the side lobe antenna gain 
relative to the main beam gain for off-axis angles from the main beam of 
greater than 60 degrees to the levels provided in Table 2.

[[Page 936]]



                 Table 2--Antenna Side Lobe Gain Limits
------------------------------------------------------------------------
                                                           Antenna side
                                                             lobe gain
                  Frequency range (GHz)                   limit relative
                                                           to main beam
                                                             gain (dB)
------------------------------------------------------------------------
5.925-7.250.............................................             -22
24.05-29.00.............................................             -27
75-85...................................................             -38
------------------------------------------------------------------------

    (k) Emissions from digital circuitry used to enable the operation of 
the transmitter may comply with the limits in Sec. 15.209 of this 
chapter provided it can be clearly demonstrated that those emissions are 
due solely to emissions from digital circuitry contained within the 
transmitter and 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) of this part, e.g., emissions from digital 
circuitry used to control additional functions or capabilities other 
than the operation of the transmitter, are subject to the limits 
contained in subpart B, part 15 of this chapter. Emissions from these 
digital circuits shall not be employed in determining the -10 dB 
bandwidth of the fundamental emission or the frequency at which the 
highest emission level occurs.
    (l) Measurement procedures. (1) Radiated measurements of the 
fundamental emission bandwidth and power shall be made with maximum 
main-beam coupling between the LPR and test antennas (boresight).
    (2) Measurements of the unwanted emissions radiating from an LPR 
shall be made utilizing elevation and azimuth scans to determine the 
location at which the emissions are maximized.
    (3) All emissions at and below 1,000 MHz except 9-90 kHz and 110-490 
kHz bands are based on measurements employing a CISPR quasi-peak 
detector.
    (4) The fundamental emission bandwidth measurement shall be made 
using a peak detector with a resolution bandwidth of 1 MHz and a video 
bandwidth of at least 3 MHz.
    (5) The provisions in Sec. 15.35(b) and (c) of this part that 
require emissions to be averaged over a 100 millisecond period and that 
limits the peak power to 20 dB above the average limit do not apply to 
devices operating under paragraphs (a) through (l) of this section.
    (6) Compliance measurements for minimum emission bandwidth of 
frequency-agile LPR devices shall be performed with any related 
frequency sweep, step, or hop function activated.
    (7) Compliance measurements shall be made in accordance with the 
specific procedures published or otherwise authorized by the Commission.

[79 FR 12678, Mar. 6, 2014]



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 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

[[Page 937]]

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 1920-1930 MHz 
band.

[69 FR 77949, Dec. 29, 2004]



Sec. 15.303  Definitions.

    Asynchronous devices. Devices that transmit RF energy at irregular 
time intervals, as typified by local area network data systems.
    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. 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.
    Isochronous devices. Devices that transmit at a regular interval, 
typified by time-division voice systems.
    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

[[Page 938]]

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.
    Personal Communications Services (PCS) Devices [Unlicensed]. 
Intentional radiators operating in the frequency band 1920-1930 MHz that 
provide a wide array of mobile and ancillary fixed communication 
services to individuals and businesses.
    Spectrum window. An amount of spectrum equal to the intended 
emission bandwidth in which operation is desired.
    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.
    Time window. An interval of time in which transmission is desired.

[58 FR 59180, Nov. 8, 1993, as amended at 59 FR 32852, June 24, 1994; 60 
FR 13073, Mar. 10, 1995; 69 FR 62620, Oct. 27, 2004; 69 FR 77949, Dec. 
29, 2004; 77 FR 43013, July 23, 2012]



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  [Reserved]



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. 15.313  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) [Reserved]
    (b) All transmissions must use only digital modulation techniques. 
Both asynchronous and isochronous operations are permitted within the 
1920-1930 MHz band.
    (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 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.

[[Page 939]]

    (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; 69 FR 62621, Oct. 27, 2004; 69 FR 77949, Dec. 29, 2004; 77 FR 
43013, July 23, 2012]



Sec. 15.321  [Reserved]



Sec. 15.323  Specific requirements for devices operating in the 
1920-1930 MHz band.

    (a) Operation shall be contained within the 1920-1930 MHz band. The 
emission bandwidth shall be less than 2.5 MHz. The power level shall be 
as specified in Sec. 15.319(c), but in no event shall the emission 
bandwidth be less than 50 kHz.
    (b) [Reserved]
    (c) 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 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 20 duplex system access channels are defined for 
the system, the time and spectrum windows with the lowest power level 
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

[[Page 940]]

detected value. The power measurement resolution for this comparison 
must be accurate to within 6 dB. No device or group of co-operating 
devices located within 1 meter of each other shall during any frame 
period occupy more than 6 MHz of aggregate bandwidth, or alternatively, 
more than one third of the time and spectrum windows defined by the 
system.
    (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 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 1.25 MHz of the center frequency of 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 outside the band shall be attenuated below a reference 
power of 112 milliwatts as follows: 30 dB between the band and 1.25 MHz 
above or below the band; 50 dB between 1.25 and 2.5 MHz above or below 
the band; and 60 dB at 2.5 MHz or greater above or below the band. 
Emissions inside the band 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 band 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

[[Page 941]]

hertz. Compliance with the emission limits is based on the use of 
measurement instrumentation employing 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 this band 
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 any further requirement to vary supply voltage.

[58 FR 59180, Nov. 8, 1993; 59 FR 15269, Mar. 31, 1994. Redesignated at 
59 FR 32852, June 24, 1994, as amended at 59 FR 32853, June 24, 1994; 59 
FR 40835, Aug. 10, 1994; 59 FR 55373, Nov. 7, 1994; 60 FR 3303, Jan. 13, 
1995; 69 FR 62621, Oct. 27, 2004; 77 FR 43013, July 23, 2012]



    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 5.725-5.85 GHz bands.

[79 FR 24579, May 1, 2014]



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.

[[Page 942]]

    (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) Maximum Power Spectral Density. The maximum power spectral 
density is the maximum power spectral density, within the specified 
measurement bandwidth, within the U-NII device operating band.
    (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.
    (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 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 Control (TPC). A feature that enables a U-NII 
device to dynamically switch between several transmission power levels 
in the data transmission process.
    (s) U-NII devices. Intentional radiators operating in the frequency 
bands 5.15-5.35 GHz and 5.470-5.85 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, as amended at 69 FR 54036, Sept. 7, 2004; 79 
FR 24579, May 1, 2014]



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.

[[Page 943]]

    (i) For an outdoor access point operating in the band 5.15-5.25 GHz, 
the maximum conducted output power over the frequency band of operation 
shall not exceed 1 W provided the maximum antenna gain does not exceed 6 
dBi. In addition, the maximum power spectral density shall not exceed 17 
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 maximum power spectral density shall be reduced by the 
amount in dB that the directional gain of the antenna exceeds 6 dBi. The 
maximum e.i.r.p. at any elevation angle above 30 degrees as measured 
from the horizon must not exceed 125 mW (21 dBm).
    (ii) For an indoor access point operating in the band 5.15-5.25 GHz, 
the maximum conducted output power over the frequency band of operation 
shall not exceed 1 W provided the maximum antenna gain does not exceed 6 
dBi. In addition, the maximum power spectral density shall not exceed 17 
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 maximum power spectral density shall be reduced by the 
amount in dB that the directional gain of the antenna exceeds 6 dBi.
    (iii) For fixed point-to-point access points operating in the band 
5.15-5.25 GHz, the maximum conducted output power over the frequency 
band of operation shall not exceed 1 W. In addition, the maximum power 
spectral density shall not exceed 17 dBm in any 1 megahertz band. Fixed 
point-to-point U-NII devices may employ antennas with directional gain 
up to 23 dBi without any corresponding reduction in the maximum 
conducted output power or maximum power spectral density. For fixed 
point-to-point transmitters that employ a directional antenna gain 
greater than 23 dBi, a 1 dB reduction in maximum conducted output power 
and maximum power spectral density is required for each 1 dB of antenna 
gain in excess of 23 dBi. 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.
    (iv) For client devices in the 5.15-5.25 GHz band, the maximum 
conducted output power over the frequency band of operation shall not 
exceed 250 mW provided the maximum antenna gain does not exceed 6 dBi. 
In addition, the maximum 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 maximum 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 maximum 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 maximum 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 5.725-5.85 GHz, the maximum conducted output power 
over the frequency band of operation shall not exceed 1 W. In addition, 
the maximum power spectral density shall not exceed 30 dBm in any 500-
kHz band. If transmitting antennas of directional gain greater than 6 
dBi are used, both the maximum conducted output power and the maximum 
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 greater than 6 dBi without any 
corresponding reduction in transmitter conducted power. Fixed, point-to-
point operations exclude the use of point-to-multipoint systems, 
omnidirectional applications,

[[Page 944]]

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.
    (5) The maximum 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 in the 5.725-5.85 GHz band are made over a reference 
bandwidth of 500 kHz or the 26 dB emission bandwidth of the device, 
whichever is less. Measurements in the 5.15-5.25 GHz, 5.25-5.35 GHz, and 
the 5.47-5.725 GHz bands are made over a bandwidth of 1 MHz or the 26 dB 
emission bandwidth of the device, whichever is less. A narrower 
resolution bandwidth can be used, provided that the measured power is 
integrated over the full reference bandwidth.
    (b) Undesirable emission limits. Except as shown in paragraph (b)(7) 
of this section, the maximum 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 e.i.r.p. 
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 e.i.r.p. 
of -27 dBm/MHz.
    (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 
e.i.r.p. of -27 dBm/MHz.
    (4) For transmitters operating in the 5.725-5.85 GHz band:
    (i) All emissions shall be limited to a level of -27 dBm/MHz at 75 
MHz or more above or below the band edge increasing linearly to 10 dBm/
MHz at 25 MHz above or below the band edge, and from 25 MHz above or 
below the band edge increasing linearly to a level of 15.6 dBm/MHz at 5 
MHz above or below the band edge, and from 5 MHz above or below the band 
edge increasing linearly to a level of 27 dBm/MHz at the band edge.
    (ii) Devices certified before March 2, 2017 with antenna gain 
greater than 10 dBi may demonstrate compliance with the emission limits 
in Sec. 15.247(d), but manufacturing, marketing and importing of 
devices certified under this alternative must cease by March 2, 2018. 
Devices certified before March 2, 2018 with antenna gain of 10 dBi or 
less may demonstrate compliance with the emission limits in Sec. 
15.247(d), but manufacturing, marketing and importing of devices 
certified under this alternative must cease before March 2, 2020.
    (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 
band 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

[[Page 945]]

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) [Reserved]
    (e) Within the 5.725-5.85 GHz band, the minimum 6 dB bandwidth of U-
NII devices shall be at least 500 kHz.
    (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 with any part of its 26 dB emission bandwidth 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. Operators shall only use 
equipment with a DFS mechanism that is turned on when operating in these 
bands. The device must sense for radar signals at 100 percent of its 
emission bandwidth. 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. and a power spectral density of less than 
10 dBm in a 1 MHz band, the minimum detection threshold is -62 dBm. The 
detection threshold is the received power averaged over 1 microsecond 
referenced to a 0 dBi antenna. For the initial channel setting, the 
manufacturers shall be permitted to provide for either random channel 
selection or manual channel selection.
    (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.
    (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 section, 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.
    (i) Device Security. All U-NII devices must contain security 
features to protect against modification of software by unauthorized 
parties.

[[Page 946]]

    (1) Manufacturers must implement security features in any digitally 
modulated devices capable of operating in any of the U-NII bands, so 
that third parties are not able to reprogram the device to operate 
outside the parameters for which the device was certified. The software 
must prevent the user from operating the transmitter with operating 
frequencies, output power, modulation types or other radio frequency 
parameters outside those that were approved for the device. 
Manufacturers may use means including, but not limited to the use of a 
private network that allows only authenticated users to download 
software, electronic signatures in software or coding in hardware that 
is decoded by software to verify that new software can be legally loaded 
into a device to meet these requirements and must describe the methods 
in their application for equipment authorization.
    (2) Manufacturers must take steps to ensure that DFS functionality 
cannot be disabled by the operator of the U-NII device.
    (j) Operator Filing Requirement: Before deploying an aggregate total 
of more than one thousand outdoor access points within the 5.15-5.25 GHz 
band, parties must submit a letter to the Commission acknowledging that, 
should harmful interference to licensed services in this band occur, 
they will be required to take corrective action. Corrective actions may 
include reducing power, turning off devices, changing frequency bands, 
and/or further reducing power radiated in the vertical direction. This 
material shall be submitted to Laboratory Division, Office of 
Engineering and Technology, Federal Communications Commission, 7435 
Oakland Mills Road, Columbia, MD 21046. Attn: U-NII Coordination, or via 
Web site at https://www.fcc.gov/labhelp with the SUBJECT LINE: ``U-NII-1 
Filing''.

[63 FR 40836, July 31, 1998, as amended at 69 FR 2687, Jan. 20, 2004; 69 
FR 54036, Sept. 7, 2004; 79 FR 24579, May 1, 2014; 79 FR 56988, Sept. 
24, 2014; 79 FR 76903, Dec. 23, 2014; 81 FR 19901, Apr. 6, 2016]



                   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.

[[Page 947]]

    (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 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.

[[Page 948]]



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 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

[[Page 949]]

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


[[Page 950]]

    (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]



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...............................................           -75.3
------------------------------------------------------------------------

    (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, as amended at 72 FR 63823, Nov. 13, 2007]



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

[[Page 951]]

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 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.
    (g) The emission levels from devices operating under the provisions 
of this section that employ gated transmissions may be measured with the 
gating active. Measurements made in this manner shall be repeated over 
multiple sweeps with the analyzer set for maximum hold until the 
amplitude stabilizes.

[67 FR 34856, May 16, 2002, as amended at 70 FR 6776, Feb. 9, 2005]

    Effective Date Note: At 82 FR 43871, Sept. 20, 2017, Sec. 15.515 
was amended by adding paragraph (h), effective Oct. 20, 2017. For the 
convenience of the user, the added text is set forth as follows:



Sec. 15.515  Technical requirements for vehicular radar systems.

                                * * * * *

    (h) UWB vehicular systems operating in the 22-29 GHz band are 
subject to the transition provisions of Sec. 15.37(l) through (n).



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

[[Page 952]]

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 
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

[[Page 953]]

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 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. Unless otherwise 
stated, 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

[[Page 954]]

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; 70 
FR 6776, Feb. 9, 2005]



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 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

[[Page 955]]

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]



         Subpart G_Access Broadband Over Power Line (Access BPL)

    Source: 70 FR 1374, Jan. 7, 2005, unless otherwise noted.



Sec. 15.601  Scope.

    This subpart sets out the regulations for Access Broadband over 
Power Line (Access BPL) devices operating in the 1.705-80 MHz band over 
medium or low voltage lines.



Sec. 15.603  Definitions.

    (a) Excluded Band: A band of frequencies within which Access BPL 
operations are not permitted.
    (b) Exclusion Zone: A geographical area within which Access BPL 
operations are not permitted in certain frequency bands.
    (c) Consultation. The process of communication between an entity 
operating Access BPL and a licensed public safety or other designated 
point of contact for the purpose of avoiding potential harmful 
interference.
    (d) Consultation area: A designated geographical area within which 
consultation with public safety users or other designated point of 
contact is required before an Access BPL may be operated at designated 
frequencies.
    (e) Low Voltage power line. A power line carrying low voltage, e.g., 
240/120 volts from a distribution transformer to a customer's premises.
    (f) Medium Voltage power line. A power line carrying between 1,000 
to 40,000 volts from a power substation to neighborhoods. Medium voltage 
lines may be overhead or underground, depending on the power grid 
network topology.
    (g) Access BPL Database. A database operated by an industry-
sponsored entity, recognized by the Federal Communications Commission 
and the National Telecommunications and Information Administration 
(NTIA), containing information regarding existing and planned Access BPL 
systems, as required in Sec. 15.615(a) of this chapter.



Sec. 15.605  Cross reference.

    (a) The provisions of subparts A and B of this part apply to Access 
BPL devices, except where specifically noted. The provisions of subparts 
C through F of this part do not apply to Access BPL devices except where 
specifically noted.
    (b) The requirements of this subpart apply only to the radio 
circuitry that is used to provide carrier current operation for the 
Access BPL device. Other aspects of the operation of an Access BPL 
device may be subject to requirements contained elsewhere in this 
chapter. In particular, an Access BPL device that includes digital 
circuitry that is not used solely to enable the operation of the radio 
frequency circuitry used to provide carrier current operation also is 
subject to the requirements for unintentional radiators in subpart B of 
this part.



Sec. 15.607  Equipment authorization of Access BPL equipment.

    Access BPL equipment shall be subject to Certification as specified 
in Sec. 15.101.



Sec. 15.609  Marketing of Access BPL equipment.

    The marketing of Access BPL equipment must be directed solely to 
parties eligible to operate the equipment. Eligible parties consist of 
AC power line public utilities, Access BPL service providers and 
associates of Access BPL service providers. The responsible party, as 
defined in 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. 15.611  General technical requirements.

    (a) Conducted emission limits. Access BPL is not subject to the 
conducted emission limits of Sec. 15.107.

[[Page 956]]

    (b) Radiated emission limits--(1) Medium voltage power lines. (i) 
Access BPL systems that operate in the frequency range of 1.705 kHz to 
30 MHz over medium voltage power lines shall comply with the radiated 
emission limits for intentional radiators provided in Sec. 15.209.
    (ii) Access BPL systems that operate in the frequency range above 30 
MHz over medium voltage power lines shall comply with the radiated 
emission limits provided in Sec. 15.109(b).
    (2) Low voltage power lines. Access BPL systems that operate over 
low-voltage power lines, including those that operate over low-voltage 
lines that are connected to the in-building wiring, shall comply with 
the radiated emission limits provided in Sec. 15.109(a) and (e).
    (c) Interference Mitigation and Avoidance. (1) Access BPL systems 
shall incorporate adaptive interference mitigation techniques to 
remotely reduce power and adjust operating frequencies, in order to 
avoid site-specific, local use of the same spectrum by licensed 
services. These techniques may include adaptive or ``notch'' filtering, 
or complete avoidance of frequencies, or bands of frequencies, locally 
used by licensed radio operations.
    (i) For frequencies below 30 MHz, when a notch filter is used to 
avoid interference to a specific frequency band, the Access BPL system 
shall be capable of attenuating emissions within that band to a level at 
least 25 dB below the applicable Part 15 limits.
    (ii) For frequencies above 30 MHz, when a notch filter is used to 
avoid interference to a specific frequency band, the Access BPL system 
shall be capable of attenuating emissions within that band to a level at 
least 10 dB below the applicable part 15 limits.
    (iii) At locations where an Access BPL operator attenuates radiated 
emissions from its operations in accordance with the above required 
capabilities, we will not require that operator to take further actions 
to resolve complaints of harmful interference to mobile operations.
    (2) Access BPL systems shall comply with applicable radiated 
emission limits upon power-up following a fault condition, or during a 
start-up operation after a shut-off procedure, by the use of a non-
volatile memory, or some other method, to immediately restore previous 
settings with programmed notches and excluded bands, to avoid time delay 
caused by the need for manual re-programming during which protected 
services may be vulnerable.
    (3) Access BPL systems shall incorporate a remote-controllable shut-
down feature to deactivate, from a central location, any unit found to 
cause harmful interference, if other interference mitigation techniques 
do not resolve the interference problem.

[70 FR 1374, Jan. 7, 2005, as amended at 71 FR 49379, Aug. 23, 2006; 76 
FR 71908, Nov. 21, 2011]



Sec. 15.613  Measurement procedures.

    Compliance measurements for Access BPL shall be made in accordance 
with the Guidelines for Access BPL systems specified by the Commission.



Sec. 15.615  General administrative requirements.

    (a) Access BPL Database. Entities operating Access BPL systems shall 
supply to an industry-recognized entity, information on all existing 
Access BPL systems and all proposed Access BPL systems for inclusion 
into a publicly available data base, within 30 days prior to initiation 
of service. Such information shall include the following:
    (1) The name of the Access BPL provider.
    (2) The frequencies of the Access BPL operation.
    (3) The postal zip codes served by the specific Access BPL 
operation.
    (4) The manufacturer and type of Access BPL equipment and its 
associated FCC ID number, or, in the case of Access BPL equipment that 
has been subject to verification, the Trade Name and Model Number, as 
specified on the equipment label.
    (5) The contact information, including both phone number and e-mail 
address of a person at, or associated with, the BPL operator's company, 
to facilitate the resolution of any interference complaint.
    (6) The proposed/or actual date of Access BPL operation.
    (b) The Access BPL database manager shall enter this information 
into

[[Page 957]]

the publicly accessible database within three (3) business days of 
receipt.
    (c) No notification to the Commission is required.
    (d) A licensed spectrum user experiencing harmful interference that 
is suspected to be caused by an Access BPL system shall inform the local 
BPL operator's contact person designated in the Access BPL database. The 
investigation of the reported interference and the resolution of 
confirmed harmful interference from the Access BPL system shall be 
successfully completed by the BPL operator within a reasonable time 
period according to a mutually acceptable schedule, after the receipt of 
an interference complaint, in order to avoid protracted disruptions to 
licensed services. The Access BPL operator shall respond to complaints 
of harmful interference from public safety users within 24 hours. With 
regard to public safety complaints, the BPL provider shall be required 
to immediately cease the operations causing such complaint if it fails 
to respond within 24 hours.
    (e) Consultation with public safety users. An entity operating an 
Access BPL system shall notify and consult with the public safety users 
in the area where it plans to deploy Access BPL, at least 30 days prior 
to initiation of any operation or service. This entity shall design or 
implement the Access BPL system such that it does not cause harmful 
interference in those frequencies or bands used by the public safety 
agencies in the area served by the Access BPL system. The notification 
shall include, at a minimum, the information in paragraph (a) of this 
section.
    (f) Federal government spectrum users and other radio service users. 
An entity operating an Access BPL system shall ensure that, within its 
Access BPL deployment area, its system does not operate on any 
frequencies designated as excluded bands or on identified frequencies 
within any designated exclusion zones.
    (1) Excluded Bands. To protect Aeronautical (land) stations and 
aircraft receivers, Access BPL operations using overhead medium voltage 
power lines are prohibited in the frequency bands listed in Table 1. 
Specifically, such BPL systems shall not place carrier frequencies in 
these bands.

                    Table 1--Excluded Frequency Bands
------------------------------------------------------------------------
                             Frequency band
-------------------------------------------------------------------------
2,850-3,025 kHz
3,400-3,500 kHz
4,650-4,700 kHz
5,450-5,680 kHz
6,525-6,685 kHz
8,815-8,965 kHz
10,005-10,100 kHz
11,275-11,400 kHz
13,260-13,360 kHz
17,900-17,970 kHz
21,924-22,000 kHz
74.8-75.2 MHz
------------------------------------------------------------------------

    (2) Exclusion zones. Exclusion zones encompass the operation of any 
Access BPL system within 1km of the boundary of coast station facilities 
at the coordinates listed in Tables 2 and 2.1. Exclusion zones also 
encompass the operation of Access BPL systems using overhead medium 
voltage power lines within 65 km of the Very Large Array observatory 
located at the coordinate 34[deg]04[min]43.50[sec]; N, 
107[deg]37[min]03.82[sec] W. Exclusion zones further encompass the 
operation of Access BPL systems using overhead low voltage power lines 
or underground power lines within 47 km of the Very Large Array 
observatory located at the coordinate 34[deg]04[min]43.50[sec]; N, 
107[deg]37[min]03.82[sec] W. Within the exclusion zones for coast 
stations, Access BPL systems shall not use carrier frequencies within 
the band of 2173.5-2190.5 kHz. Within the exclusion zone for the Very 
Large Array radio astronomy observatory, Access BPL systems shall not 
use carrier frequencies within the 73.0-74.6 MHz band.
    (i) Existing coast station facilities. Access BPL systems shall not 
operate in the frequency band 2,173.5-2,190.5 kHz, within 1 kilometer 
(km) of the boundary of coast station facilities at the coordinates 
listed in Tables 2 and 2.1. BPL operators planning to deploy Access BPL 
devices at these frequencies in areas within these exclusion zones as 
defined above shall consult with the appropriate point of contact for 
these coast stations to ensure harmful interference is prevented at 
these facilities.
    Point of contact: Commandant (CG 622), U.S. Coast Guard, 2100 2nd 
Street, SW., Washington, DC 20593-0001, Telephone: (202) 267-2860, e-
mail: [email protected].

[[Page 958]]



      Table 2--Exclusion Zones for U.S. Coast Guard Coast Stations
------------------------------------------------------------------------
              Locale                    Latitude           Longitude
------------------------------------------------------------------------
Group Guam.......................  13[deg]35[min]23[s  144[deg]50[min]24
                                    ec] N               [sec] E
GANTSEC..........................  18[deg]18[min]00[s  65[deg]46[min]59[
                                    ec] N               sec] W
Puerto Rico......................  18[deg]28[min]11[s  66[deg]07[min]47[
                                    ec] N               sec] W
Honolulu.........................  21[deg]18[min]21[s  157[deg]53[min]23
                                    ec] N               [sec] W
Group Key West...................  24[deg]33[min]35[s  81[deg]47[min]59[
                                    ec] N               sec] W
Trumbo Point CG Base.............  24[deg]33[min]58[s  81[deg]47[min]57[
                                    ec] N               sec] W
Miami............................  25[deg]37[min]28[s  80[deg]23[min]07[
                                    ec] N               sec] W
Everglades Park..................  25[deg]50[min]10[s  81[deg]23[min]13[
                                    ec] N               sec] W
Group Saint Petersburg             25[deg]51[min]00[s  81[deg]23[min]24[
 (Everglades).                      ec] N               sec] W
Station Ft. Lauderdale...........  26[deg]05[min]21[s  80[deg]06[min]40[
                                    ec] N               sec] W
Station Ft. Myers Beach..........  26[deg]27[min]34[s  81[deg]57[min]15[
                                    ec] N               sec] W
Group Miami (Ft. Pierce).........  27[deg]27[min]36[s  80[deg]18[min]36[
                                    ec] N               sec] W
Station Ft. Pierce...............  27[deg]27[min]50[s  80[deg]18[min]27[
                                    ec] N               sec] W
Group Corpus Christi.............  27[deg]42[min]01[s  97[deg]16[min]11[
                                    ec] N               sec] W
Group Corpus Christi.............  27[deg]42[min]06[s  97[deg]16[min]45[
                                    ec] N               sec] W
ESD Saint Petersburg.............  27[deg]45[min]21[s  82[deg]37[min]32[
                                    ec] N               sec] W
Group Saint Petersburg...........  27[deg]46[min]11[s  82[deg]37[min]47[
                                    ec] N               sec] W
Station Port O'Connor............  28[deg]26[min]03[s  96[deg]25[min]39[
                                    ec] N               sec] W
S. Padre Island..................  28[deg]26[min]22[s  97[deg]09[min]56[
                                    ec] N               sec] W
Freeport.........................  28[deg]55[min]59[s  95[deg]16[min]59[
                                    ec] N               sec] W
Group Galveston (Freeport).......  28[deg]56[min]24[s  95[deg]17[min]59[
                                    ec] N               sec] W
Station YANKEETOWN...............  29[deg]01[min]51[s  82[deg]43[min]39[
                                    ec] N               sec] W
Station Ponce De Leon Inlet......  29[deg]03[min]50[s  81[deg]55[min]01[
                                    ec] N               sec] W
Group New Orleans (Grand Isle)...  29[deg]15[min]53[s  89[deg]57[min]26[
                                    ec] N               sec] W
Galveston........................  29[deg]19[min]59[s  94[deg]46[min]18[
                                    ec] N               sec] W
Kapalan..........................  29[deg]20[min]04[s  94[deg]47[min]17[
                                    ec] N               sec] W
Sabine...........................  29[deg]43[min]42[s  93[deg]52[min]14[
                                    ec] N               sec] W
New Orleans......................  30[deg]01[min]17[s  90[deg]07[min]24[
                                    ec] N               sec] W
Panama City......................  30[deg]10[min]01[s  85[deg]45[min]04[
                                    ec] N               sec] W
Group Mobile (Panama City).......  30[deg]10[min]12[s  85[deg]45[min]36[
                                    ec] N               sec] W
ANT Jacksonville Beach...........  30[deg]17[min]16[s  81[deg]24[min]10[
                                    ec] N               sec] W
Pensacola........................  30[deg]20[min]24[s  87[deg]18[min]17[
                                    ec] N               sec] W
Group Mayport....................  30[deg]23[min]10[s  81[deg]26[min]01[
                                    ec] N               sec] W
Group Mayport....................  30[deg]23[min]24[s  81[deg]25[min]48[
                                    ec] N               sec] W
Ft. Morgan.......................  30[deg]39[min]07[s  88[deg]03[min]12[
                                    ec] N               sec] W
Tybee Lighthouse.................  32[deg]01[min]15[s  80[deg]50[min]39[
                                    ec] N               sec] W
Point Loma Lighthouse............  32[deg]39[min]56[s  117[deg]14[min]34
                                    ec] N               [sec] W
Point Loma.......................  32[deg]40[min]07[s  117[deg]14[min]14
                                    ec] N               [sec] W
Activities San Diego.............  32[deg]43[min]59[s  117[deg]11[min]13
                                    ec] N               [sec] W
Group Charleston (Sullivan's       32[deg]45[min]00[s  79[deg]49[min]47[
 Island).                           ec] N               sec] W
Sullivan's Island Lights.........  32[deg]45[min]02[s  79[deg]50[min]03[
                                    ec] N               sec] W
Group Charleston.................  32[deg]46[min]25[s  79[deg]56[min]37[
                                    ec] N               sec] W
Group San Diego..................  32[deg]52[min]48[s  118[deg]26[min]23
                                    ec] N               [sec] W
San Pedro........................  33[deg]45[min]00[s  118[deg]15[min]58
                                    ec] N               [sec] W
Group Fort Macon.................  33[deg]53[min]24[s  78[deg]01[min]48[
                                    ec] N               sec] W
Point Mugu.......................  33[deg]59[min]32[s  119[deg]07[min]18
                                    ec] N               [sec] W
Group LA/Long Beach..............  34[deg]07[min]11[s  119[deg]06[min]35
                                    ec] N               [sec] W
Channel Island...................  34[deg]09[min]17[s  119[deg]13[min]11
                                    ec] N               [sec] W
Station Oxnard Channel Island....  34[deg]09[min]43[s  119[deg]13[min]19
                                    ec] N               [sec] W
Group Ft. Macon..................  34[deg]41[min]48[s  76[deg]40[min]59[
                                    ec] N               sec] W
Group Cape Hatteras..............  35[deg]13[min]59[s  75[deg]31[min]59[
                                    ec] N               sec] W
Group Cape Hatteras..............  35[deg]15[min]35[s  75[deg]31[min]48[
                                    ec] N               sec] W
Morro Bay (Cambria)..............  35[deg]31[min]21[s  121[deg]03[min]31
                                    ec] N               [sec] W
San Clemente Island..............  32[deg]50[min]24[s  118[deg]23[min]15
                                    ec] N               [sec] W
Point Pinos......................  36[deg]38[min]12[s  121[deg]56[min]06
                                    ec] N               [sec] W
CAMSLANT.........................  36[deg]43[min]47[s  76[deg]01[min]11[
                                    ec] N               sec] W
Group Hampton Roads..............  36[deg]53[min]01[s  76[deg]21[min]10[
                                    ec] N               sec] W
Point Montara....................  37[deg]31[min]23[s  122[deg]30[min]47
                                    ec] N               [sec] W
Point Montara Lighthouse.........  37[deg]32[min]09[s  122[deg]31[min]08
                                    ec] N               [sec] W
Group San Francisco..............  37[deg]32[min]23[s  122[deg]31[min]11
                                    ec] N               [sec] W
Group San Francisco..............  37[deg]48[min]34[s  122[deg]21[min]55
                                    ec] N               [sec] W
Point Bonita.....................  37[deg]49[min]00[s  122[deg]31[min]41
                                    ec] N               [sec] W
Group Eastern Shores.............  37[deg]55[min]47[s  75[deg]22[min]47[
                                    ec] N               sec] W
Group Eastern Shore..............  37[deg]55[min]50[s  75[deg]22[min]58[
                                    ec] N               sec] W
CAMSPAC..........................  38[deg]06[min]00[s  122[deg]55[min]48
                                    ec] N               [sec] W
Point Arena Lighthouse...........  38[deg]57[min]18[s  124[deg]44[min]28
                                    ec] N               [sec] W
Point Arena......................  38[deg]57[min]36[s  123[deg]44[min]23
                                    ec] N               [sec] W
Group Atlantic City..............  39[deg]20[min]59[s  74[deg]27[min]42[
                                    ec] N               sec] W
Activities New York..............  40[deg]36[min]06[s  74[deg]03[min]36[
                                    ec] N               sec] W
Activities New York..............  40[deg]37[min]11[s  74[deg]04[min]11[
                                    ec] N               sec] W
ESD Moriches Hut.................  40[deg]47[min]19[s  72[deg]44[min]53[
                                    ec] N               sec] W
Group Moriches...................  40[deg]47[min]23[s  72[deg]45[min]00[
                                    ec] N               sec] W
Group Humboldt Bay...............  40[deg]58[min]41[s  124[deg]06[min]31
                                    ec] N               [sec] W
Group Humboldt Bay...............  40[deg]58[min]47[s  124[deg]06[min]35
                                    ec] N               [sec] W
Trinidad Head....................  41[deg]03[min]15[s  124[deg]09[min]02
                                    ec] N               [sec] W
Group Long Island Sound..........  41[deg]16[min]12[s  72[deg]54[min]00[
                                    ec] N               sec] W
Station New Haven................  41[deg]16[min]12[s  72[deg]54[min]06[
                                    ec] N               sec] W
Station Brant Point..............  41[deg]17[min]21[s  70[deg]05[min]31[
                                    ec] N               sec] W
Group Woods Hole.................  41[deg]17[min]23[s  70[deg]04[min]47[
                                    ec] N               sec] W
Station Castle Hill..............  41[deg]27[min]46[s  71[deg]21[min]42[
                                    ec] N               sec] W
Group Woods Hole.................  41[deg]17[min]29[s  70[deg]401[min]07
                                    ec] N               [sec] W
Boston Area......................  41[deg]40[min]12[s  70[deg]31[min]48[
                                    ec] N               sec] W
Station Provincetown.............  42[deg]01[min]48[s  70[deg]12[min]42[
                                    ec] N               sec] W
Eastern Point....................  42[deg]36[min]24[s  70[deg]39[min]26[
                                    ec] N               sec] W
Cape Blanco......................  42[deg]50[min]16[s  124[deg]33[min]52
                                    ec] N               [sec] W
Group North Bend.................  43[deg]24[min]16[s  124[deg]13[min]22
                                    ec] N               [sec] W
Group North Bend.................  43[deg]24[min]35[s  124[deg]14[min]23
                                    ec] N               [sec] W
Cape Elizabeth...................  43[deg]33[min]28[s  70[deg]12[min]00[
                                    ec] N               sec] W
Group South Portland.............  43[deg]38[min]24[s  70[deg]15[min]00[
                                    ec] N               sec] W
Group South Portland.............  43[deg]38[min]45[s  70[deg]14[min]51[
                                    ec] N               sec] W
Group SW Harbor..................  44[deg]16[min]19[s  68[deg]18[min]27[
                                    ec] N               sec] W
Group Southwest Harbor...........  44[deg]16[min]48[s  68[deg]18[min]36[
                                    ec] N               sec] W
Fort Stevens, Oregon.............  46[deg]09[min]14[s  123[deg]53[min]07
                                    ec] N               [sec] W
Group Astoria....................  46[deg]09[min]29[s  123[deg]31[min]48
                                    ec] N               [sec] W
Group Astoria....................  46[deg]09[min]35[s  123[deg]53[min]24
                                    ec] N               [sec] W
La Push..........................  47[deg]49[min]00[s  124[deg]37[min]59
                                    ec] N               [sec] W
Station Quillayute River.........  47[deg]54[min]49[s  124[deg]38[min]01
                                    ec] N               [sec] W
Port Angeles.....................  48[deg]07[min]59[s  123[deg]25[min]59
                                    ec] N               [sec] W
Group Port Angeles...............  48[deg]08[min]24[s  123[deg]24[min]35
                                    ec] N               [sec] W
Juneau (Sitka)...................  57[deg]05[min]24[s  135[deg]15[min]35
                                    ec] N               [sec] W
Kodiak...........................  57[deg]40[min]47[s  152[deg]28[min]47
                                    ec] N               [sec] W
Valdez (Cape Hinchinbrook).......  60[deg]26[min]23[s  146[deg]25[min]48
                                    ec] N               [sec] W
------------------------------------------------------------------------
Note: Systems of coordinates comply with NAD 83.


                          Table 2.1--Exclusion Zones for Maritime Public Coast Stations
                     [Points of Contact Are Identified in the Commission's License Database]
----------------------------------------------------------------------------------------------------------------
           Licensee name                    Location                  Latitude                  Longitude
----------------------------------------------------------------------------------------------------------------
Shipcom LLC........................  Marina Del Ray, CA....  33[deg]56[min]21[sec] N    118[deg]27[min]14[sec] W
Globe Wireless.....................  Rio Vista, CA.........  38[deg]11[min]55[sec] N    121[deg]48[min]34[sec] W
Avalon Communications Corp.........  St. Thomas, VI........  18[deg]21[min]19[sec] N    64[deg]56[min]48[sec] W
Globe Wireless.....................  Bishopville, MD.......  38[deg]24[min]10[sec] N    75[deg]12[min]59[sec] W
Shipcom LLC........................  Mobile, AL............  30[deg]40[min]07[sec] N    88[deg]10[min]23[sec] W
Shipcom LLC........................  Coden, AL.............  30[deg]22[min]35[sec] N    88[deg]12[min]20[sec] W
Globe Wireless.....................  Pearl River, LA.......  30[deg]22[min]13[sec] N    89[deg]47[min]26[sec] W
Globe Wireless.....................  Kahalelani, HI........  21[deg]10[min]33[sec] N    157[deg]10[min]39[sec] W

[[Page 959]]

 
Globe Wireless.....................  Palo Alto, CA.........  37[deg]26[min]44[sec] N    122[deg]06[min]48[sec] W
Globe Wireless.....................  Agana, GU.............  13[deg]29[min]22[sec] N    144[deg]49[min]39[sec] E
 
----------------------------------------------------------------------------------------------------------------
Note: Systems of coordinates comply with NAD 83.

    (ii) New or relocated Coast stations. In the unlikely event that a 
new or relocated coast station is established for the 2.173.5-2.190.5 
kHz band at a coordinate not specified in Table 2 or 2.1, Access BPL 
operations in that frequency band shall also be excluded within 1 km of 
the new coast station facility;
    (3) Consultation areas. Access BPL operators shall provide 
notification to the appropriate point of contact specified regarding 
Access BPL operations at any frequencies of potential concern in the 
following consultation areas, at least 30 days prior to initiation of 
any operation or service. The notification shall include, at a minimum, 
the information in paragraph (a) of this section. We expect parties to 
consult in good faith to ensure that no harmful interference is caused 
to licensed operations and that any constraints on BPL deployments are 
minimized to those necessary to avoid harmful interference. In the 
unlikely event that a new or relocated aeronautical receive station is 
established for the 1.7-30 MHz band at a coordinate not specified in 
Table 3b, Access BPL operators are also required to coordinate with the 
appropriate point of contact regarding Access BPL operations at any 
frequencies of potential concern in the new or relocated consultation 
areas, and to adjust their system operating parameters to protect the 
new or relocated aeronautical receive station.
    (i) For frequencies in the 1.7-30 MHz frequency range, the areas 
within 4 km of facilities located at the following coordinates:
    (A) The Commission's protected field offices listed in 47 CFR 0.121, 
the point-of-contact for which is specified in that section;
    (B) The aeronautical stations listed in Tables 3a and 3b;
    (C) The land stations listed in Tables 4 and 5;
    (ii) For frequencies in the 1.7-80.0 MHz frequency range, the areas 
within 4 km of facilities located at the coordinates specified for radio 
astronomy facilities in 47 CFR 2.106, Note U.S. 311.
    Point of contact: Electromagnetic Spectrum Manager, National Science 
Foundation, Division of Astronomical Sciences, 4201 Wilson Blvd., Suite 
1045, Arlington, VA 22230, (703) 292-4896, [email protected].
    (iii) For frequencies in the 1.7-80 MHz frequency range, the area 
within 1 km of the Table Mountain Radio Receiving Zone, the coordinates 
and point of contact for which are specified in 47 CFR 21.113(b).
    (iv) For frequencies in the 1.7-30 MHz frequency range, the areas 
within 37 km of radar receiver facilities located at the coordinates 
specified in Table 6.
    Point of contact: U.S. Coast Guard HQ, Division of Spectrum 
Management CG-622, 2100 Second St., SW., Rm. 6611, Washington, DC 20593, 
Tel: (202) 267-6036, Fax: (202) 267-4106, e-mail: 
[email protected].

               Table 3a--Consultation Area Coordinates for Aeronautical (OR) Stations (1.7-30 MHz)
----------------------------------------------------------------------------------------------------------------
            Command name                    Location                  Latitude                  Longitude
----------------------------------------------------------------------------------------------------------------
Washington.........................  Arlington, VA.........  38[deg]51[min]07[sec] N    77[deg]02[min]15[sec] W
Cape Cod...........................  Cape Cod, MA..........  41[deg]42[min]00[sec] N    70[deg]30[min]00[sec] W
Atlantic City......................  Atlantic City, NJ.....  39[deg]20[min]59[sec] N    74[deg]27[min]42[sec] W
Elizabeth City.....................  Elizabeth City, NC....  36[deg]15[min]53[sec] N    76[deg]10[min]32[sec] W
Savannah...........................  Savannah, GA..........  32[deg]01[min]30[sec] N    81[deg]08[min]30[sec] W
Miami..............................  Opa Locka, FL.........  25[deg]54[min]22[sec] N    80[deg]16[min]01[sec] W
Clearwater.........................  Clearwater, FL........  27[deg]54[min]27[sec] N    82[deg]41[min]29[sec] W
Borinquen..........................  Aguadilla, PR.........  18[deg]18[min]36[sec] N    67[deg]04[min]48[sec] W
New Orleans........................  New Orleans, LA.......  29[deg]49[min]31[sec] N    90[deg]02[min]06[sec] W
Traverse City......................  Traverse City, MI.....  44[deg]44[min]24[sec] N    85[deg]34[min]54[sec] W

[[Page 960]]

 
San Diego..........................  San Diego, CA.........  32[deg]43[min]33[sec] N    117[deg]10[min]15[sec] W
Sacramento.........................  McCllelan AFB, CA.....  38[deg]40[min]06[sec] N    121[deg]24[min]04[sec] W
Astoria............................  Warrenton, OR.........  46[deg]25[min]18[sec] N    123[deg]47[min]46[sec] W
North Bend.........................  North Bend, OR........  43[deg]24[min]39[sec] N    124[deg]14[min]35[sec] W
Barbers Point......................  Kapolei, HI...........  21[deg]18[min]01[sec] N    158[deg]04[min]15[sec] W
Kodiak.............................  Kodiak, AK............  57[deg]44[min]19[sec] N    152[deg]30[min]18[sec] W
Houston............................  Houston, TX...........  29[deg]45[min]00[sec] N    95[deg]22[min]00[sec] W
Detroit............................  Mt. Clemens, MI.......  42[deg]36[min]05[sec] N    82[deg]50[min]12[sec] W
San Francisco......................  San Francisco, CA.....  37[deg]37[min]58[sec] N    122[deg]23[min]20[sec] W
Los Angeles........................  Los Angeles, CA.......  33[deg]56[min]36[sec] N    118[deg]23[min]48[sec] W
Humboldt Bay.......................  McKinleyville, CA.....  40[deg]58[min]39[sec] N    124[deg]06[min]45[sec] W
Port Angeles.......................  Port Angeles, WA......  48[deg]08[min]25[sec] N    123[deg]24[min]48[sec] W
Sitka..............................  Sitka, AK.............  57[deg]05[min]50[sec] N    135[deg]21[min]58[sec] W
 
----------------------------------------------------------------------------------------------------------------
Note: Systems of coordinates conform to NAD 83.

    Point of contact: ARINC, 2551 Riva Road, Annapolis, MD 21401, Tel: 
1-800-633-6882, Fax: (410) 266-2329, e-mail: [email protected], http://
www.arinc.com.
    Point of contact: ARINC, 2551 Riva Road, Annapolis, MD 21401, Tel: 
1-800-633-6882, Fax: 410-266-2329, e-mail: [email protected], 
http://www.arinc.com.

             Table 3b--Consultation Area Coordinates for Aeronautical Receive Stations (1.7-30 MHz)
----------------------------------------------------------------------------------------------------------------
                Locale                                Latitude                            Longitude
----------------------------------------------------------------------------------------------------------------
Southampton, NY.......................  40[deg]55[min]15[sec] N              72[deg]23[min]41[sec] W
Molokai, HI...........................  21[deg]12[min]23[sec] N              157[deg]12[min]30[sec] W
Oahu, HI..............................  21[deg]22[min]27[sec] N              158[deg]05[min]56[sec] W
Half Moon Bay, CA.....................  37[deg]39[min]64[sec] N              122[deg]24[min]44[sec] W
Pt. Reyes, CA.........................  38[deg]06[min]00[sec] N              122[deg]56[min]00[sec] W
Barrow, AK............................  71[deg]17[min]24[sec] N              156[deg]40[min]12[sec]; W
Guam..................................  13[deg]28[min]12[sec] N              144[deg]48[min]0.0[sec] E (note:
                                                                              Eastern Hemisphere)
NY Comm Center, NY....................  40[deg]46[min]48[sec] N              73[deg]05[min]46[sec] W
Cedar Rapids, IA......................  42[deg]02[min]05.0[sec] N            91[deg]38[min]37.6[sec] W
Beaumont, CA..........................  33[deg]54[min]27.1[sec] N            116[deg]59[min]49.1[sec] W
Fairfield, TX.........................  31[deg]47[min]02.6[sec] N            96[deg]47[min]03.0[sec] W
Houston, TX...........................  29[deg]36[min]35.8[sec] N            95[deg]16[min]54.8[sec] W
Miami, FL.............................  25[deg]49[min]05[sec] N              80[deg]18[min]28[sec] W
----------------------------------------------------------------------------------------------------------------
Note: Systems of coordinates conform to NAD 83.

    Point of contact: U.S. Coast Guard HQ, Division of Spectrum 
Management CG-622, 2100 Second St., SW., Rm. 6611, Washington, DC 20593, 
Tel: (202) 267-6036, Fax: (202) 267-4106, e-mail: 
[email protected].

                  Table 4--Consultation Area Coordinates for Land Stations, Set 1 (1.7-30 MHz)
----------------------------------------------------------------------------------------------------------------
            Command name                    Location                  Latitude                  Longitude
----------------------------------------------------------------------------------------------------------------
COMMSTA Boston.....................  Maspee, MA............  41[deg]24[min]00[sec] N    70[deg]18[min]57[sec] W
Camslant...........................  Chesapeake, VA........  36[deg]33[min]59[sec] N    76[deg]15[min]23[sec] W
COMMSTA Miami......................  Miami, FL.............  25[deg]36[min]58[sec] N    80[deg]23[min]04[sec] W
COMMSTA New Orleans................  Belle Chasse, IA......  29[deg]52[min]40[sec] N    89[deg]54[min]46[sec] W
Camspac............................  Pt. Reyes Sta, CA.....  38[deg]06[min]00[sec] N    122[deg]55[min]48[sec] W
COMMSTA Honolulu...................  Wahiawa, HI...........  21[deg]31[min]08[sec] N    157[deg]59[min]28[sec] W
COMMSTA Kodiak.....................  Kodiak, AK............  57[deg]04[min]26[min] N    152[deg]28[min]20[sec] W
Guam...............................  Finegayan, GU.........  13[deg]53[min]08[sec] N    144[deg]50[min]20[sec] E
 
----------------------------------------------------------------------------------------------------------------
Note: Systems of coordinates conform to NAD 83.


[[Page 961]]

    Point of contact: COTHEN Technical Support Center, COTHEN Program 
Manager, Tel: (800) 829-6336.

 Table 5--Consultation Area Coordinates for Land Stations, Set 2 (1.7-30
                                  MHz)
------------------------------------------------------------------------
            Site name                   Latitude           Longitude
------------------------------------------------------------------------
Albuquerque, NM..................  35[deg]05[min]02[s  105[deg]34[min]23
                                    ec] N               [sec] W
Arecibo, PR......................  18[deg]17[min]26[s  66[deg]22[min]33[
                                    ec] N               sec] W
Atlanta, GA......................  32[deg]33[sec]06 N  84[deg]23[min]35[
                                                        sec] W
Beaufort, SC.....................  34[deg]34[min]22[s  76[deg]09[min]48[
                                    ec] N               sec] W
Cape Charles, VA.................  37[deg]05[min]37[s  75[deg]58[min]06[
                                    ec] N               sec] W
Cedar Rapids, IA.................  42[deg]00[min]09[s  91[deg]17[min]39[
                                    ec] N               sec] W
Denver, CO.......................  39[deg]15[min]45[s  103[deg]34[min]23
                                    ec] N               [sec] W
Fort Myers, FL...................  81[deg]31[min]20[s  26[deg]20[min]01[
                                    ec] N               sec] W
Kansas City, MO..................  38[deg]22[min]10[s  93[deg]21[min]48[
                                    ec] N               sec] W
Las Vegas, NV....................  36[deg]21[min]15[s  114[deg]17[min]33
                                    ec] N               [sec] W
Lovelock, NV.....................  40[deg]03[min]07[s  118[deg]18[min]56
                                    ec] N               [sec] W
Memphis, TN......................  34[deg]21[min]57[s  90[deg]02[min]43[
                                    ec] N               sec] W
Miami, FL........................  25[deg]46[min]20[s  80[deg]28[min]48[
                                    ec] N               sec] W
Morehead City, NC................  34[deg]34[min]50[s  78[deg]13[min]59[
                                    ec] N               sec] W
Oklahoma City, OK................  34[deg]30[min]52[s  97[deg]30[min]52[
                                    ec] N               sec] W
Orlando, FL......................  28[deg]31[min]30[s  80[deg]48[min]58[
                                    ec] N               sec] W
Reno, NV.........................  38[deg]31[min]12[s  119[deg]14[min]37
                                    ec] N               [sec] W
Sarasota, FL.....................  27[deg]12[min]41[s  81[deg]31[min]20[
                                    ec] N               sec] W
Wilmington, NC...................  34[deg]29[min]24[s  78[deg]04[min]31[
                                    ec] N               sec] W
------------------------------------------------------------------------
Note: Systems of coordinates conform to NAD 83.

    Point Of Contact: ROTHR Deputy Program Manager, (540) 653-3624.

Table 6--Consultation Area Coordinates for Radar Receiver Stations (1.7-
                                 30 MHz)
------------------------------------------------------------------------
                           Latitude/Longitude
-------------------------------------------------------------------------
18[deg]01[min] N/66[deg]30[min] W
28[deg]05[min] N/98[deg]43[min] W
36[deg]34[min] N/76[deg]18[min] W
------------------------------------------------------------------------
Note: Systems of coordinates conform to NAD 83.


[70 FR 1374, Jan. 7, 2005, as amended at 71 FR 49379, Aug. 23, 2006]



                      Subpart H_White Space Devices

    Source: 80 FR 73070, Nov. 23, 2015, unless otherwise noted.



Sec. 15.701  Scope.

    This subpart sets forth the regulations for unlicensed white space 
devices. These devices are unlicensed intentional radiators that operate 
on available TV channels in the broadcast television frequency bands, 
the 600 MHz band (including the guard bands and duplex gap), and in 608-
614 MHz (channel 37).



Sec. 15.703  Definitions.

    (a) 600 MHz duplex gap. An 11 megahertz frequency band that 
separates part 27 600 MHz service uplink and downlink frequencies, in 
accordance with the terms and conditions established in GN Docket No. 
12-268, pursuant to section 6403 of the Spectrum Act.
    (b) 600 MHz guard bands. Designated frequency bands that prevent 
interference between licensed services in the 600 MHz service band and 
either the television bands or channel 37, in accordance with the terms 
and conditions established in GN Docket No. 12-268, pursuant to section 
6403 of the Spectrum Act.
    (c) 600 MHz service band. Frequencies that will be reallocated and 
assigned for 600 MHz band services pursuant to part 27, in accordance 
with the terms and conditions established in GN Docket No. 12-268, 
pursuant to section 6403 of the Spectrum Act.

    Note to paragraphs (a), (b) and (c):
    The specific frequencies will be determined in light of further 
proceedings pursuant to GN Docket No. 12-268 and the rules will be 
updated accordingly pursuant to a future public notice.

    (d) Available channel. A channel which is not being used by an 
authorized service and is acceptable for use by the device at its 
geographic location under the provisions of this subpart.
    (e) Contact verification signal. An encoded signal broadcast by a 
fixed or Mode II device for reception by Mode I devices to which the 
fixed or Mode II device has provided a list of available channels for 
operation. Such signal is for the purpose of establishing that the Mode 
I device is still within the reception range of the fixed or Mode II 
device for purposes of validating the list of available channels used by 
the Mode I device and shall be encoded to ensure that the signal 
originates from the device that provided the list of available channels. 
A Mode I device may respond only to a contact verification signal from 
the fixed or Mode II device that provided the list of available channels 
on which it operates. A fixed or Mode II device shall provide the 
information needed by a Mode I device to decode the contact verification 
signal at the same time it provides the list of available channels.
    (f) Fixed device. A white space device that transmits and/or 
receives

[[Page 962]]

radiocommunication signals at a specified fixed location. A fixed device 
may select channels for operation from a list of available channels 
provided by a white space database, and initiate and operate a network 
by sending enabling signals to one or more fixed devices and/or 
personal/portable devices. Fixed devices may provide to a Mode I 
personal/portable device a list of available channels on which the Mode 
I device may operate, including channels on which the Mode I device but 
not the fixed device may operate.
    (g) Geo-location capability. The capability of a white space device 
to determine its geographic coordinates and geo-location uncertainty. 
This capability is used with a white space database approved by the FCC 
to determine the availability of spectrum at a white space device's 
location.
    (h) Less congested area. Geographic areas where at least half of the 
TV channels for the bands that will continue to be allocated and 
assigned only for broadcast service are unused for broadcast and other 
protected services and available for white space device use. Less 
congested areas in the UHF TV band are also considered to be less 
congested areas in the 600 MHz service band.
    (i) Mode I personal/portable device. A personal/portable white space 
device that does not use an internal geo-location capability and access 
to a white space database to obtain a list of available channels. A Mode 
I device must obtain a list of available channels on which it may 
operate from either a fixed white space device or Mode II personal/
portable white space device. A Mode I device may not initiate a network 
of fixed and/or personal/portable white space devices nor may it provide 
a list of available channels to another Mode I device for operation by 
such device.
    (j) Mode II personal/portable device. A personal/portable device 
that uses an internal geo-location capability and access to a white 
space database, either through a direct connection to the Internet or 
through an indirect connection to the Internet by way of fixed device or 
another Mode II device, to obtain a list of available channels. A Mode 
II device may select a channel itself and initiate and operate as part 
of a network of white space devices, transmitting to and receiving from 
one or more fixed devices or personal/portable devices. A Mode II 
personal/portable device may provide its list of available channels to a 
Mode I personal/portable device for operation on by the Mode I device.
    (k) Network initiation. The process by which a fixed or Mode II 
white space device sends control signals to one or more fixed white 
space devices or personal/portable white space devices and allows them 
to begin communications.
    (l) Operating channel. An available channel used by a white space 
device for transmission and/or reception.
    (m) Personal/portable device. A white space device that transmits 
and/or receives radiocommunication signals on available channels at 
unspecified locations that may change.
    (n) Receive site. The location where the signal of a full service 
television station is received for rebroadcast by a television 
translator or low power TV station, including a Class A TV station, or 
for distribution by a Multiple Video Program Distributor (MVPD) as 
defined in 47 U.S.C. 602(13).
    (o) Sensing only device. A personal/portable white space device that 
uses spectrum sensing to determine a list of available channels. Sensing 
only devices may transmit on any available channels in the frequency 
bands 512-608 MHz (TV channels 21-36) and 614-698 MHz (TV channels 38-
51).
    (p) Spectrum Act. Title VI of the Middle Class Tax Relief and Job 
Creation Act of 2012 (Pub. L. 112-96).
    (q) Spectrum sensing. A process whereby a white space device 
monitors a television channel to detect whether the channel is occupied 
by a radio signal or signals from authorized services.
    (r) Television bands. The portions of the broadcast television 
frequency bands at 54-72 MHz (TV channels 2-4), 76-88 MHz (TV channels 
5-6), 174-216 MHz (TV channels 7-13), 470-608 MHz (channels 14-36) and 
614-698 MHz (channels 38-51) that will be allocated and assigned to 
broadcast television licensees consistent with the outcome of the 
auction conducted pursuant to Expanding the Economic and Innovation 
Opportunities of Spectrum Through Incentive

[[Page 963]]

Auctions, Report and Order, GN Docket No. 12-268 (FCC 14-50) (rel. June 
2, 2014). Channels 2-13 are in the VHF band, and channel 14-51 are in 
the UHF band.
    (s) White space database. A database system approved by the 
Commission that maintains records on authorized services and provides 
lists of available channels to white space devices and unlicensed 
wireless microphone users.



Sec. 15.705  Cross reference.

    (a) The provisions of subparts A, B, and C of this part apply to 
white space devices, except where specific provisions are contained in 
this subpart.
    (b) The requirements of this subpart apply only to the radio 
transmitter contained in the white space device. Other aspects of the 
operation of a white space device may be subject to requirements 
contained elsewhere in this chapter. In particular, a white space device 
that includes a receiver that tunes within the frequency range specified 
in Sec. 15.101(b) and contains digital circuitry not directly 
associated with the radio transmitter is also subject to the 
requirements for unintentional radiators in subpart B.



Sec. 15.706  Information to the user.

    (a) In addition to the labeling requirements contained in Sec. 
15.19, the instructions furnished to the user of a white space device 
shall include the following statement, placed in a prominent location in 
the text of the manual:

    This equipment has been tested and found to comply with the rules 
for white space devices, pursuant to part 15 of the FCC rules. These 
rules are designed to provide reasonable protection against harmful 
interference. 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. 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:
    (1) Reorient or relocate the receiving antenna.
    (2) Increase the separation between the equipment and receiver.
    (3) Connect the equipment into an outlet on a circuit different from 
that to which the receiver is connected.
    (4) Consult the manufacturer, dealer or an experienced radio/TV 
technician for help.

    (b) 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.



Sec. 15.707  Permissible channels of operation.

    (a)(1) All white space devices are permitted to operate on available 
channels in the frequency bands 470-698 MHz (TV channels 14-51), subject 
to the interference protection requirements in Sec. Sec. 15.711 and 
15.712, except as provided in paragraph (a)(2) of this section.
    (2) White space devices are not permitted to operate on the first 
channel above and below TV channel 37 (608-614 MHz) that are available 
(i.e., not occupied by an authorized service) until June 23, 2017, but 
no later than release of the Channel Reassignment Public Notice upon 
completion of the broadcast television spectrum incentive auction, as 
defined in Sec. 73.3700(a) of this chapter. If a channel is not 
available both above and below channel 37, operation is prohibited on 
the first two channels nearest to channel 37. These channels will be 
identified and protected in the white space database(s).
    (3) 600 MHz guard band. In the 600 MHz guard band between television 
and 600 MHz service downlink bands, white space devices may only operate 
immediately adjacent to the television band with a maximum bandwidth of 
6 megahertz. White space devices are prohibited from operating in the 
three megahertz segment adjacent to the 600 MHz service band.
    (4) 600 MHz duplex gap. In the 600 MHz duplex gap, white space 
devices shall only operate in the 6 megahertz segment immediately 
adjacent to the 600 MHz service uplink band.
    (5) 600 MHz service band. White space devices may operate on 
frequencies in the 600 MHz service band in areas where 600 MHz band 
licensees have not

[[Page 964]]

commenced operations, as defined in Sec. 27.4 of this chapter.
    (6) Channel 37 guard band. White space devices are not permitted to 
operate in either three megahertz segment above or below channel 37 if 
that spectrum is adjacent to the 600 MHz service band.
    (b) Only fixed white space devices that communicate only with other 
fixed white space devices may operate on available channels in the bands 
54-72 MHz (TV channels 2-4), 76-88 MHz (TV channels 5 and 6), and 174-
216 MHz (TV channels 7-13), subject to the interference protection 
requirements in Sec. Sec. 15.711 and 15.712.

[80 FR 73070, Nov. 23, 2015, as amended at 81 FR 4974, Jan. 29, 2016]



Sec. 15.709  General technical requirements.

    (a) Radiated power limits. The maximum white space device EIRP per 6 
MHz shall not exceed the limits of paragraphs (a)(2) through (4) of this 
section.
    (1) General requirements. (i) White space devices may be required to 
operate with less power than the maximum permitted to meet the co-
channel and adjacent channel separation requirements of Sec. 15.712 of 
this part.
    (ii) Mode I personal/portable devices are limited to 40 mW, if the 
white space device that controls it is limited to 40 mW.
    (2) TV bands and 600 MHz service band. (i) Fixed devices: Up to 4 W 
(36 dBm) EIRP, and up to 10 W (40 dBm) EIRP in less congested areas in 
the TV bands and 600 MHz service band at locations where they meet the 
co-channel and adjacent channel separation distances of Sec. Sec. 
15.712(a)(2) and 15.712(i) of this part, respectively. Operation in the 
602-620 MHz band is limited to a maximum of 4 W (36 dBm) EIRP.
    (ii) Personal/Portable devices: Up to 100 mW (20 dBm) EIRP.
    (3) 608-614 MHz band (channel 37). (i) Fixed devices: Up to 4 W (36 
dBm) EIRP.
    (ii) Personal/Portable devices: Up to 100 mW (20 dBm) EIRP.
    (4) 600 MHz duplex gap and guard bands. Up to 40 mW (16 dBm) EIRP.
    (b) Technical limits--(1) Fixed white space devices. (i) Technical 
limits for fixed white space devices are shown in the table and subject 
to the requirements of this section.
    (ii) For operation at EIRP levels of 36 dBm (4000 mW) or less, fixed 
white space devices may operate at EIRP levels between the values shown 
in the table provided that the conducted power and the conducted power 
spectral density (PSD) limits are linearly interpolated between the 
values shown and the adjacent channel emission limit of the higher value 
shown in the table is met. Operation at EIRP levels above 36 dBm (4000 
mW) shall follow the requirements for 40 dBm (10,000 mW).

----------------------------------------------------------------------------------------------------------------
                                                                                              Conducted adjacent
               EIRP (6 MHz)                 Conducted power limit \1\   Conducted PSD limit    channel emission
                                                     (6 MHz)                 (100 kHz)         limit (100 kHz)
----------------------------------------------------------------------------------------------------------------
16 dBm (40 mW)...........................  10 dBm (10 mW).............             -7.4 dBm            -62.8 dBm
20 dBm (100 mW)..........................  14 dBm (25 mW).............             -3.4 dBm            -58.8 dBm
24 dBm (250 mW)..........................  18 dBm (63 mW).............              0.6 dBm            -54.8 dBm
28 dBm (625 mW)..........................  22 dBm (158 mW)............              4.6 dBm            -50.8 dBm
32 dBm (1600 mW).........................  26 dBm (400 mW)............              8.6 dBm            -46.8 dBm
36 dBm (4000 mW).........................  30 dBm (1000 mW)...........             12.6 dBm            -42.8 dBm
40 dBm (10000 mW)........................  30 dBm (1000 mW)...........             12.6 dBm            -42.8 dBm
----------------------------------------------------------------------------------------------------------------
\1\ The conducted power spectral density from a fixed white space device shall not be greater than the values
  shown in the table when measured in any 100 kHz band during any time interval of continuous transmission,
  except that a 40 mW fixed white space device operating in a four megahertz channel within a seven megahertz
  guard band must comply with a conducted power spectral density limit of -5.4 dBm.

    (2) Personal/Portable white space devices. Technical limits for 
personal/portable white space devices are shown in the table and subject 
to the requirements of this section.

[[Page 965]]



------------------------------------------------------------------------
                                                      Radiated adjacent
                                 Radiated PSD limit    channel emission
         EIRP (6 MHz)            EIRP \1\ (100 kHz)    limit EIRP (100
                                                             kHz)
------------------------------------------------------------------------
16 dBm (40 mW)................             -1.4 dBm            -56.8 dBm
20 dBm (100 mW)...............              2.6 dBm            -52.8 dBm
------------------------------------------------------------------------
\1\ The radiated power spectral density from a personal/portable white
  space device shall not be greater than the values shown in the table
  when measured in any 100 kHz band during any time interval of
  continuous transmission, except that a 40 mW white space device
  operating in a four megahertz channel within a seven megahertz guard
  band must comply with a radiated power spectral density limit of 0.6
  dBm.

    (3) Sensing-only devices. Sensing-only white space devices are 
limited to 17 dBm (50 mW) EIRP and are subject to the requirements of 
this paragraph and of Sec. 15.717 of this part.
    (i) Radiated PSD limit: -0.4 dBm EIRP.
    (ii) Adjacent channel emission limit: -55.8 dBm EIRP.
    (c) Conducted power limits. (1) The conducted power, PSD and 
adjacent channel limits for fixed white space devices operating at up to 
36 dBm (4000 milliwatts) EIRP shown in the table in paragraph (b)(1) of 
this section are based on a maximum transmitting antenna gain of 6 dBi. 
If transmitting antennas of directional gain greater than 6 dBi are 
used, the maximum conducted output power shall be reduced by the amount 
in dB that the directional gain of the antenna exceeds 6 dBi.
    (2) The conducted power, PSD and adjacent channel limits for fixed 
white space devices operating at greater than 36 dBm (4000 milliwatts) 
EIRP shown in the table in paragraph (b)(1) of this section are based on 
a maximum transmitting antenna gain of 10 dBi. If transmitting antennas 
of directional gain greater than 10 dBi are used, the maximum conducted 
output power shall be reduced by the amount in dB that the directional 
gain of the antenna exceeds 10 dBi.
    (3) Maximum conducted output power is the total transmit power over 
the occupied bandwidth delivered to all antennas and antenna elements 
averaged across all symbols in the signaling alphabet when the 
transmitter is operating at its maximum power 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) White space devices connected to the AC power line are required 
to comply with the conducted limits set forth in Sec. 15.207.
    (d) Emission limits. (1) The adjacent channel emission limits shown 
in the tables in paragraphs (b)(1) and (2) of this section apply in the 
six megahertz channel immediately adjacent to each white space channel 
or group of contiguous white space channels in which the white space 
device is operating.
    (2) At frequencies beyond the six megahertz channel immediately 
adjacent to each white space channel or group of contiguous white space 
channels in which the white space device is operating the white space 
device shall meet the requirements of Sec. 15.209.
    (3) Emission measurements in the adjacent bands shall be performed 
using a minimum resolution bandwidth of 100 kHz with an average 
detector. A narrower resolution bandwidth may be employed near the band 
edge, when necessary, provided the measured energy is integrated to show 
the total power over 100 kHz.
    (e) Transmit power control. White space devices shall incorporate 
transmit power control to limit their operating power to the minimum 
necessary for successful communication. Applicants for equipment 
certification shall include a description of the device's transmit power 
control feature mechanism.
    (f) Security. White space devices shall incorporate adequate 
security measures to prevent the devices from accessing databases not 
approved by the FCC and to ensure that unauthorized parties cannot 
modify the device or

[[Page 966]]

configure its control features to operate in a manner inconsistent with 
the rules and protection criteria set forth in this subpart.
    (g) Antenna requirements--(1) Fixed white space devices--(i) Above 
ground level. The transmit antenna height shall not exceed 30 meters 
above ground level, except that the antenna height may not exceed 10 
meters above ground level for fixed white space devices operating in the 
TV bands or guard band at 40 mW EIRP or less or operating across 
multiple contiguous TV channels at 100 mW EIRP or less.
    (ii) Height above average terrain (HAAT). The transmit antenna shall 
not be located where the height above average terrain is more than 250 
meters. The HAAT is to be calculated by the white space database using 
the methodology in Sec. 73.684(d) of this chapter.
    (2) Personal/portable white space devices. Personal/portable devices 
shall have permanently attached transmit and receive antenna(s).
    (3) Sensing-only white space devices operating under the provisions 
of Sec. 15.717 of this subpart. (i) The provisions of Sec. 
15.204(c)(4) do not apply to an antenna used for transmission and 
reception/spectrum sensing.
    (ii) Compliance testing for white space devices that incorporate a 
separate sensing antenna shall be performed using the lowest gain 
antenna for each type of antenna to be certified.
    (h) Compliance with radio frequency exposure requirements--(1) Fixed 
white space devices. To ensure compliance with the Commission's radio 
frequency exposure requirements in Sec. Sec. 1.1307(b), 2.1091 and 
2.1093 of this chapter, fixed white space devices shall be accompanied 
by instructions on measures to take to ensure that persons maintain a 
distance of at least 40 cm from the device, as well as any necessary 
hardware that may be needed to implement that protection. These 
instructions shall be submitted with the application for certification.
    (2) Personal/portable white space devices. Personal/portable white 
space devices that meet the definition of portable devices under Sec. 
2.1093 of this chapter and that operate with a source-based time-
averaged output of less than 20 mW will not be subject to routine 
evaluation for compliance with the radio frequency exposure guidelines 
in Sec. Sec. 1.1307(b), 2.1091, and 2.1093 of this chapter, while 
devices that operate with a source-based time-average output power 
greater than 20 mW will be subject to the routine evaluation 
requirements.



Sec. 15.711  Interference avoidance methods.

    Except as provided in Sec. 15.717 of this part, channel 
availability for a white space device is determined based on the geo-
location and database access method described in paragraphs (a) through 
(e) of this section.
    (a) Geo-location required. White space devices shall rely on a geo-
location capability and database access mechanism to protect the 
following authorized service in accordance with the interference 
protection requirements of Sec. 15.712: Digital television stations, 
digital and analog Class A, low power, translator and booster stations; 
translator receive operations; fixed broadcast auxiliary service links; 
private land mobile service/commercial radio service (PLMRS/CMRS) 
operations; offshore radiotelephone service; low power auxiliary 
services authorized pursuant to Sec. Sec. 74.801 through 74.882 of this 
chapter, including licensed wireless microphones; MVPD receive sites; 
wireless medical telemetry service (WMTS); radio astronomy service 
(RAS); 600 MHz service band licensees where they have commenced 
operations, as defined in Sec. 27.4 of this chapter; and unlicensed 
wireless microphones used by venues of large events and productions/
shows as provided under Sec. 15.713(j)(9). In addition, protection 
shall be provided in border areas near Canada and Mexico in accordance 
with Sec. 15.712(g).
    (b) Geo-location requirement--(1) Accuracy. Fixed white space 
devices that incorporate a geo-location capability and Mode II devices 
shall determine their location and their geo-location uncertainty (in 
meters), with a confidence level of 95%.
    (2) Reference datum. All geographic coordinates shall be referenced 
to the North American Datum of 1983 (NAD 83).

[[Page 967]]

    (c) Requirements for fixed white space devices. (1) The geographic 
coordinates and antenna height above ground level of a fixed white space 
device shall be determined at the time of installation and first 
activation from a power-off condition by either an incorporated geo-
location capability or a professional installer. This information may be 
stored internally in the white space device. In the case of professional 
installation, the party who registers the fixed white space device in 
the database will be responsible for assuring the accuracy of the 
entered coordinates and antenna height. If a fixed white space device is 
moved to another location or if its stored coordinates become altered, 
the operator shall re-establish the device's:
    (i) Geographic location and antenna height above ground level and 
store this information in the white space device either by means of the 
device's incorporated geo-location capability or through the services of 
a professional installer; and
    (ii) Registration with the database based on the device's new 
coordinates and antenna height above ground level.
    (2)(i) Each fixed white space device must access a white space 
database over the Internet to determine the available channels and the 
corresponding maximum permitted power for each available channel that is 
available at its geographic coordinates, taking into consideration the 
fixed device's antenna height above ground level and geo-location 
uncertainty, prior to its initial service transmission at a given 
location.
    (ii) Operation is permitted only on channels and at power levels 
that are indicated in the database as being available for each white 
space device. Operation on a channel must cease immediately or power 
must be reduced to a permissible level if the database indicates that 
the channel is no longer available at the current operating level.
    (iii) Each fixed white space devices shall access the database at 
least once a day to verify that the operating channels continue to 
remain available. Each fixed white space device must adjust its use of 
channels in accordance with channel availability schedule information 
provided by its database for the 48-hour period beginning at the time 
the device last accessed the database for a list of available channels.
    (iv) Fixed devices without a direct connection to the Internet: A 
fixed white space device may not operate on channels provided by a white 
space database for another fixed device. A fixed white space device that 
has not yet been initialized and registered with a white space database 
consistent with Sec. 15.713 of this part, but can receive the 
transmissions of another fixed white space device, may transmit to that 
other fixed white space device on either a channel that the other white 
space device has transmitted on or on a channel which the other white 
space device indicates is available for use to access the database to 
register its location and receive a list of channels that are available 
for it to use. Subsequently, the newly registered fixed white space 
device must only use the channels that the database indicates are 
available for it to use.
    (d) Requirements for Mode II personal/portable white space devices. 
(1) The geographic coordinates of a Mode II personal/portable white 
space device shall be determined by an incorporated geo-location 
capability prior to its initial service transmission at a given location 
and each time the device is activated from a power-off condition to 
determine the available channels and the corresponding maximum permitted 
power for each available channel at its geographic coordinates, taking 
into consideration the device's geo-location uncertainty. The location 
must be checked at least once every 60 seconds while in operation, 
except while in sleep mode, i.e., in a mode in which the device is 
inactive but is not powered-down.
    (2) Each Mode II personal/portable white space device must access a 
white space database over the Internet to obtain a list of available 
channels for its location. The device must access the database for an 
updated available channel list if its location changes by more than 100 
meters from the location at which it last established its available 
channel list.
    (3) Operation is permitted only on channels and at power levels that 
are

[[Page 968]]

indicated in the database as being available for the Mode II personal/
portable white space device. Operation on a channel must cease 
immediately or power must be reduced to a permissible level if the 
database indicates that the channel is no longer available at the 
current operating level.
    (4) A Mode II personal/portable white space device that has been in 
a powered state shall re-check its location and access the database 
daily to verify that the operating channel(s) and corresponding power 
levels continue to be available. Mode II personal/portable devices must 
adjust their use of channels and power levels in accordance with channel 
availability schedule information provided by their database for the 48-
hour period beginning at the time of the device last accessed the 
database for a list of available channels.
    (5) A Mode II personal/portable device may load channel availability 
information for multiple locations, (i.e., in the vicinity of its 
current location) and use that information to define a geographic area 
within which it can operate on the same available channels at all 
locations. For example a Mode II personal/portable white space device 
could calculate a bounded area in which a channel or channels are 
available at all locations within the area and operate on a mobile basis 
within that area. A Mode II white space device using such channel 
availability information for multiple locations must contact the 
database again if/when it moves beyond the boundary of the area where 
the channel availability data is valid.
    (e) Requirements for Mode I personal/portable white space devices. 
(1) A Mode I personal/portable white space device may only transmit upon 
receiving a list of available channels from a fixed or Mode II white 
space device. A fixed or Mode II white space device may provide a Mode I 
device with a list of available channels only after it contacts its 
database, provides the database the FCC Identifier (FCC ID) of the Mode 
I device requesting available channels, and receives verification that 
the FCC ID is valid for operation.
    (2) A Mode II device must provide a list of channels to the Mode I 
device that is the same as the list of channels available to the Mode II 
device.
    (3) A fixed device may provide a list of available channels to a 
Mode I device only if the fixed device HAAT as verified by the white 
space database does not exceed 106 meters. The fixed device must provide 
a list of available channels to the Mode I device that is the same as 
the list of channels available to the fixed device, except that a Mode I 
device may operate only on those channels that are permissible for its 
use under Sec. 15.707 of this part. A fixed device may also obtain from 
a white space database and provide to a Mode I personal/portable white 
space device, a separate list of available channels that includes 
adjacent channels available to a Mode I personal/portable white space 
device, but not a fixed white space device.
    (4) To initiate contact with a fixed or Mode II device, a Mode I 
device may transmit on an available channel used by the fixed or Mode II 
white space device or on a channel the fixed or Mode II white space 
device indicates is available for use by a Mode I device. At least once 
every 60 seconds, except when in sleep mode (i.e., a mode in which the 
device is inactive but is not powered-down), a Mode I device must either 
receive a contact verification signal from the Mode II or fixed white 
space device that provided its current list of available channels or 
contact a Mode II or fixed white space device to re-verify/re-establish 
channel availability. A Mode I device must cease operation immediately 
if it does not receive a contact verification signal or is not able to 
re-establish a list of available channels through contact with a fixed 
or Mode II device on this schedule. If a fixed or Mode II white space 
device loses power and obtains a new channel list, it must signal all 
Mode I devices it is serving to acquire and use a new channel list.
    (f) Display of available channels. A white space device must 
incorporate the capability to display a list of identified available 
channels and its operating channels.
    (g) Identifying information. Fixed white space devices shall 
transmit identifying information. The identification signal must conform 
to a standard established by a recognized

[[Page 969]]

industry standards setting organization. The identification signal shall 
carry sufficient information to identify the device and its geographic 
coordinates.
    (h) Continuing operation. If a fixed or Mode II personal/portable 
white space device fails to successfully contact the white space 
database during any given day, it may continue to operate until 11:59 
p.m. of the following day at which time it must cease operations until 
it re-establishes contact with the white space database and re-verifies 
its list of available channels.
    (i) Push notifications. White space device manufacturers and 
database administrators must implement the push notification 
requirements of paragraphs (i)(1) and (2) of this section, and may also 
implement a system that pushes additional updated channel availability 
information from the database to white space devices.
    (1) In response to a request for immediate access to a channel by a 
licensed wireless microphone user, white space database administrators 
are required to share the licensed microphone channel registration 
information to all other white space database administrators within 10 
minutes of receiving each wireless microphone registration.
    (2) White space database administrators shall push updated available 
channel lists to fixed and Mode II personal/portable white space devices 
within 20 minutes of receiving the notification required by paragraph 
(i)(1) of this section. The information need only be pushed to white 
space devices that are located within the separation distances, 
specified in Sec. 15.712(f) of this part, for each licensed wireless 
microphone registration received.
    (3) White space database administrators must update their systems to 
comply with these requirements no later than December 23, 2016.
    (j) Security. (1) White space devices shall incorporate adequate 
security measures to ensure that they are capable of communicating for 
purposes of obtaining lists of available channels only with databases 
operated by administrators authorized by the Commission, and to ensure 
that communications between white space devices and databases are secure 
to prevent corruption or unauthorized interception of data. This 
requirement includes implementing security for communications between 
Mode I personal portable devices and fixed or Mode II devices for 
purposes of providing lists of available channels. This requirement 
applies to communications of channel availability and other spectrum 
access information between the databases and fixed and Mode II devices 
(it is not necessary for white space devices to apply security coding to 
channel availability and channel access information where they are not 
the originating or terminating device and that they simply pass 
through).
    (2) Communications between a Mode I device and a fixed or Mode II 
device for purposes of obtaining a list of available channels shall 
employ secure methods that ensure against corruption or unauthorized 
modification of the data. When a Mode I device makes a request to a 
fixed or Mode II device for a list of available channels, the receiving 
device shall check with the white space database that the Mode I device 
has a valid FCC Identifier before providing a list of available 
channels. Contact verification signals transmitted for Mode I devices 
are to be encoded with encryption to secure the identity of the 
transmitting device. Mode I devices using contact verification signals 
shall accept as valid for authorization only the signals of the device 
from which they obtained their list of available channels.
    (3) A white space database shall be protected from unauthorized data 
input or alteration of stored data. To provide this protection, the 
white space database administrator shall establish communications 
authentication procedures that allow fixed and Mode II white space 
devices to be assured that the data they receive is from an authorized 
source.
    (4) Applications for certification of white space devices shall 
include a high level operational description of the technologies and 
measures that are incorporated in the device to comply with the security 
requirements of this section. In addition, applications for 
certification of fixed and Mode II white space devices shall identify at 
least one of the white space databases operated

[[Page 970]]

by a designated white space database administrator that the device will 
access for channel availability and affirm that the device will conform 
to the communications security methods used by that database.

[80 FR 73070, Nov. 23, 2015, as amended at 81 FR 4974, Jan. 29, 2016]

    Effective Date Note: At 82 FR 41559, Sept. 1, 2017, Sec. 15.711 was 
amended by revising paragraph (a), effective Oct. 2, 2017. For the 
convenience of the user, the revised text is set forth as follows:



Sec. 15.711  Interference avoidance methods.

                                * * * * *

    (a) Geolocation required. White space devices shall rely on a 
geolocation capability and database access mechanism to protect the 
following authorized service in accordance with the interference 
protection requirements of Sec. 15.712: Digital television stations, 
digital and analog Class A, low power, translator and booster stations; 
translator receive operations; fixed broadcast auxiliary service links; 
private land mobile service/commercial radio service (PLMRS/CMRS) 
operations; offshore radiotelephone service; low power auxiliary 
services authorized pursuant to Sec. Sec. 74.801 through 74.882 of this 
chapter, including licensed wireless microphones; MVPD receive sites; 
wireless medical telemetry service (WMTS); radio astronomy service 
(RAS); and 600 MHz service band licensees where they have commenced 
operations, as defined in Sec. 27.4 of this chapter. In addition, 
protection shall be provided in border areas near Canada and Mexico in 
accordance with Sec. 15.712(g).

                                * * * * *



Sec. 15.712  Interference protection requirements.

    The separation distances in this section apply to fixed and 
personal/portable white space devices with a location accuracy of 50 meters. These distances must be increased by the 
amount that the location uncertainty of a white space device exceeds 
50 meters.
    (a) Digital television stations, and digital and analog Class A TV, 
low power TV, TV translator and TV booster stations--(1) Protected 
contour. White space devices must protect digital and analog TV services 
within the contours shown in the following table. These contours are 
calculated using the methodology in Sec. 73.684 of this chapter and the 
R-6602 curves contained in Sec. 73.699 of this chapter.

----------------------------------------------------------------------------------------------------------------
                                                                        Protected contour
                                               -----------------------------------------------------------------
                Type of station                                                                     Propagation
                                                             Channel               Contour (dBu)       curve
----------------------------------------------------------------------------------------------------------------
Analog: Class A TV, LPTV, translator and        Low VHF (2-6)...................              47        F(50,50)
 booster.
                                                High VHF (7-13).................              56        F(50,50)
                                                UHF (14-69).....................              64        F(50,50)
Digital: Full service TV, Class A TV, LPTV,     Low VHF (2-6)...................              28        F(50,90)
 translator and booster.
                                                High VHF (7-13).................              36        F(50,90)
                                                UHF (14-51).....................              41        F(50,90)
----------------------------------------------------------------------------------------------------------------

    (2) Required separation distance. White space devices must be 
located outside the contours indicated in paragraph (a)(1) of this 
section of co-channel and adjacent channel stations by at least the 
minimum distances specified in the following tables.
    (i) If a device operates between two defined power levels, it must 
comply with the separation distances for the higher power level.
    (ii) White space devices operating at 40 mW EIRP or less are not 
required to meet the adjacent channel separation distances.
    (iii) Fixed white space devices operating at 100 mW EIRP or less per 
6 megahertz across multiple contiguous TV channels with at least 3 
megahertz separation between the frequency band occupied by the white 
space device and adjacent TV channels are not required to meet the 
adjacent channel separation distances.
    (iv) Fixed white space devices may only operate above 4 W EIRP in 
less congested areas as defined in Sec. 15.703(h).

[[Page 971]]



                                  Mode II Personal/Portable White Space Devices
----------------------------------------------------------------------------------------------------------------
                                                                   Required separation in kilometers from co-
                                                                  channel digital or analog TV (full service or
                                                                          low power) protected contour
                                                               -------------------------------------------------
                                                                     16 dBm (40 mW)          20 dBm (100 mW)
----------------------------------------------------------------------------------------------------------------
Communicating with Mode II or Fixed device....................                      1.3                      1.7
Communicating with Mode I device..............................                      2.6                      3.4
----------------------------------------------------------------------------------------------------------------


                                                                Fixed White Space Devices
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                Required separation in kilometers from co-channel digital or analog TV (full service or
                                                                                            low power) protected contour \*\
  Antenna height above average terrain of unlicensed devices  ------------------------------------------------------------------------------------------
                           (meters)                             16 dBm (40  20 dBm (100  24 dBm (250  28 dBm (625     32 dBm     36 dBm (4    40 dBm (10
                                                                   mW)          mW)          mW)          mW)       (1600 mW)        W)           W)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Less than 3..................................................          1.3          1.7          2.1          2.7          3.3          4.0          4.5
3-10.........................................................          2.4          3.1          3.8          4.8          6.1          7.3          8.5
10-30........................................................          4.2          5.1          6.0          7.1          8.9         11.1         13.9
30-50........................................................          5.4          6.5          7.7          9.2         11.5         14.3         19.1
50-75........................................................          6.6          7.9          9.4         11.1         13.9         18.0         23.8
75-100.......................................................          7.7          9.2         10.9         12.8         17.2         21.1         27.2
100-150......................................................          9.4         11.1         13.2         16.5         21.4         25.3         32.3
150-200......................................................         10.9         12.7         15.8         19.5         24.7         28.5         36.4
200-250......................................................         12.1         14.3         18.2         22.0         27.3         31.2         39.5
--------------------------------------------------------------------------------------------------------------------------------------------------------
\*\ When communicating with Mode I personal/portable white space devices, the required separation distances must be increased beyond the specified
  distances by 1.3 kilometers if the Mode I device operates at power levels no more than 40 mW EIRP or 1.7 kilometers if the Mode I device operates at
  power levels above 40 mW EIRP.


                                      Personal/Portable White Space Devices
----------------------------------------------------------------------------------------------------------------
                                                        Required separation in kilometers from adjacent channel
                                                            digital or analog TV (full service or low power)
                                                                           protected contour
                                                      ----------------------------------------------------------
                                                                            20 dBm (100 mW)
----------------------------------------------------------------------------------------------------------------
Communicating with Mode II or Fixed device...........                                                       0.1
Communicating with Mode I device.....................                                                       0.2
----------------------------------------------------------------------------------------------------------------


                                                                Fixed White Space Devices
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                           Required separation in kilometers from adjacent channel digital or analog TV (full service or
                                                                                          low power) protected contour *
   Antenna height above average terrain of unlicensed    -----------------------------------------------------------------------------------------------
                    devices (meters)                        20 dBm (100     24 dBm (250     28 dBm (625    32 dBm (1600
                                                                mW)             mW)             mW)             mW)        36 dBm (4 W)    40 dBm (10 W)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Less than 3.............................................             0.1             0.1             0.1             0.1             0.2             0.2
3-10....................................................             0.1             0.2             0.2             0.2             0.3             0.4
10-30...................................................             0.2             0.3             0.3             0.4             0.5             0.6
30-50...................................................             0.3             0.3             0.4             0.5             0.7             0.8
50-75...................................................             0.3             0.4             0.5             0.7             0.8             0.9
75-100..................................................             0.4             0.5             0.6             0.8             1.0             1.1
100-150.................................................             0.5             0.6             0.8             0.9             1.2             1.3
150-200.................................................             0.5             0.7             0.9             1.1             1.4             1.5
200-250.................................................             0.6             0.8             1.0             1.2             1.5             1.7
--------------------------------------------------------------------------------------------------------------------------------------------------------
* When communicating with a Mode I personal/portable white space device that operates at power levels above 40 mW EIRP, the required separation
  distances must be increased beyond the specified distances by 0.1 kilometers.

    (3) Fixed white space device antenna height. Fixed white space 
devices must comply with the requirements of Sec. 15.709(g) of this 
part.
    (b) TV translator, Low Power TV (including Class A) and Multi-
channel Video Programming Distributor (MVPD) receive sites. (1) MVPD, TV 
translator station and low power TV (including Class A) station receive 
sites located outside the protected contour of the TV station(s) being 
received may be registered in the white space database if they are no 
farther than 80 km outside the nearest edge of the relevant contour(s). 
Only channels received over

[[Page 972]]

the air and used by the MVPD, TV translator station or low power/Class A 
TV station may be registered.
    (2) White space devices may not operate within an arc of 30 degrees from a line between a registered receive site 
and the contour of the TV station being received in the direction of the 
station's transmitter at a distance of up to 80 km from the edge of the 
protected contour of the received TV station for co-channel operation 
and up to 20 km from the registered receive site for adjacent channel 
operation, except that the protection distance shall not exceed the 
distance from the receive site to the protected contour.
    (3) Outside of the 30 degree arc defined in 
paragraph (b)(2) of this section:
    (i) White space devices operating at 4 watts EIRP or less may not 
operate within 8 km from the receive site for co-channel operation and 2 
km from the receive site for adjacent channel operation.
    (ii) White Space devices operating with more than 4 watts EIRP may 
not operate within 10.2 km from the receive site for co-channel 
operation and 2.5 km from the receive site for adjacent channel 
operation.
    (iii) For purposes of this section, a TV station being received may 
include a full power TV station, TV translator station or low power TV/
Class A TV station.
    (c) Fixed Broadcast Auxiliary Service (BAS) links. (1) For permanent 
BAS receive sites appearing in the Commission's Universal Licensing 
System or temporary BAS receive sites registered in the white space 
database, white space devices may not operate within an arc of 30 degrees from a line between the BAS receive site and 
its associated permanent transmitter within a distance of 80 km from the 
receive site for co-channel operation and 20 km for adjacent channel 
operation.
    (2) Outside of the 30 degree arc defined in 
paragraph (c)(1) of this section:
    (i) White space devices operating at 4 watts EIRP or less may not 
operate within 8 km from the receive site for co-channel operation and 2 
km from the receive site for adjacent channel operation.
    (ii) White Space devices operating with more than 4 watts EIRP may 
not operate within 10.2 km from the receive site for co-channel 
operation and 2.5 km from the receive site for adjacent channel 
operation.
    (d) PLMRS/CMRS operations. (1) White space devices may not operate 
at distances less than those specified in the table below from the 
coordinates of the metropolitan areas and on the channels listed in 
Sec. 90.303(a) of this chapter.

----------------------------------------------------------------------------------------------------------------
                                                                  Required separation in kilometers from areas
                                                                  specified in Sec. 90.303(a) of this chapter
             White space device transmitter power              -------------------------------------------------
                                                                                             Adjacent channel
                                                                  Co-channel operation          operation
----------------------------------------------------------------------------------------------------------------
4 watts EIRP or less..........................................                      134                      131
Greater than 4 watts EIRP.....................................                      136                    131.5
----------------------------------------------------------------------------------------------------------------

    (2) White space devices may not operate at distances less than those 
specified in the table below from PLMRS/CMRS operations authorized by 
waiver outside of the metropolitan areas listed in Sec. 90.303(a) of 
this chapter.

----------------------------------------------------------------------------------------------------------------
                                                                  Required separation in kilometers from areas
                                                                  specified in Sec. 90.303(a) of this chapter
             White space device transmitter power              -------------------------------------------------
                                                                                             Adjacent channel
                                                                  Co-channel operation          operation
----------------------------------------------------------------------------------------------------------------
4 watts EIRP or less..........................................                       54                       51
Greater than 4 watts EIRP.....................................                       56                     51.5
----------------------------------------------------------------------------------------------------------------

    (e) Offshore Radiotelephone Service. White space devices may not 
operate on channels used by the Offshore Radio Service within the 
geographic areas specified in Sec. 74.709(e) of this chapter.

[[Page 973]]

    (f) Low power auxiliary services, including wireless microphones. 
Fixed white space devices are not permitted to operate within 1 km, and 
personal/portable white space devices will not be permitted to operate 
within 400 meters, of the coordinates of registered low power auxiliary 
station sites on the registered channels during the designated times 
they are used by low power auxiliary stations.
    (g) Border areas near Canada and Mexico: Fixed and personal/portable 
white space devices shall comply with the required separation distances 
in Sec. 15.712(a)(2) from the protected contours of TV stations in 
Canada and Mexico. White space devices are not required to comply with 
these separation distances from portions of the protected contours of 
Canadian or Mexican TV stations that fall within the United States.
    (h) Radio astronomy services. (1) Operation of fixed and personal/
portable white space devices is prohibited on all channels within 2.4 
kilometers at the following locations.
    (i) The Naval Radio Research Observatory in Sugar Grove, West 
Virginia at 38 30 58 N and 79 16 48 W.
    (ii) The Table Mountain Radio Receiving Zone (TMRZ) at 40 08 02 N 
and 105 14 40 W.
    (iii) The following facilities:

------------------------------------------------------------------------
                                    Latitude (deg/min/  Longitude (deg/
            Observatory                    sec)             min/sec)
------------------------------------------------------------------------
Arecibo Observatory...............         18 20 37 N        066 45 11 W
Green Bank Telescope (GBT)........         38 25 59 N        079 50 23 W
Very Long Baseline Array (VLBA)     .................  .................
 Stations:
    Pie Town, NM..................         34 18 04 N        108 07 09 W
    Kitt Peak, AZ.................         31 57 23 N        111 36 45 W
    Los Alamos, NM................         35 46 30 N        106 14 44 W
    Ft. Davis, TX.................         30 38 06 N        103 56 41 W
    N. Liberty, IA................         41 46 17 N        091 34 27 W
    Brewster, WA..................         48 07 52 N        119 41 00 W
    Owens Valley, CA..............         37 13 54 N        118 16 37 W
    St. Croix, VI.................         17 45 24 N        064 35 01 W
    Hancock, NH...................         42 56 01 N        071 59 12 W
    Mauna Kea, HI.................         19 48 05 N        155 27 20 W
------------------------------------------------------------------------

    (2) Operation within the band 608-614 MHz is prohibited within the 
areas defined by the following coordinates (all coordinates are NAD 83):

(i) Pie Town, NM

------------------------------------------------------------------------
                                                        West longitude
            North latitude (deg/min/sec)                 (deg/min/sec)
------------------------------------------------------------------------
35 25 56.28.........................................        107 44 56.40
35 15 57.24.........................................        107 41 27.60
33 52 14.16.........................................        107 30 25.20
33 22 39.36.........................................        107 49 26.40
33 57 38.52.........................................        109 36 10.80
34 04 46.20.........................................        109 34 12.00
34 27 20.88.........................................        109 12 43.20
35 15 30.24.........................................        108 25 55.20
------------------------------------------------------------------------

(ii) Kitt Peak, AZ

------------------------------------------------------------------------
                                                        West longitude
            North latitude (deg/min/sec)                 (deg/min/sec)
------------------------------------------------------------------------
34 08 18.24.........................................        111 36 46.80
33 54 10.08.........................................        109 38 20.40
32 09 25.56.........................................        113 42 03.60
31 29 15.72.........................................        111 33 43.20
33 20 36.60.........................................        113 36 14.40
34 09 20.52.........................................        112 34 37.20
------------------------------------------------------------------------

(iii) Los Alamos, NM

------------------------------------------------------------------------
                                                        West longitude
            North latitude (deg/min/sec)                 (deg/min/sec)
------------------------------------------------------------------------
36 25 54.12.........................................        106 06 07.20
36 32 26.88.........................................        105 59 27.60
36 45 23.40.........................................        105 48 03.60
36 48 10.44.........................................        105 30 21.60
36 13 37.92.........................................        105 26 38.40
35 38 40.92.........................................        105 48 36.00
35 36 51.48.........................................        105 49 30.00
34 06 17.28.........................................        107 10 48.00
34 16 18.12.........................................        107 17 16.80
35 21 22.68.........................................        106 51 07.20
------------------------------------------------------------------------

(iv) Ft. Davis, TX

------------------------------------------------------------------------
                                                        West longitude
            North latitude (deg/min/sec)                 (deg/min/sec)
------------------------------------------------------------------------
30 42 16.92.........................................        103 55 22.80
30 35 49.92.........................................        103 41 52.80
30 32 35.88.........................................        103 43 04.80
30 25 20.64.........................................        103 49 48.00
30 24 30.24.........................................        103 52 30.00
30 26 14.28.........................................        103 57 54.00
30 33 03.60.........................................        104 09 10.80
30 40 03.36.........................................         104 05 9.60
30 43 11.28.........................................        103 58 48.00
------------------------------------------------------------------------

(v) N. Liberty, IA

[[Page 974]]



------------------------------------------------------------------------
                                                        West longitude
            North latitude (deg/min/sec)                 (deg/min/sec)
------------------------------------------------------------------------
42 03 27.00.........................................         90 54 16.56
41 59 03.12.........................................         90 46 49.44
41 34 19.20.........................................         90 51 11.16
41 19 27.12.........................................         90 58 58.80
41 02 09.96.........................................         91 07 18.84
41 07 51.24.........................................         92 03 44.64
41 50 03.12.........................................         92 36 20.16
42 28 50.16.........................................         91 44 35.16
------------------------------------------------------------------------

(vi) Brewster, WA

------------------------------------------------------------------------
    North latitude (deg/min/sec)         West longitude (deg/min/sec)
------------------------------------------------------------------------
                48 18 00.36                         119 35 27.60
                48 16 40.08                         119 34 51.60
                48 15 20.52                         119 34 33.60
                48 12 26.64                         119 34 08.40
                48 07 51.96                         119 34 33.60
                48 06 44.64                         119 34 48.00
                47 58 44.40                         119 36 03.60
                47 55 06.60                         119 37 40.80
                47 52 48.72                         119 39 03.60
                48 00 49.68                         119 59 06.00
                48 26 59.64                         119 46 04.80
                48 26 08.52                         119 43 22.80
------------------------------------------------------------------------

(vii) Owens Valley, CA

------------------------------------------------------------------------
    North latitude (deg/min/sec)         West longitude (deg/min/sec)
------------------------------------------------------------------------
                37 05 49.56                         118 02 13.20
                37 03 27.36                         118 01 08.40
                36 29 09.96                         118 06 50.40
                36 30 48.60                         118 11 56.40
                36 37 08.04                         118 16 37.20
                37 25 12.72                         118 41 16.80
                37 27 30.24                         118 41 02.40
                37 44 45.96                         118 39 03.60
                37 59 49.92                         118 32 09.60
                37 46 12.72                         118 20 09.60
------------------------------------------------------------------------

(viii) St. Croix, VI

------------------------------------------------------------------------
    North latitude (deg/min/sec)         West longitude (deg/min/sec)
------------------------------------------------------------------------
                18 29 15.36                          64 22 38.28
                18 06 51.12                          64 08 03.84
                18 04 31.44                          64 06 12.24
                18 02 02.76                          64 04 33.96
                17 59 26.52                          64 03 09.36
                17 56 43.80                          64 01 59.52
                17 53 56.04                          64 01 04.80
                17 51 03.96                          64 00 25.56
                17 48 09.72                          64 00 02.16
                17 42 19.08                          63 58 57.36
                17 39 07.92                          63 58 15.96
                17 42 10.44                          64 39 37.44
                17 43 57.00                          64 50 46.32
                18 07 24.24                          66 02 36.96
                18 16 13.80                          65 44 56.04
------------------------------------------------------------------------

(ix) Hancock, NH

------------------------------------------------------------------------
    North latitude (deg/min/sec)         West longitude (deg/min/sec)
------------------------------------------------------------------------
                44 08 59.64                          71 32 01.68
                43 46 24.60                          71 18 57.60
                42 58 41.88                          71 15 14.04
                42 29 25.08                          71 52 51.96
                42 34 05.88                          72 07 08.76
                42 34 41.52                          72 09 41.76
                42 55 47.28                          72 55 03.72
------------------------------------------------------------------------

(x) Mauna Kea, HI

------------------------------------------------------------------------
    North latitude (deg/min/sec)         West longitude (deg/min/sec)
------------------------------------------------------------------------
                20 11 01.32                         153 03 43.20
                20 00 52.92                         152 35 56.40
                19 46 42.60                         152 35 34.80
                19 32 33.36                         152 36 28.80
                19 18 31.68                         152 38 38.40
                19 04 44.04                         152 42 07.20
                18 51 16.56                         152 46 51.60
                18 38 15.72                         152 52 44.40
                18 25 46.56                         152 59 49.20
                18 13 55.20                         153 07 55.20
                18 02 46.68                         153 17 06.00
                17 52 26.40                         153 27 14.40
                17 42 57.96                         153 38 16.80
                17 35 20.04                         153 50 45.60
                17 27 52.20                         154 03 10.80
                17 21 27.00                         154 16 15.60
                17 16 08.40                         154 29 49.20
                17 11 57.84                         154 43 51.60
                17 08 57.48                         154 58 08.40
                17 07 09.12                         155 12 43.20
                17 23 53.52                         155 27 21.60
                19 29 13.92                         155 36 21.60
                19 47 53.88                         155 29 27.60
                19 48 52.92                         155 27 39.60
                19 48 58.68                         155 27 14.40
------------------------------------------------------------------------

    (3) Operation within the band 608-614 MHz is prohibited within the 
following areas:
    (i) The National Radio Quiet Zone as defined in Sec. 1.924(a)(1) of 
this chapter.
    (ii) The islands of Puerto Rico, Desecheo, Mona, Vieques or Culebra
    (i) 600 MHz service band: Fixed and personal/portable devices 
operating in the 600 MHz Service Band must comply with the following co-
channel and adjacent channel separation distances outside the defined 
polygonal area encompassing the base stations or other radio facilities 
deployed by a part 27 600 MHz Service Band licensee that has commenced 
operations, as defined in Sec. 27.4 of this chapter.
    (1) Fixed white space devices may only operate above 4 W EIRP in 
less congested areas as defined in Sec. 15.703(h).
    (2) If a device operates between two defined power levels, it must 
comply with the separation distances for the higher power level.
    (3) For the purpose of this rule, co-channel means any frequency 
overlap between a channel used by a white

[[Page 975]]

space device and a five megahertz spectrum block used by a part 27 600 
MHz band licensee, and adjacent channel means a frequency separation of 
zero to four megahertz between the edge of a channel used by a white 
space device and the edge of a five megahertz spectrum block used by a 
part 27 600 MHz band licensee.
    (4) On frequencies used by wireless uplink services:

                                  Mode II Personal/Portable White Space Devices
----------------------------------------------------------------------------------------------------------------
                                                                600 MHz band wireless uplink spectrum Minimum co-
                                                                   channel separation distances in kilometers
                                                                 between white space devices and any point along
                                                                  the edge of a polygon representing the outer
                                                                  edge of base station or other radio facility
                                                                                   deployment
                                                               -------------------------------------------------
                                                                     16 dBm (40 mW)          20 dBm (100 mW)
----------------------------------------------------------------------------------------------------------------
Communicating with Mode II or Fixed device....................                        5                        6
Communicating with Mode I device..............................                       10                       12
----------------------------------------------------------------------------------------------------------------


                                                                Fixed White Space Devices
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                    600 MHz band wireless uplink spectrum Minimum co-channel separation distances in
                                                                    kilometers between white space devices and any point along the edge of a polygon
  Antenna height above average terrain of unlicensed devices       representing the outer edge of base station or other radio facility deployment \*\
                           (meters)                           ------------------------------------------------------------------------------------------
                                                                  16 dBm    20 dBm (100     24 dBm    28 dBm (625     32 dBm     36 dBm (4    40 dBm (10
                                                                  (40mW)        mW)        (250mW)        mW)       (1600 mW)        W)           W)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Less than 3..................................................            5            6            7            9           12           15           19
3--10........................................................            9           11           14           17           22           27           34
10--30.......................................................           15           19           24           30           38           47           60
30--50.......................................................           20           24           31           38           49           60           60
50--75.......................................................           24           30           37           47           60           60           60
75--100......................................................           27           34           43           54           60           60           60
100--150.....................................................           33           42           53           60           60           60           60
150--200.....................................................           39           49           60           60           60           60           60
200-250......................................................           43           54           60           60           60           60           60
--------------------------------------------------------------------------------------------------------------------------------------------------------
\*\When communicating with Mode I personal/portable white space devices, the required separation distances must be increased beyond the specified
  distances by 5 kilometers if the Mode I device operates at power levels no more than 40 mW EIRP or 6 kilometers if the Mode I device operates at power
  levels above 40 mW EIRP.


                                      Personal/Portable White Space Devices
----------------------------------------------------------------------------------------------------------------
                                                         600 MHz band wireless uplink spectrum Minimum adjacent
                                                        channel separation distances in kilometers between white
                                                        space devices and any point along the edge of a polygon
                                                          representing the outer edge of base station or other
                                                                       radio facility deployment
                                                      ----------------------------------------------------------
                                                                            20 dBm (100 mW)
----------------------------------------------------------------------------------------------------------------
Communicating with Mode II or Fixed device...........                                                       0.1
Communicating with Mode I device.....................                                                       0.3
----------------------------------------------------------------------------------------------------------------


                                            Fixed White Space Devices
----------------------------------------------------------------------------------------------------------------
                                      600 MHz band wireless uplink spectrum Minimum adjacent channel separation
                                     distances in kilometers between white space devices and any point along the
   Antenna height above average     edge of a polygon representing the outer edge of base station or other radio
   terrain of unlicensed devices                               facility deployment \*\
             (meters)              -----------------------------------------------------------------------------
                                    20 dBm (100     24 dBm    28 dBm (625     32 dBm     36 dBm (4    40 dBm (10
                                        mW)        (250mW)        mW)       (1600 mW)        W)           W)
----------------------------------------------------------------------------------------------------------------
Less than 3.......................          0.1          0.2          0.2          0.3          0.4          0.4
3-10..............................          0.3          0.3          0.4          0.5          0.6          0.8
10-30.............................          0.4          0.6          0.7          0.9          1.1          1.4
30-50.............................          0.6          0.7          0.9          1.2          1.4          1.8
50-75.............................          0.7          0.9          1.1          1.4          1.8          2.2
75-100............................          0.8          1.0          1.3          1.6          2.0          2.6
100-150...........................          1.0          1.3          1.6          2.0          2.5          3.1
150-200...........................          1.2          1.4          1.8          2.3          2.9          3.6

[[Page 976]]

 
200-250...........................          1.3          1.6          2.0          2.6          3.2          4.1
----------------------------------------------------------------------------------------------------------------
\*\ When communicating with Mode I personal/portable white space devices, the required separation distances must
  be increased beyond the specified distances by 0.1 kilometers.

    (5) On frequencies used by wireless downlink services: 35 kilometers 
for co-channel operation, and 31 kilometers for adjacent channel 
operation.
    (j) Wireless Medical Telemetry Service. (1) White space devices 
operating in the 608-614 MHz band (channel 37) are not permitted to 
operate within an area defined by the polygon described in Sec. 
15.713(j)(11) plus the distances specified in the tables below:

                                  Mode II Personal/Portable White Space Devices
----------------------------------------------------------------------------------------------------------------
                                                                   Required co-channel separation distances in
                                                                           kilometers from WMTS sites
                                                               -------------------------------------------------
                                                                     16 dBm (40 mW)          20 dBm (100 mW)
----------------------------------------------------------------------------------------------------------------
Communicating with Mode II or Fixed device....................                     0.38                     0.48
Communicating with Mode I device..............................                     0.76                     0.96
----------------------------------------------------------------------------------------------------------------


                                                                Fixed White Space Devices
--------------------------------------------------------------------------------------------------------------------------------------------------------
                                                                    Required co-channel separation distances in kilometers from WMTS sites \*\
   Antenna height above average terrain of unlicensed    -----------------------------------------------------------------------------------------------
                    devices (meters)                                        20 dBm (100     24 dBm (250     28 dBm (625    32 dBm (1600      36 dBm (4
                                                          16 dBm (40 mW)        mW)             mW)             mW)             mW)           watts)
--------------------------------------------------------------------------------------------------------------------------------------------------------
Less than 3.............................................            0.38            0.48            0.60            0.76            0.96            1.20
3-10....................................................            0.70            0.88            1.10            1.38            1.74            2.20
10-30...................................................            1.20            1.55            1.95            2.45            3.05            3.80
30-50...................................................            1.55            2.00            2.50            3.15            3.95            4.95
50-75...................................................            1.90            2.45            3.05            3.85            4.85            6.10
75-100..................................................            2.20            2.80            3.55            4.45            5.60            7.05
100-150.................................................            2.70            3.45            4.35            5.45            6.85            8.65
150-200.................................................            3.15            3.95            5.00            6.30            7.90            9.95
200-250.................................................            3.50            4.40            5.60            7.00            8.80           11.00
--------------------------------------------------------------------------------------------------------------------------------------------------------
\*\ When communicating with Mode I personal/portable white space devices, the required separation distances must be increased beyond the specified
  distances by 0.38 kilometers if the Mode I device operates at power levels no more than 40 mW EIRP, or 0.48 kilometers if the Mode I device operates
  at power levels above 40 mW EIRP.

    (2) White space devices operating in the 602-608 MHz band (channel 
36) and 614-620 MHz band (channel 38) are not permitted to operate 
within an area defined by the polygon described in Sec. 15.713(j)(11) 
plus the distances specified in the tables below:

                                  Mode II Personal/Portable White Space Devices
----------------------------------------------------------------------------------------------------------------
                                                                 Required adjacent channel separation distances
                                                                            in meters from WMTS sites
                                                               -------------------------------------------------
                                                                     16 dBm (40 mW)          20 dBm (100 mW)
----------------------------------------------------------------------------------------------------------------
Communicating with Mode II or Fixed device....................                        8                       13
Communicating with Mode I device..............................                       16                       26
----------------------------------------------------------------------------------------------------------------


[[Page 977]]


                                            Fixed White Space Devices
----------------------------------------------------------------------------------------------------------------
                  Required adjacent channel separation distances in meters from WMTS sites \*\
-----------------------------------------------------------------------------------------------------------------
                                    20 dBm (100     24 dBm (250     28 dBm (625    32 dBm (1600      36 dBm (4
         16 dBm (40 mW)                 mW)             mW)             mW)             mW)           watts)
----------------------------------------------------------------------------------------------------------------
8...............................              13              20              32              50              71
----------------------------------------------------------------------------------------------------------------
\*\ When communicating with Mode I personal/portable white space devices, the required separation distances must
  be increased beyond the specified distances by 8 meters if the Mode I device operates at power levels no more
  than 40 mW EIRP, or 13 meters if the Mode I device operates at power levels above 40 mW EIRP.

    (k) 488-494 MHz band in Hawaii. White space devices are not 
permitted to operate in the 488-494 MHz band in Hawaii.

[80 FR 73070, Nov. 23, 2015, as amended at 81 FR 4974, Jan. 29, 2016]



Sec. 15.713  White space database.

    (a) Purpose. The white space database serves the following 
functions:
    (1) To determine and provide to a white space device, upon request, 
the available channels at the white space device's location in the TV 
bands, the 600 MHz guard bands, the 600 MHz duplex gap, the 600 MHz 
service band, and channel 37. Available channels are determined based on 
the interference protection requirements in Sec. 15.712. A database 
must provide fixed and Mode II personal portable white space devices 
with channel availability information that includes scheduled changes in 
channel availability over the course of the 48 hour period beginning at 
the time the white space devices make a re-check contact. In making 
lists of available channels available to a white space device, the white 
space database shall ensure that all communications and interactions 
between the white space database and the white space device include 
adequate security measures such that unauthorized parties cannot access 
or alter the white space database or the list of available channels sent 
to white space devices or otherwise affect the database system or white 
space devices in performing their intended functions or in providing 
adequate interference protections to authorized services operating in 
the TV bands. In addition, a white space database must also verify that 
the FCC identifier (FCC ID) of a device seeking access to its services 
is valid; under this requirement the white space database must also 
verify that the FCC ID of a Mode I device provided by a fixed or Mode II 
device is valid. A list of devices with valid FCC IDs and the FCC IDs of 
those devices is to be obtained from the Commission's Equipment 
Authorization System.
    (2) To determine and provide to an unlicensed wireless microphone 
user, upon request, the available channels at the microphone user's 
location in the 600 MHz guard bands, the 600 MHz duplex gap, and the 600 
MHz service band. Available channels are determined based on the 
interference protection requirements in Sec. 15.236.
    (3) To register the identification information and location of fixed 
white space devices and unlicensed wireless microphone users.
    (4) To register protected locations and channels as specified in 
paragraph (b)(2) of this section, that are not otherwise recorded in 
Commission licensing databases.
    (b) Information in the white space database. (1) Facilities already 
recorded in Commission databases. Identifying and location information 
will come from the official Commission database. These services include:
    (i) Digital television stations.
    (ii) Class A television stations.
    (iii) Low power television stations.
    (iv) Television translator and booster stations.
    (v) Broadcast Auxiliary Service stations (including receive only 
sites), except low power auxiliary stations.
    (vi) Private land mobile radio service stations.
    (vii) Commercial mobile radio service stations.
    (viii) Offshore radiotelephone service stations.
    (ix) Class A television station receive sites.
    (x) Low power television station receive sites.

[[Page 978]]

    (xi) Television translator station receive sites.
    (2) Facilities that are not recorded in Commission databases. 
Identifying and location information will be entered into the white 
space database in accordance with the procedures established by the 
white space database administrator(s). These include:
    (i) MVPD receive sites.
    (ii) Sites where low power auxiliary stations, including wireless 
microphones and wireless assist video devices, are used and their 
schedule for operation.
    (iii) Fixed white space device registrations.
    (iv) 600 MHz service band operations in areas where the part 27 600 
MHz service licensee has commenced operations, as defined in Sec. 27.4 
of this chapter.
    (v) Locations of health care facilities that use WMTS equipment 
operating on channel 37 (608-614 MHz).
    (c) Restrictions on registration. (1) Television translator, low 
power TV and Class A station receive sites within the protected contour 
of the station being received are not eligible for registration in the 
database.
    (2) MVPD receive sites within the protected contour or more than 80 
kilometers from the nearest edge of the protected contour of a 
television station being received are not eligible to register that 
station's channel in the database.
    (d) Determination of available channels. The white space database 
will determine the available channels at a location using the 
interference protection requirements of Sec. 15.712, the location 
information supplied by a white space device, and the data for protected 
stations/locations in the database.
    (e) White space device initialization. (1) Fixed and Mode II white 
space devices must provide their location and required identifying 
information to the white space database in accordance with the 
provisions of this subpart.
    (2) Fixed and Mode II white space devices shall not transmit unless 
they receive, from the white space database, a list of available 
channels and may only transmit on the available channels on the list 
provided by the database.
    (3) Fixed white space devices register and receive a list of 
available channels from the database by connecting to the Internet, 
either directly or through another fixed white space device that has a 
direct connection to the Internet.
    (4) Mode II white space devices receive a list of available channels 
from the database by connecting to the Internet, either directly or 
through a fixed or Mode II white space device that has a direct 
connection to the Internet.
    (5) A fixed or Mode II white space device that provides a list of 
available channels to a Mode I device shall notify the database of the 
FCC identifier of such Mode I device and receive verification that that 
FCC identifier is valid before providing the list of available channels 
to the Mode I device.
    (6) A fixed device with an antenna height above ground that exceeds 
30 meters or an antenna height above average terrain (HAAT) that exceeds 
250 meters shall not be provided a list of available channels. The HAAT 
is to be calculated using computational software employing the 
methodology in Sec. 73.684(d) of this chapter.
    (f) Unlicensed wireless microphone database access. Unlicensed 
wireless microphone users in the 600 MHz band may register with and 
access the database manually via a separate Internet connection. 
Wireless microphone users must register with and check a white space 
database to determine available channels prior to beginning operation at 
a given location. A user must re-check the database for available 
channels if it moves to another location.
    (g) Fixed white space device registration. (1) Prior to operating 
for the first time or after changing location, a fixed white space 
device must register with the white space database by providing the 
information listed in paragraph (g)(3) of this section.
    (2) The party responsible for a fixed white space device must ensure 
that the white space device registration database has the most current, 
up-to-date information for that device.
    (3) The white space device registration database shall contain the 
following information for fixed white space devices:
    (i) FCC identifier (FCC ID) of the device;

[[Page 979]]

    (ii) Manufacturer's serial number of the device;
    (iii) Device's geographic coordinates (latitude and longitude (NAD 
83));
    (iv) Device's antenna height above ground level (meters);
    (v) Name of the individual or business that owns the device;
    (vi) Name of a contact person responsible for the device's 
operation;
    (vii) Address for the contact person;
    (viii) Email address for the contact person;
    (ix) Phone number for the contact person.
    (h) Mode II personal/portable device information to database. A 
personal/portable device operating in Mode II shall provide the database 
its FCC Identifier (as required by Sec. 2.926 of this chapter), serial 
number as assigned by the manufacturer, and the device's geographic 
coordinates (latitude and longitude (NAD 83)).
    (i) Unlicensed wireless microphone registration. Unlicensed wireless 
microphone users in the 600 MHz band shall register with the database 
prior to operation and include the following information:
    (1) Name of the individual or business that owns the unlicensed 
wireless microphone
    (2) Address for the contact person
    (3) Email address for the contact person
    (4) Phone number for the contact person; and
    (5) Coordinates where the device will be used (latitude and 
longitude in NAD 83).
    (j) White space database information. The white space database shall 
contain the listed information for each of the following:
    (1) Digital television stations, digital and analog Class A, low 
power, translator and booster stations, including stations in Canada and 
Mexico that are within the border coordination areas as specified in 
Sec. 73.1650 of this chapter (a white space database is to include only 
TV station information from station license or license application 
records. In cases where a station has records for both a license 
application and a license, a white space database should include the 
information from the license application rather than the license. In 
cases where there are multiple license application records or license 
records for the same station, the database is to include the most recent 
records, and again with license applications taking precedence over 
licenses.):
    (i) Transmitter coordinates (latitude and longitude in NAD 83);
    (ii) radiated power (ERP);
    (iii) Height above average terrain of the transmitting antenna 
(HAAT);
    (iv) Horizontal transmit antenna pattern (if the antenna is 
directional);
    (v) Amount of electrical and mechanical beam tilt (degrees 
depression below horizontal) and orientation of mechanical beam tilt 
(degrees azimuth clockwise from true north);
    (vi) Channel number; and
    (vii) Station call sign.
    (2) Broadcast Auxiliary Service.
    (i) Transmitter coordinates (latitude and longitude in NAD 83).
    (ii) Receiver coordinates (latitude and longitude in NAD 83).
    (iii) Channel number.
    (iv) Call sign.
    (3) Metropolitan areas listed in Sec. 90.303(a) of this chapter.
    (i) Region name.
    (ii) Channel(s) reserved for use in the region.
    (iii) Geographic center of the region (latitude and longitude in NAD 
83).
    (iv) Call sign.
    (4) PLMRS/CMRS base station operations located more than 80 km from 
the geographic centers of the 13 metropolitan areas defined in Sec. 
90.303(a) of this chapter (e.g., in accordance with a waiver).
    (i) Transmitter location (latitude and longitude in NAD 83) or 
geographic area of operations.
    (ii) TV channel of operation.
    (iii) Call sign.
    (5) Offshore Radiotelephone Service: For each of the four regions 
where the Offshore Radiotelephone Service operates.
    (i) Geographic boundaries of the region (latitude and longitude in 
NAD 83 for each point defining the boundary of the region.
    (ii) Channel(s) used by the service in that region.
    (6) MVPD receive sites: Registration for receive sites is limited to 
channels

[[Page 980]]

that are received over-the-air and are used as part of the MVPD service.
    (i) Name and address of MVPD company;
    (ii) Location of the MVPD receive site (latitude and longitude in 
NAD 83, accurate to 50 m);
    (iii) Channel number of each television channel received, subject to 
the following condition: channels for which the MVPD receive site is 
located within the protected contour of that channel's transmitting 
station are not eligible for registration in the database;
    (iv) Call sign of each television channel received and eligible for 
registration;
    (v) Location (latitude and longitude) of the transmitter of each 
television channel received;
    (7) Television translator, low power TV and Class A TV station 
receive sites: Registration for television translator, low power TV and 
Class A receive sites is limited to channels that are received over-the-
air and are used as part of the station's service.
    (i) Call sign of the TV translator station;
    (ii) Location of the TV translator receive site (latitude and 
longitude in NAD 83, accurate to /- 50 m);
    (iii) Channel number of the re-transmitted television station, 
subject to the following condition: a channel for which the television 
translator receive site is located within the protected contour of that 
channel's transmitting station is not eligible for registration in the 
database;
    (iv) Call sign of the retransmitted television station; and
    (v) Location (latitude and longitude) of the transmitter of the 
retransmitted television station.
    (8) Licensed low power auxiliary stations, including wireless 
microphones and wireless assist video devices: Use of licensed low power 
auxiliary stations at well-defined times and locations may be registered 
in the database. Multiple registrations that specify more than one point 
in the facility may be entered for very large sites. Registrations will 
be valid for no more than one year, after which they may be renewed. 
Registrations must include the following information:
    (i) Name of the individual or business responsible for the low power 
auxiliary device(s);
    (ii) An address for the contact person;
    (iii) An email address for the contact person (optional);
    (iv) A phone number for the contact person;
    (v) Coordinates where the device(s) are used (latitude and longitude 
in NAD 83, accurate to 50 m);
    (vi) Channels used by the low power auxiliary devices operated at 
the site;
    (vii) Specific months, weeks, days of the week and times when the 
device(s) are used (on dates when microphones are not used the site will 
not be protected); and
    (viii) The stations call sign.
    (9) Unlicensed wireless microphones at venues of events and 
productions/shows that use large numbers of wireless microphones that 
cannot be accommodated in the two reserved channels and other channels 
that are not available for use by white space devices at that location. 
Prior to June 23, 2017, but no later than release of the Channel 
Reassignment Public Notice upon completion of the broadcast television 
spectrum incentive auction, as defined in Sec. 73.3700(a) of this 
chapter, sites of large events and productions/shows with significant 
unlicensed wireless microphone use at well-defined times and locations 
may be registered in the database. Entities responsible for eligible 
event venues registering their site with a TV bands data base are 
required to first make use of the two reserved channels and other 
channels that are not available for use by white space devices at that 
location. As a benchmark, at least 6-8 wireless microphones should be 
operating in each channel used at such venues (both licensed and 
unlicensed wireless microphones used at the event may be counted to 
comply with this benchmark). Multiple registrations that specify more 
than one point in the facility may be entered for very large sites. 
Sites of eligible event venues using unlicensed wireless microphones 
must be registered with the Commission at least 30 days in advance and 
the Commission will provide this information to the data base managers. 
Parties responsible for eligible

[[Page 981]]

event venues filing registration requests must certify that they are 
making use of all TV channels not available to white space devices and 
on which wireless microphones can practicably be used, including 
channels 7-51 (except channel 37). The Commission will make requests for 
registration of sites that use unlicensed wireless microphones public 
and will provide an opportunity for public comment or objections. 
Registrations will be valid for one year, after which they may be 
renewed. The Commission will take actions against parties that file 
inaccurate or incomplete information, such as denial of registration in 
the database, removal of information from the database pursuant to 
paragraph (i) of this section, or other sanctions as appropriate to 
ensure compliance with the rules. Registrations must include the 
following information:
    (i) Name of the individual or business that owns the unlicensed 
wireless microphones;
    (ii) An address for the contact person;
    (iii) An email address for the contact person (optional);
    (iv) A phone number for the contact person;
    (v) Coordinates where the device(s) are used (latitude and longitude 
in NAD 83, accurate to 50 m);
    (vi) Channels used by the wireless microphones operated at the site 
and the number of wireless microphones used in each channel. As a 
benchmark, least 6-8 wireless microphones must be used in each channel. 
Registration requests that do not meet this criteria will not be 
registered in the TV bands data bases;
    (vii) Specific months, weeks, days of the week and times when the 
device(s) are used (on dates when microphones are not used the site will 
not be protected); and
    (viii) The name of the venue.
    (10) 600 MHz service in areas where the part 27 600 MHz band 
licensee has commenced operations, as defined in Sec. 27.4 of this 
chapter:
    (i) Name of 600 MHz band licensee;
    (ii) Name and address of the contact person;
    (iii) An email address for the contact person (optional);
    (iv) A phone number for the contact person;
    (v) Area within a part 27 600 MHz band licensee's Partial Economic 
Areas (PEA), as defined in Sec. 27.6 of this chapter, where it has 
commenced operation. This area must be delineated by at minimum of eight 
and a maximum of 120 geographic coordinates (latitude and longitude in 
NAD 83, accurate to 50 m);
    (vi) Date of commencement of operations;
    (vii) Identification of the frequencies on which the part 27 600 MHz 
band licensee has commenced operations;
    (viii) Call sign.
    (11) Location of health care facilities operating WMTS networks on 
channel 37 (608-614 MHz):
    (i) Name and address of the health care facility;
    (ii) Name and address of a contact person;
    (iii) Phone number of a contact person;
    (iv) Email address of a contact person;
    (v) Latitude and longitude coordinates referenced to North American 
Datum 1983 (NAD 83) that define the perimeter of each facility. If 
several health care facilities using 608-614 MHz wireless medical 
telemetry equipment are located in close proximity, it is permissible to 
register a perimeter to protect all facilities in that cluster.
    (k) Commission requests for data. (1) A white space database 
administrator must provide to the Commission, upon request, any 
information contained in the database.
    (2) A white space database administrator must remove information 
from the database, upon direction, in writing, by the Commission.
    (l) Security. The white space database shall employ protocols and 
procedures to ensure that all communications and interactions between 
the white space database and white space devices are accurate and secure 
and that unauthorized parties cannot access or alter the database or the 
list of available channels sent to a white space device.
    (1) Communications between white space devices and white space 
databases, and between different white

[[Page 982]]

space databases, shall be secure to prevent corruption or unauthorized 
interception of data. A white space database shall be protected from 
unauthorized data input or alteration of stored data.
    (2) A white space database shall verify that the FCC identification 
number supplied by a fixed or personal/portable white space device is 
for a certified device and may not provide service to an uncertified 
device.
    (3) A white space database must not provide lists of available 
channels to uncertified white space devices for purposes of operation 
(it is acceptable for a white space database to distribute lists of 
available channels by means other than contact with white space devices 
to provide list of channels for operation). To implement this provision, 
a white space database administrator shall obtain a list of certified 
white space devices from the FCC Equipment Authorization System.

[80 FR 73070, Nov. 23, 2015, as amended at 81 FR 4974, Jan. 29, 2016]

    Effective Date Notes: 1. At 81 FR 4974, Jan. 29, 2016, Sec. 
15.713(b)(2)(iv) and (j)(10) introductory text were revised. These 
paragraphs contain information collection and recordkeeping requirements 
and will not become effective until approval has been given by the 
Office of Management and Budget.
    2. At 82 FR 41559, Sept. 1, 2017, Sec. 15.713 is amended by 
removing and reserving paragraph (j)(9), effective Oct. 2, 2017.



Sec. 15.714  White space database administration fees.

    (a) A white space database administrator may charge a fee for 
provision of lists of available channels to fixed and personal/portable 
devices and for registering fixed devices. This provision applies to 
devices that operate in the TV bands, 600 MHz service band, and the 600 
MHz guard bands and duplex gap.
    (b) A white space database administrator may charge a fee for 
provision of lists of available channels to wireless microphone users.
    (c) The Commission, upon request, will review the fees and can 
require changes in those fees if they are found to be excessive.



Sec. 15.715  White space database administrator.

    The Commission will designate one or more entities to administer the 
white space database(s). The Commission may, at its discretion, permit 
the functions of a white space database, such as a data repository, 
registration, and query services, to be divided among multiple entities; 
however, it will designate specific entities to be a database 
administrator responsible for coordination of the overall functioning of 
a database and providing services to white space devices. Each database 
administrator designated by the Commission shall:
    (a) Maintain a database that contains the information described in 
Sec. 15.713.
    (b) Establish a process for acquiring and storing in the database 
necessary and appropriate information from the Commission's databases 
and synchronizing the database with the current Commission databases at 
least once a week to include newly licensed facilities or any changes to 
licensed facilities.
    (c) Establish a process for registering fixed white space devices 
and registering and including in the database facilities entitled to 
protection but not contained in a Commission database, including MVPD 
receive sites.
    (d) Establish a process for registering facilities where part 74 low 
power auxiliary stations are used on a regular basis.
    (e) Provide accurate lists of available channels and the 
corresponding maximum permitted power for each available channel to 
fixed and personal/portable white space devices that submit to it the 
information required under Sec. 15.713(e), (g), and (h) based on their 
geographic location and provide accurate lists of available channels and 
the corresponding maximum permitted power for each available channel to 
fixed and Mode II devices requesting lists of available channels for 
Mode I devices. Database administrators may allow prospective operators 
of white space devices to query the database and determine whether there 
are vacant channels at a particular location.
    (f) Establish protocols and procedures to ensure that all 
communications and interactions between the white space

[[Page 983]]

database and white space devices are accurate and secure and that 
unauthorized parties cannot access or alter the database or the list of 
available channels sent to a white space device consistent with the 
provisions of Sec. 15.713(l).
    (g) Make its services available to all unlicensed white space device 
users on a non-discriminatory basis.
    (h) Provide service for a five-year term. This term can be renewed 
at the Commission's discretion.
    (i) Respond in a timely manner to verify, correct and/or remove, as 
appropriate, data in the event that the Commission or a party brings 
claim of inaccuracies in the database to its attention. This requirement 
applies only to information that the Commission requires to be stored in 
the database.
    (j) Transfer its database along with the IP addresses and URLs used 
to access the database and list of registered fixed white space devices, 
to another designated entity in the event it does not continue as the 
database administrator at the end of its term. It may charge a 
reasonable price for such conveyance.
    (k) The database must have functionality such that upon request from 
the Commission it can indicate that no channels are available when 
queried by a specific white space device or model of white space 
devices.
    (l) If more than one database is developed, the database 
administrators shall cooperate to develop a standardized process for 
providing on a daily basis or more often, as appropriate, the data 
collected for the facilities listed in Sec. 15.713(b)(2) to all other 
white space databases to ensure consistency in the records of protected 
facilities.
    (m) Provide a means to make publicly available all information the 
rules require the database to contain, including fixed white space 
device registrations and voluntarily submitted protected entity 
information, except the information provided by 600 MHz band licensees 
pursuant to Sec. 15.713(j)(10)(v) and (vi) of this part shall not be 
made publicly available.
    (n) Establish procedures to allow part 27 600 MHz service licensees 
to upload the registration information listed in Sec. 15.713(j)(10) for 
areas where they have commenced operations, as defined in Sec. 27.4 of 
this chapter, and to allow the removal and replacement of registration 
information in the database when corrections or updates are necessary.
    (o) Remove from the database the registrations of fixed white space 
devices that have not checked the database for at least three months to 
update their channel lists. A database administrator may charge a new 
registration fee for a fixed white space device that is removed from the 
database under this provision but is later re-registered.
    (p) Establish procedures to allow health care facilities to register 
the locations of facilities where they operate WMTS networks on channel 
37.
    (q) Establish procedures to allow unlicensed wireless microphone 
users in the 600 MHz band to register with the database and to provide 
lists of channels available for wireless microphones at a given 
location.

[80 FR 73070, Nov. 23, 2015, as amended at 81 FR 4975, Jan. 29, 2016]

    Effective Date Note:  At 81 FR 4975, Jan. 29, 2016, Sec. 15.715(n) 
was revised. 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.



Sec. 15.717  White space devices that rely on spectrum sensing.

    (a) Applications for certification. Parties may submit applications 
for certification of white space devices that rely solely on spectrum 
sensing to identify available channels. Devices authorized under this 
section must demonstrate with an extremely high degree of confidence 
that they will not cause harmful interference to incumbent radio 
services.
    (1) In addition to the procedures in subpart J of part 2 of this 
chapter, applicants shall comply with the following.
    (i) The application must include a full explanation of how the 
device will protect incumbent authorized services against interference.
    (ii) Applicants must submit a pre-production device, identical to 
the device expected to be marketed.
    (2) The Commission will follow the procedures below for processing 
applications pursuant to this section.

[[Page 984]]

    (i) Applications will be placed on public notice for a minimum of 30 
days for comments and 15 days for reply comments. Applicants may request 
that portions of their application remain confidential in accordance 
with Sec. 0.459 of this chapter. This public notice will include 
proposed test procedures and methodologies.
    (ii) The Commission will conduct laboratory and field tests of the 
pre-production device. This testing will be conducted to evaluate proof 
of performance of the device, including characterization of its sensing 
capability and its interference potential. The testing will be open to 
the public.
    (iii) Subsequent to the completion of testing, the Commission will 
issue by public notice, a test report including recommendations. The 
public notice will specify a minimum of 30 days for comments and, if any 
objections are received, an additional 15 days for reply comments.
    (b) Power limit for devices that rely on sensing. The white space 
device shall meet the requirements for personal/portable devices in this 
subpart except that it will be limited to a maximum EIRP of 50 mW per 6 
megahertz of bandwidth on which the device operates and it does not have 
to comply with the requirements for geo-location and database access in 
Sec. 15.711(b), (d), and (e). Compliance with the detection threshold 
for spectrum sensing in Sec. 15.717(c), although required, is not 
necessarily sufficient for demonstrating reliable interference 
avoidance. Once a device is certified, additional devices that are 
identical in electrical characteristics and antenna systems may be 
certified under the procedures of part 2, Subpart J of this chapter.
    (c) Sensing requirements--(1) Detection threshold. (i) The required 
detection thresholds are:
    (A) ATSC digital TV signals: -114 dBm, averaged over a 6 MHz 
bandwidth;
    (B) NTSC analog TV signals: -114 dBm, averaged over a 100 kHz 
bandwidth;
    (C) Low power auxiliary, including wireless microphone, signals: -
107 dBm, averaged over a 200 kHz bandwidth.
    (ii) The detection thresholds are referenced to an omnidirectional 
receive antenna with a gain of 0 dBi. If a receive antenna with a 
minimum directional gain of less than 0 dBi is used, the detection 
threshold shall be reduced by the amount in dB that the minimum 
directional gain of the antenna is less than 0 dBi. Minimum directional 
gain shall be defined as the antenna gain in the direction and at the 
frequency that exhibits the least gain. Alternative approaches for the 
sensing antenna are permitted, e.g., electronically rotatable antennas, 
provided the applicant for equipment authorization can demonstrate that 
its sensing antenna provides at least the same performance as an 
omnidirectional antenna with 0 dBi gain.
    (2) Channel availability check time. A white space device may start 
operating on a TV channel if no TV, wireless microphone or other low 
power auxiliary device signals above the detection threshold are 
detected within a minimum time interval of 30 seconds.
    (3) In-service monitoring. A white space device must perform in-
service monitoring of an operating channel at least once every 60 
seconds. There is no minimum channel availability check time for in-
service monitoring.
    (4) Channel move time. After a TV, wireless microphone or other low 
power auxiliary device signal is detected on a white space device 
operating channel, all transmissions by the white space device must 
cease within two seconds.



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 for painting and lighting compliance.

[[Page 985]]

     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.
17.14-17.17 [Reserved]

Subpart C_Specifications for Obstruction Marking and Lighting of Antenna 
                               Structures

17.21 Painting and lighting, when required.
17.22 [Reserved]
17.23 Specifications for painting and lighting antenna structures.
17.24 Existing structures.
17.25-17.45 [Reserved]
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 [Reserved]
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 [Reserved]

    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.

[61 FR 4362, Feb. 6, 1996, as amended at 79 FR 56984, Sept. 24, 2014]



Sec. 17.2  Definitions.

    (a) Antenna structure. The term antenna structure means a structure 
that is constructed or used to transmit radio energy, or that is 
constructed or used for the primary purpose of supporting antennas to 
transmit and/or receive radio energy, and any antennas and other 
appurtenances mounted thereon, from the time construction of the 
supporting structure begins until such time as the supporting structure 
is dismantled.
    (b) Antenna farm area. A geographical location, with established 
boundaries, designated by the Federal Communications Commission, in 
which antenna structures 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 that is constructed or used to transmit radio energy, or the 
underlying antenna structure that supports or is intended to support 
antennas and other appurtenances. 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; 79 FR 56984, Sept. 
24, 2014]



Sec. 17.4  Antenna structure registration.

    (a) The owner of any proposed or existing antenna structure that 
requires notice of proposed construction to the Federal Aviation 
Administration (FAA) due to physical obstruction must register the 
structure with the

[[Page 986]]

Commission. (See Sec. 17.7 for FAA notification requirements.) 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. If the FAA exempts an antenna structure 
from notification, it is exempt from the requirement that it register 
with the Commission. (See Sec. 17.7(e) for exemptions to FAA 
notification requirements.)
    (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 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 
of an antenna structure described in paragraph (a) of this section must 
file FCC Form 854 with the Commission. Additionally, each owner of a 
proposed structure referred to in paragraph (a) of this section must 
submit a valid FAA determination of ``no hazard.'' In order to be 
considered valid 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 be the 
highest point of the structure including any obstruction lighting or 
lightning arrester. If an antenna structure is not required to be 
registered under paragraph (a) of this section and it is voluntarily 
registered with the Commission after the effective date of this rule, 
the registrant must note on FCC Form 854 that the registration is 
voluntary. Voluntarily registered antenna structures are not subject to 
the lighting and marking requirements contained in this part.
    (c) Each prospective applicant must complete the environmental 
notification process described in this paragraph, except as specified in 
paragraph (c)(1) of this section.
    (1) Exceptions from the environmental notification process. 
Completion of the environmental notification process is not required 
when FCC Form 854 is submitted solely for the following purposes:
    (i) For notification only, such as to report a change in ownership 
or contact information, or the dismantlement of an antenna structure;
    (ii) For a reduction in height of an antenna structure or an 
increase in height that does not constitute a substantial increase in 
size as defined in paragraph I(C)(1)-(3) of Appendix B to part 1 of this 
chapter, provided that there is no construction or excavation more than 
30 feet beyond the existing antenna structure property;
    (iii) For removal of lighting from an antenna structure or adoption 
of a more preferred or equally preferred lighting style. For this 
purpose lighting styles are ranked as follows (with the most preferred 
lighting style listed first and the least preferred listed last): no 
lights; FAA Lighting Styles that do not involve use of red steady 
lights; and FAA Lighting Styles that involve use of red steady lights. A 
complete description of each FAA Lighting Style and the manner in which 
it is to be deployed can be found in the current version of FAA, U.S. 
Dept. of Transportation, Advisory Circular: Obstruction Marking and 
Lighting, AC 70/7460;
    (iv) For replacement of an existing antenna structure at the same 
geographic location that does not require an Environmental Assessment 
(EA) under Sec. 1.1307(a) through (d) of this chapter, provided the new 
structure will not use a less preferred lighting style, there will be no 
substantial increase in size as defined in paragraph I(C)(1)-(3) of 
Appendix B to part 1 of this chapter, and there will be no construction 
or excavation more than 30 feet beyond the existing antenna structure 
property;
    (v) For any other change that does not alter the physical structure, 
lighting, or geographic location of an existing structure;
    (vi) For construction, modification, or replacement of an antenna 
structure on Federal land where another Federal agency has assumed 
responsibility for evaluating the potentially significant

[[Page 987]]

environmental effect of the proposed antenna structure on the quality of 
the human environment and for invoking any required environmental impact 
statement process, or for any other structure where another Federal 
agency has assumed such responsibilities pursuant to a written agreement 
with the Commission (see Sec. 1.1311(e) of this chapter); or
    (vii) For the construction or deployment of an antenna structure 
that will:
    (A) Be in place for no more than 60 days,
    (B) Requires notice of construction to the FAA,
    (C) Does not require marking or lighting under FAA regulations,
    (D) Will be less than 200 feet in height above ground level, and
    (E) Will either involve no excavation or involve excavation only 
where the depth of previous disturbance exceeds the proposed 
construction depth (excluding footings and other anchoring mechanisms) 
by at least two feet. An applicant that relies on this exception must 
wait 30 days after removal of the antenna structure before relying on 
this exception to deploy another antenna structure covering 
substantially the same service area.
    (2) Commencement of the environmental notification process. The 
prospective applicant shall commence the environmental notification 
process by filing information about the proposed antenna structure with 
the Commission. This information shall include, at a minimum, all of the 
information required on FCC Form 854 regarding ownership and contact 
information, geographic location, and height, as well as the type of 
structure and anticipated lighting. The Wireless Telecommunications 
Bureau may utilize a partially completed FCC Form 854 to collect this 
information.
    (3) Local notice. The prospective applicant must provide local 
notice of the proposed new antenna structure or modification of an 
existing antenna structure through publication in a newspaper of general 
circulation or other appropriate means, such as through the public 
notification provisions of the relevant local zoning process. The local 
notice shall contain all of the descriptive information as to geographic 
location, configuration, height and anticipated lighting specifications 
reflected in the submission required pursuant to paragraph (c)(2) of 
this section. It must also provide information as to the procedure for 
interested persons to file Requests for environmental processing 
pursuant to Sec. Sec. 1.1307(c) and 1.1313(b) of this chapter, 
including any assigned file number, and state that such Requests may 
only raise environmental concerns.
    (4) National notice. On or after the local notice date provided by 
the prospective applicant, the Commission shall post notification of the 
proposed construction on its Web site. This posting shall include the 
information contained in the initial filing with the Commission or a 
link to such information. The posting shall remain on the Commission's 
Web site for a period of 30 days.
    (5) Requests for environmental processing. Any Request filed by an 
interested person pursuant to Sec. Sec. 1.1307(c) and 1.1313(b) of this 
chapter must be received by the Commission no later than 30 days after 
the proposed antenna structure goes on notice pursuant to paragraph 
(c)(4) of this section. The Wireless Telecommunications Bureau shall 
establish by public notice the process for filing Requests for 
environmental processing and responsive pleadings consistent with the 
following provisions.
    (i) Service and pleading cycle. The interested person or entity 
shall serve a copy of its Request on the prospective ASR applicant 
pursuant to Sec. 1.47 of this chapter. Oppositions may be filed no 
later than 10 days after the time for filing Requests has expired. 
Replies to oppositions may be filed no later than 5 days after the time 
for filing oppositions has expired. Oppositions shall be served upon the 
Requester, and replies shall be served upon the prospective applicant.
    (ii) Content. An Environmental Request must state why the interested 
person or entity believes that the proposed antenna structure or 
physical modification of an existing antenna structure may have a 
significant impact on the quality of the human environment for which an 
Environmental Assessment must be considered by the

[[Page 988]]

Commission as required by Sec. 1.1307 of this chapter, or why an 
Environmental Assessment submitted by the prospective ASR applicant does 
not adequately evaluate the potentially significant environmental 
effects of the proposal. The Request must be submitted as a written 
petition filed either electronically or by hard copy setting forth in 
detail the reasons supporting Requester's contentions.
    (6) Amendments. The prospective applicant must file an amendment to 
report any substantial change in the information provided to the 
Commission. An amendment will not require further local or national 
notice if the only reported change is a reduction in the height of the 
proposed new or modified antenna structure; if proposed lighting is 
removed or changed to a more preferred or equally preferred lighting 
style as set forth in paragraph (c)(1)(iii) of this section; or if the 
amendment reports only administrative changes that are not subject to 
the requirements specified in this paragraph. All other changes to the 
physical structure, lighting, or geographic location data for a proposed 
registered antenna structure require additional local and national 
notice and a new period for filing Requests pursuant to paragraphs 
(c)(3), (c)(4), and (c)(5) of this section.
    (7) Environmental Assessments. If an Environmental Assessment (EA) 
is required under Sec. 1.1307 of this chapter, the antenna structure 
registration applicant shall attach the EA to its environmental 
submission, regardless of any requirement that the EA also be attached 
to an associated service-specific license or construction permit 
application. The contents of an EA are described in Sec. Sec. 1.1308 
and 1.1311 of this chapter. The EA may be provided either with the 
initial environmental submission or as an amendment. If the EA is 
submitted as an amendment, the Commission shall post notification on its 
Web site for another 30 days pursuant to paragraph (c)(4) of this 
section and accept additional Requests pursuant to paragraph (c)(5) of 
this section. However, additional local notice pursuant to paragraph 
(c)(3) of this section shall not be required unless information has 
changed pursuant to paragraph (c)(6) of this section. The applicant 
shall serve a copy of the EA upon any party that has previously filed a 
Request pursuant to paragraph (c)(5) of this section.
    (8) Disposition. The processing Bureau shall resolve all 
environmental issues, in accordance with the environmental regulations 
(47 CFR 1.1301 through 1.1319) specified in part 1 of this chapter, 
before the tower owner, or the first tenant licensee acting on behalf of 
the owner, may complete the antenna structure registration application. 
In a case where no EA is submitted, the Bureau shall notify the 
applicant whether an EA is required under Sec. 1.1307(c) or (d) of this 
chapter. In a case where an EA is submitted, the Bureau shall either 
grant a Finding of No Significant Impact (FONSI) or notify the applicant 
that further environmental processing is required pursuant to Sec. 
1.1308 of this chapter. Upon filing the completed antenna structure 
registration application, the applicant shall certify that the 
construction will not have a significant environmental impact, unless an 
Environmental Impact Statement is prepared pursuant to Sec. 1.1314 of 
this chapter.
    (9) Transition rule. An antenna structure registration application 
that is pending with the Commission as of the effective date of this 
paragraph (c) shall not be required to complete the environmental 
notification process set forth in this paragraph. The Commission will 
publish a document in the Federal Register announcing the effective 
date. However, if such an application is amended in a manner that would 
require additional notice pursuant to paragraph (c)(6) of this section, 
then such notice shall be required.
    (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,

[[Page 989]]

and provide a copy of the Antenna Structure Registration (FCC Form 854R) 
to the owner. The owner remains responsible for providing to all tenant 
licensees and permittees notification that the structure has been 
registered, consistent with paragraph (f) of this section, 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 antenna structure owner shall immediately 
provide to all tenant licensees and permittees notification that the 
structure has been registered, along with either a copy of Form 854R or 
the Antenna Structure Registration Number and a link to the FCC antenna 
structure Web site: http://wireless.fcc.gov/antenna/. This notification 
may be done electronically or via paper mail.
    (g) Except as described in paragraph (h) of this section, the 
Antenna Structure Registration Number must be displayed so that it is 
conspicuously visible and legible from the publicly accessible area 
nearest the base of the antenna structure along the publicly accessible 
roadway or path. Where an antenna structure is surrounded by a perimeter 
fence, or where the point of access includes an access gate, the Antenna 
Structure Registration Number should be posted on the perimeter fence or 
access gate. Where multiple antenna structures having separate Antenna 
Structure Registration Numbers are located within a single fenced area, 
the Antenna Structure Registration Numbers must be posted both on the 
perimeter fence or access gate and near the base of each antenna 
structure. If the base of the antenna structure has more than one point 
of access, the Antenna Structure Registration Number must be posted so 
that it is visible at the publicly accessible area nearest each such 
point of access. Materials used to display the Antenna Structure 
Registration Number must be weather-resistant and of sufficient size to 
be easily seen where posted.
    (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.
    (i) Absent Commission specification, the painting and lighting 
specifications recommended by the FAA are mandatory (see Sec. 17.23). 
However, the Commission may specify painting and/or lighting 
requirements for each antenna structure registration in addition to or 
different from those specified by the FAA.
    (j) Any change or correction in the overall height of one foot or 
greater or coordinates of one second or greater in longitude or latitude 
of a registered antenna structure requires prior approval from the FAA 
and modification of the existing registration with the Commission.
    (k) Any change in the marking and lighting that varies from the 
specifications described on any antenna structure registration requires 
prior approval from the FAA and the Commission.

[61 FR 4362, Feb. 6, 1996, as amended at 77 FR 3953, Jan. 26, 2012; 79 
FR 56985, Sept. 24, 2014; 80 FR 1270, Jan. 8, 2015]

    Effective Date Note: At 80 FR 1270, Jan. 8, 2015, Sec. 
17.4(c)(1)(vii) 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.



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

[[Page 990]]

processed without further regard to this chapter.

[61 FR 4362, Feb. 6, 1996]



Sec. 17.6  Responsibility for painting and lighting compliance.

    (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.
    (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 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 to all tenant 
licensees and permittees notification that the structure has been 
registered, consistent with Sec. 17.4(f), and for posting the 
registration number as required by Sec. 17.4(g).

[61 FR 4363, Feb. 6, 1996, as amended at 79 FR 56985, Sept. 24, 2014]



     Subpart B_Federal Aviation Administration Notification Criteria



Sec. 17.7  Antenna structures requiring notification to the FAA.

    A notification to the FAA is required, except as set forth in 
paragraph (e) of this section, 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 that exceeds an imaginary surface 
extending outward and upward at any 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 
described in paragraph (d) of this section with its longest 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 
described 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 described 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 
and heliports:
    (1) A public use airport listed in the Airport/Facility Directory, 
Alaska Supplement, or Pacific Chart Supplement of the U.S. Government 
Flight Information Publications;

[[Page 991]]

    (2) A military airport under construction, or an airport under 
construction that will be available for public use;
    (3) An airport operated by a Federal agency or the United States 
Department of Defense.
    (4) An airport or heliport with at least one FAA-approved instrument 
approach procedure.
    (e) A notification to the FAA is not required for any of the 
following construction or alteration:
    (1) Any object that will be shielded by existing structures of a 
permanent and substantial nature or by natural terrain or topographic 
features of equal or greater height, and will be located in the 
congested area of a city, town, or settlement where the shielded 
structure will not adversely affect safety in air navigation;
    (2) Any air navigation facility, airport visual approach or landing 
aid, aircraft arresting device, or meteorological device meeting FAA-
approved siting criteria or an appropriate military service siting 
criteria on military airports, the location and height of which are 
fixed by its functional purpose;
    (3) Any antenna structure of 6.10 meters (20 feet) or less in 
height, except one that would increase the height of another antenna 
structure.

    Note to Sec. 17.7: 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; 79 FR 56986, Sept. 
24, 2014]



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 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]

[[Page 992]]



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. Sec. 17.14-17.17  [Reserved]



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) Their height exceeds any obstruction standard requiring 
notification to the FAA (see Sec. 17.4(a) and Sec. 17.7).
    (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.
    (c) An antenna installation is of such a nature that its painting 
and lighting specifications in accordance with the FAA airspace 
recommendation are confusing, or endanger rather than assist airmen, or 
are otherwise inadequate. In these cases, the Commission will specify 
the type of painting and lighting or other marking to be used for the 
particular structure.

[32 FR 11269, Aug. 3, 1967, as amended at 42 FR 54824, Oct. 11, 1977; 79 
FR 56986, Sept. 24, 2014]



Sec. 17.22  [Reserved]



Sec. 17.23  Specifications for painting and lighting antenna
structures.

    Unless otherwise specified by the Commission, each new or altered 
antenna structure must conform to the FAA's painting and lighting 
specifications set forth in the FAA's final determination of ``no 
hazard'' and the associated FAA study for that particular structure. For 
purposes of this part, any specifications, standards, and general 
requirements set forth by the FAA in the structure's determination of 
``no hazard'' and the associated FAA study are mandatory. Additionally, 
each antenna structure must be painted and lighted in accordance with 
any painting and lighting requirements prescribed on the antenna 
structure's registration, or in accordance with any other specifications 
provided by the Commission.

[79 FR 56986, Sept. 24, 2014]



Sec. 17.24  Existing structures.

    No change to painting or lighting criteria or relocation of airports 
shall at any time impose a new restriction upon any then existing or 
authorized antenna structure or structures, unless the FAA issues a new 
determination of ``no hazard'' and associated FAA study for the 
particular structure.

[79 FR 56986, Sept. 24, 2014]



Sec. Sec. 17.25-17.45  [Reserved]



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

[[Page 993]]

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.
    (c) Is exempt from paragraph (b) of this section for any antenna 
structure monitored by a system that the Wireless Telecommunications 
Bureau has determined includes self-diagnostic features sufficient to 
render quarterly inspections unnecessary, upon certification of use of 
such system to the Bureau.

[61 FR 4363, Feb. 6, 1996, as amended at 79 FR 56986, Sept. 24, 2014]



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 to the FAA, by means acceptable to the 
FAA, 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. If the lights cannot be repaired within the 
FAA's Notices to Airmen (NOTAM) period, the owner shall notify the FAA 
to extend the outage date and report a return-to-service date. The owner 
shall repeat this process until the lights are repaired. 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 
to the FAA by means acceptable to the FAA 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 
practicable, 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; 79 FR 56986, Sept. 
24, 2014]



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. This record 
shall be retained for a period of two years and provided to the FCC or 
its agents upon request. The record shall include the following 
information for each such event:
    (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 amended at 61 FR 4364, Feb. 6, 1996; 79 
FR 56987, Sept. 24, 2014]



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. 
Evaluation of the current paint status shall be made by using the FAA's 
In-Service Aviation Orange Tolerance Chart. This chart is based upon the 
color requirements contained in the National Bureau of Standards Report 
NBSIR 75-663, Color Requirements for the Marking of Obstructions.

[79 FR 56987, Sept. 24, 2014]

[[Page 994]]



Sec. 17.51  [Reserved]



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.

    Replacing or repairing of lights, automatic indicators or automatic 
control or alarm systems shall be accomplished as soon as practicable.

[79 FR 56986, Sept. 24, 2014]



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 
5 days of completion of construction (FCC Form 854-R) and/or 
dismantlement (FCC Form 854). The owner must also notify the Commission 
within 5 days of any change in structure height or change in ownership 
information (FCC Form 854).

[79 FR 56987, Sept. 24, 2014]



Sec. 17.58  [Reserved]



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.

                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.

[[Page 995]]



                      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 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.

[[Page 996]]

    (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 
Regional Director 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 Regional 
Director obtained.
    (c) When notified by the Regional Director 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 Regional Director 
may require the engineer making the investigation to furnish proof of 
his or her qualifications.

[50 FR 36067, Sept. 5, 1985, as amended at 80 FR 53750, Sept. 8, 2015]



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 
Regional Director of the local FCC office within 30 days of notification 
of harmful interference. The final report shall be filed with the 
Regional Director within 60 days of notification.
    (b) The date for filing the final report may be extended by the 
Regional Director 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.

[80 FR 53750, Sept. 8, 2015]



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]



                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.

[[Page 997]]



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 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:

[[Page 998]]

[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).



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

[[Page 999]]

 
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..........  25 x SQRT(power/500)    \1\300
                                    Any non-ISM frequency  Below 500............  15..................       300
                                                           500 or more..........  15 x SQRT(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
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

[[Page 1000]]

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.
    (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.

[[Page 1001]]



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).



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

[[Page 1002]]

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.



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.

[[Page 1003]]



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 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.

[[Page 1004]]

    (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:

    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

[[Page 1005]]

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.
    (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 1007]]



                              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.

  Table of CFR Titles and Chapters
  Alphabetical List of Agencies Appearing in the CFR
  List of CFR Sections Affected

[[Page 1009]]



                    Table of CFR Titles and Chapters




                     (Revised as of October 1, 2017)

                      Title 1--General Provisions

         I  Administrative Committee of the Federal Register 
                (Parts 1--49)
        II  Office of the Federal Register (Parts 50--299)
       III  Administrative Conference of the United States (Parts 
                300--399)
        IV  Miscellaneous Agencies (Parts 400--599)
        VI  National Capital Planning Commission (Parts 600--699)

                    Title 2--Grants and Agreements

            Subtitle A--Office of Management and Budget Guidance 
                for Grants and Agreements
         I  Office of Management and Budget Governmentwide 
                Guidance for Grants and Agreements (Parts 2--199)
        II  Office of Management and Budget Guidance (Parts 200--
                299)
            Subtitle B--Federal Agency Regulations for Grants and 
                Agreements
       III  Department of Health and Human Services (Parts 300--
                399)
        IV  Department of Agriculture (Parts 400--499)
        VI  Department of State (Parts 600--699)
       VII  Agency for International Development (Parts 700--799)
      VIII  Department of Veterans Affairs (Parts 800--899)
        IX  Department of Energy (Parts 900--999)
         X  Department of the Treasury (Parts 1000--1099)
        XI  Department of Defense (Parts 1100--1199)
       XII  Department of Transportation (Parts 1200--1299)
      XIII  Department of Commerce (Parts 1300--1399)
       XIV  Department of the Interior (Parts 1400--1499)
        XV  Environmental Protection Agency (Parts 1500--1599)
     XVIII  National Aeronautics and Space Administration (Parts 
                1800--1899)
        XX  United States Nuclear Regulatory Commission (Parts 
                2000--2099)
      XXII  Corporation for National and Community Service (Parts 
                2200--2299)
     XXIII  Social Security Administration (Parts 2300--2399)
      XXIV  Housing and Urban Development (Parts 2400--2499)
       XXV  National Science Foundation (Parts 2500--2599)
      XXVI  National Archives and Records Administration (Parts 
                2600--2699)

[[Page 1010]]

     XXVII  Small Business Administration (Parts 2700--2799)
    XXVIII  Department of Justice (Parts 2800--2899)
      XXIX  Department of Labor (Parts 2900--2999)
       XXX  Department of Homeland Security (Parts 3000--3099)
      XXXI  Institute of Museum and Library Services (Parts 3100--
                3199)
     XXXII  National Endowment for the Arts (Parts 3200--3299)
    XXXIII  National Endowment for the Humanities (Parts 3300--
                3399)
     XXXIV  Department of Education (Parts 3400--3499)
      XXXV  Export-Import Bank of the United States (Parts 3500--
                3599)
     XXXVI  Office of National Drug Control Policy, Executive 
                Office of the President (Parts 3600--3699)
    XXXVII  Peace Corps (Parts 3700--3799)
     LVIII  Election Assistance Commission (Parts 5800--5899)
       LIX  Gulf Coast Ecosystem Restoration Council (Parts 5900--
                5999)

                        Title 3--The President

         I  Executive Office of the President (Parts 100--199)

                           Title 4--Accounts

         I  Government Accountability Office (Parts 1--199)

                   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)
        IV  Office of Personnel Management and Office of the 
                Director of National Intelligence (Parts 1400--
                1499)
         V  The International Organizations Employees Loyalty 
                Board (Parts 1500--1599)
        VI  Federal Retirement Thrift Investment Board (Parts 
                1600--1699)
      VIII  Office of Special Counsel (Parts 1800--1899)
        IX  Appalachian Regional Commission (Parts 1900--1999)
        XI  Armed Forces Retirement Home (Parts 2100--2199)
       XIV  Federal Labor Relations Authority, General Counsel of 
                the Federal Labor Relations Authority and Federal 
                Service Impasses Panel (Parts 2400--2499)
       XVI  Office of Government Ethics (Parts 2600--2699)
       XXI  Department of the Treasury (Parts 3100--3199)
      XXII  Federal Deposit Insurance Corporation (Parts 3200--
                3299)
     XXIII  Department of Energy (Parts 3300--3399)
      XXIV  Federal Energy Regulatory Commission (Parts 3400--
                3499)
       XXV  Department of the Interior (Parts 3500--3599)
      XXVI  Department of Defense (Parts 3600--3699)

[[Page 1011]]

    XXVIII  Department of Justice (Parts 3800--3899)
      XXIX  Federal Communications Commission (Parts 3900--3999)
       XXX  Farm Credit System Insurance Corporation (Parts 4000--
                4099)
      XXXI  Farm Credit Administration (Parts 4100--4199)
    XXXIII  Overseas Private Investment Corporation (Parts 4300--
                4399)
     XXXIV  Securities and Exchange Commission (Parts 4400--4499)
      XXXV  Office of Personnel Management (Parts 4500--4599)
     XXXVI  Department of Homeland Security (Parts 4600--4699)
    XXXVII  Federal Election Commission (Parts 4700--4799)
        XL  Interstate Commerce Commission (Parts 5000--5099)
       XLI  Commodity Futures Trading Commission (Parts 5100--
                5199)
      XLII  Department of Labor (Parts 5200--5299)
     XLIII  National Science Foundation (Parts 5300--5399)
       XLV  Department of Health and Human Services (Parts 5500--
                5599)
      XLVI  Postal Rate Commission (Parts 5600--5699)
     XLVII  Federal Trade Commission (Parts 5700--5799)
    XLVIII  Nuclear Regulatory Commission (Parts 5800--5899)
      XLIX  Federal Labor Relations Authority (Parts 5900--5999)
         L  Department of Transportation (Parts 6000--6099)
       LII  Export-Import Bank of the United States (Parts 6200--
                6299)
      LIII  Department of Education (Parts 6300--6399)
       LIV  Environmental Protection Agency (Parts 6400--6499)
        LV  National Endowment for the Arts (Parts 6500--6599)
       LVI  National Endowment for the Humanities (Parts 6600--
                6699)
      LVII  General Services Administration (Parts 6700--6799)
     LVIII  Board of Governors of the Federal Reserve System 
                (Parts 6800--6899)
       LIX  National Aeronautics and Space Administration (Parts 
                6900--6999)
        LX  United States Postal Service (Parts 7000--7099)
       LXI  National Labor Relations Board (Parts 7100--7199)
      LXII  Equal Employment Opportunity Commission (Parts 7200--
                7299)
     LXIII  Inter-American Foundation (Parts 7300--7399)
      LXIV  Merit Systems Protection Board (Parts 7400--7499)
       LXV  Department of Housing and Urban Development (Parts 
                7500--7599)
      LXVI  National Archives and Records Administration (Parts 
                7600--7699)
     LXVII  Institute of Museum and Library Services (Parts 7700--
                7799)
    LXVIII  Commission on Civil Rights (Parts 7800--7899)
      LXIX  Tennessee Valley Authority (Parts 7900--7999)
       LXX  Court Services and Offender Supervision Agency for the 
                District of Columbia (Parts 8000--8099)
      LXXI  Consumer Product Safety Commission (Parts 8100--8199)
    LXXIII  Department of Agriculture (Parts 8300--8399)

[[Page 1012]]

     LXXIV  Federal Mine Safety and Health Review Commission 
                (Parts 8400--8499)
     LXXVI  Federal Retirement Thrift Investment Board (Parts 
                8600--8699)
    LXXVII  Office of Management and Budget (Parts 8700--8799)
      LXXX  Federal Housing Finance Agency (Parts 9000--9099)
   LXXXIII  Special Inspector General for Afghanistan 
                Reconstruction (Parts 9300--9399)
    LXXXIV  Bureau of Consumer Financial Protection (Parts 9400--
                9499)
    LXXXVI  National Credit Union Administration (Parts 9600--
                9699)
     XCVII  Department of Homeland Security Human Resources 
                Management System (Department of Homeland 
                Security--Office of Personnel Management) (Parts 
                9700--9799)
    XCVIII  Council of the Inspectors General on Integrity and 
                Efficiency (Parts 9800--9899)
      XCIX  Military Compensation and Retirement Modernization 
                Commission (Parts 9900--9999)
         C  National Council on Disability (Parts 10000--10049)

                      Title 6--Domestic Security

         I  Department of Homeland Security, Office of the 
                Secretary (Parts 1--199)
         X  Privacy and Civil Liberties Oversight Board (Parts 
                1000--1099)

                         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)

[[Page 1013]]

         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)
       XXV  Office of Advocacy and Outreach, Department of 
                Agriculture (Parts 2500--2599)
      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 Policy and New Uses, 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  National Institute of Food and Agriculture (Parts 
                3400--3499)
      XXXV  Rural Housing Service, Department of Agriculture 
                (Parts 3500--3599)
     XXXVI  National Agricultural Statistics Service, Department 
                of 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)

[[Page 1014]]

                    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)
       III  Department of Energy (Parts 700--999)
         X  Department of Energy (General Provisions) (Parts 
                1000--1099)
      XIII  Nuclear Waste Technical Review Board (Parts 1300--
                1399)
      XVII  Defense Nuclear Facilities Safety Board (Parts 1700--
                1799)
     XVIII  Northeast Interstate Low-Level Radioactive Waste 
                Commission (Parts 1800--1899)

                      Title 11--Federal Elections

         I  Federal Election Commission (Parts 1--9099)
        II  Election Assistance Commission (Parts 9400--9499)

                      Title 12--Banks and Banking

         I  Comptroller of the Currency, Department of the 
                Treasury (Parts 1--199)
        II  Federal Reserve System (Parts 200--299)
       III  Federal Deposit Insurance Corporation (Parts 300--399)
        IV  Export-Import Bank of the United States (Parts 400--
                499)
         V  Office of Thrift Supervision, Department of the 
                Treasury (Parts 500--599)
        VI  Farm Credit Administration (Parts 600--699)
       VII  National Credit Union Administration (Parts 700--799)
      VIII  Federal Financing Bank (Parts 800--899)
        IX  Federal Housing Finance Board (Parts 900--999)
         X  Bureau of Consumer Financial Protection (Parts 1000--
                1099)
        XI  Federal Financial Institutions Examination Council 
                (Parts 1100--1199)
       XII  Federal Housing Finance Agency (Parts 1200--1299)

[[Page 1015]]

      XIII  Financial Stability Oversight Council (Parts 1300--
                1399)
       XIV  Farm Credit System Insurance Corporation (Parts 1400--
                1499)
        XV  Department of the Treasury (Parts 1500--1599)
       XVI  Office of Financial Research (Parts 1600--1699)
      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 (Parts 400--499)
         V  Emergency Oil and Gas Guaranteed Loan Board (Parts 
                500--599)

                    Title 14--Aeronautics and Space

         I  Federal Aviation Administration, Department of 
                Transportation (Parts 1--199)
        II  Office of the Secretary, Department of Transportation 
                (Aviation Proceedings) (Parts 200--399)
       III  Commercial Space Transportation, Federal Aviation 
                Administration, Department of Transportation 
                (Parts 400--1199)
         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)

[[Page 1016]]

        XI  National Technical Information Service, 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) [Reserved]

                    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)

          Title 18--Conservation of Power and Water Resources

         I  Federal Energy Regulatory Commission, Department of 
                Energy (Parts 1--399)
       III  Delaware River Basin Commission (Parts 400--499)
        VI  Water Resources Council (Parts 700--799)
      VIII  Susquehanna River Basin Commission (Parts 800--899)
      XIII  Tennessee Valley Authority (Parts 1300--1399)

                       Title 19--Customs Duties

         I  U.S. Customs and Border Protection, Department of 
                Homeland Security; Department of the Treasury 
                (Parts 0--199)
        II  United States International Trade Commission (Parts 
                200--299)
       III  International Trade Administration, Department of 
                Commerce (Parts 300--399)
        IV  U.S. Immigration and Customs Enforcement, Department 
                of Homeland Security (Parts 400--599) [Reserved]

                     Title 20--Employees' Benefits

         I  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 1--199)
        II  Railroad Retirement Board (Parts 200--399)

[[Page 1017]]

       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  Office of Workers' Compensation Programs, Department 
                of Labor (Parts 700--799)
       VII  Benefits Review Board, Department of Labor (Parts 
                800--899)
      VIII  Joint Board for the Enrollment of Actuaries (Parts 
                900--999)
        IX  Office of the Assistant Secretary for Veterans' 
                Employment and Training Service, Department of 
                Labor (Parts 1000--1099)

                       Title 21--Food and Drugs

         I  Food and Drug Administration, Department of Health and 
                Human Services (Parts 1--1299)
        II  Drug Enforcement Administration, Department of Justice 
                (Parts 1300--1399)
       III  Office of National Drug Control Policy (Parts 1400--
                1499)

                      Title 22--Foreign Relations

         I  Department of State (Parts 1--199)
        II  Agency for International Development (Parts 200--299)
       III  Peace Corps (Parts 300--399)
        IV  International Joint Commission, United States and 
                Canada (Parts 400--499)
         V  Broadcasting Board of Governors (Parts 500--599)
       VII  Overseas Private Investment Corporation (Parts 700--
                799)
        IX  Foreign Service Grievance Board (Parts 900--999)
         X  Inter-American Foundation (Parts 1000--1099)
        XI  International Boundary and Water Commission, United 
                States and Mexico, United States Section (Parts 
                1100--1199)
       XII  United States International Development Cooperation 
                Agency (Parts 1200--1299)
      XIII  Millennium Challenge Corporation (Parts 1300--1399)
       XIV  Foreign Service Labor Relations Board; Federal Labor 
                Relations Authority; General Counsel of the 
                Federal Labor Relations Authority; and the Foreign 
                Service Impasse Disputes Panel (Parts 1400--1499)
        XV  African Development Foundation (Parts 1500--1599)
       XVI  Japan-United States Friendship Commission (Parts 
                1600--1699)
      XVII  United States Institute of Peace (Parts 1700--1799)

                          Title 23--Highways

         I  Federal Highway Administration, Department of 
                Transportation (Parts 1--999)

[[Page 1018]]

        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]
       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)
        XV  Emergency Mortgage Insurance and Loan Programs, 
                Department of Housing and Urban Development (Parts 
                2700--2799) [Reserved]
        XX  Office of Assistant Secretary for Housing--Federal 
                Housing Commissioner, Department of Housing and 
                Urban Development (Parts 3200--3899)

[[Page 1019]]

      XXIV  Board of Directors of the HOPE for Homeowners Program 
                (Parts 4000--4099) [Reserved]
       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--899)
         V  Bureau of Indian Affairs, Department of the Interior, 
                and Indian Health Service, Department of Health 
                and Human Services (Part 900)
        VI  Office of the Assistant Secretary, Indian Affairs, 
                Department of the Interior (Parts 1000--1199)
       VII  Office of the Special Trustee for American Indians, 
                Department of the Interior (Parts 1200--1299)

                      Title 26--Internal Revenue

         I  Internal Revenue Service, Department of the Treasury 
                (Parts 1--End)

           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)

                   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)

[[Page 1020]]

                            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  Bureau of Safety and Environmental Enforcement, 
                Department of the Interior (Parts 200--299)
        IV  Geological Survey, Department of the Interior (Parts 
                400--499)
         V  Bureau of Ocean Energy Management, Department of the 
                Interior (Parts 500--599)
       VII  Office of Surface Mining Reclamation and Enforcement, 
                Department of the Interior (Parts 700--999)
       XII  Office of Natural Resources Revenue, Department of the 
                Interior (Parts 1200--1299)

                 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)

[[Page 1021]]

        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 Investment Security, Department of the 
                Treasury (Parts 800--899)
        IX  Federal Claims Collection Standards (Department of the 
                Treasury--Department of Justice) (Parts 900--999)
         X  Financial Crimes Enforcement Network, Department of 
                the Treasury (Parts 1000--1099)

                      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)
      XVII  Office of the Director of National Intelligence (Parts 
                1700--1799)
     XVIII  National Counterintelligence Center (Parts 1800--1899)
       XIX  Central Intelligence Agency (Parts 1900--1999)
        XX  Information Security Oversight Office, National 
                Archives and Records Administration (Parts 2000--
                2099)
       XXI  National Security Council (Parts 2100--2199)
      XXIV  Office of Science and Technology Policy (Parts 2400--
                2499)
     XXVII  Office for Micronesian Status Negotiations (Parts 
                2700--2799)
    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, Department 
                of Defense (Parts 200--399)
        IV  Saint Lawrence Seaway Development Corporation, 
                Department of Transportation (Parts 400--499)

                          Title 34--Education

            Subtitle A--Office of the Secretary, Department of 
                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)

[[Page 1022]]

        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 Career, Technical and Adult Education, 
                Department of Education (Parts 400--499)
         V  Office of Bilingual Education and Minority Languages 
                Affairs, Department of Education (Parts 500--599) 
                [Reserved]
        VI  Office of Postsecondary Education, Department of 
                Education (Parts 600--699)
       VII  Office of Educational Research and Improvement, 
                Department of Education (Parts 700--799) 
                [Reserved]
            Subtitle C--Regulations Relating to Education
        XI  [Reserved]
       XII  National Council on Disability (Parts 1200--1299)

                          Title 35 [Reserved]

             Title 36--Parks, Forests, and Public Property

         I  National Park Service, Department of the Interior 
                (Parts 1--199)
        II  Forest Service, Department of Agriculture (Parts 200--
                299)
       III  Corps of Engineers, Department of the Army (Parts 
                300--399)
        IV  American Battle Monuments Commission (Parts 400--499)
         V  Smithsonian Institution (Parts 500--599)
        VI  [Reserved]
       VII  Library of Congress (Parts 700--799)
      VIII  Advisory Council on Historic Preservation (Parts 800--
                899)
        IX  Pennsylvania Avenue Development Corporation (Parts 
                900--999)
         X  Presidio Trust (Parts 1000--1099)
        XI  Architectural and Transportation Barriers Compliance 
                Board (Parts 1100--1199)
       XII  National Archives and Records Administration (Parts 
                1200--1299)
        XV  Oklahoma City National Memorial Trust (Parts 1500--
                1599)
       XVI  Morris K. Udall Scholarship and Excellence in National 
                Environmental Policy Foundation (Parts 1600--1699)

             Title 37--Patents, Trademarks, and Copyrights

         I  United States Patent and Trademark Office, Department 
                of Commerce (Parts 1--199)
        II  U.S. Copyright Office, Library of Congress (Parts 
                200--299)
       III  Copyright Royalty Board, Library of Congress (Parts 
                300--399)
        IV  National Institute of Standards and Technology, 
                Department of Commerce (Parts 400--599)

[[Page 1023]]

           Title 38--Pensions, Bonuses, and Veterans' Relief

         I  Department of Veterans Affairs (Parts 0--199)
        II  Armed Forces Retirement Home (Parts 200--299)

                       Title 39--Postal Service

         I  United States Postal Service (Parts 1--999)
       III  Postal Regulatory Commission (Parts 3000--3099)

                  Title 40--Protection of Environment

         I  Environmental Protection Agency (Parts 1--1099)
        IV  Environmental Protection Agency and Department of 
                Justice (Parts 1400--1499)
         V  Council on Environmental Quality (Parts 1500--1599)
        VI  Chemical Safety and Hazard Investigation Board (Parts 
                1600--1699)
       VII  Environmental Protection Agency and Department of 
                Defense; Uniform National Discharge Standards for 
                Vessels of the Armed Forces (Parts 1700--1799)
      VIII  Gulf Coast Ecosystem Restoration Council (Parts 1800--
                1899)

          Title 41--Public Contracts and Property Management

            Subtitle A--Federal Procurement Regulations System 
                [Note]
            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)
   62--100  [Reserved]
            Subtitle C--Federal Property Management Regulations 
                System
       101  Federal Property Management Regulations (Parts 101-1--
                101-99)
       102  Federal Management Regulation (Parts 102-1--102-299)
  103--104  [Reserved]
       105  General Services Administration (Parts 105-1--105-999)
       109  Department of Energy Property Management Regulations 
                (Parts 109-1--109-99)
       114  Department of the Interior (Parts 114-1--114-99)
       115  Environmental Protection Agency (Parts 115-1--115-99)
       128  Department of Justice (Parts 128-1--128-99)
  129--200  [Reserved]
            Subtitle D--Other Provisions Relating to Property 
                Management [Reserved]

[[Page 1024]]

            Subtitle E--Federal Information Resources Management 
                Regulations System [Reserved]
            Subtitle F--Federal Travel Regulation System
       300  General (Parts 300-1--300-99)
       301  Temporary Duty (TDY) Travel Allowances (Parts 301-1--
                301-99)
       302  Relocation Allowances (Parts 302-1--302-99)
       303  Payment of Expenses Connected with the Death of 
                Certain Employees (Part 303-1--303-99)
       304  Payment of Travel Expenses from a Non-Federal Source 
                (Parts 304-1--304-99)

                        Title 42--Public Health

         I  Public Health Service, Department of Health and Human 
                Services (Parts 1--199)
   ii--III  [Reserved]
        IV  Centers for Medicare & Medicaid Services, Department 
                of Health and Human Services (Parts 400--699)
         V  Office of Inspector General-Health Care, Department of 
                Health and Human Services (Parts 1000--1099)

                   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 400--999)
        II  Bureau of Land Management, Department of the Interior 
                (Parts 1000--9999)
       III  Utah Reclamation Mitigation and Conservation 
                Commission (Parts 10000--10099)

             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
        II  Office of Family Assistance (Assistance Programs), 
                Administration for Children and Families, 
                Department of Health and Human Services (Parts 
                200--299)

[[Page 1025]]

       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)
        IX  Denali Commission (Parts 900--999)
         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  Administration for Children and Families, 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 of 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)
       III  National Telecommunications and Information 
                Administration, Department of Commerce (Parts 
                300--399)

[[Page 1026]]

        IV  National Telecommunications and Information 
                Administration, Department of Commerce, and 
                National Highway Traffic Safety Administration, 
                Department of Transportation (Parts 400--499)
         V  The First Responder Network Authority (Parts 500--599)

           Title 48--Federal Acquisition Regulations System

         1  Federal Acquisition Regulation (Parts 1--99)
         2  Defense Acquisition Regulations System, Department of 
                Defense (Parts 200--299)
         3  Health and Human Services (Parts 300--399)
         4  Department of Agriculture (Parts 400--499)
         5  General Services Administration (Parts 500--599)
         6  Department of State (Parts 600--699)
         7  Agency for International Development (Parts 700--799)
         8  Department of Veterans Affairs (Parts 800--899)
         9  Department of Energy (Parts 900--999)
        10  Department of the Treasury (Parts 1000--1099)
        12  Department of Transportation (Parts 1200--1299)
        13  Department of Commerce (Parts 1300--1399)
        14  Department of the Interior (Parts 1400--1499)
        15  Environmental Protection Agency (Parts 1500--1599)
        16  Office of Personnel Management, Federal Employees 
                Health Benefits Acquisition Regulation (Parts 
                1600--1699)
        17  Office of Personnel Management (Parts 1700--1799)
        18  National Aeronautics and Space Administration (Parts 
                1800--1899)
        19  Broadcasting Board of Governors (Parts 1900--1999)
        20  Nuclear Regulatory Commission (Parts 2000--2099)
        21  Office of Personnel Management, Federal Employees 
                Group Life Insurance Federal Acquisition 
                Regulation (Parts 2100--2199)
        23  Social Security Administration (Parts 2300--2399)
        24  Department of Housing and Urban Development (Parts 
                2400--2499)
        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)
        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) 
                [Reserved]

[[Page 1027]]

        54  Defense Logistics Agency, Department of Defense (Parts 
                5400--5499)
        57  African Development Foundation (Parts 5700--5799)
        61  Civilian Board of Contract Appeals, General Services 
                Administration (Parts 6100--6199)
        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  Pipeline and Hazardous Materials Safety 
                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 (Parts 1000--1399)
        XI  Research and Innovative Technology Administration, 
                Department of Transportation (Parts 1400--1499) 
                [Reserved]
       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)
         V  Marine Mammal Commission (Parts 500--599)

[[Page 1028]]

        VI  Fishery Conservation and Management, National Oceanic 
                and Atmospheric Administration, Department of 
                Commerce (Parts 600--699)

[[Page 1029]]





           Alphabetical List of Agencies Appearing in the CFR




                     (Revised as of October 1, 2017)

                                                  CFR Title, Subtitle or 
                     Agency                               Chapter

Administrative Committee of the Federal Register  1, I
Administrative Conference of the United States    1, III
Advisory Council on Historic Preservation         36, VIII
Advocacy and Outreach, Office of                  7, XXV
Afghanistan Reconstruction, Special Inspector     5, LXXXIII
     General for
African Development Foundation                    22, XV
  Federal Acquisition Regulation                  48, 57
Agency for International Development              2, VII; 22, II
  Federal Acquisition Regulation                  48, 7
Agricultural Marketing Service                    7, I, IX, X, XI
Agricultural Research Service                     7, V
Agriculture Department                            2, IV; 5, LXXIII
  Advocacy and Outreach, Office of                7, XXV
  Agricultural Marketing Service                  7, I, IX, X, XI
  Agricultural Research Service                   7, V
  Animal and Plant Health Inspection Service      7, III; 9, I
  Chief Financial Officer, Office of              7, XXX
  Commodity Credit Corporation                    7, XIV
  Economic Research Service                       7, XXXVII
  Energy Policy and New Uses, Office of           2, IX; 7, XXIX
  Environmental Quality, Office of                7, XXXI
  Farm Service Agency                             7, VII, XVIII
  Federal Acquisition Regulation                  48, 4
  Federal Crop Insurance Corporation              7, IV
  Food and Nutrition Service                      7, II
  Food Safety and Inspection Service              9, III
  Foreign Agricultural Service                    7, XV
  Forest Service                                  36, II
  Grain Inspection, Packers and Stockyards        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
  National Institute of Food and Agriculture      7, XXXIV
  Natural Resources Conservation Service          7, VI
  Operations, Office of                           7, XXVIII
  Procurement and Property Management, Office of  7, XXXII
  Rural Business-Cooperative Service              7, XVIII, XLII
  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

[[Page 1030]]

Animal and Plant Health Inspection Service        7, III; 9, I
Appalachian Regional Commission                   5, IX
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
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
Career, Technical and Adult Education, Office of  34, IV
Census Bureau                                     15, I
Centers for Medicare & Medicaid Services          42, IV
Central Intelligence Agency                       32, XIX
Chemical Safety and Hazardous Investigation       40, VI
     Board
Chief Financial Officer, Office of                7, XXX
Child Support Enforcement, Office of              45, III
Children and Families, Administration for         45, II, III, IV, X, XIII
Civil Rights, Commission on                       5, LXVIII; 45, VII
Civil Rights, Office for                          34, I
Council of the Inspectors General on Integrity    5, XCVIII
     and Efficiency
Court Services and Offender Supervision Agency    5, LXX
     for the District of Columbia
Coast Guard                                       33, I; 46, I; 49, IV
Coast Guard (Great Lakes Pilotage)                46, III
Commerce Department                               2, XIII; 44, IV; 50, VI
  Census Bureau                                   15, I
  Economic Analysis, Bureau of                    15, VIII
  Economic Development Administration             13, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 13
  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; 37, IV
  National Marine Fisheries Service               50, II, IV
  National Oceanic and Atmospheric                15, IX; 50, II, III, IV, 
       Administration                             VI
  National Technical Information Service          15, XI
  National Telecommunications and Information     15, XXIII; 47, III, IV
       Administration
  National Weather Service                        15, IX
  Patent and Trademark Office, United States      37, I
  Secretary of Commerce, Office of                15, Subtitle A
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 Financial Protection Bureau              5, LXXXIV; 12, X
Consumer Product Safety Commission                5, LXXI; 16, II
Copyright Royalty Board                           37, III
Corporation for National and Community Service    2, XXII; 45, XII, XXV
Cost Accounting Standards Board                   48, 99
Council on Environmental Quality                  40, V
Court Services and Offender Supervision Agency    5, LXX; 28, VIII
     for the District of Columbia
Customs and Border Protection                     19, I
Defense Contract Audit Agency                     32, I
Defense Department                                2, XI; 5, XXVI; 32, 
                                                  Subtitle A; 40, VII
  Advanced Research Projects Agency               32, I

[[Page 1031]]

  Air Force Department                            32, VII
  Army Department                                 32, V; 33, II; 36, III; 
                                                  48, 51
  Defense Acquisition Regulations System          48, 2
  Defense Intelligence Agency                     32, I
  Defense Logistics Agency                        32, I, XII; 48, 54
  Engineers, Corps of                             33, II; 36, III
  National Imagery and Mapping Agency             32, I
  Navy Department                                 32, VI; 48, 52
  Secretary of Defense, Office of                 2, XI; 32, I
Defense Contract Audit Agency                     32, I
Defense Intelligence Agency                       32, I
Defense Logistics Agency                          32, XII; 48, 54
Defense Nuclear Facilities Safety Board           10, XVII
Delaware River Basin Commission                   18, III
Denali Commission                                 45, IX
District of Columbia, Court Services and          5, LXX; 28, VIII
     Offender Supervision Agency for the
Drug Enforcement Administration                   21, II
East-West Foreign Trade Board                     15, XIII
Economic Analysis, Bureau of                      15, VIII
Economic Development Administration               13, III
Economic Research Service                         7, XXXVII
Education, Department of                          2, XXXIV; 5, LIII
  Bilingual Education and Minority Languages      34, V
       Affairs, Office of
  Career, Technical and Adult Education, Office   34, IV
       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
  Career, Technical, and Adult Education, Office  34, IV
       of
Educational Research and Improvement, Office of   34, VII
Election Assistance Commission                    2, LVIII; 11, II
Elementary and Secondary Education, Office of     34, II
Emergency Oil and Gas Guaranteed Loan Board       13, V
Emergency Steel Guarantee Loan Board              13, IV
Employee Benefits Security Administration         29, XXV
Employees' Compensation Appeals Board             20, IV
Employees Loyalty Board                           5, V
Employment and Training Administration            20, V
Employment Standards Administration               20, VI
Endangered Species Committee                      50, IV
Energy, Department of                             2, IX; 5, XXIII; 10, II, 
                                                  III, X
  Federal Acquisition Regulation                  48, 9
  Federal Energy Regulatory Commission            5, XXIV; 18, I
  Property Management Regulations                 41, 109
Energy, Office of                                 7, XXIX
Engineers, Corps of                               33, II; 36, III
Engraving and Printing, Bureau of                 31, VI
Environmental Protection Agency                   2, XV; 5, LIV; 40, I, IV, 
                                                  VII
  Federal Acquisition Regulation                  48, 15
  Property Management Regulations                 41, 115
Environmental Quality, Office of                  7, XXXI
Equal Employment Opportunity Commission           5, LXII; 29, XIV
Equal Opportunity, Office of Assistant Secretary  24, I
     for
Executive Office of the President                 3, I
  Environmental Quality, Council on               40, V
  Management and Budget, Office of                2, Subtitle A; 5, III, 
                                                  LXXVII; 14, VI; 48, 99
  National Drug Control Policy, Office of         2, XXXVI; 21, III
  National Security Council                       32, XXI; 47, 2

[[Page 1032]]

  Presidential Documents                          3
  Science and Technology Policy, Office of        32, XXIV; 47, II
  Trade Representative, Office of the United      15, XX
       States
Export-Import Bank of the United States           2, XXXV; 5, LII; 12, IV
Family Assistance, Office of                      45, II
Farm Credit Administration                        5, XXXI; 12, VI
Farm Credit System Insurance Corporation          5, XXX; 12, XIV
Farm Service Agency                               7, VII, XVIII
Federal Acquisition Regulation                    48, 1
Federal Aviation Administration                   14, I
  Commercial Space Transportation                 14, III
Federal Claims Collection Standards               31, IX
Federal Communications Commission                 5, XXIX; 47, I
Federal Contract Compliance Programs, Office of   41, 60
Federal Crop Insurance Corporation                7, IV
Federal Deposit Insurance Corporation             5, XXII; 12, III
Federal Election Commission                       5, XXXVII; 11, I
Federal Emergency Management Agency               44, I
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 Agency                    5, LXXX; 12, XII
Federal Housing Finance Board                     12, IX
Federal Labor Relations Authority                 5, XIV, XLIX; 22, XIV
Federal Law Enforcement Training Center           31, VII
Federal Management Regulation                     41, 102
Federal Maritime Commission                       46, IV
Federal Mediation and Conciliation Service        29, XII
Federal Mine Safety and Health Review Commission  5, LXXIV; 29, XXVII
Federal Motor Carrier Safety Administration       49, III
Federal Prison Industries, Inc.                   28, III
Federal Procurement Policy Office                 48, 99
Federal Property Management Regulations           41, 101
Federal Railroad Administration                   49, II
Federal Register, Administrative Committee of     1, I
Federal Register, Office of                       1, II
Federal Reserve System                            12, II
  Board of Governors                              5, LVIII
Federal Retirement Thrift Investment Board        5, VI, LXXVI
Federal Service Impasses Panel                    5, XIV
Federal Trade Commission                          5, XLVII; 16, I
Federal Transit Administration                    49, VI
Federal Travel Regulation System                  41, Subtitle F
Financial Crimes Enforcement Network              31, X
Financial Research Office                         12, XVI
Financial Stability Oversight Council             12, XIII
Fine Arts, Commission of                          45, XXI
Fiscal Service                                    31, II
Fish and Wildlife Service, United States          50, I, IV
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 Services Administration                   5, LVII; 41, 105

[[Page 1033]]

  Contract Appeals, Board of                      48, 61
  Federal Acquisition Regulation                  48, 5
  Federal Management Regulation                   41, 102
  Federal Property Management Regulations         41, 101
  Federal Travel Regulation System                41, Subtitle F
  General                                         41, 300
  Payment From a Non-Federal Source for Travel    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 Accountability Office                  4, I
Government Ethics, Office of                      5, XVI
Government National Mortgage Association          24, III
Grain Inspection, Packers and Stockyards          7, VIII; 9, II
     Administration
Gulf Coast Ecosystem Restoration Council          2, LIX; 40, VIII
Harry S. Truman Scholarship Foundation            45, XVIII
Health and Human Services, Department of          2, III; 5, XLV; 45, 
                                                  Subtitle A
  Centers for Medicare & Medicaid Services        42, IV
  Child Support Enforcement, Office of            45, III
  Children and Families, Administration for       45, II, III, IV, X, XIII
  Community Services, Office of                   45, X
  Family Assistance, Office of                    45, II
  Federal Acquisition Regulation                  48, 3
  Food and Drug Administration                    21, I
  Indian Health Service                           25, V
  Inspector General (Health Care), Office of      42, V
  Public Health Service                           42, I
  Refugee Resettlement, Office of                 45, IV
Homeland Security, Department of                  2, XXX; 5, XXXVI; 6, I; 8, 
                                                  I
  Coast Guard                                     33, I; 46, I; 49, IV
  Coast Guard (Great Lakes Pilotage)              46, III
  Customs and Border Protection                   19, I
  Federal Emergency Management Agency             44, I
  Human Resources Management and Labor Relations  5, XCVII
       Systems
  Immigration and Customs Enforcement Bureau      19, IV
  Transportation Security Administration          49, XII
HOPE for Homeowners Program, Board of Directors   24, XXIV
     of
Housing and Urban Development, Department of      2, XXIV; 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
Immigration and Customs Enforcement Bureau        19, IV
Immigration Review, Executive Office for          8, V
Independent Counsel, Office of                    28, VII
Independent Counsel, Offices of                   28, VI
Indian Affairs, Bureau of                         25, I, V
Indian Affairs, Office of the Assistant           25, VI
   Secretary
[[Page 1034]]

Indian Arts and Crafts Board                      25, II
Indian Health Service                             25, V
Industry and Security, Bureau of                  15, VII
Information Resources Management, Office of       7, XXVII
Information Security Oversight Office, National   32, XX
     Archives and Records Administration
Inspector General
  Agriculture Department                          7, XXVI
  Health and Human Services Department            42, V
  Housing and Urban Development Department        24, XII, XV
Institute of Peace, United States                 22, XVII
Inter-American Foundation                         5, LXIII; 22, X
Interior Department                               2, XIV
  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
  National Indian Gaming Commission               25, III
  National Park Service                           36, I
  Natural Resource Revenue, Office of             30, XII
  Ocean Energy Management, Bureau of              30, V
  Reclamation, Bureau of                          43, I
  Safety and Enforcement Bureau, Bureau of        30, II
  Secretary of the Interior, Office of            2, XIV; 43, Subtitle A
  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 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
Investment Security, Office of                    31, VIII
James Madison Memorial Fellowship Foundation      45, XXIV
Japan-United States Friendship Commission         22, XVI
Joint Board for the Enrollment of Actuaries       20, VIII
Justice Department                                2, XXVIII; 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
  Independent Counsel, Offices of                 28, VI
  Prisons, Bureau of                              28, V
  Property Management Regulations                 41, 128
Labor Department                                  2, XXIX; 5, XLII
  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
[[Page 1035]]

  Federal Procurement Regulations System          41, 50
  Labor-Management Standards, Office of           29, II, IV
  Mine Safety and Health Administration           30, I
  Occupational Safety and Health Administration   29, XVII
  Public Contracts                                41, 50
  Secretary of Labor, Office of                   29, Subtitle A
  Veterans' Employment and Training Service,      41, 61; 20, IX
       Office of the Assistant Secretary for
  Wage and Hour Division                          29, V
  Workers' Compensation Programs, Office of       20, I, VII
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 Royalty Board                         37, III
  U.S. 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, LXIV
Micronesian Status Negotiations, Office for       32, XXVII
Military Compensation and Retirement              5, XCIX
     Modernization Commission
Millennium Challenge Corporation                  22, XIII
Mine Safety and Health Administration             30, I
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
Museum and Library Services, Institute of         2, XXXI
National Aeronautics and Space Administration     2, XVIII; 5, LIX; 14, V
  Federal Acquisition Regulation                  48, 18
National Agricultural Library                     7, XLI
National Agricultural Statistics Service          7, XXXVI
National and Community Service, Corporation for   2, XXII; 45, XII, XXV
National Archives and Records Administration      2, XXVI; 5, LXVI; 36, XII
  Information Security Oversight Office           32, XX
National Capital Planning Commission              1, IV, VI
National Commission for Employment Policy         1, IV
National Commission on Libraries and Information  45, XVII
     Science
National Council on Disability                    5, C; 34, XII
National Counterintelligence Center               32, XVIII
National Credit Union Administration              5, LXXXVI; 12, VII
National Crime Prevention and Privacy Compact     28, IX
     Council
National Drug Control Policy, Office of           2, XXXVI; 21, III
National Endowment for the Arts                   2, XXXII
National Endowment for the Humanities             2, XXXIII
National Foundation on the Arts and the           45, XI
     Humanities
National Geospatial-Intelligence Agency           32, I
National Highway Traffic Safety Administration    23, II, III; 47, VI; 49, V
National Imagery and Mapping Agency               32, I
National Indian Gaming Commission                 25, III
National Institute of Food and Agriculture        7, XXXIV
National Institute of Standards and Technology    15, II; 37, IV
National Intelligence, Office of Director of      5, IV; 32, XVII
National Labor Relations Board                    5, LXI; 29, I
National Marine Fisheries Service                 50, II, IV
National Mediation Board                          29, X
National Oceanic and Atmospheric Administration   15, IX; 50, II, III, IV, 
                                                  VI
National Park Service                             36, I
National Railroad Adjustment Board                29, III
National Railroad Passenger Corporation (AMTRAK)  49, VII
National Science Foundation                       2, XXV; 5, XLIII; 45, VI

[[Page 1036]]

  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, IV, V
     Administration
National Transportation Safety Board              49, VIII
Natural Resources Conservation Service            7, VI
Natural Resource Revenue, Office of               30, XII
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
Nuclear Regulatory Commission                     2, XX; 5, XLVIII; 10, I
  Federal Acquisition Regulation                  48, 20
Occupational Safety and Health Administration     29, XVII
Occupational Safety and Health Review Commission  29, XX
Ocean Energy Management, Bureau of                30, V
Oklahoma City National Memorial Trust             36, XV
Operations Office                                 7, XXVIII
Overseas Private Investment Corporation           5, XXXIII; 22, VII
Patent and Trademark Office, United States        37, I
Payment From a Non-Federal Source for Travel      41, 304
     Expenses
Payment of Expenses Connected With the Death of   41, 303
     Certain Employees
Peace Corps                                       2, XXXVII; 22, III
Pennsylvania Avenue Development Corporation       36, IX
Pension Benefit Guaranty Corporation              29, XL
Personnel Management, Office of                   5, I, XXXV; 5, IV; 45, 
                                                  VIII
  Human Resources Management and Labor Relations  5, XCVII
       Systems, Department of Homeland Security
  Federal Acquisition Regulation                  48, 17
  Federal Employees Group Life Insurance Federal  48, 21
       Acquisition Regulation
  Federal Employees Health Benefits Acquisition   48, 16
       Regulation
Pipeline and Hazardous Materials Safety           49, I
     Administration
Postal Regulatory Commission                      5, XLVI; 39, III
Postal Service, United States                     5, LX; 39, I
Postsecondary Education, Office of                34, VI
President's Commission on White House             1, IV
     Fellowships
Presidential Documents                            3
Presidio Trust                                    36, X
Prisons, Bureau of                                28, V
Privacy and Civil Liberties Oversight Board       6, X
Procurement and Property Management, Office of    7, XXXII
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
Relocation Allowances                             41, 302
Research and Innovative Technology                49, XI
     Administration
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
Safety and Environmental Enforcement, Bureau of   30, II
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

[[Page 1037]]

Securities and Exchange Commission                5, XXXIV; 17, II
Selective Service System                          32, XVI
Small Business Administration                     2, XXVII; 13, I
Smithsonian Institution                           36, V
Social Security Administration                    2, XXIII; 20, III; 48, 23
Soldiers' and Airmen's Home, United States        5, XI
Special Counsel, Office of                        5, VIII
Special Education and Rehabilitative Services,    34, III
     Office of
State Department                                  2, VI; 22, I; 28, XI
  Federal Acquisition Regulation                  48, 6
Surface Mining Reclamation and Enforcement,       30, VII
     Office of
Surface Transportation Board                      49, X
Susquehanna River Basin Commission                18, VIII
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                     2, XII; 5, L
  Commercial Space Transportation                 14, III
  Emergency Management and Assistance             44, IV
  Federal Acquisition Regulation                  48, 12
  Federal Aviation Administration                 14, I
  Federal Highway Administration                  23, I, II
  Federal Motor Carrier Safety Administration     49, III
  Federal Railroad Administration                 49, II
  Federal Transit Administration                  49, VI
  Maritime Administration                         46, II
  National Highway Traffic Safety Administration  23, II, III; 47, IV; 49, V
  Pipeline and Hazardous Materials Safety         49, I
       Administration
  Saint Lawrence Seaway Development Corporation   33, IV
  Secretary of Transportation, Office of          14, II; 49, Subtitle A
  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                               2, X;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                   19, I
  Engraving and Printing, Bureau of               31, VI
  Federal Acquisition Regulation                  48, 10
  Federal Claims Collection Standards             31, IX
  Federal Law Enforcement Training Center         31, VII
  Financial Crimes Enforcement Network            31, X
  Fiscal Service                                  31, II
  Foreign Assets Control, Office of               31, V
  Internal Revenue Service                        26, I
  Investment Security, Office of                  31, VIII
  Monetary Offices                                31, I
  Secret Service                                  31, IV
  Secretary of the Treasury, Office of            31, Subtitle A
  Thrift Supervision, Office of                   12, V
Truman, Harry S. Scholarship Foundation           45, XVIII
United States and Canada, International Joint     22, IV
     Commission
United States and Mexico, International Boundary  22, XI
     and Water Commission, United States Section
U.S. Copyright Office                             37, II
Utah Reclamation Mitigation and Conservation      43, III
     Commission
Veterans Affairs Department                       2, VIII; 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
Wage and Hour Division                            29, V
Water Resources Council                           18, VI

[[Page 1038]]

Workers' Compensation Programs, Office of         20, I, VII
World Agricultural Outlook Board                  7, XXXVIII

[[Page 1039]]



List of CFR Sections Affected



All changes in this volume of the Code of Federal Regulations (CFR) that 
were made by documents published in the Federal Register since January 
1, 2012 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, parts and 
subparts as well as sections for revisions.
For changes to this volume of the CFR prior to this listing, consult the 
annual edition of the monthly List of CFR Sections Affected (LSA). The 
LSA is available at www.fdsys.gov. For changes to this volume of the CFR 
prior to 2001, see the ``List of CFR Sections Affected, 1949-1963, 1964-
1972, 1973-1985, and 1986-2000'' published in 11 separate volumes. The 
``List of CFR Sections Affected 1986-2000'' is available at 
www.fdsys.gov.

                                  2012

47 CFR
                                                                   77 FR
                                                                    Page
Chapter I
0 Policy statement.................................................60934
    Actions on petitions.....................................3635, 23630
0.181 (k) removed..................................................62462
0.231 (l) added....................................................71712
0.408 Revised......................................................48090
1 Actions on petitions.......................................3635, 23630
    Authority citation revised.....................................71137
    Policy statement........................................50628, 57035
1.61 (a)(2) revised (OMB number pending)............................3952
    Regulation at 77 FR 3952 confirmed.............................36177
1.80 (b)(5) and (6) redesignated as (b)(7) and (8); (a)(6), new 
        (b)(5) and (6) added (OMB number pending)..................71137
1.221 Regulation at 76 FR 60672 confirmed...........................6480
1.229 Regulation at 76 FR 60672 confirmed...........................6480
1.248 Regulation at 76 FR 60672 confirmed...........................6480
1.774 (f)(1) removed; eff. 10-18-12................................57523
1.923 (d) and (e) revised (OMB number pending)......................3952
    Regulation at 77 FR 3952 confirmed.............................36177
1.929 (a)(4) revised (OMB number pending)...........................3952
    Regulation at 77 FR 3952 confirmed.............................36177
1.934 (g) added (OMB number pending)................................3952
    Regulation at 77 FR 3952 confirmed.............................36177
1.1152 Revised.....................................................46334
1.1153 Revised.....................................................46335
1.1154 Revised.....................................................46336
1.1155 Revised.....................................................46337
1.1156 Revised.....................................................46337
1.1306 (b) Note 2 revised (OMB number pending)......................3952
    Regulation at 77 FR 3952 confirmed.............................36177
1.1307 (d) note added (OMB number pending)..........................3952
    Regulation at 77 FR 3952 confirmed.............................36177
1.1801--1.1870 (Subpart N) Removed..................................4912
1.2110 (b)(3)(iv)(A) removed; (b)(3)(iv)(B) and (C) redesignated 
        as new (b)(3)(iv)(A) and (B); new (b)(3)(iv)(B) and (j) 
        revised....................................................16470
1.2111 (d)(2)(i) removed; (d)(2)(ii) and (iii) redesignated as new 
        (d)(2)(i) and (ii) and revised.............................16471
1.2112 (b)(1)(iii) and (2)(iii) revised............................16471
1.21001 Regulation at 76 FR 73851 confirmed in part................33097
1.21002 Regulation at 76 FR 73851 confirmed in part................33097

[[Page 1040]]

1.21004 Regulation at 76 FR 73851 confirmed in part................33097
2.106 Table amended....................................4264, 5410, 76236
    Table amended; eff. 10-11-12...................................55729
2.925 (a)(1) revised...............................................43536
2.926 (c) introductory text revised................................43536
2.1033 (d) revised.................................................41928
4.3 (f) revised; (h) redesignated as (i); new (h) added (OMB 
        number pending)............................................25097
    Regulation at 77 FR 25097 confirmed............................63757
4.7 (e)(1) and (2) revised (OMB number pending)....................25097
    Regulation at 77 FR 25097 confirmed............................63757
4.9 (g) added (OMB number pending).................................25097
    Regulation at 77 FR 25097 confirmed............................63757
10.350 Regulation at 73 FR 47558 confirmed in part.................41331
11.2 Revised.......................................................16698
11.11 (a) and (d) revised..........................................16699
11.12 Removed......................................................16700
11.13 Removed......................................................16700
11.14 Removed......................................................16700
11.18 (f) removed..................................................16700
11.19 Removed......................................................16700
11.21 (a) revised (OMB number pending).............................16700
    Regulation at 77 FR 16700 confirmed............................33661
11.31 (c), (e) and (f) revised.....................................16701
11.32 (a)(2), (3) and (9)(iv) revised..............................16703
11.33 (a) introductory text, (1), (4), (7) and (11) revised; (b) 
        removed; (c) redesignated as new (b); (OMB number pending 
        in part)...................................................16703
    Regulation at 77 FR 16703 confirmed in part....................33661
11.34 (d) revised..................................................16703
11.35 (a) and (b) revised..........................................16704
11.41 Revised (OMB number pending in part).........................16704
    Regulation at 77 FR 16704 confirmed in part....................33661
11.42 Removed (OMB number pending).................................16704
    Regulation at 77 FR 16704 confirmed............................33661
11.44 Removed......................................................16704
11.51 (a), (c), (d), (g)(3), (h)(3), (i) introductory text, (j) 
        introductory text, (2) and (m) introductory text revised; 
        (p) added..................................................16704
11.52 (a) introductory text, (d), (e) introductory text and (2) 
        revised....................................................16705
11.53 Removed......................................................16705
11.54 Revised (OMB number pending in part).........................16705
    Regulation at 77 FR 16705 confirmed in part....................33661
11.55 (a) introductory text, (c) introductory text, (c)(3), (4), 
        (7) and (8) revised; (d) added (OMB number pending)........16706
    Regulation at 77 FR 16706 confirmed............................33661
11.56 Revised......................................................16706
    (a)(2) revised.................................................26703
11.61 (a) introductory text, (1)(i), (2)(ii) and (b) revised.......16707
12.2 Removed.......................................................28798
14.5 Regulation at 76 FR 82389 confirmed...........................24632
14.20 Regulation at 76 FR 82389 confirmed..........................24632
14.31 Regulation at 76 FR 82389 confirmed..........................24632
14.32 Regulation at 76 FR 82389 confirmed..........................24632
14.34 Regulation at 76 FR 82389 confirmed..........................24632
14.35 Regulation at 76 FR 82389 confirmed..........................24632
14.36 Reulation at 76 FR 82389 confirmed...........................24632
14.37 Regulation at 76 FR 82389 confirmed..........................24632
14.38 Regulation at 76 FR 82389 confirmed..........................24632
14.39 Regulation at 76 FR 82389 confirmed..........................24632
14.40 Regulation at 76 FR 82389 confirmed..........................24632
14.41 Regulation at 76 FR 82389 confirmed..........................24632
14.42 Regulation at 76 FR 82389 confirmed..........................24632
14.43 Regulation at 76 FR 82389 confirmed..........................24632
14.44 Regulation at 76 FR 82389 confirmed..........................24632
14.45 Regulation at 76 FR 82389 confirmed..........................24632

[[Page 1041]]

14.46 Regulation at 76 FR 82389 confirmed..........................24632
14.47 Regulation at 76 FR 82389 confirmed..........................24632
14.48 Regulation at 76 FR 82389 confirmed..........................24632
14.49 Regulation at 76 FR 82389 confirmed..........................24632
14.50 Regulation at 76 FR 82389 confirmed..........................24632
14.51 Regulation at 76 FR 82389 confirmed..........................24632
14.52 Regulation at 76 FR 82389 confirmed..........................24632
15.31 (l) note removed..............................................4913
    (a)(2) revised.................................................43013
15.35 (b) revised..................................................48102
15.37 Revised.......................................................4913
15.38 (b)(10) removed..............................................19515
    Revised........................................................43013
15.115 (c)(1)(i), (h) and (i) revised...............................4913
15.117 (i) and (j) revised..........................................4913
15.118 (d) note removed.............................................4913
15.119 Redesignated as 79.101......................................19515
15.120 (b) and (d)(2) revised.......................................4913
15.122 Redesignated as 79.102......................................19515
15.123 (b)(6) revised...............................................4914
15.124 Removed......................................................4914
15.242 (e) revised.................................................76248
15.249 (f) removed..................................................4914
15.253 Revised.....................................................48102
15.303 (b), (e) and (i) removed; other paragraph designations 
        removed....................................................43013
15.307 (a) and (c) through (h) removed; (b) designation removed....43013
15.311 Removed.....................................................43013
15.319 (b) revised.................................................43013
15.323 Heading, (a), (c)(5), (d) and (e) revised...................43013
15.709 (a)(5), (b)(2), (c)(1) and (2) revised......................29245
15.711 (b)(3)(iv) revised..........................................29245
15.712 (a)(2) and (h) revised; (a)(3) added........................29246
    (h)(1), (2) and (3) correctly revised..........................33098
15.713 (b)(1)(ix), (x) and (xi) added; (b)(2)(ii), (iii) and (iv) 
        removed; (b)(2)(v) and (vi) redesignated as new (b)(2)(ii) 
        and (iii); (e)(6) revised..................................29247
15.715 (c) revised; (m) added......................................29247
17.4 (c) revised (OMB number pending)...............................3953
    Regulation at 77 FR 3953 confirmed.............................36177
18.123 Removed......................................................4914

                                  2013

47 CFR
                                                                   78 FR
                                                                    Page
Chapter I
0.91 (f) revised...................................................49148
0.111 (e) revised..................................................23151
0.131 (j) revised; (r)(1) and (2) added............................23151
    (j) correctly revised; (s) correctly added.....................32165
0.314 (b) removed; (c) through (j) redesignated as (b) through (i)
                                                                   23151
0.406 (b)(4) revised...............................................25160
0.457 (d)(1)(v) revised............................................11111
    (d)(1)(viii) added.............................................49148
0.483 (b) revised..................................................23151
0.489 Removed......................................................23151
1 Authority citation correctly revised.............................10100
    Technical correction...........................................18527
    Actions on petitions...........................................19424
    Authority citation revised.......................15622, 41321, 50254
    Order..........................................................42699
1.77 (d) revised...................................................25160
1.80 (b)(7) redesignated as (b)(9).................................10100
    Regulation at 77 FR 71137 confirmed............................18247
    Regulation at 78 FR 10100 confirmed............................18246
    (b)(5) note redesignated as (b)(8) note; (b)(1) through (4), 
(7), (b)(8) note introductory text and (b)(9)(iii) table revised; 
(b)(8) note and (b)(9)(i) amended; (b)(9) note added...............49371
1.85 Revised.......................................................23151
1.229 (b)(2) correctly revised; (b)(3) correctly added..............5745
1.767 (l)(2) revised (OMB number pending)..........................15623
1.907 Amended......................................................41321
1.913 (d)(1)(vi) revised (OMB number pending)......................23152
    (a)(1) revised.................................................25160
1.949 (c) added (OMB number pending)................................8265

[[Page 1042]]

    Regulation at 78 FR 8265 eff. date confirmed...................48621
1.981 Revised......................................................25160
1.990 Undesignated center heading and section added................41321
    Undesignated center heading corrected..........................44028
1.991 Added........................................................41321
1.992 Added........................................................41321
1.993 Added........................................................41321
1.994 Added........................................................41321
    (d) corrected..................................................44029
1.1152 Revised.....................................................52453
1.1153 Revised.....................................................52455
1.1154 Revised.....................................................52456
1.1155 Revised.....................................................52456
1.1156 Revised.....................................................52456
1.1206 (a)(12) removed.............................................11112
1.1307 Table 1 and (b)(2) amended (OMB number pending in part).....21558
    Amended........................................................25160
    Regulation at 78 FR 21558 eff. date confirmed..................55648
    (b)(2) revised; (b)(4) and (5) removed.........................33649
1.1310 Revised.....................................................33650
1.1403 Regulation at 63 FR 12025 confirmed.........................52868
1.1404 Regulation at 65 FR 31282 confirmed in part.................52710
    Regulation at 63 FR 12025 confirmed............................52868
1.1417 Regulation at 63 FR 12026 confirmed.........................15615
1.2105 (a)(2)(xii) added (OMB number pending)......................50254
    Regulation at 78 FR 50254 confirmed............................66287
1.7001 (d) revised.................................................45470
    (a)(2) removed; (a)(3) and (4) redesignated as (a)(2) and (3); 
new (a)(2), (b), (c) and (d) revised (OMB numbers pending).........49148
1.7002 Revised (OMB numbers pending)...............................49148
1.30000--1.30004 (Subpart B) Correctly added.......................70499
1.30000 Added......................................................66295
1.30001 Added......................................................66295
1.30002 Added......................................................66295
1.30003 Added......................................................66295
1.30004 Added......................................................66295
2.1 Amended........................................................25161
2.102 (b)(2) removed...............................................25161
2.106 Table amended..........................................8265, 14921
2.803 Revised (OMB number pending in part).........................25161
2.805 Added........................................................25162
2.811 Revised......................................................25162
2.1033 (b)(11) revised; eff. 10-30-13..............................59850
2.1091 (c) amended.................................................21559
    (c) correctly amended..........................................29062
    (c) and (d)(3) revised.........................................33651
2.1093 (c) amended.................................................21559
    (c) and (d)(1), (2) and (3) revised............................33652
2.1204 (a)(3) revised..............................................25162
4 Technical correction..............................................6216
5 Revised..........................................................25162
5.59 OMB number pending............................................25162
5.61 OMB number pending............................................25162
5.63 OMB number pending............................................25162
5.64 OMB number pending............................................25162
5.65 OMB number pending............................................25162
5.73 OMB number pending............................................25162
5.79 OMB number pending............................................25162
5.81 OMB number pending............................................25162
5.107 OMB number pending...........................................25162
5.115 OMB number pending...........................................25162
5.121 OMB number pending...........................................25162
5.123 OMB number pending...........................................25162
5.205 OMB number pending...........................................25162
5.207 OMB number pending...........................................25162
5.217 OMB number pending in part...................................25162
5.307 OMB number pending...........................................25162
5.308 OMB number pending...........................................25162
5.309 OMB number pending...........................................25162
5.311 OMB number pending...........................................25162
5.404 OMB number pending...........................................25162
5.405 OMB number pending...........................................25162
5.406 OMB number pending...........................................25162
5.504 OMB number pending...........................................25162
5.602 OMB number pending...........................................25162
5.79 Revised (OMB number pending)..................................36679
10 Heading revised.................................................16807
10.2 Revised.......................................................16807
10.10 (b), (c), (h), (i) and (j) revised...........................16807
10.11 Revised......................................................16807
10.210--10.280 (Subpart B) Heading revised.........................16807
10.210 Section heading, (a) introductory text, (2) and (b) revised
                                                                   16807
10.220 Revised.....................................................16807
10.230 Revised.....................................................16807
10.240 Heading and (a) revised.....................................16807
10.250 Heading, (a) and (b) revised................................16807

[[Page 1043]]

10.260 Revised.....................................................16807
10.270 Revised.....................................................16807
10.280 Heading revised.............................................16808
10.320 (c) and (f)(1) revised......................................16808
10.340 Revised.....................................................16808
10.350 Heading, introductory text, (a) introductory text, (2), (4) 
        and (5) revised............................................16808
10.420 Revised.....................................................16808
10.430 Revised.....................................................16808
10.440 Revised.....................................................16808
10.470 Revised.....................................................16808
10.500 Introductory text revised...................................16808
13.5 Revised.......................................................23152
13.7 (b) introductory text, (1), (2), (3) and (c) revised; (b)(4) 
        through (11) redesignated as (b)(5) through (12); new 
        (b)(4) added...............................................23152
13.8 (a), (b), (d), (e) and (f) revised; (g) added.................23152
13.9 (b), (c), (d)(1), (2) and (f)(4) revised; (d)(3) added (OMB 
        number pending in part)....................................23152
    Regulation at 78 FR 23152 eff. date confirmed..................37474
13.10 Revised......................................................23153
13.11 (a) revised..................................................23153
13.13 Revised (OMB number pending in part).........................23153
    Regulation at 78 FR 23153 eff. date confirmed..................37474
13.15 Revised......................................................23153
13.17 (d) removed; (e) redesignated as new (d); (a), (b) and (c) 
        revised....................................................23154
    Regulation at 78 FR 23154 eff. date confirmed in part..........37474
13.19 (b)(3) revised...............................................23154
13.201 (b)(1) and (3) removed; (b)(2) and (4) through (9) 
        redesignated as new (b)(1) and (2) through (7); new (b)(1) 
        revised....................................................23154
13.203 (a)(1) and (2) revised; (a)(3), (b)(3) and (4) removed; 
        (a)(4) through (8) redesignated as (a)(3) through (7)......23154
13.209 (d) and (g) revised; (e) removed; (f) through (j) 
        redesignated as (e) through (i)............................23154
13.211 (e) revised.................................................23154
    Regulation at 78 FR 23154 eff. date confirmed..................37474
13.217 Revised.....................................................23154
    Regulation at 78 FR 23154 eff. date confirmed..................37474
14 Authority citation revised; eff. 10-8-13........................30230
14.60--14.61 (Subpart E) added; eff. 10-8-13.......................30230
15 Policy statement................................................32165
15.3 (a) revised...................................................34927
15.37 (g) added....................................................34927
15.204 (c) introductory text revised; eff. 10-30-13................59850
15.237 (c) revised.................................................34927
15.255 (b), (e), and (f) revised; (i) removed; eff. 10-30-13.......59850

                                  2014

47 CFR
                                                                   79 FR
                                                                    Page
Chapter I
Chapter I Policy statement.........................................70113
0 Technical correction.............................................76902
0.331 (d) revised; eff. 10-24-14...................................56984
0.392 (j) added.....................................................3130
0.457 (d)(1)(viii) revised..........................................3130
    (d)(1)(ix) added; eff. 10-14-14................................48528
1 Technical correction.......................................9427, 76902
    Authority citation revised.....................................48528
1.61 (a)(5) revised; eff. 10-24-14.................................56984
1.720 (j) revised..................................................73845
1.721 (a)(3) and (5) revised.......................................73845
1.727 Revised......................................................73845
1.731 Revised......................................................73845
1.732 (e) removed; (f), (g) and (h) redesignated as new (e), (f) 
        and (g) revised............................................73846
1.733 (f)(1) and (2) revised.......................................73846
1.734 (c) revised; (d) removed.....................................73846
1.735 Revised......................................................73846
1.767 (a)(8) and note revised (OMB number pending in part).........31876
1.768 (g)(2) revised (OMB number pending)..........................31877
1.919 Regulation at 69 FR 75170 eff. date confirmed................30744
1.919 (c) removed..................................................72150
1.929 (b) revised..................................................72150
1.946 Regulation at 79 FR 3133 eff. date confirmed..................7587
1.949 (c) removed..................................................32404
1.958 (d) revised..................................................72150
1.1102 Revised.....................................................26165
1.1103 Revised.....................................................26170
1.1104 Revised.....................................................26171
1.1105 Revised.....................................................26172
1.1106 Revised.....................................................26173
1.1107 Revised.....................................................26173

[[Page 1044]]

1.1108 Revised.....................................................26175
1.1109 Correctly revised...........................................31873
1.1152 Revised.....................................................54208
1.1153 Revised.....................................................54210
1.1154 Revised.....................................................54211
1.1155 Revised.....................................................54211
1.1156 Revised.....................................................54211
1.1307 Regulation at 70 FR 578 eff. date confirmed.................26862
1 Regulation at 70 FR 578 eff. date confirmed......................26862
    Regulation at 70 FR 580 eff. date confirmed....................26862
    (b)(1) Table 1 amended.........................................70795
1.1403 (d) revised.................................................73847
1.1404 (a) revised.................................................73847
1.1408 Revised.....................................................73847
1.2101 Revised; eff. 10-14-14......................................48528
1.2102 (c) removed; eff. 10-14-14..................................48528
1.2103 Revised; eff. 10-14-14......................................48528
1.2104 (e) and (j) revised; eff. 10-14-14..........................48529
1.2105 (a)(2)(i), (xii) and (c)(6) revised; (c)(8) and (c) notes 1 
        and 2 added; eff. 10-14-14 (OMB number pending in part)....48529
1.2106 (a) revised; eff. 10-14-14..................................48530
1.2114 (e) revised; eff. 10-14-14..................................48530
1.2200 Undesignated center heading and section added; eff. 10-14-
        14.........................................................48530
1.2201 Added; eff. 10-14-14........................................48530
1.2202 Added; eff. 10-14-14........................................48530
1.2203 Added; eff. 10-14-14........................................48530
1.2204 Added; eff. 10-14-14 (OMB number pending in part)...........48530
1.2205 Added; eff. 10-14-14 (OMB number pending in part)...........48530
1.2206 Added; eff. 10-14-14........................................48530
1.2207 Added; eff. 10-14-14........................................48530
1.2208 Added; eff. 10-14-14........................................48530
1.2209 Added (OMB number pending)..................................48530
1.7001 Regulation at 78 FR 49148 confirmed.........................36232
1.7002 Regulation at 78 FR 49148 confirmed.........................36232
1.9005 (k) revised...................................................596
    (kk) added; eff. 10-14-14......................................48533
1.30002 Regulation at 78 FR 66295 eff. date confirmed...............9622
1.30003 Regulation at 78 FR 66295 eff. date confirmed...............9622
1.30004 Regulation at 78 FR 66295 eff. date confirmed...............9622
2 Policy statement.................................................40678
    Technical correction...........................................76902
2.103 (a) introductory text and (c) revised..........................596
2.106 Table amended.........................................26865, 32404
    Table amended; eff. 10-14-14...................................48534
2.803 Regulation at 78 FR 25161 eff. date confirmed in part........39976
    Heading correctly revised......................................48691
2.805 Heading correctly revised....................................48691
2.925 (a)(1) example correctly removed; CFR correction.............30053
2.1033 (b)(13) added...............................................24578
    (c)(19) added..................................................32410
    (c)(19)(iii) added (OMB number pending)........................48536
    (c)(20) added (OMB number pending).............................71325
    Regulation at 79 FR 48536 eff. date correctly confirmed........73486
4.9 (h) added.......................................................3130
    (h) corrected (OMB number pending)..............................7590
    Regulation at 79 FR 3130 eff. date confirmed...................65348
5.302 Introductory text correctly amended..........................48691
    Corrected......................................................49693
5.303 Correctly revised............................................48691
12 Heading revised..................................................3131
12.4 Added (OMB number pending in part).............................3131
    Corrected (OMB number pending in part)..........................7589
    Regulation at 79 FR 3131 confirmed in part.....................61785
15 Policy statement................................................40678
15 Technical correction............................................76902
15.3 (ii) added....................................................12677
15.31 (c) and (g) revised; (q) added...............................12677
15.35 (b) and (c) revised..........................................12678
15.37 (h) added....................................................24578
15.205 (d)(4) revised..............................................12678
15.215 (c) revised.................................................24578
15.247 (b)(4)(i), (ii) and (iii) removed; (f) revised..............24578
15.256 Added.......................................................12678
15.307 Removed.....................................................66313
15.401 Revised.....................................................24579
15.403 (m), (o) and (s) revised....................................24579
15.407 (a)(1) through (5), (b) introductory text, (1) through (4), 
        (8), (e) and (h)(2) revised; (a)(6) removed; (i) and (j) 
        added (OMB number pending in part).........................24579

[[Page 1045]]

    Regulation at 79 FR 24579 confirmed in part....................56987
    (a)(2) correctly amended; (h)(2) correctly revised.............56988
    (a)(1)(iii) correctly revised..................................76903
15.707 (a) redesignated as (a)(1); (a)(2) added; eff. 10-14-14.....48536
15.713 (b)(2)(iv) and (h)(10) added; eff. 10-14-14 (OMB number 
        pending in part)...........................................48536
    Regulation at 79 FR 48536 eff. date correctly confirmed........73486
17.1 (b) revised; eff. 10-24-14....................................56984
17.2 (a), (b) and (c) revised; eff. 10-24-14.......................56984
17.4 (a), (b), (e), (f) and (g) revised; (i), (j) and (k) added 
        (OMB number pending).......................................56985
17.6 Heading and (c) revised; eff. 10-24-14........................56985
17.7 Introductory text, (b) and (d) revised; (e) added; note 
        designated as Note to section 17.7; eff. 10-24-14..........56986
17.14 Removed; eff. 10-24-14.......................................56986
17.17 Removed; eff. 10-24-14.......................................56986
17.21 (a) revised; (c) added; eff. 10-24-14........................56986
17.22 Removed; eff. 10-24-14.......................................56986
17.23 Revised; undesignated center heading following section 
        removed; eff. 10-24-14.....................................56986
17.24 Added; eff. 10-24-14.........................................56986
17.45 Removed; eff. 10-24-14.......................................56986
17.47 (c) added; eff. 10-24-14.....................................56986
17.48 (a) and (b) revised (OMB number pending).....................56986
17.49 Introductory text revised (OMB number pending)...............56987
17.50 Revised; eff. 10-24-14.......................................56987
17.51 Removed; eff. 10-24-14.......................................56987
17.56 Revised; eff. 10-24-14.......................................56987
17.57 Revised; eff. 10-24-14.......................................56987
17.58 Removed; eff. 10-24-14.......................................56987

                                  2015

47 CFR
                                                                   80 FR
                                                                    Page
Chapter I
0.111 (a)(1) Note, (2) Note and (11) Note revised..................53749
0.241 (a)(1) and (f) revised.......................................33438
    (j) added......................................................36217
0.314 Introductory text revised....................................53749
0.317 Revised......................................................53749
0.331 (f) added....................................................36218
0.401 (a)(4) revised...............................................53749
0.408 (b) table amended (OMB numbers)..............................33438
0.421 Revised......................................................53749
0.555 (a)(2) removed; (a)(3) redesignated as new (a)(2); new 
        (a)(2) revised.............................................53749
1 Actions on petitions.............................................15688
    Policy statement........................................27572, 66429
1.49 (f)(3) redesignated as (f)(4); (f)(1)(iv), (v), (2) 
        introductory text, (iii), (iv) and new (4) revised; 
        (f)(1)(vi), (vii), (viii), (2)(v) and new (3) added.........1587
    (f)(1)(i) revised..............................................19847
1.767 Regulation at 78 FR 15622 confirmed...........................7547
    Regulation at 79 FR 31876 confirmed in part....................11326
1.768 Regulation at 79 FR 31877 confirmed..........................11326
1.901 Revised......................................................36218
1.902 Revised......................................................36218
1.907 Amended......................................................36218
1.924 (e) and (f) revised..........................................38823
1.1103 Revised.....................................................33439
1.1112 (a) and (b) revised; (e) and (f) redesignated as (f) and 
        (g); new (e) added.........................................66816
1.1152 Revised.....................................................55792
1.1153 Revised.....................................................55793
1.1154 Revised.....................................................55794
1.1155 Revised.....................................................55795
1.1156 Revised.....................................................55795
1.1158 Introductory text and (a) revised...........................66816
1.1161 (a) revised.................................................66816
1.1164 Introductory text revised...................................66816
1.1306 (c) added; Note 1 amended....................................1268
1.1307 (a)(4) redesignated as (a)(4)(i); new (a)(4)(ii) and Note 
        added.......................................................1268
    (b)(2)(i) revised..............................................36218
1.1910 (b)(3)(ii) revised; eff. 11-17-15...........................56809
1.1911 (d) revised.................................................43030
1.1912 (b)(1) revised..............................................43031
1.1917 (c) revised.................................................43031
1.2104 (j)(2) revised; eff. 11-17-15...............................56809
1.2105 Revised; eff. 11-17-15; OMB number pending in part..........56809
1.2106 (a) revised; eff. 11-17-15..................................56813
1.2107 (g)(1)(i) amended; eff. 11-17-15............................56813

[[Page 1046]]

1.2110 (b)(3) redesignated as (b)(4); (a), (b)(1)(i), (ii), new 
        (4)(i), (c)(6), (f)(2), (j) and (n) revised; new (b)(3), 
        (c)(2)(ii)(J) and (f)(4) added; new (b)(4)(iv) removed; 
        OMB number pending in part; eff. in part 11-17-15..........56813
1.2111 (a) and (b) removed; (c), (d) and (e) redesignated as new 
        (a), (b) and (c); new (a)(2), (3) and (b)(1) revised; eff. 
        11-17-15...................................................56814
1.2112 (b) revised eff. 11-17-15; OMB number pending in part.......56815
1.2114 (a)(1) revised eff. 11-17-15; OMB number pending............56816
1.2200 (d) revised.................................................67342
1.2204 (c)(4)(i), (ii) and (iii) redesignated as (c)(4)(ii), (iii) 
        and (iv); new (c)(4)(i) added (OMB number pending).........67342
    Regulation at 79 FR 48530 confirmed in part....................75431
1.2205 Regulation at 79 FR 48530 eff. date confirmed in part.......81769
1.2205 (a)(2) revised; eff. 11-17-15...............................56816
1.9020 (d)(4) and (e) revised eff. 11-17-15; OMB number pending in 
        part.......................................................56816
1.9030 (d)(4)(iii) and (iv) amended; eff. 11-17-15.................56816
1.40001 (Subpart CC) Added (OMB number pending in part).............1269
    Regulation at 80 FR 1269 confirmed in part.....................28203
2 Policy statement.................................................68471
2.1 (c) amended....................................................38823
2.100 Revised......................................................38823
2.101 (c) revised..................................................38823
2.106 Regulation at 79 FR 32404 confirmed in part..................27107
    Table amended (OMB numbers)........36218, 38824, 53749, 71726, 73068
2.405 (a) and (c) revised..........................................53749
2.803 (c)(1) revised...............................................52414
2.901 Revised......................................................33439
2.906 (a) revised..................................................33439
2.907 (a) revised..................................................33439
2.909 (a) revised..................................................33439
2.910 Added........................................................33439
2.911 Revised......................................................33440
2.913 Removed......................................................33440
2.915 (a) introductory text revised; (d), (e) and (f) added........33440
2.917 (c) revised..................................................33441
2.924 Revised......................................................33441
2.925 (b)(3) removed; (b)(4) redesignated as new (b)(3)............33441
2.926 (a), (c)(1) and (e) revised..................................33441
2.927 Revised......................................................33441
2.929 (a), (c) and (d) revised.....................................33441
2.932 (d) revised..................................................33441
2.933 (a), (b) introductory text and (5) revised...................33441
2.936 Removed......................................................33442
2.943 Removed......................................................33442
2.945 Revised......................................................33442
2.946 Removed......................................................33442
2.947 (a) and (e) revised..........................................33442
2.948 Revised......................................................33442
2.949 Added........................................................33443
2.950 Added........................................................33443
2.953 (b) revised..................................................33444
2.956 Removed......................................................33444
2.960 Heading, (a), (b) and (c)(1) revised.........................33444
2.962 Revised......................................................33444
2.964 Added........................................................33445
2.1033 Regulation at 79 FR 32410 confirmed in part............4515, 8248
    (b)(14) and (c)(21) added; (c) introductory text revised.......33446
2.1043 (a), (b), (c) and (f) revised...............................33446
2.1073 (b) revised.................................................33446
2.1075 (c) revised.................................................33447
2.1076 Removed.....................................................33447
2.1091 (c)(1) introductory text revised............................36221
2.1093 (c)(1) revised..............................................36221
4 Authority citation revised.......................................34324
4.11 Amended.......................................................34324
5.5 Amended........................................................52414
5.85 (a) revised...................................................52414
5.402 (c) added....................................................52415
8 Heading and authority citation revised...........................19847
8.1 Revised........................................................19847
8.2 Redesignated from 8.11 and revised.............................19847
8.5 Revised........................................................19847
8.7 Revised........................................................19847
8.9 Redesignated as 8.19; added....................................19847
8.11 Redesignated as 8.2...........................................19847
    Added..........................................................19848
8.13 (a)(4) and (b) revised; (c) and (d) redesignated as (d) and 
        (e); new (c) added.........................................19848
8.14 (g) and (h) redesignated as (h) and (i); new (g) added........19848
8.16 Revised.......................................................19848

[[Page 1047]]

8.18 Added.........................................................19849
8.19 Redesignated from 8.9.........................................19847
11.21 (a) and (c) revised (OMB number pending in part).............37174
    Regulation at 80 FR 37174 eff. date confirmed in part..........79484
11.31 (f) revised..................................................37174
11.35 (c) revised..................................................53750
11.51 (d), (g)(3), (h)(3), (j)(2), (m)(2) and (n) revised..........37175
11.52 (e) introductory text and (2) revised........................37176
11.54 (a) introductory text revised................................37177
11.61 (a)(3)(iv) revised (OMB number pending)......................37177
    Regulation at 80 FR 37174 eff. date confirmed..................79484
12 Authority citation revised...............................60552, 62486
12.4 (d)(1) correctly amended......................................10619
    (c)(1)(ii) introductory text and (3)(ii) introductory text 
revised............................................................60552
12.5 Added (eff. date pending in part).............................62486
15.31 (a)(2) revised; (a)(3) amended................................2838
    (a)(3) revised; (a)(3) Note removed; (a)(4) added..............33447
15.37 Waiver.......................................................37551
    (k) added (OMB number pending).................................71728
    (i) and (j) added..............................................73068
15.38 (b)(2) revised................................................2838
    (b) revised; (f) redesignated as (g); new (f) added............33447
    (e), (f) and (g) redesignated as (f), (g) and (h); new (e) 
added..............................................................73068
15.109 (g)(4) removed..............................................33447
15.205 (d)(10) added...............................................73069
15.216 Removed.....................................................71728
15.236 Added.......................................................73069
15.239 (d) introductory text revised...............................53750
15.701--15.717 (Subpart H) Revised.................................73070
15.713 OMB number pending in part..................................73070
15.715 OMB number pending in part..................................73070
17.4 (c)(1)(v) and (vi) revised; (c)(1)(vii) added..................1270
    Regulation at 79 FR 56985 confirmed............................37552
17.48 Regulation at 79 FR 56986 confirmed..........................37552
17.49 Regulation at 79 FR 56987 confirmed..........................37552
18.115 (b) and (c) revised.........................................53750
18.117 Revised.....................................................53750

                                  2016

47 CFR
                                                                   81 FR
                                                                    Page
Chapter I
Chapter I Policy statement.........................................43956
0.457 (d)(1)(vii)(C) added.........................................55324
1 Technical correction..............................................7999
    Authority citation revised................40821, 52362, 79930, 86601
1.13 Revised.......................................................40821
1.49 Regulation at 80 FR 19847 confirmed...........................93638
1.80 (b)(8) table and (9) revised..................................42555
1.767 (g)(15) and (o) added; (n) revised (OMB number pending)......52362
1.907 Amended......................................................79930
1.948 (b)(5) revised...............................................90745
1.990 Undesignated center heading and section removed..............86601
1.991 Removed......................................................86601
1.992 Removed......................................................86601
1.993 Removed......................................................86601
1.994 Removed......................................................86601
1.1102 Revised.....................................................49181
1.1103 Revised.....................................................49186
1.1104 Revised.....................................................49187
1.1105 Revised.....................................................49188
1.1106 Revised.....................................................49189
1.1107 Revised.....................................................49189
1.1108 Revised.....................................................49191
1.1109 Revised.....................................................49192
1.1152 Revised.....................................................65946
1.1153 Revised.....................................................65947
1.1154 Revised.....................................................65948
1.1155 Revised.....................................................65948
1.1156 Revised.....................................................65948
1.1307 (b)(1) Table 1 amended; (b)(2)(i) revised...................79930
1.1409 (e)(2)(i) revised............................................5618
1.2105 Regulation at 80 FR 56809 confirmed in part...................396
    Regulation at 80 FR 56809 eff. date confirmed in part...........3729
1.2110 Regulation at 80 FR 56813 eff. date confirmed in part.......3729, 
                                                            36805, 43523
1.2112 Regulation at 80 FR 56815 eff. date confirmed in part........3729

[[Page 1048]]

1.5000--1.5004 (Subpart T) Added (OMB number pending)..............86601
1.9001 (a) revised.................................................79930
1.9005 (p) added...................................................49065
    (hh) through (kk) revised; (ll) added..........................79931
1.9020 (e) revised.................................................49065
1.9046 Added (OMB number pending)..................................49065
1.21001 (b)(6) revised (OMB number pending)........................44448
1 Appendix B revised (OMB number pending in part)..................59148
2.106 Table amended................................................49066
    Table amended..................................................79931
2.950 (e) revised..................................................42265
2.1033 (c)(20) revised (OMB number pending)........................66832
2.1091 (c)(1) introductory text revised............................79936
2.1093 (c)(1) revised..............................................79936
4 Authority citation revised................................45067, 52362
4.1 Revised (OMB number pending)...................................52362
4.5 (b) and (c) revised; (d) removed (OMB number pending in part) 
                                                                   45067
4.7 (d) and (e)(2) revised (OMB number pending)....................45068
4.9 (a)(2), (e) and (f)(2) revised; (a)(4), (b) and (f)(4) amended 
        (OMB number pending).......................................45068
4.13 Removed.......................................................45068
4.15 Added (OMB number pending)....................................52363
5.303 Revised......................................................48363
5.59 Regulation at 78 FR 25162 eff. date confirmed..................1899
5.61 Regulation at 78 FR 25162 eff. date confirmed..................1899
5.63 Regulation at 78 FR 25162 eff. date confirmed..................1899
5.64 Regulation at 78 FR 25162 eff. date confirmed..................1899
5.65 Regulation at 78 FR 25162 eff. date confirmed..................1899
5.73 Regulation at 78 FR 25162 eff. date confirmed..................1899
5.79 Regulation at 78 FR 25162 eff. date confirmed..................1899
5.81 Regulation at 78 FR 25162 eff. date confirmed..................1899
5.107 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.115 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.121 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.123 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.205 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.207 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.217 Regulation at 78 FR 25162 eff. date confirmed in part.........1899
5.307 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.308 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.309 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.311 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.404 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.405 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.406 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.504 Regulation at 78 FR 25162 eff. date confirmed.................1899
5.602 Regulation at 78 FR 25162 eff. date confirmed.................1899
8 Policy statement..................................................3967
8 Regulation at 80 FR 19847 confirmed..............................93638
8.1 Regulation at 80 FR 19847 confirmed............................93638
8.2 Regulation at 80 FR 19847 confirmed............................93638
8.5 Regulation at 80 FR 19847 confirmed............................93638
8.7 Regulation at 80 FR 19847 confirmed............................93638
8.9 Regulation at 80 FR 19847 confirmed............................93638
8.11 Regulation at 80 FR 19847 and 19848 confirmed.................93638
8.13 Regulation at 80 FR 19848 confirmed...........................93638
8.14 Regulation at 80 FR 19848 confirmed...........................93638
8.16 Regulation at 80 FR 19848 confirmed...........................93638
8.18 Regulation at 80 FR 19849 confirmed...........................93638
8.19 Regulation at 80 FR 19847 confirmed...........................93638
10.280 (a) revised; eff. 5-1-19....................................75725

[[Page 1049]]

10.320 (g) added (OMB number pending)..............................75725
10.350 Heading, introductory text and (b) revised; eff. 12-1-16; 
        (c) added; eff. 5-1-19.....................................75726
10.400 Introductory text revised; (d) added; eff. 5-1-19...........75726
10.410 Revised; eff. 5-1-19........................................75726
10.430 Revised; eff. 5-1-19........................................75726
10.440 Removed.....................................................75726
10.441 Added; eff. 11-1-17.........................................75726
10.450 Revised.....................................................75726
10.480 Added; eff. 11-1-18.........................................75726
10.510 Revised; eff. 5-1-19........................................75726
10.520 (d) revised.................................................75727
11.21 Introductory text revised; (d), (e) and (f) added (OMB 
        number pending in part)....................................27351
    Regulation at 81 FR 27351 confirmed in part....................76515
11.31 (e) and (f) revised..........................................53043
11.45 Revised......................................................75727
12.5 Regulation at 80 FR 62486 eff. date confirmed in part.........20258
    Regulation at 81 FR 20258 compliance date corrected............35274
15.117 (b) revised..................................................5052
15.236 (c)(2) and (e)(2) revised....................................4974
15.255 (d) removed; (e) through (h) redesignated as new (d) 
        through (g); heading, (a)(2), (b), (c)(1) and new (d)(2) 
        revised; new (h) added.....................................79936
15.407 (a)(1)(iv) and (b)(4) revised...............................19901
15.707 (a)(5) revised...............................................4974
15.711 (a) revised..................................................4974
15.712 (i) introductory text revised................................4974
15.713 (b)(2)(iv) and (j)(10) introductory text revised (OMB 
        number pending).............................................4974
    Regulation at 80 FR 73070 confirmed in part....................38965
15.715 (n) revised (OMB number pending).............................4975
    Regulation at 80 FR 73070 confirmed in part....................38965

                                  2017

  (Regulations published from January 1, 2017, through October 1, 2017)

47 CFR
                                                                   82 FR
                                                                    Page
Chapter I
0.251 (j) added.....................................................4188
0.291 (h) removed..................................................25711
0.408 Revised......................................................13260
0.441 Revised.......................................................4188
0.445 Revised.......................................................4188
0.451 Revised.......................................................4189
0.453 Revised.......................................................4189
0.455 Removed.......................................................4189
0.457 Revised.......................................................4189
0.460 Revised.......................................................4191
0.461 Revised.......................................................4192
0.465 Revised.......................................................4195
0.467 Revised.......................................................4195
0.470 Revised.......................................................4196
1 Authority citation revised...................8171, 18581, 24561, 41103
    Authority citation revised; eff. 1-1-18........................20839
    Authority citation revised; eff. 10-2-17.......................41544
    Actions on petitions...........................................32260
    Policy statement...............................................33825
1 Appendix B, Regulation at 81 FR 59148 eff. date confirmed........41529
1.80 (b)(8) amended; (b)(9) revised.................................8171
1.115 (d) revised...................................................4197
1.774 Removed......................................................25711
1.776 Added (OMB number pending)...................................25711
1.791 Revised; eff. 1-1-18.........................................20840
1.907 Amended; eff. 10-2-17........................................41544
1.931 (a)(1) revised; (a)(2)(iii) and (iv) amended; (a)(2)(v) 
        added......................................................22759
1.934 (a)(1)(ii), (b) and (c) revised; (a)(3) removed; eff. 10-2-
        17.........................................................41545
1.949 Revised (OMB number pending).................................41545
1.950 Added (OMB number pending)...................................41546
1.953 Added (OMB number pending)...................................41547
1.955 (a)(3) revised; eff. 10-2-17.................................41547
1.901--1.981 (Subpart F) Undesignated center heading removed.......18581
1.990 Undesignated center heading and section added................12512
    Removed........................................................18581
1.991 Added........................................................12512
    Removed........................................................18581

[[Page 1050]]

1.992 Added........................................................12512
    Removed........................................................18581
1.993 Added........................................................12512
    Removed........................................................18581
1.994 Added........................................................12512
    Removed........................................................18581
1.1109 Revised.....................................................24561
1.1152 Revised.....................................................44343
1.1153 Revised.....................................................44344
1.1154 Revised.....................................................44345
1.1155 Revised.....................................................44345
1.1156 Revised.....................................................44346
1.1307 (b)(2)(iii) and (iv) revised................................41103
    (b)(1) table 1 amended; (b)(2)(i) and (ii) revised; eff. 10-
20-17..............................................................43868
1.1409 (g) added (OMB number pending)..............................20840
    Regulation at 82 FR 20840 effective 1-1-18.....................59971
1.2105 Regulation at 80 FR 56809 eff. date confirmed...............29769
1.2110 Regulation at 80 FR 56813 eff. date confirmed in part.......29769
1.2112 Regulation at 80 FR 56815 eff. date confirmed in part.......29769
1.2114 Regulation at 80 FR 56816 eff. date confirmed...............29769
1.4000 (a)(2) revised..............................................41103
1.5000--1.5004 (Subpart T) (Subpart T) Regulation at 81 FR 86601 
        effective 4-20-12..........................................18580
1.9003 Amended.....................................................22759
1.9020 (e)(1) and (2) correctly added..............................22297
    (d)(8) and (e)(2) introductory text revised; (e)(2)(ii) and 
(iii) redesignated as new (e)(2)(iii) and (iv); (e)(2)(ii) and (n) 
added (OMB number pending in part).................................22759
    Regulation at 80 FR 56816 eff. date confirmed in part..........29769
1.9030 (d)(8) and (e)(2) introductory text revised; (e)(2)(ii) and 
        (iii) redesignated as new (e)(2)(iii) and (iv); (e)(2)(ii) 
        and (m) added (OMB number pending in part).................22760
1.9035 (d)(4) revised; (o) added (OMB number pending in part)......22760
1.21001 Regulation at 81 FR 44448 eff. date confirmed..............14639
1.21003 (b) removed; (c) and (d) redesignated as (d) and (e); new 
        (b) and (c) added..........................................15449
2.100 Revised......................................................27185
2.102 (a) revised..................................................27185
2.106 Table amended................................................27185
    Table amended; eff. 10-2-17....................................41557
    Table amended; eff. 10-20-17...................................43868
2.1091 (c)(1) introductory text and (2) revised; eff. 10-20-17.....43870
2.1093 (c)(1) revised; eff. 10-20-17...............................43870
4.5 Regulation at 81 FR 45067 eff. date confirmed in part..........28410
    Regulation at 81 FR 45067 eff. date confirmed..................28410
4.7 Regulation at 81 FR 45068 eff. date confirmed..................28410
4.9 Regulation at 81 FR 45068 eff. date confirmed..................28410
6 Authority citation revised........................................7706
6.3 (a)(3), (b)(5), (m) and (n) added...............................7706
7 Authority citation revised........................................7706
7.3 (a)(3), (b)(5), (n) and (o) added...............................7706
14.10 (w) and (x) added.............................................7707
14.21 (b)(3) and (d)(5) added.......................................7707
15.3 (g) revised...................................................41103
15.37 (i) and (k) introductory text revised; eff. 10-2-17..........41559
    (l) through (p) added; eff. 10-20-17 and 9-20-18...............43870
15.113 (g) added...................................................27213
15.203 Revised; eff. 10-2-17.......................................41559
15.236 (a)(2), (3), (4), (c)(1), (3), (5), (d)(2) and (g) revised; 
        (c)(4) removed; eff. 10-2-17...............................41559
15.252 Heading, (a) introductory text and (1) revised; (b)(1) 
        removed; (b)(2) through (6) redesignated as (b)(1) through 
        (5); new (b)(2) and new (3) revised; (d) added; eff. 10-
        20-17......................................................43870
15.253 Removed; eff. 10-20-17......................................43871
15.515 (h) added; eff. 10-20-17....................................43871
15.711 (a) revised; eff. 10-2-17...................................41559
15.713 (j)(9) removed; eff. 10-2-17................................41559


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