[Federal Register Volume 76, Number 26 (Tuesday, February 8, 2011)]
[Proposed Rules]
[Pages 6927-6956]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2011-1377]



[[Page 6927]]

Vol. 76

Tuesday,

No. 26

February 8, 2011

Part III





Federal Communications Commission





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47 CFR Parts 0, 1, 2 et al.



Radio Experimentation and Market Trials Under Part 5 of the 
Commission's Rules and Streamlining Other Related Rules; Proposed Rule

Federal Register / Vol. 76 , No. 26 / Tuesday, February 8, 2011 / 
Proposed Rules

[[Page 6928]]


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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Parts 0, 1, 2, 5, 22, 73, 74, 80, 87, 90 and 101

[ET Docket No. 10-236; FCC 10-197]


Radio Experimentation and Market Trials Under Part 5 of the 
Commission's Rules and Streamlining Other Related Rules

AGENCY: Federal Communications Commission.

ACTION: Proposed rule.

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SUMMARY: In this document, the Commission seeks to promote innovation 
and efficiency in spectrum use in the Experimental Radio Service (ERS). 
For many years, the ERS has provided fertile ground for testing 
innovative ideas that have led to new services and new devices for all 
sectors of the economy. The Commission proposes to leverage the power 
of experimental radio licensing to accelerate the rate at which these 
ideas transform from prototypes to consumer devices and services. Its 
goal is to inspire researchers to dream, discover and deliver the 
innovations that push the boundaries of the broadband ecosystem. The 
resulting advancements in devices and services available to the 
American public and greater spectrum efficiency over the long term will 
promote economic growth, global competitiveness, and a better way of 
life for all Americans.

DATES: Comments must be filed on or before March 10, 2011, and reply 
comments must be filed on or before April 11, 2011.

FOR FURTHER INFORMATION CONTACT: For further information, contact James 
Burtle at (202) 418-2445, Doug Young at (202) 418-2440, and James 
Miller at (202) 418-7351, Office of Engineering and Technology; or via 
the Internet at [email protected], [email protected], and 
[email protected], respectively.

ADDRESSES: You may submit comments, identified by ET Docket No. 10-236, 
by any of the following methods:
     Federal eRulemaking Portal: http://www.regulations.gov. 
Follow the instructions for submitting comments.
     Federal Communications Commission's Web site: http://www.fcc.gov/cgb/ecfs/. Follow the instructions for submitting comments.
     E-mail: [Optional: Include the e-mail address only if you 
plan to accept comments from the general public]. Include the docket 
number(s) in the subject line of the message.
     Mail: [Optional: Include the mailing address for paper, 
disk or CD-ROM submissions needed/requested by your Bureau or Office. 
Do not include the Office of the Secretary's mailing address here.]
     People with Disabilities: Contact the FCC to request 
reasonable accommodations (accessible format documents, sign language 
interpreters, CART, etc.) by e-mail: [email protected] or phone: 202-418-
0530 or TTY: 202-418-0432.
    For detailed instructions for submitting comments and additional 
information on the rulemaking process, see the SUPPLEMENTARY 
INFORMATION of this document.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Notice 
of Proposed Rulemaking, ET Docket No. 10-236, FCC 10-197, adopted and 
released on November 30, 2010. The full text of this document is 
available for inspection and copying during normal business hours in 
the FCC Reference Center (Room CY-A257), 445 12th Street, SW., 
Washington, DC 20554. The complete text of this document also may be 
purchased from the Commission's copy contractor, Best Copy and 
Printing, Inc., 445 12th Street, SW., Room, CY-B402, Washington, DC 
20554. The full text may also be downloaded at: http://www.fcc.gov.
    Pursuant to Sec. Sec.  1.415, 1.419, and 1.430 of the Commission's 
rules, 47 CFR 1.415, 1.419, and 1.430, interested parties may file 
comments and reply comments on or before the dates indicated on the 
first page of this document. Comments may be filed using: (1) The 
Commission's Electronic Comment Filing System (ECFS), (2) the Federal 
Government's eRulemaking Portal, or (3) by filing paper copies. See 
Electronic Filing of Documents in Rulemaking Proceedings, 63 FR 24121, 
May 2, 1998.
     Electronic Filers: Comments may be filed electronically 
using the Internet by accessing the ECFS: http://fjallfoss.fcc.gov/ecfs2/or the Federal eRulemaking Portal: http://www.regulations.gov.
     Paper Filers: Parties who choose to file by paper must 
file an original and four copies of each filing. If more than one 
docket or rulemaking number appears in the caption of this proceeding, 
filers must submit two additional copies for each additional docket or 
rulemaking number.
    Filings can be sent by hand or messenger delivery, by commercial 
overnight courier, or by first-class or overnight U.S. Postal Service 
mail. All filings must be addressed to the Commission's Secretary, 
Office of the Secretary, Federal Communications Commission.
     All hand-delivered or messenger-delivered paper filings 
for the Commission's Secretary must be delivered to FCC Headquarters at 
445 12th St., SW., Room TW-A325, Washington, DC 20554. The filing hours 
are 8 a.m. to 7 p.m. All hand deliveries must be held together with 
rubber bands or fasteners. Any envelopes must be disposed of before 
entering the building.
     Commercial overnight mail (other than U.S. Postal Service 
Express Mail and Priority Mail) must be sent to 9300 East Hampton 
Drive, Capitol Heights, MD 20743.
     U.S. Postal Service first-class, Express, and Priority 
mail must be addressed to 445 12th Street, SW., Washington, DC 20554.
    People with Disabilities: To request materials in accessible 
formats for people with disabilities (braille, large print, electronic 
files, audio format), send an e-mail to [email protected] or call the 
Consumer & Governmental Affairs Bureau at 202-418-0530 (voice), 202-
418-0432 (tty).

Paperwork Reduction Act of 1995 Analysis

    This document contains proposed modified information collection 
requirements. The Commission, as part of its continuing effort to 
reduce paperwork burdens, invites the general public and the Office of 
Management and Budget (OMB) to comment on the information collection 
requirements contained in this document, as required by the Paperwork 
Reduction Act of 1995, Public Law 104-13. In addition, pursuant to the 
Small Business Paperwork Relief Act of 2002, Public Law 107-198, see 44 
U.S.C. 3506(c)(4), the Commission seeks specific comment on how it 
might further reduce the information collection burden for small 
business concerns with fewer than 25 employees.

Summary of Notice of Proposed Rulemaking

    1. In the Notice of Proposed Rulemaking (NPRM), the Commission 
observes that numerous provisions for experimentation and development 
of new radio equipment and techniques that are scattered throughout 
Title 47 of the Code of Federal Regulations (CFR). The ERS rules, which 
are contained in part 5 and permit a broad range of experiments in all 
services except for broadcast systems, prescribe the manner in which 
the radio spectrum may be made available to manufacturers, inventors, 
entrepreneurs, and students

[[Page 6929]]

to experiment with new radio technologies, equipment designs, 
characteristics of radio wave propagation, or service concepts related 
to the use of the radio spectrum. In order to encourage innovation, the 
part 5 rules provide great flexibility regarding allowable frequency 
range, power, and emissions. In exchange for the flexibility we give 
researchers to design and conduct experiments and tests, experimental 
operations are not protected from harmful interference from allocated 
services and they must not cause harmful interference to stations of 
authorized services, including secondary services. Additionally, 
experimental stations can be required to immediately cease operation at 
our request, and are subject to revocation without notice.
    2. There are seven additional rule parts that allow for 
developmental work within a particular service, and these rules are 
generally more restrictive than those contained in part 5. 
Specifically, parts 22, 73, 74, 80, 87, 90, and 101 of our rules 
provide for issuance of developmental licenses. Like ERS licenses, 
developmental licenses are issued on a non-interference basis. However, 
they are limited to applicants eligible for licenses in that particular 
service and on frequencies that are allocated to that service. 
Additionally, the developmental rules may require that applications be 
accompanied by a petition for rulemaking seeking changes consistent 
with the operation under investigation. Experimentation with broadcast 
radio technologies is not permitted under the ERS rules but is instead 
allowed under separate provisions set forth in parts 73 and 74 of our 
rules.
    3. The ERS program has a record of success, and there is an overall 
trend of increasing experimental activity under the part 5 rules. By 
contrast, there has been limited use of the developmental rules for 
non-broadcast experimentation.
    4. To further provide flexibility, the Commission permits limited 
market studies so that developers can assess whether their equipment 
designs show promise in the marketplace. Just like the experimental 
rules, the rules for market studies can be found in multiple rule 
parts. Under part 5, limited market studies are permitted for 
experimental operations provided that all transmitting and receiving 
equipment is owned by the licensee, the licensee informs all 
participants in the study that it is strictly temporary, and the size 
and scope of the study is limited. For devices that are beyond the 
experimental stage, but have not yet been certified (e.g. a new mobile 
phone), rules in part 2 allow exceptions to the general prohibition on 
marketing of radio frequency (RF) devices prior to equipment 
authorization, subject to disclosure and labeling requirements and 
other restrictions. The restrictions on unauthorized RF equipment also 
limit the number of devices that may be imported to conduct tests or 
market studies. Generally, up to 2,000 units are permitted to be 
imported within an authorized service for which an operating license is 
required, and up to 200 units are permitted to be imported for all 
other products.
    5. The Commission proposes rule changes in six specific areas to 
build on the experimental licensing program's record of promoting 
innovation and creating cutting-edge technologies in order to 
accelerate innovation in this space. Given the immense spectrum 
challenges created by the tsunami of broadband demand, the Commission 
seeks to find ways to use the power of experimental licensing to 
shorten the time it takes to transform concepts into consumer products 
and to bring ideas from the lab to the marketplace. The goal is to 
inspire researchers to dream, discover and deliver the innovations that 
push the boundaries of the broadband ecosystem. The resulting 
advancements in devices and services available to the American public 
and greater spectrum efficiency over the long term will promote 
economic growth, global competitiveness, and a better way of life for 
all Americans.
    6. The first three areas where the Commission proposes rule changes 
involve the creation of a new type of experimental license--a program 
experimental license--which would carry broad authority to conduct an 
ongoing program of research and experimentation under a single 
experimental authorization, and that would only be available to 
qualified institutions. The three varieties of proposed program 
experimental licenses are: (1) The research program experimental radio 
license; (2) the innovation zone program experimental radio license; 
and (3) the medical program experimental radio license. Under our 
proposed rule revisions, the Commission would continue to offer 
individual conventional experimental radio licenses to conduct research 
and experimentation related to the development of new radio 
technologies and techniques and for product development and market 
trials. These conventional experimental radio licenses would be 
available to entities not qualified to hold a program experimental 
radio license, and for those experimental activities that would not be 
authorized under program licenses.
    7. The research program experimental radio license would allow 
qualified institutions to use of a large range of radio frequencies for 
research and experimentation on a non-interference basis without having 
to obtain prior authorization for the use of specific frequencies. 
Holders of the new research program experimental radio license will be 
given broad authority to conduct any experiments that further the goals 
of innovation and efficiency in spectrum use under such a license, 
subject to limitations discussed below and ongoing reporting 
requirements through, for example, narrative filings submitted via a 
Commission web page. These institutions would still be able to continue 
to apply for conventional experimental radio licenses, as appropriate 
to the needs of the institution and type of research being conducted.
    8. Given the unique abilities of universities and research 
institutions to act as trusted stewards of the radio resource, and 
based on their track record of impressive research results, the 
Commission believes that they are well suited for this proposed new 
type of program license. The existing experimental licensing rules are 
not a good fit for the type of work being conducted at many 
universities and research institutions. By limiting experiments to a 
narrowly defined inquiry, specific frequencies, emissions and power 
levels, our current rules can prevent researchers from using the 
results of experiments to try out new ideas and make innovative changes 
unless they obtain a new or modified authorization. The time and 
process for obtaining experimental authorizations can also be a 
roadblock to innovation. The research program experimental radio 
license proposal is an attempt to find a balance that allows research 
organizations the greatest level of flexibility to experiment--
particularly in high-value bands that may host the newest generation of 
consumer devices and applications--in order to unlock enormous economic 
and social benefits, while respecting the fundamental principle that 
experiments must be designed to avoid harmful interference to existing 
services.
    9. This new research license will be limited to colleges, 
universities, and non-profit research organizations. These institutions 
typically have a record of generating the types of innovations and 
technological breakthroughs we seek to foster. The Commission 
tentatively proposes to limit applications under

[[Page 6930]]

this rule to Accreditation Board for Engineering and Technology (ABET) 
accredited institutions with graduate research programs in place or 
existing industry partnerships and to nationally recognized non-profit 
research laboratories. Further, the Commission proposes that these 
institutions must have defined campus settings and institutional 
processes to monitor and effectively manage a wide variety of research 
projects. The Commission seeks comment on this proposal. Specifically, 
it seeks comment on what criteria it should use to define a 
``nationally recognized non-profit research laboratory.'' Are there any 
standards or certifications that it should require for such 
institutions? Additionally, if commenters believe the Commission should 
incorporate a broader range of institutions, what criteria should it 
use for selection, and how does that more effectively balance the 
interests at stake here?
    10. Section 15.205(a) of our rules lists ``restricted bands'' that 
typically host sensitive operations and that warrant special attention 
to prevent possible harmful interference. Because it would not be 
appropriate to include these frequencies in a research program 
experimental radio license, the Commission proposes that the license 
not allow experiments on frequencies that are listed in Sec.  
15.205(a). The Commission recognizes that Sec.  15.205 categorically 
exclude all frequencies above 38.6 GHz. The National Broadband Plan 
observed that frequencies above 20 GHz may be modestly used in urban 
areas and may be nonexistent in most other areas. The Commission 
concludes that it would be counterproductive to exclude spectrum in the 
38-300 GHz range from the benefits of added innovation and research, 
but that it is also important to protect sensitive bands above 38.6 
GHz. Many federal agencies use spectrum above 38.6 GHz for satellite 
communication and scientific research which use extremely low received 
signal levels. Thus, the Commission proposes that a research program 
experimental radio license also allow experiments on those frequencies 
above 38.6 GHz except for those that are listed in footnote US246 of 
the Table of Frequency Allocations. Under this proposal the Commission 
would permit licensees to conduct experiments on all other frequencies. 
It seeks comment on these proposals. Are there other frequencies that 
it should categorically exclude, and if so why?
    11. All operations conducted under the authority of a research 
program experimental radio license would be restricted to the grounds 
of the license holder's campus. In this regard, the Commission proposes 
that the applicant for a research license specify a geographic area 
that is inclusive of an institution's real-property facilities, and 
that the application may be returned or a license restricted to specify 
a smaller area if necessary to ensure adequate interference protection. 
The Commission also proposes that emissions must not exceed non-
interfering levels beyond the authorized geographical area. Should it 
rely on the licensees to meet this requirement by evaluating the 
radiofrequency use in the proximity of its campus, or should there be a 
specific measure, such as a maximum measured power flux density (pfd) 
limit a set distance from the boundary? If so, at what level should 
this pfd be set? Should there be different pfd limits for different 
bands? If so, how should the pfd vary by frequency band? And finally, 
the Commission seeks comment on whether a standard method needs to be 
specified for calculating the pfd. It seeks comment on whether 
additional technical limits should be imposed. Should it restrict 
transmitters to specific sites? Should experiments be limited to 
terrestrial operations or can airborne operations also be permitted? If 
so, are there special requirements that should be imposed on airborne 
operations given the long line of site distances of these operations. 
Finally, should there be a threshold power limit above which the 
Commission would always require an individual license under our 
traditional experimental authorization procedures, and if so, what 
should this power be--100 watts, 10 watts, the limits specified for 
part 15 unlicensed operations, or some other limit? Commenters who 
advocate a specific limit should also discuss how the levels of 
interference protection that such a limit would provide would also 
allow sufficient flexibility to conduct a wide range of experiments. 
The Commission also seeks comment on whether it should make special 
distinctions between indoor and outdoor use, either as part of the 
general terms of the research program experimental radio license grant 
or through distinct requirements associated with the testing and 
reporting requirements.
    12. The Commission also proposes to afford institutions much 
greater flexibility in choosing the frequency band(s) and technical 
characteristics associated with individual tests and experiments 
conducted under the authority of a research program experimental radio 
license. It recognizes that some types of experiments have added filing 
requirements under our existing rules. For example, Sec.  5.53(c) 
requires the submission of an environmental assessment in certain 
cases, Sec.  5.63(e) requires applicants for an experimental 
authorization involving a satellite system not already authorized by 
the Commission to submit information regarding orbital debris 
mitigation plans, and Sec.  5.63(a) sets forth procedures for 
requesting non-disclosure of proprietary information. These rules serve 
important legal and public interest purposes, and cannot be readily 
accommodated under the broad research license concept. The Commission 
therefore proposes to provide that a research program experimental 
radio license will not authorize any experiment that would require 
additional, specialized filings beyond the standard application 
requirements for an experimental radio license. Researchers proposing 
these types of experiments must apply for a conventional experimental 
radio license to obtain the necessary authorization for their tests. 
The Commission seeks comment on this proposal. In addition, are there 
other types of tests in addition to those discussed that require 
additional filings and, therefore, should not be authorized under a 
research program experimental radio license?
    13. While the Commission does not believe that it is necessary to 
impose overly prescriptive methods to control the potential for 
interference from experiments conducted under the broad authority of a 
research program experimental radio license, it emphasizes that all 
experiments must be conducted on a non-interference basis to primary 
and secondary licensees, and that the licensee must take all necessary 
technical and operational steps to avoid harmful interference to 
authorized services. Before conducting tests, a licensee must evaluate 
the propagation characteristics of the frequencies to be used in 
individual experiments, the operational nature of the services normally 
operating on those and nearby frequencies, and the specific operations 
listed within the Commission's licensing databases. On-line tools, such 
as the Commission's General Menu Reports system (GenMen), which allows 
users to search many different FCC licensing databases from one place, 
will facilitate these tasks. Experiments must be designed to use the 
minimum power necessary and be restricted to the smallest practicable 
area needed to accomplish the experiment's goals. Researchers may also 
decide to reduce the frequencies used in the experiment,

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restrict the time of use, limit the duration of tests, or employ other 
means to address potential interference concerns. The Commission 
further proposes to require that all experiments must comply with our 
existing experimental rules involving matters such as protected areas 
and antenna structure placement, but that these issues will not be 
routinely evaluated during the grant of the research license. In 
addition, the Commission notes that our existing experimental licensing 
rules require a licensee to transmit its assigned call sign unless it 
has been specifically exempted by the terms of its station 
authorization. The Commission believes that this requirement is 
important in that it makes it easier to identify signals from 
experiments, but it also recognizes that not all experimentation lends 
itself to easy over-the-air station identification. The Commission 
proposes to require that tests conducted under the authority of a 
research license either transmit station identification as part of the 
broadcast or provide detailed testing information (such as starting 
time and duration) via a web-based reporting portal. Because of the 
nature of the research license, the Commission proposes to require the 
communication of information that is sufficient to identify the license 
holder and the geographic coordinates of the station. The Commission is 
especially interested in comments regarding how it would structure the 
web-based reporting, and whether there are other notification methods 
that it should allow that do not require use of the actual experimental 
radio broadcast. The Commission seeks comment on these proposals.
    14. Prior to a new spectrum user's commencement of operations, 
notification is generally conducted to ensure that harmful interference 
concerns can be identified and corrected. In many cases under our 
existing experimental licensing procedures, the Commission issue grants 
that are conditioned on notifying or successfully coordinating with 
existing licensees. The Commission's diverse policies and procedures 
reflect the different operational, business, and engineering concerns 
posed by the many sharing scenarios of the multitude of spectrum uses 
possible under our rules. Under the research program experimental radio 
license concept, the Commission envisions that the nature and scope of 
individual tests will vary greatly. Some experiments will be conducted 
with the support of and in conjunction with existing licensees as part 
of research to improve existing network devices and system designs. For 
others, experimenters may opt to use short-term leasing or other 
secondary market mechanisms to secure access to spectrum bands on which 
they want to experiment. Many experiments may be confined to laboratory 
settings, or be conducted in shielded environments, such as Faraday 
cages, where the interference environment is tightly controlled. 
Because the appropriate level of notification to and coordination with 
incumbent licensees will necessarily vary for each of these 
experiments, we are not proposing to establish a specific coordination 
requirement for research program experimental radio licenses.
    15. The Commission nevertheless believes that it must make 
provisions for licensed users whose operations are geographically and/
or spectrally near ongoing experiments. First, the Commission proposes 
to require that prior to commencement of any experiment or test, 
certain information be made publicly available via a Commission 
developed web-based registration. The Commission proposes that such 
registrations contain contact information for the researcher in charge 
who can address concerns raised prior to testing as well as act as a 
``stop buzzer'' in the event that a licensee reports an unanticipated 
interference incident during the actual testing phase. In addition, the 
Commission proposes that these registrations contain the frequencies or 
frequency bands under test, the maximum effective isotropically 
radiated power (EIRP) or effective radiated power (ERP) under 
consideration (as applicable to the proposed experiment) and a 
description of the geographic area in which the test will be conducted. 
Should other information also be collected? The Commission proposes 
that these registrations be completed at least seven calendar days 
prior to commencement of any test or experiment to ensure that 
interested parties have sufficient time to assess whether they believe 
harmful interference may occur to their systems. Unlike our existing 
rules, however, experimenters would not have to await specific approval 
or authorization to conduct the test once the seven days has elapsed. 
Before conducting the experiment, the experimenter must evaluate and 
account for interference concerns raised by interested parties, and it 
must obey any instructions from the Commission to delay, modify, or 
abandon the experiment. Specifically, if any licensee of an authorized 
service raises interference concerns, the Commission proposes that the 
service licensee must contact the research program experimental radio 
license responsible party and the service licensee must post its 
concerns along with supporting documentation to the web registration 
page. The Commission proposes that the experiment not be permitted to 
commence until the parties resolve the issue. The Commission further 
proposes that the service licensee will bear the burden of proof that 
the proposed experiment will cause harmful interference. It is expected 
that parties work in good faith to resolve such concerns, including 
modifying experiments if necessary to reach an agreeable resolution. In 
making this proposal, the Commission seeks to balance the interests of 
incumbent spectrum users with the ability to conduct tests in a timely 
manner. Is seven days a sufficient timeframe? Or is it too long such 
that it may constrain testers from being able to adjust on-the-fly as 
they analyze current test results? Will the proposed method for 
resolving interference concerns prior to experimentation result in an 
efficient and fair process for identifying and addressing such 
concerns? Should the Commission require a specific dispute resolution 
process? At what point would it expect parties to raise their concerns 
directly with us?
    16. The Commission also notes that, under its existing rules, 
experiments must avoid use of public safety frequencies except when a 
compelling showing can be made that such use is in the public interest. 
Operation on public safety frequencies must also be coordinated. Should 
these provisions continue to apply to tests conducted under a research 
license? Will these requirements, in conjunction with the seven-day 
notice requirement we propose, be sufficient to protect public safety 
interests while encouraging important research and experimentation in 
this area? The Commission seeks comment on these proposals.
    17. Additionally, the Commission believes that the web-based 
registration can capture two reporting requirements that are currently 
part of our application process for conventional experimental radio 
licenses. In cases where the experiment is to be used for the purpose 
of fulfilling requirements of a contract with an agency of the United 
States government, or if the experiment is to be used for the sole 
purpose of developing equipment for exportation to be employed by 
stations under the jurisdiction of a foreign government, the Commission 
proposes that the registration contain the information currently 
required under Sec.  5.63(b) and

[[Page 6932]]

(c) of its rules. The Commission seeks comment on this proposal.
    18. The Commission proposes to implement additional measures that 
will make it easier for incumbent licensees and other interested 
parties to become aware of pending tests and make experimenters aware 
of their concerns, and seek comment on what those measures should be. 
Should the Commission develop an automated process for distributing 
such information by RSS feeds or other means? If so, should it further 
categorize this information by frequency band, geographic location, or 
other means? Would the Commission's Tower Construction Notification 
System (TCNS) serve as a useful model? TCNS allows companies to 
voluntarily submit notifications of proposed tower constructions to the 
FCC which in turn provides this information to federally-recognized 
Indian Tribes, Native Hawaiian Organizations (NHOs), and State Historic 
Preservation Officers (SHPOs) who can then respond directly to the 
companies if they have concerns about a proposed construction. The 
Commission seeks comment on this proposal.
    19. The Commission further believes that it must make special 
provisions to prevent harmful interference on the frequency bands that 
are commonly used in a campus setting and that are vital for public 
safety purposes or are used for campus security operations. For 
example, experiments on bands assigned to mobile service providers 
(e.g. the Cellular Radiotelephone Service, broadband PCS, AWS, 700 MHz) 
could have the potential to disrupt mobile telephone use on campus--at 
a minimum inconveniencing one of the most active and engaged mobile 
device user communities, and at worst, impeding the ability to reach 
911 or receive campus-wide emergency text alerts. Television and radio 
broadcast bands are used in support of the Emergency Alert System 
(EAS). In recognition of these vital interests, the Commission proposes 
to require that, for tests that affect bands used for the provision of 
commercial mobile services, emergency notifications, or public safety 
purposes on the institution's grounds, the licensee first develop a 
specific plan that avoids interference to these bands. The plan would: 
(1) Provide notice to those who might be affected by the test; (2) 
allow for the quick identification and elimination of any harm the 
experiment is causing users, and (3) in the case of vital public safety 
functions, provide an alternate means for accomplishing such tasks 
during the duration of the experiment. The Commission further proposes 
to require that the holder of the research program experimental radio 
license submit this plan to the Commission in conjunction with the 
registration it submits at least seven days prior to commencement of 
any test or experiment, as described above. The Commission would 
routinely make the entire submission publicly available. Should it also 
require that a licensee be required to specifically notify the 
commercial carrier(s) or other entit(ies) listed as the licensee for 
the affected band(s) in all of these situations, or only in situations 
where specified conditions are met (such as when the experiment will be 
conducted outside of buildings or away from controlled venues where 
access can be restricted, such as laboratories)? If so, should the 
Commission require the licensee's concurrence prior to the test? 
Ultimately, it wants to establish a process which delivers the benefits 
of experiments conducted at universities and research institutions, but 
that also prevents interference to users of wireless services and 
frequencies used for emergency and public safety purposes. The 
Commission seeks comment on these proposals.
    20. The Commission seeks comment on how it should address 
noncompliance with our rules and procedures, including the failure of a 
holder of a research program experimental radio license to address and 
resolve cases of harmful interference within a reasonable amount of 
time. The Commission proposes to modify the cancellation provisions of 
our rules to make it clear that it can both deny permission to conduct 
specific tests under a research program experimental radio license and 
that we can revoke the research program experimental radio license at 
any time. As an ultimate safeguard, the Commission will not hesitate to 
revoke a research program experimental radio license in cases where we 
find that an institution has not properly managed the expanded 
privileges associated with the license.
    21. The Commission notes that many institutions have offices that 
conduct administrative functions and provide coordination and support 
on a campus-wide scale. The Commission proposes to require each 
institution to identify a single point of contact who will be 
ultimately responsible for all experiments conducted under the research 
license--including that the reporting requirements it establishes for 
this type of authorization are met and all applicable rules are 
observed. This individual will serve as the initial point of contact 
for all matters involving interference resolution, and must have the 
ability to discontinue any and all experiments being conducted under 
the license, if necessary. The Commission proposes to require a 
licensee to identify this individual along with contact information 
such as a phone number and e-mail address at which he or she can be 
reached at any time of the day, and to keep this information current. 
The Commission seeks comment on other requirements, such as whether 
this designated individual should be required to respond to inquiries 
within a set time period, or possess the ability to halt experiments 
within a certain period of time? The Commission seeks comment on these 
matters, as well as the overall concept of requiring a single point of 
contact with this level of responsibility.
    22. The Commission believes that in addition to the registration 
process described, there should be a reporting requirement associated 
with the research program experimental radio license. The Commission 
tentatively concludes that it should be as minimally burdensome as 
possible and should be narrowly tailored to ensure that experiments 
conducted under the license comply with the Commission's rules and 
procedures and to build a public record of active innovation in the 
field of radio communications that can be used to encourage and inspire 
further technological advancements. Are there additional objectives the 
Commission has overlooked? How can it meet these objectives? The 
Commission proposes to require that after completion of an experiment, 
the license holder file a brief narrative statement describing the 
results of the test, including any interference incidents and steps 
taken to resolve them. What should constitute a ``test'' and at what 
point has a test evolved sufficiently to require a supplemental filing? 
Should the holder of a research program experimental radio license be 
required to file periodic reports (e.g., a yearly report) updating the 
status of ongoing tests, or summarizing the activity conducted under a 
research license? The Commission seeks comment on these matters.
    23. The Commission seeks comment on the duration, terms, and scope 
of a research license. While such a license is intended to afford 
qualified institutions greater flexibility in how they conduct 
experiments, it intends to ensure that all other rules and limitations 
of our existing experimental procedures will continue to apply. For 
example, holders of a research license cannot deploy permanent 
facilities or offer services for

[[Page 6933]]

sale. Similarly, the Commission proposes to issue these licenses for a 
limited, five-year duration, which is consistent with the longest 
experimental license term our rules currently allow. The Commission 
would permit license renewals. Is this an appropriate timeframe? In 
this context, would it make sense to issue initial research licenses 
for a lesser period and subsequently, upon sufficient showing of 
compliance with the rules the Commission adopts, issue renewals for 
five-year periods? It also asks how research licenses should govern 
experiments conducted by multiple institutions conducted across 
different campuses. The Commission proposes to require that each 
participating institution hold a research license (or obtain an 
individual license that would authorize the experiment), but that only 
one institution would be required to fulfill the reporting requirements 
associated with the research conducted across different campuses and 
that that institution be charged with identifying and making available 
the single point of contact with authority over the experiment. The 
Commission also seeks comment on how it should address specific 
licensing issues involving individual institutions. For example, if an 
institution has multiple campuses, should it issue one research program 
experimental radio license per institution that encompasses all 
campuses, or should it issue a separate license for each campus? Are 
situations where it should routinely issue more than one research 
program experimental radio license for a single campus, and if so, what 
are they? The Commission expects to direct applicants for research 
licenses to use FCC Form 442 and attach a supplemental narrative that 
sets forth the information it needs to assess the application (e.g. a 
showing that the applicant is a qualified institution, a description of 
the campus the license will cover, etc.). As the Commission transitions 
to a new Consolidated Licensing System (CLS), it will assess whether 
there is a more effective way to collect the information it needs to 
evaluate a research license application. The Commission seeks comment 
on these proposals.
    24. The Commission also asks whether it would be appropriate to 
initiate the research license concept in the context of a pilot 
program, by which it would choose a limited number of institutions to 
which it would grant licenses and under which it would evaluate the 
program before expanding its scope. The Commission recognizes that 
while the research license concept holds great promise for promoting 
research investment and fostering wireless innovation, it also needs to 
be sensitive to questions and concerns that commenters may raise in how 
to deploy this concept. Would a pilot program be an appropriate way to 
balance our interests in promoting innovation and flexibility while 
protecting against harmful or unanticipated interference? If so, would 
ten institutions be an appropriate number, and what criteria should be 
used to select them? Are there other provisions we should adopt that 
would make such a pilot program more successful? The Commission seeks 
comment on all of these proposals.
    25. Finally, the Commission notes that the experimental licensing 
rules currently have a provision for school and student authorizations. 
These rules, last updated in 1998, are generally intended for use by 
students through high school for purposes such as science fairs, school 
projects, and participation in radio clubs. The rules provide for an 
informal application by letter and allow transmissions in limited 
frequency bands at low power levels. Given the changes in both 
technology and the Commission's processes over the last twelve years 
including those proposed herein, the Commission questions whether these 
rules are still necessary. First, it is not aware that these rules have 
seen widespread use. In addition, the Commission notes that all 
applications are now required to be filed electronically and that 
students may want to experiment in more bands than those provided for 
in this rule. Thus, it proposes to eliminate this rule and require that 
students desiring to experiment obtain a conventional experimental 
radio license using the electronic filing process. If there is a good 
reason to keep these special provisions for students, how can we 
provide for a streamlined process? Advocates for such a process should 
provide specific suggestions regarding how such streamlining should be 
implemented. Alternatively, the Commission asks if these provisions 
should be maintained, but moved to part 15 to allow for student use of 
approved equipment on an unlicensed basis. Advocates for such an action 
should also address whether certain safeguards need to be added to the 
rule to ensure proper radio usage.
    26. The second proposed program license type--the innovation zone 
program experimental radio license--would give innovators greater 
flexibility to conduct and modify the terms of their experiments 
without having to secure the additional approvals that the traditional 
experimental authorization rules would require. Licensees nevertheless 
would still be bound by the general limitations that come with an 
experimental license and would be expected to limit individual 
experiments conducted under the license to the minimum scope and size 
necessary to accomplish the test's goals. The Commission envisions that 
innovation zones, which could include isolated or protected areas, 
could become havens for enterprise and innovation because it would 
permit experimenters to explore a variety of technologies with reduced 
barriers to entry.
    27. Innovation zone program experimental radio licenses would be 
structured similar to the research program experimental radio license 
model discussed above, and would have the same types of application and 
reporting requirements, except where described differently in the NPRM 
and accompanying proposed rules. Also, the eligibility and use 
restrictions would be different from those used for the research 
program experimental radio license program. Specifically, the 
Commission proposes that each licensee must hold appropriate technical 
credentials demonstrating advanced technical competence in radio 
engineering, but emphasize that applicants will not necessarily have to 
be associated with a college, university, or non-profit research 
organization to be eligible for an innovation zone program experimental 
radio license. The Commission envisions that innovation zones would 
permit operations over large areas, and would not be appropriate for 
use by a single entity at its exclusive-use facility (such as within a 
large manufacturer's plant grounds). Innovation zones would, however, 
be ideal for universities and research institutions that wish to 
conduct research in off-campus settings. The Commission seeks comment 
on this proposal generally, and whether there are additional technical 
qualifications that it should require of these licensees.
    28. The Commission seeks comment on what criteria it should use to 
identify areas that are sufficiently isolated or protected to serve as 
innovation zones. What propagation, geographic or other wireless 
engineering characteristics should it look for? To be effective, the 
authorization for innovation zones must allow for access to the largest 
range of frequencies practical. The Commission proposes that the 
innovation zone program experimental radio license broadly permit 
experiments on any frequency that is not specifically listed in Sec.  
15.205(a) of its rules, except that experiments could use frequencies

[[Page 6934]]

above 38.6 GHz so long as they are not listed in footnote US246 of the 
Table of Frequency Allocations. The Commission recognizes that in 
geographically remote areas it may not be necessary to impose 
limitations on the use of the restricted frequency bands. The 
Commission seeks comment on when and how it should impose restrictions 
on individual licenses and/or in particular innovation zones that are 
located in remote areas. The Commission recognizes that certain 
geographic areas offer great potential as innovation zones, but their 
use would raise additional considerations. For example, how should the 
Commission treat geographic areas and frequencies that it considers, 
here, to be in the Commission's inventory because they are not 
licensed? These large areas could provide an excellent opportunity for 
researchers to experiment on a wide scale with different network 
topologies and advanced communications systems without fear of 
encroaching on existing spectrum use. However, such areas could be 
subject to re-auction, limiting long-term research opportunities. The 
Commission proposes to permit such areas to be licensed as innovation 
zones, but to emphasize that experimental use is subject to 
discontinuance if the bands are re-auctioned prior to the end of the 
innovation zone license term. Similarly, should the Commission ties the 
availability of an innovation zone to specific frequency bands in the 
Commission's inventory? The Commission seeks comment on these matters.
    29. The Commission seeks comment on what requirements are necessary 
to allow for proper oversight of innovation zone program experimental 
radio licenses. The Commission proposes to delegate to the Office of 
Engineering and Technology the responsibility for establishing, 
maintaining, and routinely updating the list of available innovation 
zones. What additional provisions should it adopt? Should the 
Commission first identify geographic areas that are suitable innovation 
zones and promote their use among researchers, or are there different 
ways to build the innovation zone inventory? Should it limit the number 
of applicants for a specific zone or otherwise manage the use of this 
resource among different parties? Should it provide a single license 
with a requirement to provide and manage access to all parties seeking 
to conduct an experiment at fair and reasonable terms? For example, a 
single licensee could assign different experiments to different areas 
within the larger geographic area or provide a means for time-sharing 
equipment or could manage a database providing access on an as-needed 
basis to parties. Would this be a better approach than issuing multiple 
licenses within an innovation zone? The Commission points out that in 
the single licensee case there would be a single responsible party that 
could be contacted for gaining access or in instances where 
interference may be occurring. The Commission asks that advocates of 
the single licensee model provide comment on criteria it could use to 
select such a licensee.
    30. The Commission proposes to require the responsible party to 
file an application that describes the requested geographic area of 
operation, the frequencies to be used for testing, the maximum power 
levels associated with planned operations, and any other relevant 
technical characteristics pertaining to test equipment, antennas, etc., 
that would be necessary to identify and mitigate potential 
interference. An innovation zone licensee would then be permitted, 
under the terms of its license, to design and conduct any test that 
meets these criteria. The licensee would, however, be required to 
provide the Commission on a timely basis and through a web-based 
reporting system, an up-to-date list of the testing that is being 
conducted with at least a seven-day lead time before the tests are 
performed. It would also have to report the conclusion of individual 
tests. Should the holder of an innovation zone program experimental 
radio license be required to file periodic reports (e.g., a yearly 
report) updating the status of ongoing tests, or summarizing the 
activity conducted under its license? Are additional notification or 
coordination procedures warranted for experiments conducted in certain 
bands, such as those used for public safety or EAS purposes? If so, 
should the Commission apply the same pre-test notice process that it is 
proposing for the research licensee? The Commission tentatively 
concludes that innovation zone program experimental radio licenses 
should be granted for the same five-year duration it proposes for 
research experimental licenses to encourage robust levels of 
experimentation by minimizing administrative burdens, and that the 
Commission permit license renewals. The Commission also proposes to 
require the licensee to identify a single point of contact who has 
authority to stop any tests being conducted in the innovation zone, and 
to apply the same dispute resolution procedures it adopts for research 
program experimental radio licenses. The Commission seeks comment on 
these proposals.
    31. The third type of proposed program license is the medical 
program experimental radio license. This license would be available to 
hospitals and other health care institutions, and would facilitate the 
creation of cutting-edge test-bed facilities where manufacturers and 
developers could try out new wireless medical technologies and assess 
operational readiness. A medical experimental authorization would allow 
for the testing and operation of new medical devices that use wireless 
telecommunications technology for therapeutic, monitoring, or 
diagnostic purposes that have not yet been submitted for equipment 
certification, or for devices that use RF for ablation, so long as the 
equipment is designed to meet the FCC's technical rules. The FDA's 
investigational device exemption (IDE) may be applicable when these 
experiments involve patients. In this regard, the Commission notes that 
the FDA in consultation with the FCC is exploring approaches to 
streamline IDEs for wireless medical devices, when an IDE is required.
    32. The medical experimental license program would be supervised by 
the FCC in consultation with the FDA to determine the applicability and 
approval of the license to ensure that patient safety is considered. 
This program is not intended to replace the FDA's existing oversight 
and review programs.
    33. It is important that the Commission limit eligibility of 
medical program experimental radio licenses to the right institutions. 
Should it restrict licensing to entities that meet specific criteria, 
such as accreditation by a particular certification body--or should it 
instead require an entity, as part of its submission, to make an 
affirmative showing that it is engaged in the health care field and 
that it has sufficient resources and expertise to oversee tests 
conducted under the authority of a blanket license? How might the 
Commission include federal medical institutions such as those operated 
by the Department of Veterans Affairs or military services in this 
program, where the facility itself is under the jurisdiction of the 
Executive Branch and authorizations would ordinarily be granted by the 
NTIA, but certain tests might be conducted by non-federal entities? How 
could the Commission structure the coordination process between these 
governmental entities to balance the interests of military services 
while at the same time expediting the development of new medical 
devices? The Commission seeks comment on this

[[Page 6935]]

matter. The Commission proposes to require that, in all cases, 
facilities that seek a medical program experimental radio license 
demonstrate that they possess basic expertise in radio management. The 
Commission seeks comment on whether it should require baseline 
qualifications for demonstrating this expertise, or if it will be 
sufficient for applicants to make an affirmative showing that they hold 
these skills. For example, the Commission believes it is important to 
have the ability to identify and correct RF related problems. In this 
regard, it recognizes that some institutions may not be well versed in 
the FCC rules or spectrum management issues and may have to collaborate 
with an industry partner to develop new devices once a specific need is 
identified. In these instances, can the requirement for basic expertise 
in radio management be satisfied by the industry partner or should it 
reside with the host institution? Alternatively, could a third party be 
used to manage spectrum under the medical experimental authorization? 
For example, the American Society for Healthcare Engineering (ASHE) was 
designated by the Commission to manage the use of medical wireless 
telemetry equipment in health care settings. The Commission seeks 
comment on whether such an approach can work for medical research 
activities.
    34. The Commission tentatively concludes that the medical program 
experimental radio license should be granted to the institution that 
creates and manages the test bed environment in which the specific 
research activities will be conducted, as opposed to the manufacturers 
and experimenters who may be conducting the actual tests. The 
Commission believes that this approach strikes the right balance 
between our goal of promoting robust radio experimentation and the 
necessity of providing safeguards against harmful interference, because 
institutions can establish a single point of contact with knowledge of 
and control over all testing that is being conducted, and because such 
institutions should have ultimate control over their facilities. To the 
extent that the Commission permits the requirement for basic expertise 
in radio management to be satisfied an industry partner or third-party 
manager, how should it structure the licensing process? Should the 
Commission, for example, issue multiple licenses but require one party 
to identify itself as the responsible party?
    35. As with the research program experimental radio license and 
innovation zone program experimental radio license proposals, above, 
the Commission proposes that a medical program experimental radio 
license will offer broad authority under which individual tests will be 
conducted, but that such tests should be limited in scope to what is 
necessary to meet a particular test's goals. For example, the tests 
conducted under a medical program experimental radio license will 
provide researchers an opportunity to assess the susceptibility of new 
devices to interference as well as whether they might cause 
interference to other devices. Such tests can be conducted in a 
controlled environment so that any electromagnetic interference issues 
can be identified and remedied prior to devices being distributed to 
the public. The Commission proposes the same limitation on use of 
frequencies for medical program experimental radio licenses as it does 
for research program experimental radio and innovation zone program 
experimental radio licenses. That is, researchers may use any frequency 
so long as it is not listed in Sec.  15.205(a), except that frequencies 
above 38.6 GHz may be used so long as they are not listed in footnote 
US242 of the Table of Frequency Allocations.
    36. The Commission seeks comment on what information it should 
require of an applicant, in addition to a demonstration of its 
qualifications to hold a license. The Commission proposes to follow the 
same general application procedures as those to be established for the 
other program experimental radio license types. The Commission 
tentatively concludes that a licensee must specify the rule parts, 
frequencies, and geographic areas in which it plans to conduct tests. 
Is there additional information that it should require at the 
application stage? The Commission proposes that the license term be set 
for an initial five-year period, and that we permit license renewals. 
What other provisions should be incorporated into our rules?
    37. How should the Commission define the scope of permissible 
operations under a medical program experimental radio license? The 
Commission tentatively concludes that experiments conducted under the 
medical experimental authorization should be limited to investigations 
and tests involving therapeutic, monitoring, and diagnostic medical 
equipment and that the institution be given broad leeway to choose the 
frequency band(s) and technical characteristics appropriate to each 
experiment without having to seek specific prior FCC approval. The 
Commission also takes a fresh look at its existing experimental 
authorization rules as applied to medical equipment. Are there any 
rules that it should relax or modify due to the unique nature of or the 
importance of promoting advancements in the medical device field? As an 
initial matter, the Commission proposes that tests conducted under a 
medical experimental authorization not be subject to our traditional 
station identification rules. Our past experience in the medical device 
field suggests that such requirements are impractical for many of the 
devices it expects to be tested under the proposed new authorization, 
and that the typical power level and deployment environment for such 
devices will serve to reduce the potential for unanticipated 
interference that cannot be readily identified and resolved. Although 
the Commission proposes to require that operations must be tailored to 
comply with applicable FCC technical rules, should it also establish a 
method by which innovators can test devices that may not completely 
conform to the rules provided they have performed a risk assessment 
that includes an evaluation of how to protect the existing base of 
devices already in use in the medical facility? Are there any standards 
for risk assessment that should be used in this regard? The Commission 
asks because the test beds it hope to foster through medical 
experimental authorizations appear to be ideal venues to conduct 
empirical testing to support assertions that devices and systems will 
operate successfully in real-world settings. Should operations 
conducted under a medical experimental authorization be limited to a 
specific geographic area--such as the licensee's medical campus--or 
will the other proposed limitations on eligibility and operations 
provide sufficient protection against unanticipated consequences? More 
specifically can testing under a medical program experimental radio 
license be expanded to include body worn or implanted devices that 
travel with the patient, or should these types of tests be governed by 
the conventional experimental radio license? The Commission seeks 
comment on all of these matters.
    38. The Commission also seeks comment on what reporting 
requirements it should impose under a medical program experimental 
radio license. In exchange for the flexibility to conduct these tests, 
it believes that a license-holding institution should bear an 
obligation to prepare and submit a report detailing the results of its 
findings for review by the FCC and for dissemination to the medical 
community at large. Thus, just as teaching hospitals provide a venue

[[Page 6936]]

where new techniques can be developed and the knowledge shared, the 
medical experimental authorization would offer medical innovators 
fertile ground in which they could nurture and develop their ideas in a 
real-world setting, and where ideas and advancements can readily 
propagate throughout the medical community. The Commission proposes to 
require that the licensee submit, through the same Web site used for 
project registration, a report within 30 days after conclusion of the 
test that briefly summarizes its findings, and that the licensee also 
file a yearly report to the experimental licensing system of the 
activity that has been performed under the license. The Commission's 
intent with these reporting requirements is not to make public 
proprietary or company confidential information, but to provide a venue 
for sharing information that researchers would find beneficial in the 
goal of patient care. It also proposes that the licensee must provide 
the Commission on a timely basis an up-to-date list of the testing that 
is being conducted with at least a seven calendar day lead time before 
the tests are performed, and include such basic information as the 
frequencies and rule parts under which the medical device is intended 
to operate, the number of units that may be employed, the duration of 
the study, and the geographic scope of the experiment. Such information 
would make it easier to identify and remedy any unanticipated 
interference that may occur during the test. The Commission also 
proposes to apply the same dispute resolution procedures it adopts for 
research program experimental radio licenses. As with our other program 
experimental radio license proposals, the Commission anticipates that 
reports would be filed via a Commission web page, and that filings 
would be posted in a public and easily accessible manner. Because one 
of our objectives is to make available findings for review and 
dissemination to the medical community at large, the Commission 
specifically seeks comment on whether these proposed reporting 
requirements are sufficient to meet our goals. Specifically, are there 
other recognized reporting policies or protocols that are used within 
the medical community that we should be aware of? Are there ways for us 
to align elements of our reporting requirements with those policies?
    39. The Commission believes that the medical experimental 
authorization will create a new path for bringing innovative broadband 
and wireless-enabled medical devices to market, and will foster 
tangible advancements in the vital area of health care. By restricting 
licenses to qualified health care entities and for therapeutic, 
monitoring, and diagnostic medical equipment will provide protection 
against unanticipated harmful interference to other medical devices and 
existing radio services. As a practical matter, the Commission observes 
that many medical devices typically operate on a shared, non-exclusive 
secondary basis and at low power levels. Moreover, because of the 
coordination of this program with the FDA, as well as with that 
agency's overall regulatory oversight of medical devices, we believe 
that the testing of new and innovative devices under medical 
experimental authorizations can be accomplished in a way that protects 
patient safety and health. The Commission seeks comment on its 
proposal, and encourages commenters to help us craft this concept into 
rules that will create test-beds for the rapid and robust development 
of new medical devices.
    40. The Commission also proposes to modify the rules and procedures 
in order to bring more clarity to its rules regarding operating and 
marketing of RF devices prior to equipment approval and also to relax 
the conditions under which market trials can be conducted. The existing 
rules generally prohibit devices from being marketed or operated prior 
to receiving a grant of equipment authorization. However, exceptions do 
exist. Section 2.803 of the rules allows for conditional sales, 
advertising and display, and outright sales to certain businesses of 
equipment not yet certified so long as proper notice is provided to the 
prospective buyer. That rule section also provides for a manufacturer 
to operate its product for demonstration or evaluation purposes under 
the authority of a local FCC-licensed service provider. Additionally, 
Sec.  5.3(j) of our rules permits licensees operating under 
experimental radio authorizations to conduct ``limited market 
studies.'' Such studies are not defined in part 5, but Sec.  5.93 of 
our rules restrict equipment ownership to the licensee, require notice 
to participants that the operation is temporary, and stipulate that the 
size and scope of the experiment be subject to the limitations that the 
Commission establishes on a case-by-case basis.
    41. Section 2.803 of our rules describes when radio frequency 
devices may be marketed or operated prior to equipment authorization 
and typically would apply during the later stages of product 
development and pre-production. The Commission proposes to split this 
rule into two separate rules for marketing and for operating such 
devices. Our goal is to maintain the general requirement that devices 
may not be marketed or operated prior to equipment authorization, but 
to clarify and simplify the existing exceptions to this rule. Marketing 
of devices prior to equipment authorization is permitted limited 
purposes, such as making conditional sales contracts or in conjunction 
with trade show displays. Operation of devices prior to equipment 
authorization is conducted under the authority of a service license or 
a grant of special temporary authority, or under the rules for 
unlicensed devices in parts 15, 18 or 95. Additionally, both operation 
and marketing of radio frequency devices prior to equipment 
authorization is permitted pursuant to trials conducted under the 
authority of a part 5 experimental radio service authorization. The 
Commission proposes to clearly state this as an exception to our 
general part 2 rules.
    42. The Commission proposes to cross-reference the definition of 
``marketing'' as it is used in Sec.  2.803(e)(4) of our rules in the 
revised part 5 market trial rules we ultimately adopt. Under Sec.  
2.803(e)(4), marketing is defined to include sale or lease of 
equipment, 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. The 
Commission seeks comment on whether this definition meets the needs of 
parties interested in conducting market trials and ask if there 
alternative definitions or additional categories that should be added. 
The Commission will use the proposed definition as the basis for the 
remainder of our proposals, and make appropriate changes based on the 
record should the Commission move to adopt different market trial 
rules. Thus, the Commission asks that commenters who propose to expand 
the existing definition of ``marketing'' also provide detailed 
information on how other related rules need to be similarly modified.
    43. The Commission proposes to expand upon the existing concept of 
``limited market studies'' as currently codified in our part 5 rules. 
Specifically, the Commission proposes to adopt a new subpart that 
contains provisions for two types of trials--product development trials 
and market trials. A product development trial would be defined as an 
experimental program designed to evaluate product performance in the 
conceptual, developmental, and design stages, and that typically 
requires testing under expected use conditions. A market trial would be 
defined as a program designed

[[Page 6937]]

to evaluate product performance and customer acceptability prior to the 
production stage, and that typically requires testing under expected 
use conditions to evaluate actual performance and effectiveness. These 
trials would be conducted under the authority of a part 5 license and, 
because they would typically involve equipment that has not yet been 
authorized, would operate as an exception to our part 2 rules.
    44. The Commission's proposed rules for product development trials 
are designed to generally track the existing rules for limited market 
studies. The Commission proposes to explicitly prohibit the marketing 
of devices operated as part of a product development trial and retain 
the restrictions on ownership to the licensee and notification to users 
that are part of the existing limited market study rule. The Commission 
seeks comment on the proposed product development trial rules.
    45. A wide range of entities would be eligible to obtain an 
experimental authorization to conduct market trials, and we would grant 
multiple licenses in situations where more than one entity will be 
responsible for conducting the same market trial--such as when a 
manufacturer, system integrator, and service provider are testing 
consumer acceptance of a new device. Under the existing rules, a 
manufacturer may offer equipment for sale prior to certification but 
the prospective buyer is not authorized to operate the equipment; 
similarly, a manufacturer is authorized to operate the equipment at the 
prospective buyer's facilities but the licensee remains the responsible 
party. The Commission's proposed part 5 rules would provide a simpler 
means for manufactures and prospective buyers to conduct market trials. 
Additionally, because these rules are specifically designed to provide 
for expanded marketing opportunities to consumers and other third 
parties, we propose that when a market trial involves a device that has 
not yet been authorized, that the device must 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. The Commission seeks 
comment on these proposals.
    46. The Commission recognizes that a market trial often involves 
the offer for sale or lease of a device operated pursuant to a license 
so that manufacturers and service providers can evaluate customer 
demand for new capabilities or services and at what price. The proposed 
rules would permit us to issue part 5 licenses to more than one party 
conducting a market trial together (e.g., a manufacturer working in 
conjunction with a service provider) and allow licensees to sell 
equipment to each other. Licensees would retain ownership of equipment 
and only be permitted to lease equipment to trial participants, such as 
consumer end users, for purposes of the trial. Licensees would have to 
ensure that trial devices are either rendered inoperable or are 
retrieved at the end of the trial. Thus, the Commission does not 
propose to allow sales to consumers of equipment that has not yet been 
certified. While the benefits of allowing direct sales are clear from a 
marketing perspective, such a provision would put the ownership of 
uncertified equipment directly with consumers and complicate the 
Commission's efforts to enforce its rules. To the extent commenters 
discuss options that would provide for direct sales to consumers, they 
should provide detailed information regarding how such rules would be 
envisioned to function to enable valuable marketing information to be 
obtained, while ensuring that uncertified products do not flood the 
market without proper controls or create widespread interference. 
Specifically, what controls would need to be placed on such sales or on 
the operation of the devices marketed in this manner? Would it be 
feasible to transmit unique manufacturer codes to facilitate the 
resolution of interference issues? In the case of devices designed to 
be authorized under parts 15, 19 or 95 of our rules, and which would 
not normally require a license prior to operation, the Commission 
proposes to require that when these devices are to be included in a 
market trial that they be authorized under a part 5 license as would 
any other RF device. This approach would ensure that we have a licensee 
identified as the responsible party for conducting the market trial. 
The Commission seeks comment on this proposal.
    47. In many instances, developers and system integrators seek to 
obtain evaluation kits from manufacturers to test and evaluate a 
component that the manufacturer intends to offer for sale to facilitate 
the purchaser's development of hardware and software for use with that 
component. These kits typically consist of a component the manufacturer 
intends to offer for sale, mounted on a board, with or without an 
enclosure, in configurations that provide connections to a power 
supply, easy access to terminals, and sometimes supporting devices or 
other hardware. Under current rules, sales of these kits are not 
permitted before equipment authorization is granted for the component. 
This restriction delays the ability of manufacturers and system 
integrators to develop hardware and software for use with the 
component. To remedy this situation, the Commission proposes to modify 
Sec.  2.803 of the rules to allow the sale of these evaluation kits so 
long as notice stating that the component has not yet been certified is 
provided to any buyer. The Commission seeks comment on this proposal. 
Does our description of evaluation kits meet the needs of manufacturers 
or is too restrictive or not restrictive enough? Should the Commission 
restrict such sales to developers and system integrators? If so, how 
should it define these entities? Should such sales be limited in 
number? For example, should it only allow a manufacturer to sell 1000 
kits for a specific component per twelve month period? Are there any 
other considerations for which we need to account?
    48. The Commission also seeks comment on compliance testing under 
our rules. Section 2.803 of our rules provides for the operation of 
radio frequency devices for purposes of compliance testing, but does 
not eliminate the requirement to obtain a station license for products 
that normally require a license to operate. How should laboratories 
engaged in the testing of equipment, but that are not themselves 
manufacturers or licensed service providers, be authorized to conduct 
their work? Should the Commission make specific provisions in our part 
5 experimental radio service rules to issue licenses to laboratories 
accredited by accreditation bodies that it recognizes for RF product 
testing and consistent with their approved competencies? If so, should 
they be patterned after the program license model discussed, or in a 
different manner? What would be an appropriate license term and renewal 
process for such a license? Is there a different way to authorize these 
entities to perform compliance testing? The Commission seeks comment on 
this matter.
    49. An additional issue related to the ability to conduct effective 
market trials implicates our part 2 rules that limit equipment 
importation for devices that have not yet been certified. Section 
2.1204(a)(3) of our rules permits radio frequency devices to be 
imported in limited quantities ``for testing and evaluation to 
determine * * * suitability for marketing,'' but limits quantities to 
2000 units for products designed solely for operation within a

[[Page 6938]]

radio service which requires an operating license and 200 units for all 
other purposes (e.g., part 15 unlicensed devices, part 18 Industrial, 
Scientific and Medical equipment, and part 95 equipment that is 
licensed by rule). Recognizing that the majority of equipment and 
devices today are manufactured in other countries, the Commission 
believes that the current import restrictions may unduly constrain 
innovators from having the ability to conduct meaningful market studies 
and related tests. Practical experience, as measured by a steady stream 
of requests for waivers of this rule submitted to staff in our Office 
of Engineering and Technology, supports this observation.
    50. In response to a solicitation for comments for the 2006 
biennial review of the telecommunication regulations pursuant to 
Section 11 of the Communications Act (2006 Biennial Review), Hewlett-
Packard (HP) submitted comments recommending that the 200 device limit 
for RF devices that do not require an individual station license be 
amended to allow the importation of up to 1200 units for product 
development purposes. In addition, HP recommends that the importer be 
required to comply with rigorous reporting requirements, reflected in a 
quarterly report to the Commission, for importations greater than 200 
units. The Information Technology Industry Council (ITI) supports HP's 
recommendations, believing that they would reduce the burden on 
companies that have product development programs within the United 
States, but that utilize prototypes assembled outside of the United 
States. In a Staff Report, the Office of Engineering and Technology 
concurred with HP's recommendation to raise the import limit and 
recommended that the Commission issue a Notice of Proposed Rulemaking 
to modify Sec.  2.1204 of the rules. The Commission believes that the 
time is ripe to increase the importation limit for devices that will 
not require an individual station license from 200 units to the 1200 
units recommended by HP. This will better reflect current 
manufacturing, design, and marketing techniques and also decrease the 
administrative burden on both industry and the Commission. Is 1200 the 
correct ceiling? Should the limit be set higher to provide for more 
extensive market studies? Would a lower limit achieve an appropriate 
balance between easing the manufacturing process and our interest in 
maintaining appropriate controls on the importation of RF devices? 
Similar to our proposal above regarding the size of a market trial, the 
Commission tentatively concludes here that it would treat devices that 
contain both licensed and unlicensed transmitters under the more 
liberal 2000 unit limit applicable for licensed devices. The Commission 
seeks comment on this proposal. The Commission declines to propose HP's 
recommendation to implement a quarterly reporting system. The 
Commission believes that the same benefit can be achieved in a less 
burdensome way by requiring importers to maintain records of their 
imports under these provisions, allowing the Commission to request this 
information if needed. The Commission also proposes to clarify that RF 
devices may be imported not only for testing and evaluation purposes, 
but also for product development purposes. The Commission requests 
comment on these proposals.
    51. Finally, the Commission discusses the parties who should be 
held responsible for market trials. In the case of a manufacturer, the 
responsible party is readily apparent as the entity that built the 
device is conducting the study. However, in other instances, it is not 
always so apparent. For example, if a commercial carrier were to 
conduct a study using a new, not yet certified handset built by a third 
party is the carrier or the manufacturer the most logical responsible 
party? Similarly, manufacturers are increasingly incorporating one or 
more radio modules into devices. These modules can be manufactured by 
different entities and may be different than the final product 
assembler. Accordingly, the Commission has structured its proposed part 
5 market trial rules to specify that, in cases where separate licenses 
are issued because more than one entity is involved in conducting the 
same market trial, one party must be designated as the responsible 
party for the trial. The Commission seeks comment on this proposal. The 
Commission also invites comment on how and when to hold parties that 
are not designated as the responsible party for the trial liable for 
any rule violations.
    52. The Commission proposes to consolidate all experimental 
licensing rules under part 5 of the rules and to update the title of 
part 5 to remove the distinction between broadcast and all other 
experimental licenses. The Commission believes that there are enough 
similarities between the various Commission rules that allow for 
experimentation that the developmental licensing rules can be subsumed 
by the experimental licensing rules. Accordingly, the Commission 
proposes to eliminate the developmental rules and evaluate all future 
applications seeking any form of experimental or developmental 
authority under our part 5 experimental authorization rules. The 
Commission believes this will provide clear and consistent guidelines 
to all parties seeking to experiment and innovate. In addition, because 
the part 5 rules are generally more flexible than the various 
developmental rules, the Commission believes that this will only 
increase opportunities for experimentation as it removes several 
barriers that currently exist under its rules. We also point out that 
the Commission has announced its intention to develop a consolidated 
licensing system as a long-term initiative to combine the functions of 
our current licensing and applications systems. The purpose of this 
initiative is to develop a consolidated licensing system that is 
transparent, easy to use for the public and Commission staff, 
consistent with the FCC's data driven and fact-based rulemaking 
strategies, adaptable to evolving requirements, efficient, cost-
effective and green. The Commission believes that its proposals here 
will also advance the Commission's stated system development goals in 
this endeavor. The Commission seeks comment on its proposal to remove 
these developmental rules from the various service rule parts, and our 
observation that the types of operations permitted under developmental 
licenses can also be granted under our current part 5 experimental 
rules.
    53. The Commission recognizes that the developmental rules are not 
exact duplicates of our part 5 rules, and asks if are there any 
particular requirements under the various developmental rule sections 
that we must migrate to our part 5? For example, the rules for private 
radio meteor burst communications in Sec.  90.250 require that new 
authorizations be issued subject to the developmental grant procedure 
and that an application for issuance of a permanent authorization is to 
be filed prior to the expiration of the developmental authorization. 
The Commission proposes to retain the current structure of this rule 
when we move it to part 5, but to replace the existing requirement that 
an entity must first obtain a developmental authorization with the 
requirement that it must obtain an experimental license. The Commission 
seeks comment on this proposal and, more generally, whether the ``pre-
license'' concept embodied in the rule is even necessary. With respect 
to all of our existing developmental

[[Page 6939]]

rules, Commenters should specifically identify the rules they believe 
must be retained, and describe why the Commission's part 5 rules are 
inadequate by themselves.
    54. The proposal observes that there are currently ten active 
developmental licenses (four with pending renewal applications), and 
asks how to treat these existing developmental licenses. The Commission 
proposes to reissue these authorizations as experimental licenses under 
our part 5 rules, but seek comment on alternate approaches, such as 
allowing them to run to term and reapply for an experimental license or 
cancelling them outright and requiring licensees to reapply for an 
experimental license.
    55. The Broadcast services have their own set of rules delineating 
experimentation in parts 73 and 74 of our rules apart and separate from 
the more general part 5 rules. Experiments in the Broadcasting services 
rely heavily on broadcasting-specific engineering and licensing 
knowledge, and are typically designed to support the operations of 
existing broadcasters. Accordingly, the Commission does not propose to 
alter the process for conducting broadcast experiments under these 
rules, the ways these applications are filed or evaluated by the Media 
Bureau, or otherwise disturb existing practice. The Commission 
believes, however, that there is value in providing a single place 
within our rules where an applicant can see the entire breadth of what 
is permitted on an experimental basis. Thus, the Commission proposes to 
create a new subpart within part 5 into which it would move the 
relevant portions of the existing rules that are now in parts 73 and 
74; where possible, the Commission would take advantage of any 
similarities between existing part 5 rules and those currently in parts 
73 and 74 to ensure the removal of duplicative or unneeded rules. One 
benefit of this unified approach is that the Commission could provide 
clearer guidance than is available today regarding when an applicant 
should file for a broadcast experimental license as opposed to a more 
general experimental license, while retaining the necessary 
distinctions for broadcast-specific experimentation. The Commission 
seeks comment on this proposal and suggestions for any additional 
changes to these rules or other modifications necessary to accomplish 
our goals. Finally, by consolidating these regulations into part 5 the 
Commission does not intend to propose any change to the section 106 
historic preservation review applicable to broadcast experimental radio 
stations authorized by the Commission. The Commission seeks comment on 
new Sec.  5.205(c), governing the licensing of such stations, that 
would clarify that such stations do not qualify for the exclusion 
applicable generally to experimental authorizations simply because such 
authorizations are now issued under part 5 of the rules.
    56. The last topic addressed by the NPRM pertains to whether there 
are specific changes to the experimental rules and procedures that can 
be implemented to open new opportunities for experimentation and remove 
barriers that may have prevented timely and productive testing. The 
Commission also seeks comment on whether there are additional rules 
that it should modify or clarify in order to promote the overall goals 
of this proceeding. Should the Commission modify its rules to permit 
operation of radio frequency devices that are not yet certified without 
the need for an experimental license, so long as the devices are 
operated as part of a trade show demonstration and at or below the 
maximum power level permitted for unlicensed devices under our part 15 
rules? For example, the Commission believes that it would be beneficial 
to permit a land mobile radio that has been modified to not operate in 
excess of the part 15 power limits to be demonstrated without requiring 
an experimental authorization, given that our current rules allow 
demonstrations of devices designed to operate under the part 15 rules. 
Under such an approach, are there necessary limitations--such as 
restricting use to indoor environments or excluding the use of devices 
while in motion--that we need to consider? The Commission seeks 
comment. The Commission also finds that there are several part 5 rules 
that warrant additional review. For example, by eliminating the 
developmental rules, it can also delete Sec.  5.51(b) which directs 
potential applicants eligible for a service specific license seeking to 
develop an improvement in that service to apply for a developmental 
license rather than an experimental license. The Commission notes that 
Sec.  5.51(a) limits prospective applicants to persons qualified to 
conduct experimentation utilizing radio waves. Does this technical 
fitness test discourage potential innovators who wish to explore new 
ideas from seeking approval to conduct experiments and, if so, how 
could the Commission modify or restate this requirement? The Commission 
also seeks comment on whether other provisions of its rules serve to 
create unnecessarily burdensome checks on robust experimentation. Does 
Sec.  5.125, which restricts communications to other experimental 
stations authorized under part 5, stifle the potential for innovative 
technical solutions between experimental and developmental stages of 
product developments?
    57. The current experimental licensing rules do not address 
operation within an anechoic chamber or Faraday cage. This has led to 
many questions over the years regarding licensing requirements when 
operating RF equipment within either of these spaces. In addressing 
this situation, Commission staff has generally informed entities that 
for operations within anechoic chambers or Faraday cages, an 
experimental license was not needed because the potential for 
interfering with other radio services was practically non-existent. The 
Commission now seeks to codify this policy in the rules. Specifically, 
the Commission proposes to permit RF tests and experiments that are 
fully contained within an anechoic chamber or a Faraday cage to occur 
without the need for obtaining an experimental license. The Commission 
seeks comment on this proposal. Also, the Commission asks commenters to 
address the following questions. Should it specify a minimum standard 
for the shielding effectiveness of the chamber? Is their an industry 
standard that it can reference in setting forth such qualifications? If 
so, should one be specified within our rules?
    58. RF devices must meet certain technical requirements before they 
may be legally operated within the United States. Compliance with these 
requirements is ensured through the Commission's equipment 
authorization process which includes provisions for certification, 
verification and declaration of conformity. Often the equipment 
approval process requires testing at an open area test site (OATS). An 
OATS is typically located outside in areas free of reflective objects. 
Under our current rules, an experimental license is required for 
radiation emissions testing in conjunction with regulatory approval. 
How should entity's engaged in open area testing, but that are not 
themselves manufacturers or licensed service providers, be authorized 
to conduct their work? Should the Commission make specific provisions 
in its part 5 experimental radio service rules to issue licenses to 
these entities? If so, should the licenses be patterned after the 
program license model discussed, or in a different manner? What would 
be an appropriate license term and renewal process for such a license? 
Is there a different way to authorize these entities to perform 
testing? Are there any

[[Page 6940]]

limitations that the Commission should place on outdoor open area test 
sites? The Commission seeks comment on this matter.
    59. The Commission seeks comment on the proposals as discussed both 
within in this NPRM and in the accompanying appendix that sets forth 
our proposed rules, and on any related matter that is raised in this 
context. Commenters proposing a different course than the Commission 
has proposed in either this text or the accompanying rules should 
provide specific information detailing how their proposals fit into our 
overall goals of providing more flexibility for innovation and 
providing clear, concise experimental guidelines to the public.

Initial Regulatory Flexibility Analysis

    60. As required by the Regulatory Flexibility Act of 1980, as 
amended (RFA),\1\ the Commission has prepared this present Initial 
Regulatory Flexibility Analysis (IRFA) of the possible significant 
economic impact on small entities by the policies and rules proposed in 
this Notice of Proposed Rulemaking (NPRM). Written public comments are 
requested on this IRFA. Comments must be identified as responses to the 
IRFA and must be filed by the deadlines specified on the first page of 
this document. The Commission will send a copy of this NPRM, including 
this IRFA, to the Chief Counsel for Advocacy of the Small Business 
Administration (SBA).\2\
---------------------------------------------------------------------------

    \1\ See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601 through 612, has 
been amended by the Small Business Regulatory Enforcement Fairness 
Act of 1996, (SBREFA) Public Law 104-121, Title II, 110 Stat. 857 
(1996).
    \2\ See 5 U.S.C. 603(a).
---------------------------------------------------------------------------

A. Need for and Objectives of the Proposed Rules

    61. In this NPRM the Commission takes steps to promote innovation 
and efficiency in spectrum use in our Part 5 Experimental Radio Service 
(ERS). For many years, the ERS has provided fertile ground for testing 
innovative ideas that have led to new services and new devices for all 
sectors of the economy. We propose specific steps to accelerate the 
rate at which these ideas transform from prototypes to consumer devices 
and services. These proposals will contribute to advancements in 
devices and services available to the American public by enabling a 
quicker equipment development process and promoting greater spectrum 
efficiency over the long term.
    62. Six areas have been targeted which can provide increased 
opportunities for experimentation and innovation. In particular, our 
Notice of Proposed Rulemaking (NPRM) proposes to: (1) Create new 
opportunities for universities and researchers to use a wide variety of 
radio frequencies for experimentation under a broad research license 
that eliminates the need to obtain prior authorization before 
conducting individual experiments; (2) empower researchers to conduct 
tests in specified geographic locations with pre-authorized boundary 
conditions through the creation of new ``innovation zones''; (3) 
promote advancement in the development of medical radio devices by 
creating a medical experimental authorization that would be available 
to qualified hospitals, Veterans Administration (VA) facilities, and 
other medical institutions; (4) broaden opportunities for market 
studies by revising and consolidating our rules; (5) promote greater 
overall experimentation by streamlining our existing rules and 
procedures; and (6) open new opportunities for experimentation by 
making targeted modifications to our rules and procedures.

B. Legal Basis

    63. This action is authorized under sections 4(i), 301, and 303 of 
the Communications Act of 1934, as amended, 47 U.S.C. 154(i), 301, and 
303.

C. Description and Estimate of the Number of Small Entities to Which 
the Rules May Apply

    64. The RFA directs agencies to provide a description of and, where 
feasible, an estimate of the number of small entities that will be 
affected by the proposed rules.\3\ The RFA generally defines the term 
``small entity'' as having the same meaning as the terms ``small 
business,'' ``small organization,'' and ``small governmental 
jurisdiction.'' \4\ In addition, the term ``small business'' has the 
same meaning as the term ``small business concern'' under the Small 
Business Act.\5\ A small business concern is one which: (1) Is 
independently owned and operated; (2) is not dominant in its field of 
operation; and (3) satisfies any additional criteria established by the 
Small Business Administration (SBA).\6\
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    \3\ See 5 U.S.C. 603(b)(3), 604(a)(3).
    \4\ Id., 601(6).
    \5\ See 5 U.S.C. 601(3) (incorporating by reference the 
definition of ``small business concern'' in the Small Business Act, 
15 U.S.C. 632). Pursuant to 5 U.S.C. 601(3), the statutory 
definition of a small business applies ``unless an agency, after 
consultation with the Office of Advocacy of the Small Business 
Administration and after opportunity for public comment, establishes 
one or more definitions of such terms which are appropriate to the 
activities of the agency and publishes such definitions(s) in the 
Federal Register.''
    \6\ See 15 U.S.C. 632.
---------------------------------------------------------------------------

    65. Nationwide, there are a total of approximately 29.6 million 
small businesses, according to the SBA.\7\ A ``small organization'' is 
generally ``any not-for-profit enterprise which is independently owned 
and operated and is not dominant in its field.'' \8\ Nationwide, as of 
2002, there were approximately 1.6 million small organizations.\9\ The 
term ``small governmental jurisdiction'' is defined generally as 
``governments of cities, towns, townships, villages, school districts, 
or special districts, with a population of less than fifty thousand.'' 
\10\ Census Bureau data for 2002 indicate that there were 87,525 local 
governmental jurisdictions in the United States.\11\ We estimate that, 
of this total, 84,377 entities were ``small governmental 
jurisdictions.'' \12\ Thus, we estimate that most governmental 
jurisdictions are small.
---------------------------------------------------------------------------

    \7\ See SBA, Office of Advocacy, ``Frequently Asked Questions,'' 
http://web.sba.gov/faqs/faqindex.cfm?areaID=24 (revised Sept. 2009).
    \8\ See 5 U.S.C. 601(4).
    \9\ Independent Sector, The New Nonprofit Almanac & Desk 
Reference (2002).
    \10\ See 5 U.S.C. 601(5).
    \11\ U.S. Census Bureau, Statistical Abstract of the United 
States: 2006, Section 8, page 272, Table 415.
    \12\ We assume that the villages, school districts, and special 
districts are small, and total 48,558. See U.S. Census Bureau, 
Statistical Abstract of the United States: 2006, section 8, page 
273, Table 417. For 2002, Census Bureau data indicate that the total 
number of county, municipal, and township governments nationwide was 
38,967, of which 35,819 were small. Id.
---------------------------------------------------------------------------

    66. There is an overall trend of increasing experimental activity. 
For example, disposals (grants and dismissals) under the ERS increased 
from 1,067 in 2000 to 1,235 in 2005 to a projected 1,481 in 2010.\13\ 
By contrast, much less activity takes place under our developmental 
rules. Since 1999 in the non-broadcast (wireless) radio services, ten 
developmental licenses have been granted under part 22 (Public Mobile 
Services), one has been granted under part 80 (Maritime Services), 37 
have been granted under part 87 (Aviation Services), and eight have 
been granted under part 90 (Private Land Mobile Radio Services). None 
have been granted since 1999 under part 101 (Fixed Microwave Services).
---------------------------------------------------------------------------

    \13\ These figures include all Part 5 experimental application 
types: New licenses, modifications of licenses, assignment of 
licenses, license renewals, transfers of control, and grants of 
Special Temporary Authority. See https://fjallfoss.fcc.gov/oetcf/els/reports/GenericSearch.cfm.
---------------------------------------------------------------------------

    67. Wireless Telecommunications Carriers (except Satellite). Since 
2007, the Census Bureau has placed wireless firms within this new, 
broad, economic

[[Page 6941]]

census category.\14\ Prior to that time, such firms were within the 
now-superseded categories of ``Paging'' and ``Cellular and Other 
Wireless Telecommunications.'' \15\ Under the present and prior 
categories, the SBA has deemed a wireless business to be small if it 
has 1,500 or fewer employees.\16\ Because Census Bureau data are not 
yet available for the new category, we will estimate small business 
prevalence using the prior categories and associated data. For the 
category of Paging, data for 2002 show that there were 807 firms that 
operated for the entire year.\17\ Of this total, 804 firms had 
employment of 999 or fewer employees, and three firms had employment of 
1,000 employees or more.\18\ For the category of Cellular and Other 
Wireless Telecommunications, data for 2002 show that there were 1,397 
firms that operated for the entire year.\19\ Of this total, 1,378 firms 
had employment of 999 or fewer employees, and 19 firms had employment 
of 1,000 employees or more.\20\ Thus, we estimate that the majority of 
wireless firms are small.
---------------------------------------------------------------------------

    \14\ U.S. Census Bureau, 2007 NAICS Definitions, ``517210 
Wireless Telecommunications Categories (Except Satellite)''; http://www.census.gov/naics/2007/def/ND517210.HTM#N517210.
    \15\ U.S. Census Bureau, 2002 NAICS Definitions, ``517211 
Paging''; http://www.census.gov/epcd/naics02/def/NDEF517.HTM.; U.S. 
Census Bureau, 2002 NAICS Definitions, ``517212 Cellular and Other 
Wireless Telecommunications''; http://www.census.gov/epcd/naics02/def/NDEF517.HTM.
    \16\ See 13 CFR 121.201, NAICS code 517210 (2007 NAICS). The 
now-superseded, pre-2007 CFR citations were 13 CFR 121.201, NAICS 
codes 517211 and 517212 (referring to the 2002 NAICS).
    \17\ U.S. Census Bureau, 2002 Economic Census, Subject Series: 
Information, ``Establishment and Firm Size (Including Legal Form of 
Organization,'' Table 5, NAICS code 517211 (issued Nov. 2005).
    \18\ Id. The census data do not provide a more precise estimate 
of the number of firms that have employment of 1,500 or fewer 
employees; the largest category provided is for firms with ``1,000 
employees or more.''
    \19\ U.S. Census Bureau, 2002 Economic Census, Subject Series: 
Information, ``Establishment and Firm Size (Including Legal Form of 
Organization,'' Table 5, NAICS code 517212 (issued Nov. 2005).
    \20\ Id. The census data do not provide a more precise estimate 
of the number of firms that have employment of 1,500 or fewer 
employees; the largest category provided is for firms with ``1,000 
employees or more.''
---------------------------------------------------------------------------

    68. Fixed Microwave Services. Fixed microwave services include 
common carrier,\21\ private operational-fixed,\22\ and broadcast 
auxiliary radio services.\23\ At present, there are approximately 
22,015 common carrier fixed licensees and 61,670 private operational-
fixed licensees and broadcast auxiliary radio licensees in the 
microwave services. The Commission has not created a size standard for 
a small business specifically with respect to fixed microwave services. 
For purposes of this analysis, the Commission uses the SBA small 
business size standard for the category Wireless Telecommunications 
Carriers (except Satellite), which is 1,500 or fewer employees.\24\ The 
Commission does not have data specifying the number of these licensees 
that have no more than 1,500 employees, and thus are unable at this 
time to estimate with greater precision the number of fixed microwave 
service licensees that would qualify as small business concerns under 
the SBA's small business size standard. Consequently, the Commission 
estimates that there are 22,015 or fewer common carrier fixed licensees 
and 61,670 or fewer private operational-fixed licensees and broadcast 
auxiliary radio licensees in the microwave services that may be small 
and may be affected by the rules and policies proposed herein. We note, 
however, that the common carrier microwave fixed licensee category 
includes some large entities.
---------------------------------------------------------------------------

    \21\ See 47 CFR 101 et seq. for common carrier fixed microwave 
services (except Multipoint Distribution Service).
    \22\ Persons eligible under parts 80 and 90 of the Commission's 
rules can use Private Operational-Fixed Microwave services. See 47 
CFR parts 80 and 90. Stations in this service are called 
operational-fixed to distinguish them from common carrier and public 
fixed stations. Only the licensee may use the operational-fixed 
station, and only for communications related to the licensee's 
commercial, industrial, or safety operations.
    \23\ Auxiliary Microwave Service is governed by part 74 of Title 
47 of the Commission's rules. See 47 CFR part 74. This service is 
available to licensees of broadcast stations and to broadcast and 
cable network entities. Broadcast auxiliary microwave stations are 
used for relaying broadcast television signals from the studio to 
the transmitter, or between two points such as a main studio and an 
auxiliary studio. The service also includes mobile television 
pickups, which relay signals from a remote location back to the 
studio.
    \24\ See 13 CFR 121.201, NAICS code 517210.
---------------------------------------------------------------------------

    69. Unlicensed Personal Communications Services. As its name 
indicates, UPCS is not a licensed service. UPCS consists of intentional 
radiators operating in the frequency bands 1920-1930 MHz and 2390-2400 
MHz that provide a wide array of mobile and ancillary fixed 
communication services to individuals and businesses. The NPRM 
potentially affects UPCS operations in the 1920-1930 MHz band; 
operations in those frequencies are given flexibility to deploy both 
voice and data-based services. There is no accurate source for the 
number of operators in the UPCS. Since 2007, the Census Bureau has 
placed wireless firms within the new, broad, economic census category 
Wireless Telecommunications Carriers (except Satellite).\25\ Prior to 
that time, such firms were within the now-superseded category of 
``Paging'' and ``Cellular and Other Wireless Telecommunications.'' \26\ 
Under the present and prior categories, the SBA has deemed a wireless 
business to be small if it has 1,500 or fewer employees.\27\ Because 
Census Bureau data are not yet available for the new category, we will 
estimate small business prevalence using the prior categories and 
associated data. For the category of Paging, data for 2002 show that 
there were 807 firms that operated for the entire year.\28\ Of this 
total, 804 firms had employment of 999 or fewer employees, and three 
firms had employment of 1,000 employees or more.\29\ For the category 
of Cellular and Other Wireless Telecommunications, data for 2002 show 
that there were 1,397 firms that operated for the entire year.\30\ Of 
this total, 1,378 firms had employment of 999 or fewer employees, and 
19 firms had employment of 1,000 employees or more.\31\ Thus, we 
estimate that the majority of wireless firms are small.
---------------------------------------------------------------------------

    \25\ U.S. Census Bureau, 2007 NAICS Definitions, ``517210 
Wireless Telecommunications Categories (Except Satellite)''; http://www.census.gov/naics/2007/def/ND517210.HTM#N517210.
    \26\ U.S. Census Bureau, 2002 NAICS Definitions, ``517211 
Paging''; http://www.census.gov/epcd/naics02/def/NDEF517.HTM.; U.S. 
Census Bureau, 2002 NAICS Definitions, ``517212 Cellular and Other 
Wireless Telecommunications''; http://www.census.gov/epcd/naics02/def/NDEF517.HTM.
    \27\ See 13 CFR 121.201, NAICS code 517210 (2007 NAICS). The 
now-superseded, pre-2007 CFR citations were 13 CFR 121.201, NAICS 
codes 517211 and 517212 (referring to the 2002 NAICS).
    \28\ U.S. Census Bureau, 2002 Economic Census, Subject Series: 
Information, ``Establishment and Firm Size (Including Legal Form of 
Organization,'' Table 5, NAICS code 517211 (issued Nov. 2005).
    \29\ Id. The census data do not provide a more precise estimate 
of the number of firms that have employment of 1,500 or fewer 
employees; the largest category provided is for firms with ``1,000 
employees or more.''
    \30\ U.S. Census Bureau, 2002 Economic Census, Subject Series: 
Information, ``Establishment and Firm Size (Including Legal Form of 
Organization,'' Table 5, NAICS code 517212 (issued Nov. 2005).
    \31\ Id. The census data do not provide a more precise estimate 
of the number of firms that have employment of 1,500 or fewer 
employees; the largest category provided is for firms with ``1,000 
employees or more.''
---------------------------------------------------------------------------

    70. Aviation and Marine Radio Services. There are approximately 
26,162 aviation, 34,555 marine (ship), and 3,296 marine (coast) 
licensees.\32\ The Commission has not developed a small business size 
standard specifically

[[Page 6942]]

applicable to all licensees. For purposes of this analysis, we will use 
the SBA small business size standard for the category Wireless 
Telecommunications Carriers (except Satellite), which is 1,500 or fewer 
employees.\33\ We are unable to determine how many of those licensed 
fall under this standard. For purposes of our evaluations in this 
analysis, we estimate that there are up to approximately 62,969 
licensees that are small businesses under the SBA standard.\34\ In 
1998, the Commission held an auction of 42 VHF Public Coast licenses in 
the 157.1875-157.4500 MHz (ship transmit) and 161.775-162.0125 MHz 
(coast transmit) bands. For this auction, the Commission defined a 
``small'' business as an entity that, together with controlling 
interests and affiliates, has average gross revenues for the preceding 
three years not to exceed $15 million dollars. In addition, a ``very 
small'' business is one that, together with controlling interests and 
affiliates, has average gross revenues for the preceding three years 
not to exceed $3 million dollars.\35\ Further, the Commission made 
available Automated Maritime Telecommunications System (``AMTS'') 
licenses in Auctions 57 and 61.\36\ Winning bidders could claim status 
as a very small business or a small business. A very small business for 
this service is defined as an entity with attributed average annual 
gross revenues that do not exceed $3 million for the preceding three 
years, and a small business is defined as an entity with attributed 
average annual gross revenues of more than $3 million but less than $15 
million for the preceding three years.\37\ Three of the winning bidders 
in Auction 57 qualified as small or very small businesses, while three 
winning entities in Auction 61 qualified as very small businesses.
---------------------------------------------------------------------------

    \32\ Vessels that are not required by law to carry a radio and 
do not make international voyages or communications are not required 
to obtain an individual license. See Amendment of Parts 80 and 87 of 
the Commission's Rules To Permit Operation of Certain Domestic Ship 
and Aircraft Radio Stations Without Individual Licenses, Report and 
Order, WT Docket No. 96-82, 11 FCC Rcd 14849 (1996).
    \33\ See 13 CFR 121.201, NAICS code 517210.
    \34\ A licensee may have a license in more than one category.
    \35\ Amendment of the Commission's Rules Concerning Maritime 
Communications, PR Docket No. 92-257, Third Report and Order and 
Memorandum Opinion and Order, 13 FCC Rcd 19853 (1998).
    \36\ See ``Automated Maritime Telecommunications System Spectrum 
Auction Scheduled for September 15, 2004, Notice and Filing 
Requirements, Minimum Opening Bids, Upfront Payments and Other 
Auction Procedures,'' Public Notice, 19 FCC Rcd 9518 (WTB 2004); 
``Auction of Automated Maritime Telecommunications System Licenses 
Scheduled for August 3, 2005, Notice and Filing Requirements, 
Minimum Opening Bids, Upfront Payments and Other Auction Procedures 
for Auction No. 61,'' Public Notice, 20 FCC Rcd 7811 (WTB 2005).
    \37\ See 47 CFR 80.1252.
---------------------------------------------------------------------------

    71. Public Safety Radio Services. Public Safety radio services 
include police, fire, local government, forestry conservation, highway 
maintenance, and emergency medical services.\38\ There are a total of 
approximately 127,540 licensees in these services. Governmental 
entities \39\ as well as private businesses comprise the licensees for 
these services. All governmental entities with populations of less than 
50,000 fall within the definition of a small entity.\40\ The small 
private businesses fall within the ``wireless'' category described 
supra.
---------------------------------------------------------------------------

    \38\ With the exception of the special emergency service, these 
services are governed by Subpart B of part 90 of the Commission's 
rules, 47 CFR 90.15 through 90.27. The police service includes 
approximately 27,000 licensees that serve state, county, and 
municipal enforcement through telephony (voice), telegraphy (code) 
and teletype and facsimile (printed material). The fire radio 
service includes approximately 23,000 licensees comprised of private 
volunteer or professional fire companies as well as units under 
governmental control. The local government service that is presently 
comprised of approximately 41,000 licensees that are state, county, 
or municipal entities that use the radio for official purposes not 
covered by other public safety services. There are approximately 
7,000 licensees within the forestry service which is comprised of 
licensees from state departments of conservation and private forest 
organizations who set up communications networks among fire lookout 
towers and ground crews. The approximately 9,000 state and local 
governments are licensed to highway maintenance service provide 
emergency and routine communications to aid other public safety 
services to keep main roads safe for vehicular traffic. The 
approximately 1,000 licensees in the Emergency Medical Radio Service 
(``EMRS'') use the 39 channels allocated to this service for 
emergency medical service communications related to the delivery of 
emergency medical treatment. 47 CFR 90.15 through 90.27. The 
approximately 20,000 licensees in the special emergency service 
include medical services, rescue organizations, veterinarians, 
handicapped persons, disaster relief organizations, school buses, 
beach patrols, establishments in isolated areas, communications 
standby facilities, and emergency repair of public communications 
facilities. 47 CFR 90.33 through 90.55.
    \39\ See 47 CFR 1.1162.
    \40\ See 5 U.S.C. 601(5).
---------------------------------------------------------------------------

D. Description of Projected Reporting, Recordkeeping and Other 
Compliance Requirement for Small Entities

    72. The Notice of Proposed Rulemaking proposes to create a new type 
of experimental radio license, the program experimental radio license, 
which will permit qualified institutions to conduct an ongoing program 
of research and experimentation that would otherwise require the 
issuance of multiple individual experimental radio license 
authorizations under our existing rules. We have proposed new license 
application rules for these licenses, and program experimental radio 
licensees would have new requirements to file notification of planned 
experiments to be conducted under the license, resolve interference 
concerns that are raised by other licensees, and file post-experiment 
reports with the Commission. The Notice of Proposed Rulemaking also 
proposes to consolidate, clarify and streamline existing rules to 
facilitate experimentation in the radio spectrum. These proposed rules 
will, for example, permit entities to engage in additional marketing 
activities, but will more clearly specify when and how such marketing 
may take place, and what authorization is needed to operate 
radiofrequency equipment in conjunction with marketing activities. We 
project that by creating a new license type and by revising our 
existing rules, the proposed rules will serve to reduce the reporting, 
recordkeeping and other compliance requirements associated with the 
issuance of an experimental radio license.

E. Steps Taken To Minimize Significant Economic Impact on Small 
Entities, and Significant Alternatives Considered

    73. The RFA requires an agency to describe any significant 
alternatives that it has considered in reaching its proposed approach, 
which may include the following four alternatives (among others): (1) 
The establishment of differing compliance or reporting requirements or 
timetables that take into account the resources available to small 
entities; (2) the clarification, consolidation, or simplification of 
compliance or reporting requirements under the rule for small entities; 
(3) the use of performance, rather than design, standards; and (4) an 
exemption from coverage of the rule, or any part thereof, for small 
entities.\41\
---------------------------------------------------------------------------

    \41\ See 5 U.S.C. 603(c).
---------------------------------------------------------------------------

    74. We encourage comment regarding the possible alternatives to the 
approaches proposed, including any cost estimates. For instance, we 
note that we have considered and tentatively declined HP's 
recommendation to implement a quarterly tracking system.\42\ Comments 
with proposed alternatives will assist in reaching the best outcomes.
---------------------------------------------------------------------------

    \42\ See Notice of Proposed Rulemaking at paragraph 71.
---------------------------------------------------------------------------

F. Federal Rules That Might Duplicate, Overlap, or Conflict With the 
Proposed Rules

    75. None.

Ordering Clauses

    76. Pursuant to sections 4(i), 301, and 303 of the Communications 
Act of 1934, as amended, 47 U.S.C. 154(i), 301, and 303, this Notice of 
Proposed Rulemaking is adopted.
    77. The Commission's Consumer and Governmental Affairs Bureau, 
Reference

[[Page 6943]]

Information Center, shall send a copy of this Notice of Proposed Rule 
Making, including the Initial Regulatory Flexibility Analysis, to the 
Chief Counsel for Advocacy of the Small Business Administration.

List of Subjects in 47 CFR

Part 0

    Organization and functions (Government agencies).

Part 1

    Administrative practice and procedures, Reporting and recordkeeping 
requirements.

Parts 2 and 74

    Communications equipment, Radio, Reporting and recordkeeping 
requirements.

Part 5

    Radio, Reporting and recordkeeping requirements. Parts 22, 73, 80, 
87, 90 and 101 Communications equipment, Reporting and recordkeeping 
requirements.

Federal Communications Commission.
Marlene H. Dortch,
Secretary.

Proposed Rules

    For the reasons set forth in the preamble the Federal 
Communications Commission proposes to amend 47 CFR parts 0, 1, 2, 5, 
22, 73, 74, 80, 87, 90 and 101 to read as follows:

PART 0--COMMISSION ORGANIZATION

    1. The authority citation for part 0 continues to read as follows:

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

    2. Section 0.406 is amended by revising paragraph (b)(4) to read as 
follows:


Sec.  0.406  The rules and regulations.

* * * * *
    (b) * * *
    (4) Part 5, experimental radio service (including market trials). 
Part 5 deals with 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.
* * * * *

PART 1--PRACTICE AND PROCEDURE

    3. The authority citation for part 1 continues to read as follows:

    Authority:  15 U.S.C. 79 et seq.; 47 U.S.C. 151, 154(i), 154(j), 
155, 157, 225, 303(r), and 309.

    4. Section 1.77 is amended by revising paragraph (d) to read as 
follows:


Sec.  1.77  Detailed application procedures; cross references.

* * * * *
    (d) Rules governing applications for authorizations in the 
Experimental Radio Service (including market trials) are set forth in 
part 5 of this chapter.
* * * * *
    5. Section 1.544 is revised to read as follows:


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

    See Sec. Sec.  5.59 and 5.203 of this chapter.
    6. Section 1.913 is amended by revising paragraph (a)(1) to read as 
follows:


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

    (a) * * *
    (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.
* * * * *
    7. Section 1.981 is revised to read as follows:


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.
    8. Section 1.1307(b)(1) is amended by revising the entry 
``Experimental Radio, Auxiliary, Special Broadcast and Other Program 
Distributional Services (part 74)'' to Table 1, to read 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:
----------------------------------------------------------------------------------------------------------------
 
                                                  * * * * * * *
Auxiliary and Special Broadcast and Other         Subparts G and L: power > 100 W ERP.
 Program Distributional Services (part 74).
 
                                                  * * * * * * *
----------------------------------------------------------------------------------------------------------------

* * * * *

PART 2--FREQUENCY ALLOCATIONS AND RADIO TREATY MATTERS; GENERAL 
RULES AND REGULATIONS

    9. The authority citation for part 2 continues to read as follows:

    Authority:  47 U.S.C. 154, 302a, 303, and 336, unless otherwise 
noted.


Sec.  2.102  [Amended]

    10. In Sec.  2.102, remove and reserve paragraph (b)(2).

[[Page 6944]]

    11. Section 2.803 is revised to read as follows:


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 certification, the device has been 
authorized by the Commission in accordance with the rules in 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, 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 issued by the Commission, but which 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 product development and market trials 
conducted pursuant to subpart F of this chapter.
    (2) Limited marketing 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 products 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) Labeling requirements.
    (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 product being displayed is a prototype of a product that 
has been properly authorized and the prototype, itself, is not 
authorized due to differences between the prototype and the authorized 
product, this language may be used instead:
    Prototype. Not for sale.
    (d) Importation. The provisions of subpart K of this part continue 
to apply to imported radio frequency devices.
    12. Section 2.805 is added to read as follows:


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.
    (b) Exceptions. Operation prior to equipment authorization is 
permitted under the authority of an experimental radio service 
authorization issued under part 5 of this chapter or in accordance with 
the following provisions; however, except as provided elsewhere in this 
chapter, radio frequency devices operated under these provisions may 
not be marketed (as defined in Sec.  2.803(a)):
    (1) The radio frequency 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; and
    (2) Operation is conducted under the authority of a service license 
or a grant of special temporary authority, or the radio frequency 
device is designed to operate under parts 15, 18, or 95 of this 
chapter; and
    (3) The radio frequency device will be operated for at least one of 
these purposes:
    (i) Conducting compliance testing;
    (ii) Demonstrations at a trade show provided a notice containing 
the wording specified in Sec.  2.803(c)(1)(iii) is displayed in a 
conspicuous location on, or immediately adjacent to, the device;
    (iii) Demonstrations at an exhibition conducted at a business, 
commercial, industrial, scientific, or medical location, but excluding 
locations in a residential environment, provided a notice containing 
the wording specified Sec.  2.803(c)(1)(iii) is displayed in a 
conspicuous location on, or immediately adjacent to, the device or all 
prospective buyers at the 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
    (iv) Evaluation of product performance and determination of 
customer acceptability, during developmental, design, or pre-production 
states provided such operation takes place at a business, commercial, 
industrial, scientific, or medical location, but excluding locations in 
a residential environment. If the product is not operated at the 
manufacturer's facilities, it must be labeled with the wording 
specified in Sec.  2.803(c)(1)(iii).
    (c) A manufacturer may operate its product for demonstration or 
evaluation purposes under the authority of a licensed service provider, 
provided that the licensee grants permission the manufacturer to 
operate in this manner and the licensee continues to remain responsible 
for complying with all of the operating conditions and requirements 
associated with its license.
    (d) Importation. The provisions of subpart K of this part continue 
to apply to imported radio frequency devices.
    13. Section 2.1204 is amended by revising (a)(3) to read as 
follows:


Sec.  2.1204  Import conditions.

    (a) * * *
    (3) The radio frequency device is being imported in limited 
quantities 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. The 
phrase ``limited quantities,'' in this context means:
    (i) 2000 or fewer units, provided the product is designed, at least 
in part, 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) 1,200 or fewer units for all other products.
* * * * *
    14. Revise part 5 to read as follows:

[[Page 6945]]

PART 5--EXPERIMENTAL RADIO SERVICE (INCLUDING MARKET TRIALS)

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 of license.
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 experimental radio licenses.
5.81 Discontinuance of station operation.
5.83 Cancellation provisions.
5.84 Non-interference basis.
5.85 Frequencies and policy governing their assignment.
5.91 Notification of 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 Inspection and maintenance of antenna structure marking and 
associated control equipment.
5.110 Power limitations.
5.111 Limitations on use.
5.115 Station identification.
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.

Technical Operation and Operators

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

Requirements for all Program Experimental Radio Licenses

5.301 Requirements in other subparts.
5.303 Frequencies.
5.305 Program license not permitted.
5.307 Responsible party.
5.309 Notification requirements.
5.311 Additional requirements related to safety of the public.

Requirements Specific to Research Program Experimental Radio Licenses

5.321 Eligibility.
5.323 Area of operations.

Requirements Specific to Innovation Zone Program Experimental Radio 
Licenses

5.331 Eligibility.
5.333 Area of operations.

Requirements Specific to Medical Program Experimental Radio Licenses

5.341 Eligibility.
5.343 Additional requirements.
Subpart F--Product Development and Market Trials
5.401 Product Development Trials.
5.403 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.

Subpart A--General


Sec.  5.1  Basis and purpose.

    (a) The rules following in this part are promulgated pursuant to 
the provisions of Title III of the Communications Act of 1934, as 
amended, which vests authority in the Federal Communications Commission 
to regulate radio transmissions and to issue licenses for radio 
stations.
    (b) This part prescribes the manner in which parts of the radio 
frequency spectrum may be made available for experimentation as defined 
and provided for in this part.
    (c) This part prescribes the manner for conducting 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) 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.
    (j) Product development and market trials.
    (k) Types of experiments that are not specifically covered under 
paragraphs (a) through (j) of this section will be considered upon 
demonstration of need for such additional types of experiments.


Sec.  5.5  Definition of terms.

    For the purpose of this part, the following definitions shall be 
applicable. For other definitions, refer to part 2 of this chapter 
(Frequency Allocations and Radio Treaty Matters; General Rules and 
Regulations).
    Authorized frequency. The frequency assigned to a station by the 
Commission and specified in the instrument of authorization.
    Authorized power. The power assigned to a radio station by the 
Commission and specified in the instrument of authorization.
    Experimental radio service. A service in which radio waves are 
employed for purposes of experimentation in the radio art or for 
purposes of providing essential communications for research projects 
that could not be conducted without the benefit of such communications.
    Experimental station. A station utilizing radio waves in 
experiments with a view to the development of science or technique.
    Fixed service. A radiocommunication service between specified fixed 
points.
    Fixed station. A station in the fixed service.
    Harmful interference. Any radiation or induction that endangers the 
functioning of a radionavigation or safety service, or obstructs or 
repeatedly interrupts a radio service operating in accordance with the 
Table of Frequency Allocations and other provisions of part 2 of this 
chapter.
    Landing area. As defined by 49 U.S.C. 40102(a)(28), any locality, 
either of land

[[Page 6946]]

or water, including airdromes and intermediate landing fields, that is 
used, or intended to be used, for the landing and take-off of aircraft, 
whether or not facilities are provided for the shelter, servicing, or 
repair of aircraft, or for receiving or discharging passengers or 
cargo.
    Land station. A station in the mobile service not intended for 
operation while in motion.
    Market trials. A program designed to evaluate product performance 
and customer acceptability prior to the production stage, and typically 
requires testing a specific device under expected use conditions to 
evaluate actual performance and effectiveness.
    Mobile service. A radiocommunication service between mobile and 
land stations, or between mobile stations.
    Mobile station. A station in a mobile service intended to be used 
while in motion or during halts at unspecified points.
    Person. An individual, partnership, association, joint stock 
company, trust, or corporation.
    Product development trials. An experimental program designed to 
evaluate product performance in the conceptual, developmental, and 
design stages, and typically requires testing under expected use 
conditions.
    Public correspondence. Any telecommunication that offices and 
stations, by reason of their being at the disposal of the public, must 
accept for transmission.
    Radio service. An administrative subdivision of the field of 
radiocommunication. In an engineering sense, the subdivisions may be 
made according to the method of operation, as, for example, mobile 
service and fixed service. In a regulatory sense, the subdivisions may 
be descriptive of particular groups of licensees, as, for example, the 
groups of persons licensed under this part.
    Station authorization. Any license or special temporary 
authorization issued by the Commission.

Subpart B--Applications and Licenses Requirements


Sec.  5.51  Eligibility of license.

    (a) Authorizations for stations in the Experimental Radio Service 
will be issued only to persons qualified to conduct experimentation 
(including product development and market trials) using radio waves in 
a manner not provided by existing rules.
    (b) A station license shall not be granted to or held by a foreign 
government or a representative thereof.


Sec.  5.53  Station authorization required.

    No radio transmitter shall be operated in the Experimental Radio 
Service except under and in accordance with a proper station 
authorization granted by the Commission.


Sec.  5.54  Types of authorizations available.

    The Commission will issue the following types of experimental 
licenses:
    (a)(1) Conventional experimental radio license. A conventional 
experimental radio license will be issued for the conduct of a specific 
or series of related research or experimentation projects related to 
the development and advancement of new radio technologies and 
techniques or 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 shall be 
considered temporary and the special temporary authorization procedure 
outlined in Sec.  5.61 shall apply.
    (b) Broadcast experimental radio license. A broadcast experimental 
radio license will be issued for the purposes of carrying on 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. A program experimental 
radio license will be issued to qualified institutions and carry broad 
authority to conduct an ongoing program of research and experimentation 
under a single experimental authorization subject to the requirements 
of subpart E of this part. Three types of program experimental radio 
licenses are available.
    (1) Research institutions. These experimental licenses are 
available to qualified colleges, universities, and non-profit research 
organizations.
    (2) Innovation zones. These experimental licenses are available to 
entities with technical credentials demonstrating competence in radio 
engineering for experimentation within Commission defined geographic 
areas.
    (3) Medical research. These experimental licenses are available to 
hospital and health care institutions that demonstrate basic expertise 
in radio management for the testing and operation of new medical 
devices that use wireless telecommunications technology for therapeutic 
and diagnostic purposes or patient monitoring functions.

General Filing Requirements


Sec.  5.55  Filing of applications.

    (a) To assure that necessary information is supplied in a 
consistent manner by all persons, standard forms are prescribed for use 
in connection with applications, except for applications for special 
temporary authority (STA), and reports submitted for Commission 
consideration. Standard numbered forms applicable to the Experimental 
Radio Service are discussed 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 station location, proposed equipment, 
power, antenna height, and operating frequency; and other information 
required by the application form and this part.
    (d) For conventional and program experimental radio licenses:
    (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 authority 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.
    (e) For broadcast experimental radio licenses, applications for 
radio station authorization shall be filed 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

[[Page 6947]]

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 section 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 and program experimental radio 
licenses.
    (1) Application for new or modification. 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 or modification. An application for 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.


Sec.  5.61  Procedure for obtaining a special temporary authorization.

    (a)(1) An applicant may request STA not to exceed 6 months for 
operation of a conventional experimental radio service station.
    (2) 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.
    (3) In special situations defined in Sec.  1.915(b)(1) of this 
chapter, a request for STA may be made by telephone or telegraph 
provided a properly signed application is filed within 10 days of such 
request.
    (b) An application for special temporary authorization shall 
contain the following information:
    (1) Name, address, phone number (also e-mail address and facsimile 
number, if available) of the applicant.
    (2) Description of why an STA is needed.
    (3) Description of the operation to be conducted and its purpose.
    (4) Time and dates of proposed operation.
    (5) Class(es) of station (fixed, mobile, fixed and mobile) and call 
sign of station (if applicable).
    (6) Description of the location(s) and, if applicable, geographical 
coordinates of the proposed operation.
    (7) Equipment to be used, including name of manufacturer, model and 
number of units.
    (8) Frequency(ies) desired.
    (9) Maximum effective radiated power (ERP) or equivalent 
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 a special temporary authorization will be granted 
provided that an application for a regular experimental license that is 
consistent with the terms and conditions of that temporary authority 
has been filed at least 15 days prior to the expiration of the 
licensee's temporary authority. When such an application is timely 
filed, operations may continue in accordance with the other terms and 
conditions of the temporary authority pending disposition of the 
application, unless the applicant is notified otherwise by the 
Commission.


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:
    (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.

[[Page 6948]]

    (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 a narrative statement describing how the applicant meets the 
eligibility criteria set forth in subpart E of this part.


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 
will be entirely at the applicant's risk and will not entitle the 
applicant to any assurances that its proposed experiment will be 
subsequently approved or regular services subsequently authorized. 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 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, 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 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 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. In general, an assessment shall include an estimate as to 
whether portions of the spacecraft will survive re-entry and reach the 
surface of the Earth, as well as an estimate of the resulting 
probability of human casualty.


Sec.  5.65  Defective applications.

    (a) Applications that are defective with respect to completeness of 
answers to required questions, execution or other matters of a purely 
formal character may not be accepted for filing by the Commission, and 
may be returned to the applicant with a brief statement as to the 
omissions.
    (b) If an applicant is requested by the Commission to file any 
documents or information not included in the prescribed application 
form, a failure to comply with such request will constitute a defect in 
the application.
    (c) Applications 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.


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 submitted in the form of an amendment to the application.
    (b) Defective applications, as defined in Sec.  5.65, are subject 
to dismissal. Such dismissal will be without prejudice.


Sec.  5.69  License grants that differ from applications.

    In cases when the Commission grants a license with parameters that 
differ from those set forth in the application, an applicant may reject 
the grant by

[[Page 6949]]

filing, within 30 days from the effective date of the grant, a written 
description of its objections. Upon receipt of such request, the 
Commission will coordinate with the applicant in an attempt to resolve 
problems arising from the grant.


Sec.  5.71  License period.

    (a) Conventional experimental radio licenses.
    (1) The regular license period is 2 years. An applicant may apply 
for a license term up to 5 years, but must provide justification for a 
license of that duration.
    (2) A license may be renewed for up to 5 years upon an adequate 
showing of need to complete the experiment.
    (b) Program experimental radio licenses. Licenses are issued for 5 
years and may be renewed.
    (c) Broadcast experimental radio license. Licenses for broadcast 
experimental radio stations will be issued for a maximum one-year 
period.


Sec.  5.73  Experimental report.

    (a) Conventional experimental radio licenses.
    (1) The Commission may, as a condition of authorization, request 
the licensee to forward periodic reports in order to evaluate the 
progress of the experimental program.
    (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) Program and broadcast experimental radio licenses must follow 
the requirements in Sec. Sec.  5.207 and 5.309, respectively.


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 power output complies with the license and the 
regulations governing the same; and
    (4) That the transmitter as a whole or output power rating of the 
transmitter is not changed.
    (b) For conventional experimental radio stations, the changes 
permitted in paragraph (a) of this section may be 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 experimental radio licenses.

    A station authorization, the frequencies authorized to be used by 
the grantee of such authorization, and the rights therein granted by 
such authorization shall not be transferred, assigned, or in any manner 
either voluntarily or involuntarily disposed of, unless the Commission 
decides that such a transfer is in the public interest and gives its 
consent in writing.


Sec.  5.81  Discontinuance of station operation.

    In case of permanent discontinuance of operation of a station in 
the Experimental Radio Service, the licensee shall notify the 
Commission.


Sec.  5.83  Cancellation provisions.

    The applicant for a station in the Experimental Radio Services 
accepts the license with the express understanding:
    (a) That the authority to use the frequency or frequencies 
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) That said 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 basis.

    Operation of an experimental radio station is permitted only on the 
condition that harmful interference will not be caused to any station 
operating in accordance with the Table of Frequency Allocation of part 
2 of this chapter. If harmful interference to an established radio 
service develops, the licensee shall cease transmissions and such 
transmissions shall not be resumed until it is certain that harmful 
interference will not be caused.


Sec.  5.85  Frequencies and policy governing their assignment.

    (a) Stations operating in the Experimental Radio Service may be 
authorized to use any government or non-government frequency designated 
in the Table of Frequency Allocations set forth in part 2 of this 
chapter, provided that the need for the frequency requested is fully 
justified by the applicant, except that experimental stations may not 
be authorized the use of any frequency or frequency band exclusively 
allocated to the passive services (including the radio astronomy 
service).
    (b) Each frequency or band of frequencies available for assignment 
to stations in the Experimental Radio Service is available on a shared 
basis only, will not be assigned for the exclusive use of any one 
applicant, and such use may also be restricted to specified 
geographical areas.
    (c) Broadcast experimental radio stations. (1) Frequencies best 
suited to the purpose of the experimentation and on which there appears 
to be the least likelihood of interference to established stations 
shall be selected.
    (2) Except as indicated only frequencies allocated to broadcasting 
service will be 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. Applicants in the 
Experimental Radio Service must avoid use of public safety frequencies 
identified in part 90 of this chapter except when a compelling showing 
can be 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 be conditioned to require coordination 
between the experimental licensee and the appropriate frequency 
coordinator and/or all of the public safety licensees in its intended 
area of operation.
    (e) The Commission may, at its discretion, condition any 
experimental license or STA on the requirement that before commencing 
operation, the new licensee coordinate its proposed facility

[[Page 6950]]

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 harmful 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 
consult with the FCC's Enforcement Bureau, telephone (202) 418-1210, to 
discuss any protection necessary.
    (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 (e) 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;
    (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; and
    (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 1,000 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 (e) and (f)(3) of this section.


Sec.  5.91  Notification of the National Radio Astronomy Observatory.

    In order to minimize possible harmful interference at the National 
Radio Astronomy Observatory site located at Green Bank, Pocahontas 
County, West Virginia, and at the Naval Radio Research Observatory site 
at Sugar Grove, Pendleton County, West Virginia, any applicant for a 
station authorization other than mobile, temporary base, temporary 
fixed, Personal Radio, Civil Air Patrol, or Amateur seeking a station 
license for a new station, or a construction permit to construct a new 
station or to modify an existing station license in a manner that would 
change either the frequency, power, antenna height or directivity, or 
location of such a station within the area bounded by 39 deg. 15' N on 
the north, 78 deg. 30' W on the east, 37 deg. 30' N on the south and 80 
deg. 30' W on the west shall, at the time of 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 comply with the 
requirements set forth in Sec. Sec.  1.41 through 1.52 of this chapter.

Subpart C--Technical Standards and Operating Requirements


Sec.  5.101  Frequency stability.

    Licensees must use a frequency tolerance that would confine 
emissions within the band of operation, unless permission is granted to 
use a lesser frequency tolerance. Equipment is presumed to operate over 
the temperature range -20 to +50 degrees Celsius with an input voltage 
variation of 85% to 115% of rated input voltage, unless justification 
is presented to demonstrate otherwise.


Sec.  5.103  Types of emission.

    Stations in the Experimental Radio Service may be authorized to use 
any of the classifications of emissions covered in part 2 of this 
chapter.


Sec.  5.105  Authorized bandwidth.

    Each authorization issued to a station operating in this service 
will show, as the prefix to the emission classification, a figure 
specifying the maximum necessary bandwidth for the emission used. The 
authorized bandwidth is considered to be the occupied or necessary 
bandwidth, whichever is greater. This bandwidth shall be determined in 
accordance with Sec.  2.202 of this chapter.


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) 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.


Sec.  5.109  Inspection and maintenance of antenna structure marking 
and associated control equipment.

    The owner of each antenna structure required to be painted and/or 
illuminated under the provisions of section 303(q) of the 
Communications Act of 1934, as amended, shall operate and maintain the 
antenna structure painting and lighting in accordance with part 17 of 
this chapter. In the event of default by the owner, each licensee or

[[Page 6951]]

permittee shall be individually responsible for conforming to the 
requirements pertaining to antenna structure painting and lighting.


Sec.  5.110  Power limitations.

    (a) The operating power for all stations authorized under the 
experimental radio service shall be limited to the minimum practical 
radiated power.
    (b) For broadcast experimental radio stations, the operating power 
shall not exceed more than 5 percent above 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 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 shall make 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.
    (1) Research licenses and innovation zone licenses must comply with 
either:
    (i) 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
    (ii) Stations may post information sufficient to identify it on the 
Web site.
    (2) Medical facility licenses. Stations authorized under a medical 
facility license are exempt from the station identification 
requirement.


Sec.  5.121  Station record requirements.

    (a) For Conventional and program 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.
    (2) Information concerning any specific data requested by the FCC.


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.


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 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.  5.203  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

[[Page 6952]]

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 part 1 of this chapter, a 
Broadcast Experimental Radio Station authorized under this Subpart 
shall be considered an ``Experimental Broadcast Station authorized 
under part 74 of the Commission's rules.''


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.

Technical Operation and Operators


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 by the 
licensee of the broadcast experimental radio station retransmitting 
such program and made available to the FCC upon request.

[[Page 6953]]

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

Requirements for All Program Experimental Radio Licenses


Sec.  5.301  Requirements in other subparts.

    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.  5.303  Frequencies.

    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.


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 bySec.  5.64; or
    (c) The applicant requires non-disclosure of proprietary 
information.


Sec.  5.307  Responsible party.

    (a) Each program experimental radio license 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; and
    (2) Ensuring compliance with all applicable rules; and
    (b) The responsible individual will serve as the initial point of 
contact for all matters involving interference resolution and must have 
the ability to discontinue any and all experiments being conducted 
under the license, if necessary.
    (c) The responsible individual along with contact information, such 
as a phone number and e-mail address at which he or she can be reached 
at any time of the day, must be identified on the license application 
and will be listed on the license. Licensees are required to keep this 
information current.


Sec.  5.309  Notification requirements.

    (a) At least seven calendar days prior to commencement of any 
experiment under a program experimental radio license, licensees must 
provide the following information to the Web site to be provided in the 
final rules.
    (1) A narrative statement describing the experiment;
    (2) Contact information for the researcher in charge; and
    (3) Technical details including:
    (i) The frequency or frequency bands;
    (ii) The maximum effective 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;
    (vi) A public safety mitigation plan as required by Sec.  5.311, if 
necessary; and
    (vii) For medical program experimental radio licenses, the rule 
part for which the experimental device is intended.
    (b) Experiments may commence without specific approval or 
authorization once the seven calendar days have elapsed. However, if 
any licensee of an authorized service raises interference concerns, it 
must contact the program license responsible party and it must post its 
complaint along with supporting documentation to the Web page to be 
provided in the final rules. The experiment shall not commence until 
the parties resolve the complaint. The complainant bears the burden of 
proof that the proposed experiment will cause harmful interference. It 
is expected that parties work in good faith to resolve such concerns, 
including modifying experiments if necessary to reach an agreeable 
resolution.
    (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 Web site to be provided in the 
final rules and be associated with the materials described in 
paragraphs (a) and (b) of this section.
    (e) All information submitted pursuant to this section will be made 
publicly available.


Sec.  5.311  Additional requirements related to safety of the public.

    For experiments that may affect 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 and end users, who might be affected by the experiment;
    (b) Providing for the quick identification and elimination of any 
harm the experiment may cause; and
    (c) Providing an alternate means for accomplishing potentially 
affected vital public safety functions during the experiment.

[[Page 6954]]

Requirements Specific to Research Program Experimental Radio Licenses


Sec.  5.321  Eligibility.

    Research experimental licensees must:
    (a) Be:
    (1) An Accreditation Board for Engineering and Technology (ABET) 
accredited college or university with a graduate research program or 
existing industry partnership or
    (2) A Nationally recognized non-profit research laboratory.
    (b) Have a defined campus setting; and
    (c) Have institutional processes to monitor and effectively manage 
a wide variety of research projects.


Sec.  5.323  Area of operations.

    Applications must specify and the Commission will grant 
authorizations for a geographic area that is inclusive of an 
institution's real-property facilities.

Requirements Specific to Innovation Zone Program Experimental Radio 
Licenses


Sec.  5.331  Eligibility.

    Each licensee must hold appropriate technical credentials 
demonstrating technical competence in radio spectrum management.


Sec.  5.333  Area of operations.

    Innovation zone program experimental radio licenses are restricted 
to areas designated by the Commission as innovation zones, available 
for use by multiple parties, and will be listed on the Commission's Web 
site.

Requirement Specific to Medical Program Experimental Radio Licenses


Sec.  5.341  Eligibility.

    Medical program experimental radio licenses may be granted to 
hospitals and health care institutions that have demonstrated expertise 
in radio spectrum management.


Sec.  5.343  Additional requirements.

    (a) Experiments conducted under the authority of a medical program 
experimental radio license are limited to therapeutic and diagnostic 
medical equipment that is designed to meet the Commission's rules for 
such equipment.
    (b) Licensees of medical program experimental radio licenses shall 
file a yearly report of the activity that has been performed under the 
license.

Subpart F--Product Development and Market Trials


Sec.  5.401  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(j) of this part are subject to 
the following conditions:
    (a) All transmitting and/or receiving equipment used in the study 
shall be owned by the licensee.
    (b) The licensee is responsible for informing 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 limitations 
as the Commission shall 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.


Sec.  5.403  Market trials.

    Unless otherwise stated in the instrument of authorization, 
experimental radio licenses granted for the purpose of market trials 
pursuant to Sec.  5.3(j) 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, 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. A service provider shall 
be either a current FCC licensee or eligible for a license in the 
service that would eventually deploy the device being tested. If more 
than one licensee is authorized, one shall be designated as the 
responsible party for the trial.
    (d) All transmitting and/or receiving equipment used in the study 
shall be owned by the 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.

PART 22--PUBLIC MOBILE SERVICES

    15. The authority citation for part 22 continues to read as 
follows:


    Authority:  47 U.S.C. 154, 222, 303, 309, and 332.

    16. Section 22.165 is amended by revising paragraph (d)(2) to read 
as follows:


Sec.  22.165  Additional transmitters for existing systems.

* * * * *
    (d) * * *
    (2) Additional transmitters in the 43 MHz frequency range operate 
under experimental authority pursuant to part 5 of this chapter.
* * * * *


Sec.  22.377  [Amended]

    17. Remove and reserve paragraph (b) of Sec.  22.377.

Subpart D--[Removed and Reserved]

    18. Remove and reserve Subpart D.
    19. Section 22.591 is amended by revising the first sentence of 
paragraph (a) to read as follows:


Sec.  22.591  Channels for point-to-point operation.

* * * * *
    (a) The 72-76 MHz channels may be assigned under experimental 
authority pursuant to part 5 of this chapter and the requirements of 
Sec.  22.599 (c) and (d). * * *
* * * * *

[[Page 6955]]

    20. Section 22.599 is amended by revising paragraph (b) and adding 
new paragraphs (c) and (d) to read as follows:


Sec.  22.599  Assignment of 72-76 MHz channels.

* * * * *
    (b) 72-76 MHz channels may be assigned for use within 16 kilometers 
(10 miles) of a full service TV station transmitting on TV Channel 4 or 
5 under an experimental authorization, pursuant to Part 5 of this 
chapter. However, for use within 50 meters (164 feet) of a TV station 
transmitting on TV Channel 4 or 5, 72-76 MHZ channels may be assigned 
under a regular authorization, rather than an experimental 
authorization.
    (c) Carrier responsibility. Carriers so authorized shall operate 
the 72-76 MHz fixed station under experimental authority for a period 
of at least six months. During the experimental period, carriers must 
resolve any broadcast television receiver interference problems that 
may occur as a result of operation of the 72-76 MHz transmitter(s).
    (d) Exceptions. The FCC may grant a regular authorization in the 
Paging and Radiotelephone Service for a 72-76 MHz fixed station under 
the following circumstances:
    (1) After six months of operation under experimental authorization, 
and provided that broadcast TV interference complaints have been 
resolved by the carrier in a satisfactory manner. Licensees that hold 
an experimental authorization for a 72-76 MHz fixed station and wish to 
request a regular authorization must file an application using FCC Form 
601 via the ULS prior to the expiration of the experimental 
authorization.
    (2) In the case of the assignment of or a transfer of control of a 
regular authorization of a 72-76 MHz fixed station in the Paging and 
Radiotelephone Service, the FCC may grant such assignment or consent to 
such transfer of control provided that the station has been in 
continuous operation providing service with no substantial 
interruptions.

PART 73--RADIO BROADCAST SERVICES

    21. The authority citation for part 73 continues to read as 
follows:

    Authority:  47 U.S.C. 154, 303, 334, 336 and 339.


Sec.  73.1510  [Removed]

    22. Remove Sec.  73.1510.

PART 74--EXPERIMENTAL RADIO, AUXILIARY, SPECIAL BROADCAST AND OTHER 
PROGRAM DISTRIBUTIONAL SERVICES

    23. The authority citation for part 74 continues to read as 
follows:

    Authority:  47 U.S.C. 154, 302a, 303, 307, 336(f), 336(h) and 
554.

    24. Section 74.1 is revised to read as follows:


Sec.  74.1  Scope.

    (a) The rules in this subpart are applicable to the Auxiliary and 
Special Broadcast and Other Program Distributional Services.
    (b) Rules in part 74 which apply exclusively to a particular 
service are contained in that service subpart, as follows: Remote 
Pickup Broadcast Stations, Subpart D; Aural Broadcast STL and Intercity 
Relay Stations, Subpart E; TV Auxiliary Broadcast Stations, Subpart F; 
Low-power TV, TV Translator and TV Booster Stations, Subpart G; Low-
power Auxiliary Stations, Subpart H; FM Broadcast Translator Stations 
and FM Broadcast Booster Stations, subpart L of this part.
    25. Section 74.5 is amended by revising the introductory text to 
read as follows:


Sec.  74.5  Cross reference to rules in other parts.

    Certain rules applicable to Auxiliary, Special Broadcast and other 
Program Distribution services, some of which are also applicable to 
other services, are set forth in the following Parts of the FCC Rules 
and Regulations:
* * * * *
    26. Section 74.15 is amended by removing and reserving paragraph 
(a) and revising paragraph (f) to read as follows:


Sec.  74.15  Station license period.

    (a) [Reserved]
* * * * *
    (f) The license of an FM translator or FM broadcast booster, TV 
translator or TV broadcast booster, or low power TV station will expire 
as a matter of law upon failure to transmit broadcast signals for any 
consecutive 12-month period notwithstanding any provision, term, or 
condition of the license to the contrary. Further, if the license of 
any AM, FM, or TV broadcasting station licensed under part 73 of this 
chapter expires for failure to transmit signals for any consecutive 12-
month period, the licensee's authorizations under part 74, subparts D, 
E, F, and H in connection with the operation of that AM, FM, or TV 
broadcasting station will also expire notwithstanding any provision, 
term, or condition to the contrary.
* * * * *
    27. Section 74.16 is revised to read as follows:


Sec.  74.16  Temporary extension of station licenses.

    Where there is pending before the Commission any application, 
investigation, or proceeding which, after hearing, might lead to or 
make necessary the modification of, revocation of, or the refusal to 
renew an existing auxiliary broadcast station license or a television 
broadcast translator station license, the Commission in its discretion, 
may grant a temporary extension of such license: Provided, however, 
That no such temporary extension shall be construed as a finding by the 
Commission that the operation of any radio station there under will 
serve public interest, convenience, and necessity beyond the express 
terms of such temporary extension of license: And provided further, 
that such temporary extension of license will in no way affect or limit 
the action of the Commission with respect to any pending application or 
proceeding.
    28. Section 74.28 is revised to read as follows:


Sec.  74.28  Additional orders.

    In case the rules contained in this part do not cover all phases of 
operation with respect to external effects, the FCC may make 
supplemental or additional orders in each case as may be deemed 
necessary.

Subpart A--[Removed and Reserved]

    29. Remove and reserve Subpart A.
    30. Section 74.780 is amended by adding the entry ``Part 5--
Experimental Radio Service (including market trials) immediately 
following the introductory text, and removing the entry of ``Section 
73.1510--Experimental authorizations;'' to read as follows:


Sec.  74.780  Broadcast regulations applicable to translators, low 
power, and booster stations.

* * * * *
    Part 5--Experimental Radio Service (including market trials).
* * * * *

PART 80--STATIONS IN THE MARITIME SERVICES

    31. The authority citation for part 80 continues to read as 
follows:

    Authority: Secs. 4, 303, 307(e), 309, and 332, 48 Stat. 1066, 
1082, as amended; 47 U.S.C. 154, 303, 307(e), 309, and 332, unless

[[Page 6956]]

otherwise noted. Interpret or apply 48 Stat. 1064-1068, 1081-1105, 
as amended; 47 U.S.C. 151-155, 301-609; 3 UST 3450, 3 UST 4726, 12 
UST 2377.


Sec.  80.25  [Amended]

    32. Remove paragraph (c) of Sec.  80.25.


Sec.  80.33  [Removed]

    33. Remove Sec.  80.33.


Sec.  80.203  [Amended]

    34. Remove and reserve paragraph (j) of Sec.  80.203.


Sec.  80.25  [Amended]

    35. Remove paragraph (g) of Sec.  80.211.
    36. Section 80.377 is revised to read as follows:


Sec.  80.377  Frequencies for ship earth stations.

    The frequency band 1626.5-1645.5 MHz is assignable for 
communication operations and radiodetermination and telecommand 
messages that are associated with the position, orientation and 
operational functions of maritime satellite equipment. The frequency 
band 1645.5-1646.5 MHz is reserved for use in the Global Maritime 
Distress and Safety System (GMDSS).


Sec.  80.391  [Removed]

    37. Remove Sec.  80.391 and the undesignated center heading 
preceding the section.

PART 87--AVIATION SERVICES

    38. The authority citation for part 87 continues to read as 
follows:

    Authority:  47 U.S.C. 154, 303 and 307(e), unless otherwise 
noted.
    39. Section 87.27 is revised to read as follows:


Sec.  87.27  License term.

    Licenses for stations in the aviation services will normally be 
issued for a term of ten years from the date of original issuance, or 
renewal.


Sec.  87.37  [Removed]

    40. Remove Sec.  87.37.

PART 90--PRIVATE LAND MOBILE RADIO SERVICES

    41. The authority citation for part 90 continues to read as 
follows:

    Authority:  Sections 4(i), 11, 303(g), 303(r), and 332(c)(7) of 
the Communications Act of 1934, as amended, 47 U.S.C. 154(i), 161, 
303(g), 303(r), 332(c)(7).


Sec.  90.7  [Amended]

    42. Section 90.7 is amended by removing the definition for 
``Developmental Operation.''


Sec.  90.20  [Amended]

    43. Remove and reserve paragraph (e)(3) of Sec.  90.20.


Sec.  90.35  [Amended]

    44. Amend Sec.  90.35 as follows:
    a. Remove the entry for ``8,400 to 8,500'' from the table in 
paragraph (b)(3).
    b. Remove and reserve paragraphs (c)(75), (d)(6) and (e)(2) of 
Sec.  90.35.


Sec.  90.129  [Amended]

    45. Remove and reserve paragraph (f) of Sec.  90.129.


Sec.  90.149  [Amended]

    46. Remove paragraph (c) of Sec.  90.149.


Sec.  90.175  [Amended]

    47. Remove and reserve paragraph (j)(4) of Sec.  90.175.


Sec.  90.203  [Amended]

    48. Remove and reserve paragraph (b)(1) of Sec.  90.203.


Sec.  90.241  [Amended]

    49. Remove paragraph (e) of Sec.  90.241.
    50. Section 90.250 is amended by revising paragraph (i) to read as 
follows:


Sec.  90.250  Meteor burst communications.

* * * * *
    (i) Stations employing meteor burst communications shall not cause 
interference to other stations operating in accordance with the 
allocation table. New authorizations will be issued subject to the 
Commission's experimental licensing rules in part 5 of this chapter. 
Prior to expiration of the experimental authorization, application Form 
601 should be filed for issuance of a permanent authorization.

Subpart Q--[Removed and Reserved]

    51. Remove and reserve Subpart Q.

PART 101--FIXED MICROWAVE SERVICES

    52. The authority citation for part 101 continues to read as 
follows:

    Authority:  47 U.S.C. 154, 303.


Sec.  101.21  [Amended]

    53. Remove and reserve paragraph (b) of Sec.  101.21.
    54. Section 101.129 is amended by revising paragraph (a) to read as 
follows:


Sec.  101.129  Transmitter location.

    (a) The applicant must determine, prior to filing an application 
for a radio station authorization, that the antenna site specified 
therein is adequate to render the service proposed. In cases of 
questionable antenna locations, it is desirable to conduct propagation 
tests to indicate the field intensity which may be expected in the 
principal areas or at the fixed points of communication to be served, 
particularly where severe shadow problems may be expected. In 
considering applications proposing the use of such locations, the 
Commission may require site survey tests to be made pursuant to an 
experimental license under part 5 of this chapter. In such cases, 
propagation tests should be conducted in accordance with recognized 
engineering methods and should be made with a transmitting antenna 
simulating, as near as possible, the proposed antenna installation. 
Full data obtained from such surveys and its analysis, including a 
description of the methods used and the name, address and 
qualifications of the engineer making the survey, must be supplied to 
the Commission.
* * * * *

Subpart F--[Removed and Reserved]

    55. Remove and reserve Subpart F of part 101.

[FR Doc. 2011-1377 Filed 2-7-11; 8:45 am]
BILLING CODE 6712-01-P