[Federal Register Volume 78, Number 107 (Tuesday, June 4, 2013)]
[Rules and Regulations]
[Pages 33634-33653]
From the Federal Register Online via the Government Publishing Office [www.gpo.gov]
[FR Doc No: 2013-12716]



[[Page 33633]]

Vol. 78

Tuesday,

No. 107

June 4, 2013

Part IV





Federal Communications Commission





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47 CFR Parts 1, 2, and 15, et al.





Human Exposure to Radiofrequency Electromagnetic Fields; Reassessment 
of Exposure to Radiofrequency Electromagnetic Fields Limits and 
Policies; Final Rule and Proposed Rule

  Federal Register / Vol. 78, No. 107 / Tuesday, June 4, 2013 / Rules 
and Regulations  

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FEDERAL COMMUNICATIONS COMMISSION

47 CFR Parts 1, 2, and 95

[ET Docket No. 03-137; FCC 13-39]


Human Exposure to Radiofrequency Electromagnetic Fields

AGENCY: Federal Communications Commission.

ACTION: Final rule.

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SUMMARY: This document resolves several issues regarding compliance 
with the Federal Communications Commission's (FCC's) regulations for 
conducting environmental reviews under the National Environmental 
Policy Act (NEPA) as they relate to the guidelines for human exposure 
to RF electromagnetic fields. More specifically, the Commission 
clarifies evaluation procedures and references to determine compliance 
with its limits, including specific absorption rate (SAR) as a primary 
metric for compliance, consideration of the pinna (outer ear) as an 
extremity, and measurement of medical implant exposure. The Commission 
also elaborates on mitigation procedures to ensure compliances with its 
limits, including labeling and other requirements for occupational 
exposure classification, clarification of compliance responsibility at 
multiple transmitter sites, and labeling of fixed consumer 
transmitters.

DATES: Effective August 5, 2013.

FOR FURTHER INFORMATION CONTACT: Ed Mantiply, email: 
[email protected]; Martin Doczkat, email: [email protected]; the 
Commission's RF Safety Program, [email protected]; or call the Office of 
Engineering and Technology at (202) 418-2470.

SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Report 
and Order, ET Docket No. 03-137, FCC 13-39, adopted March 27, 2012 and 
released March 29, 2012. 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: www.fcc.gov. People with Disabilities: To 
request materials in accessible formats for people with disabilities 
(braille, large print, electronic files, audio format), send an email 
to [email protected] or call the Consumer & Governmental Affairs Bureau at 
202-418-0530 (voice), 202-418-0432 (tty).

Summary of Report and Order

    1. This Report and Order (Order) resolves issues raised in the 2003 
Notice of Proposed Rulemaking, (NPRM), specifically certain evaluation 
matters involving the determination of potential exposure levels by 
calculation or measurement and certain mitigation matters involving 
post-evaluation procedures to ensure exposure limits are not exceeded 
(such as labels, signs, barriers, enforcement, and occupational issues.

a. Evaluation of RF Exposure

    2. Currently, ``routine environmental evaluation'' is described in 
the Commission's rules as ``determination of compliance'' with its 
exposure limits, which could be achieved by either computation or 
measurement. Methods for evaluation of compliance include computation 
and measurement of field strength, power density, or specific 
absorption rate (SAR), depending on the RF source. The guidelines for 
evaluation of compliance with the Commission's human exposure limits 
can be found in OET Bulletin 65.
1. Primacy of Specific Absorption Rate (SAR) Over Power Density or 
Field Strength Below 6 GHz
    3. In the NPRM, the Commission proposed to allow evaluation based 
on specific absorption rate (SAR) in lieu of maximum permissible 
exposure (MPE) for fixed and mobile RF sources below 6 GHz, since the 
MPE limits are derived from the SAR limits. Comments received were 
generally supportive.
    4. Decision. The Commission amends its rules as proposed. (SAR 
evaluation continues to be required as the only acceptable compliance 
metric for portable devices below 6 GHz.) Entities can continue to use 
derived MPE evaluation methods for fixed and mobile RF sources where 
appropriate, as long as compliance with both the whole-body and 
localized SAR limits are ensured.
    5. As SAR is the basic restriction developed to safeguard human 
health from the effects of RF emissions and MPE limits were derived 
from whole-body SAR, compliance with the SAR guidelines directly will 
provide ipso facto the protection specified in the Commission's RF 
safety guidelines. However, for whole-body exposure at distances 
greater than 20 centimeters and below 6 GHz, the Commission continues 
to consider spatial-averaging techniques as sufficient to use along 
with MPE to demonstrate compliance with both localized and whole-body 
SAR limits in non-uniform fields in most cases.
    6. In a compliance showing that uses SAR, the proponent must 
demonstrate that the device was evaluated in all applicable operating 
configurations and exposure conditions, considering both whole- and 
partial-body limits and both near- and far-field situations. The 
Commission will continue to allow MPE for demonstration of compliance 
with its limits under the conditions it has allowed in the past as a 
matter of choice SAR evaluation post factum where a violation of the 
MPE limits is found cannot be used to undermine enforceability of the 
MPE limits.
2. Technical Evaluation References in Rules
    7. In the NPRM, the Commission proposed to discontinue the Office 
of Engineering and Technology (OET) Bulletin 65 Supplement C, an 
informational document which provides guidance and general statements 
of its policies with regard to its RF exposure limits for portable and 
mobile devices, since OET is able to provide more up-to-date 
information for these devices in its Knowledge Database (KDB). The 
Commission also proposed to require that adequate documentation be 
provided with any application relying on computational modeling to 
demonstrated compliance showing that the test device and exposure 
conditions have been correctly modeled.
    8. Decision. The Commission amends the rules as proposed to 
reference the KDB in lieu of Supplement C to provide current guidance 
and policies on acceptable procedures for evaluating wireless devices. 
This will provide the Commission with the ability to promptly update 
this guidance as the work of expert bodies and other research indicate 
that changes are appropriate. Rulemaking procedures are not required by 
the Administrative Procedure Act for interpretative guidance and 
general statements of Commission policy. See Administrative Procedure 
Act, 5 U.S.C. 553(b)(A). Exceptions to rulemaking include 
``interpretative rules, general statements of policy, or rules of 
agency organization, procedure, or practice.'' The KDB falls within 
this scope.
    9. The Commission fully intends to continue to use the KDB to 
provide guidance on techniques and methodologies recommended by 
internationally and domestically accepted expert standards bodies, such 
as the IEEE and the IEC, to the extent

[[Page 33635]]

that their standard procedures ensure compliance with the Commission's 
exposure limits. However, it is the responsibility of this Commission 
to ensure compliance with its exposure limits, and thus this agency 
will make the ultimate judgment as to whether it should include them. 
By issuing the Commission's own guidance on its policies, it can 
communicate how best to incorporate the input of all relevant expert 
standards, readily use the most appropriate elements of conflicting 
outside standards, and also provide any additional information that may 
be helpful for evaluation.
    10. The Commission also adopts its proposal to modify the language 
of Sec.  2.1093(d)(3) to require that adequate documentation be 
provided in all cases relying on computational modeling. Parties are 
currently required to submit technical documentation supportive of the 
basis for compliance only upon request by the Commission, which would 
occur if there is information to cast doubt on the assertion of 
compliance. In the case of computational modeling, however, a review of 
the technical bases for the modeling of the test device and exposure 
conditions is required in order for the Commission to make a 
determination of compliance before approval.
3. Pinna (Outer Ear) Classification as an Extremity
    11. In the NPRM, the Commission requested comment on classifying 
the pinna (outer ear) as an extremity, to which less stringent exposure 
criteria would apply. Currently, the outer ear, or ``pinna,'' is not 
explicitly included on the list of exceptions from the localized SAR 
limits for ``extremities'' in the Commission's rules. Nor has the 
Commission treated the pinna as subject to the localized SAR limits 
applicable to the head or required parties seeking equipment 
authorizations to measure or calculate localized SAR in the pinna, as 
there is no standard for SAR measurement in the pinna. At the time of 
the NPRM IEEE Std 1528-2003 described the measurement procedure to be 
used for SAR measurement in the human head from cell phones. It stated 
in pertinent part that, ``[t]he measurement of SAR induced in the 
external tissues of the head, e.g., the external ear (pinna), is not 
addressed in this standard.'' It stated further that, ``[t]his 
recommended practice does not address the measurement of SAR induced in 
the external tissues of the head, e.g., the external ear (pinna).'' 
IEEE subsequently initiated deliberations to consider classifying the 
pinna as an extremity.
    12. Decision. The Commission received comments for and against this 
classification, and it amends Sec.  1.1310 of its rules to subject the 
pinnae to the same RF exposure limit currently applicable to hands, 
wrists, feet, and ankles. The classification of the pinna as an 
extremity is supported by the expert determinations of the FDA (which 
has the expertise and statutory responsibility to carry out a program 
designed to protect public health and safety from electronic product 
radiation) and of the IEEE and will have no practical impact on the 
amount of human exposure to RF radiation, and is therefore appropriate.
4. Part 1/Part 95 MedRadio (Formerly Medical Implant Communications 
Service) Measurement Consistency
    12. Section 1.1307(b)(2) requires initial SAR evaluation for 
medical devices within the Medical Device Radiocommunication Service 
(MedRadio Service) by either computation or measurement, but for 
MedRadio medical implant transmitters, Sec.  95.1221 allows only 
computation for initial evaluation of these devices. In the NPRM, the 
Commission proposed to amend Sec.  95.1221 to correct this 
inconsistency to allow either computation or measurement in both 
sections.
    13. Decision. The Commission amends the rule as proposed. The 
inconsistency originated with the promulgation of Sec.  95.603(f) and 
was perpetuated when the Commission relocated that section to another 
location in part 95, renumbering it as Sec.  95.1221, as a result of 
the establishment of the new MedRadio Service.

b. Mitigation

    14. Mitigation matters are post-evaluation procedures to ensure 
exposure limits are not exceeded, such as labels, signs, barriers, 
enforcement, and occupational issues. The Commission includes in this 
section clarifications related to the application of occupational 
exposure limits for devices and at fixed transmitter sites.
5. Labeling and Instructions for Mobile and Portable Devices Intended 
for Occupational Use Only
    15. In the NPRM, the Commission proposed more specific labeling and 
instructional requirements for devices intended to be operated only in 
an occupational setting.
    16. Decision. Comments received were generally supportive, and the 
Commission adopts its proposed changes in Sec. Sec.  2.1091(d)(3) and 
2.1093(d)(1) of its rules. The Commission is adopting labeling 
requirements related to occupational/controlled exposure from mobile 
and portable devices, consistent with its proposals and the comments it 
received, by modifying Sec. Sec.  2.1091(d)(3) and 2.1093(d)(1) to 
provide that labels may be used to satisfy the requirements for making 
workers aware of the potential for exposure under the conditions 
proposed in the NPRM. In addition, the Commission will update OET 
Laboratory Division publications as necessary to provide more detailed 
guidance on complying with the requirements for labeling devices 
intended for occupational use. The Commission does not consider that 
label placement in the battery compartment helps ensure integrity and 
legibility of a label, nor is it clearly visible to the user. However, 
a ``screen flash'' option on power up is a more practical solution than 
external labeling, and so the Commission refers in general to either 
labels or a screen flash as ``visual advisories'' required in the final 
rules. On the other hand, the Commission does not specify a format for 
visual advisories at this time but rather encourages development of 
labeling standards using similar symbols, colors, and signal words. 
With respect to requirements for coordination between equipment 
manufacturers and end users on training, the Commission is adopting 
language that coordination with end-user organizations is encouraged 
but not required. However, as discussed in the R&O training is required 
for persons subject to exposure in excess of the general population 
exposure limits.
6. Clarification of Application of Occupational Exposure Limits
    17. The Commission's occupation/controlled limits apply in part 
when individuals are ``fully aware'' of and can ``exercise control'' 
over their exposure. In the NPRM, the Commission proposed to state in 
its rules that appropriate information and training is necessary to 
achieve full awareness and control of exposure and to identify what 
would constitute appropriate information and training.
    18. Decision. The Commission adopts its proposals with minor 
modification based on the comments received. The Commission specifies 
that for individuals exposed as a consequence of their employment, 
using the occupational/controlled limits, written and/or verbal 
(orally-communicated) information must be provided, at the discretion 
of the responsible party as is

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necessary to ensure compliance with the occupational/controlled limits. 
In addition, with the exception of transient individuals, appropriate 
training regarding work practices that will ensure that exposed persons 
are ``fully aware of the potential for exposure and can exercise 
control over their exposure'' is required to be provided. The 
Commission concludes that this two-tiered approach will provide 
sufficient information to ensure that people are adequately protected.
    19. Regarding specific guidelines on what kind of information is 
required and what constitutes adequate training, the Commission will 
rely primarily on instructional and training resources already 
available. Section 1.1310 of the Commission's rules already references 
OET Bulletin 65 as one resource, and it plans to update this bulletin 
after the conclusion of this docket to provide additional information 
regarding RF safety programs and available resources, including 
information now incorporated in the IEEE C95.7 recommended practice for 
RF safety programs referenced in the NPRM. The Commission notes that 
training is not required for transient individuals, but they must 
receive written and/or verbal information and notification (for 
example, using signs) concerning their exposure potential and 
appropriate means available to mitigate their exposure. The Commission 
further notes that the designation of ``transient individual'' applies 
to visitors and people traversing the site, not to third-party workers 
performing maintenance on the site for an extended period. However, in 
the event of complaints that result in enforcement investigations, the 
Commission will evaluate, on a case-by-case basis, whether the 
information requirements are met, and if not whether the general 
population/uncontrolled exposure limits are appropriate to apply in a 
specific area where transient access is permitted. The Commission also 
adds language to remind licensees of their obligation to consider 
worker as well as public exposure. Finally, the Commission codifies in 
its rules the extent to which occupation/controlled limits apply to 
amateur radio licensees.
7. Responsibility for Compliance at Fixed Sites With Multiple 
Transmitters
    20. The Commission's rules do not address apportionment of 
responsibility among licensees that exceed 5% of the exposure limits 
and are not categorically excluded. Comments received suggested that it 
is necessary for an individual licensee to be assigned primary 
responsibility for compliance at a multiple use site. However, the 
Commission clarifies that this is not the case and emphasize 
cooperation and that failure to comply at multiple use sites can result 
in penalties for all site occupants that contribute significantly to 
exposure, not just the newest occupant or the occupant which 
contributes the most to exposure.
    21. Discussion. Given the variety of situations presented by 
multiple transmitter sites, responsibility for compliance and 
preparation of Environmental Assessments continues to apply to multiple 
transmitter sites as described in Sec.  1.1307(b)(3) of the 
Commission's rules, and ``significant'' transmitters can be assumed to 
be based on the same threshold of 5% defined there. The Commission 
notes that when routine evaluations are required at such sites, all 
relevant co-located licensees are responsible for compliance. 
Therefore, it is in the interest of these licensees to share 
information about power and other operating characteristics in order to 
achieve accurate representations of the RF environment. The Commission 
continues to encourage all site occupants, owners, leasers, and 
managers to cooperate in these endeavors, and notes that site user 
agreements are particularly useful and desirable to achieve this end. 
As demonstrated in the record, all licensees that exceed five percent 
of the RF exposure limit at any non-compliant location are jointly and 
severally responsible, and the Commission may impose forfeiture 
liability on all such licensees.

c. Effective Date

    22. Original Proposal. In the NPRM, the Commission recognized that 
licensees and applicants will need some period of time to become 
familiar with any changes to the Commission's rules that could require 
additional routine evaluation for some previously excluded transmitters 
and devices and to modify their processes and procedures accordingly. 
Therefore, the Commission proposed in the NPRM to provide a transition 
period of six months after it adopts any new rules in this proceeding 
before they become effective. The Commission now defers many of its 
decisions as proposals in the Further NPRM, and those adopted here are 
not as extensive as those it originally proposed. The Commission 
expects that these rules can be readily complied with, and so it adopts 
an effective date of August 5, 2013 for the final rules in this Order.
    23. Decision. The Commission will not require a new evaluation of 
all existing sites that were excluded from evaluation under previous 
criteria. NEPA is a prospective statute. Moreover, even if NEPA or the 
Communications Act provided discretionary authority to require such 
existing sites to be evaluated under the Commission's new rules, it 
would find that such evaluation would not be necessary in this case. 
The rule revisions set forth are generally procedural. The Commission 
is not adopting any changes to the exclusion criteria in the rules at 
this time. In other words, if a site was ``categorically excluded'' or 
``exempt'' from routine evaluation under the previous rules, it will 
still be exempt from routine evaluation under the rules the Commission 
adopts here. The Commission notes, however, that regardless of whether 
a site is exempt from routine evaluation, licensees are required to 
ensure that existing sites are in compliance with the exposure limits. 
Furthermore, the Commission cautions that it may take enforcement 
action against licensees that do not comply with the exposure limits in 
the rules, regardless of whether their transmitters were 
``categorically excluded'' or ``exempt'' from routine evaluation in the 
past.
    24. The Commission's final changes to its rules in this Order are 
relatively minor. However, the Commission recognizes that any such 
changes require a reasonable period of time to be implemented. 
Therefore, the Commission is setting an effective date of August 5, 
2013 for its final rules.

d. Deletion of Old Rules and Update of Portable and Mobile Service 
Evaluation List

    25. The Commission notes that an administrative change is necessary 
in the rules dealing with RF exposure. When the Commission last adopted 
major changes to these rules in 1996 and 1997, it also adopted certain 
``Transition Provisions.'' These transition provisions, contained in 
Sec.  1.1307(b)(4) and (5) of the Commission's rules, no longer have 
any effect and are thus not necessary. ``All existing transmitting 
facilities, operations and devices'' the Commission regulates were 
required to be in compliance with Sec.  1.1307(b)(1) through (b)(3), by 
September 1, 2000 in accord with Sec.  1.1307(b)(5). The Commission 
states in Sec.  1.1307(b)(1) of its rules that its exposure limits 
``are generally applicable to all facilities, operations, and 
transmitters regulated by the Commission.'' Thus, there are no 
facilities operating pursuant to the requirements in effect before the 
transition period that would become

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non-compliant with the rules as a result of the elimination of the 
transition period. Moreover, there are no pending enforcement cases 
where compliance with the transition deadline is at issue. The 
Commission is, therefore, sua sponte deleting these transition 
provisions from this rule part.
    26. The Commission also notes that it is making necessary minor 
administrative changes for clarification and consistency between 
Sec. Sec.  1.1307(b)(2), 2.1091(c), and 2.1093, which list services 
requiring routine RF evaluation for portable and mobile devices. 
Specifically, the Commission adds ``Miscellaneous'' to all three 
sections to correctly name the Miscellaneous Wireless Communications 
Service defined by part 27 of its rules; it adds ``the 4.9 GHz Band 
Service'' and ``the Medical Device Radiocommunication Service 
(MedRadio)'' to Sec.  1.1307(b)(2) to reflect their inclusion in Sec.  
2.1093(c); and it adds ``the 3650 MHz Wireless Broadband Service'' to 
Sec.  2.1091(c) and 2.1093(c), since this change was already adopted in 
the Report and Order in ET Docket 04-151, published in the Federal 
Register on May 11, 2005, but was never actually incorporated into the 
Code of Federal Regulations. These changes do not affect evaluation 
requirements for compliance or applicability of these sections to 
portable or mobile devices.
    27. The regulatory changes discussed in the two preceding 
paragraphs do not require prior notice and opportunity for comment. 
Under the Administrative Procedure Act, notice and opportunity for 
comment are not required ``when the agency for good cause finds (and 
incorporates the finding and a brief statement of reasons therefor[e] 
in the rules issued) that notice and public procedure thereon are 
impracticable, unnecessary, or contrary to the public interest.'' Here, 
the Commission for good cause finds that notice and comment are 
unnecessary for eliminating 47 CFR 1.1307(b)(4) and (5), because these 
rules have outlived their purpose and no longer serve any function. 
Similarly, the Commission for good cause finds that notice and comment 
are unnecessary for amending 47 CFR 1.1307(b)(2), 2.1091(c), and 
2.1093.

Final Regulatory Flexibility Analysis

    28. As required by the Regulatory Flexibility Act (RFA),\1\ an 
Initial Regulatory Flexibility Analysis was incorporated in the Notice 
of Proposed Rulemaking (NPRM) in ET Docket 03-137.\2\ The Commission 
sought written public comment on the proposals in the NPRM, including 
comment on the IRFA.\3\ This Final Regulatory Flexibility Analysis 
(FRFA) conforms to the RFA.
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    \1\ See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601-612 has been 
amended by the Contract with America Advancement Act of 1996, Public 
Law 104-121, 110 Stat. 847 (1996) (CWAAA). Title II of the CWAAA is 
the Small Business Regulatory Enforcement Fairness Act of 1996 
(SBREFA).
    \2\ Notice of Proposed Rulemaking in ET Docket 03-137 (Proposed 
Changes in the Commission's Rules Regarding Human Exposure to Radio 
frequency Electromagnetic Fields), 18 FCC Rcd 13187 (2003).
    \3\ See 5 U.S.C. 604.
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A. Need for, and Objectives of, the Report and Order

    29. The National Environmental Policy Act of 1969 (NEPA) requires 
agencies of the Federal Government to evaluate the effects of their 
actions on the quality of the human environment.\4\ To meet its 
responsibilities under NEPA, the Commission has adopted requirements 
for evaluating the environmental impact of its actions. One of several 
environmental factors addressed by these requirements is human exposure 
to radiofrequency (RF) energy emitted by FCC-regulated transmitters, 
facilities and devices.\5\
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    \4\ National Environmental Policy Act of 1969, as amended, 42 
U.S.C. 4321-4335.
    \5\ See 47 CFR 1.1307(b).
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    30. The Report and Order amends parts 1, 2 and 95 of our rules 
relating to the compliance of FCC-regulated transmitters, facilities, 
and devices with the guidelines for human exposure to radiofrequency 
(RF) energy adopted by the Commission in l996 and 1997. Specifically we 
are making certain revisions in the rules that we believe will result 
in more efficient, practical and consistent application of compliance 
procedures.

B. Summary of Significant Issues Raised by Public Comments in Response 
to the IRFA

    31. No public comments were filed in response to the IRFA in this 
proceeding. In addition, no comments were submitted concerning small 
business issues.

C. Response to Comments by the Chief Counsel for Advocacy of the Small 
Business Administration

    32. Pursuant to the Small Business Jobs Act of 2010, the Commission 
is required to respond to any comments filed by the Chief Counsel for 
Advocacy of the Small Business Administration, and to provide a 
detailed statement of any change made to the proposed rules as a result 
of those comments. The Chief Counsel did not file any comments in 
response to the proposed rules in this proceeding.

D. Description and Estimate of the Number of Small Entities To Which 
Rules Will Apply

    33. The RFA directs agencies to provide a description of, and where 
feasible, an estimate of the number of small entities that may be 
affected by the proposed rules and policies, if adopted.\6\ The RFA 
generally defines the term ``small entity'' as having the same meaning 
as the terms ``small business,'' ``small organization,'' and ``small 
governmental jurisdiction.'' \7\ In addition, the term ``small 
business'' has the same meaning as the term ``small business concern'' 
under the Small Business Act.\8\ 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 SBA.\9\
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    \6\ 5 U.S.C. 603(b)(3).
    \7\ 5 U.S.C. 601(6).
    \8\ 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 term which are appropriate to the activities of 
the agency and publishes such definition(s) in the Federal 
Register.''
    \9\ 15 U.S.C. 632.
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    Small Businesses. Nationwide, there are a total of approximately 
29.6 million small businesses, according to the SBA.\10\
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    \10\ See SBA, Office of Advocacy, ``Frequently Asked 
Questions,'' http://web.sba.gov/faqs (accessed Jan. 2009).
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    Small Businesses, Small Organizations, and Small Governmental 
Jurisdictions. Our action may, over time, affect small entities that 
are not easily categorized at present. We therefore describe here, at 
the outset, three comprehensive, statutory small entity size 
standards.\11\ First, nationwide, there are a total of approximately 
27.5 million small businesses, according to the SBA.\12\ In addition, a 
``small organization'' is generally ``any not-for-profit enterprise 
which is independently owned and operated and is not dominant in its 
field.'' \13\ Nationwide, as of 2007, there were approximately 
1,621,315 small organizations.\14\ Finally, the term ``small 
governmental jurisdiction'' is defined generally as

[[Page 33638]]

``governments of cities, towns, townships, villages, school districts, 
or special districts, with a population of less than fifty thousand.'' 
\15\ Census Bureau data for 2011 indicate that there were 89,476 local 
governmental jurisdictions in the United States.\16\ We estimate that, 
of this total, as many as 88, 506 entities may qualify as ``small 
governmental jurisdictions.'' \17\ Thus, we estimate that most 
governmental jurisdictions are small.
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    \11\ See 5 U.S.C. 601(3)-(6).
    \12\  See SBA, Office of Advocacy, ``Frequently Asked 
Questions,'' web.sba.gov/faqs (last visited May 6,2011; figures are 
from 2009).
    \13\ 5 U.S.C. 601(4).
    \14\ Independent Sector, The New Nonprofit Almanac & Desk 
Reference (2010).
    \15\ 5 U.S.C. 601(5).
    \16\ U.S. Census Bureau, Statistical Abstract of the United 
States: 2011, Table 427 (2007)
    \17\ The 2007 U.S Census data for small governmental 
organizations indicate that there were 89, 476 ``Local Governments'' 
in 2007. (U.S. CENSUS BUREAU, STATISTICAL ABSTRACT OF THE UNITED 
STATES 2011, Table 428.) The criterion by which the size of such 
local governments is determined to be small is a population of 
50,000. However, since the Census Bureau does not specifically apply 
that criterion, it cannot be determined with precision how many of 
such local governmental organizations is small. Nonetheless, the 
inference seems reasonable that substantial number of these 
governmental organizations has a population of less than 50, 000. To 
look at Table 428 in conjunction with a related set of data in Table 
429 in the Census's Statistical Abstract of the U.S., that inference 
is further supported by the fact that in both Tables, many entities 
that may well be small are included in the 89,476 local governmental 
organizations, e.g. county, municipal, township and town, school 
district and special district entities. Measured by a criterion of a 
population of 50,000 many specific sub-entities in this category 
seem more likely than larger county-level governmental organizations 
to have small populations. Accordingly, of the 89,746 small 
governmental organizations identified in the 2007 Census, the 
Commission estimates that a substantial majority is small. 17 13 CFR 
121.201, NAICS code 517110.
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    Experimental Radio Service (Other Than Broadcast). The majority of 
experimental licenses are issued to companies such as Motorola and 
Department of Defense contractors such as Northrop, Lockheed, and 
Martin Marietta. Businesses such as these may have as many as 200 
licenses at one time. The majority of these applications are from 
entities such as these. Given this fact, the remaining 30 percent of 
applications, we assume, for purposes of our evaluations and 
conclusions in this FRFA, will be awarded to small entities, as that 
term is defined by the SBA.
    The Commission processes approximately 1,000 applications a year 
for experimental radio operations. About half or 500 of these are 
renewals and the other half are for new licenses. We do not have 
adequate information to predict precisely how many of these 
applications will be impacted by our rule revisions. However, based on 
the above figures we estimate that as many as 300 of these applications 
could be from small entities and potentially could be impacted.
    International Broadcast Stations. Commission records show that 
there are 19 international high frequency broadcast station 
authorizations. We do not request nor collect annual revenue 
information, and are unable to estimate the number of international 
high frequency broadcast stations that would constitute a small 
business under the SBA definition. Since all international broadcast 
stations operate using relatively high power levels, it is likely that 
they could all be impacted by our rule revisions.
    Satellite Telecommunications Providers. Two economic census 
categories address the satellite industry. The first category has a 
small business size standard of $15 million or less in average annual 
receipts, under SBA rules.\18\ The second has a size standard of $25 
million or less in annual receipts.\19\ The category of Satellite 
Telecommunications ``comprises establishments primarily engaged in 
providing telecommunications services to other establishments in the 
telecommunications and broadcasting industries by forwarding and 
receiving communications signals via a system of satellites or 
reselling satellite telecommunications.'' \20\ Census Bureau data for 
2007 show that 512 Satellite Telecommunications firms that operated for 
that entire year.\21\ Of this total, 464 firms had annual receipts of 
under $10 million, and 18 firms had receipts of $10 million to 
$24,999,999.\22\ Consequently, the Commission estimates that the 
majority of Satellite Telecommunications firms are small entities that 
might be affected by our actions.
---------------------------------------------------------------------------

    \18\ 13 CFR 121.201, NAICS code 517410.
    \19\ 13 CFR 121.201, NAICS code 517919.
    \20\ U.S. Census Bureau, 2007 NAICS Definitions, 517410 
Satellite Telecommunications.
    \21\ See http://factfinder.census.gov/servlet/IBQTable?_bm=y&-geo_id=&-_skip=900&-ds_name=EC0751SSSZ4&-_lang=en.
    \22\ See http://factfinder.census.gov/servlet/IBQTable?_bm=y&-geo_id=&-_skip=900&-ds_name=EC0751SSSZ4&-_lang=en.
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    The second category, i.e. ``All Other Telecommunications'' 
comprises ``establishments primarily engaged in providing specialized 
telecommunications services, such as satellite tracking, communications 
telemetry, and radar station operation. This industry also includes 
establishments primarily engaged in providing satellite terminal 
stations and associated facilities connected with one or more 
terrestrial systems and capable of transmitting telecommunications to, 
and receiving telecommunications from, satellite systems. 
Establishments providing Internet services or voice over Internet 
protocol (VoIP) services via client-supplied telecommunications 
connections are also included in this industry.'' \23\ For this 
category, Census Bureau data for 2007 shows that there were a total of 
2,383 firms that operated for the entire year.\24\ Of this total, 2,347 
firms had annual receipts of under $25 million and 12 firms had annual 
receipts of $25 million to $49, 999,999.\25\ Consequently, the 
Commission estimates that the majority of All Other Telecommunications 
firms are small entities that might be affected by our actions.
---------------------------------------------------------------------------

    \23\ http://www.census.gov/cgi-bin/sssd/naics/naicsrch?code=517919&search=2007%20NAICS%20Search.
    \24\ http://factfinder.census.gov/servlet/IBQTable?_bm=y&-geo_id=&-_skip=900&-ds_name=EC0751SSSZ4&-_lang=en.
    \25\ http://factfinder.census.gov/servlet/IBQTable?_bm=y&-geo_id=&-_skip=900&-ds_name=EC0751SSSZ4&-_lang=en.
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    Fixed Satellite Transmit/Receive Earth Stations. There are 
approximately 4,303 earth station authorizations, a portion of which 
are Fixed Satellite Transmit/Receive Earth Stations. We do not request 
nor collect annual revenue information, and are unable to estimate the 
number of the earth stations that would constitute a small business 
under the SBA definition. However, the majority of these stations could 
be impacted by our revised rules.
    Fixed Satellite Small Transmit/Receive Earth Stations. There are 
approximately 4,303 earth station authorizations, a portion of which 
are Fixed Satellite Small Transmit/Receive Earth Stations. We do not 
request nor collect annual revenue information, and are unable to 
estimate the number of fixed small satellite transmit/receive earth 
stations that would constitute a small business under the SBA 
definition. However, the majority of these stations could be impacted 
by our revised rules.
    Fixed Satellite Very Small Aperture Terminal (VSAT) Systems. These 
stations operate on a primary basis, and frequency coordination with 
terrestrial microwave systems is not required. Thus, a single 
``blanket'' application may be filed for a specified number of small 
antennas and one or more hub stations. There are 492 current VSAT 
System authorizations. We do not request nor collect annual revenue 
information, and are unable to estimate the number of VSAT systems that 
would constitute a small business under the SBA definition. However, it 
is expected that many of these stations could be impacted by our 
revised rules.
    Mobile Satellite Earth Stations. There are 19 licensees. We do not 
request nor

[[Page 33639]]

collect annual revenue information, and are unable to estimate the 
number of mobile satellite earth stations that would constitute a small 
business under the SBA definition. However, it is expected that many of 
these stations could be impacted by our revised rules.
    Wireless Telecommunications Carriers (except satellite). This 
industry comprises establishments engaged in operating and maintaining 
switching and transmission facilities to provide communications via the 
airwaves. Establishments in this industry have spectrum licenses and 
provide services using that spectrum, such as cellular phone services, 
paging services, wireless Internet access, and wireless video 
services.\26\ The appropriate size standard under SBA rules is for the 
category Wireless Telecommunications Carriers. The size standard for 
that category is that a business is small if it has 1,500 or fewer 
employees.\27\ Under the present and prior categories, the SBA has 
deemed a wireless business to be small if it has 1,500 or fewer 
employees.\28\ For this category, census data for 2007 show that there 
were 1,383 firms that operated for the entire year.\29\ Of this total, 
1,368 firms had employment of 999 or fewer employees and 15 had 
employment of 1000 employees or more.\30\ Thus under this category and 
the associated small business size standard, the Commission estimates 
that the majority of wireless telecommunications carriers (except 
satellite) are small entities that may be affected by our proposed 
actions.\31\
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    \26\ http://www.census.gov/cgi-bin/sssd/naics/naicsrch?code=517210&search=2007%20NAICS%20Search.
    \27\ 13 CFR 121.201, NAICS code 517210.
    \28\ 13 CFR 121.201, NAICS code 517210. The now-superseded, pre-
2007 CFR citations were 13 CFR 121.201, NAICS codes 517211 and 
517212 (referring to the 2002 NAICS).
    \29\ U.S. Census Bureau, Subject Series: Information, Table 5, 
``Establishment and Firm Size: Employment Size of Firms for the 
United States: 2007 NAICS Code 517210'' (issued Nov. 2010).
    \30\ Id. Available 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 
``100 employees or more.''
    \31\ See http://factfinder.census.gov/servlet/IBQTable?_bm=y&-fds_name=EC0700A1&-geo_id=&-_skip=600&-ds_name=EC0751SSSZ5&-_lang=en.
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    Licenses Assigned by Auctions. Initially, we note that, as a 
general matter, the number of winning bidders that qualify as small 
businesses at the close of an auction does not necessarily represent 
the number of small businesses currently in service. Also, the 
Commission does not generally track subsequent business size unless, in 
the context of assignments or transfers, unjust enrichment issues are 
implicated.
    Paging Services. Neither the SBA nor the FCC has developed a 
definition applicable exclusively to paging services. However, a 
variety of paging services is now categorized under Wireless 
Telecommunications Carriers (except satellite). \32\ This industry 
comprises establishments engaged in operating and maintaining switching 
and transmission facilities to provide communications via the airwaves. 
Establishments in this industry have spectrum licenses and provide 
services using that spectrum, such as cellular phone services, paging 
services, wireless Internet access, and wireless video services. 
Illustrative examples in the paging context include paging services, 
except satellite; two-way paging communications carriers, except 
satellite; and radio paging services communications carriers. The SBA 
has deemed a paging service in this category to be small if it has 
1,500 or fewer employees.\33\ For this category, census data for 2007 
show that there were 1,383 firms that operated for the entire year.\34\ 
Of this total, 1,368 firms had employment of 999 or fewer employees and 
15 had employment of 1000 employees or more.\35\ Thus under this 
category and the associated small business size standard, the 
Commission estimates that the majority of paging services in the 
category of wireless telecommunications carriers(except satellite) are 
small entities that may be affected by our actions.\36\
---------------------------------------------------------------------------

    \32\ U.S. Census Bureau, 2007 NAICS Definitions, ``517210 
Wireless Telecommunications Categories (Except Satellite)''; http://www.census.gov/naics/2007/def/ND517210.HTM#N517210.
    \33\ U.S. Census Bureau, 2007 NAICS Definitions, ``517210 
Wireless Telecommunications Categories (Except Satellite)''
    \34\ U.S. Census Bureau, Subject Series: Information, Table 5, 
``Establishment and Firm Size: Employment Size of Firms for the 
United States: 2007 NAICS Code 517210'' (issued Nov. 2010).
    \35\ Id. Available 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 
``100 employees or more.''
    \36\ See http://factfinder.census.gov/servlet/IBQTable?_bm=y&-fds_name=EC0700A1&-geo_id=&-_skip=600&-ds_name=EC0751SSSZ5&-_lang=en.
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    In addition, in the Paging Second Report and Order, the Commission 
adopted a size standard for ``small businesses'' for purposes of 
determining their eligibility for special provisions such as bidding 
credits.\37\ A small business is an entity that, together with its 
affiliates and controlling principals, has average gross revenues not 
exceeding $15 million for the preceding three years.\38\ The SBA has 
approved this definition.\39\ An initial auction of Metropolitan 
Economic Area (``MEA'') licenses was conducted in the year 2000. Of the 
2,499 licenses auctioned, 985 were sold.\40\ Fifty-seven companies 
claiming small business status won 440 licenses.\41\ A subsequent 
auction of MEA and Economic Area (``EA'') licenses was held in the year 
2001. Of the 15,514 licenses auctioned, 5,323 were sold.\42\ One 
hundred thirty-two companies claiming small business status purchased 
3,724 licenses. A third auction, consisting of 8,874 licenses in each 
of 175 EAs and 1,328 licenses in all but three of the 51 MEAs, was held 
in 2003. Seventy-seven bidders claiming small or very small business 
status won 2,093 licenses. \43\ A fourth auction of 9,603 lower and 
upper band paging licenses was held in the year 2010. 29 bidders 
claiming small or very small business status won 3,016 licenses.
---------------------------------------------------------------------------

    \37\ Revision of Part 22 and Part 90 of the Commission's Rules 
to Facilitate Future Development of Paging Systems, Second Report 
and Order, 12 FCC Rcd 2732, 2811-2812, paras. 178-181 (``Paging 
Second Report and Order''); see also Revision of Part 22 and Part 90 
of the Commission's Rules to Facilitate Future Development of Paging 
Systems, Memorandum Opinion and Order on Reconsideration, 14 FCC Rcd 
10030, 10085-10088, paras. 98-107 (1999).
    \38\ Paging Second Report and Order, 12 FCC Rcd at 2811, para 
179.
    \39\ See Letter from Aida Alvarez, Administrator, SBA, to Amy 
Zoslov, Chief, Auctions and Industry Analysis Division, Wireless 
Telecommunications Bureau (``WTB''), FCC (Dec. 2, 1998) (``Alvarez 
Letter 1998'').
    \40\ See ``929 and 931 MHz Paging Auction Closes,'' Public 
Notice, 15 FCC Rcd 4858 (WTB 2000).
    \41\ See id.
    \42\ See ``Lower and Upper Paging Band Auction Closes,'' Public 
Notice, 16 FCC Rcd 21821 (WTB 2002).
    \43\ See ``Lower and Upper Paging Bands Auction Closes,'' Public 
Notice, 18 FCC Rcd 11154 (WTB 2003). The current number of small or 
very small business entities that hold wireless licenses may differ 
significantly from the number of such entities that won in spectrum 
auctions due to assignments and transfers of licenses in the 
secondary market over time. In addition, some of the same small 
business entities may have won licenses in more than one auction.
---------------------------------------------------------------------------

    2.3 GHz Wireless Communications Services. This service can be used 
for fixed, mobile, radiolocation, and digital audio broadcasting 
satellite uses. The Commission defined ``small business'' for the 
wireless communications services (``WCS'') auction as an entity with 
average gross revenues of $40 million for each of the three preceding 
years, and a ``very small business'' as an entity with average gross 
revenues of $15 million for each of the three preceding years.\44\ The 
SBA approved

[[Page 33640]]

these definitions.\45\ The Commission conducted an auction of 
geographic area licenses in the WCS service in 1997. In the auction, 
seven bidders that qualified as very small business entities won 31 
licenses, and one bidder that qualified as a small business entity won 
a license.
---------------------------------------------------------------------------

    \44\ Amendment of the Commission's Rules to Establish Part 27, 
the Wireless Communications Service (WCS), Report and Order, 12 FCC 
Rcd 10785, 10879, para. 194 (1997).
    \45\ See Alvarez Letter 1998.
---------------------------------------------------------------------------

    1670-1675 MHz Services. This service can be used for fixed and 
mobile uses, except aeronautical mobile.\46\ An auction for one license 
in the 1670-1675 MHz band was conducted in 2003. The Commission defined 
a ``small business'' as an entity with attributable average annual 
gross revenues of not more than $40 million for the preceding three 
years, which would thus be eligible for a 15 percent discount on its 
winning bid for the 1670-1675 MHz band license. Further, the Commission 
defined a ``very small business'' as an entity with attributable 
average annual gross revenues of not more than $15 million for the 
preceding three years, which would thus be eligible to receive a 25 
percent discount on its winning bid for the 1670-1675 MHz band license. 
The winning bidder was not a small entity.
---------------------------------------------------------------------------

    \46\ 47 CFR 2.106; see generally 47 CFR 27.1-.70.
---------------------------------------------------------------------------

    Wireless Telephony. Wireless telephony includes cellular, personal 
communications services, and specialized mobile radio telephony 
carriers. As noted, the SBA has developed a small business size 
standard for Wireless Telecommunications Carriers (except 
Satellite).\47\ Under the SBA small business size standard, a business 
is small if it has 1,500 or fewer employees.\48\ Census data for 2007 
shows that there were 1,383 firms that operated that year.\49\ Of those 
1,383, 1,368 had fewer than 100 employees, and 15 firms had more than 
100 employees. Thus under this category and the associated small 
business size standard, the majority of firms can be considered small. 
According to Trends in Telephone Service data, 434 carriers reported 
that they were engaged in wireless telephony.\50\ Of these, an 
estimated 222 have 1,500 or fewer employees and 212 have more than 
1,500 employees.\51\ Therefore, approximately half of these entities 
can be considered small. Similarly, according to Commission data, 413 
carriers reported that they were engaged in the provision of wireless 
telephony, including cellular service, Personal Communications Service 
(PCS), and Specialized Mobile Radio (SMR) Telephony services.\52\ Of 
these, an estimated 261 have 1,500 or fewer employees and 152 have more 
than 1,500 employees.\53\ Consequently, the Commission estimates that 
approximately half or more of these firms can be considered small. 
Thus, using available data, we estimate that the majority of wireless 
firms can be considered small.
---------------------------------------------------------------------------

    \47\ 13 CFR 121.201, NAICS code 517210.
    \48\ Id.
    \49\ U.S. Census Bureau, 2007 Economic Census, Sector 51, 2007 
NAICS code 517210 (rel. Oct. 20, 2009), http://factfinder.census.gov/servlet/IBQTable?_bm=y&-geo_id=&-fds_name=EC0700A1&-_skip=700&-ds_name=EC0751SSSZ5&-_lang=en.
    \50\ Trends in Telephone Service, at tbl. 5.3.
    \51\ Id.
    \52\ See Trends in Telephone Service, at tbl. 5.3.
    \53\  See id.
---------------------------------------------------------------------------

    Broadband Personal Communications Service. The broadband personal 
communications services (PCS) spectrum is divided into six frequency 
blocks designated A through F, and the Commission has held auctions for 
each block. The Commission initially defined a ``small business'' for 
C- and F-Block licenses as an entity that has average gross revenues of 
$40 million or less in the three previous years.\54\ For F-Block 
licenses, an additional small business size standard for ``very small 
business'' was added and is defined as an entity that, together with 
its affiliates, has average gross revenues of not more than $15 million 
for the preceding three years.\55\ These small business size standards, 
in the context of broadband PCS auctions, have been approved by the 
SBA.\56\ No small businesses within the SBA-approved small business 
size standards bid successfully for licenses in Blocks A and B. There 
were 90 winning bidders that claimed small business status in the first 
two C-Block auctions. A total of 93 bidders that claimed small and very 
small business status won approximately 40 percent of the 1,479 
licenses in the first auction for the D, E, and F Blocks.\57\ On April 
15, 1999, the Commission completed the re-auction of 347 C-, D-, E-, 
and F-Block licenses in Auction No. 22.\58\ Of the 57 winning bidders 
in that auction, 48 claimed small business status and won 277 licenses.
---------------------------------------------------------------------------

    \54\ See Amendment of Parts 20 and 24 of the Commission's 
Rules--Broadband PCS Competitive Bidding and the Commercial Mobile 
Radio Service Spectrum Cap; Amendment of the Commission's Cellular/
PCS Cross-Ownership Rule, WT Docket No. 96-59, GN Docket No. 90-314, 
Report and Order, 11 FCC Rcd 7824, 7850-52 paras. 57-60 (1996) 
(``PCS Report and Order''); see also 47 CFR 24.720(b).
    \55\ See PCS Report and Order, 11 FCC Rcd at 7852 para. 60.
    \56\ See Alvarez Letter 1998.
    \57\ See Broadband PCS, D, E and F Block Auction Closes, Public 
Notice, Doc. No. 89838 (rel. Jan. 14, 1997).
    \58\ See C, D, E, and F Block Broadband PCS Auction Closes, 
Public Notice, 14 FCC Rcd 6688 (WTB 1999). Before Auction No. 22, 
the Commission established a very small standard for the C Block to 
match the standard used for F Block. Amendment of the Commission's 
Rules Regarding Installment Payment Financing for Personal 
Communications Services (PCS) Licensees, WT Docket No. 97-82, Fourth 
Report and Order, 13 FCC Rcd 15743, 15768 para. 46 (1998).
---------------------------------------------------------------------------

    On January 26, 2001, the Commission completed the auction of 422 C 
and F Block Broadband PCS licenses in Auction No. 35. Of the 35 winning 
bidders in that auction, 29 claimed small business status.\59\ 
Subsequent events concerning Auction 35, including judicial and agency 
determinations, resulted in a total of 163 C and F Block licenses being 
available for grant. On February 15, 2005, the Commission completed an 
auction of 242 C-, D-, E-, and F-Block licenses in Auction No. 58. Of 
the 24 winning bidders in that auction, 16 claimed small business 
status and won 156 licenses.\60\ On May 21, 2007, the Commission 
completed an auction of 33 licenses in the A, C, and F Blocks in 
Auction No. 71.\61\ Of the 14 winning bidders in that auction, six 
claimed small business status and won 18 licenses.\62\ On August 20, 
2008, the Commission completed the auction of 20 C-, D-, E-, and F-
Block Broadband PCS licenses in Auction No. 78.\63\ Of the eight 
winning bidders for Broadband PCS licenses in that auction, six claimed 
small business status and won 14 licenses.\64\
---------------------------------------------------------------------------

    \59\ See C and F Block Broadband PCS Auction Closes; Winning 
Bidders Announced, Public Notice, 16 FCC Rcd 2339 (2001).
    \60\ See Broadband PCS Spectrum Auction Closes; Winning Bidders 
Announced for Auction No. 58, Public Notice, 20 FCC Rcd 3703 (2005).
    \61\ See Auction of Broadband PCS Spectrum Licenses Closes; 
Winning Bidders Announced for Auction No. 71, Public Notice, 22 FCC 
Rcd 9247 (2007).
    \62\ Id.
    \63\ See Auction of AWS-1 and Broadband PCS Licenses Closes; 
Winning Bidders Announced for Auction 78, Public Notice, 23 FCC Rcd 
12749 (WTB 2008).
    \64\ Id.
---------------------------------------------------------------------------

    Advanced Wireless Services. In 2006, the Commission conducted its 
first auction of Advanced Wireless Services licenses in the 1710-1755 
MHz and 2110-2155 MHz bands (``AWS-1''), designated as Auction 66.\65\ 
For the AWS-1 bands, the Commission has defined a ``small business'' as 
an entity with average annual gross revenues for the preceding three 
years not exceeding $40 million, and a ``very small

[[Page 33641]]

business'' as an entity with average annual gross revenues for the 
preceding three years not exceeding $15 million.\66\ In 2006, the 
Commission conducted its first auction of AWS-1 licenses.\67\ In that 
initial AWS-1 auction, 31 winning bidders identified themselves as very 
small businesses won 142 licenses.\68\ Twenty-six of the winning 
bidders identified themselves as small businesses and won 73 
licenses.\69\ In a subsequent 2008 auction, the Commission offered 35 
AWS-1 licenses.\70\ Four winning bidders identified themselves as very 
small businesses, and three of the winning bidders identifying 
themselves as a small businesses won five AWS-1 licenses.\71\
---------------------------------------------------------------------------

    \65\ See Auction of Advanced Wireless Services Licenses 
Scheduled for June 29, 2006; Notice and Filing Requirements, Minimum 
Opening Bids, Upfront Payments and Other Procedures for Auction No. 
66, AU Docket No. 06-30, Public Notice, 21 FCC Rcd 4562 (2006) 
(``Auction 66 Procedures Public Notice'');
    \66\ See Service Rules for Advanced Wireless Services in the 1.7 
GHz and 2.1 GHz Bands, Report and Order, 18 FCC Rcd 25,162, App. B 
(2003), modified by Service Rules for Advanced Wireless Services In 
the 1.7 GHz and 2.1 GHz Bands, Order on Reconsideration, 20 FCC Rcd 
14,058, App. C (2005).
    \67\ See Auction of Advanced Wireless Services Licenses 
Scheduled for June 29, 2006; Notice and Filing Requirements, Minimum 
Opening Bids, Upfront Payments and Other Procedures for Auction No. 
66, AU Docket No. 06-30, Public Notice, 21 FCC Rcd 4562 (2006) 
(``Auction 66 Procedures Public Notice'').
    \68\ See Auction of Advanced Wireless Services Licenses Closes; 
Winning Bidders Announced for Auction No. 66, Public Notice, 21 FCC 
Rcd 10,521 (2006) (``Auction 66 Closing Public Notice'').
    \69\ See id.
    \70\ See AWS-1 and Broadband PCS Procedures Public Notice, 23 
FCC Rcd at 7499. Auction 78 also included an auction of broadband 
PCS licenses.
    \71\ See Auction of AWS-1 and Broadband PCS Licenses Closes, 
Winning Bidders Announced for Auction 78, Down Payments Due 
September 9, 2008, FCC Forms 601 and 602 Due September 9, 2008, 
Final Payments Due September 23, 2008, Ten-Day Petition to Deny 
Period, Public Notice, 23 FCC Rcd 12,749 (2008).
---------------------------------------------------------------------------

    Narrowband Personal Communications Services. In 1994, the 
Commission conducted two auctions of Narrowband PCS licenses. For these 
auctions, the Commission defined a ``small business'' as an entity with 
average annual gross revenues for the preceding three years not 
exceeding $40 million.\72\ Through these auctions, the Commission 
awarded a total of 41 licenses, 11 of which were obtained by four small 
businesses.\73\ To ensure meaningful participation by small business 
entities in future auctions, the Commission adopted a two-tiered small 
business size standard in the Narrowband PCS Second Report and 
Order.\74\ A ``small business'' is an entity that, together with 
affiliates and controlling interests, has average gross revenues for 
the three preceding years of not more than $40 million.\75\ A ``very 
small business'' is an entity that, together with affiliates and 
controlling interests, has average gross revenues for the three 
preceding years of not more than $15 million.\76\ The SBA has approved 
these small business size standards.\77\ A third auction of Narrowband 
PCS licenses was conducted in 2001. In that auction, five bidders won 
317 (Metropolitan Trading Areas and nationwide) licenses.\78\ Three of 
the winning bidders claimed status as a small or very small entity and 
won 311 licenses.
---------------------------------------------------------------------------

    \72\ Implementation of Section 309(j) of the Communications 
Act--Competitive Bidding Narrowband PCS, Third Memorandum Opinion 
and Order and Further Notice of Proposed Rulemaking, 10 FCC Rcd 175, 
196, para. 46 (1994).
    \73\ See ``Announcing the High Bidders in the Auction of Ten 
Nationwide Narrowband PCS Licenses, Winning Bids Total 
$617,006,674,'' Public Notice, PNWL 94-004 (rel. Aug. 2, 1994); 
``Announcing the High Bidders in the Auction of 30 Regional 
Narrowband PCS Licenses; Winning Bids Total $490,901,787,'' Public 
Notice, PNWL 94-27 (rel. Nov. 9, 1994).
    \74\ Amendment of the Commission's Rules to Establish New 
Personal Communications Services, Narrowband PCS, Second Report and 
Order and Second Further Notice of Proposed Rule Making, 15 FCC Rcd 
10456, 10476, para. 40 (2000) (``Narrowband PCS Second Report and 
Order'').
    \75\ Narrowband PCS Second Report and Order, 15 FCC Rcd at 
10476, para. 40.
    \76\ Id.
    \77\ See Alvarez Letter 1998.
    \78\ See ``Narrowband PCS Auction Closes,'' Public Notice, 16 
FCC Rcd 18663 (WTB 2001).
---------------------------------------------------------------------------

    Lower 700 MHz Band Licenses. The Commission previously adopted 
criteria for defining three groups of small businesses for purposes of 
determining their eligibility for special provisions such as bidding 
credits.\79\ The Commission defined a ``small business'' as an entity 
that, together with its affiliates and controlling principals, has 
average gross revenues not exceeding $40 million for the preceding 
three years.\80\ A ``very small business'' is defined as an entity 
that, together with its affiliates and controlling principals, has 
average gross revenues that are not more than $15 million for the 
preceding three years.\81\ Additionally, the Lower 700 MHz Service had 
a third category of small business status for Metropolitan/Rural 
Service Area (``MSA/RSA'') licenses --``entrepreneur''-- which is 
defined as an entity that, together with its affiliates and controlling 
principals, has average gross revenues that are not more than $3 
million for the preceding three years.\82\ The SBA approved these small 
size standards.\83\ An auction of 740 licenses was conducted in 2002 
(one license in each of the 734 MSAs/RSAs and one license in each of 
the six Economic Area Groupings (EAGs)). Of the 740 licenses available 
for auction, 484 licenses were won by 102 winning bidders. Seventy-two 
of the winning bidders claimed small business, very small business, or 
entrepreneur status and won a total of 329 licenses. \84\ A second 
auction commenced on May 28, 2003, closed on June 13, 2003, and 
included 256 licenses.\85\ Seventeen winning bidders claimed small or 
very small business status and won 60 licenses, and nine winning 
bidders claimed entrepreneur status and won 154 licenses.\86\ In 2005, 
the Commission completed an auction of 5 licenses in the lower 700 MHz 
band (Auction 60). All three winning bidders claimed small business 
status.
---------------------------------------------------------------------------

    \79\ See Reallocation and Service Rules for the 698-746 MHz 
Spectrum Band (Television Channels 52-59), Report and Order, 17 FCC 
Rcd 1022 (2002) (``Channels 52-59 Report and Order'').
    \80\ See Channels 52-59 Report and Order, 17 FCC Rcd at 1087-88, 
para. 172.
    \81\ See id.
    \82\ See id, 17 FCC Rcd at 1088, para. 173.
    \83\ See Letter from Aida Alvarez, Administrator, SBA, to Thomas 
Sugrue, Chief, WTB, FCC (Aug. 10, 1999) (``Alvarez Letter 1999'').
    \84\ See ``Lower 700 MHz Band Auction Closes,'' Public Notice, 
17 FCC Rcd 17272 (WTB 2002).
    \85\ See Lower 700 MHz Band Auction Closes, Public Notice, 18 
FCC Rcd 11873 (WTB 2003).
    \86\ See id.
---------------------------------------------------------------------------

    In 2007, the Commission reexamined its rules governing the 700 MHz 
band in the 700 MHz Second Report and Order.\87\ An auction of A, B and 
E block licenses in the Lower 700 MHz band was held in 2008.\88\ Twenty 
winning bidders claimed small business status (those with attributable 
average annual gross revenues that exceed $15 million and do not exceed 
$40 million for the preceding three years). Thirty three winning 
bidders claimed very small business status (those with attributable 
average annual gross revenues that do not exceed $15 million for the 
preceding three years). In 2011, the Commission conducted Auction 92, 
which offered 16 lower 700 MHz band licenses that had

[[Page 33642]]

been made available in Auction 73 but either remained unsold or were 
licenses on which a winning bidder defaulted. Two of the seven winning 
bidders in Auction 92 claimed very small business status, winning a 
total of four licenses.
---------------------------------------------------------------------------

    \87\ Service Rules for the 698-746, 747-762 and 777-792 MHz 
Band, WT Docket No. 06-150, Revision of the Commission's Rules to 
Ensure Compatibility with Enhanced 911 Emergency Calling Systems, CC 
Docket No. 94-102, Section 68.4(a) of the Commission's Rules 
Governing Hearing Aid-Compatible Telephone, WT Docket No. 01-309, 
Biennial Regulatory Review--Amendment of Parts 1, 22, 24, 27, and 90 
to Streamline and Harmonize Various Rules Affecting Wireless Radio 
Services, WT Docket No. 03-264, Former Nextel Communications, Inc. 
Upper700 MHz Guard Band Licenses and Revisions to Part 27 of the 
Commission's Rules, WT Docket No. 06-169, Implementing a Nationwide, 
Broadband Interoperable Public Safety Network in the 700 MHz Band, 
PS Docket No. 06-229, Development of Operational, Technical and 
Spectrum Requirements for Meeting Federal, State, and Local Public 
Safety Communications Requirements Through the Year 2010, WT Docket 
No. 96-86, Second Report and Order, 22 FCC Rcd 15289 (2007) (``700 
MHz Second Report and Order'').
    \88\ See Auction of 700 MHz Band Licenses Closes, Public Notice, 
23 FCC Rcd 4572 (WTB 2008).
---------------------------------------------------------------------------

    Upper 700 MHz Band Licenses. In the 700 MHz Second Report and 
Order, the Commission revised its rules regarding Upper 700 MHz 
licenses.\89\ On January 24, 2008, the Commission commenced Auction 73 
in which several licenses in the Upper 700 MHz band were available for 
licensing: 12 Regional Economic Area Grouping licenses in the C Block, 
and one nationwide license in the D Block.\90\ The auction concluded on 
March 18, 2008, with 3 winning bidders claiming very small business 
status (those with attributable average annual gross revenues that do 
not exceed $15 million for the preceding three years) and winning five 
licenses.
---------------------------------------------------------------------------

    \89\ 700 MHz Second Report and Order, 22 FCC Rcd 15289.
    \90\ See Auction of 700 MHz Band Licenses Closes, Public Notice, 
23 FCC Rcd 4572 (WTB 2008).
---------------------------------------------------------------------------

    700 MHz Guard Band Licenses. In 2000, the Commission adopted the 
700 MHz Guard Band Report and Order, in which it established rules for 
the A and B block licenses in the Upper 700 MHz band, including size 
standards for ``small businesses'' and ``very small businesses'' for 
purposes of determining their eligibility for special provisions such 
as bidding credits.\91\ A small business in this service is an entity 
that, together with its affiliates and controlling principals, has 
average gross revenues not exceeding $40 million for the preceding 
three years.\92\ Additionally, a very small business is an entity that, 
together with its affiliates and controlling principals, has average 
gross revenues that are not more than $15 million for the preceding 
three years.\93\ SBA approval of these definitions is not required.\94\ 
An auction of these licenses was conducted in 2000.\95\ Of the 104 
licenses auctioned, 96 licenses were won by nine bidders. Five of these 
bidders were small businesses that won a total of 26 licenses. A second 
auction of 700 MHz Guard Band licenses was held in 2001. All eight of 
the licenses auctioned were sold to three bidders. One of these bidders 
was a small business that won a total of two licenses.\96\
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    \91\ See Service Rules for the 746-764 MHz Bands, and Revisions 
to Part 27 of the Commission's Rules, Second Report and Order, 15 
FCC Rcd 5299 (2000) (``700 MHz Guard Band Report and Order'').
    \92\ See 700 MHz Guard Band Report and Order, 15 FCC Rcd at 
5343, para. 108.
    \93\ See id.
    \94\ See id., 15 FCC Rcd 5299, 5343, para. 108 n.246 (for the 
746-764 MHz and 776-794 MHz bands, the Commission is exempt from 15 
U.S.C. 632, which requires Federal agencies to obtain SBA approval 
before adopting small business size standards).
    \95\ See ``700 MHz Guard Bands Auction Closes: Winning Bidders 
Announced,'' Public Notice, 15 FCC Rcd 18026 (2000).
    \96\ See ``700 MHz Guard Bands Auction Closes: Winning Bidders 
Announced,'' Public Notice, 16 FCC Rcd 4590 (WTB 2001).
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    Specialized Mobile Radio. The Commission adopted small business 
size standards for the purpose of determining eligibility for bidding 
credits in auctions of Specialized Mobile Radio (SMR) geographic area 
licenses in the 800 MHz and 900 MHz bands. The Commission defined a 
``small business'' as an entity that, together with its affiliates and 
controlling principals, has average gross revenues not exceeding $15 
million for the preceding three years.\97\ The Commission defined a 
``very small business'' as an entity that, together with its affiliates 
and controlling principals, has average gross revenues not exceeding $3 
million for the preceding three years.\98\ The SBA has approved these 
small business size standards for both the 800 MHz and 900 MHz SMR 
Service.\99\ The first 900 MHz SMR auction was completed in 1996. Sixty 
bidders claiming that they qualified as small businesses under the $15 
million size standard won 263 licenses in the 900 MHz SMR band. In 
2004, the Commission held a second auction of 900 MHz SMR licenses and 
three winning bidders identifying themselves as very small businesses 
won 7 licenses.\100\ The auction of 800 MHz SMR licenses for the upper 
200 channels was conducted in 1997. Ten bidders claiming that they 
qualified as small or very small businesses under the $15 million size 
standard won 38 licenses for the upper 200 channels.\101\ A second 
auction of 800 MHz SMR licenses was conducted in 2002 and included 23 
BEA licenses. One bidder claiming small business status won five 
licenses.\102\
---------------------------------------------------------------------------

    \97\ 47 CFR 90.810, 90.814(b), 90.912.
    \98\ 47 CFR 90.810, 90.814(b), 90.912.
    \99\ See Alvarez Letter 1999.
    \100\ See 900 MHz Specialized Mobile Radio Service Spectrum 
Auction Closes: Winning Bidders Announced,'' Public Notice, 19 FCC 
Rcd. 3921 (WTB 2004).
    \101\ See ``Correction to Public Notice DA 96-586 `FCC Announces 
Winning Bidders in the Auction of 1020 Licenses to Provide 900 MHz 
SMR in Major Trading Areas,' '' Public Notice, 18 FCC Rcd 18367 (WTB 
1996).
    \102\ See ``Multi-Radio Service Auction Closes,'' Public Notice, 
17 FCC Rcd 1446 (WTB 2002).
---------------------------------------------------------------------------

    The auction of the 1,053 800 MHz SMR licenses for the General 
Category channels was conducted in 2000. Eleven bidders who won 108 
licenses for the General Category channels in the 800 MHz SMR band 
qualified as small or very small businesses.\103\ In an auction 
completed in 2000, a total of 2,800 Economic Area licenses in the lower 
80 channels of the 800 MHz SMR service were awarded.\104\ Of the 22 
winning bidders, 19 claimed small or very small business status and won 
129 licenses. Thus, combining all four auctions, 41 winning bidders for 
geographic licenses in the 800 MHz SMR band claimed to be small 
businesses.
---------------------------------------------------------------------------

    \103\ See ``800 MHz Specialized Mobile Radio (SMR) Service 
General Category (851-854 MHz) and Upper Band (861-865 MHz) Auction 
Closes; Winning Bidders Announced,'' Public Notice, 15 FCC Rcd 17162 
(2000).
    \104\ See, ``800 MHz SMR Service Lower 80 Channels Auction 
Closes; Winning Bidders Announced,'' Public Notice, 16 FCC Rcd 1736 
(2000).
---------------------------------------------------------------------------

    In addition, there are numerous incumbent site-by-site SMR 
licensees and licensees with extended implementation authorizations in 
the 800 and 900 MHz bands. We do not know how many firms provide 800 
MHz or 900 MHz geographic area SMR pursuant to extended implementation 
authorizations, nor how many of these providers have annual revenues 
not exceeding $15 million. One firm has over $15 million in revenues. 
In addition, we do not know how many of these firms have 1500 or fewer 
employees.\105\ We assume, for purposes of this analysis, that all of 
the remaining existing extended implementation authorizations are held 
by small entities, as that small business size standard is approved by 
the SBA.
---------------------------------------------------------------------------

    \105\ See generally 13 CFR 121.201, NAICS code 517210.
---------------------------------------------------------------------------

    220 MHz Radio Service--Phase I Licensees. The 220 MHz service has 
both Phase I and Phase II licenses. Phase I licensing was conducted by 
lotteries in 1992 and 1993. There are approximately 1,515 such non-
nationwide licensees and four nationwide licensees currently authorized 
to operate in the 220 MHz band. The Commission has not developed a 
small business size standard for small entities specifically applicable 
to such incumbent 220 MHz Phase I licensees. To estimate the number of 
such licensees that are small businesses, the Commission applies the 
small business size standard under the SBA rules applicable. The SBA 
has deemed a wireless business to be small if it has 1,500 or fewer 
employees.\106\ For this service, the SBA uses the category of Wireless 
Telecommunications Carriers (except Satellite). Census data for 2007, 
which supersede data contained in the 2002

[[Page 33643]]

Census, show that there were 1,383 firms that operated that year.\107\ 
Of those 1,383, 1,368 had fewer than 100 employees, and 15 firms had 
more than 100 employees. Thus under this category and the associated 
small business size standard, the majority of firms can be considered 
small.
---------------------------------------------------------------------------

    \106\ 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).
    \107\ U.S. Census Bureau, 2007 Economic Census, Sector 51, 2007 
NAICS code 517210 (rel. Oct. 20, 2009), http://factfinder.census.gov/servlet/IBQTable?_bm=y&-geo_id=&-fds_name=EC0700A1&-_skip=700&-ds_name=EC0751SSSZ5&-_lang=en.
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    220 MHz Radio Service--Phase II Licensees. The 220 MHz service has 
both Phase I and Phase II licenses. The Phase II 220 MHz service 
licenses are assigned by auction, where mutually exclusive applications 
are accepted. In the 220 MHz Third Report and Order, the Commission 
adopted a small business size standard for defining ``small'' and 
``very small'' businesses for purposes of determining their eligibility 
for special provisions such as bidding credits.\108\ This small 
business standard indicates that a ``small business'' is an entity 
that, together with its affiliates and controlling principals, has 
average gross revenues not exceeding $15 million for the preceding 
three years.\109\ A ``very small business'' is defined as an entity 
that, together with its affiliates and controlling principals, has 
average gross revenues that do not exceed $3 million for the preceding 
three years.\110\ The SBA has approved these small size standards.\111\ 
Auctions of Phase II licenses commenced on and closed in 1998.\112\ In 
the first auction, 908 licenses were auctioned in three different-sized 
geographic areas: three nationwide licenses, 30 Regional Economic Area 
Group (EAG) Licenses, and 875 Economic Area (EA) Licenses. Of the 908 
licenses auctioned, 693 were sold.\113\ Thirty-nine small businesses 
won 373 licenses in the first 220 MHz auction. A second auction 
included 225 licenses: 216 EA licenses and 9 EAG licenses. Fourteen 
companies claiming small business status won 158 licenses.\114\ A third 
auction included four licenses: 2 BEA licenses and 2 EAG licenses in 
the 220 MHz Service. No small or very small business won any of these 
licenses.\115\ In 2007, the Commission conducted a fourth auction of 
the 220 MHz licenses, designated as Auction 72.\116\ Auction 72, which 
offered 94 Phase II 220 MHz Service licenses, concluded in 2007.\117\ 
In this auction, five winning bidders won a total of 76 licenses. Two 
winning bidders identified themselves as very small businesses won 56 
of the 76 licenses. One of the winning bidders that identified 
themselves as a small business won 5 of the 76 licenses won.
---------------------------------------------------------------------------

    \108\ Amendment of Part 90 of the Commission's Rules to Provide 
For the Use of the 220-222 MHz Band by the Private Land Mobile Radio 
Service, Third Report and Order, 12 FCC Rcd 10943, 11068-70 paras. 
291-295 (1997).
    \109\ Id. at 11068 para. 291.
    \110\ Id.
    \111\ See Letter to Daniel Phythyon, Chief, Wireless 
Telecommunications Bureau, Federal Communications Commission, from 
Aida Alvarez, Administrator, Small Business Administration, dated 
January 6, 1998 (Alvarez to Phythyon Letter 1998).
    \112\ See generally 220 MHz Service Auction Closes, Public 
Notice, 14 FCC Rcd 605 (WTB 1998).
    \113\ See FCC Announces It is Prepared to Grant 654 Phase II 220 
MHz Licenses After Final Payment is Made, Public Notice, 14 FCC Rcd 
1085 (WTB 1999).
    \114\ See Phase II 220 MHz Service Spectrum Auction Closes, 
Public Notice, 14 FCC Rcd 11218 (WTB 1999).
    \115\ See Multi-Radio Service Auction Closes, Public Notice, 17 
FCC Rcd 1446 (WTB 2002).
    \116\ See ``Auction of Phase II 220 MHz Service Spectrum 
Scheduled for June 20, 2007, Notice and Filing Requirements, Minimum 
Opening Bids, Upfront Payments and Other Procedures for Auction 72, 
Public Notice, 22 FCC Rcd 3404 (2007).
    \117\ See Auction of Phase II 220 MHz Service Spectrum Licenses 
Closes, Winning Bidders Announced for Auction 72, Down Payments due 
July 18, 2007, FCC Forms 601 and 602 due July 18, 2007, Final 
Payments due August 1, 2007, Ten-Day Petition to Deny Period, Public 
Notice, 22 FCC Rcd 11573 (2007).
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    Private Land Mobile Radio (``PLMR''). PLMR systems serve an 
essential role in a range of industrial, business, land transportation, 
and public safety activities. These radios are used by companies of all 
sizes operating in all U.S. business categories, and are often used in 
support of the licensee's primary (non-telecommunications) business 
operations. For the purpose of determining whether a licensee of a PLMR 
system is a small business as defined by the SBA, we use the broad 
census category, Wireless Telecommunications Carriers (except 
Satellite). This definition provides that a small entity is any such 
entity employing no more than 1,500 persons.\118\ The Commission does 
not require PLMR licensees to disclose information about number of 
employees, so the Commission does not have information that could be 
used to determine how many PLMR licensees constitute small entities 
under this definition. We note that PLMR licensees generally use the 
licensed facilities in support of other business activities, and 
therefore, it would also be helpful to assess PLMR licensees under the 
standards applied to the particular industry subsector to which the 
licensee belongs.\119\
---------------------------------------------------------------------------

    \118\ See 13 CFR 121.201, NAICS code 517210.
    \119\ See generally 13 CFR 121.201.
---------------------------------------------------------------------------

    As of March 2010, there were 424,162 PLMR licensees operating 
921,909 transmitters in the PLMR bands below 512 MHz. We note that any 
entity engaged in a commercial activity is eligible to hold a PLMR 
license, and that any revised rules in this context could therefore 
potentially impact small entities covering a great variety of 
industries.
    Fixed Microwave Services. Microwave services include common 
carrier,\120\ private-operational fixed,\121\ and broadcast auxiliary 
radio services.\122\ They also include the Local Multipoint 
Distribution Service (``LMDS''),\123\ the Digital Electronic Message 
Service (``DEMS''),\124\ and the 24 GHz Service,\125\ where licensees 
can choose between common carrier and non-common carrier status.\126\ 
The Commission has not yet defined a small business with respect to 
microwave services. For purposes of this IRFA, the Commission will use 
the SBA's definition applicable to Wireless Telecommunications Carriers 
(except satellite)--i.e., an entity with no more than 1,500 persons is 
considered small.\127\ For the category of Wireless Telecommunications 
Carriers (except Satellite), Census data for 2007 shows that there were 
1,383 firms that operated that year.\128\ Of those 1,383, 1,368 had 
fewer than 100 employees, and 15 firms had more than 100 employees. 
Thus under this category and the associated small business size 
standard, the majority of firms can be considered small. The Commission 
notes that the number of firms does not necessarily track the number of 
licensees. The Commission estimates that virtually all of the Fixed 
Microwave licensees (excluding broadcast auxiliary licensees) would 
qualify as small entities under the SBA definition.
---------------------------------------------------------------------------

    \120\ See 47 CFR part 101, subparts C and I.
    \121\ See id. Subparts C and H.
    \122\ Auxiliary Microwave Service is governed by Part 74 of 
Title 47 of the Commission's Rules. See 47 CFR part 74. 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 TV pickups, which 
relay signals from a remote location back to the studio.
    \123\ See 47 CFR part 101, subpart L.
    \124\ See id. Subpart G.
    \125\ See id.
    \126\ See 47 CFR 101.533, 101.1017.
    \127\ 13 CFR 121.201, NAICS code 517210.
    \128\ U.S. Census Bureau, 2007 Economic Census, Sector 51, 2007 
NAICS code 517210 (rel. Oct. 20, 2009), http://factfinder.census.gov/servlet/IBQTable?_bm=y&-geo_id=&-fds_name=EC0700A1&-_skip=700&-ds_name=EC0751SSSZ5&-_lang=en.
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    39 GHz Service. The Commission adopted small business size 
standards for 39 GHz licenses. A ``small business''

[[Page 33644]]

is defined as an entity that, together with its affiliates and 
controlling principals, has average gross revenues not exceeding $40 
million in the preceding three years.\129\ A ``very small business'' is 
defined as an entity that, together with its affiliates and controlling 
principals, has average gross revenues of not more than $15 million for 
the preceding three years.\130\ The SBA has approved these small 
business size standards.\131\ In 2000, the Commission conducted an 
auction of 2,173 39 GHz licenses. A total of 18 bidders who claimed 
small or very small business status won 849 licenses.
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    \129\ See Amendment of the Commission's Rules Regarding the 
37.0-38.6 GHz and 38.6-40.0 GHz Bands, ET Docket No. 95-183, Report 
and Order, 12 FCC Rcd 18600 (1997).
    \130\ Id.
    \131\ See Letter from Aida Alvarez, Administrator, SBA, to 
Kathleen O'Brien Ham, Chief, Auctions and Industry Analysis 
Division, WTB, FCC (Feb. 4, 1998); see Letter from Hector Barreto, 
Administrator, SBA, to Margaret Wiener, Chief, Auctions and Industry 
Analysis Division, WTB, FCC (Jan. 18, 2002).
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    Local Multipoint Distribution Service. Local Multipoint 
Distribution Service (``LMDS'') is a fixed broadband point-to-
multipoint microwave service that provides for two-way video 
telecommunications.\132\ The Commission established a small business 
size standard for LMDS licenses as an entity that has average gross 
revenues of less than $40 million in the three previous years.\133\ An 
additional small business size standard for ``very small business'' was 
added as an entity that, together with its affiliates, has average 
gross revenues of not more than $15 million for the preceding three 
years.\134\ The SBA has approved these small business size standards in 
the context of LMDS auctions.\135\ There were 93 winning bidders that 
qualified as small entities in the LMDS auctions. A total of 93 small 
and very small business bidders won approximately 277 A Block licenses 
and 387 B Block licenses. In 1999, the Commission re-auctioned 161 
licenses; there were 32 small and very small businesses winning that 
won 119 licenses.
---------------------------------------------------------------------------

    \132\ See Rulemaking to Amend Parts 1, 2, 21, 25, of the 
Commission's Rules to Redesignate the 27.5-29.5 GHz Frequency Band, 
Reallocate the 29.5-30.5 Frequency Band, to Establish Rules and 
Policies for Local Multipoint Distribution Service and for Fixed 
Satellite Services, CC Docket No. 92-297, Second Report and Order, 
Order on Reconsideration, and Fifth Notice of Proposed Rule Making, 
12 FCC Rcd 12545, 12689-90, para. 348 (1997) (``LMDS Second Report 
and Order'').
    \133\ See LMDS Second Report and Order, 12 FCC Rcd at 12689-90, 
para. 348.
    \134\ See id.
    \135\ See Alvarez to Phythyon Letter 1998.
---------------------------------------------------------------------------

    218-219 MHz Service. The first auction of 218-219 MHz Service 
(previously referred to as the Interactive and Video Data Service or 
IVDS) licenses resulted in 170 entities winning licenses for 594 
Metropolitan Statistical Areas (``MSAs'').\136\ Of the 594 licenses, 
557 were won by 167 entities qualifying as a small business. For that 
auction, the Commission defined a small business as an entity that, 
together with its affiliates, has no more than a $6 million net worth 
and, after federal income taxes (excluding any carry over losses), has 
no more than $2 million in annual profits each year for the previous 
two years.\137\ In the 218-219 MHz Report and Order and Memorandum 
Opinion and Order, the Commission revised its small business size 
standards for the 218-219 MHz Service and defined a small business as 
an entity that, together with its affiliates and persons or entities 
that hold interests in such an entity and their affiliates, has average 
annual gross revenues not exceeding $15 million for the preceding three 
years.\138\ The Commission defined a ``very small business'' as an 
entity that, together with its affiliates and persons or entities that 
hold interests in such an entity and its affiliates, has average annual 
gross revenues not exceeding $3 million for the preceding three 
years.\139\ The SBA has approved these definitions.\140\
---------------------------------------------------------------------------

    \136\ See ``Interactive Video and Data Service (IVDS) 
Applications Accepted for Filing,'' Public Notice, 9 FCC Rcd 6227 
(1994).
    \137\ Implementation of Section 309(j) of the Communications 
Act--Competitive Bidding, Fourth Report and Order, 9 FCC Rcd 2330 
(1994).
    \138\ Amendment of Part 95 of the Commission's Rules to Provide 
Regulatory Flexibility in the 218-219 MHz Service, Report and Order 
and Memorandum Opinion and Order, 15 FCC Rcd 1497 (1999).
    \139\ Id.
    \140\ See Alvarez to Phythyon Letter 1998.
---------------------------------------------------------------------------

    Location and Monitoring Service (``LMS''). Multilateration LMS 
systems use non-voice radio techniques to determine the location and 
status of mobile radio units. For auctions of LMS licenses, the 
Commission has defined a ``small business'' as an entity that, together 
with controlling interests and affiliates, has average annual gross 
revenues for the preceding three years not exceeding $15 million.\141\ 
A ``very small business'' is defined as an entity that, together with 
controlling interests and affiliates, has average annual gross revenues 
for the preceding three years not exceeding $3 million.\142\ These 
definitions have been approved by the SBA.\143\ An auction of LMS 
licenses was conducted in 1999. Of the 528 licenses auctioned, 289 
licenses were sold to four small businesses.
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    \141\ Amendment of Part 90 of the Commission's rules to Adopt 
Regulations for Automatic Vehicle Monitoring Systems, Second Report 
and Order, 13 FCC Rcd 15182, 15192, para. 20 (1998) (``Automatic 
Vehicle Monitoring Systems Second Report and Order''); see also 47 
CFR 90.1103.
    \142\ Automatic Vehicle Monitoring Systems Second Report and 
Order, 13 FCC Rcd at 15192, para. 20; see also 47 CFR 90.1103.
    \143\ See Alvarez Letter 1998.
---------------------------------------------------------------------------

    Rural Radiotelephone Service. The Commission has not adopted a size 
standard for small businesses specific to the Rural Radiotelephone 
Service.\144\ A significant subset of the Rural Radiotelephone Service 
is the Basic Exchange Telephone Radio System (``BETRS'').\145\ For 
purposes of its analysis of the Rural Radiotelephone Service, the 
Commission uses the SBA small business size standard for the category 
Wireless Telecommunications Carriers (except satellite),'' which is 
1,500 or fewer employees.\146\ Census data for 2007 shows that there 
were 1,383 firms that operated that year.\147\ Of those 1,383, 1,368 
had fewer than 100 employees, and 15 firms had more than 100 employees. 
Thus under this category and the associated small business size 
standard, the majority of firms in the Rural Radiotelephone Service can 
be considered small.
---------------------------------------------------------------------------

    \144\ The service is defined in 47 CFR 22.99 of the Commission's 
rules.
    \145\ BETRS is defined in 47 CFR 22.757 and 22.759 of the 
Commission's rules.
    \146\ 13 CFR 121.201, NAICS code 517210.
    \147\ U.S. Census Bureau, 2007 Economic Census, Sector 51, 2007 
NAICS code 517210 (rel. Oct. 20, 2009), http://factfinder.census.gov/servlet/IBQTable?_bm=y&-geo_id=&-fds_name=EC0700A1&-_skip=700&-ds_name=EC0751SSSZ5&-_lang=en.
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    Air-Ground Radiotelephone Service.\148\ The Commission has 
previously used the SBA's small business definition applicable to 
Wireless Telecommunications Carriers (except Satellite), i.e., an 
entity employing no more than 1,500 persons.\149\ There are 
approximately 100 licensees in the Air-Ground Radiotelephone Service, 
and under that definition, we estimate that almost all of them qualify 
as small entities under the SBA definition. For purposes of assigning 
Air-Ground Radiotelephone Service licenses through competitive bidding, 
the Commission has defined ``small business'' as an entity that, 
together with controlling interests and affiliates, has average annual 
gross revenues for the preceding three years not exceeding $40 
million.\150\ A ``very

[[Page 33645]]

small business'' is defined as an entity that, together with 
controlling interests and affiliates, has average annual gross revenues 
for the preceding three years not exceeding $15 million.\151\ These 
definitions were approved by the SBA.\152\ In 2006, the Commission 
completed an auction of nationwide commercial Air-Ground Radiotelephone 
Service licenses in the 800 MHz band (Auction 65). The auction closed 
with two winning bidders winning two Air-Ground Radiotelephone Services 
licenses. Neither of the winning bidders claimed small business status.
---------------------------------------------------------------------------

    \148\ The service is defined in 47 CFR 22.99 of the Commission's 
rules.
    \149\ 13 CFR 121.201, NAICS codes 517210.
    \150\ Amendment of Part 22 of the Commission's Rules to Benefit 
the Consumers of Air-Ground Telecommunications Services, Biennial 
Regulatory Review--Amendment of parts 1, 22, and 90 of the 
Commission's Rules, Amendment of Parts 1 and 22 of the Commission's 
Rules to Adopt Competitive Bidding Rules for Commercial and General 
Aviation Air-Ground Radiotelephone Service, WT Docket Nos. 03-103 
and 05-42, Order on Reconsideration and Report and Order, 20 FCC Rcd 
19663, paras. 28-42 (2005).
    \151\ Id.
    \152\ See Letter from Hector V. Barreto, Administrator, SBA, to 
Gary D. Michaels, Deputy Chief, Auctions and Spectrum Access 
Division, WTB, FCC (Sept. 19, 2005).
---------------------------------------------------------------------------

    Aviation and Marine Radio Services. Small businesses in the 
aviation and marine radio services use a very high frequency (``VHF'') 
marine or aircraft radio and, as appropriate, an emergency position-
indicating radio beacon (and/or radar) or an emergency locator 
transmitter. The Commission has not developed a small business size 
standard specifically applicable to these small businesses. 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.\153\ Census 
data for 2007 shows that there were 1,383 firms that operated that 
year.\154\ Of those 1,383, 1,368 had fewer than 100 employees, and 15 
firms had more than 100 employees. Thus under this category and the 
associated small business size standard, the majority of firms can be 
considered small.
---------------------------------------------------------------------------

    \153\ 13 CFR 121.201, NAICS code 517210.
    \154\ U.S. Census Bureau, 2007 Economic Census, Sector 51, 2007 
NAICS code 517210 (rel. Oct. 20, 2009), http://factfinder.census.gov/servlet/IBQTable?_bm=y&-geo_id=&-fds_name=EC0700A1&-_skip=700&-ds_name=EC0751SSSZ5&-_lang=en.
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    Offshore Radiotelephone Service. This service operates on several 
UHF television broadcast channels that are not used for television 
broadcasting in the coastal areas of states bordering the Gulf of 
Mexico.\155\ There are presently approximately 55 licensees in this 
service. The Commission is unable to estimate at this time the number 
of licensees that would qualify as small under the SBA's small business 
size standard for the category of Wireless Telecommunications Carriers 
(except Satellite). Under that standard.\156\ Under that SBA small 
business size standard, a business is small if it has 1,500 or fewer 
employees.\157\ Census data for 2007 shows that there were 1,383 firms 
that operated that year.\158\ Of those 1,383, 1,368 had fewer than 100 
employees, and 15 firms had more than 100 employees. Thus under this 
category and the associated small business size standard, the majority 
of firms can be considered small.
---------------------------------------------------------------------------

    \155\ This service is governed by subpart I of Part 22 of the 
Commission's Rules. See 47 CFR 22.1001-22.1037.
    \156\ 13 CFR 121.201, NAICS code 517210.
    \157\ Id.
    \158\ U.S. Census Bureau, 2007 Economic Census, Sector 51, 2007 
NAICS code 517210 (rel. Oct. 20, 2009), http://factfinder.census.gov/servlet/IBQTable?_bm=y&-geo_id=&-fds_name=EC0700A1&-_skip=700&-ds_name=EC0751SSSZ5&-_lang=en.
---------------------------------------------------------------------------

    Multiple Address Systems (``MAS''). Entities using MAS spectrum, in 
general, fall into two categories: (1) Those using the spectrum for 
profit-based uses, and (2) those using the spectrum for private 
internal uses. The Commission defines a small business for MAS licenses 
as an entity that has average gross revenues of less than $15 million 
in the preceding three years.\159\ A very small business is defined as 
an entity that, together with its affiliates, has average gross 
revenues of not more than $3 million for the preceding three 
years.\160\ The SBA has approved these definitions.\161\ The majority 
of these entities will most likely be licensed in bands where the 
Commission has implemented a geographic area licensing approach that 
would require the use of competitive bidding procedures to resolve 
mutually exclusive applications. The Commission's licensing database 
indicates that, as of March 5, 2010, there were over 11,500 MAS station 
authorizations. In 2001, an auction of 5,104 MAS licenses in 176 EAs 
was conducted.\162\ Seven winning bidders claimed status as small or 
very small businesses and won 611 licenses. In 2005, the Commission 
completed an auction (Auction 59) of 4,226 MAS licenses in the Fixed 
Microwave Services from the 928/959 and 932/941 MHz bands. Twenty-six 
winning bidders won a total of 2,323 licenses. Of the 26 winning 
bidders in this auction, five claimed small business status and won 
1,891 licenses.
---------------------------------------------------------------------------

    \159\ See Amendment of the Commission's Rules Regarding Multiple 
Address Systems, Report and Order, 15 FCC Rcd 11956, 12008, para. 
123 (2000).
    \160\ Id.
    \161\ See Alvarez Letter 1999.
    \162\ See ``Multiple Address Systems Spectrum Auction Closes,'' 
Public Notice, 16 FCC Rcd 21011 (2001).
---------------------------------------------------------------------------

    With respect to entities that use, or seek to use, MAS spectrum to 
accommodate internal communications needs, we note that MAS serves an 
essential role in a range of industrial, safety, business, and land 
transportation activities. MAS radios are used by companies of all 
sizes, operating in virtually all U.S. business categories, and by all 
types of public safety entities. For the majority of private internal 
users, the small business size standard developed by the SBA would be 
more appropriate. The applicable size standard in this instance appears 
to be that of Wireless Telecommunications Carriers (except Satellite). 
This definition provides that a small entity is any such entity 
employing no more than 1,500 persons.\163\ The Commission's licensing 
database indicates that, as of January 20, 1999, of the 8,670 total MAS 
station authorizations, 8,410 authorizations were for private radio 
service, and of these, 1,433 were for private land mobile radio 
service.
---------------------------------------------------------------------------

    \163\ See 13 CFR 121.201, NAICS code 517210.
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    1.4 GHz Band Licensees. The Commission conducted an auction of 64 
1.4 GHz band licenses in the paired 1392-1395 MHz and 1432-1435 MHz 
bands, and in the unpaired 1390-1392 MHz band in 2007.\164\ For these 
licenses, the Commission defined ``small business'' as an entity that, 
together with its affiliates and controlling interests, had average 
gross revenues not exceeding $40 million for the preceding three years, 
and a ``very small business'' as an entity that, together with its 
affiliates and controlling interests, has had average annual gross 
revenues not exceeding $15 million for the preceding three years.\165\ 
Neither of the two winning bidders claimed small business status.\166\
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    \164\ See ``Auction of 1.4 GHz Band Licenses Scheduled for 
February 7, 2007,'' Public Notice, 21 FCC Rcd 12393 (WTB 2006); 
``Auction of 1.4 GHz Band Licenses Closes; Winning Bidders Announced 
for Auction No. 69,'' Public Notice, 22 FCC Rcd 4714 (2007) 
(``Auction No. 69 Closing PN'').
    \165\ Auction No. 69 Closing PN, Attachment C.
    \166\ See Auction No. 69 Closing PN.
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    Incumbent 24 GHz Licensees. This analysis may affect incumbent 
licensees who were relocated to the 24 GHz band from the 18 GHz band, 
and applicants who wish to provide services in the 24 GHz band. For 
this service, the Commission uses the SBA small business size standard 
for the category ``Wireless Telecommunications Carriers (except 
satellite),'' which is 1,500 or fewer employees.\167\ To gauge small 
business prevalence for these cable services we must, however, use the 
most current census data. Census data for 2007 shows that there were 
1,383 firms

[[Page 33646]]

that operated that year.\168\ Of those 1,383, 1,368 had fewer than 100 
employees, and 15 firms had more than 100 employees. Thus under this 
category and the associated small business size standard, the majority 
of firms can be considered small. The Commission notes that the Census' 
use of the classifications ``firms'' does not track the number of 
``licenses''. The Commission believes that there are only two licensees 
in the 24 GHz band that were relocated from the 18 GHz band, Teligent 
\169\ and TRW, Inc. It is our understanding that Teligent and its 
related companies have less than 1,500 employees, though this may 
change in the future. TRW is not a small entity. Thus, only one 
incumbent licensee in the 24 GHz band is a small business entity.
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    \167\ 13 CFR 121.201, NAICS code 517210.
    \168\ U.S. Census Bureau, 2007 Economic Census, Sector 51, 2007 
NAICS code 517210 (rel. Oct. 20, 2009), http://factfinder.census.gov/servlet/IBQTable?_bm=y&-geo_id=&-fds_name=EC0700A1&-_skip=700&-ds_name=EC0751SSSZ5&-_lang=en.
    \169\ Teligent acquired the DEMS licenses of FirstMark, the only 
licensee other than TRW in the 24 GHz band whose license has been 
modified to require relocation to the 24 GHz band.
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    Future 24 GHz Licensees. With respect to new applicants for 
licenses in the 24 GHz band, for the purpose of determining eligibility 
for bidding credits, the Commission established three small business 
definitions. An ``entrepreneur'' is defined as an entity that, together 
with controlling interests and affiliates, has average annual gross 
revenues for the three preceding years not exceeding $40 million.\170\ 
A ``small business'' is defined as an entity that, together with 
controlling interests and affiliates, has average annual gross revenues 
for the three preceding years not exceeding $15 million.\171\ A ``very 
small business'' in the 24 GHz band is defined as an entity that, 
together with controlling interests and affiliates, has average gross 
revenues not exceeding $3 million for the preceding three years.\172\ 
The SBA has approved these small business size standards.\173\ In a 
2004 auction of 24 GHz licenses, three winning bidders won seven 
licenses.\174\ Two of the winning bidders were very small businesses 
that won five licenses.
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    \170\ Amendments to Parts 1, 2, 87 and 101 of the Commission's 
Rules To License Fixed Services at 24 GHz, Report and Order, 15 FCC 
Rcd 16934, 16967 para. 77 (2000) (``24 GHz Report and Order''); see 
also 47 CFR 101.538(a)(3).
    \171\ 24 GHz Report and Order, 15 FCC Rcd at 16967 para. 77; see 
also 47 CFR 101.538(a)(2).
    \172\ 24 GHz Report and Order, 15 FCC Rcd at 16967 para. 77; see 
also 47 CFR 101.538(a)(1).
    \173\ See Letter to Margaret W. Wiener, Deputy Chief, Auctions 
and Industry Analysis Division, Wireless Telecommunications Bureau, 
FCC, from Gary M. Jackson, Assistant Administrator, SBA (July 28, 
2000).
    \174\ Auction of 24 GHz Service Spectrum Auction Closes, Winning 
Bidders Announced for Auction 56, Down Payments Due August 16, 2004, 
Final Payments Due August 30, 2004, Ten-Day Petition to Deny Period, 
Public Notice, 19 FCC Rcd 14738 (2004).
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    Broadband Radio Service and Educational Broadband Service. 
Broadband Radio Service systems, previously referred to as Multipoint 
Distribution Service (``MDS'') and Multichannel Multipoint Distribution 
Service (``MMDS'') systems, and ``wireless cable,'' transmit video 
programming to subscribers and provide two-way high speed data 
operations using the microwave frequencies of the Broadband Radio 
Service (``BRS'') and Educational Broadband Service (``EBS'') 
(previously referred to as the Instructional Television Fixed Service 
(``ITFS'').\175\ In connection with the 1996 BRS auction, the 
Commission established a small business size standard as an entity that 
had annual average gross revenues of no more than $40 million in the 
previous three years.\176\ The BRS auctions resulted in 67 successful 
bidders obtaining licensing opportunities for 493 Basic Trading Areas 
(``BTAs''). Of the 67 auction winners, 61 met the definition of a small 
business. BRS also includes licensees of stations authorized prior to 
the auction. At this time, we estimate that of the 61 small business 
BRS auction winners, 48 remain small business licensees. In addition to 
the 48 small businesses that hold BTA authorizations, there are 
approximately 392 incumbent BRS licensees that are considered small 
entities.\177\ After adding the number of small business auction 
licensees to the number of incumbent licensees not already counted, we 
find that there are currently approximately 440 BRS licensees that are 
defined as small businesses under either the SBA or the Commission's 
rules. In 2009, the Commission conducted Auction 86, the sale of 78 
licenses in the BRS areas.\178\ The Commission offered three levels of 
bidding credits: (i) A bidder with attributed average annual gross 
revenues that exceed $15 million and do not exceed $40 million for the 
preceding three years (small business) will receive a 15 percent 
discount on its winning bid; (ii) a bidder with attributed average 
annual gross revenues that exceed $3 million and do not exceed $15 
million for the preceding three years (very small business) will 
receive a 25 percent discount on its winning bid; and (iii) a bidder 
with attributed average annual gross revenues that do not exceed $3 
million for the preceding three years (entrepreneur) will receive a 35 
percent discount on its winning bid.\179\ Auction 86 concluded in 2009 
with the sale of 61 licenses.\180\ Of the ten winning bidders, two 
bidders that claimed small business status won 4 licenses; one bidder 
that claimed very small business status won three licenses; and two 
bidders that claimed entrepreneur status won six licenses.
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    \175\ Amendment of Parts 21 and 74 of the Commission's Rules 
with Regard to Filing Procedures in the Multipoint Distribution 
Service and in the Instructional Television Fixed Service and 
Implementation of Section 309(j) of the Communications Act--
Competitive Bidding, MM Docket No. 94-131, PP Docket No. 93-253, 
Report and Order, 10 FCC Rcd 9589, 9593 para. 7 (1995).
    \176\ 47 CFR 21.961(b)(1).
    \177\ 47 U.S.C. 309(j). Hundreds of stations were licensed to 
incumbent MDS licensees prior to implementation of Section 309(j) of 
the Communications Act of 1934, 47 U.S.C. 309(j). For these pre-
auction licenses, the applicable standard is SBA's small business 
size standard of 1500 or fewer employees.
    \178\ Auction of Broadband Radio Service (BRS) Licenses, 
Scheduled for October 27, 2009, Notice and Filing Requirements, 
Minimum Opening Bids, Upfront Payments, and Other Procedures for 
Auction 86, Public Notice, 24 FCC Rcd 8277 (2009).
    \179\ Id. at 8296.
    \180\ Auction of Broadband Radio Service Licenses Closes, 
Winning Bidders Announced for Auction 86, Down Payments Due November 
23, 2009, Final Payments Due December 8, 2009, Ten-Day Petition to 
Deny Period, Public Notice, 24 FCC Rcd 13572 (2009).
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    In addition, the SBA's Cable Television Distribution Services small 
business size standard is applicable to EBS. There are presently 2,032 
EBS licensees. All but 100 of these licenses are held by educational 
institutions. Educational institutions are included in this analysis as 
small entities.\181\ Thus, we estimate that at least 1,932 licensees 
are small businesses. Since 2007, Cable Television Distribution 
Services have been defined within the broad economic census category of 
Wired Telecommunications Carriers; that category is defined as follows: 
``This industry comprises establishments primarily engaged in operating 
and/or providing access to transmission facilities and infrastructure 
that they own and/or lease for the transmission of voice, data, text, 
sound, and video using wired telecommunications networks. Transmission 
facilities may be based on a single technology or a combination of 
technologies.'' \182\ For these services, the

[[Page 33647]]

Commission uses the SBA small business size standard for the category 
``Wireless Telecommunications Carriers (except satellite),'' which is 
1,500 or fewer employees.\183\ To gauge small business prevalence for 
these cable services we must, however, use the most current census 
data. According to Census Bureau data for 2007, there were a total of 
955 firms in this previous category that operated for the entire 
year.\184\ Of this total, 939 firms employed 999 or fewer employees, 
and 16 firms employed 1,000 employees or more.\185\ Thus, the majority 
of these firms can be considered small.
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    \181\ The term ``small entity'' within SBREFA applies to small 
organizations (nonprofits) and to small governmental jurisdictions 
(cities, counties, towns, townships, villages, school districts, and 
special districts with populations of less than 50,000). 5 U.S.C. 
601(4)-(6). We do not collect annual revenue data on EBS licensees.
    \182\ U.S. Census Bureau, 2007 NAICS Definitions, 517110 Wired 
Telecommunications Carriers, (partial definition), www.census.gov/naics/2007/def/ND517110.HTM#N517110.
    \183\ 13 CFR 121.201, NAICS code 517210.
    \184\ U.S. Census Bureau, 2007 Economic Census, Subject Series: 
Information, Table 5, Employment Size of Firms for the United 
States: 2007, NAICS code 5171102 (issued November 2010).
    \185\ Id.
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    Television Broadcasting. This Economic Census category ``comprises 
establishments primarily engaged in broadcasting images together with 
sound. These establishments operate television broadcasting studios and 
facilities for the programming and transmission of programs to the 
public.'' \186\ The SBA has created the following small business size 
standard for Television Broadcasting firms: those having $14 million or 
less in annual receipts.\187\ The Commission has estimated the number 
of licensed commercial television stations to be 1,387.\188\ In 
addition, according to Commission staff review of the BIA Advisory 
Services, LLC's Media Access Pro Television Database on March 28, 2012, 
about 950 of an estimated 1,300 commercial television stations (or 
approximately 73 percent) had revenues of $14 million or less.\189\ We 
therefore estimate that the majority of commercial television 
broadcasters are small entities.
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    \186\ U.S. Census Bureau, 2007 NAICS Definitions, ``515120 
Television Broadcasting'' (partial definition); http://www.census.gov/naics/2007/def/ND515120.HTM#N515120.
    \187\ 13 CFR 121.201, NAICS code 515120 (updated for inflation 
in 2010).
    \188\ See FCC News Release, ``Broadcast Station Totals as of 
December 31, 2011,'' dated January 6, 2012; http://hraunfoss.fcc.gov/edocs_public/attachmatch/DOC-311837A1.pdf.
    \189\ We recognize that BIA's estimate differs slightly from the 
FCC total given supra.
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    We note, however, that in assessing whether a business concern 
qualifies as small under the above definition, business (control) 
affiliations \190\ must be included. Our estimate, therefore, likely 
overstates the number of small entities that might be affected by our 
action because the revenue figure on which it is based does not include 
or aggregate revenues from affiliated companies. In addition, an 
element of the definition of ``small business'' is that the entity not 
be dominant in its field of operation. We are unable at this time to 
define or quantify the criteria that would establish whether a specific 
television station is dominant in its field of operation. Accordingly, 
the estimate of small businesses to which rules may apply does not 
exclude any television station from the definition of a small business 
on this basis and is therefore possibly over-inclusive to that extent.
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    \190\ ``[Business concerns] are affiliates of each other when 
one concern controls or has the power to control the other or a 
third party or parties controls or has to power to control both.'' 
13 CFR 21.103(a)(1).
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    In addition, the Commission has estimated the number of licensed 
noncommercial educational (NCE) television stations to be 396.\191\ 
These stations are non-profit, and therefore considered to be small 
entities.\192\
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    \191\ See FCC News Release, ``Broadcast Station Totals as of 
December 31, 2011,'' dated January 6, 2012; http://transition.fcc.gov/Daily_Releases/Daily_Business/2012/db0106/DOC-311837A1.pdf.
    \192\ See generally 5 U.S.C. 601(4), (6).
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    In addition, there are also 2,528 low power television stations, 
including Class A stations (LPTV).\193\ Given the nature of these 
services, we will presume that all LPTV licensees qualify as small 
entities under the above SBA small business size standard.
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    \193\ See FCC News Release, ``Broadcast Station Totals as of 
December 31, 2011,'' dated January 6, 2012; http://transition.fcc.gov/Daily_Releases/Daily_Business/2012/db0106/DOC-311837A1.pdf.
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    Radio Broadcasting. This Economic Census category ``comprises 
establishments primarily engaged in broadcasting aural programs by 
radio to the public. Programming may originate in their own studio, 
from an affiliated network, or from external sources.'' \194\ The SBA 
has established a small business size standard for this category, which 
is: Such firms having $7 million or less in annual receipts.\195\ 
According to Commission staff review of BIA Advisory Services, LLC's 
Media Access Pro Radio Database on March 28, 2012, about 10,759 (97%) 
of 11,102 commercial radio stations had revenues of $7 million or less. 
Therefore, the majority of such entities are small entities.
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    \194\ U.S. Census Bureau, 2007 NAICS Definitions, ``515112 Radio 
Stations''; http://www.census.gov/naics/2007/def/ND515112.HTM#N515112.
    \195\ 13 CFR 121.201, NAICS code 515112 (updated for inflation 
in 2010).
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    We note, however, that in assessing whether a business concern 
qualifies as small under the above size standard, business affiliations 
must be included.\196\ In addition, to be determined to be a ``small 
business,'' the entity may not be dominant in its field of 
operation.\197\ We note that it is difficult at times to assess these 
criteria in the context of media entities, and our estimate of small 
businesses may therefore be over-inclusive.
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    \196\ ``Concerns and entities are affiliates of each other when 
one controls or has the power to control the other, or a third party 
or parties controls or has the power to control both. It does not 
matter whether control is exercised, so long as the power to control 
exists.'' 13 CFR 121.103(a)(1) (an SBA regulation).
    \197\ 13 CFR 121.102(b) (an SBA regulation).
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    Auxiliary, Special Broadcast and Other Program Distribution 
Services. This service involves a variety of transmitters, generally 
used to relay broadcast programming to the public (through translator 
and booster stations) or within the program distribution chain (from a 
remote news gathering unit back to the station). The Commission has not 
developed a definition of small entities applicable to broadcast 
auxiliary licensees. The applicable definitions of small entities are 
those, noted previously, under the SBA rules applicable to radio 
broadcasting stations and television broadcasting stations.\198\
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    \198\ 13 CFR 121.201, NAICS codes 515112 and 515120.
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    The Commission estimates that there are approximately 6,099 FM 
translators and boosters.\199\ The Commission does not collect 
financial information on any broadcast facility, and the Department of 
Commerce does not collect financial information on these auxiliary 
broadcast facilities. We believe that most, if not all, of these 
auxiliary facilities could be classified as small businesses by 
themselves. We also recognize that most commercial translators and 
boosters are owned by a parent station which, in some cases, would be 
covered by the revenue definition of small business entity discussed 
above. These stations would likely have annual revenues that exceed the 
SBA maximum to be designated as a small business ($7.0 million for a 
radio station or $14.0 million for a TV station). Furthermore, they do 
not meet the Small Business Act's definition of a ``small business 
concern'' because they are not independently owned and operated.\200\
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    \199\ See FCC News Release, ``Broadcast Station Totals as of 
December 31, 2011,'' dated January 6, 2012; http://transition.fcc.gov/Daily_Releases/Daily_Business/2012/db0106/DOC-311837A1.pdf.
    \200\ See 15 U.S.C. 632.
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    Multichannel Video Distribution and Data Service. MVDDS is a 
terrestrial fixed microwave service operating in the 12.2-12.7 GHz 
band. The Commission adopted criteria for defining three groups of 
small businesses for purposes of determining their eligibility for 
special provisions such as bidding credits. It defines a very

[[Page 33648]]

small business as an entity with average annual gross revenues not 
exceeding $3 million for the preceding three years; a small business as 
an entity with average annual gross revenues not exceeding $15 million 
for the preceding three years; and an entrepreneur as an entity with 
average annual gross revenues not exceeding $40 million for the 
preceding three years.\201\ These definitions were approved by the 
SBA.\202\ On January 27, 2004, the Commission completed an auction of 
214 MVDDS licenses (Auction No. 53). In this auction, ten winning 
bidders won a total of 192 MVDDS licenses.\203\ Eight of the ten 
winning bidders claimed small business status and won 144 of the 
licenses. The Commission also held an auction of MVDDS licenses on 
December 7, 2005 (Auction 63). Of the three winning bidders who won 22 
licenses, two winning bidders, winning 21 of the licenses, claimed 
small business status.\204\
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    \201\ Amendment of Parts 2 and 25 of the Commission's Rules to 
Permit Operation of NGSO FSS Systems Co-Frequency with GSO and 
Terrestrial Systems in the Ku-Band Frequency Range; Amendment of the 
Commission's Rules to Authorize Subsidiary Terrestrial Use of the 
12.2-12.7 GHz Band by Direct Broadcast Satellite Licenses and their 
Affiliates; and Applications of Broadwave USA, PDC Broadband 
Corporation, and Satellite Receivers, Ltd. to provide A Fixed 
Service in the 12.2-12.7 GHz Band, ET Docket No. 98-206, Memorandum 
Opinion and Order and Second Report and Order, 17 FCC Rcd 9614, 
9711, para. 252 (2002).
    \202\ See Letter from Hector V. Barreto, Administrator, U.S. 
Small Business Administration, to Margaret W. Wiener, Chief, 
Auctions and Industry Analysis Division, WTB, FCC (Feb.13, 2002).
    \203\ See ``Multichannel Video Distribution and Data Service 
Auction Closes,'' Public Notice, 19 FCC Rcd 1834 (2004).
    \204\ See ``Auction of Multichannel Video Distribution and Data 
Service Licenses Closes; Winning Bidders Announced for Auction No. 
63,'' Public Notice, 20 FCC Rcd 19807 (2005).
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    Amateur Radio Service. These licensees are held by individuals in a 
noncommercial capacity; these licensees are not small entities.
    Personal Radio Services. Personal radio services provide short-
range, low power radio for personal communications, radio signaling, 
and business communications not provided for in other services. The 
Personal Radio Services include spectrum licensed under Part 95 of our 
rules.\205\ These services include Citizen Band Radio Service (``CB''), 
General Mobile Radio Service (``GMRS''), Radio Control Radio Service 
(``R/C''), Family Radio Service (``FRS''), Wireless Medical Telemetry 
Service (``WMTS''), Medical Implant Communications Service (``MICS''), 
Low Power Radio Service (``LPRS''), and Multi-Use Radio Service 
(``MURS'').\206\ There are a variety of methods used to license the 
spectrum in these rule parts, from licensing by rule, to conditioning 
operation on successful completion of a required test, to site-based 
licensing, to geographic area licensing. Under the RFA, the Commission 
is required to make a determination of which small entities are 
directly affected by the rules being proposed. Since all such entities 
are wireless, we apply the definition of Wireless Telecommunications 
Carriers (except Satellite), pursuant to which a small entity is 
defined as employing 1,500 or fewer persons.\207\ Many of the licensees 
in these services are individuals, and thus are not small entities. In 
addition, due to the mostly unlicensed and shared nature of the 
spectrum utilized in many of these services, the Commission lacks 
direct information upon which to base an estimation of the number of 
small entities under an SBA definition that might be directly affected 
by our action.
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    \205\ 47 CFR part 90.
    \206\ The Citizens Band Radio Service, General Mobile Radio 
Service, Radio Control Radio Service, Family Radio Service, Wireless 
Medical Telemetry Service, Medical Implant Communications Service, 
Low Power Radio Service, and Multi-Use Radio Service are governed by 
subpart D, subpart A, subpart C, subpart B, subpart H, subpart I, 
subpart G, and subpart J, respectively, of part 95 of the 
Commission's rules. See generally 47 CFR part 95.
    \207\ 13 CFR 121.201, NAICS Code 517210.
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    Public Safety Radio Services. Public Safety radio services include 
police, fire, local government, forestry conservation, highway 
maintenance, and emergency medical services.\208\ There are a total of 
approximately 127,540 licensees in these services. Governmental 
entities \209\ 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.\210\
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    \208\ 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 90.15-90.27. 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 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 for highway maintenance service to 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 90.15-90.27. 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 
90.33-90.55.
    \209\ 47 CFR 1.1162.
    \210\ 5 U.S.C. 601(5).
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    IMTS Resale Carriers. Providers of IMTS resale services are common 
carriers that purchase IMTS from other carriers and resell it to their 
own customers. Under that size standard, such a business is small if it 
has 1,500 or fewer employees.\211\ Census data for 2007 show that 1,523 
firms provided resale services during that year. Of that number, 1,522 
operated with fewer than 1000 employees and one operated with more than 
1,000.\212\ Thus under this category and the associated small business 
size standard, the majority of these local resellers can be considered 
small entities. According to Commission data, 213 carriers have 
reported that they are engaged in the provision of local resale 
services.\213\ Of these, an estimated 211 have 1,500 or fewer employees 
and two have more than 1,500 employees.\214\ Consequently, the 
Commission estimates that the majority of IMTS resellers are small 
entities that may be affected by our action.
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    \211\ 13 CFR 121.201, NAICS code 517911.
    \212\ http://factfinder.census.gov/servlet/IBQTable?_bm=y&-geo_id=&-_skip=800&-ds_name=EC0751SSSZ5&-_lang=en.
    \213\ See Trends in Telephone Service, at tbl. 5.3.
    \214\ Id.
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    Wireless Carriers and Service Providers. Included among the 
providers of IMTS resale are a number of wireless carriers that also 
provide wireless telephony services domestically. The Commission 
classifies these entities as providers of Commercial Mobile Radio 
Services (CMRS). At present, most, if not all, providers of CMRS that 
offer IMTS provide such service by purchasing IMTS from other carriers 
to resell it to their customers. The Commission has not developed a 
size standard specifically for CMRS providers that offer resale IMTS. 
Such entities would fall within the larger category of wireless 
carriers and service providers. For those services subject to auctions, 
the Commission notes that, as a general matter, the number of winning 
bidders that qualify as small businesses at the close of an auction 
does not necessarily represent the number of small businesses currently 
in service. Also,

[[Page 33649]]

the Commission does not generally track subsequent business size 
unless, in the context of assignments or transfers, unjust enrichment 
issues are implicated.

D. Description of Projected Reporting, Recordkeeping, and Other 
Compliance Requirements

    34. The amendments being made in this Order do not change reporting 
requirements but may require additional training consistent with 
industry RF safety program standards regarding compliance with our RF 
exposure limits for certain transmitting facilities, such as broadcast 
sites, some wireless base stations and some antennas at multiple 
transmitter sites. Also, we are clarifying that in order for the 
occupational/controlled SAR or MPE limits to be used in evaluating 
compliance for a portable or mobile device, certain conditions must be 
met that may include placing a visual advisory such as a label on a 
device that provides a user with specific information on RF exposure. 
We are also requiring a sample of the advisory and instructional 
material be filed with the Commission along with the application for 
equipment authorization.

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

    35. 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.\215\
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    \215\ 5 U.S.C. 603(c).
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F. Federal Rules That May Duplicate, Overlap, or Conflict With the 
Proposed Rule

    36. The Commission will send a copy of the Order, including this 
FRFA, in a report to be sent to Congress pursuant to the SBREFA.\216\ 
In addition, the Commission will send a copy of the Order, including 
the FRFA, to the Chief Counsel for Advocacy of the SBA.\217\
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    \216\ See 5 U.S.C. 801(a)(1)(A).
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Congressional Review Act

    37. The Commission will send a copy of this Report and Order to 
Congress and the Government Accountability Office pursuant to the 
Congressional Review Act, see 5 U.S.C. 801(a)(1)(A).

Ordering Clauses

    38. Pursuant to Sec. Sec.  4(i), 301, 302(a), 303(c), 303(f), 
303(g), and 303(r) of the Communications Act of 1934, as amended, 47 
U.S.C. 154(i), 301, 302a(a) 303(c), 303(f), 303(g), and 303(r), this 
Report and Order is adopted and parts 1, 2 and 95 of the Commission's 
Rules ARE AMENDED as set forth in Final Rules, effective August 5, 
2013.
    39. The Commission's Consumer and Governmental Affairs Bureau, 
Reference Information Center, SHALL SEND a copy of this Report and 
Order, including the Final Regulatory Flexibility Certification, to the 
Chief Counsel for Advocacy of the Small Business Administration.

Report to Congress

    40. The Commission will send a copy of this Report and Order, 
including this FRFA, in a report to Congress pursuant to the 
Congressional Review Act.\218\ In addition, the Commission will send a 
copy of the Report and Order, including this FRFA, to the Chief Counsel 
for Advocacy of the SBA.\219\
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    \218\ See 5 U.S.C. 801(a)(1)(A).
    \219\ See 5 U.S.C. 604(b).
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List of Subjects in 47 CFR Parts 1, 2 and 95

    Communications equipment, Radio.

Federal Communications Commission.
Marlene H. Dortch,
Secretary.

Final Rules

    For the reasons discussed in the preamble, the Federal 
Communications Commission amends 47 CFR parts 1, 2, and 95 to read as 
follows:

PART 1--PRACTICE AND PROCEDURE

0
1. 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, 227, 303(r), and 309, Cable Landing License Act of 
1921, 47 U.S.C. 35-39, and the Middle Class Tax Relief and Job 
Creation Act of 2012, Pub. L. 112-96.


0
2. Section 1.1307 is amended by revising paragraph (b)(2) and removing 
paragraphs (b)(4) and (5).
    The revision reads as follows:


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

* * * * *
    (b) * * *
    (2)(i) Mobile and portable transmitting devices that operate in the 
Commercial Mobile Radio Services pursuant to part 20 of this chapter; 
the Cellular Radiotelephone Service pursuant to part 22 of this 
chapter; the Personal Communications Services (PCS) pursuant to part 24 
of this chapter; the Satellite Communications Services pursuant to part 
25 of this chapter; the Miscellaneous Wireless Communications Services 
pursuant to part 27 of this chapter; the Maritime Services (ship earth 
stations only) pursuant to part 80 of this chapter; the Specialized 
Mobile Radio Service, the 4.9 GHz Band Service, or the 3650 MHz 
Wireless Broadband Service pursuant to part 90 of this chapter; or the 
Wireless Medical Telemetry Service (WMTS), or the Medical Device 
Radiocommunication Service (MedRadio) pursuant to part 95 of this 
chapter are subject to routine environmental evaluation for RF exposure 
prior to equipment authorization or use, as specified in Sec. Sec.  
2.1091 and 2.1093 of this chapter.
    (ii) Unlicensed PCS, unlicensed NII and millimeter wave devices are 
also subject to routine environmental evaluation for RF exposure prior 
to equipment authorization or use, as specified in Sec. Sec.  
15.253(f), 15.255(g), 15.257(g), 15.319(i), and 15.407(f) of this 
chapter.
    (iii) Portable transmitting equipment for use in the Wireless 
Medical Telemetry Service (WMTS) is subject to routine environment 
evaluation as specified in Sec. Sec.  2.1093 and 95.1125 of this 
chapter.
    (iv) Equipment authorized for use in the Medical Device 
Radiocommunication Service (MedRadio) as a medical implant device or 
body-worn transmitter (as defined in Appendix 1 to subpart E of part 95 
of this chapter) is subject to routine environmental evaluation for RF 
exposure prior to equipment authorization, as specified in Sec. Sec.  
2.1093 and 95.1221 of this chapter by finite difference time domain 
(FDTD) computational modeling or laboratory measurement techniques. 
Where a showing is based on computational modeling, the Commission 
retains the discretion to request that supporting documentation and/or 
specific absorption rate (SAR) measurement data be submitted.

[[Page 33650]]

    (v) All other mobile, portable, and unlicensed transmitting devices 
are categorically excluded from routine environmental evaluation for RF 
exposure under Sec. Sec.  2.1091, 2.1093 of this chapter except as 
specified in paragraphs (c) and (d) of this section.
* * * * *


0
3. Section 1.1310 is revised to read as follows:


Sec.  1.1310  Radiofrequency radiation exposure limits.

    (a) Specific absorption rate (SAR) shall be used to evaluate the 
environmental impact of human exposure to radiofrequency (RF) radiation 
as specified in Sec.  1.1307(b) within the frequency range of 100 kHz 
to 6 GHz (inclusive).
    (b) The SAR limits for occupational/controlled exposure are 0.4 W/
kg, as averaged over the whole body, and a peak spatial-average SAR of 
8 W/kg, averaged over any 1 gram of tissue (defined as a tissue volume 
in the shape of a cube). Exceptions are the parts of the human body 
treated as extremities, such as hands, wrists, feet, ankles, and 
pinnae, where the peak spatial-average SAR limit for occupational/
controlled exposure is 20 W/kg, averaged over any 10 grams of tissue 
(defined as a tissue volume in the shape of a cube). Exposure may be 
averaged over a time period not to exceed 6 minutes to determine 
compliance with occupational/controlled SAR limits.
    (c) The SAR limits for general population/uncontrolled exposure are 
0.08 W/kg, as averaged over the whole body, and a peak spatial-average 
SAR of 1.6 W/kg, averaged over any 1 gram of tissue (defined as a 
tissue volume in the shape of a cube). Exceptions are the parts of the 
human body treated as extremities, such as hands, wrists, feet, ankles, 
and pinnae, where the peak spatial-average SAR limit is 4 W/kg, 
averaged over any 10 grams of tissue (defined as a tissue volume in the 
shape of a cube). Exposure may be averaged over a time period not to 
exceed 30 minutes to determine compliance with general population/
uncontrolled SAR limits.
    (d)(1) Evaluation with respect to the SAR limits in this section 
and in Sec.  2.1093 of this chapter must demonstrate compliance with 
both the whole-body and peak spatial-average limits using technically 
supportable methods and exposure conditions in advance of authorization 
(licensing or equipment certification) and in a manner that permits 
independent assessment.
    (2) At operating frequencies less than or equal to 6 GHz, the 
limits for maximum permissible exposure (MPE), derived from whole-body 
SAR limits and listed in Table 1 of paragraph (e) of this section, may 
be used instead of whole-body SAR limits as set forth in paragraph (a) 
through (c) of this section to evaluate the environmental impact of 
human exposure to RF radiation as specified in Sec.  1.1307(b), except 
for portable devices as defined in Sec.  2.1093 as these evaluations 
shall be performed according to the SAR provisions in Sec.  2.1093 of 
this chapter.
    (3) At operating frequencies above 6 GHz, the MPE limits shall be 
used in all cases to evaluate the environmental impact of human 
exposure to RF radiation as specified in Sec.  1.1307(b).
    (4) Both the MPE limits listed in Table 1 of paragraph (e) of this 
section and the SAR limits as set forth in paragraph (a) through (c) of 
this section and in Sec.  2.1093 of this chapter are for continuous 
exposure, that is, for indefinite time periods. Exposure levels higher 
than the limits are permitted for shorter exposure times, as long as 
the average exposure over the specified averaging time in Table 1 is 
less than the limits. Detailed information on our policies regarding 
procedures for evaluating compliance with all of these exposure limits 
can be found in the FCC's OET Bulletin 65, ``Evaluating Compliance with 
FCC Guidelines for Human Exposure to Radiofrequency Electromagnetic 
Fields,'' and in supplements to Bulletin 65, all available at the FCC's 
Internet Web site: http://www.fcc.gov/oet/rfsafety.
    Note to paragraphs (a) through (d): SAR is a measure of the rate of 
energy absorption due to exposure to RF electromagnetic energy. The SAR 
limits to be used for evaluation are based generally on criteria 
published by the American National Standards Institute (ANSI) for 
localized SAR in Sec.  4.2 of ``IEEE Standard for Safety Levels with 
Respect to Human Exposure to Radio Frequency Electromagnetic Fields, 3 
kHz to 300 GHz,'' ANSI/IEEE Std C95.1-1992, copyright 1992 by the 
Institute of Electrical and Electronics Engineers, Inc., New York, New 
York 10017. The criteria for SAR evaluation are similar to those 
recommended by the National Council on Radiation Protection and 
Measurements (NCRP) in ``Biological Effects and Exposure Criteria for 
Radiofrequency Electromagnetic Fields,'' NCRP Report No. 86, Sec.  
17.4.5, copyright 1986 by NCRP, Bethesda, Maryland 20814. Limits for 
whole body SAR and peak spatial-average SAR are based on 
recommendations made in both of these documents. The MPE limits in 
Table 1 are based generally on criteria published by the NCRP in 
``Biological Effects and Exposure Criteria for Radiofrequency 
Electromagnetic Fields,'' NCRP Report No. 86, Sec. Sec.  17.4.1, 
17.4.1.1, 17.4.2 and 17.4.3, copyright 1986 by NCRP, Bethesda, Maryland 
20814. In the frequency range from 100 MHz to 1500 MHz, these MPE 
exposure limits for field strength and power density are also generally 
based on criteria recommended by the ANSI in Sec.  4.1 of ``IEEE 
Standard for Safety Levels with Respect to Human Exposure to Radio 
Frequency Electromagnetic Fields, 3 kHz to 300 GHz,'' ANSI/IEEE Std 
C95.1-1992, copyright 1992 by the Institute of Electrical and 
Electronics Engineers, Inc., New York, New York 10017.
    (e) Table 1 below sets forth limits for Maximum Permissible 
Exposure (MPE) to radiofrequency electromagnetic fields.

                             Table 1--Limits for Maximum Permissible Exposure (MPE)
----------------------------------------------------------------------------------------------------------------
                                                  Electric field  Magnetic field   Power density  Averaging time
              Frequency range (MHz)               strength (V/m)  strength (A/m)    (mW/cm \2\)      (minutes)
----------------------------------------------------------------------------------------------------------------
                                 (A) Limits for Occupational/Controlled Exposure
----------------------------------------------------------------------------------------------------------------
0.3-3.0.........................................             614            1.63           * 100               6
3.0-30..........................................          1842/f          4.89/f     * 900/f \2\               6
30-300..........................................            61.4           0.163             1.0               6
300-1,500.......................................  ..............  ..............           f/300               6
1,500-100,000...................................  ..............  ..............               5               6
----------------------------------------------------------------------------------------------------------------

[[Page 33651]]

 
                             (B) Limits for General Population/Uncontrolled Exposure
----------------------------------------------------------------------------------------------------------------
0.3-1.34........................................             614            1.63           * 100              30
1.34-30.........................................           824/f          2.19/f     * 180/f \2\              30
30-300..........................................            27.5           0.073             0.2              30
300-1,500.......................................  ..............  ..............          f/1500              30
1,500-100,000...................................  ..............  ..............             1.0              30
----------------------------------------------------------------------------------------------------------------
f = frequency in MHz * = Plane-wave equivalent power density

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

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

0
4. The authority citation for part 2 continues to read as follows:

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


0
5. Section 2.1091 is amended by revising paragraphs (c) and (d)(3) to 
read as follows:


Sec.  2.1091  Radio frequency radiation exposure evaluation: mobile 
devices.

* * * * *
    (c)(1) Mobile devices that operate in the Commercial Mobile Radio 
Services pursuant to part 20 of this chapter; the Cellular 
Radiotelephone Service pursuant to part 22 of this chapter; the 
Personal Communications Services pursuant to part 24 of this chapter; 
the Satellite Communications Services pursuant to part 25 of this 
chapter; the Miscellaneous Wireless Communications Services pursuant to 
part 27 of this chapter; the Maritime Services (ship earth station 
devices only) pursuant to part 80 of this chapter; and the Specialized 
Mobile Radio Service, and the 3650 MHz Wireless Broadband Service 
pursuant to part 90 of this chapter are subject to routine 
environmental evaluation for RF exposure prior to equipment 
authorization or use if:
    (i) They operate at frequencies of 1.5 GHz or below and their 
effective radiated power (ERP) is 1.5 watts or more, or
    (ii) They operate at frequencies above 1.5 GHz and their ERP is 3 
watts or more.
    (2) Unlicensed personal communications service devices, unlicensed 
millimeter wave devices and unlicensed NII devices authorized under 
Sec. Sec.  15.253(f), 15.255(g), 15.257(g), 15.319(i), and 15.407(f) of 
this chapter are also subject to routine environmental evaluation for 
RF exposure prior to equipment authorization or use if their ERP is 3 
watts or more or if they meet the definition of a portable device as 
specified in Sec.  2.1093(b) requiring evaluation under the provisions 
of that section.
    (3) All other mobile and unlicensed transmitting devices are 
categorically excluded from routine environmental evaluation for RF 
exposure prior to equipment authorization or use, except as specified 
in Sec. Sec.  1.1307(c) and 1.1307(d) of this chapter.
    (4) Applications for equipment authorization of mobile and 
unlicensed transmitting devices subject to routine environmental 
evaluation must contain a statement confirming compliance with the 
limits specified in paragraph (d) of this section. Technical 
information showing the basis for this statement must be submitted to 
the Commission upon request.
    (d) * * *
    (3) If appropriate, awareness of exposure from devices in this 
section can be accomplished by the use of visual advisories (such as 
labeling, embossing, or on an equivalent electronic display) and by 
providing users with information concerning minimum separation 
distances from

[[Page 33652]]

radiating structures and proper installation of antennas.
    (i) Visual advisories shall be legible and clearly visible to the 
user from the exterior of the device.
    (ii) Visual advisories used on devices that are subject to 
occupational/controlled exposure limits must indicate that the device 
is for occupational use only, must refer the user to specific 
information on RF exposure, such as that provided in a user manual, and 
must note that the advisory and its information is required for FCC RF 
exposure compliance. Such instructional material must provide the user 
with information on how to use the device in order to ensure compliance 
with the occupational/controlled exposure limits.
    (iii) A sample of the visual advisory, illustrating its location on 
the device, and any instructional material intended to accompany the 
device when marketed, shall be filed with the Commission along with the 
application for equipment authorization.
    (iv) For occupational devices, details of any special training 
requirements pertinent to limiting RF exposure should also be 
submitted. Holders of grants for mobile devices to be used in 
occupational settings are encouraged, but not required, to coordinate 
with end-user organizations to ensure appropriate RF safety training.
* * * * *

0
6. Section 2.1093 is amended by revising paragraphs (c) and (d)(1) 
through (3) to read as follows:


Sec.  2.1093  Radiofrequency radiation exposure evaluation: portable 
devices.

* * * * *
    (c)(1) Portable devices that operate in the Cellular Radiotelephone 
Service pursuant to part 22 of this chapter; the Personal 
Communications Service (PCS) pursuant to part 24 of this chapter; the 
Satellite Communications Services pursuant to part 25 of this chapter; 
the Miscellaneous Wireless Communications Services pursuant to part 27 
of this chapter; the Maritime Services (ship earth station devices 
only) pursuant to part 80 of this chapter; the Specialized Mobile Radio 
Service, the 4.9 GHz Band Service, and the 3650 MHz Wireless Broadband 
Service pursuant to part 90 of this chapter; the Wireless Medical 
Telemetry Service (WMTS) and the Medical Device Radiocommunication 
Service (MedRadio), pursuant to subparts H and I of part 95 of this 
chapter, respectively, and unlicensed personal communication service, 
unlicensed NII devices and millimeter wave devices authorized under 
Sec. Sec.  15.253(f), 15.255(g), 15.257(g), 15.319(i), and 15.407(f) of 
this chapter are subject to routine environmental evaluation for RF 
exposure prior to equipment authorization or use.
    (2) All other portable transmitting devices are categorically 
excluded from routine environmental evaluation for RF exposure prior to 
equipment authorization or use, except as specified in Sec. Sec.  
1.1307(c) and 1.1307(d) of this chapter.
    (3) Applications for equipment authorization of portable 
transmitting devices subject to routine environmental evaluation must 
contain a statement confirming compliance with the limits specified in 
paragraph (d) of this section. Technical information showing the basis 
for this statement must be submitted to the Commission upon request.
    (d) * * *
    (1) The SAR limits for occupational/controlled exposure are 0.4 W/
kg, as averaged over the whole body, and a peak spatial-average SAR of 
8 W/kg, averaged over any 1 gram of tissue (defined as a tissue volume 
in the shape of a cube). Exceptions are the parts of the human body 
treated as extremities, such as hands, wrists, feet, ankles, and 
pinnae, where the peak spatial-average SAR limit for occupational/
controlled exposure is 20 W/kg, averaged over any 10 grams of tissue 
(defined as a tissue volume in the shape of a cube). Exposure may be 
averaged over a time period not to exceed 6 minutes to determine 
compliance with occupational/controlled SAR limits.
    (i) Occupational/Controlled limits apply when persons are exposed 
as a consequence of their employment provided these persons are fully 
aware of and exercise control over their exposure. Awareness of 
exposure can be accomplished by use of visual advisories (such as 
labeling, embossing, or on an equivalent electronic display) or by 
specific training or education through appropriate means, such as an RF 
safety program in a work environment.
    (ii) Visual advisories on portable devices designed only for 
occupational use can be used as part of an applicant's evidence of the 
device user's awareness of occupational/controlled exposure limits.
    (A) Such visual advisories shall be legible and clearly visible to 
the user from the exterior of the device.
    (B) Visual advisories must indicate that the device is for 
occupational use only, refer the user to specific information on RF 
exposure, such as that provided in a user manual and note that the 
advisory and its information is required for FCC RF exposure 
compliance.
    (C) Such instructional material must provide the user with 
information on how to use the device in order to ensure compliance with 
the occupational/controlled exposure limits.
    (D) A sample of the visual advisory, illustrating its location on 
the device, and any instructional material intended to accompany the 
device when marketed, shall be filed with the Commission along with the 
application for equipment authorization. Details of any special 
training requirements pertinent to limiting RF exposure should also be 
submitted.
    (E) Holders of grants for portable devices to be used in 
occupational settings are encouraged, but not required, to coordinate 
with end-user organizations to ensure appropriate RF safety training.
    (2) The SAR limits for general population/uncontrolled exposure are 
0.08 W/kg, as averaged over the whole body, and a peak spatial-average 
SAR of 1.6 W/kg, averaged over any 1 gram of tissue (defined as a 
tissue volume in the shape of a cube). Exceptions are the parts of the 
human body treated as extremities, such as hands, wrists, feet, ankles, 
and pinnae, where the peak spatial-average SAR limit is 4 W/kg, 
averaged over any 10 grams of tissue (defined as a tissue volume in the 
shape of a cube). Exposure may be averaged over a time period not to 
exceed 30 minutes to determine compliance with general population/
uncontrolled SAR limits.
    (i) General Population/Uncontrolled limits apply when the general 
public may be exposed, or when persons that are exposed as a 
consequence of their employment may not be fully aware of the potential 
for exposure or do not exercise control over their exposure.
    (ii) Visual advisories (such as labeling, embossing, or on an 
equivalent electronic display) on consumer devices such as cellular 
telephones will not be sufficient reason to allow these devices to be 
evaluated subject to limits for occupational/controlled exposure in 
paragraph (d)(1) of this section.
    (3) Compliance with SAR limits can be demonstrated by either 
laboratory measurement techniques or by computational modeling. The 
latter must be supported by adequate documentation showing that the 
test device and exposure conditions have been correctly modeled in 
accordance with the operating configurations for normal use. Guidance 
regarding SAR measurement techniques can be found in the Office of 
Engineering and Technology (OET) Laboratory Division

[[Page 33653]]

Knowledge Database (KDB). The staff guidance provided in the KDB does 
not necessarily represent the only acceptable methods for measuring RF 
exposure or emissions, and is not binding on the Commission or any 
interested party.
* * * * *

PART 95--PERSONAL RADIO SERVICES

0
7. The authority citation for part 95 continues to read as follows:

    Authority: Secs. 4, 303, 48 Stat. 1066, 1082, as amended; 47 
U.S.C. 154, 303.


0
8. Section 95.1221 is revised to read as follows:


Sec.  95.1221  RF exposure.

    A MedRadio medical implant device or medical body-worn transmitter 
is subject to the radiofrequency radiation exposure requirements 
specified in Sec. Sec.  1.1307(b) and 2.1093 of this chapter, as 
appropriate. Applications for equipment authorization of devices 
operating under this section must demonstrate compliance with these 
requirements using either finite difference time domain (FDTD) 
computational modeling or laboratory measurement techniques. Where a 
showing is based on computational modeling, the Commission retains the 
discretion to request that supporting documentation and/or specific 
absorption rate (SAR) measurement data be submitted.
[FR Doc. 2013-12716 Filed 6-3-13; 8:45 am]
BILLING CODE 6712-01-P