[Federal Register Volume 76, Number 26 (Tuesday, February 8, 2011)]
[Proposed Rules]
[Pages 6927-6956]
From the Federal Register Online via the Government Printing Office [www.gpo.gov]
[FR Doc No: 2011-1377]
[[Page 6927]]
Vol. 76
Tuesday,
No. 26
February 8, 2011
Part III
Federal Communications Commission
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47 CFR Parts 0, 1, 2 et al.
Radio Experimentation and Market Trials Under Part 5 of the
Commission's Rules and Streamlining Other Related Rules; Proposed Rule
Federal Register / Vol. 76 , No. 26 / Tuesday, February 8, 2011 /
Proposed Rules
[[Page 6928]]
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FEDERAL COMMUNICATIONS COMMISSION
47 CFR Parts 0, 1, 2, 5, 22, 73, 74, 80, 87, 90 and 101
[ET Docket No. 10-236; FCC 10-197]
Radio Experimentation and Market Trials Under Part 5 of the
Commission's Rules and Streamlining Other Related Rules
AGENCY: Federal Communications Commission.
ACTION: Proposed rule.
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SUMMARY: In this document, the Commission seeks to promote innovation
and efficiency in spectrum use in the Experimental Radio Service (ERS).
For many years, the ERS has provided fertile ground for testing
innovative ideas that have led to new services and new devices for all
sectors of the economy. The Commission proposes to leverage the power
of experimental radio licensing to accelerate the rate at which these
ideas transform from prototypes to consumer devices and services. Its
goal is to inspire researchers to dream, discover and deliver the
innovations that push the boundaries of the broadband ecosystem. The
resulting advancements in devices and services available to the
American public and greater spectrum efficiency over the long term will
promote economic growth, global competitiveness, and a better way of
life for all Americans.
DATES: Comments must be filed on or before March 10, 2011, and reply
comments must be filed on or before April 11, 2011.
FOR FURTHER INFORMATION CONTACT: For further information, contact James
Burtle at (202) 418-2445, Doug Young at (202) 418-2440, and James
Miller at (202) 418-7351, Office of Engineering and Technology; or via
the Internet at James.Burtle@fcc.gov, Douglas.Young@fcc.gov, and
James.Miller@fcc.gov, respectively.
ADDRESSES: You may submit comments, identified by ET Docket No. 10-236,
by any of the following methods:
Federal eRulemaking Portal: http://www.regulations.gov.
Follow the instructions for submitting comments.
Federal Communications Commission's Web site: http://www.fcc.gov/cgb/ecfs/. Follow the instructions for submitting comments.
E-mail: [Optional: Include the e-mail address only if you
plan to accept comments from the general public]. Include the docket
number(s) in the subject line of the message.
Mail: [Optional: Include the mailing address for paper,
disk or CD-ROM submissions needed/requested by your Bureau or Office.
Do not include the Office of the Secretary's mailing address here.]
People with Disabilities: Contact the FCC to request
reasonable accommodations (accessible format documents, sign language
interpreters, CART, etc.) by e-mail: FCC504@fcc.gov or phone: 202-418-
0530 or TTY: 202-418-0432.
For detailed instructions for submitting comments and additional
information on the rulemaking process, see the SUPPLEMENTARY
INFORMATION of this document.
SUPPLEMENTARY INFORMATION: This is a summary of the Commission's Notice
of Proposed Rulemaking, ET Docket No. 10-236, FCC 10-197, adopted and
released on November 30, 2010. The full text of this document is
available for inspection and copying during normal business hours in
the FCC Reference Center (Room CY-A257), 445 12th Street, SW.,
Washington, DC 20554. The complete text of this document also may be
purchased from the Commission's copy contractor, Best Copy and
Printing, Inc., 445 12th Street, SW., Room, CY-B402, Washington, DC
20554. The full text may also be downloaded at: http://www.fcc.gov.
Pursuant to Sec. Sec. 1.415, 1.419, and 1.430 of the Commission's
rules, 47 CFR 1.415, 1.419, and 1.430, interested parties may file
comments and reply comments on or before the dates indicated on the
first page of this document. Comments may be filed using: (1) The
Commission's Electronic Comment Filing System (ECFS), (2) the Federal
Government's eRulemaking Portal, or (3) by filing paper copies. See
Electronic Filing of Documents in Rulemaking Proceedings, 63 FR 24121,
May 2, 1998.
Electronic Filers: Comments may be filed electronically
using the Internet by accessing the ECFS: http://fjallfoss.fcc.gov/ecfs2/or the Federal eRulemaking Portal: http://www.regulations.gov.
Paper Filers: Parties who choose to file by paper must
file an original and four copies of each filing. If more than one
docket or rulemaking number appears in the caption of this proceeding,
filers must submit two additional copies for each additional docket or
rulemaking number.
Filings can be sent by hand or messenger delivery, by commercial
overnight courier, or by first-class or overnight U.S. Postal Service
mail. All filings must be addressed to the Commission's Secretary,
Office of the Secretary, Federal Communications Commission.
All hand-delivered or messenger-delivered paper filings
for the Commission's Secretary must be delivered to FCC Headquarters at
445 12th St., SW., Room TW-A325, Washington, DC 20554. The filing hours
are 8 a.m. to 7 p.m. All hand deliveries must be held together with
rubber bands or fasteners. Any envelopes must be disposed of before
entering the building.
Commercial overnight mail (other than U.S. Postal Service
Express Mail and Priority Mail) must be sent to 9300 East Hampton
Drive, Capitol Heights, MD 20743.
U.S. Postal Service first-class, Express, and Priority
mail must be addressed to 445 12th Street, SW., Washington, DC 20554.
People with Disabilities: To request materials in accessible
formats for people with disabilities (braille, large print, electronic
files, audio format), send an e-mail to fcc504@fcc.gov or call the
Consumer & Governmental Affairs Bureau at 202-418-0530 (voice), 202-
418-0432 (tty).
Paperwork Reduction Act of 1995 Analysis
This document contains proposed modified information collection
requirements. The Commission, as part of its continuing effort to
reduce paperwork burdens, invites the general public and the Office of
Management and Budget (OMB) to comment on the information collection
requirements contained in this document, as required by the Paperwork
Reduction Act of 1995, Public Law 104-13. In addition, pursuant to the
Small Business Paperwork Relief Act of 2002, Public Law 107-198, see 44
U.S.C. 3506(c)(4), the Commission seeks specific comment on how it
might further reduce the information collection burden for small
business concerns with fewer than 25 employees.
Summary of Notice of Proposed Rulemaking
1. In the Notice of Proposed Rulemaking (NPRM), the Commission
observes that numerous provisions for experimentation and development
of new radio equipment and techniques that are scattered throughout
Title 47 of the Code of Federal Regulations (CFR). The ERS rules, which
are contained in part 5 and permit a broad range of experiments in all
services except for broadcast systems, prescribe the manner in which
the radio spectrum may be made available to manufacturers, inventors,
entrepreneurs, and students
[[Page 6929]]
to experiment with new radio technologies, equipment designs,
characteristics of radio wave propagation, or service concepts related
to the use of the radio spectrum. In order to encourage innovation, the
part 5 rules provide great flexibility regarding allowable frequency
range, power, and emissions. In exchange for the flexibility we give
researchers to design and conduct experiments and tests, experimental
operations are not protected from harmful interference from allocated
services and they must not cause harmful interference to stations of
authorized services, including secondary services. Additionally,
experimental stations can be required to immediately cease operation at
our request, and are subject to revocation without notice.
2. There are seven additional rule parts that allow for
developmental work within a particular service, and these rules are
generally more restrictive than those contained in part 5.
Specifically, parts 22, 73, 74, 80, 87, 90, and 101 of our rules
provide for issuance of developmental licenses. Like ERS licenses,
developmental licenses are issued on a non-interference basis. However,
they are limited to applicants eligible for licenses in that particular
service and on frequencies that are allocated to that service.
Additionally, the developmental rules may require that applications be
accompanied by a petition for rulemaking seeking changes consistent
with the operation under investigation. Experimentation with broadcast
radio technologies is not permitted under the ERS rules but is instead
allowed under separate provisions set forth in parts 73 and 74 of our
rules.
3. The ERS program has a record of success, and there is an overall
trend of increasing experimental activity under the part 5 rules. By
contrast, there has been limited use of the developmental rules for
non-broadcast experimentation.
4. To further provide flexibility, the Commission permits limited
market studies so that developers can assess whether their equipment
designs show promise in the marketplace. Just like the experimental
rules, the rules for market studies can be found in multiple rule
parts. Under part 5, limited market studies are permitted for
experimental operations provided that all transmitting and receiving
equipment is owned by the licensee, the licensee informs all
participants in the study that it is strictly temporary, and the size
and scope of the study is limited. For devices that are beyond the
experimental stage, but have not yet been certified (e.g. a new mobile
phone), rules in part 2 allow exceptions to the general prohibition on
marketing of radio frequency (RF) devices prior to equipment
authorization, subject to disclosure and labeling requirements and
other restrictions. The restrictions on unauthorized RF equipment also
limit the number of devices that may be imported to conduct tests or
market studies. Generally, up to 2,000 units are permitted to be
imported within an authorized service for which an operating license is
required, and up to 200 units are permitted to be imported for all
other products.
5. The Commission proposes rule changes in six specific areas to
build on the experimental licensing program's record of promoting
innovation and creating cutting-edge technologies in order to
accelerate innovation in this space. Given the immense spectrum
challenges created by the tsunami of broadband demand, the Commission
seeks to find ways to use the power of experimental licensing to
shorten the time it takes to transform concepts into consumer products
and to bring ideas from the lab to the marketplace. The goal is to
inspire researchers to dream, discover and deliver the innovations that
push the boundaries of the broadband ecosystem. The resulting
advancements in devices and services available to the American public
and greater spectrum efficiency over the long term will promote
economic growth, global competitiveness, and a better way of life for
all Americans.
6. The first three areas where the Commission proposes rule changes
involve the creation of a new type of experimental license--a program
experimental license--which would carry broad authority to conduct an
ongoing program of research and experimentation under a single
experimental authorization, and that would only be available to
qualified institutions. The three varieties of proposed program
experimental licenses are: (1) The research program experimental radio
license; (2) the innovation zone program experimental radio license;
and (3) the medical program experimental radio license. Under our
proposed rule revisions, the Commission would continue to offer
individual conventional experimental radio licenses to conduct research
and experimentation related to the development of new radio
technologies and techniques and for product development and market
trials. These conventional experimental radio licenses would be
available to entities not qualified to hold a program experimental
radio license, and for those experimental activities that would not be
authorized under program licenses.
7. The research program experimental radio license would allow
qualified institutions to use of a large range of radio frequencies for
research and experimentation on a non-interference basis without having
to obtain prior authorization for the use of specific frequencies.
Holders of the new research program experimental radio license will be
given broad authority to conduct any experiments that further the goals
of innovation and efficiency in spectrum use under such a license,
subject to limitations discussed below and ongoing reporting
requirements through, for example, narrative filings submitted via a
Commission web page. These institutions would still be able to continue
to apply for conventional experimental radio licenses, as appropriate
to the needs of the institution and type of research being conducted.
8. Given the unique abilities of universities and research
institutions to act as trusted stewards of the radio resource, and
based on their track record of impressive research results, the
Commission believes that they are well suited for this proposed new
type of program license. The existing experimental licensing rules are
not a good fit for the type of work being conducted at many
universities and research institutions. By limiting experiments to a
narrowly defined inquiry, specific frequencies, emissions and power
levels, our current rules can prevent researchers from using the
results of experiments to try out new ideas and make innovative changes
unless they obtain a new or modified authorization. The time and
process for obtaining experimental authorizations can also be a
roadblock to innovation. The research program experimental radio
license proposal is an attempt to find a balance that allows research
organizations the greatest level of flexibility to experiment--
particularly in high-value bands that may host the newest generation of
consumer devices and applications--in order to unlock enormous economic
and social benefits, while respecting the fundamental principle that
experiments must be designed to avoid harmful interference to existing
services.
9. This new research license will be limited to colleges,
universities, and non-profit research organizations. These institutions
typically have a record of generating the types of innovations and
technological breakthroughs we seek to foster. The Commission
tentatively proposes to limit applications under
[[Page 6930]]
this rule to Accreditation Board for Engineering and Technology (ABET)
accredited institutions with graduate research programs in place or
existing industry partnerships and to nationally recognized non-profit
research laboratories. Further, the Commission proposes that these
institutions must have defined campus settings and institutional
processes to monitor and effectively manage a wide variety of research
projects. The Commission seeks comment on this proposal. Specifically,
it seeks comment on what criteria it should use to define a
``nationally recognized non-profit research laboratory.'' Are there any
standards or certifications that it should require for such
institutions? Additionally, if commenters believe the Commission should
incorporate a broader range of institutions, what criteria should it
use for selection, and how does that more effectively balance the
interests at stake here?
10. Section 15.205(a) of our rules lists ``restricted bands'' that
typically host sensitive operations and that warrant special attention
to prevent possible harmful interference. Because it would not be
appropriate to include these frequencies in a research program
experimental radio license, the Commission proposes that the license
not allow experiments on frequencies that are listed in Sec.
15.205(a). The Commission recognizes that Sec. 15.205 categorically
exclude all frequencies above 38.6 GHz. The National Broadband Plan
observed that frequencies above 20 GHz may be modestly used in urban
areas and may be nonexistent in most other areas. The Commission
concludes that it would be counterproductive to exclude spectrum in the
38-300 GHz range from the benefits of added innovation and research,
but that it is also important to protect sensitive bands above 38.6
GHz. Many federal agencies use spectrum above 38.6 GHz for satellite
communication and scientific research which use extremely low received
signal levels. Thus, the Commission proposes that a research program
experimental radio license also allow experiments on those frequencies
above 38.6 GHz except for those that are listed in footnote US246 of
the Table of Frequency Allocations. Under this proposal the Commission
would permit licensees to conduct experiments on all other frequencies.
It seeks comment on these proposals. Are there other frequencies that
it should categorically exclude, and if so why?
11. All operations conducted under the authority of a research
program experimental radio license would be restricted to the grounds
of the license holder's campus. In this regard, the Commission proposes
that the applicant for a research license specify a geographic area
that is inclusive of an institution's real-property facilities, and
that the application may be returned or a license restricted to specify
a smaller area if necessary to ensure adequate interference protection.
The Commission also proposes that emissions must not exceed non-
interfering levels beyond the authorized geographical area. Should it
rely on the licensees to meet this requirement by evaluating the
radiofrequency use in the proximity of its campus, or should there be a
specific measure, such as a maximum measured power flux density (pfd)
limit a set distance from the boundary? If so, at what level should
this pfd be set? Should there be different pfd limits for different
bands? If so, how should the pfd vary by frequency band? And finally,
the Commission seeks comment on whether a standard method needs to be
specified for calculating the pfd. It seeks comment on whether
additional technical limits should be imposed. Should it restrict
transmitters to specific sites? Should experiments be limited to
terrestrial operations or can airborne operations also be permitted? If
so, are there special requirements that should be imposed on airborne
operations given the long line of site distances of these operations.
Finally, should there be a threshold power limit above which the
Commission would always require an individual license under our
traditional experimental authorization procedures, and if so, what
should this power be--100 watts, 10 watts, the limits specified for
part 15 unlicensed operations, or some other limit? Commenters who
advocate a specific limit should also discuss how the levels of
interference protection that such a limit would provide would also
allow sufficient flexibility to conduct a wide range of experiments.
The Commission also seeks comment on whether it should make special
distinctions between indoor and outdoor use, either as part of the
general terms of the research program experimental radio license grant
or through distinct requirements associated with the testing and
reporting requirements.
12. The Commission also proposes to afford institutions much
greater flexibility in choosing the frequency band(s) and technical
characteristics associated with individual tests and experiments
conducted under the authority of a research program experimental radio
license. It recognizes that some types of experiments have added filing
requirements under our existing rules. For example, Sec. 5.53(c)
requires the submission of an environmental assessment in certain
cases, Sec. 5.63(e) requires applicants for an experimental
authorization involving a satellite system not already authorized by
the Commission to submit information regarding orbital debris
mitigation plans, and Sec. 5.63(a) sets forth procedures for
requesting non-disclosure of proprietary information. These rules serve
important legal and public interest purposes, and cannot be readily
accommodated under the broad research license concept. The Commission
therefore proposes to provide that a research program experimental
radio license will not authorize any experiment that would require
additional, specialized filings beyond the standard application
requirements for an experimental radio license. Researchers proposing
these types of experiments must apply for a conventional experimental
radio license to obtain the necessary authorization for their tests.
The Commission seeks comment on this proposal. In addition, are there
other types of tests in addition to those discussed that require
additional filings and, therefore, should not be authorized under a
research program experimental radio license?
13. While the Commission does not believe that it is necessary to
impose overly prescriptive methods to control the potential for
interference from experiments conducted under the broad authority of a
research program experimental radio license, it emphasizes that all
experiments must be conducted on a non-interference basis to primary
and secondary licensees, and that the licensee must take all necessary
technical and operational steps to avoid harmful interference to
authorized services. Before conducting tests, a licensee must evaluate
the propagation characteristics of the frequencies to be used in
individual experiments, the operational nature of the services normally
operating on those and nearby frequencies, and the specific operations
listed within the Commission's licensing databases. On-line tools, such
as the Commission's General Menu Reports system (GenMen), which allows
users to search many different FCC licensing databases from one place,
will facilitate these tasks. Experiments must be designed to use the
minimum power necessary and be restricted to the smallest practicable
area needed to accomplish the experiment's goals. Researchers may also
decide to reduce the frequencies used in the experiment,
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restrict the time of use, limit the duration of tests, or employ other
means to address potential interference concerns. The Commission
further proposes to require that all experiments must comply with our
existing experimental rules involving matters such as protected areas
and antenna structure placement, but that these issues will not be
routinely evaluated during the grant of the research license. In
addition, the Commission notes that our existing experimental licensing
rules require a licensee to transmit its assigned call sign unless it
has been specifically exempted by the terms of its station
authorization. The Commission believes that this requirement is
important in that it makes it easier to identify signals from
experiments, but it also recognizes that not all experimentation lends
itself to easy over-the-air station identification. The Commission
proposes to require that tests conducted under the authority of a
research license either transmit station identification as part of the
broadcast or provide detailed testing information (such as starting
time and duration) via a web-based reporting portal. Because of the
nature of the research license, the Commission proposes to require the
communication of information that is sufficient to identify the license
holder and the geographic coordinates of the station. The Commission is
especially interested in comments regarding how it would structure the
web-based reporting, and whether there are other notification methods
that it should allow that do not require use of the actual experimental
radio broadcast. The Commission seeks comment on these proposals.
14. Prior to a new spectrum user's commencement of operations,
notification is generally conducted to ensure that harmful interference
concerns can be identified and corrected. In many cases under our
existing experimental licensing procedures, the Commission issue grants
that are conditioned on notifying or successfully coordinating with
existing licensees. The Commission's diverse policies and procedures
reflect the different operational, business, and engineering concerns
posed by the many sharing scenarios of the multitude of spectrum uses
possible under our rules. Under the research program experimental radio
license concept, the Commission envisions that the nature and scope of
individual tests will vary greatly. Some experiments will be conducted
with the support of and in conjunction with existing licensees as part
of research to improve existing network devices and system designs. For
others, experimenters may opt to use short-term leasing or other
secondary market mechanisms to secure access to spectrum bands on which
they want to experiment. Many experiments may be confined to laboratory
settings, or be conducted in shielded environments, such as Faraday
cages, where the interference environment is tightly controlled.
Because the appropriate level of notification to and coordination with
incumbent licensees will necessarily vary for each of these
experiments, we are not proposing to establish a specific coordination
requirement for research program experimental radio licenses.
15. The Commission nevertheless believes that it must make
provisions for licensed users whose operations are geographically and/
or spectrally near ongoing experiments. First, the Commission proposes
to require that prior to commencement of any experiment or test,
certain information be made publicly available via a Commission
developed web-based registration. The Commission proposes that such
registrations contain contact information for the researcher in charge
who can address concerns raised prior to testing as well as act as a
``stop buzzer'' in the event that a licensee reports an unanticipated
interference incident during the actual testing phase. In addition, the
Commission proposes that these registrations contain the frequencies or
frequency bands under test, the maximum effective isotropically
radiated power (EIRP) or effective radiated power (ERP) under
consideration (as applicable to the proposed experiment) and a
description of the geographic area in which the test will be conducted.
Should other information also be collected? The Commission proposes
that these registrations be completed at least seven calendar days
prior to commencement of any test or experiment to ensure that
interested parties have sufficient time to assess whether they believe
harmful interference may occur to their systems. Unlike our existing
rules, however, experimenters would not have to await specific approval
or authorization to conduct the test once the seven days has elapsed.
Before conducting the experiment, the experimenter must evaluate and
account for interference concerns raised by interested parties, and it
must obey any instructions from the Commission to delay, modify, or
abandon the experiment. Specifically, if any licensee of an authorized
service raises interference concerns, the Commission proposes that the
service licensee must contact the research program experimental radio
license responsible party and the service licensee must post its
concerns along with supporting documentation to the web registration
page. The Commission proposes that the experiment not be permitted to
commence until the parties resolve the issue. The Commission further
proposes that the service licensee will bear the burden of proof that
the proposed experiment will cause harmful interference. It is expected
that parties work in good faith to resolve such concerns, including
modifying experiments if necessary to reach an agreeable resolution. In
making this proposal, the Commission seeks to balance the interests of
incumbent spectrum users with the ability to conduct tests in a timely
manner. Is seven days a sufficient timeframe? Or is it too long such
that it may constrain testers from being able to adjust on-the-fly as
they analyze current test results? Will the proposed method for
resolving interference concerns prior to experimentation result in an
efficient and fair process for identifying and addressing such
concerns? Should the Commission require a specific dispute resolution
process? At what point would it expect parties to raise their concerns
directly with us?
16. The Commission also notes that, under its existing rules,
experiments must avoid use of public safety frequencies except when a
compelling showing can be made that such use is in the public interest.
Operation on public safety frequencies must also be coordinated. Should
these provisions continue to apply to tests conducted under a research
license? Will these requirements, in conjunction with the seven-day
notice requirement we propose, be sufficient to protect public safety
interests while encouraging important research and experimentation in
this area? The Commission seeks comment on these proposals.
17. Additionally, the Commission believes that the web-based
registration can capture two reporting requirements that are currently
part of our application process for conventional experimental radio
licenses. In cases where the experiment is to be used for the purpose
of fulfilling requirements of a contract with an agency of the United
States government, or if the experiment is to be used for the sole
purpose of developing equipment for exportation to be employed by
stations under the jurisdiction of a foreign government, the Commission
proposes that the registration contain the information currently
required under Sec. 5.63(b) and
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(c) of its rules. The Commission seeks comment on this proposal.
18. The Commission proposes to implement additional measures that
will make it easier for incumbent licensees and other interested
parties to become aware of pending tests and make experimenters aware
of their concerns, and seek comment on what those measures should be.
Should the Commission develop an automated process for distributing
such information by RSS feeds or other means? If so, should it further
categorize this information by frequency band, geographic location, or
other means? Would the Commission's Tower Construction Notification
System (TCNS) serve as a useful model? TCNS allows companies to
voluntarily submit notifications of proposed tower constructions to the
FCC which in turn provides this information to federally-recognized
Indian Tribes, Native Hawaiian Organizations (NHOs), and State Historic
Preservation Officers (SHPOs) who can then respond directly to the
companies if they have concerns about a proposed construction. The
Commission seeks comment on this proposal.
19. The Commission further believes that it must make special
provisions to prevent harmful interference on the frequency bands that
are commonly used in a campus setting and that are vital for public
safety purposes or are used for campus security operations. For
example, experiments on bands assigned to mobile service providers
(e.g. the Cellular Radiotelephone Service, broadband PCS, AWS, 700 MHz)
could have the potential to disrupt mobile telephone use on campus--at
a minimum inconveniencing one of the most active and engaged mobile
device user communities, and at worst, impeding the ability to reach
911 or receive campus-wide emergency text alerts. Television and radio
broadcast bands are used in support of the Emergency Alert System
(EAS). In recognition of these vital interests, the Commission proposes
to require that, for tests that affect bands used for the provision of
commercial mobile services, emergency notifications, or public safety
purposes on the institution's grounds, the licensee first develop a
specific plan that avoids interference to these bands. The plan would:
(1) Provide notice to those who might be affected by the test; (2)
allow for the quick identification and elimination of any harm the
experiment is causing users, and (3) in the case of vital public safety
functions, provide an alternate means for accomplishing such tasks
during the duration of the experiment. The Commission further proposes
to require that the holder of the research program experimental radio
license submit this plan to the Commission in conjunction with the
registration it submits at least seven days prior to commencement of
any test or experiment, as described above. The Commission would
routinely make the entire submission publicly available. Should it also
require that a licensee be required to specifically notify the
commercial carrier(s) or other entit(ies) listed as the licensee for
the affected band(s) in all of these situations, or only in situations
where specified conditions are met (such as when the experiment will be
conducted outside of buildings or away from controlled venues where
access can be restricted, such as laboratories)? If so, should the
Commission require the licensee's concurrence prior to the test?
Ultimately, it wants to establish a process which delivers the benefits
of experiments conducted at universities and research institutions, but
that also prevents interference to users of wireless services and
frequencies used for emergency and public safety purposes. The
Commission seeks comment on these proposals.
20. The Commission seeks comment on how it should address
noncompliance with our rules and procedures, including the failure of a
holder of a research program experimental radio license to address and
resolve cases of harmful interference within a reasonable amount of
time. The Commission proposes to modify the cancellation provisions of
our rules to make it clear that it can both deny permission to conduct
specific tests under a research program experimental radio license and
that we can revoke the research program experimental radio license at
any time. As an ultimate safeguard, the Commission will not hesitate to
revoke a research program experimental radio license in cases where we
find that an institution has not properly managed the expanded
privileges associated with the license.
21. The Commission notes that many institutions have offices that
conduct administrative functions and provide coordination and support
on a campus-wide scale. The Commission proposes to require each
institution to identify a single point of contact who will be
ultimately responsible for all experiments conducted under the research
license--including that the reporting requirements it establishes for
this type of authorization are met and all applicable rules are
observed. This individual will serve as the initial point of contact
for all matters involving interference resolution, and must have the
ability to discontinue any and all experiments being conducted under
the license, if necessary. The Commission proposes to require a
licensee to identify this individual along with contact information
such as a phone number and e-mail address at which he or she can be
reached at any time of the day, and to keep this information current.
The Commission seeks comment on other requirements, such as whether
this designated individual should be required to respond to inquiries
within a set time period, or possess the ability to halt experiments
within a certain period of time? The Commission seeks comment on these
matters, as well as the overall concept of requiring a single point of
contact with this level of responsibility.
22. The Commission believes that in addition to the registration
process described, there should be a reporting requirement associated
with the research program experimental radio license. The Commission
tentatively concludes that it should be as minimally burdensome as
possible and should be narrowly tailored to ensure that experiments
conducted under the license comply with the Commission's rules and
procedures and to build a public record of active innovation in the
field of radio communications that can be used to encourage and inspire
further technological advancements. Are there additional objectives the
Commission has overlooked? How can it meet these objectives? The
Commission proposes to require that after completion of an experiment,
the license holder file a brief narrative statement describing the
results of the test, including any interference incidents and steps
taken to resolve them. What should constitute a ``test'' and at what
point has a test evolved sufficiently to require a supplemental filing?
Should the holder of a research program experimental radio license be
required to file periodic reports (e.g., a yearly report) updating the
status of ongoing tests, or summarizing the activity conducted under a
research license? The Commission seeks comment on these matters.
23. The Commission seeks comment on the duration, terms, and scope
of a research license. While such a license is intended to afford
qualified institutions greater flexibility in how they conduct
experiments, it intends to ensure that all other rules and limitations
of our existing experimental procedures will continue to apply. For
example, holders of a research license cannot deploy permanent
facilities or offer services for
[[Page 6933]]
sale. Similarly, the Commission proposes to issue these licenses for a
limited, five-year duration, which is consistent with the longest
experimental license term our rules currently allow. The Commission
would permit license renewals. Is this an appropriate timeframe? In
this context, would it make sense to issue initial research licenses
for a lesser period and subsequently, upon sufficient showing of
compliance with the rules the Commission adopts, issue renewals for
five-year periods? It also asks how research licenses should govern
experiments conducted by multiple institutions conducted across
different campuses. The Commission proposes to require that each
participating institution hold a research license (or obtain an
individual license that would authorize the experiment), but that only
one institution would be required to fulfill the reporting requirements
associated with the research conducted across different campuses and
that that institution be charged with identifying and making available
the single point of contact with authority over the experiment. The
Commission also seeks comment on how it should address specific
licensing issues involving individual institutions. For example, if an
institution has multiple campuses, should it issue one research program
experimental radio license per institution that encompasses all
campuses, or should it issue a separate license for each campus? Are
situations where it should routinely issue more than one research
program experimental radio license for a single campus, and if so, what
are they? The Commission expects to direct applicants for research
licenses to use FCC Form 442 and attach a supplemental narrative that
sets forth the information it needs to assess the application (e.g. a
showing that the applicant is a qualified institution, a description of
the campus the license will cover, etc.). As the Commission transitions
to a new Consolidated Licensing System (CLS), it will assess whether
there is a more effective way to collect the information it needs to
evaluate a research license application. The Commission seeks comment
on these proposals.
24. The Commission also asks whether it would be appropriate to
initiate the research license concept in the context of a pilot
program, by which it would choose a limited number of institutions to
which it would grant licenses and under which it would evaluate the
program before expanding its scope. The Commission recognizes that
while the research license concept holds great promise for promoting
research investment and fostering wireless innovation, it also needs to
be sensitive to questions and concerns that commenters may raise in how
to deploy this concept. Would a pilot program be an appropriate way to
balance our interests in promoting innovation and flexibility while
protecting against harmful or unanticipated interference? If so, would
ten institutions be an appropriate number, and what criteria should be
used to select them? Are there other provisions we should adopt that
would make such a pilot program more successful? The Commission seeks
comment on all of these proposals.
25. Finally, the Commission notes that the experimental licensing
rules currently have a provision for school and student authorizations.
These rules, last updated in 1998, are generally intended for use by
students through high school for purposes such as science fairs, school
projects, and participation in radio clubs. The rules provide for an
informal application by letter and allow transmissions in limited
frequency bands at low power levels. Given the changes in both
technology and the Commission's processes over the last twelve years
including those proposed herein, the Commission questions whether these
rules are still necessary. First, it is not aware that these rules have
seen widespread use. In addition, the Commission notes that all
applications are now required to be filed electronically and that
students may want to experiment in more bands than those provided for
in this rule. Thus, it proposes to eliminate this rule and require that
students desiring to experiment obtain a conventional experimental
radio license using the electronic filing process. If there is a good
reason to keep these special provisions for students, how can we
provide for a streamlined process? Advocates for such a process should
provide specific suggestions regarding how such streamlining should be
implemented. Alternatively, the Commission asks if these provisions
should be maintained, but moved to part 15 to allow for student use of
approved equipment on an unlicensed basis. Advocates for such an action
should also address whether certain safeguards need to be added to the
rule to ensure proper radio usage.
26. The second proposed program license type--the innovation zone
program experimental radio license--would give innovators greater
flexibility to conduct and modify the terms of their experiments
without having to secure the additional approvals that the traditional
experimental authorization rules would require. Licensees nevertheless
would still be bound by the general limitations that come with an
experimental license and would be expected to limit individual
experiments conducted under the license to the minimum scope and size
necessary to accomplish the test's goals. The Commission envisions that
innovation zones, which could include isolated or protected areas,
could become havens for enterprise and innovation because it would
permit experimenters to explore a variety of technologies with reduced
barriers to entry.
27. Innovation zone program experimental radio licenses would be
structured similar to the research program experimental radio license
model discussed above, and would have the same types of application and
reporting requirements, except where described differently in the NPRM
and accompanying proposed rules. Also, the eligibility and use
restrictions would be different from those used for the research
program experimental radio license program. Specifically, the
Commission proposes that each licensee must hold appropriate technical
credentials demonstrating advanced technical competence in radio
engineering, but emphasize that applicants will not necessarily have to
be associated with a college, university, or non-profit research
organization to be eligible for an innovation zone program experimental
radio license. The Commission envisions that innovation zones would
permit operations over large areas, and would not be appropriate for
use by a single entity at its exclusive-use facility (such as within a
large manufacturer's plant grounds). Innovation zones would, however,
be ideal for universities and research institutions that wish to
conduct research in off-campus settings. The Commission seeks comment
on this proposal generally, and whether there are additional technical
qualifications that it should require of these licensees.
28. The Commission seeks comment on what criteria it should use to
identify areas that are sufficiently isolated or protected to serve as
innovation zones. What propagation, geographic or other wireless
engineering characteristics should it look for? To be effective, the
authorization for innovation zones must allow for access to the largest
range of frequencies practical. The Commission proposes that the
innovation zone program experimental radio license broadly permit
experiments on any frequency that is not specifically listed in Sec.
15.205(a) of its rules, except that experiments could use frequencies
[[Page 6934]]
above 38.6 GHz so long as they are not listed in footnote US246 of the
Table of Frequency Allocations. The Commission recognizes that in
geographically remote areas it may not be necessary to impose
limitations on the use of the restricted frequency bands. The
Commission seeks comment on when and how it should impose restrictions
on individual licenses and/or in particular innovation zones that are
located in remote areas. The Commission recognizes that certain
geographic areas offer great potential as innovation zones, but their
use would raise additional considerations. For example, how should the
Commission treat geographic areas and frequencies that it considers,
here, to be in the Commission's inventory because they are not
licensed? These large areas could provide an excellent opportunity for
researchers to experiment on a wide scale with different network
topologies and advanced communications systems without fear of
encroaching on existing spectrum use. However, such areas could be
subject to re-auction, limiting long-term research opportunities. The
Commission proposes to permit such areas to be licensed as innovation
zones, but to emphasize that experimental use is subject to
discontinuance if the bands are re-auctioned prior to the end of the
innovation zone license term. Similarly, should the Commission ties the
availability of an innovation zone to specific frequency bands in the
Commission's inventory? The Commission seeks comment on these matters.
29. The Commission seeks comment on what requirements are necessary
to allow for proper oversight of innovation zone program experimental
radio licenses. The Commission proposes to delegate to the Office of
Engineering and Technology the responsibility for establishing,
maintaining, and routinely updating the list of available innovation
zones. What additional provisions should it adopt? Should the
Commission first identify geographic areas that are suitable innovation
zones and promote their use among researchers, or are there different
ways to build the innovation zone inventory? Should it limit the number
of applicants for a specific zone or otherwise manage the use of this
resource among different parties? Should it provide a single license
with a requirement to provide and manage access to all parties seeking
to conduct an experiment at fair and reasonable terms? For example, a
single licensee could assign different experiments to different areas
within the larger geographic area or provide a means for time-sharing
equipment or could manage a database providing access on an as-needed
basis to parties. Would this be a better approach than issuing multiple
licenses within an innovation zone? The Commission points out that in
the single licensee case there would be a single responsible party that
could be contacted for gaining access or in instances where
interference may be occurring. The Commission asks that advocates of
the single licensee model provide comment on criteria it could use to
select such a licensee.
30. The Commission proposes to require the responsible party to
file an application that describes the requested geographic area of
operation, the frequencies to be used for testing, the maximum power
levels associated with planned operations, and any other relevant
technical characteristics pertaining to test equipment, antennas, etc.,
that would be necessary to identify and mitigate potential
interference. An innovation zone licensee would then be permitted,
under the terms of its license, to design and conduct any test that
meets these criteria. The licensee would, however, be required to
provide the Commission on a timely basis and through a web-based
reporting system, an up-to-date list of the testing that is being
conducted with at least a seven-day lead time before the tests are
performed. It would also have to report the conclusion of individual
tests. Should the holder of an innovation zone program experimental
radio license be required to file periodic reports (e.g., a yearly
report) updating the status of ongoing tests, or summarizing the
activity conducted under its license? Are additional notification or
coordination procedures warranted for experiments conducted in certain
bands, such as those used for public safety or EAS purposes? If so,
should the Commission apply the same pre-test notice process that it is
proposing for the research licensee? The Commission tentatively
concludes that innovation zone program experimental radio licenses
should be granted for the same five-year duration it proposes for
research experimental licenses to encourage robust levels of
experimentation by minimizing administrative burdens, and that the
Commission permit license renewals. The Commission also proposes to
require the licensee to identify a single point of contact who has
authority to stop any tests being conducted in the innovation zone, and
to apply the same dispute resolution procedures it adopts for research
program experimental radio licenses. The Commission seeks comment on
these proposals.
31. The third type of proposed program license is the medical
program experimental radio license. This license would be available to
hospitals and other health care institutions, and would facilitate the
creation of cutting-edge test-bed facilities where manufacturers and
developers could try out new wireless medical technologies and assess
operational readiness. A medical experimental authorization would allow
for the testing and operation of new medical devices that use wireless
telecommunications technology for therapeutic, monitoring, or
diagnostic purposes that have not yet been submitted for equipment
certification, or for devices that use RF for ablation, so long as the
equipment is designed to meet the FCC's technical rules. The FDA's
investigational device exemption (IDE) may be applicable when these
experiments involve patients. In this regard, the Commission notes that
the FDA in consultation with the FCC is exploring approaches to
streamline IDEs for wireless medical devices, when an IDE is required.
32. The medical experimental license program would be supervised by
the FCC in consultation with the FDA to determine the applicability and
approval of the license to ensure that patient safety is considered.
This program is not intended to replace the FDA's existing oversight
and review programs.
33. It is important that the Commission limit eligibility of
medical program experimental radio licenses to the right institutions.
Should it restrict licensing to entities that meet specific criteria,
such as accreditation by a particular certification body--or should it
instead require an entity, as part of its submission, to make an
affirmative showing that it is engaged in the health care field and
that it has sufficient resources and expertise to oversee tests
conducted under the authority of a blanket license? How might the
Commission include federal medical institutions such as those operated
by the Department of Veterans Affairs or military services in this
program, where the facility itself is under the jurisdiction of the
Executive Branch and authorizations would ordinarily be granted by the
NTIA, but certain tests might be conducted by non-federal entities? How
could the Commission structure the coordination process between these
governmental entities to balance the interests of military services
while at the same time expediting the development of new medical
devices? The Commission seeks comment on this
[[Page 6935]]
matter. The Commission proposes to require that, in all cases,
facilities that seek a medical program experimental radio license
demonstrate that they possess basic expertise in radio management. The
Commission seeks comment on whether it should require baseline
qualifications for demonstrating this expertise, or if it will be
sufficient for applicants to make an affirmative showing that they hold
these skills. For example, the Commission believes it is important to
have the ability to identify and correct RF related problems. In this
regard, it recognizes that some institutions may not be well versed in
the FCC rules or spectrum management issues and may have to collaborate
with an industry partner to develop new devices once a specific need is
identified. In these instances, can the requirement for basic expertise
in radio management be satisfied by the industry partner or should it
reside with the host institution? Alternatively, could a third party be
used to manage spectrum under the medical experimental authorization?
For example, the American Society for Healthcare Engineering (ASHE) was
designated by the Commission to manage the use of medical wireless
telemetry equipment in health care settings. The Commission seeks
comment on whether such an approach can work for medical research
activities.
34. The Commission tentatively concludes that the medical program
experimental radio license should be granted to the institution that
creates and manages the test bed environment in which the specific
research activities will be conducted, as opposed to the manufacturers
and experimenters who may be conducting the actual tests. The
Commission believes that this approach strikes the right balance
between our goal of promoting robust radio experimentation and the
necessity of providing safeguards against harmful interference, because
institutions can establish a single point of contact with knowledge of
and control over all testing that is being conducted, and because such
institutions should have ultimate control over their facilities. To the
extent that the Commission permits the requirement for basic expertise
in radio management to be satisfied an industry partner or third-party
manager, how should it structure the licensing process? Should the
Commission, for example, issue multiple licenses but require one party
to identify itself as the responsible party?
35. As with the research program experimental radio license and
innovation zone program experimental radio license proposals, above,
the Commission proposes that a medical program experimental radio
license will offer broad authority under which individual tests will be
conducted, but that such tests should be limited in scope to what is
necessary to meet a particular test's goals. For example, the tests
conducted under a medical program experimental radio license will
provide researchers an opportunity to assess the susceptibility of new
devices to interference as well as whether they might cause
interference to other devices. Such tests can be conducted in a
controlled environment so that any electromagnetic interference issues
can be identified and remedied prior to devices being distributed to
the public. The Commission proposes the same limitation on use of
frequencies for medical program experimental radio licenses as it does
for research program experimental radio and innovation zone program
experimental radio licenses. That is, researchers may use any frequency
so long as it is not listed in Sec. 15.205(a), except that frequencies
above 38.6 GHz may be used so long as they are not listed in footnote
US242 of the Table of Frequency Allocations.
36. The Commission seeks comment on what information it should
require of an applicant, in addition to a demonstration of its
qualifications to hold a license. The Commission proposes to follow the
same general application procedures as those to be established for the
other program experimental radio license types. The Commission
tentatively concludes that a licensee must specify the rule parts,
frequencies, and geographic areas in which it plans to conduct tests.
Is there additional information that it should require at the
application stage? The Commission proposes that the license term be set
for an initial five-year period, and that we permit license renewals.
What other provisions should be incorporated into our rules?
37. How should the Commission define the scope of permissible
operations under a medical program experimental radio license? The
Commission tentatively concludes that experiments conducted under the
medical experimental authorization should be limited to investigations
and tests involving therapeutic, monitoring, and diagnostic medical
equipment and that the institution be given broad leeway to choose the
frequency band(s) and technical characteristics appropriate to each
experiment without having to seek specific prior FCC approval. The
Commission also takes a fresh look at its existing experimental
authorization rules as applied to medical equipment. Are there any
rules that it should relax or modify due to the unique nature of or the
importance of promoting advancements in the medical device field? As an
initial matter, the Commission proposes that tests conducted under a
medical experimental authorization not be subject to our traditional
station identification rules. Our past experience in the medical device
field suggests that such requirements are impractical for many of the
devices it expects to be tested under the proposed new authorization,
and that the typical power level and deployment environment for such
devices will serve to reduce the potential for unanticipated
interference that cannot be readily identified and resolved. Although
the Commission proposes to require that operations must be tailored to
comply with applicable FCC technical rules, should it also establish a
method by which innovators can test devices that may not completely
conform to the rules provided they have performed a risk assessment
that includes an evaluation of how to protect the existing base of
devices already in use in the medical facility? Are there any standards
for risk assessment that should be used in this regard? The Commission
asks because the test beds it hope to foster through medical
experimental authorizations appear to be ideal venues to conduct
empirical testing to support assertions that devices and systems will
operate successfully in real-world settings. Should operations
conducted under a medical experimental authorization be limited to a
specific geographic area--such as the licensee's medical campus--or
will the other proposed limitations on eligibility and operations
provide sufficient protection against unanticipated consequences? More
specifically can testing under a medical program experimental radio
license be expanded to include body worn or implanted devices that
travel with the patient, or should these types of tests be governed by
the conventional experimental radio license? The Commission seeks
comment on all of these matters.
38. The Commission also seeks comment on what reporting
requirements it should impose under a medical program experimental
radio license. In exchange for the flexibility to conduct these tests,
it believes that a license-holding institution should bear an
obligation to prepare and submit a report detailing the results of its
findings for review by the FCC and for dissemination to the medical
community at large. Thus, just as teaching hospitals provide a venue
[[Page 6936]]
where new techniques can be developed and the knowledge shared, the
medical experimental authorization would offer medical innovators
fertile ground in which they could nurture and develop their ideas in a
real-world setting, and where ideas and advancements can readily
propagate throughout the medical community. The Commission proposes to
require that the licensee submit, through the same Web site used for
project registration, a report within 30 days after conclusion of the
test that briefly summarizes its findings, and that the licensee also
file a yearly report to the experimental licensing system of the
activity that has been performed under the license. The Commission's
intent with these reporting requirements is not to make public
proprietary or company confidential information, but to provide a venue
for sharing information that researchers would find beneficial in the
goal of patient care. It also proposes that the licensee must provide
the Commission on a timely basis an up-to-date list of the testing that
is being conducted with at least a seven calendar day lead time before
the tests are performed, and include such basic information as the
frequencies and rule parts under which the medical device is intended
to operate, the number of units that may be employed, the duration of
the study, and the geographic scope of the experiment. Such information
would make it easier to identify and remedy any unanticipated
interference that may occur during the test. The Commission also
proposes to apply the same dispute resolution procedures it adopts for
research program experimental radio licenses. As with our other program
experimental radio license proposals, the Commission anticipates that
reports would be filed via a Commission web page, and that filings
would be posted in a public and easily accessible manner. Because one
of our objectives is to make available findings for review and
dissemination to the medical community at large, the Commission
specifically seeks comment on whether these proposed reporting
requirements are sufficient to meet our goals. Specifically, are there
other recognized reporting policies or protocols that are used within
the medical community that we should be aware of? Are there ways for us
to align elements of our reporting requirements with those policies?
39. The Commission believes that the medical experimental
authorization will create a new path for bringing innovative broadband
and wireless-enabled medical devices to market, and will foster
tangible advancements in the vital area of health care. By restricting
licenses to qualified health care entities and for therapeutic,
monitoring, and diagnostic medical equipment will provide protection
against unanticipated harmful interference to other medical devices and
existing radio services. As a practical matter, the Commission observes
that many medical devices typically operate on a shared, non-exclusive
secondary basis and at low power levels. Moreover, because of the
coordination of this program with the FDA, as well as with that
agency's overall regulatory oversight of medical devices, we believe
that the testing of new and innovative devices under medical
experimental authorizations can be accomplished in a way that protects
patient safety and health. The Commission seeks comment on its
proposal, and encourages commenters to help us craft this concept into
rules that will create test-beds for the rapid and robust development
of new medical devices.
40. The Commission also proposes to modify the rules and procedures
in order to bring more clarity to its rules regarding operating and
marketing of RF devices prior to equipment approval and also to relax
the conditions under which market trials can be conducted. The existing
rules generally prohibit devices from being marketed or operated prior
to receiving a grant of equipment authorization. However, exceptions do
exist. Section 2.803 of the rules allows for conditional sales,
advertising and display, and outright sales to certain businesses of
equipment not yet certified so long as proper notice is provided to the
prospective buyer. That rule section also provides for a manufacturer
to operate its product for demonstration or evaluation purposes under
the authority of a local FCC-licensed service provider. Additionally,
Sec. 5.3(j) of our rules permits licensees operating under
experimental radio authorizations to conduct ``limited market
studies.'' Such studies are not defined in part 5, but Sec. 5.93 of
our rules restrict equipment ownership to the licensee, require notice
to participants that the operation is temporary, and stipulate that the
size and scope of the experiment be subject to the limitations that the
Commission establishes on a case-by-case basis.
41. Section 2.803 of our rules describes when radio frequency
devices may be marketed or operated prior to equipment authorization
and typically would apply during the later stages of product
development and pre-production. The Commission proposes to split this
rule into two separate rules for marketing and for operating such
devices. Our goal is to maintain the general requirement that devices
may not be marketed or operated prior to equipment authorization, but
to clarify and simplify the existing exceptions to this rule. Marketing
of devices prior to equipment authorization is permitted limited
purposes, such as making conditional sales contracts or in conjunction
with trade show displays. Operation of devices prior to equipment
authorization is conducted under the authority of a service license or
a grant of special temporary authority, or under the rules for
unlicensed devices in parts 15, 18 or 95. Additionally, both operation
and marketing of radio frequency devices prior to equipment
authorization is permitted pursuant to trials conducted under the
authority of a part 5 experimental radio service authorization. The
Commission proposes to clearly state this as an exception to our
general part 2 rules.
42. The Commission proposes to cross-reference the definition of
``marketing'' as it is used in Sec. 2.803(e)(4) of our rules in the
revised part 5 market trial rules we ultimately adopt. Under Sec.
2.803(e)(4), marketing is defined to include sale or lease of
equipment, or offering for sale or lease, including advertising for
sale or lease, or importation, shipment, or distribution for the
purpose of selling or leasing or offering for sale or lease. The
Commission seeks comment on whether this definition meets the needs of
parties interested in conducting market trials and ask if there
alternative definitions or additional categories that should be added.
The Commission will use the proposed definition as the basis for the
remainder of our proposals, and make appropriate changes based on the
record should the Commission move to adopt different market trial
rules. Thus, the Commission asks that commenters who propose to expand
the existing definition of ``marketing'' also provide detailed
information on how other related rules need to be similarly modified.
43. The Commission proposes to expand upon the existing concept of
``limited market studies'' as currently codified in our part 5 rules.
Specifically, the Commission proposes to adopt a new subpart that
contains provisions for two types of trials--product development trials
and market trials. A product development trial would be defined as an
experimental program designed to evaluate product performance in the
conceptual, developmental, and design stages, and that typically
requires testing under expected use conditions. A market trial would be
defined as a program designed
[[Page 6937]]
to evaluate product performance and customer acceptability prior to the
production stage, and that typically requires testing under expected
use conditions to evaluate actual performance and effectiveness. These
trials would be conducted under the authority of a part 5 license and,
because they would typically involve equipment that has not yet been
authorized, would operate as an exception to our part 2 rules.
44. The Commission's proposed rules for product development trials
are designed to generally track the existing rules for limited market
studies. The Commission proposes to explicitly prohibit the marketing
of devices operated as part of a product development trial and retain
the restrictions on ownership to the licensee and notification to users
that are part of the existing limited market study rule. The Commission
seeks comment on the proposed product development trial rules.
45. A wide range of entities would be eligible to obtain an
experimental authorization to conduct market trials, and we would grant
multiple licenses in situations where more than one entity will be
responsible for conducting the same market trial--such as when a
manufacturer, system integrator, and service provider are testing
consumer acceptance of a new device. Under the existing rules, a
manufacturer may offer equipment for sale prior to certification but
the prospective buyer is not authorized to operate the equipment;
similarly, a manufacturer is authorized to operate the equipment at the
prospective buyer's facilities but the licensee remains the responsible
party. The Commission's proposed part 5 rules would provide a simpler
means for manufactures and prospective buyers to conduct market trials.
Additionally, because these rules are specifically designed to provide
for expanded marketing opportunities to consumers and other third
parties, we propose that when a market trial involves a device that has
not yet been authorized, that the device must be operated in compliance
with existing Commission rules, waivers of such rules that are in
effect at the time of operation, or rules that have been adopted by the
Commission but that have not yet become effective. The Commission seeks
comment on these proposals.
46. The Commission recognizes that a market trial often involves
the offer for sale or lease of a device operated pursuant to a license
so that manufacturers and service providers can evaluate customer
demand for new capabilities or services and at what price. The proposed
rules would permit us to issue part 5 licenses to more than one party
conducting a market trial together (e.g., a manufacturer working in
conjunction with a service provider) and allow licensees to sell
equipment to each other. Licensees would retain ownership of equipment
and only be permitted to lease equipment to trial participants, such as
consumer end users, for purposes of the trial. Licensees would have to
ensure that trial devices are either rendered inoperable or are
retrieved at the end of the trial. Thus, the Commission does not
propose to allow sales to consumers of equipment that has not yet been
certified. While the benefits of allowing direct sales are clear from a
marketing perspective, such a provision would put the ownership of
uncertified equipment directly with consumers and complicate the
Commission's efforts to enforce its rules. To the extent commenters
discuss options that would provide for direct sales to consumers, they
should provide detailed information regarding how such rules would be
envisioned to function to enable valuable marketing information to be
obtained, while ensuring that uncertified products do not flood the
market without proper controls or create widespread interference.
Specifically, what controls would need to be placed on such sales or on
the operation of the devices marketed in this manner? Would it be
feasible to transmit unique manufacturer codes to facilitate the
resolution of interference issues? In the case of devices designed to
be authorized under parts 15, 19 or 95 of our rules, and which would
not normally require a license prior to operation, the Commission
proposes to require that when these devices are to be included in a
market trial that they be authorized under a part 5 license as would
any other RF device. This approach would ensure that we have a licensee
identified as the responsible party for conducting the market trial.
The Commission seeks comment on this proposal.
47. In many instances, developers and system integrators seek to
obtain evaluation kits from manufacturers to test and evaluate a
component that the manufacturer intends to offer for sale to facilitate
the purchaser's development of hardware and software for use with that
component. These kits typically consist of a component the manufacturer
intends to offer for sale, mounted on a board, with or without an
enclosure, in configurations that provide connections to a power
supply, easy access to terminals, and sometimes supporting devices or
other hardware. Under current rules, sales of these kits are not
permitted before equipment authorization is granted for the component.
This restriction delays the ability of manufacturers and system
integrators to develop hardware and software for use with the
component. To remedy this situation, the Commission proposes to modify
Sec. 2.803 of the rules to allow the sale of these evaluation kits so
long as notice stating that the component has not yet been certified is
provided to any buyer. The Commission seeks comment on this proposal.
Does our description of evaluation kits meet the needs of manufacturers
or is too restrictive or not restrictive enough? Should the Commission
restrict such sales to developers and system integrators? If so, how
should it define these entities? Should such sales be limited in
number? For example, should it only allow a manufacturer to sell 1000
kits for a specific component per twelve month period? Are there any
other considerations for which we need to account?
48. The Commission also seeks comment on compliance testing under
our rules. Section 2.803 of our rules provides for the operation of
radio frequency devices for purposes of compliance testing, but does
not eliminate the requirement to obtain a station license for products
that normally require a license to operate. How should laboratories
engaged in the testing of equipment, but that are not themselves
manufacturers or licensed service providers, be authorized to conduct
their work? Should the Commission make specific provisions in our part
5 experimental radio service rules to issue licenses to laboratories
accredited by accreditation bodies that it recognizes for RF product
testing and consistent with their approved competencies? If so, should
they be patterned after the program license model discussed, or in a
different manner? What would be an appropriate license term and renewal
process for such a license? Is there a different way to authorize these
entities to perform compliance testing? The Commission seeks comment on
this matter.
49. An additional issue related to the ability to conduct effective
market trials implicates our part 2 rules that limit equipment
importation for devices that have not yet been certified. Section
2.1204(a)(3) of our rules permits radio frequency devices to be
imported in limited quantities ``for testing and evaluation to
determine * * * suitability for marketing,'' but limits quantities to
2000 units for products designed solely for operation within a
[[Page 6938]]
radio service which requires an operating license and 200 units for all
other purposes (e.g., part 15 unlicensed devices, part 18 Industrial,
Scientific and Medical equipment, and part 95 equipment that is
licensed by rule). Recognizing that the majority of equipment and
devices today are manufactured in other countries, the Commission
believes that the current import restrictions may unduly constrain
innovators from having the ability to conduct meaningful market studies
and related tests. Practical experience, as measured by a steady stream
of requests for waivers of this rule submitted to staff in our Office
of Engineering and Technology, supports this observation.
50. In response to a solicitation for comments for the 2006
biennial review of the telecommunication regulations pursuant to
Section 11 of the Communications Act (2006 Biennial Review), Hewlett-
Packard (HP) submitted comments recommending that the 200 device limit
for RF devices that do not require an individual station license be
amended to allow the importation of up to 1200 units for product
development purposes. In addition, HP recommends that the importer be
required to comply with rigorous reporting requirements, reflected in a
quarterly report to the Commission, for importations greater than 200
units. The Information Technology Industry Council (ITI) supports HP's
recommendations, believing that they would reduce the burden on
companies that have product development programs within the United
States, but that utilize prototypes assembled outside of the United
States. In a Staff Report, the Office of Engineering and Technology
concurred with HP's recommendation to raise the import limit and
recommended that the Commission issue a Notice of Proposed Rulemaking
to modify Sec. 2.1204 of the rules. The Commission believes that the
time is ripe to increase the importation limit for devices that will
not require an individual station license from 200 units to the 1200
units recommended by HP. This will better reflect current
manufacturing, design, and marketing techniques and also decrease the
administrative burden on both industry and the Commission. Is 1200 the
correct ceiling? Should the limit be set higher to provide for more
extensive market studies? Would a lower limit achieve an appropriate
balance between easing the manufacturing process and our interest in
maintaining appropriate controls on the importation of RF devices?
Similar to our proposal above regarding the size of a market trial, the
Commission tentatively concludes here that it would treat devices that
contain both licensed and unlicensed transmitters under the more
liberal 2000 unit limit applicable for licensed devices. The Commission
seeks comment on this proposal. The Commission declines to propose HP's
recommendation to implement a quarterly reporting system. The
Commission believes that the same benefit can be achieved in a less
burdensome way by requiring importers to maintain records of their
imports under these provisions, allowing the Commission to request this
information if needed. The Commission also proposes to clarify that RF
devices may be imported not only for testing and evaluation purposes,
but also for product development purposes. The Commission requests
comment on these proposals.
51. Finally, the Commission discusses the parties who should be
held responsible for market trials. In the case of a manufacturer, the
responsible party is readily apparent as the entity that built the
device is conducting the study. However, in other instances, it is not
always so apparent. For example, if a commercial carrier were to
conduct a study using a new, not yet certified handset built by a third
party is the carrier or the manufacturer the most logical responsible
party? Similarly, manufacturers are increasingly incorporating one or
more radio modules into devices. These modules can be manufactured by
different entities and may be different than the final product
assembler. Accordingly, the Commission has structured its proposed part
5 market trial rules to specify that, in cases where separate licenses
are issued because more than one entity is involved in conducting the
same market trial, one party must be designated as the responsible
party for the trial. The Commission seeks comment on this proposal. The
Commission also invites comment on how and when to hold parties that
are not designated as the responsible party for the trial liable for
any rule violations.
52. The Commission proposes to consolidate all experimental
licensing rules under part 5 of the rules and to update the title of
part 5 to remove the distinction between broadcast and all other
experimental licenses. The Commission believes that there are enough
similarities between the various Commission rules that allow for
experimentation that the developmental licensing rules can be subsumed
by the experimental licensing rules. Accordingly, the Commission
proposes to eliminate the developmental rules and evaluate all future
applications seeking any form of experimental or developmental
authority under our part 5 experimental authorization rules. The
Commission believes this will provide clear and consistent guidelines
to all parties seeking to experiment and innovate. In addition, because
the part 5 rules are generally more flexible than the various
developmental rules, the Commission believes that this will only
increase opportunities for experimentation as it removes several
barriers that currently exist under its rules. We also point out that
the Commission has announced its intention to develop a consolidated
licensing system as a long-term initiative to combine the functions of
our current licensing and applications systems. The purpose of this
initiative is to develop a consolidated licensing system that is
transparent, easy to use for the public and Commission staff,
consistent with the FCC's data driven and fact-based rulemaking
strategies, adaptable to evolving requirements, efficient, cost-
effective and green. The Commission believes that its proposals here
will also advance the Commission's stated system development goals in
this endeavor. The Commission seeks comment on its proposal to remove
these developmental rules from the various service rule parts, and our
observation that the types of operations permitted under developmental
licenses can also be granted under our current part 5 experimental
rules.
53. The Commission recognizes that the developmental rules are not
exact duplicates of our part 5 rules, and asks if are there any
particular requirements under the various developmental rule sections
that we must migrate to our part 5? For example, the rules for private
radio meteor burst communications in Sec. 90.250 require that new
authorizations be issued subject to the developmental grant procedure
and that an application for issuance of a permanent authorization is to
be filed prior to the expiration of the developmental authorization.
The Commission proposes to retain the current structure of this rule
when we move it to part 5, but to replace the existing requirement that
an entity must first obtain a developmental authorization with the
requirement that it must obtain an experimental license. The Commission
seeks comment on this proposal and, more generally, whether the ``pre-
license'' concept embodied in the rule is even necessary. With respect
to all of our existing developmental
[[Page 6939]]
rules, Commenters should specifically identify the rules they believe
must be retained, and describe why the Commission's part 5 rules are
inadequate by themselves.
54. The proposal observes that there are currently ten active
developmental licenses (four with pending renewal applications), and
asks how to treat these existing developmental licenses. The Commission
proposes to reissue these authorizations as experimental licenses under
our part 5 rules, but seek comment on alternate approaches, such as
allowing them to run to term and reapply for an experimental license or
cancelling them outright and requiring licensees to reapply for an
experimental license.
55. The Broadcast services have their own set of rules delineating
experimentation in parts 73 and 74 of our rules apart and separate from
the more general part 5 rules. Experiments in the Broadcasting services
rely heavily on broadcasting-specific engineering and licensing
knowledge, and are typically designed to support the operations of
existing broadcasters. Accordingly, the Commission does not propose to
alter the process for conducting broadcast experiments under these
rules, the ways these applications are filed or evaluated by the Media
Bureau, or otherwise disturb existing practice. The Commission
believes, however, that there is value in providing a single place
within our rules where an applicant can see the entire breadth of what
is permitted on an experimental basis. Thus, the Commission proposes to
create a new subpart within part 5 into which it would move the
relevant portions of the existing rules that are now in parts 73 and
74; where possible, the Commission would take advantage of any
similarities between existing part 5 rules and those currently in parts
73 and 74 to ensure the removal of duplicative or unneeded rules. One
benefit of this unified approach is that the Commission could provide
clearer guidance than is available today regarding when an applicant
should file for a broadcast experimental license as opposed to a more
general experimental license, while retaining the necessary
distinctions for broadcast-specific experimentation. The Commission
seeks comment on this proposal and suggestions for any additional
changes to these rules or other modifications necessary to accomplish
our goals. Finally, by consolidating these regulations into part 5 the
Commission does not intend to propose any change to the section 106
historic preservation review applicable to broadcast experimental radio
stations authorized by the Commission. The Commission seeks comment on
new Sec. 5.205(c), governing the licensing of such stations, that
would clarify that such stations do not qualify for the exclusion
applicable generally to experimental authorizations simply because such
authorizations are now issued under part 5 of the rules.
56. The last topic addressed by the NPRM pertains to whether there
are specific changes to the experimental rules and procedures that can
be implemented to open new opportunities for experimentation and remove
barriers that may have prevented timely and productive testing. The
Commission also seeks comment on whether there are additional rules
that it should modify or clarify in order to promote the overall goals
of this proceeding. Should the Commission modify its rules to permit
operation of radio frequency devices that are not yet certified without
the need for an experimental license, so long as the devices are
operated as part of a trade show demonstration and at or below the
maximum power level permitted for unlicensed devices under our part 15
rules? For example, the Commission believes that it would be beneficial
to permit a land mobile radio that has been modified to not operate in
excess of the part 15 power limits to be demonstrated without requiring
an experimental authorization, given that our current rules allow
demonstrations of devices designed to operate under the part 15 rules.
Under such an approach, are there necessary limitations--such as
restricting use to indoor environments or excluding the use of devices
while in motion--that we need to consider? The Commission seeks
comment. The Commission also finds that there are several part 5 rules
that warrant additional review. For example, by eliminating the
developmental rules, it can also delete Sec. 5.51(b) which directs
potential applicants eligible for a service specific license seeking to
develop an improvement in that service to apply for a developmental
license rather than an experimental license. The Commission notes that
Sec. 5.51(a) limits prospective applicants to persons qualified to
conduct experimentation utilizing radio waves. Does this technical
fitness test discourage potential innovators who wish to explore new
ideas from seeking approval to conduct experiments and, if so, how
could the Commission modify or restate this requirement? The Commission
also seeks comment on whether other provisions of its rules serve to
create unnecessarily burdensome checks on robust experimentation. Does
Sec. 5.125, which restricts communications to other experimental
stations authorized under part 5, stifle the potential for innovative
technical solutions between experimental and developmental stages of
product developments?
57. The current experimental licensing rules do not address
operation within an anechoic chamber or Faraday cage. This has led to
many questions over the years regarding licensing requirements when
operating RF equipment within either of these spaces. In addressing
this situation, Commission staff has generally informed entities that
for operations within anechoic chambers or Faraday cages, an
experimental license was not needed because the potential for
interfering with other radio services was practically non-existent. The
Commission now seeks to codify this policy in the rules. Specifically,
the Commission proposes to permit RF tests and experiments that are
fully contained within an anechoic chamber or a Faraday cage to occur
without the need for obtaining an experimental license. The Commission
seeks comment on this proposal. Also, the Commission asks commenters to
address the following questions. Should it specify a minimum standard
for the shielding effectiveness of the chamber? Is their an industry
standard that it can reference in setting forth such qualifications? If
so, should one be specified within our rules?
58. RF devices must meet certain technical requirements before they
may be legally operated within the United States. Compliance with these
requirements is ensured through the Commission's equipment
authorization process which includes provisions for certification,
verification and declaration of conformity. Often the equipment
approval process requires testing at an open area test site (OATS). An
OATS is typically located outside in areas free of reflective objects.
Under our current rules, an experimental license is required for
radiation emissions testing in conjunction with regulatory approval.
How should entity's engaged in open area testing, but that are not
themselves manufacturers or licensed service providers, be authorized
to conduct their work? Should the Commission make specific provisions
in its part 5 experimental radio service rules to issue licenses to
these entities? If so, should the licenses be patterned after the
program license model discussed, or in a different manner? What would
be an appropriate license term and renewal process for such a license?
Is there a different way to authorize these entities to perform
testing? Are there any
[[Page 6940]]
limitations that the Commission should place on outdoor open area test
sites? The Commission seeks comment on this matter.
59. The Commission seeks comment on the proposals as discussed both
within in this NPRM and in the accompanying appendix that sets forth
our proposed rules, and on any related matter that is raised in this
context. Commenters proposing a different course than the Commission
has proposed in either this text or the accompanying rules should
provide specific information detailing how their proposals fit into our
overall goals of providing more flexibility for innovation and
providing clear, concise experimental guidelines to the public.
Initial Regulatory Flexibility Analysis
60. As required by the Regulatory Flexibility Act of 1980, as
amended (RFA),\1\ the Commission has prepared this present Initial
Regulatory Flexibility Analysis (IRFA) of the possible significant
economic impact on small entities by the policies and rules proposed in
this Notice of Proposed Rulemaking (NPRM). Written public comments are
requested on this IRFA. Comments must be identified as responses to the
IRFA and must be filed by the deadlines specified on the first page of
this document. The Commission will send a copy of this NPRM, including
this IRFA, to the Chief Counsel for Advocacy of the Small Business
Administration (SBA).\2\
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\1\ See 5 U.S.C. 603. The RFA, see 5 U.S.C. 601 through 612, has
been amended by the Small Business Regulatory Enforcement Fairness
Act of 1996, (SBREFA) Public Law 104-121, Title II, 110 Stat. 857
(1996).
\2\ See 5 U.S.C. 603(a).
---------------------------------------------------------------------------
A. Need for and Objectives of the Proposed Rules
61. In this NPRM the Commission takes steps to promote innovation
and efficiency in spectrum use in our Part 5 Experimental Radio Service
(ERS). For many years, the ERS has provided fertile ground for testing
innovative ideas that have led to new services and new devices for all
sectors of the economy. We propose specific steps to accelerate the
rate at which these ideas transform from prototypes to consumer devices
and services. These proposals will contribute to advancements in
devices and services available to the American public by enabling a
quicker equipment development process and promoting greater spectrum
efficiency over the long term.
62. Six areas have been targeted which can provide increased
opportunities for experimentation and innovation. In particular, our
Notice of Proposed Rulemaking (NPRM) proposes to: (1) Create new
opportunities for universities and researchers to use a wide variety of
radio frequencies for experimentation under a broad research license
that eliminates the need to obtain prior authorization before
conducting individual experiments; (2) empower researchers to conduct
tests in specified geographic locations with pre-authorized boundary
conditions through the creation of new ``innovation zones''; (3)
promote advancement in the development of medical radio devices by
creating a medical experimental authorization that would be available
to qualified hospitals, Veterans Administration (VA) facilities, and
other medical institutions; (4) broaden opportunities for market
studies by revising and consolidating our rules; (5) promote greater
overall experimentation by streamlining our existing rules and
procedures; and (6) open new opportunities for experimentation by
making targeted modifications to our rules and procedures.
B. Legal Basis
63. This action is authorized under sections 4(i), 301, and 303 of
the Communications Act of 1934, as amended, 47 U.S.C. 154(i), 301, and
303.
C. Description and Estimate of the Number of Small Entities to Which
the Rules May Apply
64. The RFA directs agencies to provide a description of and, where
feasible, an estimate of the number of small entities that will be
affected by the proposed rules.\3\ The RFA generally defines the term
``small entity'' as having the same meaning as the terms ``small
business,'' ``small organization,'' and ``small governmental
jurisdiction.'' \4\ In addition, the term ``small business'' has the
same meaning as the term ``small business concern'' under the Small
Business Act.\5\ A small business concern is one which: (1) Is
independently owned and operated; (2) is not dominant in its field of
operation; and (3) satisfies any additional criteria established by the
Small Business Administration (SBA).\6\
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\3\ See 5 U.S.C. 603(b)(3), 604(a)(3).
\4\ Id., 601(6).
\5\ See 5 U.S.C. 601(3) (incorporating by reference the
definition of ``small business concern'' in the Small Business Act,
15 U.S.C. 632). Pursuant to 5 U.S.C. 601(3), the statutory
definition of a small business applies ``unless an agency, after
consultation with the Office of Advocacy of the Small Business
Administration and after opportunity for public comment, establishes
one or more definitions of such terms which are appropriate to the
activities of the agency and publishes such definitions(s) in the
Federal Register.''
\6\ See 15 U.S.C. 632.
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65. Nationwide, there are a total of approximately 29.6 million
small businesses, according to the SBA.\7\ A ``small organization'' is
generally ``any not-for-profit enterprise which is independently owned
and operated and is not dominant in its field.'' \8\ Nationwide, as of
2002, there were approximately 1.6 million small organizations.\9\ The
term ``small governmental jurisdiction'' is defined generally as
``governments of cities, towns, townships, villages, school districts,
or special districts, with a population of less than fifty thousand.''
\10\ Census Bureau data for 2002 indicate that there were 87,525 local
governmental jurisdictions in the United States.\11\ We estimate that,
of this total, 84,377 entities were ``small governmental
jurisdictions.'' \12\ Thus, we estimate that most governmental
jurisdictions are small.
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\7\ See SBA, Office of Advocacy, ``Frequently Asked Questions,''
http://web.sba.gov/faqs/faqindex.cfm?areaID=24 (revised Sept. 2009).
\8\ See 5 U.S.C. 601(4).
\9\ Independent Sector, The New Nonprofit Almanac & Desk
Reference (2002).
\10\ See 5 U.S.C. 601(5).
\11\ U.S. Census Bureau, Statistical Abstract of the United
States: 2006, Section 8, page 272, Table 415.
\12\ We assume that the villages, school districts, and special
districts are small, and total 48,558. See U.S. Census Bureau,
Statistical Abstract of the United States: 2006, section 8, page
273, Table 417. For 2002, Census Bureau data indicate that the total
number of county, municipal, and township governments nationwide was
38,967, of which 35,819 were small. Id.
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66. There is an overall trend of increasing experimental activity.
For example, disposals (grants and dismissals) under the ERS increased
from 1,067 in 2000 to 1,235 in 2005 to a projected 1,481 in 2010.\13\
By contrast, much less activity takes place under our developmental
rules. Since 1999 in the non-broadcast (wireless) radio services, ten
developmental licenses have been granted under part 22 (Public Mobile
Services), one has been granted under part 80 (Maritime Services), 37
have been granted under part 87 (Aviation Services), and eight have
been granted under part 90 (Private Land Mobile Radio Services). None
have been granted since 1999 under part 101 (Fixed Microwave Services).
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\13\ These figures include all Part 5 experimental application
types: New licenses, modifications of licenses, assignment of
licenses, license renewals, transfers of control, and grants of
Special Temporary Authority. See https://fjallfoss.fcc.gov/oetcf/els/reports/GenericSearch.cfm.
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67. Wireless Telecommunications Carriers (except Satellite). Since
2007, the Census Bureau has placed wireless firms within this new,
broad, economic
[[Page 6941]]
census category.\14\ Prior to that time, such firms were within the
now-superseded categories of ``Paging'' and ``Cellular and Other
Wireless Telecommunications.'' \15\ Under the present and prior
categories, the SBA has deemed a wireless business to be small if it
has 1,500 or fewer employees.\16\ Because Census Bureau data are not
yet available for the new category, we will estimate small business
prevalence using the prior categories and associated data. For the
category of Paging, data for 2002 show that there were 807 firms that
operated for the entire year.\17\ Of this total, 804 firms had
employment of 999 or fewer employees, and three firms had employment of
1,000 employees or more.\18\ For the category of Cellular and Other
Wireless Telecommunications, data for 2002 show that there were 1,397
firms that operated for the entire year.\19\ Of this total, 1,378 firms
had employment of 999 or fewer employees, and 19 firms had employment
of 1,000 employees or more.\20\ Thus, we estimate that the majority of
wireless firms are small.
---------------------------------------------------------------------------
\14\ U.S. Census Bureau, 2007 NAICS Definitions, ``517210
Wireless Telecommunications Categories (Except Satellite)''; http://www.census.gov/naics/2007/def/ND517210.HTM#N517210.
\15\ U.S. Census Bureau, 2002 NAICS Definitions, ``517211
Paging''; http://www.census.gov/epcd/naics02/def/NDEF517.HTM.; U.S.
Census Bureau, 2002 NAICS Definitions, ``517212 Cellular and Other
Wireless Telecommunications''; http://www.census.gov/epcd/naics02/def/NDEF517.HTM.
\16\ See 13 CFR 121.201, NAICS code 517210 (2007 NAICS). The
now-superseded, pre-2007 CFR citations were 13 CFR 121.201, NAICS
codes 517211 and 517212 (referring to the 2002 NAICS).
\17\ U.S. Census Bureau, 2002 Economic Census, Subject Series:
Information, ``Establishment and Firm Size (Including Legal Form of
Organization,'' Table 5, NAICS code 517211 (issued Nov. 2005).
\18\ Id. The census data do not provide a more precise estimate
of the number of firms that have employment of 1,500 or fewer
employees; the largest category provided is for firms with ``1,000
employees or more.''
\19\ U.S. Census Bureau, 2002 Economic Census, Subject Series:
Information, ``Establishment and Firm Size (Including Legal Form of
Organization,'' Table 5, NAICS code 517212 (issued Nov. 2005).
\20\ Id. The census data do not provide a more precise estimate
of the number of firms that have employment of 1,500 or fewer
employees; the largest category provided is for firms with ``1,000
employees or more.''
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68. Fixed Microwave Services. Fixed microwave services include
common carrier,\21\ private operational-fixed,\22\ and broadcast
auxiliary radio services.\23\ At present, there are approximately
22,015 common carrier fixed licensees and 61,670 private operational-
fixed licensees and broadcast auxiliary radio licensees in the
microwave services. The Commission has not created a size standard for
a small business specifically with respect to fixed microwave services.
For purposes of this analysis, the Commission uses the SBA small
business size standard for the category Wireless Telecommunications
Carriers (except Satellite), which is 1,500 or fewer employees.\24\ The
Commission does not have data specifying the number of these licensees
that have no more than 1,500 employees, and thus are unable at this
time to estimate with greater precision the number of fixed microwave
service licensees that would qualify as small business concerns under
the SBA's small business size standard. Consequently, the Commission
estimates that there are 22,015 or fewer common carrier fixed licensees
and 61,670 or fewer private operational-fixed licensees and broadcast
auxiliary radio licensees in the microwave services that may be small
and may be affected by the rules and policies proposed herein. We note,
however, that the common carrier microwave fixed licensee category
includes some large entities.
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\21\ See 47 CFR 101 et seq. for common carrier fixed microwave
services (except Multipoint Distribution Service).
\22\ Persons eligible under parts 80 and 90 of the Commission's
rules can use Private Operational-Fixed Microwave services. See 47
CFR parts 80 and 90. Stations in this service are called
operational-fixed to distinguish them from common carrier and public
fixed stations. Only the licensee may use the operational-fixed
station, and only for communications related to the licensee's
commercial, industrial, or safety operations.
\23\ Auxiliary Microwave Service is governed by part 74 of Title
47 of the Commission's rules. See 47 CFR part 74. This service is
available to licensees of broadcast stations and to broadcast and
cable network entities. Broadcast auxiliary microwave stations are
used for relaying broadcast television signals from the studio to
the transmitter, or between two points such as a main studio and an
auxiliary studio. The service also includes mobile television
pickups, which relay signals from a remote location back to the
studio.
\24\ See 13 CFR 121.201, NAICS code 517210.
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69. Unlicensed Personal Communications Services. As its name
indicates, UPCS is not a licensed service. UPCS consists of intentional
radiators operating in the frequency bands 1920-1930 MHz and 2390-2400
MHz that provide a wide array of mobile and ancillary fixed
communication services to individuals and businesses. The NPRM
potentially affects UPCS operations in the 1920-1930 MHz band;
operations in those frequencies are given flexibility to deploy both
voice and data-based services. There is no accurate source for the
number of operators in the UPCS. Since 2007, the Census Bureau has
placed wireless firms within the new, broad, economic census category
Wireless Telecommunications Carriers (except Satellite).\25\ Prior to
that time, such firms were within the now-superseded category of
``Paging'' and ``Cellular and Other Wireless Telecommunications.'' \26\
Under the present and prior categories, the SBA has deemed a wireless
business to be small if it has 1,500 or fewer employees.\27\ Because
Census Bureau data are not yet available for the new category, we will
estimate small business prevalence using the prior categories and
associated data. For the category of Paging, data for 2002 show that
there were 807 firms that operated for the entire year.\28\ Of this
total, 804 firms had employment of 999 or fewer employees, and three
firms had employment of 1,000 employees or more.\29\ For the category
of Cellular and Other Wireless Telecommunications, data for 2002 show
that there were 1,397 firms that operated for the entire year.\30\ Of
this total, 1,378 firms had employment of 999 or fewer employees, and
19 firms had employment of 1,000 employees or more.\31\ Thus, we
estimate that the majority of wireless firms are small.
---------------------------------------------------------------------------
\25\ U.S. Census Bureau, 2007 NAICS Definitions, ``517210
Wireless Telecommunications Categories (Except Satellite)''; http://www.census.gov/naics/2007/def/ND517210.HTM#N517210.
\26\ U.S. Census Bureau, 2002 NAICS Definitions, ``517211
Paging''; http://www.census.gov/epcd/naics02/def/NDEF517.HTM.; U.S.
Census Bureau, 2002 NAICS Definitions, ``517212 Cellular and Other
Wireless Telecommunications''; http://www.census.gov/epcd/naics02/def/NDEF517.HTM.
\27\ See 13 CFR 121.201, NAICS code 517210 (2007 NAICS). The
now-superseded, pre-2007 CFR citations were 13 CFR 121.201, NAICS
codes 517211 and 517212 (referring to the 2002 NAICS).
\28\ U.S. Census Bureau, 2002 Economic Census, Subject Series:
Information, ``Establishment and Firm Size (Including Legal Form of
Organization,'' Table 5, NAICS code 517211 (issued Nov. 2005).
\29\ Id. The census data do not provide a more precise estimate
of the number of firms that have employment of 1,500 or fewer
employees; the largest category provided is for firms with ``1,000
employees or more.''
\30\ U.S. Census Bureau, 2002 Economic Census, Subject Series:
Information, ``Establishment and Firm Size (Including Legal Form of
Organization,'' Table 5, NAICS code 517212 (issued Nov. 2005).
\31\ Id. The census data do not provide a more precise estimate
of the number of firms that have employment of 1,500 or fewer
employees; the largest category provided is for firms with ``1,000
employees or more.''
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70. Aviation and Marine Radio Services. There are approximately
26,162 aviation, 34,555 marine (ship), and 3,296 marine (coast)
licensees.\32\ The Commission has not developed a small business size
standard specifically
[[Page 6942]]
applicable to all licensees. For purposes of this analysis, we will use
the SBA small business size standard for the category Wireless
Telecommunications Carriers (except Satellite), which is 1,500 or fewer
employees.\33\ We are unable to determine how many of those licensed
fall under this standard. For purposes of our evaluations in this
analysis, we estimate that there are up to approximately 62,969
licensees that are small businesses under the SBA standard.\34\ In
1998, the Commission held an auction of 42 VHF Public Coast licenses in
the 157.1875-157.4500 MHz (ship transmit) and 161.775-162.0125 MHz
(coast transmit) bands. For this auction, the Commission defined a
``small'' business as an entity that, together with controlling
interests and affiliates, has average gross revenues for the preceding
three years not to exceed $15 million dollars. In addition, a ``very
small'' business is one that, together with controlling interests and
affiliates, has average gross revenues for the preceding three years
not to exceed $3 million dollars.\35\ Further, the Commission made
available Automated Maritime Telecommunications System (``AMTS'')
licenses in Auctions 57 and 61.\36\ Winning bidders could claim status
as a very small business or a small business. A very small business for
this service is defined as an entity with attributed average annual
gross revenues that do not exceed $3 million for the preceding three
years, and a small business is defined as an entity with attributed
average annual gross revenues of more than $3 million but less than $15
million for the preceding three years.\37\ Three of the winning bidders
in Auction 57 qualified as small or very small businesses, while three
winning entities in Auction 61 qualified as very small businesses.
---------------------------------------------------------------------------
\32\ Vessels that are not required by law to carry a radio and
do not make international voyages or communications are not required
to obtain an individual license. See Amendment of Parts 80 and 87 of
the Commission's Rules To Permit Operation of Certain Domestic Ship
and Aircraft Radio Stations Without Individual Licenses, Report and
Order, WT Docket No. 96-82, 11 FCC Rcd 14849 (1996).
\33\ See 13 CFR 121.201, NAICS code 517210.
\34\ A licensee may have a license in more than one category.
\35\ Amendment of the Commission's Rules Concerning Maritime
Communications, PR Docket No. 92-257, Third Report and Order and
Memorandum Opinion and Order, 13 FCC Rcd 19853 (1998).
\36\ See ``Automated Maritime Telecommunications System Spectrum
Auction Scheduled for September 15, 2004, Notice and Filing
Requirements, Minimum Opening Bids, Upfront Payments and Other
Auction Procedures,'' Public Notice, 19 FCC Rcd 9518 (WTB 2004);
``Auction of Automated Maritime Telecommunications System Licenses
Scheduled for August 3, 2005, Notice and Filing Requirements,
Minimum Opening Bids, Upfront Payments and Other Auction Procedures
for Auction No. 61,'' Public Notice, 20 FCC Rcd 7811 (WTB 2005).
\37\ See 47 CFR 80.1252.
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71. Public Safety Radio Services. Public Safety radio services
include police, fire, local government, forestry conservation, highway
maintenance, and emergency medical services.\38\ There are a total of
approximately 127,540 licensees in these services. Governmental
entities \39\ as well as private businesses comprise the licensees for
these services. All governmental entities with populations of less than
50,000 fall within the definition of a small entity.\40\ The small
private businesses fall within the ``wireless'' category described
supra.
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\38\ With the exception of the special emergency service, these
services are governed by Subpart B of part 90 of the Commission's
rules, 47 CFR 90.15 through 90.27. The police service includes
approximately 27,000 licensees that serve state, county, and
municipal enforcement through telephony (voice), telegraphy (code)
and teletype and facsimile (printed material). The fire radio
service includes approximately 23,000 licensees comprised of private
volunteer or professional fire companies as well as units under
governmental control. The local government service that is presently
comprised of approximately 41,000 licensees that are state, county,
or municipal entities that use the radio for official purposes not
covered by other public safety services. There are approximately
7,000 licensees within the forestry service which is comprised of
licensees from state departments of conservation and private forest
organizations who set up communications networks among fire lookout
towers and ground crews. The approximately 9,000 state and local
governments are licensed to highway maintenance service provide
emergency and routine communications to aid other public safety
services to keep main roads safe for vehicular traffic. The
approximately 1,000 licensees in the Emergency Medical Radio Service
(``EMRS'') use the 39 channels allocated to this service for
emergency medical service communications related to the delivery of
emergency medical treatment. 47 CFR 90.15 through 90.27. The
approximately 20,000 licensees in the special emergency service
include medical services, rescue organizations, veterinarians,
handicapped persons, disaster relief organizations, school buses,
beach patrols, establishments in isolated areas, communications
standby facilities, and emergency repair of public communications
facilities. 47 CFR 90.33 through 90.55.
\39\ See 47 CFR 1.1162.
\40\ See 5 U.S.C. 601(5).
---------------------------------------------------------------------------
D. Description of Projected Reporting, Recordkeeping and Other
Compliance Requirement for Small Entities
72. The Notice of Proposed Rulemaking proposes to create a new type
of experimental radio license, the program experimental radio license,
which will permit qualified institutions to conduct an ongoing program
of research and experimentation that would otherwise require the
issuance of multiple individual experimental radio license
authorizations under our existing rules. We have proposed new license
application rules for these licenses, and program experimental radio
licensees would have new requirements to file notification of planned
experiments to be conducted under the license, resolve interference
concerns that are raised by other licensees, and file post-experiment
reports with the Commission. The Notice of Proposed Rulemaking also
proposes to consolidate, clarify and streamline existing rules to
facilitate experimentation in the radio spectrum. These proposed rules
will, for example, permit entities to engage in additional marketing
activities, but will more clearly specify when and how such marketing
may take place, and what authorization is needed to operate
radiofrequency equipment in conjunction with marketing activities. We
project that by creating a new license type and by revising our
existing rules, the proposed rules will serve to reduce the reporting,
recordkeeping and other compliance requirements associated with the
issuance of an experimental radio license.
E. Steps Taken To Minimize Significant Economic Impact on Small
Entities, and Significant Alternatives Considered
73. The RFA requires an agency to describe any significant
alternatives that it has considered in reaching its proposed approach,
which may include the following four alternatives (among others): (1)
The establishment of differing compliance or reporting requirements or
timetables that take into account the resources available to small
entities; (2) the clarification, consolidation, or simplification of
compliance or reporting requirements under the rule for small entities;
(3) the use of performance, rather than design, standards; and (4) an
exemption from coverage of the rule, or any part thereof, for small
entities.\41\
---------------------------------------------------------------------------
\41\ See 5 U.S.C. 603(c).
---------------------------------------------------------------------------
74. We encourage comment regarding the possible alternatives to the
approaches proposed, including any cost estimates. For instance, we
note that we have considered and tentatively declined HP's
recommendation to implement a quarterly tracking system.\42\ Comments
with proposed alternatives will assist in reaching the best outcomes.
---------------------------------------------------------------------------
\42\ See Notice of Proposed Rulemaking at paragraph 71.
---------------------------------------------------------------------------
F. Federal Rules That Might Duplicate, Overlap, or Conflict With the
Proposed Rules
75. None.
Ordering Clauses
76. Pursuant to sections 4(i), 301, and 303 of the Communications
Act of 1934, as amended, 47 U.S.C. 154(i), 301, and 303, this Notice of
Proposed Rulemaking is adopted.
77. The Commission's Consumer and Governmental Affairs Bureau,
Reference
[[Page 6943]]
Information Center, shall send a copy of this Notice of Proposed Rule
Making, including the Initial Regulatory Flexibility Analysis, to the
Chief Counsel for Advocacy of the Small Business Administration.
List of Subjects in 47 CFR
Part 0
Organization and functions (Government agencies).
Part 1
Administrative practice and procedures, Reporting and recordkeeping
requirements.
Parts 2 and 74
Communications equipment, Radio, Reporting and recordkeeping
requirements.
Part 5
Radio, Reporting and recordkeeping requirements. Parts 22, 73, 80,
87, 90 and 101 Communications equipment, Reporting and recordkeeping
requirements.
Federal Communications Commission.
Marlene H. Dortch,
Secretary.
Proposed Rules
For the reasons set forth in the preamble the Federal
Communications Commission proposes to amend 47 CFR parts 0, 1, 2, 5,
22, 73, 74, 80, 87, 90 and 101 to read as follows:
PART 0--COMMISSION ORGANIZATION
1. The authority citation for part 0 continues to read as follows:
Authority: Sec. 5, 48 Stat. 1068, as amended; 47 U.S.C. 155,
225, unless otherwise noted.
2. Section 0.406 is amended by revising paragraph (b)(4) to read as
follows:
Sec. 0.406 The rules and regulations.
* * * * *
(b) * * *
(4) Part 5, experimental radio service (including market trials).
Part 5 deals with the temporary use of radio frequencies for research
in the radio art, for communications involving other research projects,
for the development of equipment, data, or techniques, and for the
conduct of equipment product development or market trials.
* * * * *
PART 1--PRACTICE AND PROCEDURE
3. The authority citation for part 1 continues to read as follows:
Authority: 15 U.S.C. 79 et seq.; 47 U.S.C. 151, 154(i), 154(j),
155, 157, 225, 303(r), and 309.
4. Section 1.77 is amended by revising paragraph (d) to read as
follows:
Sec. 1.77 Detailed application procedures; cross references.
* * * * *
(d) Rules governing applications for authorizations in the
Experimental Radio Service (including market trials) are set forth in
part 5 of this chapter.
* * * * *
5. Section 1.544 is revised to read as follows:
Sec. 1.544 Application for broadcast station to conduct field
strength measurements and for experimental operation.
See Sec. Sec. 5.59 and 5.203 of this chapter.
6. Section 1.913 is amended by revising paragraph (a)(1) to read as
follows:
Sec. 1.913 Application and notification forms; electronic and manual
filing.
(a) * * *
(1) FCC Form 601, Application for Authorization in the Wireless
Radio Services. FCC Form 601 and associated schedules are used to apply
for initial authorizations, modifications to existing authorizations,
amendments to pending applications, renewals of station authorizations,
special temporary authority, notifications, requests for extension of
time, and administrative updates.
* * * * *
7. Section 1.981 is revised to read as follows:
Sec. 1.981 Reports, annual and semiannual.
Where required by the particular service rules, licensees who have
entered into agreements with other persons for the cooperative use of
radio station facilities must submit annually an audited financial
statement reflecting the nonprofit cost-sharing nature of the
arrangement to the Commission's offices in Washington, DC or
alternatively may be sent to the Commission electronically via the ULS,
no later than three months after the close of the licensee's fiscal
year.
8. Section 1.1307(b)(1) is amended by revising the entry
``Experimental Radio, Auxiliary, Special Broadcast and Other Program
Distributional Services (part 74)'' to Table 1, to read as follows:
Sec. 1.1307 Actions that may have a significant environmental effect,
for which Environmental Assessments (EAs) must be prepared.
* * * * *
(b) * * *
(1) * * *
Table 1--Transmitters, Facilities and Operations Subject to Routine Environmental Evaluation
----------------------------------------------------------------------------------------------------------------
Service (title 47 CFR rule part) Evaluation required if:
----------------------------------------------------------------------------------------------------------------
* * * * * * *
Auxiliary and Special Broadcast and Other Subparts G and L: power > 100 W ERP.
Program Distributional Services (part 74).
* * * * * * *
----------------------------------------------------------------------------------------------------------------
* * * * *
PART 2--FREQUENCY ALLOCATIONS AND RADIO TREATY MATTERS; GENERAL
RULES AND REGULATIONS
9. The authority citation for part 2 continues to read as follows:
Authority: 47 U.S.C. 154, 302a, 303, and 336, unless otherwise
noted.
Sec. 2.102 [Amended]
10. In Sec. 2.102, remove and reserve paragraph (b)(2).
[[Page 6944]]
11. Section 2.803 is revised to read as follows:
Sec. 2.803 Marketing of radio frequency devices prior to equipment
authorization.
(a) Marketing, as used in this section, includes sale or lease, or
offering for sale or lease, including advertising for sale or lease, or
importation, shipment, or distribution for the purpose of selling or
leasing or offering for sale or lease.
(b) General rule. No person may market a radio frequency device
unless:
(1) For devices subject to certification, the device has been
authorized by the Commission in accordance with the rules in this
chapter and is properly identified and labeled as required by Sec.
2.925 and other relevant sections in this chapter; or
(2) For devices subject to authorization under verification or
Declaration of Conformity, the device complies with all applicable,
technical, labeling, identification and administrative requirements; or
(3) For devices that do not require a grant of equipment
authorization issued by the Commission, but which must comply with the
specified technical standards prior to use, the device complies with
all applicable, technical, labeling, identification and administrative
requirements.
(c) Exceptions. The following marketing activities are permitted
prior to equipment authorization:
(1) Activities under product development and market trials
conducted pursuant to subpart F of this chapter.
(2) Limited marketing for devices that could be authorized under
the current rules; could be authorized under waivers of such rules that
are in effect at the time of marketing; or could be authorized under
rules that have been adopted by the Commission but that have not yet
become effective. These devices may not be operated unless permitted by
Sec. 2.805.
(i) Conditional sales contracts (including agreements to produce
new products manufactured in accordance with designated specifications)
are permitted between manufacturers and wholesalers or retailers
provided that delivery is made contingent upon compliance with the
applicable equipment authorization and technical requirements.
(ii) A radio frequency device that is in the conceptual,
developmental, design or pre-production stage may be offered for sale
solely to business, commercial, industrial, scientific or medical users
(but not an offer for sale to other parties or to end users located in
a residential environment) if the prospective buyer is advised in
writing at the time of the offer for sale that the equipment is subject
to the FCC rules and that the equipment will comply with the
appropriate rules before delivery to the buyer or to centers of
distribution.
(iii) Labeling requirements.
(A) A radio frequency device may be advertised or displayed, (e.g.,
at a trade show or exhibition) if accompanied by a conspicuous notice
containing this language:
This device has not been authorized as required by the rules of the
Federal Communications Commission. This device is not, and may not be,
offered for sale or lease, or sold or leased, until authorization is
obtained.
(B) If the product being displayed is a prototype of a product that
has been properly authorized and the prototype, itself, is not
authorized due to differences between the prototype and the authorized
product, this language may be used instead:
Prototype. Not for sale.
(d) Importation. The provisions of subpart K of this part continue
to apply to imported radio frequency devices.
12. Section 2.805 is added to read as follows:
Sec. 2.805 Operation of radio frequency devices prior to equipment
authorization.
(a) General rule. A radio frequency device may not be operated
prior to equipment authorization.
(b) Exceptions. Operation prior to equipment authorization is
permitted under the authority of an experimental radio service
authorization issued under part 5 of this chapter or in accordance with
the following provisions; however, except as provided elsewhere in this
chapter, radio frequency devices operated under these provisions may
not be marketed (as defined in Sec. 2.803(a)):
(1) The radio frequency device will be operated in compliance with
existing Commission rules, waivers of such rules that are in effect at
the time of operation, or rules that have been adopted by the
Commission but that have not yet become effective; and
(2) Operation is conducted under the authority of a service license
or a grant of special temporary authority, or the radio frequency
device is designed to operate under parts 15, 18, or 95 of this
chapter; and
(3) The radio frequency device will be operated for at least one of
these purposes:
(i) Conducting compliance testing;
(ii) Demonstrations at a trade show provided a notice containing
the wording specified in Sec. 2.803(c)(1)(iii) is displayed in a
conspicuous location on, or immediately adjacent to, the device;
(iii) Demonstrations at an exhibition conducted at a business,
commercial, industrial, scientific, or medical location, but excluding
locations in a residential environment, provided a notice containing
the wording specified Sec. 2.803(c)(1)(iii) is displayed in a
conspicuous location on, or immediately adjacent to, the device or all
prospective buyers at the exhibition are advised in writing that the
equipment is subject to the FCC rules and that the equipment will
comply with the appropriate rules before delivery to the buyer or to
centers of distribution; or
(iv) Evaluation of product performance and determination of
customer acceptability, during developmental, design, or pre-production
states provided such operation takes place at a business, commercial,
industrial, scientific, or medical location, but excluding locations in
a residential environment. If the product is not operated at the
manufacturer's facilities, it must be labeled with the wording
specified in Sec. 2.803(c)(1)(iii).
(c) A manufacturer may operate its product for demonstration or
evaluation purposes under the authority of a licensed service provider,
provided that the licensee grants permission the manufacturer to
operate in this manner and the licensee continues to remain responsible
for complying with all of the operating conditions and requirements
associated with its license.
(d) Importation. The provisions of subpart K of this part continue
to apply to imported radio frequency devices.
13. Section 2.1204 is amended by revising (a)(3) to read as
follows:
Sec. 2.1204 Import conditions.
(a) * * *
(3) The radio frequency device is being imported in limited
quantities for testing and evaluation to determine compliance with the
FCC Rules and Regulations, product development, or suitability for
marketing. The devices will not be offered for sale or marketed. The
phrase ``limited quantities,'' in this context means:
(i) 2000 or fewer units, provided the product is designed, at least
in part, for operation within one of the Commission's authorized radio
services for which an operating license is required to be issued by the
Commission; or
(ii) 1,200 or fewer units for all other products.
* * * * *
14. Revise part 5 to read as follows:
[[Page 6945]]
PART 5--EXPERIMENTAL RADIO SERVICE (INCLUDING MARKET TRIALS)
Subpart A--General
Sec.
5.1 Basis and purpose.
5.3 Scope of service.
5.5 Definition of terms.
Subpart B--Applications and Licenses
License Requirements
5.51 Eligibility of license.
5.53 Station authorization required.
5.54 Types of authorizations available.
General Filing Requirements
5.55 Filing of applications.
5.57 Who may sign applications.
5.59 Forms to be used.
5.61 Procedure for obtaining a special temporary authorization.
5.63 Supplemental statements required.
5.64 Special provisions for satellite systems.
5.65 Defective applications.
5.67 Amendment or dismissal of applications.
5.69 License grants that differ from applications.
5.71 License period.
5.73 Experimental report.
5.77 Change in equipment and emission characteristics.
5.79 Transfer and assignment of station authorization for
conventional experimental radio licenses.
5.81 Discontinuance of station operation.
5.83 Cancellation provisions.
5.84 Non-interference basis.
5.85 Frequencies and policy governing their assignment.
5.91 Notification of the National Radio Astronomy Observatory.
5.95 Informal objections.
Subpart C--Technical Standards and Operating Requirements
5.101 Frequency stability.
5.103 Types of emission.
5.105 Authorized bandwidth.
5.107 Transmitter control requirements.
5.109 Inspection and maintenance of antenna structure marking and
associated control equipment.
5.110 Power limitations.
5.111 Limitations on use.
5.115 Station identification.
5.121 Station record requirements.
5.123 Inspection of stations.
5.125 Authorized points of communication.
Subpart D--Broadcast Experimental Licenses
5.201 Applicable rules.
5.203 Experimental authorizations for licensed broadcast stations.
5.205 Licensing requirements, necessary showing.
5.207 Supplemental reports with application for renewal of license.
Technical Operation and Operators
5.211 Frequency monitors and measurements.
5.213 Time of operation.
5.215 Program service and charges.
5.217 Rebroadcasts.
5.219 Broadcasting emergency information.
Subpart E--Program Experimental Licenses
Requirements for all Program Experimental Radio Licenses
5.301 Requirements in other subparts.
5.303 Frequencies.
5.305 Program license not permitted.
5.307 Responsible party.
5.309 Notification requirements.
5.311 Additional requirements related to safety of the public.
Requirements Specific to Research Program Experimental Radio Licenses
5.321 Eligibility.
5.323 Area of operations.
Requirements Specific to Innovation Zone Program Experimental Radio
Licenses
5.331 Eligibility.
5.333 Area of operations.
Requirements Specific to Medical Program Experimental Radio Licenses
5.341 Eligibility.
5.343 Additional requirements.
Subpart F--Product Development and Market Trials
5.401 Product Development Trials.
5.403 Market Trials.
Authority: Secs. 4, 302, 303, 307, 336 48 Stat. 1066, 1082, as
amended; 47 U.S.C. 154, 302, 303, 307, 336. Interpret or apply sec.
301, 48 Stat. 1081, as amended; 47 U.S.C. 301.
Subpart A--General
Sec. 5.1 Basis and purpose.
(a) The rules following in this part are promulgated pursuant to
the provisions of Title III of the Communications Act of 1934, as
amended, which vests authority in the Federal Communications Commission
to regulate radio transmissions and to issue licenses for radio
stations.
(b) This part prescribes the manner in which parts of the radio
frequency spectrum may be made available for experimentation as defined
and provided for in this part.
(c) This part prescribes the manner for conducting product
development and market trials.
Sec. 5.3 Scope of service.
Stations operating in the Experimental Radio Service will be
permitted to conduct the following type of operations:
(a) Experimentations in scientific or technical radio research.
(b) Experimentations in the broadcast services.
(c) Experimentations under contractual agreement with the United
States Government, or for export purposes.
(d) Communications essential to a research project.
(e) Technical demonstrations of equipment or techniques.
(f) Field strength surveys.
(g) Demonstration of equipment to prospective purchasers by persons
engaged in the business of selling radio equipment.
(h) Testing of equipment in connection with production or
regulatory approval of such equipment.
(i) Development of radio technique, equipment, operational data or
engineering data, including field or factory testing or calibration of
equipment, related to an existing or proposed radio service.
(j) Product development and market trials.
(k) Types of experiments that are not specifically covered under
paragraphs (a) through (j) of this section will be considered upon
demonstration of need for such additional types of experiments.
Sec. 5.5 Definition of terms.
For the purpose of this part, the following definitions shall be
applicable. For other definitions, refer to part 2 of this chapter
(Frequency Allocations and Radio Treaty Matters; General Rules and
Regulations).
Authorized frequency. The frequency assigned to a station by the
Commission and specified in the instrument of authorization.
Authorized power. The power assigned to a radio station by the
Commission and specified in the instrument of authorization.
Experimental radio service. A service in which radio waves are
employed for purposes of experimentation in the radio art or for
purposes of providing essential communications for research projects
that could not be conducted without the benefit of such communications.
Experimental station. A station utilizing radio waves in
experiments with a view to the development of science or technique.
Fixed service. A radiocommunication service between specified fixed
points.
Fixed station. A station in the fixed service.
Harmful interference. Any radiation or induction that endangers the
functioning of a radionavigation or safety service, or obstructs or
repeatedly interrupts a radio service operating in accordance with the
Table of Frequency Allocations and other provisions of part 2 of this
chapter.
Landing area. As defined by 49 U.S.C. 40102(a)(28), any locality,
either of land
[[Page 6946]]
or water, including airdromes and intermediate landing fields, that is
used, or intended to be used, for the landing and take-off of aircraft,
whether or not facilities are provided for the shelter, servicing, or
repair of aircraft, or for receiving or discharging passengers or
cargo.
Land station. A station in the mobile service not intended for
operation while in motion.
Market trials. A program designed to evaluate product performance
and customer acceptability prior to the production stage, and typically
requires testing a specific device under expected use conditions to
evaluate actual performance and effectiveness.
Mobile service. A radiocommunication service between mobile and
land stations, or between mobile stations.
Mobile station. A station in a mobile service intended to be used
while in motion or during halts at unspecified points.
Person. An individual, partnership, association, joint stock
company, trust, or corporation.
Product development trials. An experimental program designed to
evaluate product performance in the conceptual, developmental, and
design stages, and typically requires testing under expected use
conditions.
Public correspondence. Any telecommunication that offices and
stations, by reason of their being at the disposal of the public, must
accept for transmission.
Radio service. An administrative subdivision of the field of
radiocommunication. In an engineering sense, the subdivisions may be
made according to the method of operation, as, for example, mobile
service and fixed service. In a regulatory sense, the subdivisions may
be descriptive of particular groups of licensees, as, for example, the
groups of persons licensed under this part.
Station authorization. Any license or special temporary
authorization issued by the Commission.
Subpart B--Applications and Licenses Requirements
Sec. 5.51 Eligibility of license.
(a) Authorizations for stations in the Experimental Radio Service
will be issued only to persons qualified to conduct experimentation
(including product development and market trials) using radio waves in
a manner not provided by existing rules.
(b) A station license shall not be granted to or held by a foreign
government or a representative thereof.
Sec. 5.53 Station authorization required.
No radio transmitter shall be operated in the Experimental Radio
Service except under and in accordance with a proper station
authorization granted by the Commission.
Sec. 5.54 Types of authorizations available.
The Commission will issue the following types of experimental
licenses:
(a)(1) Conventional experimental radio license. A conventional
experimental radio license will be issued for the conduct of a specific
or series of related research or experimentation projects related to
the development and advancement of new radio technologies and
techniques or a product development trial or a market trial. Widely
divergent and unrelated experiments must be conducted under separate
licenses.
(2) Special temporary authorization. When an experimental program
is expected to last no more than six months, its operation shall be
considered temporary and the special temporary authorization procedure
outlined in Sec. 5.61 shall apply.
(b) Broadcast experimental radio license. A broadcast experimental
radio license will be issued for the purposes of carrying on research
and experimentation for the development and advancement of new
broadcast technology, equipment, systems or services. This is limited
to stations intended for reception and use by the general public.
(c) Program experimental radio license. A program experimental
radio license will be issued to qualified institutions and carry broad
authority to conduct an ongoing program of research and experimentation
under a single experimental authorization subject to the requirements
of subpart E of this part. Three types of program experimental radio
licenses are available.
(1) Research institutions. These experimental licenses are
available to qualified colleges, universities, and non-profit research
organizations.
(2) Innovation zones. These experimental licenses are available to
entities with technical credentials demonstrating competence in radio
engineering for experimentation within Commission defined geographic
areas.
(3) Medical research. These experimental licenses are available to
hospital and health care institutions that demonstrate basic expertise
in radio management for the testing and operation of new medical
devices that use wireless telecommunications technology for therapeutic
and diagnostic purposes or patient monitoring functions.
General Filing Requirements
Sec. 5.55 Filing of applications.
(a) To assure that necessary information is supplied in a
consistent manner by all persons, standard forms are prescribed for use
in connection with applications, except for applications for special
temporary authority (STA), and reports submitted for Commission
consideration. Standard numbered forms applicable to the Experimental
Radio Service are discussed in Sec. 5.59.
(b) Applications requiring fees as set forth in part 1, subpart G
of this chapter must be filed in accordance with Sec. 0.401(b) of this
chapter.
(c) Each application for station authorization shall be specific
and complete with regard to station location, proposed equipment,
power, antenna height, and operating frequency; and other information
required by the application form and this part.
(d) For conventional and program experimental radio licenses:
(1) Applications for radio station authorization shall be submitted
electronically through the Office of Engineering and Technology Web
site http://www.fcc.gov/els.
(2) Applications for special temporary authority shall be filed in
accordance with the procedures of Sec. 5.61.
(3) Any correspondence relating thereto that cannot be submitted
electronically shall instead be submitted to the Commission's Office of
Engineering and Technology, Washington, DC 20554.
(e) For broadcast experimental radio licenses, applications for
radio station authorization shall be filed in accordance with the
provisions of Sec. 5.59.
Sec. 5.57 Who may sign applications.
(a) Except as provided in paragraph (b) of this section,
applications, amendments thereto, and related statements of fact
required by the Commission shall be personally signed by the applicant,
if the applicant is an individual; by one of the partners, if the
applicant is a partnership; by an officer or duly authorized employee,
if the applicant is a corporation; or by a member who is an officer, if
the applicant is an unincorporated association. Applications,
amendments, and related statements of fact filed on behalf of eligible
government entities, such as states and territories of the United
States and political subdivisions thereof, the District of Columbia,
and units of local government, including
[[Page 6947]]
incorporated municipalities, shall be signed by such duly elected or
appointed officials as may be competent to do so under the laws of the
applicable jurisdiction.
(b) Applications, amendments thereto, and related statements of
fact required by the Commission may be signed by the applicant's
attorney in case of the applicant's physical disability or of his/her
absence from the United States. The attorney shall in that event
separately set forth the reason why the application is not signed by
the applicant. In addition, if any matter is stated on the basis of the
attorney's belief only (rather than his/her knowledge), he/she shall
separately set forth reasons for believing that such statements are
true.
(c) Only the original of applications, amendments, or related
statements of fact need be signed; copies may be conformed.
(d) Applications, amendments, and related statements of fact need
not be submitted under oath. Willful false statements made therein,
however, are punishable by fine and imprisonment, U.S. Code, title 18,
Sec. 1001, and by appropriate administrative sanctions, including
revocation of station license pursuant to section 312(a)(1) of the
Communications Act of 1934, as amended.
(e) ``Signed,'' as used in this section, means an original
handwritten signature; however, the Office of Engineering and
Technology may allow signature by any symbol executed or adopted by the
applicant with the intent that such symbol be a signature, including
symbols formed by computer-generated electronic impulses.
Sec. 5.59 Forms to be used.
(a) Application for conventional and program experimental radio
licenses.
(1) Application for new or modification. Entities must submit FCC
Form 442.
(2) Application for renewal of experimental authorization.
Application for renewal of station license shall be submitted on FCC
Form 405. Unless otherwise directed by the Commission, each application
for renewal of license shall be filed at least 60 days prior to the
expiration date of the license to be renewed.
(3) Application for consent to assign an experimental
authorization. Application for consent to assign shall be submitted on
FCC Form 702 when the legal right to control the use and operation of a
station is to be transferred as a result of a voluntary act (contract
or other agreement) or an involuntary act (death or legal disability)
of the grantee of a station authorization or by involuntary assignment
of the physical property constituting the station under a court decree
in bankruptcy proceedings, or other court order, or by operation of law
in any other manner.
(4) Application for consent to transfer control of Corporation
holding experimental authorization. Application for consent to transfer
control shall be submitted on FCC Form 703 whenever it is proposed to
change the control of a corporation holding a station authorization.
(5) Application for product development and market trials.
Application for product development and market trials shall be
submitted on FCC Form 442.
(b) Applications for broadcast experimental radio license.
(1) Application for new or modification. An application for a
construction permit for a new broadcast experimental station or
modification of an existing broadcast experimental station must be
submitted on FCC Form 309.
(2) Application for a license. An application for a license to
cover a construction permit for a broadcast experimental station must
be submitted on FCC Form 310.
(3) Application for renewal of license. An application for renewal
of station license for a broadcast experimental station must be
submitted on FCC Form 311. Unless otherwise directed by the Commission,
each application for renewal of license shall be filed at least 60 days
prior to the expiration date of the license to be renewed.
Sec. 5.61 Procedure for obtaining a special temporary authorization.
(a)(1) An applicant may request STA not to exceed 6 months for
operation of a conventional experimental radio service station.
(2) Applications for STA must be filed at least 10 days prior to
the proposed operation. Applications filed less than 10 days prior to
the proposed operation date will be accepted only upon a showing of
good cause.
(3) In special situations defined in Sec. 1.915(b)(1) of this
chapter, a request for STA may be made by telephone or telegraph
provided a properly signed application is filed within 10 days of such
request.
(b) An application for special temporary authorization shall
contain the following information:
(1) Name, address, phone number (also e-mail address and facsimile
number, if available) of the applicant.
(2) Description of why an STA is needed.
(3) Description of the operation to be conducted and its purpose.
(4) Time and dates of proposed operation.
(5) Class(es) of station (fixed, mobile, fixed and mobile) and call
sign of station (if applicable).
(6) Description of the location(s) and, if applicable, geographical
coordinates of the proposed operation.
(7) Equipment to be used, including name of manufacturer, model and
number of units.
(8) Frequency(ies) desired.
(9) Maximum effective radiated power (ERP) or equivalent
isotropically radiated power (EIRP).
(10) Emission designator (see Sec. 2.201 of this chapter) or
describe emission (bandwidth, modulation, etc.)
(11) Overall height of antenna structure above the ground (if
greater than 6 meters above the ground or an existing structure, see
part 17 of this chapter concerning notification to the FAA).
(c) Extensions of a special temporary authorization will be granted
provided that an application for a regular experimental license that is
consistent with the terms and conditions of that temporary authority
has been filed at least 15 days prior to the expiration of the
licensee's temporary authority. When such an application is timely
filed, operations may continue in accordance with the other terms and
conditions of the temporary authority pending disposition of the
application, unless the applicant is notified otherwise by the
Commission.
Sec. 5.63 Supplemental statements required.
Applicants must provide the information set forth on the applicable
form as specified in Sec. 5.59. In addition, applicants must provide
supplemental information as described below:
(a) If installation and/or operation of the equipment may
significantly impact the environment (see Sec. 1.1307 of this chapter)
an environmental assessment as defined in Sec. 1.1311 of this chapter
must be submitted with the application.
(b) If an applicant requests non-disclosure of proprietary
information, requests shall follow the procedures for submission set
forth in Sec. 0.459 of this chapter.
(c) For conventional and broadcast experimental radio licenses,
each application must include:
(1) A narrative statement describing in detail the program of
research and experimentation proposed, the specific objectives sought
to be accomplished; and how the program of experimentation has a
reasonable promise of contribution to the development, extension, or
expansion, or use of the radio art, or is along lines not already
investigated.
[[Page 6948]]
(2) If the authorization is to be used for the purpose of
fulfilling the requirements of a contract with an agency of the United
States Government, a narrative statement describing the project, the
name of the contracting agency, and the contract number.
(3) If the authorization is to be used for the sole purpose of
developing equipment for exportation to be employed by stations under
the jurisdiction of a foreign government, a narrative statement
describing the project, any associated contract number, and the name of
the foreign government concerned.
(4) If the authorization is to be used with a satellite system, a
narrative statement containing the information required in Sec. 5.64.
(d) For program experimental radio licenses, each application must
include a narrative statement describing how the applicant meets the
eligibility criteria set forth in subpart E of this part.
Sec. 5.64 Special provisions for satellite systems.
(a) Construction of proposed experimental satellite facilities may
begin prior to Commission grant of an authorization. Such construction
will be entirely at the applicant's risk and will not entitle the
applicant to any assurances that its proposed experiment will be
subsequently approved or regular services subsequently authorized. The
applicant must notify the Commission's Office of Engineering and
Technology in writing that it plans to begin construction at its own
risk.
(b) Except where the satellite system has already been authorized
by the FCC, applicants for an experimental authorization involving a
satellite system must submit a description of the design and
operational strategies the satellite system will use to mitigate
orbital debris, including the following information:
(1) A statement that the space station operator has assessed and
limited the amount of debris released in a planned manner during normal
operations, and has assessed and limited the probability of the space
station becoming a source of debris by collisions with small debris or
meteoroids that could cause loss of control and prevent post-mission
disposal;
(2) A statement that the space station operator has assessed and
limited the probability of accidental explosions during and after
completion of mission operations. This statement must include a
demonstration that debris generation will not result from the
conversion of energy sources on board the spacecraft into energy that
fragments the spacecraft. Energy sources include chemical, pressure,
and kinetic energy. This demonstration shall address whether stored
energy will be removed at the spacecraft's end of life, by depleting
residual fuel and leaving all fuel line valves open, venting any
pressurized system, leaving all batteries in a permanent discharge
state, and removing any remaining source of stored energy, or through
other equivalent procedures specifically disclosed in the application;
(3) A statement that the space station operator has assessed and
limited the probability of the space station becoming a source of
debris by collisions with large debris or other operational space
stations. Where a space station will be launched into a low-Earth orbit
that is identical, or very similar, to an orbit used by other space
stations, the statement must include an analysis of the potential risk
of collision and a description of what measures the space station
operator plans to take to avoid in-orbit collisions. If the space
station operator is relying on coordination with another system, the
statement shall indicate what steps have been taken to contact, and
ascertain the likelihood of successful coordination of physical
operations with, the other system. The statement must disclose the
accuracy--if any--with which orbital parameters of non-geostationary
satellite orbit space stations will be maintained, including apogee,
perigee, inclination, and the right ascension of the ascending node(s).
In the event that a system is not able to maintain orbital tolerances,
i.e., it lacks a propulsion system for orbital maintenance, that fact
shall be included in the debris mitigation disclosure. Such systems
shall also indicate the anticipated evolution over time of the orbit of
the proposed satellite or satellites. Where a space station requests
the assignment of a geostationary-Earth orbit location, it shall assess
whether there are any known satellites located at, or reasonably
expected to be located at, the requested orbital location, or assigned
in the vicinity of that location, such that the station keeping volumes
of the respective satellites might overlap. If so, the statement shall
identify those parties and the measures that will be taken to prevent
collisions;
(4) A statement detailing the post-mission disposal plans for the
space station at end of life, including the quantity of fuel--if any--
that will be reserved for post-mission disposal maneuvers. For
geostationary-Earth orbit space stations, the statement shall disclose
the altitude selected for a post-mission disposal orbit and the
calculations that are used in deriving the disposal altitude. The
statement shall also include a casualty risk assessment if planned
post-mission disposal involves atmospheric re-entry of the space
station. In general, an assessment shall include an estimate as to
whether portions of the spacecraft will survive re-entry and reach the
surface of the Earth, as well as an estimate of the resulting
probability of human casualty.
Sec. 5.65 Defective applications.
(a) Applications that are defective with respect to completeness of
answers to required questions, execution or other matters of a purely
formal character may not be accepted for filing by the Commission, and
may be returned to the applicant with a brief statement as to the
omissions.
(b) If an applicant is requested by the Commission to file any
documents or information not included in the prescribed application
form, a failure to comply with such request will constitute a defect in
the application.
(c) Applications not in accordance with the Commission's rules,
regulations, or other requirements will be considered defective unless
accompanied either by:
(1) A petition to amend any rule, regulation, or requirement with
which the application is in conflict; or
(2) A request for waiver of any rule, regulation, or requirement
with which the application is in conflict. Such request shall show the
nature of the waiver desired and set forth the reasons in support
thereof.
Sec. 5.67 Amendment or dismissal of applications.
(a) Any application may be amended or dismissed without prejudice
upon request of the applicant. Each amendment to, or request for
dismissal of an application shall be signed, authenticated, and
submitted in the same manner as required for the original application.
All subsequent correspondence or other material that the applicant
desires to have incorporated as a part of an application already filed
shall be submitted in the form of an amendment to the application.
(b) Defective applications, as defined in Sec. 5.65, are subject
to dismissal. Such dismissal will be without prejudice.
Sec. 5.69 License grants that differ from applications.
In cases when the Commission grants a license with parameters that
differ from those set forth in the application, an applicant may reject
the grant by
[[Page 6949]]
filing, within 30 days from the effective date of the grant, a written
description of its objections. Upon receipt of such request, the
Commission will coordinate with the applicant in an attempt to resolve
problems arising from the grant.
Sec. 5.71 License period.
(a) Conventional experimental radio licenses.
(1) The regular license period is 2 years. An applicant may apply
for a license term up to 5 years, but must provide justification for a
license of that duration.
(2) A license may be renewed for up to 5 years upon an adequate
showing of need to complete the experiment.
(b) Program experimental radio licenses. Licenses are issued for 5
years and may be renewed.
(c) Broadcast experimental radio license. Licenses for broadcast
experimental radio stations will be issued for a maximum one-year
period.
Sec. 5.73 Experimental report.
(a) Conventional experimental radio licenses.
(1) The Commission may, as a condition of authorization, request
the licensee to forward periodic reports in order to evaluate the
progress of the experimental program.
(2) An applicant may request that the Commission withhold from the
public certain reports and associated material and the Commission will
do so unless the public interest requires otherwise. These requests
should follow the procedures for submission set forth in Sec. 0.459 of
this chapter.
(b) Program and broadcast experimental radio licenses must follow
the requirements in Sec. Sec. 5.207 and 5.309, respectively.
Sec. 5.77 Change in equipment and emission characteristics.
(a) The licensee of a conventional or broadcast experimental radio
station may make any changes in equipment that are deemed desirable or
necessary provided:
(1) That the operating frequency is not permitted to deviate more
than the allowed tolerance;
(2) That the emissions are not permitted outside the authorized
band;
(3) That the power output complies with the license and the
regulations governing the same; and
(4) That the transmitter as a whole or output power rating of the
transmitter is not changed.
(b) For conventional experimental radio stations, the changes
permitted in paragraph (a) of this section may be made without prior
authorization from the Commission provided that the license supplements
its application file with a description of such change. If the licensee
wants these emission changes to become a permanent part of the license,
an application for modification must be filed.
(c) Prior authorization from the Commission is required before the
following antenna changes may be made at a station at a fixed location:
(1) Any change that will either increase the height of a structure
supporting the radiating portion of the antenna or decrease the height
of a lighted antenna structure.
(2) Any change in the location of an antenna when such relocation
involves a change in the geographic coordinates of latitude or
longitude by one second or more, or when such relocation involves a
change in street address.
Sec. 5.79 Transfer and assignment of station authorization for
conventional experimental radio licenses.
A station authorization, the frequencies authorized to be used by
the grantee of such authorization, and the rights therein granted by
such authorization shall not be transferred, assigned, or in any manner
either voluntarily or involuntarily disposed of, unless the Commission
decides that such a transfer is in the public interest and gives its
consent in writing.
Sec. 5.81 Discontinuance of station operation.
In case of permanent discontinuance of operation of a station in
the Experimental Radio Service, the licensee shall notify the
Commission.
Sec. 5.83 Cancellation provisions.
The applicant for a station in the Experimental Radio Services
accepts the license with the express understanding:
(a) That the authority to use the frequency or frequencies
permitted by the license is granted upon an experimental basis only and
does not confer any right to conduct an activity of a continuing
nature; and
(b) That said grant is subject to change or cancellation by the
Commission at any time without notice or hearing if in its discretion
the need for such action arises. However, a petition for
reconsideration or application for review may be filed to such
Commission action.
Sec. 5.84 Non-interference basis.
Operation of an experimental radio station is permitted only on the
condition that harmful interference will not be caused to any station
operating in accordance with the Table of Frequency Allocation of part
2 of this chapter. If harmful interference to an established radio
service develops, the licensee shall cease transmissions and such
transmissions shall not be resumed until it is certain that harmful
interference will not be caused.
Sec. 5.85 Frequencies and policy governing their assignment.
(a) Stations operating in the Experimental Radio Service may be
authorized to use any government or non-government frequency designated
in the Table of Frequency Allocations set forth in part 2 of this
chapter, provided that the need for the frequency requested is fully
justified by the applicant, except that experimental stations may not
be authorized the use of any frequency or frequency band exclusively
allocated to the passive services (including the radio astronomy
service).
(b) Each frequency or band of frequencies available for assignment
to stations in the Experimental Radio Service is available on a shared
basis only, will not be assigned for the exclusive use of any one
applicant, and such use may also be restricted to specified
geographical areas.
(c) Broadcast experimental radio stations. (1) Frequencies best
suited to the purpose of the experimentation and on which there appears
to be the least likelihood of interference to established stations
shall be selected.
(2) Except as indicated only frequencies allocated to broadcasting
service will be assigned. If an experiment cannot be feasibly conducted
on frequencies allocated to a broadcasting service, an experimental
station may be authorized to operate on other frequencies upon a
satisfactory showing of the need therefore and a showing that the
proposed operation can be conducted without causing harmful
interference to established services.
(d) Use of Public Safety Frequencies. Applicants in the
Experimental Radio Service must avoid use of public safety frequencies
identified in part 90 of this chapter except when a compelling showing
can be made that use of such frequencies is in the public interest. If
an experimental license to use public safety radio frequencies is
granted, the authorization will be conditioned to require coordination
between the experimental licensee and the appropriate frequency
coordinator and/or all of the public safety licensees in its intended
area of operation.
(e) The Commission may, at its discretion, condition any
experimental license or STA on the requirement that before commencing
operation, the new licensee coordinate its proposed facility
[[Page 6950]]
with other licensees that may receive interference as a result of the
new licensee's operations.
(f) Protection of FCC monitoring stations. (1) Applicants may need
to protect FCC monitoring stations from harmful interference and their
station authorization may be conditioned accordingly. Geographical
coordinates of such stations are listed in Sec. 0.121(b) of this
chapter.
(2) In the event that calculated value of expected field strength
exceeds a direct wave fundamental field strength of greater than 10 mV/
m in the authorized bandwidth of service (-65.8 dBW/m\2\ power flux
density assuming a free space characteristic impedance of 120[pi] ohms)
at the reference coordinates, or if there is any question whether field
strength levels might exceed the threshold value, the applicant should
consult with the FCC's Enforcement Bureau, telephone (202) 418-1210, to
discuss any protection necessary.
(3) Coordination is suggested particularly for those applicants who
have no reliable data that indicates whether the field strength or
power flux density figure indicated in (e) of this section would be
exceeded by their proposed radio facilities (except mobile stations).
The following is a suggested guide for determining whether coordination
is needed:
(i) All stations within 2.4 kilometers (1.5 statute miles);
(ii) Stations within 4.8 kilometers (3 statute miles) with 50 watts
or more average ERP in the primary plane of polarization in the
azimuthal direction of the Monitoring Station;
(iii) Stations within 16 kilometers (10 statute miles) with 1 kW or
more average ERP in the primary plane of polarization in the azimuthal
direction of the Monitoring Station; and
(iv) Stations within 80 kilometers (50 statute miles) with 25 kW or
more average ERP in the primary plane of polarization in the azimuthal
direction of the Monitoring Station.
(4) Advance coordination for stations operating above 1,000 MHz is
recommended only where the proposed station is in the vicinity of a
monitoring station designated as a satellite monitoring facility in
Sec. 0.121(b) of this chapter and also meets the criteria outlined in
paragraphs (e) and (f)(3) of this section.
Sec. 5.91 Notification of the National Radio Astronomy Observatory.
In order to minimize possible harmful interference at the National
Radio Astronomy Observatory site located at Green Bank, Pocahontas
County, West Virginia, and at the Naval Radio Research Observatory site
at Sugar Grove, Pendleton County, West Virginia, any applicant for a
station authorization other than mobile, temporary base, temporary
fixed, Personal Radio, Civil Air Patrol, or Amateur seeking a station
license for a new station, or a construction permit to construct a new
station or to modify an existing station license in a manner that would
change either the frequency, power, antenna height or directivity, or
location of such a station within the area bounded by 39 deg. 15' N on
the north, 78 deg. 30' W on the east, 37 deg. 30' N on the south and 80
deg. 30' W on the west shall, at the time of filing such application
with the Commission, simultaneously notify the Director, National Radio
Astronomy Observatory, P.O. Box NZ2, Green Bank, West Virginia 24944,
in writing, of the technical particulars of the proposed station. Such
notification shall include the geographical coordinates of the antenna,
antenna height, antenna directivity if any, frequency, type of
emission, and power. In addition, the applicant shall indicate in its
application to the Commission the date notification was made to the
Observatory. After receipt of such applications, the Commission will
allow a period of twenty (20) days for comments or objections in
response to the notifications indicated. If an objection to the
proposed operation is received during the twenty-day period from the
National Radio Astronomy Observatory for itself or on behalf of the
Naval Radio Research Observatory, the Commission will consider all
aspects of the problem and take whatever action is deemed appropriate.
Sec. 5.95 Informal objections.
A person or entity desiring to object to or to oppose an
Experimental Radio application for a station license or authorization
may file an informal objection against that application. The informal
objection and any responsive pleadings shall comply with the
requirements set forth in Sec. Sec. 1.41 through 1.52 of this chapter.
Subpart C--Technical Standards and Operating Requirements
Sec. 5.101 Frequency stability.
Licensees must use a frequency tolerance that would confine
emissions within the band of operation, unless permission is granted to
use a lesser frequency tolerance. Equipment is presumed to operate over
the temperature range -20 to +50 degrees Celsius with an input voltage
variation of 85% to 115% of rated input voltage, unless justification
is presented to demonstrate otherwise.
Sec. 5.103 Types of emission.
Stations in the Experimental Radio Service may be authorized to use
any of the classifications of emissions covered in part 2 of this
chapter.
Sec. 5.105 Authorized bandwidth.
Each authorization issued to a station operating in this service
will show, as the prefix to the emission classification, a figure
specifying the maximum necessary bandwidth for the emission used. The
authorized bandwidth is considered to be the occupied or necessary
bandwidth, whichever is greater. This bandwidth shall be determined in
accordance with Sec. 2.202 of this chapter.
Sec. 5.107 Transmitter control requirements.
Each licensee shall be responsible for maintaining control of the
transmitter authorized under its station authorization, including the
ability to terminate transmissions should interference occur.
(a) Conventional experimental radio stations. The licensee shall
ensure that transmissions are in conformance with the operating
characteristics prescribed in the station authorization and that the
station is operated only by persons duly authorized by the licensee.
(b) Program experimental radio stations. The licensee shall ensure
that transmissions are in conformance with the requirements in subpart
E of this part and that the station is operated only by persons duly
authorized by the licensee.
(c) Broadcast experimental stations. Except where unattended
operation is specifically permitted, the licensee of each station
authorized under the provisions of this part shall designate a person
or persons to activate and control its transmitter. At the discretion
of the station licensee, persons so designated may be employed for
other duties and for operation of other transmitting stations if such
other duties will not interfere with the proper operation of the
station transmission systems.
Sec. 5.109 Inspection and maintenance of antenna structure marking
and associated control equipment.
The owner of each antenna structure required to be painted and/or
illuminated under the provisions of section 303(q) of the
Communications Act of 1934, as amended, shall operate and maintain the
antenna structure painting and lighting in accordance with part 17 of
this chapter. In the event of default by the owner, each licensee or
[[Page 6951]]
permittee shall be individually responsible for conforming to the
requirements pertaining to antenna structure painting and lighting.
Sec. 5.110 Power limitations.
(a) The operating power for all stations authorized under the
experimental radio service shall be limited to the minimum practical
radiated power.
(b) For broadcast experimental radio stations, the operating power
shall not exceed more than 5 percent above the maximum power specified.
Engineering standards have not been established for these stations. The
efficiency factor for the last radio stage of transmitters employed
will be subject to individual determination but shall be in general
agreement with values normally employed for similar equipment operated
within the frequency range authorized.
Sec. 5.111 Limitations on use.
(a) Stations may make only such transmissions as are necessary and
directly related to the conduct of the licensee's stated program of
experimentation and the related station instrument of authorization,
and as governed by the provisions of the rules and regulations
contained in this part. When transmitting, the licensee must use every
precaution to ensure that it will not cause harmful interference to the
services carried on by stations operating in accordance with the Table
of Frequency Allocations of part 2 of this chapter.
(b) A licensee shall adhere to the program of experimentation as
stated in its application or in the station instrument of
authorization.
(c) The radiations of the transmitter shall be suspended
immediately upon detection or notification of a deviation from the
technical requirements of the station authorization until such
deviation is corrected, except for transmissions concerning the
immediate safety of life or property, in which case the transmissions
shall be suspended as soon as the emergency is terminated.
Sec. 5.115 Station identification.
(a) Conventional experimental radio licenses. A licensee, unless
specifically exempted by the terms of the station authorization, shall
transmit its assigned call sign at the end of each complete
transmission: Provided, however, that the transmission of the call sign
at the end of each transmission is not required for projects requiring
continuous, frequent, or extended use of the transmitting apparatus,
if, during such periods and in connection with such use, the call sign
is transmitted at least once every thirty minutes. The station
identification shall be transmitted in clear voice or Morse code. All
digital encoding and digital modulation shall be disabled during
station identification.
(b) Broadcast experimental licenses. Each experimental broadcast
station shall make aural or visual announcements of its call letters
and location at the beginning and end of each period of operation, and
at least once every hour during operation.
(c) Program experimental radio licenses.
(1) Research licenses and innovation zone licenses must comply with
either:
(i) Stations may transmit identifying information sufficient to
identify the license holder and the geographic coordinates of the
station. This information shall be transmitted at the end of each
complete transmission except that: This information is not required at
the end of each transmission for projects requiring continuous,
frequent, or extended use of the transmitting apparatus, if, during
such periods and in connection with such use, the information is
transmitted at least once every thirty minutes. The station
identification shall be transmitted in clear voice or Morse code. All
digital encoding and digital modulation shall be disabled during
station identification; or
(ii) Stations may post information sufficient to identify it on the
Web site.
(2) Medical facility licenses. Stations authorized under a medical
facility license are exempt from the station identification
requirement.
Sec. 5.121 Station record requirements.
(a) For Conventional and program experimental radio stations, the
current original authorization or a clearly legible photocopy for each
station shall be retained as a permanent part of the station records,
but need not be posted. Station records are required to be kept for a
period of at least one year after license expiration.
(b) For Broadcast experimental radio stations, the license must be
available at the transmitter site. The licensee of each experimental
broadcast station must maintain and retain for a period of two years,
adequate records of the operation, including:
(1) Information concerning the nature of the experimental operation
and the periods in which it is being conducted.
(2) Information concerning any specific data requested by the FCC.
Sec. 5.123 Inspection of stations.
All stations and records of stations in the authorized under this
Part shall be made available for inspection at any time while the
station is in operation or shall be made available for inspection upon
reasonable request of an authorized representative of the Commission.
Sec. 5.125 Authorized points of communication.
Generally, stations in the Experimental Radio Service may
communicate only with other stations licensed in the Experimental Radio
Service. Nevertheless, upon a satisfactory showing that the proposed
communications are essential to the conduct of the research project,
authority may be granted to communicate with stations in other services
and U.S. Government stations.
Subpart D--Broadcast Experimental Licenses
Sec. 5.201 Applicable rules.
In addition to the rules in this subpart, broadcast experimental
station applicants and licensees must follow the rules in subparts B
and C of this part. In case of any conflict between the rules set forth
in this subpart and the rules set forth in subparts B and C of this
part, the rules in this subpart shall govern.
Sec. 5.203 Experimental authorizations for licensed broadcast
stations.
(a) Licensees of broadcast stations (including TV Translator, LPTV,
and TV Booster stations) may obtain experimental authorizations to
conduct technical experimentation directed toward improvement of the
technical phases of operation and service, and for such purposes may
use a signal other than the normal broadcast program signal.
(b) Experimental authorizations for licensed broadcast stations may
be requested by filing an informal application with the FCC in
Washington, DC, describing the nature and purpose of the
experimentation to be conducted, the nature of the experimental signal
to be transmitted, and the proposed schedule of hours and duration of
the experimentation. Experimental authorizations shall be posted with
the station license.
(c) Experimental operations for licensed broadcast stations are
subject to the following conditions:
(1) The authorized power of the station may not be exceeded more
than 5 percent above the maximum power specified, except as
specifically authorized for the experimental operations.
(2) Emissions outside the authorized bandwidth must be attenuated
to the
[[Page 6952]]
degree required for the particular type of station.
(3) The experimental operations may be conducted at any time the
licensed station is authorized to operate, but the minimum required
schedule of programming for the class and type of station must be met.
AM stations also may conduct experimental operations during the
experimental period (12 midnight local time to local sunrise) and at
additional hours if permitted by the experimental authorization
provided no interference is caused to other stations maintaining a
regular operating schedule within such period(s).
(4) If a licensed station's experimental authorization permits the
use of additional facilities or hours of operation for experimental
purposes, no sponsored programs or commercial announcements may be
transmitted during such experimentation.
(5) The licensee may transmit regularly scheduled programming
concurrently with the experimental transmission if there is no
significant impairment of service.
(6) No charges may be made, either directly or indirectly, for the
experimentation; however, normal charges may be made for regularly
scheduled programming transmitted concurrently with the experimental
transmissions.
(d) The FCC may request a report of the research, experimentation
and results at the conclusion of the experimental operation.
Sec. 5.205 Licensing requirements, necessary showing.
(a) An applicant for a new experimental broadcast station, change
in facilities of any existing station, or modification of license is
required to make a satisfactory showing of compliance with the general
requirements of the Communications Act of 1934, as amended, as well as
the following:
(1) That the applicant has a definite program of research and
experimentation in the technical phases of broadcasting which indicates
reasonable promise of substantial contribution to the developments of
the broadcasting art.
(2) That upon the authorization of the proposed station the
applicant can and will proceed immediately with its program of research
and experimentation.
(3) That the transmission of signals by radio is essential to the
proposed program of research and experimentation.
(4) That the program of research and experimentation will be
conducted by qualified personnel.
(b) A license for an experimental broadcast station will be issued
only on the condition that no objectionable interference to the regular
program transmissions of broadcast stations will result from the
transmissions of the experimental stations.
(c) Special provision for broadcast experimental radio station
applications. For purposes of the definition of ``experimental
authorization'' in Section II.A.6 of the Nationwide Programmatic
Agreement Regarding the Section 106 National Historic Preservation Act
Review Process set forth in Appendix C to part 1 of this chapter, a
Broadcast Experimental Radio Station authorized under this Subpart
shall be considered an ``Experimental Broadcast Station authorized
under part 74 of the Commission's rules.''
Sec. 5.207 Supplemental reports with application for renewal of
license.
A report shall be filed with each application for renewal of
experimental broadcast station license which shall include a statement
of each of the following:
(a) Number of hours operated.
(b) Full data on research and experimentation conducted including
the types of transmitting and studio equipment used and their mode of
operation.
(c) Data on expense of research and operation during the period
covered.
(d) Power employed, field intensity measurements and visual and
aural observations and the types of instruments and receivers utilized
to determine the station service area and the efficiency of the
respective types of transmissions.
(e) Estimated degree of public participation in reception and the
results of observations as to the effectiveness of types of
transmission.
(f) Conclusions, tentative and final.
(g) Program of further developments in broadcasting.
(h) All developments and major changes in equipment.
(i) Any other pertinent developments.
Technical Operation and Operators
Sec. 5.211 Frequency monitors and measurements.
The licensee of a broadcast experimental radio station shall
provide the necessary means for determining that the frequency of the
station is within the allowed tolerance. The date and time of each
frequency check, the frequency as measured, and a description or
identification of the method employed shall be entered in the station
log. Sufficient observations shall be made to insure that the assigned
carrier frequency is maintained within the prescribed tolerance.
Sec. 5.213 Time of operation.
(a) Unless specified or restricted hours of operation are shown in
the station authorization, broadcast experimental radio stations may be
operated at any time and are not required to adhere to a regular
schedule of operation.
(b) The FCC may limit or restrict the periods of station operation
in the event interference is caused to other broadcast or non-broadcast
stations.
(c) The FCC may require that a broadcast experimental radio station
conduct such experiments as are deemed desirable and reasonable for
development of the type of service for which the station was
authorized.
Sec. 5.215 Program service and charges.
(a) The licensee of a broadcast experimental radio station may
transmit program material only when necessary to the experiments being
conducted, and no regular program service may be broadcast unless
specifically authorized.
(b) The licensee of a broadcast experimental radio station may make
no charges nor ask for any payment, directly or indirectly, for the
production or transmission of any programming or information used for
experimental broadcast purposes.
Sec. 5.217 Rebroadcasts.
(a) The term rebroadcast means reception by radio of the programs
or other transmissions of a broadcast station, and the simultaneous or
subsequent retransmission of such programs or transmissions by a
broadcast station.
(1) As used in this section, the word ``program'' includes any
complete program or part thereof.
(2) The transmission of a program from its point of origin to a
broadcast station entirely by common carrier facilities, whether by
wire line or radio, is not considered a rebroadcast.
(3) The broadcasting of a program relayed by a remote broadcast
pickup station is not considered a rebroadcast.
(b) No licensee of a broadcast experimental radio station may
retransmit the program of another U.S. broadcast station without the
express authority of the originating station. A copy of the written
consent of the licensee originating the program must be kept by the
licensee of the broadcast experimental radio station retransmitting
such program and made available to the FCC upon request.
[[Page 6953]]
Sec. 5.219 Broadcasting emergency information.
(a) In an emergency where normal communication facilities have been
disrupted or destroyed by storms, floods or other disasters, a
broadcast experimental radio station may be operated for the purpose of
transmitting essential communications intended to alleviate distress,
dispatch aid, assist in rescue operations, maintain order, or otherwise
promote the safety of life and property. In the course of such
operation, a station of any class may communicate with stations of
other classes and in other services. However, such operation shall be
conducted only on the frequency or frequencies for which the station is
licensed and the used power shall not exceed the maximum authorized in
the station license. When such operation involves the use of
frequencies shared with other stations, licensees are expected to
cooperate fully to avoid unnecessary or disruptive interference.
(b) Whenever such operation involves communications of a nature
other than those for which the station is licensed to perform, the
licensee shall, at the earliest practicable time, notify the FCC in
Washington, DC of the nature of the emergency and the use to which the
station is being put and shall subsequently notify the same offices
when the emergency operation has been terminated.
(c) Emergency operation undertaken pursuant to the provisions of
this section shall be discontinued as soon as substantially normal
communications facilities have been restored. The Commission may at any
time order discontinuance of such operation.
Subpart E--Program Experimental Radio Licenses
Requirements for All Program Experimental Radio Licenses
Sec. 5.301 Requirements in other subparts.
In addition to the rules in this subpart, program experimental
applicants and licensees must follow the rules in subparts B and C of
this part. In case of any conflict between the rules set forth in this
subpart and the rules set forth in subparts B and C of this part, the
rules in this subpart shall govern.
Sec. 5.303 Frequencies.
Licensees may operate in any frequency band, including those above
38.6 GHz, except for frequency bands exclusively allocated to the
passive services (including the radio astronomy service). In addition,
licensees may not use any frequency or frequency band below 38.6 GHz
that is listed in Sec. 15.205(a) of this chapter.
Sec. 5.305 Program license not permitted.
Experiments are not permitted under this subpart and a conventional
experimental radio license is required when:
(a) An environmental assessment must be filed with the Commission
as required by Sec. 5.63(a); or
(b) An orbital debris mitigation plan must be filed with the
Commission as required bySec. 5.64; or
(c) The applicant requires non-disclosure of proprietary
information.
Sec. 5.307 Responsible party.
(a) Each program experimental radio license must identify a single
point of contact responsible for all experiments conducted under the
license, including
(1) Ensuring compliance with the notification requirements of Sec.
5.309; and
(2) Ensuring compliance with all applicable rules; and
(b) The responsible individual will serve as the initial point of
contact for all matters involving interference resolution and must have
the ability to discontinue any and all experiments being conducted
under the license, if necessary.
(c) The responsible individual along with contact information, such
as a phone number and e-mail address at which he or she can be reached
at any time of the day, must be identified on the license application
and will be listed on the license. Licensees are required to keep this
information current.
Sec. 5.309 Notification requirements.
(a) At least seven calendar days prior to commencement of any
experiment under a program experimental radio license, licensees must
provide the following information to the Web site to be provided in the
final rules.
(1) A narrative statement describing the experiment;
(2) Contact information for the researcher in charge; and
(3) Technical details including:
(i) The frequency or frequency bands;
(ii) The maximum effective isotropically radiated power (EIRP) or
effective radiated power (ERP) under consideration;
(iii)The emission designators to be used;
(iv) A description of the geographic area in which the test will be
conducted;
(v) The number of units to be used;
(vi) A public safety mitigation plan as required by Sec. 5.311, if
necessary; and
(vii) For medical program experimental radio licenses, the rule
part for which the experimental device is intended.
(b) Experiments may commence without specific approval or
authorization once the seven calendar days have elapsed. However, if
any licensee of an authorized service raises interference concerns, it
must contact the program license responsible party and it must post its
complaint along with supporting documentation to the Web page to be
provided in the final rules. The experiment shall not commence until
the parties resolve the complaint. The complainant bears the burden of
proof that the proposed experiment will cause harmful interference. It
is expected that parties work in good faith to resolve such concerns,
including modifying experiments if necessary to reach an agreeable
resolution.
(c) The Commission can prohibit or require modification of specific
experiments under a program experimental radio license at any time
without notice or hearing if in its discretion the need for such action
arises.
(d) Within 30 days after completion of each experiment conducted
under a program experimental radio license, the licensee shall file a
narrative statement describing the results of the experiment, including
any interference incidents and steps taken to resolve them. This
narrative statement must be filed to the Web site to be provided in the
final rules and be associated with the materials described in
paragraphs (a) and (b) of this section.
(e) All information submitted pursuant to this section will be made
publicly available.
Sec. 5.311 Additional requirements related to safety of the public.
For experiments that may affect bands used for the provision of
commercial mobile services, emergency notifications, or public safety
purposes the program experimental radio licensee shall, prior to
commencing transmissions, develop a specific plan to avoid interference
to these bands. The plan must include provisions for:
(a) Providing notice to parties, including other Commission
licensees and end users, who might be affected by the experiment;
(b) Providing for the quick identification and elimination of any
harm the experiment may cause; and
(c) Providing an alternate means for accomplishing potentially
affected vital public safety functions during the experiment.
[[Page 6954]]
Requirements Specific to Research Program Experimental Radio Licenses
Sec. 5.321 Eligibility.
Research experimental licensees must:
(a) Be:
(1) An Accreditation Board for Engineering and Technology (ABET)
accredited college or university with a graduate research program or
existing industry partnership or
(2) A Nationally recognized non-profit research laboratory.
(b) Have a defined campus setting; and
(c) Have institutional processes to monitor and effectively manage
a wide variety of research projects.
Sec. 5.323 Area of operations.
Applications must specify and the Commission will grant
authorizations for a geographic area that is inclusive of an
institution's real-property facilities.
Requirements Specific to Innovation Zone Program Experimental Radio
Licenses
Sec. 5.331 Eligibility.
Each licensee must hold appropriate technical credentials
demonstrating technical competence in radio spectrum management.
Sec. 5.333 Area of operations.
Innovation zone program experimental radio licenses are restricted
to areas designated by the Commission as innovation zones, available
for use by multiple parties, and will be listed on the Commission's Web
site.
Requirement Specific to Medical Program Experimental Radio Licenses
Sec. 5.341 Eligibility.
Medical program experimental radio licenses may be granted to
hospitals and health care institutions that have demonstrated expertise
in radio spectrum management.
Sec. 5.343 Additional requirements.
(a) Experiments conducted under the authority of a medical program
experimental radio license are limited to therapeutic and diagnostic
medical equipment that is designed to meet the Commission's rules for
such equipment.
(b) Licensees of medical program experimental radio licenses shall
file a yearly report of the activity that has been performed under the
license.
Subpart F--Product Development and Market Trials
Sec. 5.401 Product development trials.
Unless otherwise stated in the instrument of authorization,
experimental radio licenses granted for the purpose of product
development trials pursuant to Sec. 5.3(j) of this part are subject to
the following conditions:
(a) All transmitting and/or receiving equipment used in the study
shall be owned by the licensee.
(b) The licensee is responsible for informing all participants in
the experiment that the operation of the service or device is being
conducted under an experimental authorization and is strictly
temporary.
(c) Marketing of devices (as defined in Sec. 2.803 of this
chapter) or provision of services for hire is not permitted.
(d) The size and scope of the experiment are subject to limitations
as the Commission shall establish on a case-by-case basis. If the
Commission subsequently determines that a product development trial is
not so limited, the trial shall be immediately terminated.
Sec. 5.403 Market trials.
Unless otherwise stated in the instrument of authorization,
experimental radio licenses granted for the purpose of market trials
pursuant to Sec. 5.3(j) are subject to the following conditions:
(a) Marketing of devices (as defined in Sec. 2.803 of this
chapter) and provision of services for hire is permitted before the
radio frequency device has been authorized by the Commission, provided
that the device will be operated in compliance with existing Commission
rules, waivers of such rules that are in effect at the time of
operation, or rules that have been adopted by the Commission but that
have not yet become effective.
(b) The operation of all radio frequency devices that are included
in a market trial must be authorized under this rule section, including
those devices that are designed to operate under parts 15, 18 or 95 of
this chapter.
(c) If more than one entity will be responsible for conducting the
same market trial e.g., manufacturer and service provider, each entity
will be authorized under a separate license. A service provider shall
be either a current FCC licensee or eligible for a license in the
service that would eventually deploy the device being tested. If more
than one licensee is authorized, one shall be designated as the
responsible party for the trial.
(d) All transmitting and/or receiving equipment used in the study
shall be owned by the licensees. Marketing of devices is only permitted
as follows:
(1) The licensees may sell equipment to each other, e.g.,
manufacturer to service provider,
(2) The licensees may lease equipment to trial participants for
purposes of the study, and
(3) The number of devices to be marketed shall be the minimum
quantity of devices necessary to conduct the market trial as approved
by the Commission.
(e) Licensees are required to ensure that trial devices are either
rendered inoperable or retrieved by them from trial participants at the
conclusion of the trial. Licensees are required to notify trial
participants in advance that operation of the trial device is subject
to this condition.
(f) The size and scope of the experiment are subject to limitations
as the Commission shall establish on a case-by-case basis. If the
Commission subsequently determines that a market trial is not so
limited, the trial shall be immediately terminated.
PART 22--PUBLIC MOBILE SERVICES
15. The authority citation for part 22 continues to read as
follows:
Authority: 47 U.S.C. 154, 222, 303, 309, and 332.
16. Section 22.165 is amended by revising paragraph (d)(2) to read
as follows:
Sec. 22.165 Additional transmitters for existing systems.
* * * * *
(d) * * *
(2) Additional transmitters in the 43 MHz frequency range operate
under experimental authority pursuant to part 5 of this chapter.
* * * * *
Sec. 22.377 [Amended]
17. Remove and reserve paragraph (b) of Sec. 22.377.
Subpart D--[Removed and Reserved]
18. Remove and reserve Subpart D.
19. Section 22.591 is amended by revising the first sentence of
paragraph (a) to read as follows:
Sec. 22.591 Channels for point-to-point operation.
* * * * *
(a) The 72-76 MHz channels may be assigned under experimental
authority pursuant to part 5 of this chapter and the requirements of
Sec. 22.599 (c) and (d). * * *
* * * * *
[[Page 6955]]
20. Section 22.599 is amended by revising paragraph (b) and adding
new paragraphs (c) and (d) to read as follows:
Sec. 22.599 Assignment of 72-76 MHz channels.
* * * * *
(b) 72-76 MHz channels may be assigned for use within 16 kilometers
(10 miles) of a full service TV station transmitting on TV Channel 4 or
5 under an experimental authorization, pursuant to Part 5 of this
chapter. However, for use within 50 meters (164 feet) of a TV station
transmitting on TV Channel 4 or 5, 72-76 MHZ channels may be assigned
under a regular authorization, rather than an experimental
authorization.
(c) Carrier responsibility. Carriers so authorized shall operate
the 72-76 MHz fixed station under experimental authority for a period
of at least six months. During the experimental period, carriers must
resolve any broadcast television receiver interference problems that
may occur as a result of operation of the 72-76 MHz transmitter(s).
(d) Exceptions. The FCC may grant a regular authorization in the
Paging and Radiotelephone Service for a 72-76 MHz fixed station under
the following circumstances:
(1) After six months of operation under experimental authorization,
and provided that broadcast TV interference complaints have been
resolved by the carrier in a satisfactory manner. Licensees that hold
an experimental authorization for a 72-76 MHz fixed station and wish to
request a regular authorization must file an application using FCC Form
601 via the ULS prior to the expiration of the experimental
authorization.
(2) In the case of the assignment of or a transfer of control of a
regular authorization of a 72-76 MHz fixed station in the Paging and
Radiotelephone Service, the FCC may grant such assignment or consent to
such transfer of control provided that the station has been in
continuous operation providing service with no substantial
interruptions.
PART 73--RADIO BROADCAST SERVICES
21. The authority citation for part 73 continues to read as
follows:
Authority: 47 U.S.C. 154, 303, 334, 336 and 339.
Sec. 73.1510 [Removed]
22. Remove Sec. 73.1510.
PART 74--EXPERIMENTAL RADIO, AUXILIARY, SPECIAL BROADCAST AND OTHER
PROGRAM DISTRIBUTIONAL SERVICES
23. The authority citation for part 74 continues to read as
follows:
Authority: 47 U.S.C. 154, 302a, 303, 307, 336(f), 336(h) and
554.
24. Section 74.1 is revised to read as follows:
Sec. 74.1 Scope.
(a) The rules in this subpart are applicable to the Auxiliary and
Special Broadcast and Other Program Distributional Services.
(b) Rules in part 74 which apply exclusively to a particular
service are contained in that service subpart, as follows: Remote
Pickup Broadcast Stations, Subpart D; Aural Broadcast STL and Intercity
Relay Stations, Subpart E; TV Auxiliary Broadcast Stations, Subpart F;
Low-power TV, TV Translator and TV Booster Stations, Subpart G; Low-
power Auxiliary Stations, Subpart H; FM Broadcast Translator Stations
and FM Broadcast Booster Stations, subpart L of this part.
25. Section 74.5 is amended by revising the introductory text to
read as follows:
Sec. 74.5 Cross reference to rules in other parts.
Certain rules applicable to Auxiliary, Special Broadcast and other
Program Distribution services, some of which are also applicable to
other services, are set forth in the following Parts of the FCC Rules
and Regulations:
* * * * *
26. Section 74.15 is amended by removing and reserving paragraph
(a) and revising paragraph (f) to read as follows:
Sec. 74.15 Station license period.
(a) [Reserved]
* * * * *
(f) The license of an FM translator or FM broadcast booster, TV
translator or TV broadcast booster, or low power TV station will expire
as a matter of law upon failure to transmit broadcast signals for any
consecutive 12-month period notwithstanding any provision, term, or
condition of the license to the contrary. Further, if the license of
any AM, FM, or TV broadcasting station licensed under part 73 of this
chapter expires for failure to transmit signals for any consecutive 12-
month period, the licensee's authorizations under part 74, subparts D,
E, F, and H in connection with the operation of that AM, FM, or TV
broadcasting station will also expire notwithstanding any provision,
term, or condition to the contrary.
* * * * *
27. Section 74.16 is revised to read as follows:
Sec. 74.16 Temporary extension of station licenses.
Where there is pending before the Commission any application,
investigation, or proceeding which, after hearing, might lead to or
make necessary the modification of, revocation of, or the refusal to
renew an existing auxiliary broadcast station license or a television
broadcast translator station license, the Commission in its discretion,
may grant a temporary extension of such license: Provided, however,
That no such temporary extension shall be construed as a finding by the
Commission that the operation of any radio station there under will
serve public interest, convenience, and necessity beyond the express
terms of such temporary extension of license: And provided further,
that such temporary extension of license will in no way affect or limit
the action of the Commission with respect to any pending application or
proceeding.
28. Section 74.28 is revised to read as follows:
Sec. 74.28 Additional orders.
In case the rules contained in this part do not cover all phases of
operation with respect to external effects, the FCC may make
supplemental or additional orders in each case as may be deemed
necessary.
Subpart A--[Removed and Reserved]
29. Remove and reserve Subpart A.
30. Section 74.780 is amended by adding the entry ``Part 5--
Experimental Radio Service (including market trials) immediately
following the introductory text, and removing the entry of ``Section
73.1510--Experimental authorizations;'' to read as follows:
Sec. 74.780 Broadcast regulations applicable to translators, low
power, and booster stations.
* * * * *
Part 5--Experimental Radio Service (including market trials).
* * * * *
PART 80--STATIONS IN THE MARITIME SERVICES
31. The authority citation for part 80 continues to read as
follows:
Authority: Secs. 4, 303, 307(e), 309, and 332, 48 Stat. 1066,
1082, as amended; 47 U.S.C. 154, 303, 307(e), 309, and 332, unless
[[Page 6956]]
otherwise noted. Interpret or apply 48 Stat. 1064-1068, 1081-1105,
as amended; 47 U.S.C. 151-155, 301-609; 3 UST 3450, 3 UST 4726, 12
UST 2377.
Sec. 80.25 [Amended]
32. Remove paragraph (c) of Sec. 80.25.
Sec. 80.33 [Removed]
33. Remove Sec. 80.33.
Sec. 80.203 [Amended]
34. Remove and reserve paragraph (j) of Sec. 80.203.
Sec. 80.25 [Amended]
35. Remove paragraph (g) of Sec. 80.211.
36. Section 80.377 is revised to read as follows:
Sec. 80.377 Frequencies for ship earth stations.
The frequency band 1626.5-1645.5 MHz is assignable for
communication operations and radiodetermination and telecommand
messages that are associated with the position, orientation and
operational functions of maritime satellite equipment. The frequency
band 1645.5-1646.5 MHz is reserved for use in the Global Maritime
Distress and Safety System (GMDSS).
Sec. 80.391 [Removed]
37. Remove Sec. 80.391 and the undesignated center heading
preceding the section.
PART 87--AVIATION SERVICES
38. The authority citation for part 87 continues to read as
follows:
Authority: 47 U.S.C. 154, 303 and 307(e), unless otherwise
noted.
39. Section 87.27 is revised to read as follows:
Sec. 87.27 License term.
Licenses for stations in the aviation services will normally be
issued for a term of ten years from the date of original issuance, or
renewal.
Sec. 87.37 [Removed]
40. Remove Sec. 87.37.
PART 90--PRIVATE LAND MOBILE RADIO SERVICES
41. The authority citation for part 90 continues to read as
follows:
Authority: Sections 4(i), 11, 303(g), 303(r), and 332(c)(7) of
the Communications Act of 1934, as amended, 47 U.S.C. 154(i), 161,
303(g), 303(r), 332(c)(7).
Sec. 90.7 [Amended]
42. Section 90.7 is amended by removing the definition for
``Developmental Operation.''
Sec. 90.20 [Amended]
43. Remove and reserve paragraph (e)(3) of Sec. 90.20.
Sec. 90.35 [Amended]
44. Amend Sec. 90.35 as follows:
a. Remove the entry for ``8,400 to 8,500'' from the table in
paragraph (b)(3).
b. Remove and reserve paragraphs (c)(75), (d)(6) and (e)(2) of
Sec. 90.35.
Sec. 90.129 [Amended]
45. Remove and reserve paragraph (f) of Sec. 90.129.
Sec. 90.149 [Amended]
46. Remove paragraph (c) of Sec. 90.149.
Sec. 90.175 [Amended]
47. Remove and reserve paragraph (j)(4) of Sec. 90.175.
Sec. 90.203 [Amended]
48. Remove and reserve paragraph (b)(1) of Sec. 90.203.
Sec. 90.241 [Amended]
49. Remove paragraph (e) of Sec. 90.241.
50. Section 90.250 is amended by revising paragraph (i) to read as
follows:
Sec. 90.250 Meteor burst communications.
* * * * *
(i) Stations employing meteor burst communications shall not cause
interference to other stations operating in accordance with the
allocation table. New authorizations will be issued subject to the
Commission's experimental licensing rules in part 5 of this chapter.
Prior to expiration of the experimental authorization, application Form
601 should be filed for issuance of a permanent authorization.
Subpart Q--[Removed and Reserved]
51. Remove and reserve Subpart Q.
PART 101--FIXED MICROWAVE SERVICES
52. The authority citation for part 101 continues to read as
follows:
Authority: 47 U.S.C. 154, 303.
Sec. 101.21 [Amended]
53. Remove and reserve paragraph (b) of Sec. 101.21.
54. Section 101.129 is amended by revising paragraph (a) to read as
follows:
Sec. 101.129 Transmitter location.
(a) The applicant must determine, prior to filing an application
for a radio station authorization, that the antenna site specified
therein is adequate to render the service proposed. In cases of
questionable antenna locations, it is desirable to conduct propagation
tests to indicate the field intensity which may be expected in the
principal areas or at the fixed points of communication to be served,
particularly where severe shadow problems may be expected. In
considering applications proposing the use of such locations, the
Commission may require site survey tests to be made pursuant to an
experimental license under part 5 of this chapter. In such cases,
propagation tests should be conducted in accordance with recognized
engineering methods and should be made with a transmitting antenna
simulating, as near as possible, the proposed antenna installation.
Full data obtained from such surveys and its analysis, including a
description of the methods used and the name, address and
qualifications of the engineer making the survey, must be supplied to
the Commission.
* * * * *
Subpart F--[Removed and Reserved]
55. Remove and reserve Subpart F of part 101.
[FR Doc. 2011-1377 Filed 2-7-11; 8:45 am]
BILLING CODE 6712-01-P