Telecommunications Code of Federal Regulations

47
Parts 0 to 19
Revised as of October 1, 2002
Telecommunication
Containing a codification of documents

of general applicability and future effect
As of October 1, 2002
With Ancillaries
Published by
the Office of the Federal Register
National Archives and Records
Administration
A Special Edition of the Federal Register
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Table of Contents
Page
Explanation ................................................................................................ v
Title 47:
Chapter I—Federal Communications Commission .......................... 3
Finding Aids:
Material Approved for Incorporation by Reference ............................ 787
Table of CFR Titles and Chapters ....................................................... 789
Alphabetical List of Agencies Appearing in the CFR ......................... 807
List of CFR Sections Affected ............................................................. 817
iii
Cite this Code: CFR
To cite the regulations in

this volume use title,
part and section num-
ber. Thus, 47 CFR 0.1
refers to title 47, part 0,
section 1.
iv
Explanation
The Code of Federal Regulations is a codification of the general and permanent
rules published in the Federal Register by the Executive departments and agen-
cies of the Federal Government. The Code is divided into 50 titles which represent
broad areas subject to Federal regulation. Each title is divided into chapters
which usually bear the name of the issuing agency. Each chapter is further sub-
divided into parts covering specific regulatory areas.
Each volume of the Code is revised at least once each calendar year and issued
on a quarterly basis approximately as follows:
Title 1 through Title 16..............................................................as of January 1
Title 17 through Title 27 .................................................................as of April 1
Title 28 through Title 41 ..................................................................as of July 1
Title 42 through Title 50 .............................................................as of October 1
The appropriate revision date is printed on the cover of each volume.
LEGAL STATUS
The contents of the Federal Register are required to be judicially noticed (44
U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the text
of the original documents (44 U.S.C. 1510).
HOW TO USE THE CODE OF FEDERAL REGULATIONS
The Code of Federal Regulations is kept up to date by the individual issues
of the Federal Register. These two publications must be used together to deter-
mine the latest version of any given rule.
To determine whether a Code volume has been amended since its revision date
(in this case, October 1, 2002), consult the ‘‘List of CFR Sections Affected (LSA),’’
which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ which
appears in the Reader Aids section of the daily Federal Register. These two lists
will identify the Federal Register page number of the latest amendment of any
given rule.
EFFECTIVE AND EXPIRATION DATES
Each volume of the Code contains amendments published in the Federal Reg-
ister since the last revision of that volume of the Code. Source citations for
the regulations are referred to by volume number and page number of the Federal
Register and date of publication. Publication dates and effective dates are usu-
ally not the same and care must be exercised by the user in determining the
actual effective date. In instances where the effective date is beyond the cut-
off date for the Code a note has been inserted to reflect the future effective
date. In those instances where a regulation published in the Federal Register
states a date certain for expiration, an appropriate note will be inserted following
the text.
OMB CONTROL NUMBERS
The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agencies
to display an OMB control number with their information collection request.
Many agencies have begun publishing numerous OMB control numbers as amend-
ments to existing regulations in the CFR. These OMB numbers are placed as
close as possible to the applicable recordkeeping or reporting requirements.
OBSOLETE PROVISIONS
Provisions that become obsolete before the revision date stated on the cover
of each volume are not carried. Code users may find the text of provisions in
effect on a given date in the past by using the appropriate numerical list of
sections affected. For the period before January 1, 2001, consult either the List
of CFR Sections Affected, 1949–1963, 1964–1972, 1973–1985, or 1986–2000, published
in 11 separate volumes. For the period beginning January 1, 2001, a ‘‘List of CFR
Sections Affected’’ is published at the end of each CFR volume.
INCORPORATION BY REFERENCE
What is incorporation by reference? Incorporation by reference was established
by statute and allows Federal agencies to meet the requirement to publish regu-
lations in the Federal Register by referring to materials already published else-
where. For an incorporation to be valid, the Director of the Federal Register
must approve it. The legal effect of incorporation by reference is that the mate-
rial is treated as if it were published in full in the Federal Register (5 U.S.C.
552(a)). This material, like any other properly issued regulation, has the force
of law.
What is a proper incorporation by reference? The Director of the Federal Register
will approve an incorporation by reference only when the requirements of 1 CFR
part 51 are met. Some of the elements on which approval is based are:
(a) The incorporation will substantially reduce the volume of material pub-
lished in the Federal Register.
(b) The matter incorporated is in fact available to the extent necessary to
afford fairness and uniformity in the administrative process.
(c) The incorporating document is drafted and submitted for publication in
accordance with 1 CFR part 51.
Properly approved incorporations by reference in this volume are listed in the
Finding Aids at the end of this volume.
What if the material incorporated by reference cannot be found? If you have any
problem locating or obtaining a copy of material listed in the Finding Aids of
this volume as an approved incorporation by reference, please contact the agency
that issued the regulation containing that incorporation. If, after contacting the
agency, you find the material is not available, please notify the Director of the
Federal Register, National Archives and Records Administration, Washington DC
20408, or call (202) 523–4534.
CFR INDEXES AND TABULAR GUIDES
A subject index to the Code of Federal Regulations is contained in a separate
volume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS.
This volume contains the Parallel Table of Statutory Authorities and Agency
Rules (Table I). A list of CFR titles, chapters, and parts and an alphabetical
list of agencies publishing in the CFR are also included in this volume.
An index to the text of ‘‘Title 3—The President’’ is carried within that volume.
The Federal Register Index is issued monthly in cumulative form. This index
is based on a consolidation of the ‘‘Contents’’ entries in the daily Federal Reg-
ister.
A List of CFR Sections Affected (LSA) is published monthly, keyed to the
revision dates of the 50 CFR titles.
vi
REPUBLICATION OF MATERIAL
There are no restrictions on the republication of material appearing in the
Code of Federal Regulations.
INQUIRIES
For a legal interpretation or explanation of any regulation in this volume,
contact the issuing agency. The issuing agency’s name appears at the top of
odd–numbered pages.
For inquiries concerning CFR reference assistance, call 202–741–6000 or write
to the Director, Office of the Federal Register, National Archives and Records
Administration, Washington, DC 20408 or e-mail info@fedreg.nara.gov.
SALES
The Government Printing Office (GPO) processes all sales and distribution of
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512–1800, M–F, 8 a.m. to 4 p.m. e.s.t. or fax your order to 202–512–2250, 24 hours
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ELECTRONIC SERVICES
The full text of the Code of Federal Regulations, The United States Govern-
ment Manual, the Federal Register, Public Laws, Public Papers, Weekly Compila-
tion of Presidential Documents and the Privacy Act Compilation are available
in electronic format at www.access.gpo.gov/nara (‘‘GPO Access’’). For more infor-
mation, contact Electronic Information Dissemination Services, U.S. Govern-
ment Printing Office. Phone 202–512–1530, or 888–293–6498 (toll–free). E–mail,
gpoaccess@gpo.gov.
The Office of the Federal Register also offers a free service on the National
Archives and Records Administration’s (NARA) World Wide Web site for public
law numbers, Federal Register finding aids, and related information. Connect
to NARA’s web site at www.nara.gov/fedreg. The NARA site also contains links
to GPO Access.
RAYMOND A. MOSLEY,
Director,
Office of the Federal Register.
October 1, 2002.
vii
THIS TITLE
Title 47—TELECOMMUNICATION is composed of five volumes. The parts in these

volumes are arranged in the following order: Parts 0–19, parts 20–39, parts 40–
69, parts 70–79, and part 80 to end, chapter I—Federal Communications Commis-
sion. The last volume, part 80 to end, also includes chapter II—Office of Science
and Technology Policy and National Security Council, and chapter III—National
Telecommunications and Information Administration, Department of Commerce.
The contents of these volumes represent all current regulations codified under
this title of the CFR as of October 1, 2002.
Part 73 contains a numerical designation of FM broadcast channels (§ 73.201)

and a table of FM allotments designated for use in communities in the United
States, its territories, and possessions (§ 73.202). Part 73 also contains a numerical
designation of television channels (§ 73.603) and a table of allotments which con-
tain channels designated for the listed communities in the United States, its
territories, and possessions (§ 73.606).
The OMB control numbers for the Federal Communications Commission, ap-
pear in § 0.408 of chapter I. For the convenience of the user § 0.408 is reprinted
in the Finding Aids section of the second through fifth volumes.
ix
x
CFRORDR.FRM</GPH>
Title 47—
Telecommunication
(This book contains parts 0 to 19)
Part
CHAPTER I—FEDERAL COMMUNICATIONS COMMISSION ............... 0
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CHAPTER I—FEDERAL COMMUNICATIONS
COMMISSION
SUBCHAPTER A—GENERAL
Part Page
0 Commission organization ........................................ 5
1 Practice and procedure ........................................... 90
2 Frequency allocations and radio treaty matters;
general rules and regulations ............................... 376
3 Authorization and administration of accounting
authorities in maritime and maritime mobile-
satellite radio services ......................................... 613
5 Experimental radio service (other than broadcast) 623
6 Access to telecommunications service, tele-
communications equipment and customer prem-
ises equipment by persons with disabilities ......... 634
7 Access to voicemail and interactive menu services
and equipment by people with disabilities ........... 640
11 Emergency Alert System (EAS) .............................. 646
13 Commercial radio operators .................................... 665
15 Radio frequency devices .......................................... 674
17 Construction, marking, and lighting of antenna
structures ............................................................. 763
18 Industrial, scientific, and medical equipment ........ 771
19 Employee responsibilities and conduct ................... 778
SUPPLEMENTAL PUBLICATIONS:
Annual Reports of the FCC to Congress.
FCC Record of Orders and Decisions.
Communications Act of 1934 (with amendments and index thereto), Recap. Version to May 1989.
Study Guide and Reference Material for Commercial Radio Operator Examinations, May 1987 edi-
tion.
SUBCHAPTER A—GENERAL
PART 0—COMMISSION OFFICE OF ADMINISTRATIVE LAW JUDGES

ORGANIZATION 0.151 Functions of the Office.
DEFENSE AND EMERGENCY PREPAREDNESS

Subpart A—Organization FUNCTIONS
GENERAL 0.181 The Defense Commissioner.
Sec. 0.182 Chief, Enforcement Bureau.
0.1 The Commission. 0.185 Responsibilities of the bureaus and
0.3 The Chairman. staff offices.
0.5 General description of Commission orga- 0.186 Emergency Relocation Board.
nization and operations.
Subpart B—Delegations of Authority
OFFICE OF MANAGING DIRECTOR
0.11 Functions of the Office. GENERAL
0.201 General provisions.
OFFICE OF INSPECTOR GENERAL
0.203 Authority of person, panel, or board to
0.13 Functions of the Office. which functions are delegated.
0.204 The exercise of delegated authority.
OFFICE OF MEDIA RELATIONS
0.15 Functions of the Office. COMMISSIONERS
0.211 Chairman.
OFFICE OF LEGISLATIVE AFFAIRS
0.212 Board of Commissioners.
0.17 Functions of the Office. 0.218 Authority of, and delegated to, an in-
dividual Commissioner or Commis-
OFFICE OF PLANS AND POLICY sioners.
0.21 Functions of the Office.
MANAGING DIRECTOR
OFFICE OF ENGINEERING AND TECHNOLOGY 0.231 Authority delegated.
0.31 Functions of the Office.
CHIEF ENGINEER
OFFICE OF GENERAL COUNSEL
0.241 Authority delegated.
0.41 Functions of the Office. 0.247 Record of actions taken.
INTERNATIONAL BUREAU GENERAL COUNSEL
0.51 Functions of the Bureau 0.251 Authority delegated.
MEDIA BUREAU INTERNATIONAL BUREAU
0.61 Functions of the Bureau. 0.261 Authority delegated.
0.262 Record of actions taken.
OFFICE OF WORKPLACE DIVERSITY
0.81 Functions of the Office. OFFICE OF PLANS AND POLICY
WIRELINE COMPETITION BUREAU 0.271 Authority delegated.
0.91 Functions of the Bureau. CHIEF, MEDIA BUREAU
CABLE SERVICES BUREAU 0.283 Authority delegated.

0.284 Actions taken under delegated author-
0.101 [Reserved] ity.
ENFORCEMENT BUREAU
0.111 Functions of the Bureau. CHIEF, WIRELINE COMPETITION BUREAU
0.121 Location of field installations. 0.291 Authority delegated.
WIRELESS TELECOMMUNICATIONS BUREAU 0.301 [Reserved]
0.131 Functions of the Bureau. 0.303 Authority concerning registration of
telephone terminal equipment.
CONSUMER AND GOVERNMENTAL AFFAIRS
0.304 Authority for determinations of ex-
BUREAU
empt telecommunications company sta-
0.141 Functions of the Bureau. tus.
Pt. 0 47 CFR Ch. I (10–1–02 Edition)
ENFORCEMENT BUREAU 0.422 Current action documents and public
notices.
0.423 Information bulletins.
0.314 Additional authority delegated.
0.317 Record of action taken. LISTS CONTAINING INFORMATION COMPILED BY
THE COMMISSION
WIRELESS TELECOMMUNICATIONS BUREAU
0.331 Authority delegated. 0.431 The FCC service frequency lists.
0.332 Actions taken under delegated author- 0.434 Data bases and lists of authorized
ity. broadcast stations and pending broadcast
0.333–0.337 [Reserved] applications.
ADMINISTRATIVE LAW JUDGES PUBLIC INFORMATION AND INSPECTION OF

RECORDS
0.341 Authority of administrative law judge.
0.347 Record of actions taken. 0.441 General.
0.442 Disclosure to other Federal govern-
CHIEF ADMINISTRATIVE LAW JUDGE ment agencies of information submitted
0.351 Authority delegated. to the Commission in confidence.
0.357 Record of actions taken. 0.445 Publication, availability and use of
opinions, orders, policy statements, in-
CONSUMER AND GOVERNMENTAL AFFAIRS terpretations, administrative manuals,
BUREAU and staff instructions.
0.451 Inspection of records: Generally.
0.453 Public reference rooms.
NATIONAL SECURITY AND EMERGENCY 0.455 Other locations at which records may
PREPAREDNESS DELEGATIONS be inspected.
0.457 Records not routinely available for
0.381 Defense Commissioner. public inspection.
0.383 Emergency Relocation Board, author- 0.458 Nonpublic information.
ity delegated. 0.459 Requests that materials or informa-
0.387 Other national security and emer- tion submitted to the Commission be
gency preparedness delegations; cross withheld from public inspection.
reference. 0.460 Requests for inspection of records
OFFICE OF WORKPLACE DIVERSITY which are routinely available for public
inspection.
0.391 Authority delegated. 0.461 Requests for inspection of materials
not routinely available for public inspec-
Subpart C—General Information tion.
0.463 Demand by competent authority for
GENERAL
the production of documents or testi-
0.401 Location of Commission offices. mony concerning information contained
0.403 Office hours. therein.
0.405 Statutory provisions. 0.465 Request for copies of materials which
0.406 The rules and regulations. are available, or made available, for pub-
0.408 OMB control numbers and expiration lic inspection.
dates assigned pursuant to the Paper- 0.466 Definitions.
work Reduction Act of 1995. 0.467 Search and review fees.
0.409 Commission policy on private printing 0.468 Interest.
of FCC forms. 0.469 Advance payments.
0.470 Assessment of fees.
PRINTED PUBLICATIONS
0.411 General reference materials. PLACES FOR MAKING SUBMITTALS OR RE-
0.413 The Commission’s printed publica- QUESTS, FOR FILING APPLICATIONS, AND FOR
tions. TAKING EXAMINATIONS
0.414 The Communications Act and other 0.471 Miscellaneous submittals or requests.
statutory materials. 0.473 Reports of violations.
0.415 The rules and regulations (looseleaf 0.475 Applications for employment.
service). 0.481 Place of filing applications for radio
0.416 The Federal Communications Commis- authorizations.
sion Record. 0.482 Application for waiver of wireless
0.417 The Annual Reports. radio service rules.
0.420 Other Commission publications. 0.483 Applications for amateur or commer-
cial radio operator licenses.
FORMS AND DOCUMENTS AVAILABLE UPON
0.484 Amateur radio operator examinations.
REQUEST
0.485 Commercial radio operator examina-
0.421 Application forms. tions.
Federal Communications Commission § 0.5
0.489 Applications for ship radio inspection GENERAL
and periodical survey.
0.491 Application for exemption from com- § 0.1 The Commission.
pulsory ship radio requirements.
The Federal Communications Com-
0.493 Non-radio common carrier applica-
tions. mission is composed of five (5) mem-
bers who are appointed by the presi-
Subpart D—Mandatory Declassification of dent subject to confirmation by the
National Security Information Senate. Normally, one Commissioner is
appointed or reappointed each year, for
0.501 General. a term of five (5) years.
0.502 Purpose.
0.503 Submission of requests for mandatory [53 FR 29054, Aug. 2, 1988]
declassification review.
0.504 Processing requests for declassifica- § 0.3 The Chairman.
tion. (a) One of the members of the Com-
0.505 Fees and charges. mission is designated by the President
0.506 FOIA and Privacy Act requests. to serve as Chairman, or chief execu-
tive officer, of the Commission. As
Subpart E—Privacy Act Regulations
Chairman, he has the following duties
0.551 Purpose and scope; definitions. and responsibilities:
0.552 Notice identifying Commission sys- (1) To preside at all meetings and ses-
tems of records. sions of the Commission.
0.553 New uses of information. (2) To represent the Commission in
0.554 Procedures for requests pertaining to all matters relating to legislation and
individual records in a system of records. legislative reports; however, any other
0.555 Disclosure of record information to in- Commissioner may present his own or
dividuals.
minority views or supplemental re-
0.556 Request to correct or amend records.
0.557 Administrative review of an initial de-
ports.
cision not to amend a record. (3) To represent the Commission in
0.558 Advice and assistance. all matters requiring conferences or
0.559 Disclosure of disputed information to communications with other govern-
persons other than the individual to mental officers, departments or agen-
whom it pertains. cies.
0.560 Penalty for false representation of (4) To coordinate and organize the
identity. work of the Commission in such a man-
0.561 Exemptions. ner as to promote prompt and efficient
disposition of all matters within the
Subpart F—Meeting Procedures
jurisdiction of the Commission.
0.601 Definitions. (b) The Commission will, in the case
0.602 Open meetings. of a vacancy in the Office of the Chair-
0.603 Bases for closing a meeting to the pub- man of the Commission, or in the ab-
lic. sence or inability of the Chairman to
0.605 Procedures for announcing meetings. serve, temporarily designate one of its
0.606 Procedures for closing a meeting to members to act as Chairman until the
the public. cause or circumstance requiring such
0.607 Transcript, recording or minutes;
designation has been eliminated or cor-
availability to the public.
rected.
Subpart G—Intergovernmental [32 FR 10569, July 19, 1967]
Communication
§ 0.5 General description of Commis-
0.701 Local and State Government Advisory sion organization and operations.
Committee.
(a) Principal staff units. The Commis-
AUTHORITY: Sec. 5, 48 Stat. 1068, as amend- sion is assisted in the performance of
ed; 47 U.S.C. 155, 225, unless otherwise noted.
its responsibilities by its staff, which is
divided into the following principal
Subpart A—Organization units:
(1) Office of Managing Director.
AUTHORITY: Secs. 5, 48 Stat. 1068, as amend- (2) Office of Engineering and Tech-
ed; 47 U.S.C. 155. nology.
§ 0.11 47 CFR Ch. I (10–1–02 Edition)
(3) Office of General Counsel. ters warranting the Commission’s con-

(4) Office of Plans and Policy. sideration, and the Commission may
(5) Office of Media Relations. instruct the staff to do so.
(6) Office of Legislative Affairs. (d) Commission action. Matters requir-
(7) Office of Inspector General. ing Commission action, or warranting
(8) Office of Communications Busi- its consideration, are dealt with by the
ness Opportunities. Commission at regular monthly meet-
(9) Office of Administrative Law ings, or at special meetings called to
Judges. consider a particular matter. Meetings
(10) Office of Workplace Diversity are normally held at the principal of-
(11) Wireline Competition Bureau. fices of the Commission in the District
(12) Wireless Telecommunications of Columbia, but may be held elsewhere
Bureau. in the United States. In appropriate
(13) International Bureau. circumstances, Commission action
(14) Media Bureau. may be taken between meetings ‘‘by
(15) Enforcement Bureau. circulation’’, which involves the sub-
(16) Consumer and Governmental Af- mission of a document to each of the
fairs Bureau. Commissioners for his approval.
(b) Staff responsibilities and func- (Secs. 4(i), 303(r) and 5(c)(i), Communications
tions. The organization and functions Act of 1934, as amended; 47 CFR 0.61 and
of these major staff units are described 0.283)
in detail in §§ 0.11 through 0.151. The de-
[32 FR 10569, July 19, 1967, as amended at 62
fense and emergency preparedness FR 4170, Jan. 29, 1997]
functions of the Commission are set
forth separately, beginning at § 0.181. EDITORIAL NOTE: For FEDERAL REGISTER ci-
tations affecting § 0.5, see the List of CFR
For a complete description of staff
Sections Affected, which appears in the
functions, reference should be made to Finding Aids section of the printed volume
those provisions. (See also the U.S. and on GPO Access.
Government Organization Manual,
which contains a chart showing the OFFICE OF MANAGING DIRECTOR
Commission’s organization, the names
of the members and principal staff offi- § 0.11 Functions of the Office.
cers of the Commission, and other in- (a) The Managing Director is ap-
formation concerning the Commis- pointed by the Chairman with the ap-
sion.) proval of the Commission. Under the
(c) Delegations of authority to the staff. supervision and direction of the Chair-
Pursuant to section 5(c) of the Commu- man, the Managing Director shall serve
nications Act, the Commission has del- as the Commission’s chief operating
egated authority to its staff to act on and executive official with the fol-
matters which are minor or routine or lowing duties and responsibilities:
settled in nature and those in which (1) Provide managerial leadership to
immediate action may be necessary. and exercise supervision and direction
See subpart B of this part. Actions over the Commission’s Bureaus and Of-
taken under delegated authority are fices with respect to management and
subject to review by the Commission, administrative matters but not sub-
on its own motion or on an application stantive regulatory matters such as
for review filed by a person aggrieved regulatory policy and rule making, au-
by the action. Except for the possi- thorization of service, administration
bility of review, actions taken under of sanctions, and adjudication.
delegated authority have the same (2) Formulate and administer all
force and effect as actions taken by the management and administrative poli-
Commission. The delegation of author- cies, programs, and directives for the
ity to a staff officer, however, does not Commission consistent with authority
mean that he will exercise that author- delegated by the Commission and the
ity in all matters subject to the delega- Chairman and recommend to the Chair-
tion. In non-hearing matters, the staff man and the Commission major
is at liberty to refer any matter at any changes in such policies and programs.
stage to the Commission for action, (3) Assist the Chairman in carrying
upon concluding that it involves mat- out the administrative and executive
responsibilities delegated to the Chair- (b) The Secretary is the official cus-
man as the administrative head of the todian of the Commission’s documents.
agency. (Secs. 4, 303, 307, 48 Stat., as amended, 1066,
(4) Advise the Chairman and Commis- 1082, 1083; 47 U.S.C. 154, 303, 307)
sion on management, administrative, [46 FR 59975, Dec. 8, 1981, as amended at 47
and related matters; review and evalu- FR 41380, Sept. 20, 1982; 49 FR 45583, Nov. 19,
ate the programs and procedures of the 1984; 50 FR 27953, July 9, 1985; 53 FR 29054,
Commission; initiate action or make Aug. 2, 1988; 53 FR 47536, Nov. 23, 1988; 54 FR
recommendations as may be necessary 152, Jan. 4, 1989; 59 FR 26971, May 25, 1994; 60
to administer the Communications Act FR 5323, Jan. 27, 1995; 62 FR 15853, Apr. 3,
1997; 62 FR 51052, Sept. 30, 1997; 67 FR 13217,
most effectively in the public interest. Mar. 21, 2002]
Assess the management, administra-
tive, and resource implications of any OFFICE OF INSPECTOR GENERAL
proposed action or decision to be taken
by the Commission or by a Bureau or § 0.13 Functions of the Office.
Office under delegated authority; rec- The Office of Inspector General is di-
ommend to the Chairman and Commis- rectly responsible to the Chairman as
sion program priorities, resource and head of the agency. However, the
position allocations, management, and Chairman may not prevent or prohibit
administrative policies. the Office of Inspector General from
(5) Plan and administer the Commis- carrying out its duties and responsibil-
sions performance review system. As- ities as mandated by the Inspector
sure that objections, priorities, and ac- General Act Amendments of 1988 (Pub.
tion plans established by Bureau and L. 100–504) and the Inspector General
Offices are consistent with overall Act of 1978 (5 U.S.C. Appendix 3), as
amended. The Office has the following
Commission objectives and priorities.
duties and responsibilities.
(6) Plan and administer the Commis- (a) Provide policy direction for and
sion’s Program Evaluation System. En- to conduct, supervise and coordinate
sure that evaluation results are uti- audits and investigations relating to
lized in Commission decision-making the programs and operations of the
and priority-setting activities. Federal Communications Commission.
(7) Direct agency efforts to improve (b) Review existing and proposed leg-
management effectiveness, operational islation and regulations relating to
efficiency, employee productivity, and programs and operations of the Com-
service to the public. Administer Com- mission and to make recommendations
mission-wide management programs. in its required semiannual reports to
(8) Plan and manage the administra- Congress concerning the impact of such
tive affairs of the Commission with re- legislation or regulations on the econ-
spect to the functions of personnel and omy and efficiency in the administra-
position management; labor-manage- tion of these programs and operations,
ment relations; training; budget and fi- or the prevention and detection of
nancial management; information fraud and abuse in such programs and
management and processing; organiza- operations.
tion planning; management analysis; (c) Recommend policies and conduct
or coordinate other activities to pro-
procurement; office space management
mote economy and efficiency in the ad-
and utilization; administrative and of-
ministration of Commission programs,
fice services; supply and property man-
or detect and prevent fraud and abuse
agement; records management; per- in Commission activities. Coordinate
sonnel and physical security; and inter- with other governmental agencies and
national telecommunications settle- non-governmental entities on these
ments. matters.
(9) [Reserved] (d) Keep the Chairman of the Com-
(10) With the concurrence of the Gen- mission—and through him the other
eral Counsel, interpret rules and regu- Commissioners—and the Congress fully
lations pertaining to fees. and currently informed concerning
§ 0.15 47 CFR Ch. I (10–1–02 Edition)
fraud and other serious problems, OFFICE OF LEGISLATIVE AFFAIRS

abuses, and deficiencies relating to the
administration of Commission pro- § 0.17 Functions of the Office.
grams and operations; recommend cor- The Office of Legislative Affairs is di-
rective action and report on the rectly responsible to the Commission.
progress made in implementing such The Office has the following duties and
corrective action. In addition to pro- responsibilities:
viding the Chairman with the results of (a) Advise and make recommenda-
completed audits and inspections, the tions to the Commission with respect
Inspector General shall prepare statu- to legislation proposed by members of
torily required reports, identified as Congress or the Executive Branch and
coordinate the preparation of Commis-
such, to include:
sion views thereon for submission to
(1) Semiannual reports summarizing
Congress or the Executive Branch.
activities of the office during the pre- (b) Coordinate with the Office of Gen-
ceding six month period (due to the eral Counsel responses to Congres-
Chairman by April 30 and October 31); sional or Executive Branch inquiries as
(2) Special reports specifically identi- to the local ramifications of Commis-
fying any serious or flagrant problems, sion policies, regulations, rules, and
abuses or deficiencies (due to the statutory interpretations.
Chairman immediately upon discovery (c) Assist the Office of the Managing
of these matters by the Inspector Gen- Director in preparation of the annual
eral). report to Congress, the Commission
budget and appropriations legislation
[54 FR 15194, Apr. 17, 1989]
to Congress; assist the Office of Media
OFFICE OF MEDIA RELATIONS Relations in preparation of the Com-
mission’s Annual Report.
§ 0.15 Functions of the Office. (d) Assist the Chairman and Commis-
sioners in preparation for, and the co-
(a) Enhance public understanding of ordination of their appearances before
and compliance with the Commission’s the Committees of Congress.
regulatory requirements through dis- (e) Coordinate the annual Commis-
semination of information to the news sion legislative program.
media. (f) Coordinate Commission and staff
(b) Act as the principal channel for responses to inquiries by individual
communicating information to the members of Congress, congressional
news media on Commission policies, committees and staffs.
programs, and activities. (g) Coordinate with the Consumer
(c) Advise the Commission on infor- and Governmental Affairs Bureau on
mation dissemination as it affects liai- issues involving informal consumer
son with the media. complaints and other general inquiries
by consumers.
(d) Manage the FCC’s Internet site
and oversee the agency’s Web stand- [52 FR 42438, Nov. 5, 1987, as amended at 64
ards and guidelines. FR 60716, Nov. 8, 1999; 67 FR 13217, Mar. 21,
2002]
(e) Maintain liaison with the Con-
sumer and Governmental Affairs Bu- OFFICE OF PLANS AND POLICY
reau on press and media issues con-
cerning consumer assistance and infor- § 0.21 Functions of the Office.
mation including informal consumer The Office of Plans and Policy, as a
complaints. staff office to the Commission, assists,
(f) Manage the FCC’s audio/visual advises and makes recommendations to
support services and maintain liaison the Commission with respect to the de-
with outside parties regarding the velopment and implementation of com-
broadcast of Commission proceedings. munications policies in all areas of
Commission authority and responsi-
[64 FR 60716, Nov. 8, 1999, as amended at 67
bility. A principal function of the Of-
FR 13217, Mar. 21, 2002; 67 FR 46112, July 12,
2002]
fice is to conduct independent policy
analyses to assess the long-term effects
10
of alternative Commission policies on (j) To help ensure that FCC policy en-
domestic and international commu- courages and promotes competitive
nication industries and services, with market structures by providing bu-
due consideration of the responsibil- reaus and offices with the necessary
ities and programs of other staff units, support to identify, evaluate, and effec-
and to recommend appropriate Com- tively and consistently resolve com-
mission action. The Office is also re- petitiveness issues.
sponsible for coordinating the policy [38 FR 17005, June 28, 1973, as amended at 45
research and development activities of FR 25400, Apr. 15, 1980; 51 FR 12615, Apr. 14,
other staff units, with special concern 1986; 60 FR 5323, Jan. 27, 1995; 64 FR 5950, Feb.
for matters which transcend their indi- 8, 1999]
vidual areas of responsibility. The Of-
fice is composed of legal, engineering, OFFICE OF ENGINEERING AND
economic, and sociological policy ana- TECHNOLOGY
lysts and other personnel, and is head-
§ 0.31 Functions of the Office.
ed by a chief having the following du-
ties and responsibilities: The Office of Engineering and Tech-
(a) To identify and define significant nology has the following duties and re-
communications policy issues in all sponsibilities:
areas of Commission interest and re- (a) To evaluate evolving technology
sponsibility; for interference potential and to sug-
(b) To conduct technical, economic, gest ways to facilitate its introduction
and sociological impact studies of ex- in response to Bureau initiatives, and
isting and proposed communications advise the Commission and staff offices
policies and operations, including coop- in such matters.
erative studies with other staff units (b) Represent the Commission at var-
and consultant and contract efforts as ious national conferences and meetings
appropriate; (and, in consultation with the Inter-
national Bureau, at various inter-
(c) To develop and evaluate alter-
national conferences and meetings) de-
native policy options and approaches
voted to the progress of communica-
for consideration by the Commission;
tions and the development of technical
(d) To review and comment on all sig- and other information and standards,
nificant actions proposed to be taken and serve as Commission coordinator
by the Commission in terms of their for the various national conferences
overall policy implications; when appropriate.
(e) To recommend and evaluate gov- (c) To conduct scientific and tech-
ernmental (state and federal), aca- nical studies in advanced phases of ter-
demic, and industry sponsored research restrial and space communications,
affecting Commission policy issues; and special projects to obtain theo-
(f) To prepare briefings, position pa- retical and experimental data on new
pers, proposed Commission actions, or or improved techniques.
other agenda items as appropriate; (d) To advise the Commission con-
(g) To manage the Commission’s pol- cerning engineering matters, including
icy research program, recommend the privacy and security of commu-
budget levels and priorities for this nications, involved in making or imple-
program, and serve as central account menting policy or in resolving specific
manager for all contractual policy re- cases.
search studies funded by the Commis- (e) To develop and implement proce-
sion; dures to acquire, store, and retrieve
(h) To coordinate the formation and scientific and technical information
presentation of Commission positions useful in the engineering work of the
in communications policy; represent Commission.
the Commission at appropriate discus- (f) To advise and represent the Com-
sions and conferences. mission on frequency allocation and
(i) Develop and recommend proce- spectrum usage matters.
dures and plans for the effective han- (g) To render, in cooperation with the
dling of policy issues within the Com- General Counsel and the Office of Plans
mission. and Policy, advice to the Commission,
11
§ 0.41 47 CFR Ch. I (10–1–02 Edition)
participate in and coordinate staff (a) To advise and represent the Com-
work with respect to general frequency mission in matters of litigation.
allocation proceedings and other pro- (b) To advise and make recommenda-
ceedings not within the jurisdiction of tions to the Commission with respect
any single bureau, and render service to proposed legislation and submit
and advice with respect to rule making agency views on legislation when ap-
matters and proceedings affecting propriate.
more than one Bureau. (c) To interpret the statutes, inter-
(h) To collaborate with and advise national agreements, and international
other Bureaus and Offices in the formu- regulations affecting the Commission.
lation of technical requirements of the (d) To prepare and make rec-
Rules. ommendations and interpretations con-
(i) To administer parts 2, 5, 15, and 18 cerning procedural rules of general ap-
of this chapter, including licensing, plicability and to review all rules for
recordkeeping, and rule making. consistency with other rules, uni-
(j) To perform all engineering and formity, and legal sufficiency.
management functions of the Commis- (e) To conduct research in legal mat-
sion with respect to formulating rules ters as directed by the Commission.
and regulations, technical standards, (f) In cooperation with the Office of
and general policies for parts 15, 18 and Engineering and Technology, to par-
§ 63.100 of this chapter, and for type ap- ticipate in, render advice to the Com-
proval and acceptance, and certifi- mission, and coordinate the staff work
cation of radio equipment for compli- with respect to general frequency allo-
ance with the Rules. cation proceedings and other pro-
(k) To maintain liaison with other ceedings not within the jurisdiction of
agencies of government, technical ex- any single bureau, and to render advice
perts representing foreign govern- with respect to rule making matters
ments, and members of the public and and proceedings affecting more than
industry concerned with communica- one bureau.
tions and frequency allocation and (g) To exercise such authority as may
usage. be assigned or referred to it by the
(l) To calibrate and standardize tech- Commission pursuant to section 5(c) of
nical equipment and installations used the Communications Act of 1934, as
by the Commission. amended.
(m) To exercise authority as may be (h) To cooperate with the Inter-
assigned or referred by the Commission national Bureau on all matters per-
pursuant to section 5(c) of the Commu- taining to space satellite communica-
nications Act of 1934, as amended. tions.
(n) To assist the Consumer and Gov- (i) To interpret statutes and execu-
ernmental Affairs Bureau on issues in- tive orders affecting the Commission’s
volving informal consumer complaints national defense responsibilities, and
and other general inquiries by con- to perform such functions involving
sumers. implementation of such statutes and
executive orders as may be assigned to
(Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317,
48 Stat., as amended, 1064, 1065, 1066, 1068,
it by the Commission or the Defense
1081, 1082, 1083, 1084, 1085, 1088, 1089; 47 U.S.C. Commissioner.
152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317) (j) To perform all legal functions
with respect to leases, contracts, tort
[45 FR 28718, Apr. 30, 1980, as amended at 46
FR 45342, Sept. 11, 1981; 51 FR 12615, Apr. 14,
claims and such other internal legal
1986; 60 FR 5323, Jan. 27, 1995; 62 FR 4170, Jan. problems as may arise.
29, 1997; 63 FR 37499, July 13, 1998; 64 FR 60716, (k) To issue determinations on mat-
Nov. 8, 1999; 67 FR 13217, Mar. 21, 2002] ters regarding the interception and re-
cording of telephone conversations by
OFFICE OF GENERAL COUNSEL Commission personnel. Nothing in this
paragraph, however, shall affect the
§ 0.41 Functions of the Office. authority of the Inspector General to
The Office of the General Counsel has intercept or record telephone conversa-
the following duties and responsibil- tions as necessary in the conduct of in-
ities: vestigations or audits.
12
(l) To advise the Commission in the domestic and international satellite

preparation and revision of rules and systems, and international broadcast
the implementation and administra- services;
tion of ethics regulations and the Free- (d) To monitor compliance with the
dom of Information, Privacy, Govern- terms and conditions of authorizations
ment in the Sunshine and Alternative and licenses granted by the Bureau,
Dispute Resolution Acts. and to pursue enforcement actions in
(m) To assist and make recommenda- conjunction with appropriate bureaus
tions to the Commission, and to indi- and offices;
vidual Commissioners assigned to re- (e) To represent the Commission on
view initial decisions, as to the disposi- international telecommunications
tion of cases of adjudication and such matters at both domestic and inter-
other cases as, by Commission policy, national conferences and meetings, and
are handled in the same manner and to direct and coordinate the Commis-
which have been designated for hear- sion’s preparation for such conferences
ing.
and meetings;
(n) To serve as the principal oper-
ating office on ex parte matters involv- (f) To serve as the single focal point
ing restricted proceedings. To review within the Commission for cooperation
and dispose of all ex parte communica- and consultation on international tele-
tions received from the public and oth- communications matters with other
ers. Federal agencies, international or for-
eign organizations, and appropriate
(Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317, regulatory bodies and officials of for-
48 Stat., as amended, 1064, 1065, 1066, 1068, eign governments;
1081, 1082, 1083, 1084, 1085, 1088, 1089; 47 U.S.C.
152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317) (g) To develop, coordinate with other
Federal agencies, and administer the
[28 FR 12392, Nov. 22, 1963; 37 FR 19372, Sept. regulatory assistance and training pro-
20, 1972, as amended at 40 FR 17253, Apr. 18,
grams for foreign administrations to
1975; 43 FR 29006, July 5, 1978; 44 FR 39179,
July 5, 1979; 46 FR 57050, Nov. 20, 1981; 49 FR promote telecommunications develop-
47604, Dec. 6, 1984; 50 FR 2985, Jan. 23, 1985; 50 ment;
FR 49048, Nov. 29, 1985; 51 FR 12615, Apr. 14, (h) To provide advice and technical
1986; 60 FR 5323, Jan. 27, 1995; 60 FR 34901, assistance to U.S. trade officials in the
July 5, 1995; 62 FR 4170, Jan. 29, 1997; 62 FR negotiation and implementation of
15853, Apr. 3, 1997; 64 FR 5950, Feb. 8, 1999; 64 telecommunications trade agreements,
FR 57585, Oct. 26, 1999]
and consult with other bureaus and of-
INTERNATIONAL BUREAU fices as appropriate;
(i) To conduct economic, legal, tech-
§ 0.51 Functions of the Bureau. nical, statistical, and other appropriate
The International Bureau has the fol- studies, surveys, and analyses in sup-
lowing duties and responsibilities: port of international telecommuni-
(a) To initiate and direct the develop- cations policies and programs.
ment and articulation of international (j) To collect and disseminate within
telecommunications policies, con- the Commission information and data
sistent with the priorities of the Com- on international telecommunications
mission; policies, regulatory and market devel-
(b) To advise the Chairman and Com- opments in other countries, and inter-
missioners on matters of international national organizations;
telecommunications policy, and on the (k) To work with the Office of Legis-
adequacy of the Commission’s actions lative Affairs to coordinate the Com-
to promote the vital interests of the mission’s activities on significant mat-
American public in international com- ters of international policy with appro-
merce, national defense, and foreign priate Congressional offices;
policy; (l) To promote the international co-
(c) To develop, recommend, and ad- ordination of spectrum allocations and
minister policies, rules, standards, and frequency and orbital assignments so
procedures for the authorization and as to minimize cases of international
regulation of international tele- radio interference involving U.S. li-
communications facilities and services, censees;
13
§ 0.61 47 CFR Ch. I (10–1–02 Edition)
(m) To direct and coordinate, in con- and licensing programs for the regula-
sultation with other bureaus and of- tion of media, including cable tele-
fices as appropriate, negotiation of vision, broadcast television and radio,
international agreements to provide and satellite services in the United
for arrangements and procedures for States and its territories. The Bureau
coordination of radio frequency assign- advises and recommends to the Com-
ments to prevent or resolve inter- mission, or acts for the Commission
national radio interference involving under delegated authority, in matters
U.S. licensees; pertaining to multichannel video pro-
(n) To ensure fulfillment of the Com- gramming distribution, broadcast radio
mission’s responsibilities under inter-
and television, direct broadcast sat-
national agreements and treaty obliga-
ellite service policy, and associated
tions, and, consistent with Commission
matters. The Bureau will, among other
policy, to ensure that the Commis-
sion’s regulations, procedures, and fre- things:
quency allocations comply with the (a) Process applications for author-
mandatory requirements of all applica- ization, assignment, transfer and re-
ble international and bilateral agree- newal of media services, including AM,
ments; FM, TV, the cable TV relay service,
(o) To oversee and, as appropriate, and related services.
administer activities pertaining to the (b) Conduct rulemaking proceedings
international consultation, coordina- concerning the legal, engineering, and
tion, and notification of U.S. frequency economic aspects of media service.
and orbital assignments, including ac- (c) Conduct comprehensive studies
tivities required by bilateral agree- and analyses concerning the legal, en-
ments, the international Radio Regula- gineering, and economic aspects of
tions, and other international agree- electronic media services.
ments; (d) Administer and enforce rules and
(p) To advise the Chairman on prior- policies regarding equal employment
ities for international travel and de-
opportunity.
velop, coordinate, and administer the
(e) Administer and enforce rules and
international travel plan;
(q) To exercise authority to issue policies regarding political program-
non-hearing related subpoenas for the ming and related matters.
attendance and testimony of witnesses (f) Administer and enforce rules and
and the production of books, papers, policies regarding:
correspondence, memoranda, schedules (1) Radio and television broadcast in-
of charges, contracts, agreements, and dustry services;
any other records deemed relevant to (2) Cable television systems, opera-
the investigation of matters within the tors, and services, including those re-
jurisdiction of the International Bu- lating to rates, technical standards,
reau. Before issuing a subpoena, the customer service, ownership, competi-
International Bureau shall obtain the tion to cable systems, broadcast sta-
approval of the Office of General Coun- tion signal retransmission and car-
sel. riage, program access, wiring equip-
(r) To assist the Consumer and Gov- ment, channel leasing, and federal-
ernmental Affairs Bureau on issues in- state/local regulatory relationships.
volving informal consumer complaints This includes: acting, after Commis-
and other general inquiries by con-
sion assumption of jurisdiction to regu-
sumers.
late cable television rates for basic
[60 FR 5323, Jan. 27, 1995, as amended at 60 service and associated equipment, on
FR 35504, July 10, 1995; 64 FR 60716, Nov. 8, cable operator requests for approval of
1999; 67 FR 13217, Mar. 21, 2002]
existing or increased rates; reviewing
MEDIA BUREAU appeals of local franchising authori-
ties’ rate making decisions involving
§ 0.61 Functions of the Bureau. rates for the basic service tier and as-
The Media Bureau develops, rec- sociated equipment, except when such
ommends and administers the policy appeals raise novel or unusual issues;
14
evaluating basic rate regulation cer- reserved to the Commission under

tification requests filed by cable sys- § 0.283.
tem franchising authorities; periodi- [67 FR 13217, Mar. 21, 2002]
cally reviewing and, when appropriate,
revising standard forms used in admin- OFFICE OF WORKPLACE DIVERSITY
istering: the certification process for
local franchising authorities wishing to § 0.81 Functions of the Office.
regulate rates, and the substantive (a) The Office of Workplace Diversity
rate regulation standards prescribed by (OWD), as a staff office to the Commis-
the Commission; sion, shall develop, coordinate, evalu-
(3) Open video systems; ate, and recommend to the Commission
(4) Preemption of restrictions on de- policies, programs, and practices that
vices designed for over-the-air recep- foster a diverse workforce and promote
tion of television broadcast signals, and ensure equal opportunity for all
multichannel multipoint distribution employees and applicants for employ-
service, and direct broadcast satellite ment. A principal function of the Office
services; is to lead, advise, and assist the Com-
(5) The commercial availability of mission, including all of its component
navigational devices; Bureau/Office managers, supervisors,
(6) The accessibility of video pro- and staff, at all levels, on ways to pro-
gramming to persons with disabilities; mote inclusion and full participation of
(7) Program access and carriage; all employees in pursuit of the Com-
(8) The Satellite Home Viewer Im- mission’s mission. In accordance with
provement Act; and
this function, the Office shall:
(9) Post-licensing for satellite con-
(1) Conduct independent analyses of
sumer broadcast services (DBS, DTH
the Commission’s policies and prac-
and DARS).
tices to ensure that those policies and
NOTE TO PARAGRAPH (f): The Media Bu-
reau’s enforcement authority does not in- practices foster diversity in the work-
clude enforcement in those areas assigned to place and ensure equal opportunity and
the Enforcement Bureau. See 47 CFR 0.111. equal treatment for employees and ap-
(g) Conduct rulemaking and policy plicants; and
proceedings regarding pole attach- (2) Advise the Commission, Bureaus,
ments. and Offices of their responsibilities
(h) Process and act on all applica- under Title VII of the Civil Rights Act
tions for authorization, petitions for of 1964, as amended; Section 501 of the
special relief, petitions to deny, waiver Rehabilitation Act of 1973, as amended;
requests, requests for certification, ob- Age Discrimination in Employment
jections, complaints, and requests for Act of 1967, as amended; Executive
declaratory rulings and stays regarding Order 11478; and all other statutes, Ex-
the areas listed. ecutive Orders, and regulatory provi-
(i) Assist the Consumer and Govern- sions relating to workplace diversity,
mental Affairs Bureau on issues involv- equal employment opportunity, non-
ing informal consumer complaints and discrimination, and civil rights.
other general inquiries by consumers. (b) The Office has the following du-
(j) Exercise authority to issue non- ties and responsibilities:
hearing related subpoenas for the at- (1) Through its Director, serves as
tendance and testimony of witnesses the principal advisor to the Chairman
and the production of books, papers, and Commission officials on all aspects
correspondence, memoranda, schedules of workplace diversity, affirmative re-
of charges, contracts, agreements, and cruitment, equal employment oppor-
any other records deemed relevant to tunity, non-discrimination, and civil
the investigation of matters within the rights;
jurisdiction of the Media Bureau. Be- (2) Provides leadership and guidance
fore issuing a subpoena, the Media Bu- to create a work environment that val-
reau shall obtain the approval of the ues and encourages diversity in the
Office of General Counsel. workplace;
(k) Carry out the functions of the (3) Is responsible for developing, im-
Commission under the Communica- plementing, and evaluating programs
tions Act of 1934, as amended, except as and policies to foster a workplace
15
§ 0.91 47 CFR Ch. I (10–1–02 Edition)
whose diversity reflects the diverse equal employment opportunity and

makeup of the Nation, enhances the workplace diversity issues;
mission of the Commission, and dem- (12) Maintains liaison with and solic-
onstrates the value and effectiveness of its views of organizations within and
a diverse workforce; outside the Commission on matters re-
(4) Is responsible for developing, im- lating to equal opportunity and work-
plementing, and evaluating programs place diversity.
and policies that promote under-
[61 FR 2727, Jan. 29, 1996]
standing among members of the Com-
mission’s workforce of their differences WIRELINE COMPETITION BUREAU
and the value of those differences and
provide a channel for communication § 0.91 Functions of the Bureau.
among diverse members of the work-
force at all levels; The Wireline Competition Bureau ad-
(5) Develops, implements, and evalu- vises and makes recommendations to
ates programs and policies to ensure the Commission, or acts for the Com-
that all members of the Commission’s mission under delegated authority, in
workforce and candidates for employ- all matters pertaining to the regula-
ment have equal access to opportuni- tion and licensing of communications
ties for employment, career growth, common carriers and ancillary oper-
training, and development and are pro- ations (other than matters pertaining
tected from discrimination and harass- exclusively to the regulation and li-
ment; censing of wireless telecommuni-
(6) Develops and recommends Com- cations services and facilities). The Bu-
mission-wide workforce diversity goals reau will, among other things:
and reports on achievements; (a) Develop and recommend policy
(7) Is responsible for developing, im- goals, objectives, programs and plans
plementing, and evaluating programs for the Commission in rulemaking and
and policies to enable all Bureaus and adjudicatory matters concerning
Offices to manage a diverse workforce wireline telecommunications, drawing
effectively and in compliance with all on relevant economic, technological,
equal employment opportunity and legislative, regulatory and judicial in-
civil rights requirements; formation and developments. Overall
(8) Works closely with the Associate objectives include meeting the present
Managing Director—Human Resources and future wireline telecommuni-
Management to ensure compliance cations needs of the Nation; fostering
with Federal and Commission recruit- economic growth; ensuring choice, op-
ment and staffing requirements; portunity, and fairness in the develop-
(9) Manages the Commission’s equal ment of wireline telecommunications;
employment opportunity compliance promoting economically efficient in-
program. Responsibilities in this area vestment in wireline telecommuni-
include processing complaints alleging cations infrastructure; promoting the
discrimination, recommending to the development and widespread avail-
Chairman final decisions on EEO com- ability of wireline telecommunications
plaints within the Commission, and services; and developing deregulatory
providing counseling services to em- initiatives where appropriate.
ployees and applicants on EEO mat- (b) Act on requests for interpretation
ters; or waiver of rules.
(10) Develops and administers the (c) Administer the provisions of the
Commission’s program of accessibility Communications Act requiring that
and accommodation for disabled per- the charges, practices, classifications,
sons in accordance with applicable reg- and regulations of communications
ulations; common carriers providing interstate
(11) Represents the Commission at and foreign services are just and rea-
meeting with other public and private sonable.
groups and organizations on matters (d) Act on applications for service
counseling workplace diversity and and facility authorizations, including
16
applications from Bell operating com- the Communications Act and other
panies for authority to provide in-re- communications statutes, the Commis-
gion interLATA services and applica- sion’s rules, Commission orders and
tions from wireline carriers for trans- Commission authorizations, other than
fers of licenses and discontinuance of matters that are addressed in the con-
service. text of a pending application for a li-
(e) Develop and administer rules and cense or other authorization or in the
policies relating to incumbent local ex- context of administration, including
change carrier accounting. post-grant administration, of a licens-
(f) Develop and administer recording or other authorization or registra-
keeping and reporting requirements for tion program.
telecommunications carriers. (1) Resolve complaints, including
(g) Provide federal staff support for complaints filed under section 208 of
the Federal-State Joint Board on Uni- the Communications Act, regarding
versal Service and the Federal-State acts or omissions of common carriers
Joint Board on Jurisdictional Separa- (wireline, wireless and international).
tions.
NOTE TO PARAGAPH (a)(1): The Consumer
(h) Review the deployment of ad- and Governmental Affairs Bureau has pri-
vanced telecommunications capability mary responsibility for informally resolving
to ensure that such deployment is rea- individual informal complaints from con-
sonable and timely, consistent with sumers against common carriers (wireline,
section 706 of the Act, and, where ap- wireless and international) and against other
propriate, recommend action to en- wireless licensees, and informal consumer
courage such deployment. complaints involving access to telecommuni-
(i) Provide economic, financial, and cations services and equipment for persons
with disabilities. The International Bureau
technical analyses of telecommuni- has primary responsibility for complaints re-
cations markets and carrier perform- garding international settlements rules and
ance. policies.
(j) Interact with the public, local,
state, and other governmental agencies (2) Resolve complaints regarding acts
and industry groups on wireline tele- or omissions of non-common carriers
communications regulation and related subject to the Commission’s jurisdic-
matters. Assist the Consumer and Gov- tion under Title II of the Communica-
ernmental Affairs Bureau on issues in- tions Act and related provisions, in-
volving informal consumer complaints cluding complaints against aggregators
and other general inquiries by con- under section 226 of the Communica-
sumers. tions Act and against entities subject
(k) Review and coordinate orders, to the requirements of section 227 of
programs and actions initiated by the Communications Act.
other Bureaus and Offices in matters NOTE TO PARAGRAPH (a)(2): The Consumer
affecting wireline telecommunications and Governmental Affairs Bureau has pri-
to ensure consistency with overall mary responsibility for informally resolving
Commission policy. individual informal complaints from con-
(l) Carry out the functions of the sumers against non-common carriers subject
to the Commission’s jurisdiction under Title
Commission under the Communica-
II of the Communications Act and related
tions Act of 1934, as amended, except as provisions.
reserved to the Commission under
§ 0.331. (3) Resolve formal complaints regard-
ing accessibility to communications
[67 FR 13218, Mar. 21, 2002]
services and equipment for persons
CABLE SERVICES BUREAU with disabilities, including complaints
filed pursuant to sections 225 and 255 of
§ 0.101 [Reserved] the Communications Act.
(4) Resolve complaints regarding ra-
ENFORCEMENT BUREAU diofrequency interference and com-
plaints regarding radiofrequency equip-
§ 0.111 Functions of the Bureau. ment and devices, including complaints
(a) Serve as the primary Commission of violations of sections 302 and 333 of
entity responsible for enforcement of the Communications Act.
17
§ 0.111 47 CFR Ch. I (10–1–02 Edition)
NOTE TO PARAGRAPH (a)(4): The Office of (13) Resolve complaints regarding
Engineering and Technology has shared re- multichannel video and cable tele-
sponsibility for radiofrequency equipment vision service under part 76 of the Com-
and device complaints.
mission’s rules.
(5) Resolve complaints regarding NOTE TO PARAGRAPH (a)(13): The Media Bu-
compliance with the Commission’s reau has primary responsibility for com-
Emergency Alert System rules. plaints regarding the following: subpart A
(6) Resolve complaints regarding the (general), with the exception of § 76.11 of this
lighting and marking of radio trans- chapter; subpart B (Registration State-
mitting towers under section 303(q) of ments); subpart C (Federal-State/Local Rela-
tionships [Reserved]; subpart D (carriage of
the Communications Act. television broadcast signals); subpart E
NOTE TO PARAGRAPH (a)(6): The Wireless (equal employment opportunity require-
Telecommunications Bureau has responsi- ments); subpart F (nonduplication protection
bility for administration of the tower reg- and syndicated exclusivity); subpart G,
istration program. §§ 76.205, 76.206 and 76.209 of this chapter
(political broadcasting); subpart I (Forms
(7) Resolve complaints regarding and Reports); subpart J (ownership); subpart
compliance with statutory and regu- L (cable television access); subpart N, § 76.944
latory provisions regarding indecent of this chapter (basic cable rate appeals), and
communications subject to the Com- §§ 76.970, 76.971 and 76.977 of this chapter
(cable leased access rates); subpart O
mission’s jurisdiction.
(competitive access to cable programming);
(8) Resolve complaints regarding the subpart P (competitive availability of navi-
broadcast and cable television chil- gation devices); subpart Q (regulation of car-
dren’s television programming com- riage agreements); subpart S (Open Video
mercial limits contained in section 102 Systems); and subparts T, U and V to the ex-
of the Children’s Television Act. tent related to the matters listed in this
note.
NOTE TO PARAGRAPH (a)(8): The Media Bu-
reau has responsibility for enforcement of (14) Resolve complaints regarding
these limits in the broadcast television re- other matters assigned to it by the
newal context. Commission, matters that do not fall
within the responsibility of another
(9) Resolve complaints regarding un-
Bureau or Office or matters that are
authorized construction and operation
determined by mutual agreement with
of communications facilities, including
another Bureau or Office to be appro-
complaints of violations of section 301
priately handled by the Enforcement
of the Communications Act.
Bureau.
(10) Resolve complaints regarding (15) Identify and analyze complaint
false distress signals under section information, conduct investigations,
325(a) of the Communications Act. conduct external audits and collect in-
(11) Resolve other complaints against formation, including pursuant to sec-
Title III licensees and permittees. tions 218, 220, 308(b), 403 and 409(e)
NOTE TO PARAGRAPH (a)(11): The Media Bu- through (k) of the Communications
reau has primary responsibility for com- Act, in connection with complaints, on
plaints regarding children’s television pro- its own initiative or upon request of
gramming requirements, and for political another Bureau or Office.
and related programming matters and equal (16) Issue or draft orders taking or
employment opportunity matters involving recommending appropriate action in
broadcasters, cable operators and other mul-
tichannel video programming distributors.
response to complaints or investiga-
The relevant licensing Bureau has primary tions, including, but not limited to, ad-
responsibility for complaints involving monishments, damage awards where
tower siting and the Commission’s environ- authorized by law or other affirmative
mental rules. The Media Bureau has primary relief, notices of violation, notices of
responsibility for complaints regarding com- apparent liability and related orders,
pliance with conditions imposed on transfers notices of opportunity for hearing re-
of control and assignments of licenses of garding a potential forfeiture, hearing
Cable Antenna Relay Service authorizations.
designation orders, orders designating
(12) Resolve complaints regarding licenses or other authorizations for a
pole attachments filed under section revocation hearing and consent de-
224 of the Communications Act. crees. Issue or draft appropriate orders
18
after a hearing has been terminated by tem. The Chief, Enforcement Bureau,
an Administrative Law Judge on the or that person’s designee, acts as FCC
basis of waiver. Issue or draft appro- Alternate Defense Coordinator and
priate interlocutory orders and take or principal to the National Communica-
recommend appropriate action in the tions System. Perform such alternate
exercise of its responsibilities. functions as may be delegated during a
(17) Encourage cooperative compli- national emergency or following acti-
ance efforts. vation of the President’s war emer-
(18) Mediate and settle disputes. gency powers as specified in section 706
(19) Provide information regarding of the Communications Act.
pending complaints, compliance with (d) In coordination with the Inter-
relevant requirements and the com- national Bureau, participate in inter-
plaint process, where appropriate and national conferences dealing with mon-
to the extent the information is not itoring and measurement; serve as the
available from the Consumer and Gov- point of contact for the U.S. Govern-
ernmental Affairs Bureau or other Bu- ment in matters of international moni-
reaus and Offices. toring, fixed and mobile direction-find-
(20) Exercise responsibility for rule- ing and interference resolution; and
making proceedings regarding general oversee coordination of non-routine
enforcement policies and procedures. communications and materials be-
(21) Advise the Commission or re- tween the Commission and inter-
sponsible Bureau or Office regarding national or regional public organiza-
the enforcement implications of exist- tions or foreign administrations.
ing and proposed rules. (e) In conjunction with the Office of
(22) Serve as the primary point of Engineering and Technology, work
contact for coordinating enforcement with technical standards bodies.
matters, including market and con- (f) Administer the Commission’s
sumer enforcement matters, with other Emergency Alert System. Be respon-
federal, state and local government sible for rulemakings involving the
agencies, as well as with foreign gov- Emergency Alert System.
ernments after appropriate consulta- (g) Oversee the Commission’s
tion, and provide assistance to such en- privatized ship radio safety inspection
tities. Refer matters to such entities, program.
as well as to private sector entities, as (h) Have authority to rule on emer-
appropriate. gency requests for Special Temporary
(b) Serve as trial staff in formal hear- Authority during non-business hours.
ings conducted pursuant to 5 U.S.C. 556 (i) Provide field support for, and field
regarding applications, revocation, for- representation of, the Bureau, other
feitures and other matters designated Bureaus and Offices and the Commis-
for hearing. sion. Coordinate with other Bureaus
(c) Under the general direction of the and Offices as appropriate.
Defense Commissioner, coordinate the (j) Handle congressional and other
defense activities of the Commission correspondence relating to or request-
and provide support to the Defense ing specific enforcement actions, spe-
Commissioner with respect to his or cific complaints or other specific mat-
her participation in the Joint Tele- ters within the responsibility of the
communications Resources Board, and Bureau, to the extent not otherwise
the National Security Telecommuni- handled by the Consumer Information
cations Advisory Committee and other Bureau, the Office of General Counsel
organizations. Recommend national (impermissible ex parte presentations)
emergency plans and preparedness pro- or another Bureau or Office.
grams covering Commission functions (k) Have authority to issue non-hear-
during national emergency conditions. ing related subpoenas for the attend-
Support the Chief of the Common Car- ance and testimony of witnesses and
rier, International and Wireless Tele- the production of books, papers, cor-
communications Bureaus on matters respondence, memoranda, schedules of
involving assignment of Telecommuni- charges, contracts, agreements, and
cations Service Priority System prior- any other records deemed relevant to
ities and in administration of that sys- the investigation of matters within the
19
§ 0.121 47 CFR Ch. I (10–1–02 Edition)
responsibility of the Bureau. Before 157°59′44.1″ W. Longitude

issuing a subpoena, the Enforcement [53 FR 29054, Aug. 2, 1988, as amended at 61
Bureau shall obtain the approval of the FR 8477, Mar. 5, 1996; 63 FR 68918, Dec. 14,
Office of General Counsel. 1998; 64 FR 60718, Nov. 8, 1999; 67 FR 13219,
(l) Perform such other functions as Mar. 21, 2002]
may be assigned or referred to it by the
Commission. WIRELESS TELECOMMUNICATIONS
BUREAU
FR 13218, Mar. 21, 2002] § 0.131 Functions of the Bureau.
§ 0.121 Location of field installations. The Wireless Telecommunications
Bureau develops, recommends and ad-
(a) Field offices are located through- ministers the programs and policies for
out the United States. For the address the regulation of the terms and condi-
and phone number of the closest office tions under which communications en-
contact the Enforcement Bureau or see tities offer domestic wireless tele-
the U.S. Government Manual. communications services and of ancil-
(b) Protected field offices are located lary operations related to the provision
at the following geographical coordi- of such services (satellite communica-
nates (coordinates are referenced to tions excluded). These functions in-
North American Datum 1983 (NAD83)): clude all wireless telecommunications
Allegan, Michigan service providers’ and licensees’ activi-
42°36′20.1″ N. Latitude ties. The Bureau also performs the fol-
85°57′20.1″ W. Longitude lowing specific functions:
Anchorage, Alaska (a) Advises and makes recommenda-
61°09′41.″ N. Latitude tions to the Commission, or acts for
150°00′03.0″ W. Longitude the Commission under delegated au-
Belfast, Maine thority, in all matters pertaining to
44°26′42.3″ N. Latitude
the licensing and regulation of wireless
69°04′56.1″ W. Longitude
Canandaigua, New York
telecommunications, including ancil-
42°54′48.2″ N. Latitude lary operations related to the provision
77°15′57.9″ W. Longitude or use of such services; and any mat-
Douglas, Arizona ters concerning wireless carriers that
31°30′02.3″ N. Latitude also affect wireline carriers in coopera-
109°39′14.3″ W. Longitude tion with the Wireline Competition Bu-
Ferndale, Washington reau. These activities include: policy
48°57′20.4″ N. Latitude development and coordination; con-
122°33′17.6″ W. Longitude ducting rulemaking and adjudicatory
Grand Island, Nebraska proceedings, including licensing and
40°55′21.0″ N. Latitude complaint proceedings for matters not
98°25′43.2″ W. Longitude
within the responsibility of the En-
Kingsville, Texas
27°26′30.1″ N. Latitude
forcement Bureau; acting on waivers of
97°53′01.0″ W. Longitude rules; acting on applications for service
Laurel, Maryland and facility authorizations; compliance
39°09′54.4″ N. Latitude and enforcement activities for matters
76°49′15.9″ W. Longitude not within the responsibility of the En-
Livermore, California forcement Bureau; determining re-
37°43′29.7″ N. Latitude source impacts of existing, planned or
121°45′15.8″ W. Longitude recommended Commission activities
Powder Springs, Georgia concerning wireless telecommuni-
33°51′44.4″ N. Latitude cations, and developing and recom-
84°43′25.8″ W. Longitude mending resource deployment prior-
Santa Isabel, Puerto Rico
ities.
18°00′18.9″ N. Latitude
66°22′30.6″ W. Longitude (b) Develops and recommends policy
Vero Beach, Florida goals, objectives, programs and plans
27°36′22.1″ N. Latitude for the Commission on matters con-
80°38′05.2″ W. Longitude cerning wireless telecommunications,
Waipahu, Hawaii drawing upon relevant economic, tech-
21°22′33.6″ N. Latitude nological, legislative, regulatory and
20
judicial information and developments. ties. Coordinates with and assists the
Such matters include meeting the International Bureau regarding fre-
present and future wireless tele- quency assignment, coordination and
communications needs of the Nation; interference matters.
fostering economic growth by pro- (f) Develops and recommends re-
moting efficiency and innovation in sponses to legislative, regulatory or ju-
the allocation, licensing and use of the dicial inquiries and proposals con-
electromagnetic spectrum; ensuring cerning or affecting wireless tele-
choice, opportunity and fairness in the communications.
development of wireless telecommuni- (g) Develops and recommends policies
cations services and markets; pro- regarding matters affecting the col-
moting economically efficient invest- laboration and coordination of rela-
ment in wireless telecommunications tions among Federal agencies, and be-
infrastructure and the integration of tween the Federal government and the
wireless communications networks states, concerning wireless tele-
into the public telecommunications communications issues. Maintains liai-
network; enabling access to national son with Federal and state government
communications services; promoting bodies concerning such issues.
the development and widespread avail- (h) Develops and recommends poli-
ability of wireless telecommunications cies, programs and rules to ensure in-
services. Reviews and coordinates or- terference-free operation of wireless
ders, programs and actions initiated by telecommunications equipment and
other Bureaus and Offices in matters networks. Coordinates with and assists
affecting wireless telecommunications other Bureaus and Offices, as appro-
to ensure consistency of overall Com- priate, concerning spectrum manage-
mission policy. ment, planning, and interference mat-
(c) Serves as the Commission’s printers and issues, and in compliance and
cipal policy and administrative staff enforcement activities. Studies tech-
resource with regard to spectrum auc- nical requirements for equipment for
tions. Administers all Commission wireless telecommunications services
spectrum auctions. Develops, rec- in accordance with standards estab-
ommends and administers policies, pro- lished by the Chief, Office of Engineer-
grams and rules concerning auctions of ing and Technology.
spectrum for wireless telecommuni- (i) Advises and assists consumers,
cations. Advises the Commission on businesses and other government agen-
policy, engineering and technical mat- cies on wireless telecommunications
ters relating to auctions of spectrum issues and matters related thereto.
used for other purposes. Administers Also assists the Consumer and Govern-
procurement of auction-related serv- mental Affairs Bureau with informal
ices from outside contractors. Provides consumer complaints and other general
policy, administrative and technical inquiries by consumers.
assistance to other Bureaus and Offices (j) Administers the Commission’s
on auction issues. commercial radio operator program
(d) Regulates the charges, practices, (part 13 of this chapter) and the Com-
classifications, terms and conditions mission’s program for registration,
for, and facilities used to provide, wire- construction, marking and lighting of
less telecommunications services. De- antenna structures (part 17 of this
velops and recommends consistent, in- chapter).
tegrated policies, programs and rules (k) Coordinates with and assists the
for the regulation of commercial mo- International Bureau with respect to
bile radio services and private mobile treaty activities and international con-
radio services. ferences concerning wireless tele-
(e) Develops and recommends policy, communications.
rules, standards, procedures and forms (l) Exercises such authority as may
for the authorization and regulation of be assigned, delegated or referred to it
wireless telecommunications facilities by the Commission.
and services, including all facility au- (m) Certifies frequency coordinators;
thorization applications involving do- considers petitions seeking review of
mestic terrestrial transmission facili- coordinator actions; and engages in
21
§ 0.141 47 CFR Ch. I (10–1–02 Edition)
oversight of coordinator actions and Commission’s decision-making proc-

practices. esses. The Bureau also performs the
(n) Administers the Commission’s following functions:
commercial radio operator (part 13 of (a) Advises and makes recommenda-
this chapter) and amateur radio pro- tions to the Commission, or acts for
grams (part 97 of this chapter) and the the Commission under delegated au-
program for construction, marking and thority, in matters pertaining to con-
lighting of antenna structures (part 17 sumers and governmental affairs. This
of this chapter) and the issuing mari- includes policy development and co-
time mobile service identities (MMSIs). ordination as well as adjudication and
(o) Exercises authority to issue non- rulemaking.
hearing related subpoenas for the at- (b) Collaborates with, and advises
tendance and testimony of witnesses and assists, the public, state and local
and the production of books, papers, governments, and other governmental
correspondence, memoranda, schedules agencies and industry groups on con-
of charges, contracts, agreements, and sumer matters.
any other records deemed relevant to (c) Advises the Commission and other
the investigation of wireless tele- Bureaus and Offices of consumer and
communications operators for any al- governmental affairs-related areas of
leged violation or violations of the concern or interest; initiates, reviews,
Communications Act of 1934, as amend- and coordinates orders, programs and
ed, or the Commission’s rules and or- actions, in conjunction with other Bu-
ders. Before issuing a subpoena, the reaus and Offices, in matters regarding
Wireless Telecommunications Bureau consumer education policies and proce-
shall obtain the approval of the Office dures, and any other related issues af-
of General Counsel. fecting consumer policy; represents the
(p) Certifies, in the name of the Com- Commission on consumer and govern-
mission, volunteer entities to coordi- mental-related committees, working
nate maintain and disseminate a com- groups, task forces and conferences
mon data base of amateur station spe- within and outside the Commission;
cial event call signs, and issues Public and provides expert advice and assist-
Notices detailing the procedures of ance to Bureaus and Offices and con-
amateur service call sign systems. sumers regarding compliance with ap-
plicable disability and accessibility re-
FR 4361, Feb. 6, 1996; 62 FR 17567, Apr. 10, quirements, rules, and regulations.
1997; 64 FR 60718, Nov. 8, 1999; 65 FR 375, Jan. (d) Collects and analyzes information
5, 2000; 67 FR 13219, Mar. 21, 2002] from industry, other Bureaus and Of-
fices, and the media, as well as infor-
CONSUMER AND GOVERNMENTAL AFFAIRS mation received in the Bureau from in-
BUREAU formal consumer inquiries and com-
plaints, rulemakings, and consumer fo-
§ 0.141 Functions of the Bureau. rums; identifies trends that affect con-
The Consumer and Governmental Af- sumers; in consultation with the Office
fairs Bureau develops and administers of the Managing Director, provides ob-
the Commission’s consumer and gov- jectives and evaluation methods for the
ernmental affairs policies and initia- public information portion of the Com-
tives to enhance the public’s under- mission’s Government Performance
standing of the Commission’s work and and Results Act submissions and other
to facilitate the Agency’s relationships Commission-wide strategic planning ef-
with other governmental agencies and forts.
organizations. The Bureau is respon- (e) Researches, develops, and distrib-
sible for rulemaking proceedings re- utes materials to inform consumers
garding general consumer education about the Commission’s rules, pro-
policies and procedures and serves as posals, and events, and to promote con-
the primary Commission entity respon- sumer participation in Commission
sible for communicating with the gen- rulemakings and activities; maintains
eral public regarding Commission poli- the Commission’s Consumer Informa-
cies, programs, and activities in order tion Directory; develops a library of
to facilitate public participation in the commonly requested materials on
22
issues of interest to all consumers. En- Brokerage and Affiliation Agreements,

sures that alternative translations of court citation files, and legislative his-
Commission materials are available to tories concerning telecommunications
Commission employees, Bureaus, Of- dockets. Provides the public and Com-
fices, and members of the public. mission staff prompt access to manual
(f) Advises and makes recommenda- and computerized records and filing
tions to the Commission, or acts for systems.
the Commission under delegated au- (i) Provides informal mediation and
thority, in matters pertaining to per- resolution of individual informal con-
sons with disabilities. Provides expert sumer inquiries and complaints con-
advice and assistance, as required, to sistent with Commission regulations.
other Bureaus and Offices, consumers, Resolves certain classes of informal
industry, and others on issues relevant complaints, as specified by the Com-
to persons with disabilities. Initiates mission, through findings of fact and
rulemakings, where appropriate; re- issuance of orders. Receives, reviews,
views relevant agenda items and other and analyzes responses to informal
documents and coordinates with Bu- complaints; maintains manual and
reaus and Offices to develop rec- computerized files that permit the pub-
ommendations and propose policies to lic inspection of informal consumer
ensure that communications are acces- complaints; mediates and attempts to
sible to persons with disabilities, in settle unresolved disputes in informal
conformance with existing disability complaints as appropriate; and coordi-
laws and policies, and that they sup- nates with other Bureaus and Offices to
port the Commission’s goal of increas- ensure that consumers are provided
ing accessibility of communications with accurate, up-to-date information.
services and technologies for persons Develops and fosters partnerships with
with disabilities. state regulatory entities to promote
(g) Plans, develops, and conducts con- the sharing of information pertaining
sumer outreach and education initia- to informal complaint files maintained
tives to educate the public about im- by the Bureau.
portant Commission regulatory pro- (j) Provides leadership to other Bu-
grams. In coordination with other Bu- reaus and Offices for dissemination of
reaus and Offices, establishes liaison(s) consumer information via the Internet.
for information sharing purposes to en- (k) In coordination with other Bu-
sure coordination on all consumer out- reaus and Offices, handles Congres-
reach projects. Ensures that alter- sional and other correspondence re-
native translations of Commission ma- lated to specific informal consumer
terials are available to Commission complaints, or other specific matters
employees, Bureaus, Offices and mem- within the responsibility of the Bu-
bers of the public. reau, to the extent not otherwise han-
(h) Serves as the official FCC records dled by the Office of General Counsel or
custodian for designated records, in- other Bureaus or Offices. Responds to
cluding intake processing, organization and/or coordinates due diligence and
and file maintenance, reference serv- other requests for information per-
ices, and retirement and retrieval of taining to informal inquiries and com-
records; manages the Electronic Com- plaints under the responsibility of the
ment Filing System and certifies Bureau with other Bureaus and Offices.
records for adjudicatory and court pro-
ceedings. Maintains manual and com- [67 FR 13219, Mar. 21, 2002]
puterized files that provide for the pub-
lic inspection of public record mate- OFFICE OF ADMINISTRATIVE LAW JUDGES
rials concerning Broadcast Ownership,
AM/FM/TV, TV Translators, FM Trans- § 0.151 Functions of the Office.
lators, Cable TV, Wireless, Auction, The Office of Administrative Law
Common Carrier Tariff matters, Inter- Judges consists of a Chief Administra-
national space station files, earth sta- tive Law Judge, an Assistant Chief Ad-
tion files, DBS files, and other mis- ministrative Law Judge, and as many
cellaneous international files. Also other Administrative Law Judges
maintains for public inspection Time qualified and appointed pursuant to the
23
§ 0.181 47 CFR Ch. I (10–1–02 Edition)
requirements of section 11 of the Ad- (g) In the event of enemy attack, or

ministrative Procedure Act as the the imminent threat thereof, or other
Commission may find necessary. It is disaster resulting in the inability of
responsible for hearing and conducting the Commission to function at its of-
all adjudicatory cases designated for fices in Washington, D.C., to assume all
any evidentiary adjudicatory hearing of the duties and responsibilities of the
other than those designated to be Commission and the Chairman, until
heard by the Commission en banc, relieved or augmented by other Com-
those designated to be heard by one or missioners or members of the staff, as
more members of the Commission, and
set forth in §§ 0.186 and 0.383.
those involving the authorization of
service in the Instructional Television (h) To approve national emergency
Fixed Service. The Office of Adminis- plans and develop preparedness pro-
trative Law Judges is also responsible grams covering: provision of service by
for conducting such other hearings as common carriers; broadcasting and
the Commission may assign. cable facilities, satellite and the wire-
less radio services; radio frequency as-
[61 FR 10689, Mar. 15, 1996]
signment; electromagnetic radiation;
DEFENSE AND EMERGENCY investigation and enforcement.
PREPAREDNESS FUNCTIONS (i) To perform such other duties and
assume such other responsibilities re-
§ 0.181 The Defense Commissioner. lated to the Commission’s defense ac-
The Defense Commissioner is des- tivities as may be necessary for the
ignated by the Commission. The De- continuity of functions and the protec-
fense Commissioner directs the defense tion of Commission personnel and prop-
activities of the Commission and has erty.
the following duties and responsibil-
[29 FR 14664, Oct. 28, 1964, as amended at 41
ities:
FR 31209, July 27, 1976; 64 FR 60720, Nov. 8,
(a) To keep the Commission informed
1999]
as to significant developments in the
field of emergency preparedness, de- § 0.182 Chief, Enforcement Bureau.
fense mobilization, and any defense ac-
tivities that involve formulation or re- (a) Recommends national emergency
vision of Commission policy in any plans and preparedness programs cov-
area of responsibility of the Commis- ering: Provision of service by common
sion. carriers, broadcasting and cable facili-
(b) To represent the Commission in ties, satellite and the wireless radio
national defense matters requiring con- services; radio frequency assignment;
ferences or communications with other electro-magnetic radiation; investiga-
governmental officers, departments, or tion and enforcement.
agencies. (b) In coordination with the Office of
(c) To act as the Defense Coordinator Managing Director, which has responsi-
in representations with other agencies bility for developing the Commission’s
with respect to planning for the con- Continuity of Operations Plan (COOP).
tinuity of the essential functions of the Acts as Alternate Defense Coordinator
Commission under emergency condi- in representations with other agencies
tions.
with respect to planning for the con-
(d) To serve as a member of the Joint
tinuity of the essential functions of the
Telecommunications Resources Board
Commission under emergency condi-
(JTRB).
(e) To serve as the principal point of tions.
contact for the Commission on all mat- (c) Coordinates the FCC’s responsibil-
ters pertaining to the National Com- ities under the Interagency Advisory
munications System. Group (IAG) of the Federal Emergency
(f) To take such measures as will as- Management Agency.
sure continuity of the Commission’s (d) Provides administrative support
functions under any foreseeable cir- for the National Advisory Committee
cumstances with a minimum of inter- (NAC) on Emergency Alert System
ruption. (EAS) issues.
24
(e) Keeps the Defense Commissioner fense in which they are engaged or
informed as to significant develop- have been requested to engage.
ments in the field of emergency pre- (b) To render assistance and advice to
paredness and related defense activi- the Chief, Enforcement Bureau on mat-
ties. ters which relate to the functions of
(f) Coordinates the FCC’s responsibil- their respective bureaus or staff of-
ities under the Federal Response Plan, fices.
Catastrophic Disaster Response Group (c) To render such assistance and ad-
(CDRG) administered by the Federal vice to other agencies as may be con-
Emergency Management Agency sistent with the functions of their re-
(FEMA). spective bureaus or staff offices and the
(g) Serves as the FCC’s representa- Commission’s policy with respect
tive on the National Communications thereto.
System’s Committees.
(d) To perform such other duties re-
(h) Under the general direction of the
lated to the Commission’s defense ac-
Defense Commissioner coordinates the
tivities as may be assigned to them by
National Security and Emergency Pre-
the Commission.
paredness (NSEP) activities of the
Commission including Continuity of [29 FR 14665, Oct. 28, 1964, as amended at 50
Government Planning, the Emergency FR 27953, July 9, 1985; 59 FR 26971, May 25,
Alert System (EAS) and other func- 1994; 61 FR 8477, Mar. 5, 1996; 64 FR 60721,
tions as may be delegated during a na- Nov. 8, 1999]
tional emergency or activation of the
President’s war emergency powers as § 0.186 Emergency Relocation Board.
specified in section 706 of the Commu- (a) As specified in the Commission’s
nications Act. Maintains liaison with Continuity of Government Plan and
FCC Bureaus/Offices, represents the consistent with the exercise of the War
Defense Commissioner with other Gov- Emergency Powers of the President as
ernment agencies and organizations, set forth in section 706 of the Commu-
the telecommunications industry and nications Act of 1934, as amended, an
FCC licensees on NSEP matters; and, Emergency Relocation Board will be
as requested, represents the Commis- convened at the Commission’s Head-
sion at NSEP meetings and con- quarters or other relocation site des-
ferences. ignated to serve as Primary FCC Staff
(i) Is authorized to declare that a to perform the functions of the Com-
temporary state of communications mission following the announcement of
emergency exists pursuant to § 97.401(c) national level mobilization of the Fed-
of this chapter and to act on behalf of
eral government by the President or
the Commission with respect to the op-
other designated authority; in the ab-
eration of amateur stations during
sence of such announcement, imme-
such temporary state of communica-
diately following receipt of an attack
tions emergency.
warning signal; or in the absence of ei-
[64 FR 60720, Nov. 8, 1999, as amended at 67 ther announcement or attack warning,
FR 13220, Mar. 21, 2002] immediately following an actual at-
tack.
§ 0.185 Responsibilities of the bureaus
and staff offices. (b) The Board shall comprise such
Commissioners as may be present and
The head of each of the bureaus and able to act. In the absence of the Chair-
staff offices, in rendering assistance to man, the Commissioner present with
the Chief, Enforcement Bureau in the the longest seniority in office will
performance of that person’s duties serve as acting Chairman. If no Com-
with respect to defense activities will missioner is present and able to act,
have the following duties and respon- the person designated as next most
sibilities:
senior official in the Commission’s
(a) To keep the Chief, Enforcement Continuity of Government Plan will
Bureau informed of the investigation,
head the Board.
progress, and completion of programs,
plans, or activities with respect to de- [53 FR 29055, Aug. 2, 1988]
25
§ 0.201 47 CFR Ch. I (10–1–02 Edition)
Subpart B—Delegations of are set forth in §§ 1.101, 1.102, 1.104,

Authority 1.106, 1.113, 1.115, and 1.117. Procedures
pertaining to exceptions to initial deci-
sions are set forth in §§ 1.276–1.279.
AUTHORITY: Sec. 5, 48 Stat. 1068, as amend-
(d) The Commission, by vote of a ma-
ed; 47 U.S.C. 155.
jority of the members then holding of-
GENERAL fice, may delegate its functions either
by rule or by order, and may at any
§ 0.201 General provisions. time amend, modify, or rescind any
(a) There are three basic categories such rule or order.
of delegations made by the Commission (1) Functions of a continuing or re-
pursuant to section 5(c) of the Commu- curring nature are delegated by rule.
The rule is published in the FEDERAL
nications Act of 1934, as amended:
REGISTER and is included in this sub-
(1) Delegations to act in non-hearing
part.
matters and proceedings. The great bulk
(2) Functions pertaining to a par-
of delegations in this category are
ticular matter or proceeding are dele-
made to bureau chiefs and other mem-
gated by order. The order is published
bers of the Commission’s staff. This
in the FEDERAL REGISTER and associ-
category also includes delegations to
ated with the record of that matter or
individual commissioners and to
proceeding, but neither the order nor
boards or committees of commis-
any reference to the delegation made
sioners. thereby is included in this subpart.
(2) Delegations to rule on interlocutory
matters in hearing proceedings. Delega- [28 FR 12402, Nov. 22, 1963, as amended at 50
tions in this category are made to the FR 26567, June 27, 1985; 62 FR 4170, Jan. 29,
Chief Administrative Law Judge. 1997]
NOTE TO PARAGRAPH (a)(2): Interlocutory § 0.203 Authority of person, panel, or

matters which are not delegated to the Chief board to which functions are dele-
Administrative Law Judge are ruled on by gated.
the presiding officer by virtue of the author- (a) The person, panel, or board to
ity vested in him to control the course and
conduct of the hearing. This authority stems
which functions are delegated shall,
from section 7 of the Administrative Proce- with respect to such functions, have all
dure Act and section 409 of the Communica- the jurisdiction, powers, and authority
tions Act rather than from delegations of au- conferred by law upon the Commission,
thority made pursuant to section 5(c) of the and shall be subject to the same duties
Communications Act. (See §§ 0.218 and 0.341.). and obligations.
(3) Delegations to review an initial deci- (b) Except as provided in § 1.102 of
sion. Delegations in this category are this chapter, any action taken pursu-
made to individual commissioners, to ant to delegated authority shall have
panels of commissioners. the same force and effect and shall be
(b) Delegations are arranged in this made, evidenced, and enforced in the
subpart under headings denoting the same manner as actions of the Com-
person, panel, or board to whom au- mission.
thority has been delegated, rather than [28 FR 12402, Nov. 22, 1963]
by the categories listed in paragraph
(a) of this section. § 0.204 The exercise of delegated au-
(c) Procedures pertaining to the fil- thority.
ing and disposition of interlocutory (a) Authority to issue orders and to
pleadings in hearing proceedings are enter into correspondence. Any official
set forth in §§ 1.291 through 1.298 of this (or group of officials) to whom author-
chapter. Procedures pertaining to ap- ity is delegated in this subpart is au-
peals from rulings of the presiding offi- thorized to issue orders (including rul-
cer are set forth in § 1.301. Procedures ings, decisions, or other action docu-
pertaining to reconsideration of the ments) pursuant to such authority and
presiding officer’s rulings are set forth to enter into general correspondence
in § 1.303. Procedures pertaining to re- concerning any matter for which he is
consideration and review of actions responsible under this subpart or sub-
taken pursuant to delegated authority part A of this part.
26
(b) Authority of subordinate officials. cally advise the Commission on these

Authority delegated to any official to actions.
issue orders or to enter into cor- (c) Actions of an important character
respondence under paragraph (a) of this or those which involve policy deter-
section may be exercised by that offi- minations. In these matters the Chair-
cial or by appropriate subordinate offi- man will develop proposals for presen-
cials acting for him. tation to the Commission.
(c) Signature. (1) Other orders made (d) To act within the purview of the
by a committee, board or panel iden- Federal Tort Claims Act, as amended,
tify the body and are signed by the 28 U.S.C. 2672, upon tort claims di-
Secretary. rected against the Commission where
(2) Upon signing an order, the Sec- the amount of damages does not exceed
retary affixes the Commission’s seal. $5,000.
(3) General correspondence by a com- (e) Authority to act as ‘‘Head of the
mittee or board is signed by the com- Agency’’ or ‘‘Agency Head’’ for admin-
mittee or board chairman. istrative determinations required by
(4) All other orders and letters are Federal Procurement Regulations and
signed by the official who has given Federal Management Circulars.
final approval of their contents. [28 FR 12402, Nov. 22, 1963, as amended at 41
(5) With the exception of license FR 49095, Nov. 8, 1976; 51 FR 23550, June 30,
forms requiring the signature of an ap- 1986]
propriate official of the issuing bureau
§ 0.212 Board of Commissioners.
or office, license forms bear only the
seal of the Commission. (a) Whenever the Chairman or Acting
(d) Form of orders. Orders may be Chairman of the Commission deter-
issued in any appropriate form (e.g., as mines that a quorum of the Commis-
captioned orders, letters, telegrams) sion is not present or able to act, he
and may, if appropriate, be issued oral- may convene a Board of Commis-
ly. Orders issued orally shall, if prac- sioners. The Board shall be composed
ticable, be confirmed promptly in writ- of all Commissioners present and able
ing. to act.
(e) Minutes entries. Except as other- (b) The Board of Commissioners is
wise provided in this subpart, actions authorized to act upon all matters nor-
taken as provided in paragraph (d) of mally acted upon by the Commission
this section shall be recorded in writ- en banc, except the following:
ing and filed in the official minutes of (1) The final determination on the
the Commission. merits of any adjudicatory or inves-
tigatory hearing proceeding or of any
[33 FR 8227, June 1, 1968, as amended at 38 FR rule making proceeding, except upon a
18550, July 12, 1973; 62 FR 4170, Jan. 29, 1997] finding by the Board that the public in-
terest would be disserved by waiting
COMMISSIONERS the convening of a quorum of the Com-
§ 0.211 Chairman. mission.
(2) Petitions for reconsideration of
The responsibility for the general ad- Commission actions.
ministration of internal affairs of the (3) Applications for review of actions
Commission is delegated to the Chair- taken pursuant to delegated authority.
man of the Commission. The Chairman (c) The Board of Commissioners is
will keep the Commission advised con- authorized to act upon all matters nor-
cerning his actions taken under this mally acted upon by an individual
delegation of authority. This authority Commissioner (when he or his alter-
includes: nates are not present or able to act) or
(a) Actions of routine character as to by a committee of Commissioners (in
which the Chairman may take final ac- the absence of a quorum of the com-
tion. mittee).
(b) Actions of non-routine character (d) Actions taken by the Board of
which do not involve policy determina- Commissioners shall be recorded in the
tions. The Chairman may take final ac- same manner as actions taken by the
tion on these matters but shall specifi- Commission en banc.
27
§ 0.218 47 CFR Ch. I (10–1–02 Edition)
(e) This section has no application in directed against the Commission where
circumstances in which the Commis- the amount of the claim does not ex-
sion is unable to function at its offices ceed $5,000. In addition thereto, the
in Washington, D.C. See §§ 0.181–0.186 Managing Director, or his designee,
and §§ 0.381–0.387. upon securing the concurrence of the
[30 FR 9314, July 27, 1965]
General Counsel, is delegated authority
to act in the disposition of claims aris-
§ 0.218 Authority of, and delegated to, ing under the Military Personnel and
an individual Commissioner or Civilian Employees’ Claims Act, as
Commissioners. amended, 31 U.S.C. 3701 and 3721, where
(a) One or more members of the Com- the amount of the claim does not ex-
mission may be designated to preside ceed $6,500.
in a hearing proceeding. The Commis- (e) The Managing Director is dele-
sioner or Commissioners designated to gated authority to act as Head of the
preside at such a hearing shall fix the Procurement Activity and Contracting
time and place of the hearing and shall Officer for the Commission and to des-
act upon all motions, petitions or other ignate appropriate subordinate offi-
matters which may arise while the pro- cials to act as Contracting Officers for
ceeding is in hearing status. the Commission. As Head of the Pro-
(b) One or more members of the Com- curement Activity, the Managing Di-
mission may be designated to review rector will refer all appeals filed
an initial decision issued in any hear- against final decisions regarding pro-
ing case. curement contracts to the Armed Serv-
(c) Except for actions taken during ices Board of Contract Appeals for res-
the course of a hearing and upon the olution. Appeals will be handled in ac-
record thereof, actions taken by a cordance with the Rules of the Board of
Commissioner or Commissioners pursu- Contract Appeals.
ant to the provisions of this section (f) [Reserved]
shall be recorded in writing and filed in (g) The Managing Director, after con-
the official minutes of the Commission. sultation with the Chairman shall es-
tablish, renew, and terminate all Fed-
[27 FR 7931, Aug. 10, 1962] eral advisory committees. He shall also
exercise all management responsibil-
MANAGING DIRECTOR
ities under the Federal Advisory Com-
§ 0.231 Authority delegated. mittee Act as amended (Pub. L. No. 92–
463, 5 U.S.C. App.).
(a) The Managing Director, or his (h) [Reserved]
designee, upon securing concurrence of (i) The Secretary, acting under the
the General Counsel, is delegated au- supervision of the Managing Director,
thority to act upon requests for waiver, serves as the official custodian of the
reduction or deferment of fees, estab- Commission’s documents and shall
lish payment dates, and issue notices have authority to appoint a deputy or
proposing amendments or adjustments deputies for the purposes of custody
to the fee schedules established under and certification of documents located
part 1, subpart G, of this chapter. in Gettysburg, Pennsylvania or other
(b) The Managing Director, or his established locations. The Secretary is
designee, is delegated authority to delegated authority to rule on requests
make nonsubstantive, editorial revi- for extensions of time based on oper-
sions of the Commission’s rules and ational problems associated with the
regulations upon approval of the bu-
Commission’s electronic comment fil-
reau or staff office primarily respon-
ing system. See § 1.46 of this chapter.
sible for the particular part or section
involved. (Secs. 4, 303, 48 Stat., as amended, 1066, 1082;
(c) [Reserved] 47 U.S.C. 154, 303; 18 U.S.C. 207(j); 39 U.S.C.
(d) The Managing Director, or his 3220; Notice of Preliminary Guidelines issued
by the Department of Justice, 50 FR 46622,
designee, upon securing the concur-
November 8, 1985)
rence of the General Counsel, is dele-
gated authority, within the purview of CROSS REFERENCE: 47 CFR part 19, subpart
the Federal Tort Claims Act, as amend- E.
ed, 28 U.S.C. 2672, to grant tort claims [29 FR 14666, Oct. 28, 1964]
28
EDITORIAL NOTE: For FEDERAL REGISTER ci- (b) The Chief Engineer is delegated
tations affecting § 0.231, see the List of CFR authority to administer the Equipment
Authorization program as described in
Finding Aids section of the printed volume
and on GPO Access. part 2 of the Commission’s Rules.
(c) The Chief Engineer is delegated
CHIEF ENGINEER authority to administer the Experi-
mental Radio Service program pursu-
§ 0.241 Authority delegated. ant to part 5 of the Commission’s
(a) The performance of functions and Rules.
activities described in § 0.31 of this part (d) The Chief engineer is delegated
is delegated to the Chief Engineer: authority to examine all applications
Provided, That the following matters for certification (approval) of subscrip-
shall be referred to the Commission en tion television technical systems as ac-
banc for disposition: ceptable for use under a subscription
(1) Notices of proposed rulemaking television authorization as provided for
and of inquiry and final orders in rule-
in this chapter, to notify the applicant
making proceedings, inquiry pro-
that an examination of the certified
ceedings and non-editorial orders mak-
technical information and data sub-
ing changes. See § 0.231(d).
(2) Petitions for review of actions mitted in accordance with the provi-
taken to delegated authority. See sions of this chapter indicates that the
§ 1.115 of this chapter. system does or does not appear to be
(3) Petitions and other requests for acceptable for authorization as a sub-
waivers of the Commission’s rules, scription television system. This dele-
whether or not accompanied by an ap- gation shall be exercised in consulta-
plications, when such petitions or re- tion with the Chief, Media Bureau.
quests contain new or novel arguments (e) The Chief Engineer is authorized
not previously considered by the Com- to dismiss or deny petitions for rule-
mission or present facts or arguments making which are repetitive or moot or
which appear to justify a change in which, for other reasons plainly do not
Commission policy. warrant consideration by the Commis-
(4) Petitions and other requests for sion.
declaratory rulings, when such peti- (f) The Chief of the Office of Engi-
tions or requests contain new or novel neering and Technology is authorized
arguments not previously considered to enter into agreements with the Na-
by the Commission or preset facts or tional Institute of Standards and Tech-
arguments which appear to justify a nology and other accreditation bodies
change in Commission policy. to perform accreditation of test labora-
(5) Any other petition, pleading or re- tories pursuant to § 2.948(d) of this
quest presenting new or novel ques- chapter. In addition, the Chief is au-
tions of fact, law, or policy which can-
thorized to make determinations re-
not be resolved under outstanding
garding the continued acceptability of
precedents and guidelines.
individual accrediting organizations
(6) Any other complaint or enforce-
ment matter presenting new or novel and accredited laboratories.
questions of fact, law, or policy which (g) The Chief of the Office of Engi-
cannot be resolved under outstanding neering and Technology is delegated
precedents and guidelines. authority to enter into agreements
(7) Authority to issued a notice of op- with the National Institute of Stand-
portunity for hearing pursuant to ards and Technology to perform ac-
§ 1.80(g) of this chapter; and authority creditation of Telecommunication Cer-
to issue notices of apparent liability, tification Bodies (TCBs) pursuant to
final forfeiture orders, and orders can- §§ 2.960 and 2.962 of this chapter. In ad-
celling or reducing forfeitures imposed dition, the Chief is delegated authority
under § 1.80(f) of this chapter, if the to develop specific methods that will
amount set out in the notice of appar- be used to accredit TCBs, to designate
ent liability is more than $20,000. TCBs, to make determinations regard-
(8) Proposed actions following any ing the continued acceptability of indi-
case remanded by the courts. vidual TCBs, and to develop procedures
29
§ 0.247 47 CFR Ch. I (10–1–02 Edition)
that TCBs will use for performing post- two or more applicants’ comparative
market surveillance. qualifications.
(d) When an adjudicatory proceeding
FR 18088, Apr. 29, 1992; 60 FR 5324, Jan. 27, is before the Commission for the
1995; 60 FR 32119, June 20, 1995; 61 FR 4918, issuance of a final order or decision,
Feb. 9, 1996; 61 FR 31045, June 19, 1996; 62 FR the General Counsel will make every
48952, Sept. 18, 1997; 64 FR 4995, Feb. 2, 1999; effort to submit a draft order or deci-
67 FR 13220, Mar. 21, 2002] sion for Commission consideration
within four months of the filing of the
§ 0.247 Record of actions taken. last responsive pleading. If the Com-
The application and authorization mission is unable to adopt an order or
files and other appropriate files of the decision in such cases within five
Office of Engineering and Technology months of the last responsive pleading,
are designated as the official minute it shall issue an order indicating that
entries of actions taken pursuant to additional time will be required to re-
§§ 0.241 and 0.243. solve the case.
[33 FR 8228, June 1, 1968, as amended at 44 FR (e) The official record of all actions
39179, July 5, 1979; 51 FR 12615, Apr. 14, 1986] taken by the General Counsel pursuant
to § 0.251 (c) and (d) is contained in the
GENERAL COUNSEL original docket folder, which is main-
tained by the Secretary in the Dockets
§ 0.251 Authority delegated. Branch.
(a) The General Counsel is delegated (f) The General Counsel is delegated
authority to act as the ‘‘designated authority to issue written determina-
agency ethics official.’’ tions on matters regarding the inter-
(b) Insofar as authority is not dele- ception of telephone conversations.
gated to any other Bureau or Office, Nothing in this paragraph, however,
and with respect only to matters which shall affect the authority of the Inspec-
are not in hearing status, the General tor General to intercept or record tele-
Counsel is delegated authority: phone conversations as necessary in
(1) To act upon requests for extension the conduct of investigations or audits.
of time within which briefs, comments (g) The General Counsel is delegated
or pleadings may be filed. authority to issue rulings on whether
(2) To dismiss, as repetitious, any pe- violations of the ex parte rules have oc-
tition for reconsideration of a Commis- curred.
sion order which disposed of a petition (h) The General Counsel is delegated
for reconsideration and which did not authority to make determinations re-
reverse, change, or modify the original garding and waive the applicability of
order. section 4(b) of the Communications Act
(3) To dismiss or deny petitions for (47 U.S.C. § 154(b)) and the Federal con-
rulemaking which are repetitive or flict of interest statutes (18 U.S.C.
moot or which, for other reasons, §§ 203, 205 and 208).
plainly do not warrant consideration (Secs. 2, 3, 4, 5, 301, 303, 307, 308, 309, 315, 317,
by the Commission. 48 Stat., as amended, 1064, 1065, 1066, 1068,
(4) To dismiss as repetitious any peti- 1081, 1082, 1083, 1084, 1085, 1088, 1089; 47 U.S.C.
tion for reconsideration of a Commis- 152, 153, 154, 155, 301, 303, 307, 308, 309, 315, 317)
sion order denying an application for [28 FR 12402, Nov. 22, 1963]
review which fails to rely on new facts
or changed circumstances. EDITORIAL NOTE: For FEDERAL REGISTER ci-
tations affecting § 0.251, see the List of CFR
(c) The General Counsel is delegated
authority in adjudicatory hearing pro- Finding Aids section of the printed volume
ceedings which are pending before the and on GPO Access.
Commission en banc to act on all re-
quests for relief, and to issue all appro- INTERNATIONAL BUREAU
priate orders, except those which in-
volve final disposition on the merits of SOURCE: Sections 0.261 and 0.262 appear at
a previously specified issue concerning 60 FR 5324, Jan. 27, 1995, unless otherwise
an applicant’s basic qualifications or noted.
30
§ 0.261 Authority delegated. chapter and to coordinate its efforts

(a) Subject to the limitations set with the Wireless Telecommunications
forth in paragraph (b) of this section, Bureau.
the Chief, International Bureau, is (11) To administer Commission par-
hereby delegated the authority to per- ticipation in the International Tele-
form the functions and activities de- communication Union (ITU) Fellow-
scribed in § 0.51, including without limi- ship telecommunication training pro-
tation the following: gram for foreign officials offered
(1) To recommend rulemakings, stud- through the U.S. Telecommunications
ies, and analyses (legal, engineering, Training Institute;
social, and economic) of various peti- (12) In consultation with the affected
tions for policy or rule changes sub- Bureaus and Offices, to recommend re-
mitted by industry or the public, and vision of Commission rules and proce-
to assist the Commission in conducting dures as appropriate to conform to the
the same; outcomes of international conferences,
(2) To assume the principal represen- agreements, or treaties;
tational role on behalf of the Commis- (13) To notify the ITU of the United
sion in international conferences, States’ terrestrial and satellite assign-
meetings, and negotiations, and direct ments for inclusion in the Master
Commission preparation for such con- International Frequency Register;
ferences, meetings, and negotiations
(14) To conduct studies and compile
with other bureaus and offices, as ap-
propriate; such data relating to international
(3) To act upon applications for inter- telecommunications as may be nec-
national telecommunications and serv- essary for the Commission to develop
ices pursuant to part 23 of this chapter and maintain an adequate regulatory
and relevant portions of part 63 of this program; and
chapter, and coordinate with the (15) To interpret and enforce rules
Wireline Competition Bureau as appro- and regulations pertaining to matters
priate; under its jurisdiction and not within
(4) To act upon applications for inter- the jurisdiction of the Enforcement Bu-
national and domestic satellite sys- reau.
tems and earth stations pursuant to (b) Notwithstanding the authority
part 25 and part 100 of this chapter; delegated in paragraph (a) of this sec-
(5) To act upon applications for cable tion, the Chief, International Bureau,
landing licenses pursuant to § 1.767 of shall not have authority:
this chapter; (1) To act on any application, peti-
(6) To act upon requests for designation, pleading, complaint, enforcement
tion of Recognized Private Operating matter, or other request that:
Agency (RPOA) status under part 63 of (i) Presents new or novel arguments
this chapter; not previously considered by the Com-
(7) To act upon applications relating mission;
to international broadcast station op- (ii) Presents facts or arguments
erations, or for permission to deliver
which appear to justify a change in
programming to foreign stations, under
Commission policy; or
part 73 of this chapter;
(8) To administer and enforce the (iii) Cannot be resolved under out-
policies and rules on international set- standing precedents and guidelines
tlements under part 64 of this chapter; after consultation with appropriate Bu-
(9) To administer portions of part 2 of reaus or Offices.
this chapter dealing with international (2) To issue notices of proposed rule-
treaties and call sign provisions, and to making, notices of inquiry, or reports
make call sign assignments, individ- or orders arising from rulemaking or
ually and in blocks, to U.S. Govern- inquiry proceedings;
ment agencies and FCC operating bu- (3) To act upon any application for
reaus; review of actions taken by the Chief,
(10) To act upon applications for clo- International Bureau, pursuant to dele-
sure of public coast stations in the gated authority, which application
maritime service under part 63 of this complies with § 1.115 of this chapter;
31
§ 0.262 47 CFR Ch. I (10–1–02 Edition)
(4) To act upon any formal or infor- shall be referred to the Commission en
mal radio application or section 214 ap- banc for disposition:
plication for common carrier services (a) Notices of proposed rulemaking
which is in hearing status; and of inquiry and final orders in such
(5) To designate for hearing any ap- proceedings, with the exception of rule-
plications except: making proceedings involving the al-
(i) Mutually exclusive applications lotment of FM and television channels.
for radio facilities filed pursuant to (b) Application for review of actions
parts 23, 25, 73, or 100 of this chapter; taken pursuant to delegated authority.
and (c) Matters that present novel ques-
(ii) Applications for facilities where tions of law, fact or policy that cannot
the issues presented relate solely to be resolved under existing precedents
whether the applicant has complied and guidelines.
with outstanding precedents and guide- (d) The imposition, reduction or can-
lines; or cellation of forfeitures pursuant to sec-
(6) To impose, reduce, or cancel for- tion 503(b) of the Communications Act
feitures pursuant to section 203 or sec- of 1934, as amended, in amounts of
tion 503(b) of the Communications Act more than $20,000.
of 1934, as amended, in amounts of [67 FR 13220, Mar. 21, 2002]
more than $80,000 for common carrier
providers and $20,000 for non-common § 0.284 Actions taken under delegated
carrier providers. authority.
[60 FR 5324, Jan. 27, 1995, as amended at 60
(a) In discharging the authority con-
FR 35506, July 10, 1995; 64 FR 60721, Nov. 8, ferred by § 0.283 of this part, the Chief,
1999; 67 FR 13220, Mar. 21, 2002] Media Bureau, shall establish working
relationships with other bureaus and
§ 0.262 Record of actions taken. staff offices to assure the effective co-
The application and authorization ordination of actions taken in the fol-
files in the appropriate central files of lowing areas of joint responsibility;
the International Bureau are des- (1) Complaints arising under section
ignated as the Commission’s official 315 of the Communications Act—Office
records of actions by the Chief, Inter- of General Counsel.
national Bureau, pursuant to authority (2) Requests for waiver of tower
delegated to him. painting and lighting specifications-
Wireless Telecommunications Bureau.
OFFICE OF PLANS AND POLICY (3) Matters involving emergency
communications, including the
§ 0.271 Authority delegated. issuance of Emergency Alert System
Authorizations (FCC Form 392)—En-
(a) Insofar as authority is not dele-
forcement Bureau.
gated to any other Bureau or Office,
(4) Requests for use of frequencies or
and with respect only to matters which
bands of frequencies shared with pri-
are not in hearing status, the Chief, Of-
vate sector nonbroadcast or govern-
fice of Plans and Policy is delegated
ment services—Office of Engineering
authority to deny requests or to extend
and Technology and appropriate oper-
the time within which comments may
ating bureau.
be filed in dockets over which the Of-
(5) Requests involving coordination
fice of Plans and Policy has primary
with other agencies of government—Of-
authority.
fice of General Counsel, Office of Engi-
(b) [Reserved]
neering and Technology and appro-
[45 FR 10347, Feb. 15, 1980] priate operating bureau.
(6) Proposals involving possible
CHIEF, MEDIA BUREAU harmful impact on radio astronomy or
radio research installations—Office of
§ 0.283 Authority delegated. Engineering and Technology.
The Chief, Media Bureau, is dele- (7) [Reserved]
gated authority to perform all func- (b) With respect to non-routine appli-
tions of the Bureau, described in § 0.61, cations granted under authority dele-
provided that the following matters gated in § 0.283 of this part, the Chief,
32
Media Bureau or his designees, shall reau shall not have authority to im-
enter on the working papers associated pose, reduce or cancel forfeitures pur-
with each application a narrative jus- suant to Section 203 or Section 503(b) of
tification of the action taken. While the Communications Act of 1934, as
not available for public inspection, amended, in amounts of more than
these working papers shall, upon re- $80,000.
quest, be made available to the Com- (d) Authority concerning applications
missioners and members of their staffs. for review. The Chief, Wireline Competi-
[47 FR 47829, Oct. 28, 1982; 47 FR 56852, Dec. tion Bureau shall not have authority
21, 1982, as amended at 51 FR 12615, Apr. 14, to act upon any applications for review
1986; 52 FR 5288, Feb. 20, 1987; 59 FR 32132, of actions taken by the Chief, Wireline
June 22, 1994; 59 FR 67092, Dec. 28, 1994; 61 FR Competition Bureau, pursuant to any
8477, Mar. 5, 1996; 64 FR 60721, Nov. 8, 1999; 67 delegated authority.
FR 13220, Mar. 21, 2002] (e) Authority concerning rulemaking
and investigatory proceedings. The Chief,
§ 0.285 Record of actions taken.
Wireline Competition Bureau, shall not
The history card, the station file, and have authority to issue notices of pro-
other appropriate files are designated posed rulemaking, notices of inquiry,
to be the official records of action or reports or orders arising from either
taken by the Chief of the Media Bu- of the foregoing, except that the Chief,
reau. The official records of action are Wireline Competition Bureau, shall
maintained in the Reference Informa- have authority, in consultation and co-
tion Center in the Consumer and Gov- ordination with the Chief, Inter-
ernmental Affairs Bureau. national Bureau, to issue and revise a
[67 FR 13220, Mar. 21, 2002] manual on the details of the reporting
requirements for international carriers
CHIEF, WIRELINE COMPETITION BUREAU set forth in § 43.61(d) of this chapter.
(f) Authority concerning the issuance of
§ 0.291 Authority delegated. subpoenas. The Chief of the Wireline
The Chief, Wireline Competition Bu- Competition Bureau or her/his designee
reau, is hereby delegated authority to is authorized to issue non-hearing re-
perform all functions of the Bureau, de- lated subpoenas for the attendance and
scribed in § 0.91, subject to the fol- testimony of witnesses and the produc-
lowing exceptions and limitations. tion of books, papers, correspondence,
(a) Authority concerning applications. memoranda, schedules of charges, con-
(1) The Chief, Wireline Competition Bu- tracts, agreements, and any other
reau shall not have authority to act on records deemed relevant to the inves-
any formal or informal common carrier tigation of matters within the jurisdic-
applications or section 214 applications tion of the Wireline Competition Bu-
for common carrier services which are reau. Before issuing a subpoena, the
in hearing status. Bureau shall obtain the approval of the
(2) The Chief, Wireline Competition Office of General Counsel.
Bureau shall not have authority to act (g) The Chief, Wireline Competition
on any applications or requests which Bureau, is delegated authority to enter
present novel questions of fact, law or into agreements with the National In-
policy which cannot be resolved under stitute of Standards and Technology to
outstanding precedents and guidelines. perform accreditation of Telecommuni-
(b) Authority concerning section 220 of cation Certification Bodies (TCBs) pur-
the Act. The Chief, Wireline Competi- suant to §§ 68.160 and 68.162 of this chap-
tion Bureau shall not have authority ter. In addition, the Chief is delegated
to promulgate regulations or orders authority to develop specific methods
prescribing permanent depreciation that will be used to accredit TCBs, to
rates for common carriers, or to pre- designate TCBs, to make determina-
scribe interim depreciation rates to be tions regarding the continued accept-
effective more than one year, pursuant ability of individual TCBs and to de-
to section 220 of the Communications velop procedures that TCBs will use for
Act of 1934, as amended. performing post-market surveillance.
(c) Authority concerning forfeitures. (h) Authority concerning petitions for
The Chief, Wireline Competition Bu- pricing flexibility. (1) The Chief,
33
§ 0.301 47 CFR Ch. I (10–1–02 Edition)
Wireline Competition Bureau, shall § 0.304 Authority for determinations of

have authority to act on petitions filed exempt telecommunications com-
pursuant to part 69, subpart H, of this pany status.
chapter for pricing flexibility involving Authority is delegated to the Chief,
special access and dedicated transport Wireline Competition Bureau to act
services. This authority is not subject upon any application for a determina-
to the limitation set forth in paragraph tion of exempt telecommunications
(a)(2) of this section. company status filed pursuant to sec-
(2) The Chief, Wireline Competition tion 34(a)(1) of the Public Utility Hold-
Bureau, shall not have authority to act ing Company Act of 1935, as amended
on petitions filed pursuant to part 69, by section 103 of the Telecommuni-
subpart H, of this chapter for pricing cations Act of 1996.
flexibility involving common line and
traffic sensitive services. [64 FR 5950, Feb. 8, 1999, as amended at 67 FR
13221, Mar. 21, 2002]
(Secs. 4, 5, 303, 48 Stat. 1066, 1068, 1082, as
amended; 47 U.S.C. 154, 155, 303; secs. 2, 3, 4, ENFORCEMENT BUREAU
5, 301, 303, 307, 308, 309, 315, 317, 48 Stat., as
amended, 1064, 1065, 1066, 1068, 1081, 1082, 1083, § 0.311 Authority delegated.
1084, 1085, 1089; 47 U.S.C. 152, 153, 154, 155, 303,
307, 308, 309, 315, 317) The Chief, Enforcement Bureau, is
delegated authority to perform all
[44 FR 18501, Mar. 28, 1979] functions of the Bureau, described in
EDITORIAL NOTE: For FEDERAL REGISTER ci- § 0.111, provided that:
tations affecting § 0.291, see the List of CFR (a) The following matters shall be re-
Sections Affected, which appears in the ferred to the Commission en banc for
Finding Aids section of the printed volume
disposition:
and on GPO Access.
(1) Notices of proposed rulemaking
§ 0.301 [Reserved] and of inquiry and final orders in such
proceedings.
§ 0.302 Record of actions taken. (2) Applications for review of actions
The application and authorization taken pursuant to delegated authority.
files are designated as the Commis- (3) Matters that present novel ques-
sion’s official records of action of the tions of law, fact or policy that cannot
Chief, Wireline Competition Bureau be resolved under existing precedents
pursuant to authority delegated to the and guidelines.
Chief. The official records of action are (4) Forfeiture notices and forfeiture
maintained in the Reference Informa- orders if the amount is more than
tion Center in the Consumer and Gov- $100,000 in the case of common carriers
ernmental Affairs Bureau. or more than $25,000 in the case of all
other persons or entities.
[67 FR 13221, Mar. 21, 2002] (5) Orders concluding an investiga-
tion under section 208(b) of the Com-
§ 0.303 Authority concerning registra-
tion of telephone terminal equip- munications Act and orders addressing
ment. petitions for reconsideration of such
orders.
Authority is delegated to the Chief of (6) Release of information pursuant
the Wireline Competition Bureau joint- to section 220(f) of the Communications
ly in cooperation with the Chief Engi- Act, except for release of such informa-
neer to act upon applications for reg- tion to a state public utility commis-
istration of equipment to be directly sion or in response to a Freedom of In-
connected to the telephone network; formation Act Request.
Provided, however, That the Chief, (b) Action on complaints regarding
Wireline Competition Bureau shall ex- compliance with section 705(a) of the
ercise overall policy direction of the Communications Act shall be coordi-
program, with appropriate consulta- nated with the Office of General Coun-
tion with the Chief Engineer (For sel.
record of actions taken under this sec-
(c) Action on emergency requests for
tion, see § 0.247).
Special Temporary Authority during
[67 FR 13221, Mar. 21, 2002] non-business hours shall be promptly
34
reported to the responsible Bureau or representative to determine operating

Office. parameters.
NOTE TO PARAGRAPH (c): See also § 0.182 of (f) Issue notices and orders to opera-
this chapter. tors of industrial, scientific, and med-
[64 FR 60721, Nov. 8, 1999, as amended at 67 ical (ISM) equipment, as provided in
FR 13221, Mar. 21, 2002] § 18.115 of this chapter.
(g) Act on requests for permission to
§ 0.314 Additional authority delegated. resume operation of ISM equipment on
a temporary basis, as provided by
The Regional Director, Deputy Re-
§ 18.115 of this chapter, and requests for
gional Director, District Director or Resi-
extensions of time within which to file
dent Agent at each installation is dele-
final reports, as provided by § 18.117 of
gated authority to act upon applica-
this chapter.
tions, requests, or other matters,
(h) Issue notices and orders to opera-
which are not in hearing status, and di-
tors of part 15 devices, as provided in
rect the following activities necessary
§ 15.5 of this chapter.
to conduct investigations or inspec-
(i) Issue notices and orders to sus-
tions:
pend operations to multi-channel video
(a) On informal requests from broad-
programming distributors, as provided
cast stations to extend temporary au-
in § 76.613 of this chapter.
thority for operation without mon-
(j) Issue notices and orders to sus-
itors, plate ammeter, plate volmeter,
pend operations to part 74 licensees, as
base current meter, common point
provided in § 74.23 of this chapter.
meter, and transmission line meter
from FM and television stations. [64 FR 60721, Nov. 8, 1999, as amended at 67
(b)(1) Extend the Communications FR 13221, Mar. 21, 2002]
Act Safety Radiotelephony Certificate
for a period of up to 90 days beyond the § 0.317 Record of action taken.
specified expiration date. The application, authorization, and
(b)(2) Grant emergency exemption re- other appropriate files of the Enforce-
quests, extensions or waivers of inspec- ment Bureau are designated as the
tion to ships in accordance with appli- Commission’s official records of action
cable provisions of the Communica- taken pursuant to authority delegated
tions Act, the Safety Convention, the under §§ 0.311 and 0.314, and shall con-
Great Lakes Agreement or the Com- stitute the official Commission min-
mission’s rules. utes entry of such actions. The official
(c) To act on and make determina- records of action are maintained in the
tions on behalf of the Commission re- Reference Information Center in the
garding requests for assignments and Consumer Information Bureau.
reassignments of priorities under the [64 FR 60722, Nov. 8, 1999]
Telecommunications Service Priority
System, Part 64 of the rules, when cir- WIRELESS TELECOMMUNICATIONS
cumstances require immediate action BUREAU
and the common carrier seeking to pro-
vide service states that it cannot con- § 0.331 Authority delegated.
tact the National Communications The Chief, Wireless Telecommuni-
System or the Commission office nor- cations Bureau, is hereby delegated au-
mally responsible for such assign- thority to perform all functions of the
ments. Bureau, described in § 0.131, subject to
(d) Require special equipment and the following exceptions and limita-
program tests during inspections or in- tions.
vestigations to determine compliance (a) Authority concerning applications.
with technical requirements specified (1) The Chief, Wireless Telecommuni-
by the Commission. cations Bureau shall not have author-
(e) Require stations to operate with ity to act on any radio applications
the pre-sunrise and nighttime facilities that are in hearing status.
during daytime hours in order that an (2) The Chief, Wireless Telecommuni-
inspection or investigation may be cations Bureau shall not have author-
made by an authorized Commission ity to act on any complaints, petitions
35
§ 0.332 47 CFR Ch. I (10–1–02 Edition)
or requests, whether or not accom- (1) Designate radio protection areas

panied by an application, when such for mandatory Vessel Traffic Services
complaints, petitions or requests (VTS) and establish marine channels as
present new or novel questions of law VTS frequencies for these areas; or
or policy which cannot be resolved (2) Designate regions for shared com-
under outstanding Commission prece- mercial and non-commercial vessel use
dents and guidelines. of VHF marine frequencies.
(b) Authority concerning forfeitures and (3) Designate by footnote to fre-
penalties. The Chief, Wireless Tele- quency table in § 80.373(f) of this chap-
communications Bureau, shall not ter marine VHF frequencies are avail-
have authority to impose, reduce, or able for intership port operations com-
cancel forfeitures pursuant to the Com- munications in defined port areas.
munications Act of 1934, as amended,
and imposed under regulations in this FR 26465, May 28, 1996; 62 FR 40285, July 28,
chapter in amounts of more than 1997; 65 FR 43715, July 14, 2000]
$80,000 for commercial radio providers
and $20,000 for private radio providers. § 0.332 Actions taken under delegated
Payments for bid withdrawal, default authority.
or to prevent unjust enrichment that In discharging the authority con-
are imposed pursuant to Section 309(j) ferred by § 0.331, the Chief, Wireless
of the Communications Act of 1934, as Telecommunications Bureau, shall es-
amended, and regulations in this chap- tablish working relationships with
ter implementing Section 309(j) gov- other bureaus and staff offices to as-
erning auction authority, are excluded sure the effective coordination of ac-
from this restriction. tions taken in the following areas of
(c) Authority concerning applications joint responsibility:
for review. The Chief, Wireless Tele- (a) [Reserved]
communications Bureau shall not have (b) Requests for waiver of tower
authority to act upon any applications painting and lighting specifications—
for review of actions taken by the Enforcement Bureau.
Chief, Wireless Telecommunications (c) Matters involving emergency
Bureau pursuant to any delegated au- communications—Enforcement Bu-
thority, except that the Chief may dis- reau.
miss any such application that does (d) Complaints involving equal em-
not comply with the filing require- ployment opportunities—Office of Gen-
ments of § 1.115 (d) and (f) of this chap- eral Counsel.
ter. (e) Requests for use of frequencies or
(d) Authority concerning rulemaking bands of frequencies shared with broad-
proceedings. The Chief, Wireless Tele- cast, common carrier, or government
communications Bureau shall not have services—Office of Engineering and
the authority to act upon notices of Technology and appropriate operating
proposed rulemaking and inquiry, final bureau.
orders in rulemaking proceedings and (f) Requests involving coordination
inquiry proceedings, and reports aris- with other Federal or state agencies
ing from any of the foregoing except when appropriate—Office of General
such orders involving ministerial con- Counsel, Office of Engineering and
forming amendments to rule parts, or Technology or operating bureau.
orders conforming any of the applica- (g) Proposals involving possible
ble rules to formally adopted inter- harmful impact on radio astronomy or
national conventions or agreements radio research installations—Office of
where novel questions of fact, law, or Engineering and Technology.
policy are not involved. Also, the addi-
tion of new Marine VHF frequency co- [40 FR 4423, Jan. 30, 1975, as amended at 44
ordination committee(s) to § 80.514 of FR 11070, Feb. 27, 1979; 44 FR 39180, July 5,
1979; 50 FR 27953, July 9, 1985; 51 FR 12615,
this chapter need not be referred to the
Apr. 14, 1986; 51 FR 20290, June 4, 1986; 52 FR
Commission if they do not involve 5288, Feb. 20, 1987; 59 FR 26971, May 25, 1994;
novel questions of fact, policy or law, 60 FR 5325, Jan. 27, 1995; 60 FR 35507, July 10,
as well as requests by the United 1995; 61 FR 8477, Mar. 5, 1996; 64 FR 60722,
States Coast Guard to: Nov. 8, 1999]
36
§§ 0.333–0.337 [Reserved] appropriate cases. See 47 CFR 1.244 of

this chapter.
ADMINISTRATIVE LAW JUDGES
[29 FR 6442, May 16, 1964, as amended at 37
FR 19372, Sept. 20, 1972; 41 FR 14870, Apr. 8,
§ 0.341 Authority of administrative law
1976; 56 FR 792, Jan. 9, 1991; 62 FR 4170, Jan.
judge.
29, 1997]
(a) After an administrative law judge
has been designated to preside at a § 0.347 Record of actions taken.
hearing and until he has issued an ini- The official record of all actions
tial decision or certified the record to taken by an Administrative Law
the Commission for decision, or the Judge, including initial and rec-
proceeding has been transferred to an- ommended decisions and actions taken
other administrative law judge, all mo- pursuant to § 0.341, is contained in the
tions, petitions and other pleadings original docket folder, which is main-
shall be acted upon by such adminis- tained in the Reference Information
trative law judge, except the following: Center of the Consumer and Govern-
(1) Those which are to be acted upon mental Affairs Bureau.
by the Commission. See § 1.291(a)(1) of [64 FR 60722, Nov. 8, 1999, as amended at 67
this chapter. FR 13221, Mar. 21, 2002]
(2) Those which are to be acted upon
by the Chief Administrative Law Judge CHIEF ADMINISTRATIVE LAW JUDGE
under § 0.351.
(b) Any question which would be § 0.351 Authority delegated.
acted upon by the administrative law The Chief Administrative Law Judge
judge if it were raised by the parties to shall act on the following matters in
the proceeding may be raised and acted proceedings conducted by hearing ex-
upon by the administrative law judge aminers:
on his own motion. (a) Initial specifications of the time
(c) Any question which would be and place of hearings where not other-
acted upon by the Chief Administrative wise specified by the Commission and
Law Judge or the Commission, if it excepting actions under authority dele-
were raised by the parties, may be cer- gated by § 0.296.
tified by the administrative law judge, (b) Designation of the hearing exam-
on his own motion, to the Chief Admin- iner to preside at hearings.
istrative Law Judge, or the Commis- (c) Orders directing the parties or
sion, as the case may be. their attorneys to appear at a specified
(d) In the conduct of routine broad- time and place before the hearing ex-
cast comparative hearings involving aminer for an initial prehearing con-
applicants for only new facilities, i.e., ference in accordance with § 1.251(a) of
cases that do not involve numerous ap- this chapter. (The administrative law
judge named to preside at the hearing
plicants and/or motions to enlarge
may order an initial prehearing con-
issues, the presiding administrative
ference although the Chief Administra-
law judge shall make every effort to
tive Law Judge may not have seen fit
conclude the case within nine months to do so and may order supplementary
of the release of the hearing designa- prehearing conferences in accordance
tion order. In so doing, the presiding with § 1.251(b) of this chapter.)
judge will make every effort to release (d) Petitions requesting a change in
an initial decision in such cases within the place of hearing where the hearing
90 days of the filing of the last respon- is scheduled to begin in the District of
sive pleading. Columbia or where the hearing is
(e) Upon assignment by the Chief Ad- scheduled to begin at a field location
ministrative Law Judge, Administra- and all appropriate proceedings at that
tive Law Judges, including the Chief location have not been completed. (See
Judge, will act as settlement judges in § 1.253 of this chapter.) However, if all
37
§ 0.357 47 CFR Ch. I (10–1–02 Edition)
parties to a proceeding concur in hold- Bureau, described in § 0.141, provided

ing all hearing sessions in the District that the following matters shall be re-
of Columbia rather than at any field lo- ferred to the Commission en banc for
cation, the presiding administrative disposition:
law judge may act on the request. (a) Notices of proposed rulemaking
(e) In the absence of the administra- and of inquiry and final orders in such
tive law judge who has been designated proceedings.
to preside in a proceeding, to discharge (b) Application for review of actions
the administrative law judge’s func- taken pursuant to delegated authority.
tions. (c) Matters that present novel ques-
(f) All pleadings filed, or matters tions of law, fact or policy that cannot
which arise, after a proceeding has be resolved under existing precedents
been designated for hearing, but before and guidelines.
a law judge has been designated, which
would otherwise be acted upon by the [64 FR 60722, Nov. 8, 1999, as amended at 67
FR 13221, Mar. 21, 2002]
law judge, including all pleadings filed,
or matters which arise, in cease and de- NATIONAL SECURITY AND EMERGENCY
sist and/or revocation proceedings prior PREPAREDNESS DELEGATIONS
to the designation of a presiding offi-
cer. § 0.381 Defense Commissioner.
(g) All pleadings (such as motions for
The authority delegated to the Com-
extension of time) which are related to
mission under Executive Order 11490 is
matters to be acted upon by the Chief
redelegated to the Defense Commis-
Administrative Law Judge.
(h) If the administrative law judge sioner.
designated to preside at a hearing be- [41 FR 31210, July 27, 1976]
comes unavailable, to order a rehearing
or to order that the hearing continue § 0.383 Emergency Relocation Board,
before another administrative law authority delegated.
judge and, in either case, to designate (a) During any period in which the
the judge who is to preside. Commission is unable to function be-
(i) The consolidation of related pro- cause of the circumstances set forth in
ceedings pursuant to § 1.227(a) of this § 0.186(b), all work, business or func-
chapter, after designation of those pro- tions of the Federal Communications
ceedings for hearing. Commission arising under the Commu-
[29 FR 6443, May 16, 1964, as amended at 37 nications Act of 1934, as amended, is as-
FR 19372, Sept. 20, 1972; 38 FR 30559, Nov. 6, signed and referred to the Emergency
1973; 43 FR 49307, Oct. 23, 1978; 44 FR 76295, Relocation Board.
Dec. 26, 1979] (b) The Board, acting by a majority
thereof, shall have the power and au-
§ 0.357 Record of actions taken. thority to hear and determine, order,
The official record of all actions certify, report or otherwise act as to
taken by the Chief Administrative Law any of the said work, business or func-
Judge in docketed proceedings pursu- tions so assigned or referred to it, and
ant to § 0.351 is contained in the origi- in respect thereof shall have all the ju-
nal docket folder, which is maintained risdiction and powers conferred by law
by the Reference Information Center of upon the Commission, and be subject
the Consumer and Governmental Af- to the same duties and obligations.
fairs Bureau. (c) Any order, decision or report
made or other action taken by the said
FR 13221, Mar. 21, 2002]
Board in respect of any matters so as-
signed or referred shall have the same
CONSUMER AND GOVERNMENTAL AFFAIRS effect and force, and may be made, evi-
BUREAU denced, and enforced in the same man-
ner, as if made or taken by the Com-
§ 0.361 Authority delegated. mission.
The Chief, Consumer and Govern- [28 FR 12402, Nov. 22, 1963, as amended at 33
mental Affairs Bureau, is delegated au- FR 8228, June 1, 1968; 53 FR 29055, Aug. 2,
thority to perform all functions of the 1988]
38
§ 0.387 Other national security and ferences, meetings, and negotiations on

emergency preparedness delega- EEO and workplace diversity issues;
tions; cross reference. (i) Develop programs and strategies
(a) For authority of the Chief of the designed to foster and encourage fair-
Media Bureau to issue Emergency ness, equality, and inclusion of all em-
Alert System Authorizations (FCC ployees in the workforce.
Form 392), see §§ 0.284 (a)(4) and 73.913. [61 FR 2728, Jan. 29, 1996]
(b) For authority of the Chief of the
Enforcement Bureau to declare a gen- Subpart C—General Information
eral communications emergency, see
§ 0.182(j). GENERAL
FR 17254, Apr. 18, 1975; 53 FR 29055, Aug. 2, § 0.401 Location of Commission offices.
1988; 54 FR 15195, Apr. 17, 1989; 61 FR 8477, The Commission maintains several
Mar. 5, 1996; 64 FR 60722, Nov. 8, 1999; 67 FR offices and receipt locations. Applica-
13221, Mar. 21, 2002] tions and other filings not submitted in
accordance with the addresses or loca-
OFFICE OF WORKPLACE DIVERSITY
tions set forth below will be returned
§ 0.391 Authority delegated. to the applicant without processing.
When an application or other filing
The Director, Office of Workplace Di- does not involve the payment of a fee,
versity, or his/her designee, is hereby the appropriate filing address or loca-
delegated authority to: tion is established elsewhere in the
(a) Manage the Commission’s inter- rules for the various types of submis-
nal EEO compliance program pursuant sions made to the Commission. The
to Title VII of the Civil Rights Act of public should identify the correct filing
1964, as amended, the Rehabilitation location by reference to these rules.
Act of 1973, as amended, the Age Dis- Applications or submissions requiring
crimination in Employment Act of fees must be submitted in accordance
1967, as amended, the Equal Pay Act, with § 0.401(b) of the rules irrespective
and other applicable laws, rules, regu- of the addresses that may be set out
lations, and Executive Orders, with au- elsewhere in the rules for other submis-
thority that includes appointing EEO sions.
counselors, investigators, and medi- (a) General correspondence, as well
ators; investigating complaints of em- as applications and filings not requir-
ployment discrimination, and recom- ing the fees set forth at part 1, subpart
mending to the Chairman final agency G of the rules (or not claiming an ex-
decisions on EEO complaints; emption, waiver or deferral from the
(b) Mediate EEO complaints; fee requirement), should be delivered
(c) Develop the Commission’s affirm- to one of the following locations.
ative action goals and objectives; (1) The main office of the Commis-
(d) Collect and analyze data on the sion is located at 445 12th Street, SW.,
Commission’s affirmative action and Washington, DC 20554.
EEO activities and accomplishments; (i) Documents submitted by mail to
(e) Prepare and release reports on this office should be addressed to: Fed-
EEO, affirmative action, workplace di- eral Communications Commission,
versity, and related subjects; Washington, DC 20554.
(f) Review personnel activities, in- (ii) Hand-carried documents should
cluding hiring, promotions, discipline, be delivered to the Secretary’s Office,
training, awards, and performance rec- Room TW–A325, 445 12th Street, SW.,
ognition for conformance with EEO Washington, DC 20554.
and workplace diversity goals, objec- (iii) Electronic filings, where per-
tives and requirements; mitted, must be transmitted as speci-
(g) Conduct studies and collect data fied by the Commission or relevant Bu-
on workplace diversity issues and prob- reau or Office.
lems; (2) The Commission’s laboratory is
(h) Assume representational role on located near Columbia, Maryland. The
behalf of the Commission at con- mailing address is:
39
§ 0.403 47 CFR Ch. I (10–1–02 Edition)
Federal Communications Commission, the addresses listed in the appropriate
Equipment Authorization Division, 7435 fee rules.
Oakland Mills Road, Columbia, MD 21046
NOTE: Wireless Telecommunications Bu-
(3) The Commission also maintains reau applications that require frequency co-
offices at Gettysburg, PA. ordination by certified coordinators must be
(i) The address of the Wireless Tele- submitted to the appropriate certified fre-
communications Bureau’s licensing fa- quency coordinator before filing with the
cilities are: Commission. After coordination, the applica-
(A) Federal Communications Com- tions are filed with the Commission as set
mission, 1270 Fairfield Road, Gettys- forth herein. (See §§ 90.127 and 90.175 of this
burg, PA 17325–7245; and chapter.)
(B) Federal Communications Com- (2) Applications and other filings
mission, Wireless Telecommunications may also be hand carried, in person or
Bureau, Washington, DC 20554. by courier, to the Mellon Bank, Three
(ii) The mailing address of the Inter- Mellon Bank Center, 525 William Penn
national Telecommunications Section Way, 27th Floor, room 153–2713, Pitts-
of the Finance Branch is: Federal Com- burgh, Pennsylvania. All applications
munications Commission, P.O. Box IT–
and filings delivered in this manner
70, Gettysburg, PA 17326.
must be in an envelope clearly marked
(4) The locations of the field offices
for the ‘‘Federal Communications Com-
of the Compliance and Information Bu-
mission,’’ addressed to the attention of
reau are listed in § 0.121.
‘‘Wholesale Lockbox Shift Supervisor,’’
(5) The location of the Office of Gen-
and identified with the appropriate
eral Counsel is 445 12th Street, SW,
Washington, DC 20554. Post Office Box address as set out in
(b) Applications or filings requiring the fee schedule (§§ 1.1102–1.1107). Appli-
the fees set forth at part 1, subpart G of cations should be enclosed in a sepa-
the rules must be delivered to the Com- rate envelope for each Post Office Box.
mission’s lockbox bank in Pittsburgh, Hand-carried or couriered applications
Pennsylvania with the correct fee and and filings may be delivered at any
completed Fee Form attached to the time on any day. Applications or fil-
application or filing, unless otherwise ings received by the bank before mid-
directed by the Commission. In the night on any Commission business day
case of any conflict between this rule will be treated as having been filed on
subpart and other rules establishing that day. Materials received by the
filing locations for submissions subject bank after midnight, Monday through
to a fee, this subpart shall govern. Friday, or on weekends or holidays,
will be treated as having been filed on
NOTE: Applicants seeking a waiver or de- the next Commission business day.
ferral of fees must submit their application
(3) Alternatively, applications and
or filing in accordance with the addresses set
forth below. Applicants claiming a statutory other filings may be sent electronically
exemption from the fees should file their ap- via the Universal Licensing System
plications in accordance with paragraph (a) (ULS).
of this section.
[52 FR 10227, Mar 31, 1987, as amended at 53
(1) Applications and filings submitted FR 18564, May 24, 1988; 53 FR 40886, Oct. 19,
by mail shall be addressed to the Mel- 1988; 54 FR 12453, Mar. 27, 1989; 55 FR 19154,
lon Bank in Pittsburgh, Pennsylvania. May 8, 1990; 56 FR 64714, Dec. 12, 1991; 58 FR
The bank maintains separate post of- 13020, Mar. 9, 1993; 60 FR 5325, Jan. 27, 1995; 60
FR 35507, July 10, 1995; 61 FR 8477, Mar. 5,
fice boxes for the receipt of different 1996; 63 FR 24124, May 1, 1998; 63 FR 36596,
types of applications. It will also estab- July 7, 1999; 63 FR 68919, Dec. 14, 1998; 65 FR
lish special post office boxes to receive 58466, Sept. 29, 2000; 67 FR 13221, Mar. 21, 2002]
responses to special filings such as ap-
plications filed in response to ‘‘filing § 0.403 Office hours.
windows’’ established by the Commis-
The main offices of the Commission
sion. The address for the submission of
are open from 8 a.m. to 5:30 p.m., Mon-
filings will be established in the Public
day through Friday, excluding legal
Notice announcing the filing dates. In
holidays, unless otherwise stated.
all other cases, applications and filings
submitted by mail should be sent to [52 FR 10228, Mar. 31, 1987]
40
§ 0.405 Statutory provisions. for example, part 2 is followed by part

The following statutory provisions, 5, and § 1.8 is followed by § 1.10; in this
among others, will be of interest to case, parts 3 and 4 and § 1.9 have been
persons having business with the Com- reserved for future use. In numbering
mission: sections, the number before the period
(a) The Federal Communications is the part number; and the number
Commission was created by the Com- after the period locates the section
munications Act of 1934, 48 Stat. 1064, within that part. Thus, for example,
June 19, 1934, as amended, 47 U.S.C. 151– § 1.1 is the first section of part 1 and
609. § 5.1 is the first section in part 5. Ex-
(b) The Commission exercises author- cept in the case of accounting regula-
ity under the Submarine Cable Landing tions (parts 31–35), the period should
Act, 42 Stat. 8, May 27, 1921, 47 U.S.C. not be read as a decimal point; thus,
34–39. See section 5 of Executive Order § 1.511 is not located between §§ 1.51 and
10530, 19 FR 2709, May 10, 1954, as 1.52 but at a much later point in the
amended, 3 CFR, 1965 ed., p. 463. rules. In citing the Code of Federal
(c) The Commission exercises author- Regulations, the citation, 47 CFR 5.1,
ity under the Communications Sat- for example, is to § 5.1 (in part 5) of
ellite Act of 1962, 76 Stat. 419, August chapter I of title 47 of the Code, and
31, 1962, 47 U.S.C. 701–744. permits the exact location of that rule.
(d) The Commission operates under No citation to other rule units (e.g.,
the Administrative Procedure Act, 60 subpart or chapter) is needed.
Stat. 237, June 11, 1946, as amended, (b) Contents. Parts 0–19 of the rules
originally codified as 5 U.S.C. 1001–1011. have been reserved for provisions of a
Pursuant to Pub. L. 89–554, September general nature. Parts 20–69 of this
6, 1966, 80 Stat. 378, the provisions of chapter have been reserved for provi-
the Administrative Procedure Act now sions pertaining to common carriers.
appear as follows in the Code: Parts 20–29 and 80–109 of this chapter
have been reserved for provisions per-
Administrative Procedure Act 5 U.S.C. taining to the wireless telecommuni-
Sec. 2–9 ...................................... 551–558
cations services. In the rules per-
Sec. 10 ........................................ 701–706 taining to common carriers, parts 20–25
Sec. 11 ........................................ 3105, 7521, 5362, 1305 and 80–99 of this chapter pertain to the
Sec. 12 ........................................ 559
use of radio; In the rules pertaining to
common carriers, parts 21, 23, and 25 of
[32 FR 10570, July 19, 1967] this chapter pertain to the use of radio;
parts 31–66 of this chapter pertain pri-
§ 0.406 The rules and regulations. marily to telephone and telegraph
Persons having business with the companies. Persons having business
Commission should familiarize them- with the Commission will find it useful
selves with those portions of its rules to consult one or more of the following
and regulations pertinent to such busi- parts containing provisions of a gen-
ness. All of the rules have been pub- eral nature in addition to the rules of
lished and are readily available. See the radio or wire communication serv-
§§ 0.411(b), 0.412, and 0.415. For the ben- ice in which they are interested:
efit of those who are not familiar with (1) Part 0, Commission organization.
the rules, there is set forth in this sec- Part 0 describes the structure and func-
tion a brief description of their format tions of the Commission, lists delega-
and contents. tions of authority to the staff, and sets
(a) Format. The rules are set forth in forth information designed to assist
the Code of Federal Regulations as those desiring to obtain information
chapter I of title 47. Chapter I is di- from, or to do business with, the Com-
vided into parts numbered from 0–99. mission. This part is designed, among
Each part, in turn, is divided into num- other things, to meet certain of the re-
bered sections. To allow for the addi- quirements of the Administrative Pro-
tion of new parts and sections in log- cedure Act, as amended.
ical sequence, without extensive re- (2) Part 1 of this chapter, practice and
numbering, parts and sections are not procedure. Part 1, subpart A, of this
always numbered consecutively. Thus, chapter contains the general rules of
41
§ 0.406 47 CFR Ch. I (10–1–02 Edition)
practice and procedure. Except as ex- persons involved in hearing pro-

pressly provided to the contrary, these ceedings.
rules are applicable in all Commission (3) Part 2, frequency allocations and
proceedings and should be of interest radio treaty matters; general rules and
to all persons having business with the regulations. Part 2 will be of interest to
Commission. Part 1, subpart A of this all persons interested in the use of
chapter also contains certain other radio. It contains definitions of tech-
miscellaneous provisions. Part 1, sub- nical terms used in the rules and regu-
part B, of this chapter contains the lations; provisions governing the allo-
procedures applicable in formal hear- cation of radio frequencies among the
ing proceedings (see § 1.201 of this chap- numerous uses made of radio (e.g.,
ter). Part 1, subpart C, of this chapter broadcasting, land mobile) and radio
contains the procedures followed in services (e.g., television, public safety),
making or revising the rule or regula- including the Table of Frequency
tions. Part 1, subpart D, of this chapter Allocaions (§ 2.106); technical provi-
contains rules applicable to applica- sions dealing with emissions; provi-
tions for licenses in the Broadcast sions dealing with call signs and emer-
Radio Services, including the forms to gency communications; provisions gov-
be used, the filing requirements, the
erning authorization of radio equip-
procedures for processing and acting
ment; and a list of treaties and other
upon such applications, and certain
international agreements pertaining to
other matters. Part 1, subpart F, of
the use of radio.
this chapter contain rules applicable to
applications for licenses in the Wire- (4) Part 5, experimental radio services
less Telecommunications Bureau serv- (other than broadcast). Part 5 deals with
ices, including the forms to be used, the temporary use of radio frequencies
the filing requirements, the procedures for research in the radio art, for com-
for processing and acting on such appli- munication involving other research
cations, and certain other matters. Ad- projects, and for the development of
ditional procedures applicable to cer- equipment, data, or techniques.
tain common carriers by radio are set (5) Part 13, commercial radio operators.
forth in part 21 of this chapter. Part 1, Part 13 describes the procedures to be
subpart F, of this chapter contains followed in applying for a commercial
rules applicable to applications for li- operator license, including the forms to
censes in the Private Radio Services, be used and the examinations given,
including the forms to be used, the fil- and sets forth rules governing licensed
ing requirements, the procedures for operators. It will be of interest to ap-
processing and acting on such applica- plicants for such licenses, licensed op-
tions, and certain other matters. Part erators, and the licensees of radio sta-
1, subpart G, of this chapter contains tions which may be operated only by
rules pertaining to the application persons holding a commercial radio op-
processing fees established by the Con- erator license.
solidated Omnibus Budget Reconcili- (6) Part 15, radio frequency devices.
ation Act of 1985 (Pub. L. 99–272, 100 Part 15 contains regulations designed
Stat. 82 (1986)) and also contains rules to prevent harmful interference to
pertaining to the regulatory fees estab- radio communication from radio re-
lished by the Omnibus Budget Rec- ceivers and other devices which radiate
onciliation Act of 1993 (Pub. L. 103–66, radio frequency energy, and provides
107 Stat. 397 (1993)). Part 1, subpart H, for the certification of radio receivers.
of this chapter, concerning ex parte It also provides for the certification of
presentations, sets forth standards gov- low power transmitters and for the op-
erning communications with commis-
eration of certificated transmitters
sion personnel in hearing proceedings
without a license.
and contested application proceedings.
Part 1, subparts G and H, of this chap- (7) Part 17, construction, marking, and
ter will be of interest to all regulatees, lighting of antenna structures. Part 17
and part 1, subpart H, of this chapter contains criteria for determining
will, in addition, be of interest to all whether applications for radio towers
42
require notification of proposed con- for the Commission information collec-

struction to the Federal Aviation Ad- tion requirements assigned by the Of-
ministration, and specifications for ob- fice of Management and Budget
struction marking and lighting of an- (‘‘OMB’’) pursuant to the Paperwork
tenna structures. Reduction Act of 1995, Public Law 104–
(8) Part 18, industrial, scientific and 13. The Commission intends that this
medical equipment. Part 18 contains reg- section comply with the requirement
ulations designed to prevent harmful that agencies display current control
interference to radio communication
numbers and expiration dates assigned
from ultrasonic equipment, industrial
by the Director, OMB, for each ap-
heating equipment, medical diathermy
equipment, radio frequency stabilized proved information collection require-
arc welders, and other equipment ment. Not withstanding any other pro-
which uses radio energy for purposes visions of law, no person shall be sub-
other than communication. ject to any penalty for failing to com-
(9) Part 19, employee responsibilities ply with a collection of information
and conduct. Part 19 prescribes stand- subject to the Paperwork Reduction
ards of conduct for the members and Act (PRA) that does not display a valid
staff of the Commission. control number. Questions concerning
the OMB control numbers and expira-
FR 12180, Aug. 24, 1967; 37 FR 20553, Sept. 30, tion dates should be directed to the As-
1972; 52 FR 5288, Feb. 20, 1987; 58 FR 13021, sociate Managing Director—Perform-
Mar. 9, 1993; 59 FR 30998, June 16, 1994; 60 FR ance Evaluation and Records Manage-
35507, July 10, 1995; 63 FR 36596, July 7, 1998] ment, (‘‘AMD–PERM’’) , Federal Com-
§ 0.408 OMB control numbers and expi- munications Commission, Washington,
ration dates assigned pursuant to DC 20554.
the Paperwork Reduction Act of (b) Display
1995.
(a) Purpose. This section displays the
control numbers and expiration dates
OMB
FCC Form Number or 47 CFR section or part, docket No. or title identi-
OMB Control No. Expiration
fying the collection date
3060–0004 ......................................... Guidelines for Evaluating the Environmental Effects of Radiofrequency (1)
Radiation, ET Docket No. 93–62.
3060–0009 ......................................... FCC 316 ................................................................................................... 10/31/02
3060–0010 ......................................... FCC 323 ................................................................................................... 11/30/02
3060–0012 ......................................... FCC 701 ................................................................................................... 07/31/03
3060–0016 ......................................... FCC 346 ................................................................................................... 01/31/04
3060–0017 ......................................... FCC 347 ................................................................................................... 02/28/03
3060–0020 ......................................... FCC 406 ................................................................................................... 05/31/02
3060–0021 ......................................... FCC 480 ................................................................................................... 12/31/03
3060–0024 ......................................... Sec. 76.29 ................................................................................................ (1)
3060–0025 ......................................... FCC 755 ................................................................................................... 08/31/03
3060–0027 ......................................... FCC 301 ................................................................................................... 08/31/03
3060–0029 ......................................... FCC 302–TV ............................................................................................. 06/30/04
3060–0031 ......................................... FCC 314 ................................................................................................... 05/31/04
3060–0032 ......................................... FCC 315 ................................................................................................... 05/31/04
3060–0034 ......................................... FCC 340 ................................................................................................... 02/29/04
3060–0049 ......................................... FCC 753 ................................................................................................... 08/31/03
3060–0053 ......................................... FCC 703 ................................................................................................... 10/31/02
3060–0054 ......................................... FCC 820 ................................................................................................... 12/31/01
3060–0055 ......................................... FCC 327 ................................................................................................... 04/30/03
3060–0056 ......................................... FCC 730 ................................................................................................... 09/30/01
3060–0057 ......................................... FCC 731 and Secs. 2.911, 2.960, and 2.1033(a) ................................... 06/30/03
3060–0059 ......................................... FCC 740 ................................................................................................... 08/31/03
3060–0061 ......................................... FCC 325 ................................................................................................... 07/31/02
3060–0062 ......................................... FCC 330 ................................................................................................... 03/31/02
3060–0065 ......................................... FCC 442 ................................................................................................... 02/28/02
3060–0066 ......................................... FCC 330–R ............................................................................................... 07/31/03
3060–0069 ......................................... FCC 756 ................................................................................................... 09/30/02
3060–0072 ......................................... FCC 409 ................................................................................................... 11/30/01
3060–0075 ......................................... FCC 345 ................................................................................................... 10/31/03
3060–0076 ......................................... FCC 395 ................................................................................................... 02/28/03
3060–0084 ......................................... FCC 323–E ............................................................................................... 07/31/02
43
§ 0.408 47 CFR Ch. I (10–1–02 Edition)
OMB
3060–0089 ......................................... FCC 503 ................................................................................................... 10/30/01

3060–0093 ......................................... FCC 405 ................................................................................................... 11/30/03
3060–0095 ......................................... FCC 395–A ............................................................................................... 04/30/03
3060–0105 ......................................... FCC 430 ................................................................................................... 11/30/03
3060–0106 ......................................... Sec. 43.61 ................................................................................................ 12/31/02
3060–0110 ......................................... FCC 303–S ............................................................................................... 07/31/04
3060–0113 ......................................... FCC 396 ................................................................................................... 04/30/03
3060–0120 ......................................... FCC 396–A ............................................................................................... 04/30/03
3060–0126 ......................................... Sec. 73.1820 ............................................................................................ 10/31/02
3060–0127 ......................................... FCC 1046 ................................................................................................. 03/31/03
3060–0132 ......................................... FCC 1068–A ............................................................................................. 01/31/04
3060–0139 ......................................... FCC 854/854–R/854ULS ......................................................................... 08/31/02
3060–0147 ......................................... Sec. 64.804 .............................................................................................. 02/28/03
3060–0149 ......................................... Part 63, Section 214, Secs. 63.01–63.601 .............................................. 11/30/01
3060–0157 ......................................... Sec. 73.99 ................................................................................................ 05/31/03
3060–0160 ......................................... Sec. 73.158 .............................................................................................. 01/31/02
3060–0161 ......................................... Sec. 73.61 ................................................................................................ 12/31/02
3060–0166 ......................................... Part 42 ...................................................................................................... 09/30/01
3060–0168 ......................................... Sec. 43.43 ................................................................................................ 06/30/03
3060–0169 ......................................... Secs. 43.51 and 43.53 ............................................................................. 04/30/02
3060–0170 ......................................... Sec. 73.1030 ............................................................................................ 03/31/02
3060–0171 ......................................... Sec. 73.1125 ............................................................................................ 10/31/01
3060–0173 ......................................... Sec. 73.1207 ............................................................................................ 07/31/04
3060–0174 ......................................... Sec. 73.1212 ............................................................................................ 07/31/02
3060–0175 ......................................... Sec. 73.1250 ............................................................................................ 10/31/02
3060–0176 ......................................... Sec. 73.1510 ............................................................................................ 11/30/02
3060–0178 ......................................... Sec. 73.1560 ............................................................................................ 01/31/03
3060–0179 ......................................... Sec. 73.1590 ............................................................................................ 07/31/04
3060–0180 ......................................... Sec. 73.1610 ............................................................................................ 02/28/02
3060–0181 ......................................... Sec. 73.1615 ............................................................................................ 12/31/02
3060–0182 ......................................... Sec. 73.1620 ............................................................................................ 04/30/04
3060–0184 ......................................... Sec. 73.1740 ............................................................................................ 12/31/01
3060–0185 ......................................... Sec. 73.3613 ............................................................................................ 10/31/02
3060–0187 ......................................... Sec. 73.3594 ............................................................................................ 02/29/04
3060–0188 ......................................... FCC 380 ................................................................................................... 08/31/04
3060–0190 ......................................... Sec. 73.3544 ............................................................................................ 02/29/04
3060–0192 ......................................... Sec. 87.103 .............................................................................................. 01/31/04
3060–0194 ......................................... Sec. 74.21 ................................................................................................ 12/31/01
3060–0202 ......................................... Sec. 87.37 ................................................................................................ 10/31/03
3060–0204 ......................................... Sec. 90.20(a)(2)(v) ................................................................................... 07/31/02
3060–0206 ......................................... Part 21 ...................................................................................................... 07/31/04
3060–0207 ......................................... Secs. 11.35, 11.51 and 11.52 .................................................................. 11/30/02
3060–0208 ......................................... Sec. 73.1870 ............................................................................................ 04/30/03
3060–0211 ......................................... Sec. 73.1943 ............................................................................................ (1)
3060–0212 ......................................... Sec. 73.2080 ............................................................................................ 04/30/03
3060–0213 ......................................... Sec. 73.3525 ............................................................................................ 11/30/03
3060–0214 ......................................... Sec. 73.3526 ............................................................................................ 10/31/02
3060–0215 ......................................... Sec. 73.3527 ............................................................................................ 10/31/01
3060–0216 ......................................... Sec. 73.3538 ............................................................................................ 11/30/01
3060–0219 ......................................... Sec. 90.20(a)(2)(xi) ................................................................................... 09/30/02
3060–0221 ......................................... Sec. 90.155 .............................................................................................. 12/31/01
3060–0222 ......................................... Sec. 97.213 .............................................................................................. 10/31/03
3060–0223 ......................................... Sec. 90.129 .............................................................................................. 04/30/02
3060–0228 ......................................... Sec. 80.59 ................................................................................................ 07/31/04
3060–0233 ......................................... Part 36 ...................................................................................................... 07/31/03
3060–0236 ......................................... Sec. 74.703 .............................................................................................. 06/30/02
3060–0240 ......................................... Sec. 74.651 .............................................................................................. 02/28/03
3060–0241 ......................................... Sec. 74.633 .............................................................................................. 02/28/03
3060–0242 ......................................... Sec. 74.604 .............................................................................................. 02/28/03
3060–0243 ......................................... Sec. 74.551 .............................................................................................. 05/31/02
3060–0245 ......................................... Sec. 74.537 .............................................................................................. 05/31/02
3060–0246 ......................................... Sec. 74.452 .............................................................................................. 08/31/03
3060–0248 ......................................... Sec. 74.751 .............................................................................................. 06/30/02
3060–0249 ......................................... Sec. 74.781 .............................................................................................. 04/30/03
3060–0250 ......................................... Sec. 74.784 .............................................................................................. 02/28/03
3060–0251 ......................................... Sec. 74.833 .............................................................................................. 09/30/02
3060–0254 ......................................... Sec. 74.433 .............................................................................................. 08/31/03
3060–0259 ......................................... Sec. 90.263 .............................................................................................. 10/31/03
3060–0261 ......................................... Sec. 90.215 .............................................................................................. 04/30/04
3060–0262 ......................................... Sec. 90.179 .............................................................................................. 12/31/01
3060–0264 ......................................... Sec. 80.413 .............................................................................................. 10/31/03
3060–0265 ......................................... Sec. 80.868 .............................................................................................. 07/31/04
44
OMB
3060–0270 ......................................... Sec. 90.443 .............................................................................................. 11/30/03

3060–0280 ......................................... Sec. 90.633(f) & (g) .................................................................................. 08/31/03
3060–0281 ......................................... Sec. 90.651 .............................................................................................. 05/31/04
3060–0286 ......................................... Sec. 80.302 .............................................................................................. 04/30/04
3060–0287 ......................................... Sec. 78.69 ................................................................................................ 10/31/01
3060–0288 ......................................... Sec. 78.33 ................................................................................................ 03/31/03
3060–0289 ......................................... Secs. 76.601, 76.1704, 76.1705 and 76.1717 ......................................... 03/31/02
3060–0290 ......................................... Sec. 90.517 .............................................................................................. 05/31/02
3060–0291 ......................................... Sec. 90.477 .............................................................................................. 09/30/01
3060–0292 ......................................... Part 69 ...................................................................................................... 11/30/03
3060–0295 ......................................... Secs. 90.607(b)(1) & (c)(1) ...................................................................... 03/31/04
3060–0297 ......................................... Sec. 80.503 .............................................................................................. 10/31/03
3060–0298 ......................................... Part 61 ...................................................................................................... 11/30/01
3060–0307 ......................................... Amendment of part 90 of the Commission’s Rules to Facilitate Future 06/30/03
Development of SMR Systems in the 800 MHz Frequency Band.
3060–0308 ......................................... Sec. 90.505 .............................................................................................. 04/30/04
3060–0309 ......................................... Sec. 74.1281 ............................................................................................ 10/31/02
3060–0310 ......................................... Sec. 76.1801 ............................................................................................ 03/31/03
3060–0311 ......................................... Sec. 76.54 ................................................................................................ 09/30/02
3060–0313 ......................................... Sec. 76.1701 ............................................................................................ Pending OMB
Approval(1)
3060–0315 ......................................... Sec. 76.1615 ............................................................................................ 09/30/02
3060–0316 ......................................... Sec. 76.1700 ............................................................................................ (1)
3060–0320 ......................................... Sec. 73.1350 ............................................................................................ 04/30/04
3060–0321 ......................................... Sec. 73.68 ................................................................................................ 01/31/02
3060–0325 ......................................... Sec. 80.605 .............................................................................................. 06/30/02
3060–0326 ......................................... Sec. 73.69 ................................................................................................ 09/30/02
3060–0329 ......................................... Sec. 2.955 ................................................................................................ 09/30/02
3060–0331 ......................................... Secs. 76.1803 and 76.1804 ..................................................................... 08/31/04
3060–0332 ......................................... Secs. 76.614 and 76.1706 ....................................................................... 09/30/01
3060–0340 ......................................... Sec. 73.51 ................................................................................................ 10/31/03
3060–0341 ......................................... Sec. 73.1680 ............................................................................................ 08/31/03
3060–0342 ......................................... Sec. 74.1284 ............................................................................................ 07/31/03
3060–0346 ......................................... Sec. 78.27 ................................................................................................ 03/31/04
3060–0347 ......................................... Sec. 97.311 .............................................................................................. 02/28/03
3060–0349 ......................................... Secs. 76.73, 76.75, 76.79, and 76.1702 .................................................. 04/30/03
3060–0355 ......................................... FCC 492 and FCC 492A .......................................................................... 07/31/04
3060–0357 ......................................... Sec. 63.701 .............................................................................................. 11/31/01
3060–0360 ......................................... Sec. 80.409(c) .......................................................................................... 08/31/04
3060–0362 ......................................... Inspection of Radio Installation on Large Cargo and Small Passenger 02/28/03
Ships.
3060–0364 ......................................... Secs. 80.409(d) and (e) ........................................................................... 08/31/04
3060–0368 ......................................... Sec. 97.523 .............................................................................................. 06/30/03
3060–0370 ......................................... Part 32 ...................................................................................................... 06/30/03
3060–0374 ......................................... Sec. 73.1690 ............................................................................................ 01/31/02
3060–0384 ......................................... Sec. 64.904 .............................................................................................. 09/30/03
3060–0386 ......................................... Sec. 73.1635 ............................................................................................ 07/31/02
3060–0387 ......................................... Sec. 15.201(d) .......................................................................................... 12/31/02
3060–0390 ......................................... FCC 395–B ............................................................................................... 04/30/03
3060–0391 ......................................... Program to Monitor the Impact of Universal Service Support Mecha- 12/31/01
nisms.
3060–0392 ......................................... 47 CFR Part 1, Subpart J, Pole Attachment Complaint Procedures ...... 01/31/04
3060–0393 ......................................... Sec. 73.54 ................................................................................................ 10/31/02
3060–0394 ......................................... Sec. 1.420 ................................................................................................ 10/31/02
3060–0395 ......................................... FCC Reports 43–02, FCC 43–05 and FCC 43–07 ................................. 06/30/03
3060–0397 ......................................... Sec. 15.7(a) .............................................................................................. 07/31/03
3060–0398 ......................................... Secs. 2.948, 15.117(g)(2) ......................................................................... 02/28/03
3060–0400 ......................................... Tariff Review Plan .................................................................................... 05/31/03
3060–0404 ......................................... FCC 350 ................................................................................................... 05/31/02
3060–0405 ......................................... FCC 349 ................................................................................................... 03/31/04
3060–0407 ......................................... Sec. 73.3598 ............................................................................................ 05/31/02
3060–0410 ......................................... FCC 495A and FCC 495B ....................................................................... 06/30/03
3060–0411 ......................................... FCC 485 ................................................................................................... 06/30/04
3060–0414 ......................................... Terrain Shielding Policy ............................................................................ 11/30/03
3060–0419 ......................................... Secs. 76.94, 76.95, 76.155, 76.156, 76.157, 76.159 and 76.1609 ......... 10/31/01
3060–0421 ......................................... New Service Reporting Requirements under Price Cap Regulation ....... 05/31/03
3060–0422 ......................................... Sec. 68.5 .................................................................................................. 10/31/01
3060–0423 ......................................... Sec. 73.3588 ............................................................................................ 10/31/02
3060–0427 ......................................... Sec. 73.3523 ............................................................................................ 12/31/03
3060–0430 ......................................... Sec. 1.1206 .............................................................................................. 09/30/01
3060–0433 ......................................... FCC 320 ................................................................................................... 03/31/02
3060–0434 ......................................... Sec. 90.20(e)(6) ........................................................................................ 05/31/02
45
§ 0.408 47 CFR Ch. I (10–1–02 Edition)
OMB
3060–0435 ......................................... Sec. 80.361 .............................................................................................. 09/30/02

3060–0436 ......................................... Secs. 15.214(c) and 68.200(k) ................................................................. 12/31/02
3060–0439 ......................................... Sec. 64.201 .............................................................................................. 03/31/04
3060–0441 ......................................... Sec. 90.621(B)(4) ..................................................................................... 10/31/03
3060–0449 ......................................... Sec. 1.65(c) .............................................................................................. 12/31/01
3060–0452 ......................................... Sec. 73.3589 ............................................................................................ 10/31/02
3060–0454 ......................................... Regulation of International Accounting Rates .......................................... 04/30/03
3060–0463 ......................................... Secs. 64.601–64.605 ............................................................................... 06/30/03
3060–0465 ......................................... Sec. 74.985 .............................................................................................. 08/31/03
3060–0466 ......................................... Sec. 74.1283 ............................................................................................ 04/30/03
3060–0470 ......................................... Secs. 64.901–64.903, Allocation of Cost, Cost Allocation Manual, RAO 05/31/03
Letters 19 and 26.
3060–0473 ......................................... Sec. 74.1251 ............................................................................................ 12/31/02
3060–0474 ......................................... Sec. 74.1263 ............................................................................................ 04/30/03
3060–0475 ......................................... Sec. 90.713 .............................................................................................. 05/31/02
3060–0481 ......................................... FCC 452R ................................................................................................ 08/31/03
3060–0483 ......................................... Sec. 73.687 .............................................................................................. 07/31/03
3060–0484 ......................................... Sec. 63.100 .............................................................................................. 01/31/02
3060–0488 ......................................... Sec. 73.30 ................................................................................................ 02/29/04
3060–0489 ......................................... Sec. 73.37 ................................................................................................ 02/29/04
3060–0490 ......................................... Sec. 74.902 .............................................................................................. 03/31/04
3060–0491 ......................................... Sec. 74.991 .............................................................................................. 03/31/04
3060–0492 ......................................... Sec. 74.992 .............................................................................................. 02/29/04
3060–0493 ......................................... Sec. 74.986 .............................................................................................. 02/29/04
3060–0494 ......................................... Sec. 74.990 .............................................................................................. 02/29/04
3060–0496 ......................................... FCC Report 43–08 ................................................................................... 03/31/02
3060–0500 ......................................... Sec. 76.1713 ............................................................................................ Pending OMB
Approval
3060–0501 ......................................... Secs. 76.206 and 76.1611 ....................................................................... (1)
3060–0502 ......................................... Sec. 73.1942 ............................................................................................ (1)
3060–0506 ......................................... FCC 302–FM ............................................................................................ 12/31/02
3060–0508 ......................................... Rewrite of Part 22 .................................................................................... 08/31/04
3060–0511 ......................................... FCC Report 43–04 ................................................................................... 11/30/03
3060–0512 ......................................... FCC Report 43–01 ................................................................................... 11/30/03
3060–0513 ......................................... FCC Report 43–03 ................................................................................... 11/30/03
3060–0514 ......................................... Sec. 43.21(b) ............................................................................................ 05/31/03
3060–0515 ......................................... Sec. 43.21(c) ............................................................................................ 10/31/02
3060–0519 ......................................... Rules and Regulations Implementing the Telephone Consumer Protec- 12/31/01
tion Act of 1991, CC Docket No. 92–60.
3060–0526 ......................................... Density Pricing Zone Plans, Expanded Interconnection with Local Tele- 10/31/02
phone Company Facilities, CC Docket No. 91–141.
3060–0531 ......................................... Local Multipoint Distribution Service (LMDS) ........................................... 10/31/03
3060–0532 ......................................... Secs. 2.1033(b)(11) and 15.121 .............................................................. 08/31/02
3060–0537 ......................................... Sec. 13.217 .............................................................................................. 05/31/02
3060–0540 ......................................... Tariff Filing Requirements for Nondominant Common Carriers .............. 05/31/02
3060–0543 ......................................... Sec 21.913 ............................................................................................... 09/30/02
3060–0544 ......................................... Sec. 76.701 .............................................................................................. 12/31/03
3060–0546 ......................................... Definition of Markets for Purposes of the Cable Television Mandatory 03/31/03
Television Broadcast Signal Carriage Rules.
3060–0548 ......................................... Secs. 76.56, 76.1614, 76.1620, 76.1708, and 76.1709 .......................... 10/31/01
3060–0550 ......................................... FCC 328 ................................................................................................... 10/31/02
3060–0551 ......................................... Secs. 76.1002 and 76.1004 ..................................................................... 10/31/03
3050–0554 ......................................... Sec. 87.199 .............................................................................................. 06/30/02
3060–0556 ......................................... Sec. 80.1061 ............................................................................................ 06/30/02
3060–0560 ......................................... Sec. 76.911 .............................................................................................. (1)
3060–0561 ......................................... Sec. 76.913 .............................................................................................. 10/31/03
3060–0562 ......................................... Sec. 76.916 .............................................................................................. 07/31/04
3060–0564 ......................................... Sec. 76.924 .............................................................................................. 12/31/02
3060–0565 ......................................... Sec. 76.944 .............................................................................................. 10/31/03
3060–0567 ......................................... Sec. 76.962 .............................................................................................. 02/28/02
3060–0568 ......................................... Commercial Leased Access Rates, Terms, & Conditions ....................... 06/30/03
3060–0569 ......................................... Sec. 76.975 .............................................................................................. 06/30/03
3060–0570 ......................................... Sec. 76.982 .............................................................................................. 07/31/04
3060–0572 ......................................... Filing Manual for Annual International Circuit Status Reports ................. 10/31/02
3060–0573 ......................................... FCC 394 ................................................................................................... 12/31/02
3060–0574 ......................................... FCC 395–M .............................................................................................. 04/30/03
3060–0580 ......................................... Sec. 76.504 .............................................................................................. 08/31/03
3060–0581 ......................................... Sec. 76.503 .............................................................................................. 05/31/03
3060–0584 ......................................... FCC 44 and FCC 45 ................................................................................ 12/31/02
3060–0589 ......................................... FCC 159 and FCC 159–C ....................................................................... 08/31/03
3060–0594 ......................................... FCC 1220 ................................................................................................. 06/30/04
3060–0595 ......................................... FCC 1210 ................................................................................................. (1)
46
OMB
3060–0599 ......................................... Implementation of Sections 3(n) and 332 of the Communications Act ... 01/31/04
3060–0600 ......................................... FCC 175 and FCC 175–S ........................................................................ 04/30/04
3060–0601 ......................................... FCC 1200 ................................................................................................. 06/30/04
3060–0602 ......................................... Sec. 76.917 .............................................................................................. 04/30/03
3060–0607 ......................................... Sec. 76.922 .............................................................................................. 10/31/03
3060–0609 ......................................... Sec. 76.934(e) .......................................................................................... 07/31/04
3060–0610 ......................................... Sec. 76.1606 ............................................................................................ 07/31/04
3060–0611 ......................................... Sec. 74.783 .............................................................................................. 08/31/03
3060–0613 ......................................... Expanded Interconnection with Local Telephone Company Facilities, 08/31/03
CC Docket No. 91–141, Transport Phase II.
3060–0621 ......................................... Rules and Requirements for C & F Block Broadband PCS Licenses ..... 04/30/04
3060–0624 ......................................... Sec. 24.103(f) ........................................................................................... 04/30/04
3060–0625 ......................................... Amendment of the Commission’s Rules to Establish New Personal 03/31/04
Communications Services under Part 24.
3060–0626 ......................................... Regulatory Treatment of Mobile Services ................................................ 05/31/04
3060–0627 ......................................... FCC 302–AM ............................................................................................ 12/31/02
3060–0629 ......................................... Sec. 76.1605 ............................................................................................ 07/31/04
3060–0630 ......................................... Sec. 73.62 ................................................................................................ 09/30/01
3060–0633 ......................................... Secs. 73.1230, 74.165, 74.432, 74.564, 74.664, 74.765, 74.832, 08/31/04
74.965 and 74.1265.
3060–0634 ......................................... Sec. 73.691 .............................................................................................. 04/30/04
3060–0636 ......................................... Equipment Authorization—Declaration of Compliance—Amendment of 10/31/02
Parts 2 and 15.
3060–0638 ......................................... Sec. 76.934(g) .......................................................................................... 02/28/02
3060–0641 ......................................... FCC 218–I ................................................................................................ 10/31/02
3060–0644 ......................................... FCC 1230 ................................................................................................. 02/28/02
3060–0645 ......................................... Antenna Registration, Part 17 .................................................................. 04/30/02
3060–0647 ......................................... Annual Survey of Cable Industry Prices .................................................. 04/30/03
3060–0648 ......................................... Sec. 21.902 .............................................................................................. 11/30/02
3060–0649 ......................................... Secs. 76.1601, 76.1607, 76.1617, and 76.1708 ...................................... 12/31/01
3060–0652 ......................................... Secs. 76.309, 76.1602, 76.1603, and 76.1619 ........................................ 10/31/01
3060–0653 ......................................... Consumer Information—Posting by Aggregators, Secs. 64.703(b) and 01/31/02
(c).
3060–0654 ......................................... FCC 304 ................................................................................................... 10/31/01
3060–0655 ......................................... Request for Waivers of Regulatory and Application Fees Predicated on (1)
Allegations of Financial Hardship.
3060–0656 ......................................... FCC 175-M ............................................................................................... 11/30/01
3060–0657 ......................................... Sec. 21.956 .............................................................................................. 09/30/01
3060–0658 ......................................... Sec. 21.960 .............................................................................................. 11/30/01
3060–0660 ......................................... Sec. 21.937 .............................................................................................. 09/30/01
3060–0661 ......................................... Sec. 21.931 .............................................................................................. 10/31/01
3060–0662 ......................................... Sec. 21.930 .............................................................................................. 09/30/01
3060–0663 ......................................... Sec. 21.934 .............................................................................................. 09/30/02
3060–0664 ......................................... FCC 304-A ................................................................................................ 10/31/01
3060–0665 ......................................... Sec. 64.707 .............................................................................................. 01/31/02
3060–0667 ......................................... Secs. 76.630, 76.1612, and 76.1622 ....................................................... 10/31/01
3060–0668 ......................................... Sec. 76.936 .............................................................................................. 03/31/02
3060–0669 ......................................... Sec. 76.946 .............................................................................................. 05/31/02
3060–0673 ......................................... Sec. 76.956 .............................................................................................. 03/31/02
3060–0674 ......................................... Secs. 76.1603 and 76.1618 ..................................................................... 06/30/02
3060–0678 ......................................... FCC 312, FCC 312–EZ, FCC 312–R, FCC 312–M, and FCC–312 02/29/04
Schedules.
3060–0681 ......................................... Toll-Free Service Access Codes, Part 52, Subpart D, Secs. 52.101— 09/30/03
52.111.
3060–0683 ......................................... Direct Broadcast Satellite Service, Part 100 ............................................ 10/31/03
3060–0684 ......................................... Amendment to the Commission’s Rules Regarding a Plan for Sharing 01/31/04
the Costs of Microwave Relocation, WT Docket No. 95–157.
3060–0685 ......................................... FCC 1240 ................................................................................................. 08/31/04
3060–0686 ......................................... Streamlining the International Section 214 Authorization Process and 03/31/04
Tariff Requirements.
3060–0687 ......................................... Access to Telecommunications Equipment and Services by Persons 05/31/02
with Disabilities.
3060–0688 ......................................... FCC 1235 ................................................................................................. 07/31/02
3060–0690 ......................................... Rules Regarding the 37.0—38.6 GHz and 38.6–40.0 GHz Bands ......... 12/31/02
3060–0691 ......................................... Amendment of Parts 2 and 90 of the Commission’s Rules to Provide 04/30/04
for the Use of 200 Channels Outside the Designated Filing Areas in
the 896–901 MHz Bands Allotted to Specialized Mobile Radio Serv-
ice.
3060–0692 ......................................... Home Wiring Provisions ........................................................................... 05/31/04
3060–0695 ......................................... Sec. 87.219 .............................................................................................. 03/31/02
3060–0697 ......................................... Parts 22 and 90 to Facilitate Future Development of Paging Systems .. 10/31/03
3060–0698 ......................................... Amendment of the Commission’s Rules to Establish a Radio Astron- 05/31/04
omy Coordination Zone in Puerto Rico.
47
§ 0.408 47 CFR Ch. I (10–1–02 Edition)
OMB
3060–0700 ......................................... FCC 1275 ................................................................................................. 12/31/03

3060–0702 ......................................... Amendment to Parts 20 and 24 of the Commission’s Rules, Broadband 03/31/04
PCS Competitive Bidding and the Commercial Mobile Radio Service
Spectrum Cap.
3060–0703 ......................................... FCC 1205 ................................................................................................. 11/30/02
3060–0704 ......................................... Public Disclosure Requirement Amended, CC Docket No. 96–61 .......... 09/30/02
3060–0706 ......................................... Cable Act Reform ..................................................................................... 06/30/02
3060–0707 ......................................... Over-the Air Reception Devices ............................................................... 05/31/02
3060–0710 ......................................... Policy and Rules Concerning the Implementation of the Local Competi- 08/31/03
tion Provisions in the Telecommunications Act of 1996—CC Docket
No. 96–98.
3060–0711 ......................................... Implementation of Section 34(a)(1) of the Public Utility Holding Com- 12/31/03
pany Act of 1935, as amended by the Telecommunications Act of
1996, Secs. 1.5001 through 1.5007.
3060–0713 ......................................... Alternative Broadcast Inspection Program (ABIP) Compliance Notifica- 08/31/02
tion.
3060–0714 ......................................... Antenna Registration Number Required as Supplement to Application 11/30/02
Forms.
3060–0715 ......................................... Implementation of the Telecommunications Act of 1996: Telecommuni- (1)
cations Carriers’ Use of Customer Proprietary Network Information
and Other Customer Information—CC Docket No. 96–115.
3060–0716 ......................................... Blanketing Interference ............................................................................ 04/30/03
3060–0717 ......................................... Billed Party Preference for InterLATA Calls, Secs. 64.703(a), 64.709, 07/31/04
and 64.710.
3060–0718 ......................................... Part 101 Governing the Terrestrial Microwave Fixed Radio Service ...... 10/31/02
3060–0719 ......................................... Quarterly Report of IntraLATA Carriers Listing Pay Phone Automatic 10/31/03
Number Identifications (ANIs).
3060–0723 ......................................... Public Disclosure of Network Information by Bell Operating Companies 09/30/03
3060–0725 ......................................... Annual Filing of Nondiscrimination Reports (on Quality of Service, In- 08/31/03
stallation, and Maintenance) by Bell Operating Companies (BOC’s).
3060–0726 ......................................... Quarterly Report of Interexchange Carriers Listing the Number of Dial- 08/31/03
Around Calls for Which Compensation is Being Paid to Pay Phone
Owners.
3060–0727 ......................................... Sec. 73.213 .............................................................................................. 11/30/03
3060–0728 ......................................... Supplemental Information Requesting FCC Registration Number (FRN) 08/31/03
for Debt Collection.
3060–0732 ......................................... Consumer Education Concerning Wireless 911 ...................................... 04/30/03
3060–0734 ......................................... Accounting Safeguards, 47 U.S.C. Sections 260, 271–276, and 47 06/30/03
CFR Secs. 53.209, 53.211 and 53.213, SEC Form 10–K.
3060–0736 ......................................... Implementation of the Non-Accounting Safeguards of Sections 271 and (1)
272 of the Communications Act of 1934, as amended—CC Docket
No. 96–149.
3060–0737 ......................................... Disclosure Requirements for Information Services Provided Under a 03/31/03
Presubscription or Comparable Arrangement.
3060–0739 ......................................... Amendment of the Commission’s Rules to Establish Competitive Safe- 01/31/02
guards for Local Exchange Carrier Provisions of Commercial Mobile
Radio Services.
3060–0740 ......................................... Sec. 95.1015 ............................................................................................ 11/30/02
3060–0741 ......................................... Implementation of the Local Competition Provisions on the Tele- 04/30/04
communications Act of 1996—CC Docket No. 96–98.
3060–0742 ......................................... Telephone Number Portability, Part 52, Subpart C, Secs. 52.21—52.33 09/30/03
3060–0743 ......................................... Implementation of the Pay Telephone Reclassification and Compensa- 10/31/03
tion Provisions of the Telecommunications Act of 1996—CC Docket
No. 96–128.
3060–0745 ......................................... Implementation of the Local Exchange Carrier Tariff Streamlining Provi- 12/31/03
sions, CC Docket No. 96–187.
3060–0748 ......................................... Disclosure Requirements for Information Services Provided through 07/31/03
Toll-Free Numbers, Sec. 64.1504.
3060–0749 ......................................... Sec. 64.1509 ............................................................................................ 07/31/03
3060–0750 ......................................... Sec. 73.673 .............................................................................................. 05/31/03
3060–0751 ......................................... Reports Concerning International Private Lines Interconnected to the 05/31/03
U.S. Public Switched Network.
3060–0752 ......................................... Billing Disclosure Requirements for Pay-Per-Call and Other Information 07/31/03
Services, Sec. 64.1510.
3060–0754 ......................................... FCC 398 ................................................................................................... 06/30/04
3060–0755 ......................................... Infrastructure Sharing, Secs. 59.1—59.4 ................................................. 05/31/03
3060–0756 ......................................... Procedural Requirements and Policies for Commission Processing of 10/31/01
Bell Operating Company (BOC) Applications for the Provision of In-
Region, InterLATA Services under Section 271 of the Telecommuni-
cations Act of 1996.
3060–0757 ......................................... FCC Auctions Customer Survey .............................................................. 01/31/04
3060–0758 ......................................... Amendment of Part 5 of the Commission’s Rules to Revise the Experi- 06/30/03
mental Radio Service Regulations, ET Docket No. 96–256.
48
OMB
3060–0760 ......................................... Access Charge Reform—CC Docket No. 96–262 ................................... 10/31/02
3060–0761 ......................................... Closed Captioning of Video Programming ............................................... 02/29/04
3060–0763 ......................................... FCC Report 43–06 ................................................................................... 03/31/02
3060–0765 ......................................... Revision of Parts 22 and 90 of the Commission’s Rules to Facilitate 10/31/03
Future Development of Paging Systems.
3060–0767 ......................................... Auction Forms and License Transfer Disclosures—Supplement for the 04/30/04
2nd R&O, Order on Reconsideration, and 5th NPRM in CC Docket
No. 92–297.
3060–0768 ......................................... 28 GHz Band Segmentation Plan Amending the Commission’s Rules 06/30/03
to Redesignate the 27.5—29.5 GHz Frequency Band, to Reallocate
the 29.5—30.0 GHz Frequency Band, and to Establish Rules and
Policies for Local Multipoint Distribution Services and for the Fixed
Satellite Service.
3060–0769 ......................................... Aeronautical Services Transition Plan ..................................................... 06/30/03
3060–0770 ......................................... Price Cap Performance Review for Local Exchange Carriers—CC 10/31/02
Docket No. 94–1 (New Services).
3060–0771 ......................................... Sec. 5.61, Procedure for Obtaining a Special Temporary Authorization 12/21/03
in the Experimental Radio Service.
3060–0773 ......................................... Sec. 2.803, Marketing of RF Devices Prior to Equipment Authorization 09/30/03
3060–0774 ......................................... Federal-State Joint Board on Universal Service—CC Docket No. 96– 06/30/04
45, Secs. 36.611 and 36.612 and 47 CFR Part 54.
3060–0775 ......................................... Secs. 64.1901—64.1903 .......................................................................... 09/30/03
3060–0779 ......................................... Amendment to Part 90 of the Commission’s Rules to Provide for Use 04/30/04
of the 220–222 MHz Band by the Private Land Mobile Radio Serv-
ice, PR Docket No. 89–552.
3060–0780 ......................................... Uniform Rate-Setting Methodology .......................................................... 11/30/03
3060–0782 ......................................... Petitions for Limited Modification of LATA Boundaries to Provide Ex- 01/31/04
panded Local Calling Service (ELCS) at Various Locations.
3060–0783 ......................................... Coordination Notification Requirements on Frequencies Below 512 01/31/04
MHz, Sec. 90.176.
3060–0786 ......................................... Petitions for LATA Association Changes by Independent Telephone 01/31/04
Companies.
3060–0787 ......................................... Implementation of the Subscriber Carrier Selection Changes Provisions (1)
of the Telecommunications Act of 1996; Policies and Rules Con-
cerning Unauthorized Changes of Consumers Long Distance, FCC
478.
3060–0788 ......................................... DTV Showings/Interference Agreements ................................................. 08/31/01?
3060–0789 ......................................... Modified Alternative Plan, CC Docket No. 90–571 .................................. 05/31/04
3060–0790 ......................................... Availability of Inside Wiring Information, Sec. 68.110(c) ......................... 11/30/03
3060–0791 ......................................... Accounting for Judgments and Other Costs Associated with Litigation, 11/30/03
CC Docket No. 93–240.
3060–0793 ......................................... Procedures for States Regarding Lifeline Consent, Adoption of Intra- 08/31/02
state Discount Matrix for Schools and Libraries, and Designation of
Eligible Telecommunications Carriers.
3060–0795 ......................................... ULS TIN Registration and FCC 606 ........................................................ 08/31/02
3060–0798 ......................................... FCC 601 ................................................................................................... 03/31/04
3060–0799 ......................................... FCC 602 ................................................................................................... 02/28/02
3060–0800 ......................................... FCC 603 ................................................................................................... 01/31/02
3060–0801 ......................................... Amendment of the Commission’s Rules Regarding Installment Pay- 08/31/02
ment Financing for Personal Communications Services (PCS) Li-
censes, WT Docket No. 97–82.
3060–0802 ......................................... Message Intercept Requirement .............................................................. 11/30/01
3060–0804 ......................................... Health Care Providers Universal Service Program—FCC 465, FCC (1)
466, FCC 466–A, FCC 467, and FCC 468.
3060–0805 ......................................... Sec. 90.527 .............................................................................................. 12/31/01
3060–0806 ......................................... Universal Service, Schools and Libraries Program, FCC 470 and 471 .. 03/31/04
3060–0807 ......................................... 47 CFR 51.803 and Supplemental Procedures for Petitions to Section 04/30/04
252(e)(5) of the Communications Act of 1934, as amended.
3060–0809 ......................................... Communications Assistance for Law Enforcement Act (CALEA) ............ 04/30/03
3060–0810 ......................................... Procedures for Designation of Eligible Telecommunications Carriers 03/31/04
Pursuant to Section 214(e)(6) of the Communications Act of 1934,
as amended.
3060–0812 ......................................... Assessment and Collection of Regulatory Fees ...................................... 08/31/02
3060–0813 ......................................... Revision of the Commission’s Rules to Ensure Compatibility with En- 07/31/04
hanced 911 Calling Systems.
3060–0814 ......................................... Local Switching Support and Local Switching Support Data Collection 09/30/01
Form and Instructions, Sec. 54.301.
3060–0816 ......................................... Local Competition and Broadband Reporting, CC Docket No. 99–301 .. 11/30/03
3060–0817 ......................................... Computer III Further Remand Proceedings: BOC Provision of En- 08/31/03
hanced Services (ONA Requirements), CC Docket No. 95–20.
3060–0819 ......................................... Lifeline Assistance (Lifeline) Connection Assistance (Link Up) Report- 05/31/04
ing Worksheet and Instructions, 47 CFR 54.400—54.417, FCC 497.
49
§ 0.408 47 CFR Ch. I (10–1–02 Edition)
OMB
3060–0820 ......................................... Transfers of Control Involving Telecommunications Carriers .................. 09/30/01

3060–0823 ......................................... Pay Telephone Reclassification, Memorandum Opinion and Order, CC 12/31/01
Docket No. 96–128.
3060–0824 ......................................... FCC 498 ................................................................................................... (1)
3060–0827 ......................................... Request for Radio Station License Update ............................................. 09/30/01
3060–0833 ......................................... Implementation of Section 255 of the Telecommunications Act of 1996: (1)
Complaint Filings/Designation of Agents.
3060–0834 ......................................... Reconsideration of Rules and Policies for the 220–222 MHz Radio 12/31/01
Service.
3060–0835 ......................................... Ship Inspection Certificates, FCC 806, FCC 824, FCC 827 and FCC 03/31/02
829.
3060–0837 ......................................... FCC 302–DTV .......................................................................................... 05/31/03
3060–0840 ......................................... Access Charge Reform for Incumbent Local Exchange Carriers Subject 09/30/01
to Rate-of-Return Regulation—CC Docket No. 98–77.
3060–0841 ......................................... Public Notice, Additional Processing Guidelines for DTV ........................ 04/30/02
3060–0844 ......................................... Carriage of the Transmissions of Digital Television Broadcast Stations 10/31/01
3060–0848 ......................................... Deployment of Wireline Services Offering Advanced Telecommuni- 05/31/04
cations Capability—CC Docket No. 98–147.
3060–0849 ......................................... Commercial Availability of Navigation Devices ........................................ 10/31/01
3060–0850 ......................................... FCC 605 ................................................................................................... 06/30/04
3060–0851 ......................................... FCC 305 ................................................................................................... 12/31/01
3060–0852 ......................................... FCC 306 ................................................................................................... 12/31/01
3060–0853 ......................................... FCC 486, FCC 500, and FCC 479 .......................................................... 12/31/01
3060–0854 ......................................... Truth-in-Billing Format, CC Docket No. 98–170 ...................................... 03/31/04
3060–0855 ......................................... FCC 499, FCC 499–Q .............................................................................. 07/31/04
3060–0856 ......................................... FCC 472, FCC 473, FCC 474 .................................................................. 05/31/02
3060–0857 ......................................... Annual Reporting Requirement for Blanket Licensing of Ka-band Sat- 12/31/01
ellite Earth Station.
3060–0858 ......................................... State Public Safety Plan Requirements and Year 2000 Readiness ....... 01/31/02
3060–0859 ......................................... Suggested Guidelines for Petitions for Ruling under Section 253 of the 04/30/03
Communications Act.
3060–0862 ......................................... Handling Confidential Information ............................................................ 05/31/02
3060–0863 ......................................... Satellite Delivery of Network Signals to Unserved Households for Pur- 07/31/02
poses of the Satellite Home Viewer Act.
3060–0864 ......................................... Data to Determine Percentage of Interstate Telecommunications Reve- 02/28/02
nues from Wireless Carriers and Submission of Data to Determine
Eligibility.
3060–0865 ......................................... Wireless Telecommunications Bureau Universal Licensing System Rec- 10/31/03
ordkeeping and Third-Party Disclosure Requirements.
3060–0867 ......................................... Request for Waiver of Section 20.18(c) of the Commission’s Rules Re- 07/31/02
garding Compatibility with Enhanced 911 Emergency Calling Sys-
tems.
3060–0874 ......................................... FCC 475 ................................................................................................... (1)
3060–0876 ......................................... USAC Board of Directors Nomination Process, Sec. 54.703 and Re- 04/30/03
view of Administrator’s Decision, Secs. 54.719—54.725.
3060–0878 ......................................... Wireless E911 Rule Waivers for Handset-Based Approaches to Phase 08/31/02
II ALI Requirements.
3060–0881 ......................................... Sec. 95.861 .............................................................................................. 04/30/02
3060–0882 ......................................... Sec. 95.833 .............................................................................................. 12/31/02
3060–0886 ......................................... Sec. 73.3534 ............................................................................................ 05/31/02
3060–0888 ......................................... Cable Television Service Pleading and Complaint Rules—Part 76 ........ 06/30/02
3060–0891 ......................................... FCC 330–A ............................................................................................... 07/31/02
3060–0892 ......................................... Direct Broadcast Satellite Public Interest Obligations .............................. 07/31/02
3060–0893 ......................................... Universal Licensing Service (ULS) Pre-Auction Database Corrections .. 09/30/03
3060–0894 ......................................... Certification Letter Accounting for Receipt of Federal Support ............... 05/31/03
3060–0895 ......................................... Numbering Resource Optimization, FCC 502 .......................................... 01/31/04
3060–0896 ......................................... Broadcast Auction Form Exhibits ............................................................. 07/31/02
3060–0897 ......................................... MDS and ITFS Two-Way Transmissions ................................................. 04/30/04
3060–0900 ......................................... Compatibility of Wireless Services with Enhanced 911—CC Docket No. 12/31/02
94–102.
3060–0901 ......................................... Reports of Common Carriers and Affiliates ............................................. 04/30/03
3060–0905 ......................................... Regulations for RF Lighting Devices, Part 18, Sec. 18.307 .................... 11/30/02
3060–0906 ......................................... FCC 317 ................................................................................................... 08/31/03
3060–0910 ......................................... Revision of the Commission’s Rules to Ensure Compatibility with En- 03/31/03
hanced 911 Emergency Calling Systems.
3060–0912 ......................................... Cable Attribution Rules ............................................................................ 04/30/03
3060–0914 ......................................... Petition, Pursuant to Section 7 of the Act, for a Waiver of the Airborne 04/30/04
Cellular Rule, or in the Alternative, for a Declaratory Ruling.
3060–0915 ......................................... Public Notice—Information on Medical Telemetry Equipment Operating 03/31/03
in the 450–460 MHz Band.
3060–0916 ......................................... 406 MHz Personal Locator Beacons (PLB’s) .......................................... 04/30/03
3060–0917 ......................................... FCC 160 ................................................................................................... 08/31/03
50
OMB
3060–0918 ......................................... FCC 161 ................................................................................................... 08/31/03

3060–0919 ......................................... FCC 162 ................................................................................................... 08/31/03
3060–0920 ......................................... FCC 318 ................................................................................................... 10/31/03
3060–0921 ......................................... Petitions for LATA Boundary Modification for the Deployment of Ad- 08/31/03
vanced Services.
3060–0922 ......................................... FCC 397 ................................................................................................... 04/30/03
3060–0923 ......................................... Election Statement ................................................................................... 04/30/03
3060–0924 ......................................... Creation of Low Power Radio Service ..................................................... 04/30/03
3060–0926 ......................................... Transfer of the Bands from Federal Government Use: NPRM ............... 01/31/04
3060–0927 ......................................... Auditor’s Annual Independence and Objectivity Certification .................. 05/31/03
3060–0928 ......................................... FCC 302–CA ............................................................................................ 12/31/03
3060–0929 ......................................... FCC 331 ................................................................................................... 02/29/04
3060–0930 ......................................... Implementation of the Satellite Home Viewer Improvement Act (SHVIA) 12/31/02
of 1999; Enforcement Procedures for Retransmission Consent Viola-
tions Conforming to Section 325(e) of the Communications Act of
1934, as amended.
3060–0931 ......................................... Maritime Mobile Service Indentity (MMSI) ............................................... 06/30/03
3060–0932 ......................................... FCC 301–CA ............................................................................................ 11/30/03
3060–0933 ......................................... FCC 460 ................................................................................................... 11/30/03
3060–0934 ......................................... FCC 731–TC ............................................................................................ 01/31/04
3060–0935 ......................................... Cable Industry Survey on Channel Capacity and Retransmission Con- 2/31/03
sent.
3060–0936 ......................................... Sec. 95.1215, Disclosure Policies; Sec. 95.1217, Labeling Require- 07/31/03
ments.
3060–0937 ......................................... Establishment of a Class A Television Service, MM Docket No. 00–10 01/31/04
3060–0938 ......................................... FCC 319 ................................................................................................... 07/31/03
3060–0939 ......................................... E911, Second Memorandum Opinion and Order .................................... 05/31/04
3060–0940 ......................................... Amendment of Part 95 of the Commission’s Rulesto Provide Regu- 07/31/03
latory Flexibility in the 218–219 MHz Service, WT Docket No. 98–
169.
3060–0942 ......................................... Access Charge Reform, Price Cap Performance Review for Local Ex- 01/31/04
change Carriers, Low-Volume Long Distance Users, Federal-State
Join Board on Universal Service.
3060–0943 ......................................... Sec. 54.809 .............................................................................................. 12/31/03
3060–0944 ......................................... Review of Commission Consideration of Applications Under the Cable 08/31/03
Landing License Act.
3060–0945 ......................................... Sec. 79.2 .................................................................................................. 08/31/03
3060–0947 ......................................... Sec. 101.1327 .......................................................................................... 09/30/03
3060–0948 ......................................... Noncommercial Educational Applicants ................................................... 01/31/04
3060–0949 ......................................... FCC 159–W .............................................................................................. 10/31/03
3060–0950 ......................................... Extending Wireless Telecommunications Servicesto Tribal Lands, WT 04/30/04
Docket No. 99–266.
3060–0951 ......................................... Service of Petitions for Preemption, 47 CFR Sec. 1.1204(b) Note, and 01/31/04
Sec. 1.1206(a) Note 1.
3060–0952 ......................................... Proposed Demographic Information and Notifications ............................. 10/31/03
3060–0953 ......................................... Wireless Medical Telemetry Service, ET Docket No. 99–255 ................. 10/31/03
3060–0954 ......................................... Third NPRM and NPRM Regarding Implementation of the 911 Act ....... 10/31/03
3060–0955 ......................................... 2 GHz Mobile Satellite Service Reports ................................................... 02/29/04
3060–0956 ......................................... Notification of Emergency Alert System Status ....................................... 11/30/03
3060–0957 ......................................... Wireless Enhanced 911 Service .............................................................. 05/31/04
3060–0959 ......................................... Compatibility Between Cable Systems and Consumer Electronics 05/31/04
Equipment.
3060–0960 ......................................... Application of Network Non-Duplication, Syndicated Exclusivity, and (1)
Sports Blackout Rules to Satellite Retransmissions.
3060–0961 ......................................... 2000 Biennial Regulatory Review of the Accounting Requirements and 01/31/04
ARMIS Reporting Requirements for Incumbent Local Exchange Car-
riers; Phase 2 and Phase 3, CC Docket No. 00–199.
3060–0962 ......................................... Redesignation of the 18 GHz Frequency Band, Blanket Licensing of 01/31/04
Satellite Earth Stations in the Ka-Band, and the Allocation of Addi-
tional Spectrum for Broadcast Satellite Service Use.
3060–0963 ......................................... Sec. 101.527, Construction Requirements for 24 GHz Operations; Sec. 02/29/04
101.529, Renewal Expectancy Criteria for 24 GHz Licensees.
3060–0966 ......................................... Secs. 80.385, 80.475, and 97.303, Automated Marine Telecommuni- 02/29/04
cations Service (AMTS).
3060–0967 ......................................... Sec. 79.2 .................................................................................................. 02/29/04
3060–0968 ......................................... FCC 501 ................................................................................................... 07/31/04
3060–0969 ......................................... Availability to INTELSAT Space Segment Capacity to Users and Pro- 02/29/04
viders Seeking to Access INTELSAT Directly.
3060–0970 ......................................... Sec. 90.621(e)(2) ...................................................................................... 06/30/04
3060–0971 ......................................... Numbering Resource Optimization .......................................................... (1)
3060–0972 ......................................... Multi-Association Group (MAG) Plan for Regulation of Interstate Serv- 03/31/04
ices of Non-Price Cap Incumbent Local Exchange Carriers and Inter-
exchange Carriers.
51
§ 0.409 47 CFR Ch. I (10–1–02 Edition)
OMB
3060–0973 ......................................... Sec. 64.1120(e) ........................................................................................ 11/30/01

3060–0974 ......................................... Proposed Requirements for Secondary Market Transactions, CC Dock- 04/30/04
et No. 99–200.
3060–0975 ......................................... Promotion of Competitive Networks in Local Telecommunications Mar- 05/31/04
kets Multiple Environments (47 CFR Parts 1, 64 and 68).
3060–0977 ......................................... Procedures for Reviewing Requests for Relief from State and Local 06/30/04
Regulations Pursuant to Section 332(c)(7)(B)(v) of the Communica-
tions Act of 1934.
3060–0978 ......................................... Compatibility with E911 Emergency Calling Systems; Fourth Report 06/30/04
and Order.
3060–0979 ......................................... Spectrum Audit Letter .............................................................................. 10/31/01
3060–0980 ......................................... Implementation of the Satellite Home Viewer Improvement Act 06/30/04
(SHVIA), Broadcast Signal Carriage Issues, Retransmission Consent
Issues.
3060–0981 ......................................... 1998 Biennial Review: Streamlining of Cable Television Services, Part 06/30/04
76, Public File and Notice Requirements.
3060–0982 ......................................... Implementation of Low Power Television (LPTV) Digital Data Services 10/31/01
Pilot Project.
3060–0983 ......................................... Standards for Co-Channel and Adjacent Channel Interference in the 07/31/04
Land Mobile Radio Service.
3060–0984 ......................................... Secs. 90.35(b)(2) and 90.175(b)(1) .......................................................... 07/31/04
3060–0985 ......................................... Public Safety, State Interoperability Channels ......................................... 07/31/04
3060–0986 ......................................... Federal-State Joint Board on Universal Service, Plan for Reforming the 12/31/01
Rural Universal Support Mechanism.
3060–0988 ......................................... Election to Freeze part 36 Categories and Allocations ........................... 12/31/01
3060–0989 ......................................... Procedures for Applicants Requiring Section 214 Authorization for Do- 12/31/01
mestic Interstate Transmission Lines Acquired Through Corporate
Control.
3060–0991 ......................................... AM Measurement Data ............................................................................ 01/31/02
3060–0992 ......................................... Request for Extension of the Implementation Deadline for Non-Recur- 01/31/02
ring Services, CC Docket No. 96–45 and Sec. 54.507(d)(1)–(4).
3060–0993 ......................................... Establishment of a Class A Television Service ....................................... 02/28/02
1Pending OMB approval.
[66 FR 48973, Sept. 25, 2001]
§ 0.409 Commission policy on private printed, a marginal notation must be

printing of FCC forms. added stating ‘‘No U.S. Government
The Commission has established a funds were used to print this docu-
policy regarding the printing of blank ment.’’
FCC forms by private companies if (4) Do not add to the form any other
they elect to do so as a matter of expe- symbol, word or phrase that might be
diency and convenience to their clients construed as personalizing the form or
or consumers. The policy is as follows: advertising on it.
(a) Blank FCC forms may be repro- (5) Except as specified above, do not
duced by private companies at their delete from or add to any part of the
own expense provided the following form, or attach anything thereto.
conditions are met: (6) Assure that the form being repro-
(1) Use a printing process resulting in duced is an edition currently accept-
a product that is at least comparable able by the Commission, which will en-
in quality to the original document, deavor to keep the public advised of re-
without change to the page size, image visions to its forms, but cannot assume
size, configuration of pages, folds or responsibility to the extent of elimi-
perforations, and matching as closely nating any element of risk against the
as possible the paper weight, paper use of obsolete forms.
color and ink color.
(b) These guidelines do not apply to
(2) Delete in its entirety any and all
forms which respondents may wish to
U.S. Government Printing Office (GPO)
indicia that may appear in the mar- reproduce as completed facsimiles on
gin(s). automated equipment to satisfy appli-
(3) If the printer wishes to identify a cation or report requirements. Re-
foreign country in which the forms are quests for permission to submit such
52
forms to the Commission should be ad- full Notices of proposed rule making
dressed to the Office of Managing Di- and other rule making decisions adopt-
rector. ed by the Commission constitute rule-
[53 FR 27861, July 25, 1988] making documents for purposes of
FEDERAL REGISTER publication. The
PRINTED PUBLICATIONS FEDERAL REGISTER is fully indexed and
contains numerous findings aids.
§ 0.411 General reference materials.
The following reference materials are FR 39180, July 5, 1979; 51 FR 7444, Mar. 4, 1986]
available in many libraries and may be
purchased from the Superintendent of § 0.413 The Commission’s printed pub-
Documents, U.S. Government Printing lications.
Office, Washington, D.C. 20402:
(a) Statutory materials. Laws per- The Commission’s printed publica-
taining to communications are con- tions are described in §§ 0.414 through
tained in Title 47 of the United States 0.420. These publications may be pur-
Code. Laws enacted since the printing chased from the Superintendent of
of the last supplement to the Code are Documents, U.S. Government Printing
printed individually as slip laws, and Office, Washington, DC 20402.
these are compiled chronologically in [64 FR 60722, Nov. 8, 1999]
the United States Statutes at Large.
The Acts of Congress from 1910–62 per- § 0.414 The Communications Act and
taining to radio have been compiled in other statutory materials.
a single volume, Radio Laws of the
United States (1962 ed.). See §§ 0.405 and This publication, with packets of re-
0.414. vised pages, contains the Communica-
(b) Regulatory materials—(1) The Code tions Act of 1934, with amendments
of Federal Regulations. The rules and through 1964; the Administrative Pro-
regulations of the Commission are con- cedure Act, with amendments through
tained in chapter I of title 47 of the 1964; the Judicial Review Act; the Com-
Code of Federal Regulations. Chapter I munications Satellite Act of 1962; and
is divided into the following four sub- selected sections of the Criminal Code
chapters, which may be purchased sep- pertaining to communications. It also
arately: Subchapter A—General; Sub- contains indexes to the Communica-
chapter B—Common Carrier Services; tions Act and the Administrative Pro-
Subchapter C—Broadcast Radio Serv- cedure Act. Persons who do not have
ices; and Subchapter D—Private Radio ready access to the United States Code,
Services. Most persons will find that or who refer frequently to these mate-
they need subchapter A, containing the rials, may find this volume to be use-
general rules, and one of the other vol- ful.
umes, depending upon their area of in-
[32 FR 10571, July 19, 1967]
terest. These four volumes are revised
annually to reflect changes in the § 0.415 The rules and regulations
rules. See §§ 0.406, 0.412, and 0.415. The (looseleaf service).
Code of Federal Regulations is fully in-
dexed and contains numerous finding (a) In this service, the rules are di-
aids. See 1 CFR appendix C. vided into 10 volumes, each containing
(2) The Federal Register. As rules are several related parts. Each volume may
adopted, amended, or repealed, the be purchased separately from the Su-
changes are published in the FEDERAL perintendent of Documents. The pur-
REGISTER, which is published daily ex- chase price for a volume includes a sub-
cept on legal holidays. Notices of proscription to replacement pages reflect-
posed rule making, other rule making ing changes in the rules contained
documents, statements of general pol- therein until such time as the volume
icy, interpretations of general applica- is revised. Each volume is revised peri-
bility, and other Commission docu- odically, depending primarily on the
ments having general applicability and frequency with which the rules it con-
legal effect are also published in the tains have been amended. When a vol-
FEDERAL REGISTER. Summaries of the ume is revised, the revised volume and
53
§ 0.416 47 CFR Ch. I (10–1–02 Edition)
replacement pages therefor will be fur- tained at the Washington offices of the
nished to those who renew their sub- Commission or at any of the field of-
scriptions. fices listed in § 0.121. For information
(b) [Reserved] concerning the forms to be used and fil-
[41 FR 21449, May 26, 1976, as amended at 45 ing requirements, see subparts D, E, F,
FR 49935, July 28, 1980; 51 FR 31304, Sept. 2, and G, of part 1 of this chapter and the
1986] appropriate substantive rules.
§ 0.416 The Federal Communications [40 FR 17254, Apr. 18, 1975]

Commission Record.
§ 0.422 Current action documents and
Texts adopted by the Commission or public notices.
a member of its staff on delegated au-
thority and released through the Office Documents adopted by the Commis-
of Media Relations are published in the sion, public notices and other public
FCC Record. The FCC Record is pub- announcements are released through
lished biweekly in pamphlet form. The the Office of Media Relations. These
pamphlets are available on a subscrip- documents are also available on the
tion basis from the Superintendent of Commission’s website at www.fcc.gov/
Documents. Each biweekly pamphlet and can be obtained from the Commis-
contains a table of contents and cur- sion’s duplicating contractor.
rent index. A consolidated index is pub- [64 FR 60722, Nov. 8, 1999]
lished on a periodic basis.
[64 FR 60722, Nov. 8, 1999] § 0.423 Information bulletins.
Information bulletins and fact sheets
§ 0.417 The Annual Reports. containing information about commu-
At the end of each fiscal year, the nications issues and the Federal Com-
Commission publishes an Annual Re- munications Commission are available
port containing general information on the Commission’s web site at
concerning the Commission and the www.fcc.gov, ftp.fcc.gov or may be re-
history of regulation, a summary of de- quested from the Consumer and Gov-
velopments during the year, and se- ernmental Affairs Bureau.
lected industry statistics.
[32 FR 10571, July 19, 1967] FR 13221, Mar. 21, 2002]
§ 0.420 Other Commission publica- LISTS CONTAINING INFORMATION

tions. COMPILED BY THE COMMISSION
The following additional Commission
publications may be purchased from § 0.431 The FCC service frequency
the Superintendent of Documents: lists.
(a) Statistics of Communications Lists of frequency assignments to
Common Carriers. radio stations authorized by the Com-
(b) Figure M–3, Estimated AM mission are recapitulated periodically
Ground Conductivity of the United by means of an automated record sys-
States (set of two maps). tem. All stations licensed by the Com-
(c) Television Network Program Pro- mission are included, except the fol-
curement Report, 2d Interim Report, lowing: Aircraft, amateur, personal
Part 2, by the Office of Network Study. (except General Mobile Radio Service),
[32 FR 10571, July 19, 1967, as amended at 44 Civil Air Patrol, and disaster. The re-
FR 39180, July 5, 1979] sulting documents, the FCC service fre-
quency lists, consist of several volumes
FORMS AND DOCUMENTS AVAILABLE arranged by nature of service, in fre-
UPON REQUEST quency order, including station loca-
tions, call signs and other technical
§ 0.421 Application forms. particulars of each assignment. These
All forms for use in submitting appli- documents are available for public in-
cations for radio authorization, to- spection in Washington, D.C., in the Of-
gether with instructions and informa- fice of Engineering and Technology.
tion as to filing such forms, may be ob- Copies may be purchased from the
54
Commission’s duplicating contractor. mission’s main office in Washington,

See § 0.465(a). DC.
[64 FR 60722, Nov. 8, 1999] [64 FR 60723, Nov. 8, 1999, as amended at 67
FR 13221, Mar. 21, 2002]
§ 0.434 Data bases and lists of author-
ized broadcast stations and pending § 0.442 Disclosure to other Federal
broadcast applications. government agencies of information
submitted to the Commission in
Periodically the FCC makes avail- confidence.
able copies of its data bases and lists
containing information about author- (a) The disclosure of records to other
ized broadcast stations, pending appli- Federal government agencies is gen-
cations for such stations, and rule- erally governed by 44 U.S.C. 3512 and
making proceedings involving amend- 3510(b) rather than the Freedom of In-
ments to the TV and FM Table of Al- formation Act. The acceptance of ma-
lotments. The data bases, and the lists terials in confidence under § 0.457 or
prepared from the data bases, contain § 0.459 does not provide assurance
frequencies, station locations, and against their disclosure to other agen-
other particulars. The lists are avail- cies.
able for public inspection at the FCC’s (b) Information submitted to the
Reference Information Center at 445 Commission in confidence pursuant to
12th Street, SW., Washington, DC. § 0.457(c) (2) and (3), (d) and (g) or § 0.459
Paper copies of the lists may be pur- will be disclosed to other agencies of
chased from the FCC’s duplicating con- the Federal government upon request:
tractor; see § 0.465(a). Many of the data- Provided (1) Specific Commission assur-
bases may be viewed at the Commis- ances against such disclosure have not
sion’s web site at www.fcc.gov. and been given, (2) the other agency has es-
ftp.fcc.gov under mass media services. tablished a legitimate need for the in-
Microfiche copies of these lists are formation, (3) disclosure is made sub-
maintained by the Reference Informa- ject to the provisions of 44 U.S.C.
tion Center. These lists are derived 3510(b), and (4) disclosure is not prohib-
from the data bases and can be used as ited by the Privacy Act or other provi-
an alternative research source to the sions of law.
Broadcast Application Processing Sys- (c) The Commission’s staff may give
tem (BAPS). assurances against disclosure of infor-
mation to other Federal agencies only
[64 FR 60722, Nov. 8, 1999] with the prior written approval of the
General Counsel. In no event will as-
PUBLIC INFORMATION AND INSPECTION OF surance against disclosure to other
RECORDS agencies be given in advance of submis-
sion of the information to the Commis-
§ 0.441 General.
sion if submission is required by stat-
Any person desiring to obtain infor- ute or by the provisions of this chap-
mation may do so by contacting the ter; but the notice provisions of para-
Consumer and Governmental Affairs graph (d) of this section will apply to
Bureau. Requests for information, gen- such information.
eral inquiries, and complaints may be (d)(1) Except as provided in para-
submitted by: graphs (d)(2) and (d)(3) of this section, a
(a) Internet at www.fcc.gov/CIB/ party who furnished records to the
FCCINFO or ftp.fcc.gov/CIB/FCCINFO. Commission in confidence will be noti-
(b) Telephone at 1–(888) CALLFCC (1– fied at the time that the request for
888–225–5322). disclosure is submitted and will be af-
(c) TDD/TDY at (202) 418–0484. forded 10 days in which to oppose dis-
(d) Correspondence at: Consumer and closure.
Governmental Affairs Bureau, P.O. Box (2) If the agency requesting the rec-
FCC, 445 12th Street, SW., Washington, ords states to the satisfaction of the
DC 20554. Commission that notice to the party
(e) Visiting the Reference Informa- who furnished the records to the Com-
tion Center of the Consumer and Gov- mission will interfere unduly with its
ernmental Affairs Bureau at the Com- law enforcement activities and further
55
§ 0.445 47 CFR Ch. I (10–1–02 Edition)
states that it will notify that party of sion constitute rulemaking documents
the Commission’s disclosure once the for purposes of FEDERAL REGISTER pub-
potential for such interference is elimi- lication. See § 1.412(a)(1). The complete
nated, the Commission will not give text of the Commission decision also is
notice of disclosure. released by the Commission and is
(3) A party who furnished records to available for inspection and copying
the Commission in confidence under during normal business hours in the Of-
§ 0.457(d) or 0.459 will not be afforded fice of Media Relations or as otherwise
prior notice when the disclosure is specified in the rulemaking document
made to the Comptroller General. Such published in the FEDERAL REGISTER.
a party will instead be notified of dis- Docketed matters are available to the
closure of the records to the Comp- public via the Electronic Comment Fil-
troller General either individually or ing System maintained in the Ref-
by public notice. erence Information Center at 445 12th
(4) If disclosure is opposed and the Street, Washington, DC. The complete
Commission decides to make the rec- texts of rulemaking decisions may also
ords available to the other agency, the be purchased from the Commission’s
party who furnished the records to the duplicating contractor.
Commission will be afforded ten (10) (d) Formal policy statements and in-
working days from the date of the rul- terpretations designed to have general
ing in which to move for a judicial stay applicability and legal effect are pub-
of the Commission’s action. If he does lished in the FEDERAL REGISTER, the
not move for stay within this period, FCC Record, FCC Reports, or Pike and
the records will be disclosed. Fischer. Commission decisions and
(e) Except as provided in paragraph other Commission documents not enti-
(d)(3) of this section, nothing in this tled formal policy statements or inter-
section is intended to govern disclosure pretations may contain substantive in-
of information to Congress or the terpretations and statements regarding
Comptroller General. policy, and these are published as part
of the document in the FCC Record,
[44 FR 55573, Sept. 27, 1979; 44 FR 57096, Oct.
4, 1979, as amended at 64 FR 55162, Oct. 12, FCC Reports or Pike and Fischer. Gen-
1999] eral statements regarding policy and
interpretations furnished to individ-
§ 0.445 Publication, availability and uals, in correspondence or otherwise,
use of opinions, orders, policy state- are not ordinarily published.
ments, interpretations, administra- (e) If the documents described in
tive manuals, and staff instructions. paragraphs (a) through (d) of this sec-
(a) Adjudicatory opinions and orders tion are published in the FEDERAL REG-
of the Commission, or its staff acting ISTER, the FCC Record, FCC Reports, or
on delegated authority, are mailed to Pike and Fischer Radio Regulation,
the parties, and as part of the record, they may be relied upon, used or cited
are available for inspection in accord- as precedent by the Commission or pri-
ance with §§ 0.453 and 0.455. vate parties in any manner. If they are
(b) Texts adopted by the Commission not so published, they may not be re-
or a member of its staff on delegated lied upon, used or cited as precedent,
authority and released through the Of- except against persons who have actual
fice of Media Relations are published in notice of the document in question or
the FCC Record. Older materials of this by such persons against the Commis-
nature are available in the FCC Re- sion. No person is expected to comply
ports. In the event that such older ma- with any requirement or policy of the
terials are not published in the FCC Commission unless he has actual no-
Reports, reference should be made to tice of that requirement or policy or a
the FEDERAL REGISTER or Pike and document stating it has been published
Fischer Radio Regulation. as provided in this paragraph. Nothing
(c) All rulemaking documents are in this paragraph, however, shall be
published in the FEDERAL REGISTER. construed as precluding a reference to
Summaries of the full Notices of pro- the rationale set forth in a recent doc-
posed rule making and other rule mak- ument that is pending publication if
ing decisions adopted by the Commis- the requirment or policy to which the
56
rationale relates is contained in a public inspection and the places at which
lished document or if actual notice of those records may be inspected. Proce-
that requirement or policy has been dures governing requests for inspection
given. of such records are set out in § 0.460.
(f) The FEDERAL REGISTER, the FCC (b) Records which are not routinely
Record, FCC Reports and Pike and available for public inspection. Records
Fischer Radio Regulation are indexed. which are not listed in § 0.453 or § 0.455
If the documents described in para- are not routinely available for public
graphs (a)–(d) of this section are not inspection. Such records fall into two
published, they are neither indexed nor categories.
relied upon, except as provided in para- (1) The first category consists of
graph (e) of this section. those records or kinds of records listed
(g) The FCC Administrative Manual in § 0.457 and of particular records with-
(excepting Part IX, concerning Civil held from public inspection under
Defense, which contains materials clas- § 0.459. The Commission has determined
sified under E.O. 10501) is available for that there is a statutory basis for with-
inspection in the Office of the Man- holding these records from public in-
aging Director. The Manual is not inspection. In some cases, the Commis-
dexed but is organized by subject, with sion is prohibited from permitting the
tables of contents, and the materials inspection of records. In other cases,
contained therein can be located with- the records are the property of another
out difficulty. agency, and the Commission has no au-
(h) Subparts A and B of this part de- thority to permit their inspection. In
scribe the functions of the staff and list still other cases, the Commission is au-
the matters on which authority has thorized, for reason of policy, to with-
been delegated to the staff. Except as hold records from inspection, but is not
provided in paragraph (g) of this sec-
required to do so.
tion, all general instructions to the
(2) The second category consists of
staff and limitations upon its author-
records which are not listed in § 0.453,
ity are set forth in those subparts. As
part of the Commission’s rules and reg- § 0.455, or § 0.457 and have not been with-
ulations, the provisions of these sub- held from inspection under § 0.459. In
parts are indexed in the FEDERAL REG- some cases, these records have not
ISTER and the Code of Federal Regula-
been identified for listing. In other
tions. Instructions to the staff in par- cases (e.g., the general correspondence
ticular matters or cases are privileged files), the Commission is unable to de-
and are not published or made avail- termine either that all records in a
able for public inspection. class should be routinely available for
(i) To the extent required to prevent inspection or that all records in that
a clearly unwarranted invasion of per- class should not be routinely available
sonal privacy, the Commission may de- for inspection, and individual deter-
lete identifying details when it makes mination is required.
available or publishes any document (3) Procedures governing requests for
described in this section. The justifica- inspection of these records are set out
tion for any such deletion will be fully in § 0.461.
explained in a preamble to the docu- (4) Procedures governing demands by
ment. competent authority for inspection of
these records are set out in § 0.463.
FR 17255, Apr. 18, 1975; 50 FR 27953, July 9,
(5) Except as provided in §§ 0.461 and
1985; 51 FR 7444, Mar. 4, 1986; 51 FR 45889, Dec. 0.463, no officer or employee of the
23, 1986; 61 FR 8477, Mar. 5, 1996; 64 FR 60723, Commission shall permit the inspec-
Nov. 8, 1999] tion of records which are not routinely
available for public inspection under
§ 0.451 Inspection of records: Gen- § 0.453 or § 0.455, or disclose information
erally. contained therein.
(a) Records which are routinely avail- (c) Copies. Section 0.465 applies to re-
able for public inspection. Sections 0.453 quests for copies of Commission
and 0.455 list those Commission records records which are routinely available
which are routinely available for pub- for public inspection under §§ 0.453 and
57
§ 0.453 47 CFR Ch. I (10–1–02 Edition)
0.455 and those which are made avail- ant agreements, and mortgage or loan
able for inspection under § 0.461. Sec- agreements.
tion 0.467 applies to requests for cer- (G) broadcast applications and re-
tified copies of Commission records. lated files.
(d) Search fees. Section 0.466 pre- (H) FM Translator applications and
scribes fees to cover the expense of related files.
searching for records made available (I) Station files containing Notice of
for inspection under § 0.460 or § 0.461. Apparent Liability and Memorandum
[40 FR 7313, Feb. 19, 1975] of Opinion and Order and related files.
(J) Network correspondence files and
§ 0.453 Public reference rooms. related materials.
The Commission maintains the fol- (ii) Common Carrier Services, includ-
lowing public reference rooms at its of- ing:
fices in Washington, DC, and Columbia, (A) Annual reports filed by carriers
Maryland. Much of the information under § 43.21 of this chapter.
available from the public reference (B) Reports on pensions and benefits
rooms may also be retrieved from the filed by carriers under § 43.42 of this
Commission’s WorldWide Website at chapter.
http://www.fcc.gov: (C) Reports of proposed changes in
(a) The Reference Information Center of depreciation rates filed by carriers
the Consumer and Governmental Affairs under § 43.43 of this chapter.
Bureau. (1) Files containing the record (D) Tariff schedules for all charges
of all docketed cases, petitions for rule for interstate and foreign wire or radio
making and related papers. A file is communications filed pursuant to sec-
maintained for each docketed hearing tion 203 of the Communications Act, all
case and for each docket rule making related documents and communica-
proceeding. Cards summarizing the his- tions.
tory of such cases are available for in- (E) All applications for common car-
spection. rier authorizations acted upon by the
(2) Files, documents, and records re- Enforcement Bureau, and related files.
lated to the following services: (F) All formal and informal com-
(i) Mass Media Services. plaints against common carriers filed
(A) Applications for broadcast au- under §§ 1.711 through 1.735 of this chap-
thorizations and related files are avail- ter, all documents filed in connection
able for public inspection Certain therewith, and all communications re-
broadcast applications, reports and lated thereto.
records are also available for inspec- (G) Annual employment reports filed
tion in the community in which the by common carrier licensees or permit-
station is located or is proposed to be tees pursuant to § 1.815 of this chapter.
located. See §§ 73.3526 and 73.3527 of this (H) Enforcement proceedings and
chapter. public inquiries and related materials.
(B) Ownership reports filed by licens- (I) Files containing contracts be-
ees of broadcast stations pursuant to tween carriers and affiliates, accounts
§ 73.3615. and subaccounts, pension filings, prop-
(C) Network affiliation contracts be- erty records, disposition units, and de-
tween stations and networks (for tele- preciation rate filings.
vision stations only). (J) Cost Allocation Manuals and re-
(D) Contracts relating to network lated materials.
service to broadcast licensees filed on (K) Section 214 applications and re-
or after the 1st day of May 1969 under lated files, to the extent that they con-
§ 73.3613. cern domestic communications facili-
(E) Annual employment reports filed ties and services.
by licensees and permittees of broad- (L) Files containing reports required
cast stations pursuant to § 73.3612 of by FCC Rules and Regulations, annual
this chapter. reports to stockholders, administrative
(F) Contract files which contain reports, monthly bypass reports and re-
pledges, trust agreements, options to lated materials.
purchase stock agreements, partner- (M) Files containing reference mate-
ship agreements, management consult- rial from major telephone companies.
58
(N) Files containing Local Exchange (C) International Fixed Public Radio
Rates and related files. applications and related files under
(O) Currently effective tariffs filed by part 23 of this chapter;
Communications Common Carriers (D) Files relating to submarine cable
pursuant to various FCC Rules and landing licenses and applications for
Regulations. such licenses since June 30, 1934, except
(P) Recent revisions to tariff filings for maps showing the exact location of
and the Reference Information Center submarine cables, which are withheld
Log which is prepared daily and lists from inspection under section 4(j) of
the tariff filings received the previous the Communications Act (see
day. § 0.457(c)(1)(i));
(iii) Wireless Telecommunications (E) Documents relating to
Services and Auction related data in- INTELSAT or INMARSAT;
cluding: (F) International broadcast applica-
(A) Station files containing a com- tions, applications for permission to
plete history of data submitted by the deliver programming to foreign sta-
applicant that has been approved by tions, and related files under part 73 of
the Commission which includes back- this chapter;
ground material. (v) Cable services. The following files
and documents are available, includ-
(B) Pending files containing applica-
ing:
tions for additional facilities or modi-
(A) All complaints regarding cable
fications of existing facilities.
programming rates, all documents filed
(C) Cellular and Paging Granted Sta-
in connection therewith, and all com-
tion files and related materials.
munications related thereto, unless the
(D) Pending cellular and paging ap- cable operator has submitted a request
plications and related files. pursuant to § 0.459 that such informa-
(E) Electronically stored application tion not be made routinely available
and licensing data for commercial for public inspection.
radio operators and for all authoriza- (B) Special relief petitions and files
tions in the Wireless Radio services are pertaining to cable television oper-
available for public inspection via the ations.
Commission’s wide area network. Wire- (C) Cable television system reports
less Radio services include Commercial filed by operators pursuant to § 76.403 of
and Private Mobile Radio, Common this chapter.
Carrier and Private Operational Field (D) Annual employment reports filed
point-to-point Microwave, Local Tele- by cable television systems pursuant to
vision Transmission Service (LTTS), § 76.77 of this chapter.
Digital Electronic Message Service (E) Files and documents related to
(DEMS), Aviation Ground and Marine Cable Television Relay Service (CARS)
Coast applications. Some of these serv- (b) Reference Information Center. Sta-
ices are available electronically now tion files containing applications and
and most will be available on electroni- related materials for Remote Pickup,
cally within 90 days of the implementa- Aural STL/ICR, TV Auxiliary, and Low
tion of the Universal Licensing System Power Auxiliary Stations in the mass
(ULS). media services.
(F) Petitions and related materials. (c) The Library. Various legal and
(iv) International Services, except to technical publications, and legislative
the extent they are excluded from rou- history compilations, related to com-
tine public inspection under another munications are available for inspec-
section of this chapter: tion in the Library.
(A) Satellite and earth station appli- (d) The Office of Engineering and Tech-
cations files and related materials nology, FCC Laboratory Reference Room.
under parts 25 and 100 of this chapter; The following documents, files and
(B) Section 214 applications and re- records are available for inspection at
lated files under part 63 of this chapter, this location. Files containing ap-
to the extent that they concern inter- proved applications for Equipment Au-
national communications facilities and thorization and related materials are
services; available for review. These files are
59
§ 0.453 47 CFR Ch. I (10–1–02 Edition)
available in the Commission’s Labora- Service) and Digital Electronic Mes-

tory in Columbia, Maryland. sage (DEMS) services in the Common
(e) The International Bureau. The Carrier services. Cards summarizing
International Bureau maintains inter- the historical record of applications
national settlement agreements and and dispositions of the Broadcast Aux-
contracts and international cable iliary service through May 1982 are
agreements. available for inspection as well.
(f) The Media Bureau. The Media Bu- (2) Pending files containing applica-
reau maintains all cable operator re- tions for additional facilities or modi-
quests for approval of existing or in- fications of existing facilities.
creased cable television rates for basic (3) Cellular Granted Station files and
service and associated equipment over related materials.
which the Commission had assumed ju-
(4) Pending cellular applications and
risdiction, all documents filed in con-
related files.
nection therewith, and all communica-
tions related thereto, unless the cable (5) Petitions and related materials.
operator has submitted a request pur- (i) The Wireline Competition Bureau,
suant to § 0.459 that such information Industry Analysis Reference Room. The
not be made routinely available for following documents, files and records
public inspection. are available for inspection at this lo-
(g) The Wireline Competition Bureau. cation.
Section 214 applications and related (1) Files containing reports required
files, to the extent that they concern by FCC Rules and Regulations, annual
domestic communications facilities reports to stockholders, administrative
and services are available for inspec- reports, monthly bypass reports and re-
tion at this location. lated materials.
(1) [Reserved] (2) Files containing reference mate-
(2) Section 214 applications and re- rial from major telephone companies.
lated files, to the extent that they con- (3) Files containing Local Exchange
cern domestic communications facili- Rates and related files.
ties and services. (j) The Wireline Competition Bureau,
(h) The Wireless Telecommunications Tariff Review Reference Room. Contains
Bureau, Commercial Mobile Services Ref- currently effective tariffs filed by Com-
erence Room. The following documents, munications Common Carriers pursu-
files and records are available for in- ant to various FCC Rules and Regula-
spection at two different locations. The tions. Also available for review and
Legal Branch is the responsible custo- copying are recent revisions to tariff
dian for both locations. filings and the Public Reference Room
(1) The Wireless Telecommunications Log, which is prepared daily and lists
Bureau Reference Room—Gettysburg.
the tariff filings received the previous
Commercial radio operator application
day.
files and all authorizations in the Wire-
less Radio Services and files relating (k) The Office of Engineering and Tech-
thereto, which includes Land Mobile, nology, FCC Laboratory Reference Room.
Microwave, Aviation Ground and Ma- The following documents, files and
rine Coast applications. All of these records are available for inspection at
materials are available in the Commis- this location. Files containing ap-
sion’s offices in Gettysburg, Pennsyl- proved applications for Equipment Au-
vania. See § 0.457(f)(3). This reference thorization and related materials are
room also contains station files con- available for review. These files are
taining applications and related mate- available in the Commission’s Labora-
rials for Remote Pickup, Aural STL/ tory in Columbia, Maryland.
ICR, TV Auxiliary, and Low Power (l) The International Bureau Reference
Auxiliary Stations in the Mass Media Room. Except to the extent they are ex-
services. This reference room also concluded from routine public inspection
tains station files containing applica- under another section of this chapter,
tions and related materials for the the following documents, files, and
Point-to-Point Microwave (including records are available for inspection at
the Local Television Transmission this location:
60
(1) Satellite and earth station appli- (4) Cable television system reports
cations files and related materials filed by operators pursuant to § 76.403 of
under parts 25 and 100 of this chapter; this chapter.
(2) Section 214 applications and re- (n) Electronically stored application
lated files under part 63 of this chapter, and licensing data for commercial
to the extent that they concern inter- radio operator applications and all au-
national communications facilities and thorizations in the Wireless Radio serv-
services; ices are available for public inspection
(3) International Fixed Public Radio via the Commission’s wide area net-
applications and related files under work. Wireless Radio services include
part 23 of this chapter; Commercial and Private Mobile Radio,
(4) Files relating to submarine cable Common Carrier and Private Oper-
landing licenses and applications for ational Fixed Point-to-Point Micro-
such licenses since June 30, 1934, except wave, Local Television Transmission
for maps showing the exact location of Service (LTTS), Digital Electronic
submarine cables, which are withheld Message Service (DEMS), Aviation
from inspection under section 4(j) of Ground and Marine Coast applications.
the Communications Act (see
§ 0.457(c)(1)(i)); [32 FR 10573, July 19, 1967, as amended at 46
FR 27655, May 21, 1981; 50 FR 40014, Oct. 1,
(5) Files relating to international set- 1985; 52 FR 38764, Oct. 19, 1987; 58 FR 19772,
tlements under part 64 of this chapter; Apr. 16, 1993; 59 FR 32132, June 22, 1994; 60 FR
(6) Documents relating to INTELSAT 5325, Jan. 27, 1995; 60 FR 35507, July 10, 1995;
or INMARSAT; 63 FR 36596, July 7, 1998; 63 FR 68919, Dec. 14,
(7) International broadcast applica- 1998; 64 FR 28936, May 28, 1999; 64 FR 60723,
tions, applications for permission to Nov. 8, 1999; 67 FR 13221, Mar. 21, 2002]
deliver programming to foreign sta- EFFECTIVE DATE NOTE: At 64 FR 28936, May
tions, and related files under part 73 of 28, 1999, in § 0.453 paragraph (o) was added, ef-
this chapter; and fective 90 days after ULS is implemented for
(8) International settlement agree- all services licensed by the Wireless Tele-
ments and contracts and international communications Bureau.
cable agreements.
§ 0.455 Other locations at which
(m) The Media Bureau Reference Cen- records may be inspected.
ter. The following documents, files and
records are available for inspection at Except as provided in §§ 0.453,0.457,
this location. and 0.459, records are routinely avail-
(1) All complaints regarding cable able for inspection in the Reference In-
programming rates, all documents filed formation Center or the offices of the
in connection therewith, and all com- Bureau or Office which exercises re-
munications related thereto, unless the sponsibility over the matters to which
cable operator has submitted a request those records pertain (see § 0.5), or will
pursuant to § 0.459 that such informa- be made available for inspection at
tion not be made routinely available those office upon request. Upon inquiry
for public inspection. to the appropriate Bureau or Office,
(2) All cable operator requests for ap- persons desiring to inspect such
proval of existing or increased cable records will be directed to the specific
television rates for basic service and location at which the particular
associated equipment over which the records may be inspected. A list of Bu-
Commission has assumed jurisdiction, reaus and Offices and examples of the
all documents filed in connection records available at each is set out
therewith, and all communications re- below.
lated thereto, unless the cable operator (a) Media Bureau. (1) Rulings under
has submitted a request pursuant to the Fairness Doctrine and section 315
§ 0.459 that such information not be of the Communications Act, and re-
made routinely available for public in- lated materials.
spection. (2) Ruling lists which contain brief
(3) Special relief petitions and files summaries of rulings.
pertaining to cable television oper- (3) Congressional correspondence and
ations. related materials.
61
§ 0.457 47 CFR Ch. I (10–1–02 Edition)
(4) Correspondence and other actions and other technical materials are
and decisions relating to cable tele- maintained at the Commission’s Lab-
vision services that are not filed in the oratory at Columbia, Maryland.)
FCC Reference Information Center, e.g. (e) International Bureau. The treaties
rate regulation files and related docu- and other international and bilateral
ments. agreements listed in § 73.1650 of this
(b) Wireline Competition Bureau. (1) chapter are available for inspection in
Reports of public coast station opera- the office of the Chief, Strategic Anal-
tors filed under § 43.71 of this chapter. ysis and Negotiations Division, Inter-
(2) Valuation reports filed under sec- national Bureau. Also contracts and
tion 213 of the Communications Act, other arrangements filed under § 43.51
including exhibits filed in connection and reports of negotiations regarding
therewith, unless otherwise ordered by foreign communication matters filed
the Commission, with reasons therefor, under § 43.52 of this chapter, except for
pursuant to section 213(f) of the Com- those kept confidential by the Commis-
munications Act. See § 0.457(c)(2). sion pursuant to section 412 of the
(3) Computer II files and related ma- Communications Act. See § 0.457(c)(3).
terials. Also files relating to international set-
(c) Office of Managing Director. (1) All tlements under part 64 of this chapter.
minutes of Commission actions, con- [67 FR 13222, Mar. 21, 2002]
taining a record of all final votes, min-
utes of actions and internal manage- § 0.457 Records not routinely available
ment matters as provided in § 0.457 for public inspection.
(b)(1) and (c)(1)(i). These records and The records listed in this section are
files are available for inspection in the not routinely available for public in-
Agenda Group. spection. The records are listed in this
(2) Files containing information con- section by category, according to the
cerning the history of the Commis- statutory basis for withholding those
sion’s rules. These files are available records from inspection; and under
for inspection in the Publications each category, if appropriate, the un-
Group. derlying policy considerations affect-
(3) See § 0.443. ing the withholding and disclosure of
(4) Reports filed pursuant to subpart records in that category are briefly
E of part 19 of this chapter and applica- outlined. Except where the records are
tions for inspection of such reports. not the property of the Commission or
See § 0.460(k). where the disclosure of those records is
(d) Office of Engineering and Tech- prohibited by law, the Commission will
nology which includes the Bureau’s entertain requests from members of
Technical Library containing technical the public under § 0.461 for permission
reports, technical journals, and bul- to inspect particular records withheld
letins of spectrum management and re- from inspection under the provisions of
lated technical materials. Also files this section, and will weigh the policy
containing approved applications for considerations favoring non-disclosure
Equipment Authorization (Type ac- against the reasons cited for permit-
cepted, certified and notified) and re- ting inspection in the light of the facts
lated materials are available for re- of the particular case. In making such
view. These files are available in the requests, it is important to appreciate
Commission’s Laboratory in Columbia, that there may be more than one basis
Maryland. for withholding particular records from
(1) Experimental application and li- inspection. The listing of records by
cense files. category is not intended to imply the
(2) The Master Frequency Records. contrary but is solely for the informa-
(3) Applications for Equipment Au- tion and assistance of persons making
thorization (type accepted, type ap- such requests. Requests to inspect or
proval, certification, or advance ap- copy the transcripts, recordings or
proval of subscription television sys- minutes of agency or advisory com-
tems), following the effective date of mittee meetings will be considered
the authorization. See § 0.457(d)(1)(ii). under § 0.603 rather than under the pro-
(Application files, technical journals visions of this section.
62
(a) Materials that are specifically au- test booklets, Morse Code tapes, and
thorized under criteria established by Ex- scoring masks.
ecutive Order to be kept secret in the in- (c) Materials that are specifically ex-
terest of national defense or foreign policy empted from disclosure by statute
and are in fact properly classified pursu- (other than the Government in the
ant to such Executive Order, 5 U.S.C. Sunshine Act, 5 U.S.C. 552b): Provided,
552(b)(1). (1) E.O. 10450, ‘‘Security Re- That such statute (1) requires that the
quirements for Government Employ- materials be withheld from the public
ees,’’ 18 FR 2489, April 27, 1953, 3 CFR, in such a manner as to leave no discre-
1949–1953 Comp., p. 936. Pursuant to the tion on the issue, or (2) establishes par-
provisions of E.O. 10450, reports and ticular criteria for withholding or re-
other material and information devel- fers to particular types of materials to
oped in security investigations are the be withheld. The Commission is au-
property of the investigative agency. If thorized under the following statutory
they are retained by the Commission, provisions to withhold materials from
it is required that they be maintained public inspection.
in confidence and that no access be (1) Section 4(j) of the Communica-
given to them without the consent of tions Act, 47 U.S.C. 154(j), provides, in
the investigative agency. Such mate- part, that, ‘‘The Commission is author-
rials and information will not be made ized to withhold publication of records
available for public inspection. See or proceedings containing secret infor-
also paragraphs (f) and (g) of this sec- mation affecting the national defense.’’
tion. Pursuant to that provision, it has been
(2) E.O. 10501, ‘‘Safeguarding Official determined that the following mate-
Information in the Interests of the De- rials should be withheld from public in-
fense of the United States,’’ 18 FR 7049, spection (see also paragraph (a) of this
November 10, 1953, as amended, 3 CFR, section):
1965 ed., p. 450. E.O. 10501, as amended, (i) Maps showing the exact location
provides for the classification of offi- of submarine cables.
cial information which requires protec- (ii) Minutes of Commission actions
tion in the interests of national de- on classified matters.
fense, and prohibits the disclosure of (iii) Maps of nation-wide point-to-
classified information except as pro- point microwave networks.
vided therein. Classified materials and (2) Under section 213(f) of the Com-
information will not be made available munications Act, 47 U.S.C. 213(f), the
for public inspection. See also, E.O. Commission is authorized to order,
10033, February 8, 1949, 14 FR 561, 3 with the reasons therefor, that records
CFR, 1949–1953 Comp., p. 226, and 47 and data pertaining to the valuation of
U.S.C. 154(j). the property of common carriers and
(b) Materials that are related solely to furnished to the Commission by the
the internal personnel rules and practices carriers pursuant to the provisions of
of the Commission, 5 U.S.C. 552(b)(2). (1) that section, shall not be available for
Materials related solely to internal public inspection. If such an order has
management matters, including min- been issued, the data and records will
utes of Commission actions on such be withheld from public inspection, ex-
matters. Such materials may be made cept under the provisions of § 0.461.
available for inspection under § 0.461, Normally, however, such data and in-
however, unless their disclosure would formation is available for inspection.
interfere with or prejudice the per- See § 0.455(c) (8).
formance of the internal management (3) Under section 412 of the Commu-
functions to which they relate, or un- nications Act, 47 U.S.C. 412, the Com-
less their disclosure would constitute a mission may withhold from public in-
clearly unwarranted invasion of per- spection certain contracts, agreements
sonal privacy (see paragraph (f) of this and arrangements between common
section). carriers relating to foreign wire or
(2) Materials relating to the negotia- radio communication. Reports of nego-
tion of contracts. tiations regarding such foreign commu-
(3) All materials used in conducting nication matters, filed by carriers
radio operator examinations, including under § 43.52 of this chapter, may also
63
§ 0.457 47 CFR Ch. I (10–1–02 Edition)
be withheld from public inspection it is unnecessary for persons submit-

under section 412. Any person may file ting such materials to submit there-
a petition requesting that such mate- with a request for non-disclosure pur-
rials be withheld from public inspec- suant to § 0.459. A persuasive showing
tion. To support such action, the peti- as to the reasons for inspection will be
tion must show that the contract, required in requests for inspection of
agreement or arrangement relates to such materials submitted under § 0.461.
foreign wire or radio communications; (i) Financial reports submitted by li-
that its publication would place Amer- censees of broadcast stations pursuant
ican communication companies at a to former § 1.611 or by radio or tele-
disadvantage in meeting the competi- vision networks are not routinely
tion of foreign communication compa- available for inspection.
nies; and that the public interest would (ii) Applications for equipment au-
be served by keeping its terms con- thorizations (type acceptance, type ap-
fidential. If the Commission orders proval, certification, or advance ap-
that such materials be kept confiden- proval of subscription television sys-
tial, they will be made available for in- tems), and materials relating to such
spection only under the provisions of applications, are not routinely avail-
§ 0.461. able for public inspection prior to the
(4) Section 605 of the Communica- effective date of the authorization. The
tions Act, 47 U.S.C. 605, provides, in effective date of the authorization will,
part, that, ‘‘no person not being au- upon request, be deferred to a date no
thorized by the sender shall intercept earlier than that specified by the appli-
any communication [by wire or radio] cant. Following the effective date of
and divulge or publish the existence, the authorization, the application and
contents, substance, purport, effect, or related materials (including technical
meaning of such intercepted commu- specifications and test measurements)
nications to any person.’’ In executing will be made available for inspection
its responsibilities, the Commission upon request (See § 0.460). Portions of
regularly monitors radio transmissions applications for equipment certifi-
(see § 0.116). Except as required for the cation of scanning receivers and re-
enforcement of the communications lated materials will not be made avail-
laws, treaties and the provisions of this able for inspection. This information
chapter, or as authorized in section 605, includes that necessary to prevent
the Commission is prohibited from di- modification of scanning receivers to
vulging information obtained in the receive Cellular Service frequencies,
course of these monitoring activities; such as schematic diagrams, technical
and such information, and materials narratives describing equipment oper-
relating thereto, will not be made ation, and relevant design details.
available for public inspection. (iii) Information submitted in con-
(5) Section 1905 of the Criminal Code, nection with audits, investigations and
18 U.S.C. 1905, prohibits the unauthor- examination of records pursuant to 47
ized disclosure of certain confidential U.S.C. 220.
information. See paragraph (d) of this (iv) Programming contracts between
section. programmers and multichannel video
(d) Trade secrets and commercial or fi- programming distributors.
nancial information obtained from any (v) Prior to July 4, 1967, the rules and
person and privileged or confidential— regulations provided that certain ma-
categories of materials not routinely avail- terials submitted to the Commission
able for public inspection, 5 U.S.C. would not be made available for public
552(b)(4) and 18 U.S.C. 1905. inspection or provided assurance, in
(1) The materials listed in this sub- varying degrees, that requests for non-
paragraph have been accepted, or are disclosure of certain materials would
being accepted, by the Commission on be honored. See, e.g., 47 CFR chapter I
a confidential basis pursuant to 5 revised as of October 1, 1966, §§ 0.417,
U.S.C. 552(b)(4). To the extent indicated 2.557, 5.204, 5.255, 15.70, 21.406, 80.33,
in each case, the materials are not rou- 87.153, 89.215, 91.208, 91.605 and 93.208.
tinely available for public inspection. Materials submitted under these provi-
If the protection afforded is sufficient, sions are not routinely available for
64
public inspection. To the extent that Interagency and intra-agency memo-

such materials were accepted on a con- randums or letters and the work papers
fidential basis under the then existing of members of the Commission or its
rules, they are not routinely available staff will not be made available for
for public inspection. The rules cited in public inspection, except in accordance
this paragraph (d)(1)(v) were superseded with the procedures set forth in § 0.461.
by the provisions of this paragraph (d), Only if it is shown in a request under
effective July 4, 1967. Equipment au- § 0.461 that such a communication
thorization information accepted on a would be routinely available to a pri-
confidential basis between July 4, 1967 vate party through the discovery proc-
and March 25, 1974, will not be rou- ess in litigation with the Commission
tinely available for inspection and a will the communication be made avail-
persuasive showing as to the reasons able for public inspection. Normally
for inspection of such information will such papers are privileged and not
be required in requests for inspection available to private parties through
of such materials submitted under the discovery process, since their dis-
§ 0.461. closure would tend to restrain the com-
(vi) The rates, terms and conditions mitment of ideas to writing, would
in any agreement between a U.S. car- tend to inhibit communication among
rier and a foreign carrier that govern Government personnel, and would, in
the settlement of U.S. international some cases, involve premature disclo-
traffic, including the method for allo- sure of their contents.
cating return traffic, if the U.S. inter- (f) Personnel, medical and other files
national route is exempt from the whose disclosure would constitute a clear-
international settlements policy under ly unwarranted invasion of personal pri-
§ 43.51(e)(3) of this Chapter. vacy, 5 U.S.C. 552(b)(6). (1) Under Execu-
(2) Unless the materials to be sub- tive Order 10561, 19 FR 5963, September
mitted are listed in paragraph (d)(1) of 13, 1954, 3 CFR, 1954–1958 Comp., page
this section and the protection thereby 205, the Commission maintains an Offi-
afforded is adequate, it is important for
cial Personnel Folder for each of its
any person who submits materials
employees. Such folders are under the
which he wishes withheld from public
jurisdiction and control, and are a part
inspection under 5 U.S.C. 552(b)(4) to
of the records, of the U.S. Office of Per-
submit therewith a request for non-dis-
sonnel Management. Except as pro-
closure pursuant to § 0.459. If it is
vided in the rules of the Office of Per-
shown in the request that the mate-
sonnel Management (5 CFR 294.701–
rials contain trade secrets or commer-
294.703), such folders will not be made
cial, financial or technical data which
available for public inspection by the
would customarily be guarded from
competitors, the materials will not be Commission. In addition, other records
made routinely available for inspec- of the Commission containing private,
tion; and a persuasive showing as to personal or financial information con-
the reasons for inspection will be re- cerning particular employees will be
quired in requests for inspection sub- withheld from public inspection.
mitted under § 0.461. In the absence of a (2) [Reserved]
request for non-disclosure, the Com- (3) Information submitted to the
mission may, in the unusual instance, Commission by applicants for commer-
determine on its own motion that the cial radio operator licenses concerning
materials should not be routinely the character and mental or physical
available for public inspection. Ordi- health of the applicant is available for
narily, however, in the absence of such inspection only under procedures set
a request, materials which are sub- forth in § 0.461. Except in this respect,
mitted will be made available for in- or where other aspects of a similar pri-
spection upon request pursuant to vate nature warrant nondisclosure,
§ 0.461, even though some question may commercial radio operator application
be present as to whether they contain files are available for inspection.
trade secrets or like matter. (g) Investigatory records compiled for
(e) Interagency and intra-agency memo- law enforcement purposes, to the extent
randums or letters, 5 U.S.C. 552(b)(5). that production of such records would:
65
§ 0.458 47 CFR Ch. I (10–1–02 Edition)
(1) Interfere with enforcement pro- portion of the materials to which the
ceedings; request applies shall be identified.
(2) Deprive a person of a right to fair (b) Each such request shall contain a
trial or an impartial adjudication; statement of the reasons for with-
(3) Constitute an unwarranted inva- holding the materials from inspection
sion of personal privacy; (see § 0.457) and of the facts upon which
(4) Disclose the identity of a con- those records are based, including:
fidential source; (1) Identification of the specific infor-
(5) Disclose investigative techniques mation for which confidential treat-
or procedures; or ment is sought;
(6) Endanger the life or physical safe-
(2) Identification of the Commission
ty of law enforcement personnel, 5
proceeding in which the information
U.S.C. 552(b)(7).
was submitted or a description of the
[32 FR 10573, July 19, 1967, as amended at 32 circumstances giving rise to the sub-
FR 12180, Aug. 24, 1967; 39 FR 5918, Feb. 14, mission;
1974; 39 FR 27802, Aug. 1, 1974; 40 FR 7313, Feb.
19, 1975; 40 FR 17255, Apr. 18, 1975; 40 FR 34116,
(3) Explanation of the degree to
Aug. 14, 1975; 40 FR 39507, Aug. 28, 1975; 42 FR which the information is commercial
12867, Mar. 7, 1977; 43 FR 51794, Nov. 7, 1978; 45 or financial, or contains a trade secret
FR 39850, June 12, 1980; 51 FR 31304, Sept. 2, or is privileged;
1986; 63 FR 36596, July 7, 1998; 63 FR 44167, (4) Explanation of the degree to
Aug. 18, 1998; 64 FR 22561, Apr. 27, 1999; 64 FR
which the information concerns a serv-
34740, June 29, 1999; 66 FR 16879, Mar. 28, 2001]
ice that is subject to competition;
§ 0.458 Nonpublic information. (5) Explanation of how disclosure of
the information could result in sub-
Any person regulated by or prac-
ticing before the Commission coming stantial competitive harm;
into possession of written nonpublic in- (6) Identification of any measures
formation (including written material taken by the submitting party to pre-
transmitted in electronic form) as de- vent unauthorized disclosure;
scribed in § 19.735–203(a) of this chapter (7) Identification of whether the in-
under circumstances where it appears formation is available to the public
that its release was inadvertent or oth- and the extent of any previous disclo-
erwise unauthorized shall be obligated sure of the information to third par-
to return the information to the Com- ties;
mission’s Office of Inspector General (8) Justification of the period during
pursuant to that section. See 47 CFR which the submitting party asserts
19.735–203. that material should not be available
[65 FR 66185, Nov. 3, 2000] for public disclosure; and
(9) Any other information that the
§ 0.459 Requests that materials or in- party seeking confidential treatment
formation submitted to the Commis- believes may be useful in assessing
sion be withheld from public in-
spection. whether its request for confidentiality
should be granted.
(a) Any person submitting informa- (c) Casual requests which do not com-
tion or materials to the Commission ply with the requirements of para-
may submit therewith a request that graphs (a) and (b) of this section will
such information not be made rou-
not be considered.
tinely available for public inspection.
(If the materials are specifically listed (d)(1) The Commission may defer act-
in § 0.457, such a request is unneces- ing on requests that materials or infor-
sary.) A copy of the request shall be at- mation submitted to the Commission
tached to and shall cover all of the ma- be withheld from public inspection
terials to which it applies and all cop- until a request for inspection has been
ies of those materials. If feasible, the made pursuant to § 0.460 or § 0.461. The
materials to which the request applies information will be accorded confiden-
shall be physically separated from any tial treatment, as provided for in
materials to which the request does § 0.459(g) and § 0.461, until the Commis-
not apply; if this is not feasible, the sion acts on the confidentiality request
66
and all subsequent appeal and stay pro- who submitted the request, the mate-
ceedings have been exhausted. If a re- rials will be returned to the person who
sponse in opposition to a confiden- submitted them or will be placed in a
tiality request is filed, the party republic file. Notice of denial and of the
questing confidentiality may file a time for seeking review or a judicial
reply. stay will be given by telephone, with
(2) Requests which comply with the follow-up notice in writing. The first
requirements of paragraphs (a) and (b) day to be counted in computing the
of this section will be acted upon by time periods established in this sub-
the appropriate Bureau or Office Chief, section is the day after the date of oral
who is directed to grant the request if notice. Materials will be accorded con-
it presents by a preponderance of the fidential treatment, as provided in
evidence a case for non-disclosure con- § 0.459(g) and § 0.461, until the Commis-
sistent with the provisions of the Free- sion acts on any timely applications
dom of Information Act, 5 U.S.C. 552. If for review of an order denying a re-
the request is granted, the ruling will quest for confidentiality, and until a
be placed in the public file in lieu of court acts on any timely motion for
the materials withheld from public in- stay of such an order denying confiden-
spection. A copy of the ruling shall be tial treatment.
forwarded to the General Counsel. (h) If the request is granted, the sta-
(e) If the materials are submitted tus of the materials is the same as that
voluntarily (i.e., absent any direction of materials listed in § 0.457. Any per-
by the Commission), the person sub- son wishing to inspect them may sub-
mitting them may request the Com- mit a request for inspection under
mission to return the materials with- § 0.461.
out consideration if the request for (i) Third party owners of materials
confidentiality should be denied. In submitted to the Commission by an-
that event, the materials will ordi- other party may participate in the pro-
narily be returned (e.g., an application ceeding resolving the confidentiality of
will be returned if it cannot be consid- the materials.
ered on a confidential basis). Only in [40 FR 7313, Feb. 19, 1975, as amended at 49
the unusual instance where the public FR 21719, May 23, 1984; 55 FR 8951, Mar. 9,
interest so requires will the materials 1990; 63 FR 44167, Aug. 18, 1998; 64 FR 55163,
be made available for public inspec- Oct. 12, 1999]
tion. However, no materials submitted
with a request for confidentiality will § 0.460 Requests for inspection of
be returned if a request for inspection records which are routinely avail-
is filed under § 0.461. If submission of able for public inspection.
the materials is required by the Com- (a) Sections 0.453 and 0.455 list those
mission and the request for confiden- Commission records which are rou-
tiality is denied, the materials will be tinely available for public inspection
made available for public inspection. and the places at which those records
(f) If no request for confidentiality is may be inspected. Subject to the limi-
submitted, the Commission assumes no tations set out in this section and to
obligation to consider the need for non- the provisions of § 0.466 and paragraph
disclosure but, in the unusual instance, (l) of this section, a person who wants
may determine on its own motion that to inspect such records need only ap-
the materials should be withheld from pear at the specified location and ask
public inspection. See § 0.457(g). to see the records. Many such records
(g) If a request for confidentiality is also are available through the Commis-
denied, the person who submitted the sion’s site on the World Wide Web, lo-
request may, within 5 working days, cated at <http://www.fcc.gov>. Commis-
file an application for review by the sion documents listed in § 0.416 are pub-
Commission. If the application for re- lished in the FCC Record, and many
view is denied, the person who sub- such documents or summaries thereof
mitted the request will be afforded 5 are also published in the FEDERAL REG-
working days in which to seek a judi- ISTER.
cial stay of the ruling. If these periods (b) A person who does not want a
expire without action by the person copy of the records must appear at the
67
§ 0.460 47 CFR Ch. I (10–1–02 Edition)
specified location during the office organizational unit having custody of

hours of the Commission and must in- the records, as listed in §§ 0.453 and
spect the records at that location. 0.455. If the request is enclosed in an
(Procedures governing requests for cop- envelope, the envelope shall be
ies are set out in § 0.465.) However, ar- marked, ‘‘REQUEST FOR INSPEC-
rangements may be made in advance, TION OF RECORDS.’’
by telephone or by correspondence, to (g) When a written request is re-
make the records available for inspec- ceived by the custodian of the records,
tion on a particular date, and there are it will be date-stamped.
many circumstances in which such ad-
(h) All requests limited to records
vance arrangements will save incon-
venience. If the request is for a large listed in §§ 0.453 and 0.455 will be grant-
number of documents, for example, a ed, subject to paragraph (k) of this sec-
delay in collecting them is predictable. tion. Requests for records listed in
Current records may be in use by the those sections shall not be combined
staff when the request is made. Older with requests for other records.
records may have been forwarded to (i) The records will be produced for
another location for storage. inspection at the earliest possible
(c) The records in question must be time.
reasonably described by the person re- (j) Records shall be inspected within
questing them so as to permit their lo- 7 days after notice is given that they
cation by staff personnel. The informa- have been located and are available for
tion needed to locate the records will inspection. After that period, they will
vary, depending on the records re- be returned to storage and additional
quested. Advice concerning the kind of charges may be imposed for again pro-
information needed to locate par- ducing them.
ticular records will be furnished in ad- (k) In addition to the other require-
vance upon request. Members of the
ments of this section, the following
public will not be given access to the
provisions apply to the reports filed
area in which records are kept and will
with the Commission pursuant to sub-
not be permitted to search the files.
(d) If it appears that there will be an part E of part 19 of this chapter. (1)
appreciable delay in locating or pro- Such reports shall not be obtained or
ducing the records (as where a large used:
number of documents is the subject of (i) For any unlawful purpose; (ii) for
a single request or where an extended any commercial purpose, other than by
search for a document appears to be news and communications media for
necessary), the request shall be sub- dissemination to the general public;
mitted in writing, either in person or (iii) for determining or establishing the
by mail. credit rating of any individual; or (iv)
(e) Written requests shall be cap- for use, directly or indirectly, in the
tioned ‘‘REQUEST FOR INSPECTION solicitation of money for any political,
OF RECORDS’’, shall be dated, shall charitable, or other purpose.
list the telephone number (if any) of (2) Such reports may not be made
the person making the request and for available to any person nor may any
each document requested, shall set out copy thereof be provided to any person
all information known to the person except upon a written application by
making the request which would be such person stating: (i) That person’s
helpful in identifying and locating the
name, occupation and address; (ii) the
document. Written requests shall, in
name and address of any other person
addition, specify the maximum search
or organization on whose behalf the in-
fee the person making the request is
prepared to pay. (see § 0.467) spection or copying is requested; and
(f) Written requests shall be delivered (iii) that such person is aware of the
or mailed directly to the chief of the prohibitions on the obtaining or use of
68
the report. Further, any such applica- this section, the custodian of the
tion for inspection shall be made avail- records is the Chief of the appropriate
able to the public throughout the pe- Bureau or Office.)
riod during which the report itself is (2) If the request is enclosed in an en-
made available to the public. velope, the envelope shall be marked,
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, ‘‘Freedom of Information Act Re-
1082, 1083; 47 U.S.C. 154, 303, 397; 18 U.S.C. quest.’’
207(j)) (3) An original and two copies of the
[40 FR 7314, Feb. 19, 1975, as amended at 45 request shall be submitted. If the re-
FR 85027, Dec. 24, 1980; 48 FR 44800, Sept. 30, quest is for materials not open to rou-
1983; 53 FR 39093, Oct. 5, 1988; 62 FR 51797, tine public inspection under § 0.457(d) or
Oct. 3, 1997] § 0.459, or if a request for confiden-
tiality is pending pursuant to § 0.459,
§ 0.461 Requests for inspection of ma- one copy of the request will be mailed
terials not routinely available for by the custodian of the records to the
public inspection.
person who originally submitted the
Any person desiring to inspect Com- materials to the Commission.
mission records which are not listed in (e) When the request is received by
§ 0.453 or § 0.455 shall file a request for the Managing Director, it will be as-
inspection meeting the requirements of signed to the Freedom of Information
this section. Act (FOIA) Control Office, where it will
(a)(1) The records in question must be be date-stamped and assigned to the
reasonably described by the person re- custodian of the records.
questing them, so as to permit their lo- (f) Requests for inspection of records
cation by staff personnel. See § 0.460(c). will be acted on as follows by the cus-
(2) The person requesting records todian of the records.
under this section may specify the
(1) If the Commission is prohibited
form or format of the records to be pro-
from disclosing the records in question,
duced.
the request for inspection will be de-
(b)(1) Requests shall be captioned
nied with a statement setting forth the
‘‘Freedom of Information Act Re-
specific grounds for denial.
quest,’’ shall be dated, shall list the
telephone number (if any) of the person (2) If the records are the property of
making the request and, for each docu- another agency, the request will be re-
ment requested, shall set out all infor- ferred to that agency and the person
mation known to the person making who submitted the request will be so
the request which would be helpful in advised, with the reasons therefor.
identifying and locating the document. (3) If it is determined that the Com-
(2) The request shall, in addition, mission does not have authority to
specify the maximum search fee the withhold the records from public in-
person making the request is prepared spection, the request will be granted.
to pay (see § 0.467). (4) If it is determined that the Com-
(c) If the records are of the kinds list- mission does have authority to with-
ed in § 0.457 or if they have been withhold the records from public inspec-
held from inspection under § 0.459, the tion, the considerations favoring dis-
request shall, in addition, contain a closure and non-disclosure will be
statement of the reasons for inspection weighed in light of the facts presented,
and the facts in support thereof. In the and the request will be granted, either
case of other materials, no such state- conditionally or unconditionally, or
ment need accompany the request; but denied.
the custodian of the records may re- (5) If there is a statutory basis for
quire the submission of such a state- withholding part of a document only
ment if he determines that the mate- from inspection, that part will be de-
rials in question may lawfully be with- leted and the remainder will be made
held from inspection. available for inspection.
(d)(1) Requests shall be delivered or (6) In locating and recovering records
mailed to the Managing Director, sent responsive to a FOIA request, only
by electronic mail to <foia@fcc.gov>, those records within the Commission’s
or sent by facsimile. (For purposes of possession and control as of the date of
69
§ 0.461 47 CFR Ch. I (10–1–02 Edition)
its receipt of the request shall be con- advise the person who made the re-
sidered. quest of further developments; but that
(g) The custodian of the records will person may file an application for re-
make every effort to act on the request view by the Commission. When action
within 20 working days after it is re- is taken by the custodian of the
ceived by the FOIA Control Office. If it records, written notice of the action
is not possible to locate the records will be given.
and to determine whether they should (h)(1) Requesters who seek expedited
be made available for inspection within processing of FOIA requests shall sub-
20 working days, the custodian may, in mit such requests, along with their
any of the following circumstances, ex- FOIA requests, to the Managing Direc-
tend the time for action by up to 10 tor, as described in § 0.461(d). If the re-
working days: quest is enclosed in an envelope, the
(1) It is necessary to search for and envelope shall be marked ‘‘Request for
collect the requested records from field Expedited Proceeding—FOIA Request.’’
facilities or other establishments that An original and two copies of the re-
are separate from the office processing quest for expedition shall be submitted,
the request. but only one copy is necessary if sub-
(2) It is necessary to search for, col- mitted by electronic mail. When the
lect and appropriately examine a volu- request is received by the Managing Di-
minous amount of separate and dis- rector, it, and the accompanying FOIA
tinct records which are demanded in a request, will be assigned to the FOIA
single request; or Control Office, where it will be date-
(3) It is necessary to consult with an- stamped and assigned to the custodian
other agency having a substantial in- of records.
terest in the determination of the re- (2) Expedited processing shall be
quest, or among two or more compo- granted to a requester demonstrating a
nents of the Commission having sub- compelling need that is certified by the
stantial subject matter interest there- requester to be true and correct to the
in. best of his or her knowledge and belief.
The custodian of the records will notify (3) For purposes of this section,
the requester in writing of any exten- compelling need means—
sion of time exercised pursuant to (i) That failure to obtain requested
paragraph (g) of this section. If it is records on an expedited basis could rea-
not possible to locate the records and sonably be expected to pose an immi-
make the determination within the ex- nent threat to the life or physical safe-
tended period, the person or persons ty of an individual; or
who made the request will be provided (ii) With respect to a request made by
an opportunity to limit the scope of a person primarily engaged in dissemi-
the request so that it may be processed nating information, there is an ur-
within the extended time limit, or an gency to inform the public concerning
opportunity to arrange an alternative actual or alleged Federal Government
time frame for processing the request activity.
or a modified request, and asked to (4)(i) Notice of the determination as
consent to an extension or further ex- to whether to grant expedited proc-
tension. If the requester agrees to an essing shall be provided to the re-
extension, the custodian of the records quester by the custodian of records
will confirm the agreement in a letter within 10 calendar days after receipt of
specifying the length of the agreed- the request by the FOIA Control Office.
upon extension. If he or she does not Once the determination has been made
agree to an extension, the request will to grant expedited processing, the cus-
be denied, on the grounds that the custodian shall process the FOIA request
todian has not been able to locate the as soon as practicable.
records and/or to make the determina- (ii) If a request for expedited proc-
tion within the period for a ruling essing is denied, the person seeking ex-
mandated by the Freedom of Informa- pedited processing may file an applica-
tion Act, 5 U.S.C. 552. In that event, tion for review within five working
the custodian will continue to search days after the date of the written de-
for and/or assess the records and will nial. The application for review and the
70
envelope containing it (if any) shall be view, it shall be served upon the other
captioned ‘‘Review of FOIA Expedited person.
Proceeding Request.’’ The application (3) If an application for review is de-
for review shall be delivered or mailed nied, the person filing the application
to the General Counsel. (For general for review will be notified in writing
procedures relating to applications for and advised of their rights.
review, see § 1.115 of this chapter.) The (4) If an application for review filed
Commission shall act expeditiously on by the person who submitted the
the application for review, and shall records to the Commission or who owns
notify the custodian of records of the the records is denied, or if the records
disposition of such an application for are made available on review which
review. were not initially made available, the
(i)(1) If a request for inspection of person who submitted the records to
records submitted to the Commission the Commission or who owns the
in confidence under § 0.457(d) or § 0.459 is records will be afforded 10 working
granted, an application for review of days from the date of the written rul-
the action may be filed by the person ing in which to move for a judicial stay
who submitted the records to the Com- of the Commission’s action. The first
day to be counted in computing the
mission or by a third party owner of
time period for seeking a judicial stay
the records. The application for review
is the day after the date of the written
and the envelope containing it (if any)
ruling. If a motion for stay is not made
shall be captioned ‘‘Review of Freedom
within this period, the record will be
of Information Action.’’ The applica-
produced for inspection.
tion for review shall be filed within 10
(j) Except as provided in paragraph
working days after the date of the
(i) of this section, an application for re-
written ruling, shall be delivered or view of an initial action on a request
mailed to the General Counsel, and for inspection may be filed only by the
shall be served on the person who filed person who made the request. The ap-
the request for inspection of records. plication shall be filed within 30 days
The first day to be counted in com- after the date of the written ruling by
puting the time period for filing the ap- the custodian of records, and shall be
plication for review is the day after the captioned, ‘‘Review of Freedom of In-
date of the written ruling. If an appli- formation Action.’’ The envelope (if
cation for review is not filed within any) shall also be so captioned. The ap-
this period, the records will be pro- plication shall be delivered or mailed
duced for inspection. The person who to the General Counsel and shall be
filed the request for inspection of served on the person (if any) who origi-
records may respond to the application nally submitted the materials to the
for review within 10 working days after Commission. That person may file a re-
it is filed. sponse within 10 working days after the
(2) If the request for inspection of application for review is filed. If the
records submitted to the Commission records are made available on review,
in confidence under § 0.457(d) or § 0.459 is the person who submitted them to the
partially granted and partially denied, Commission (if any) will be afforded 10
the person who submitted the records working days after the date of the
to the Commission, a third party owner written ruling to seek a judicial stay.
of the records and the person who filed See paragraph (i) of this section. The
the request for inspection of those first day to be counted in computing
records may file an application for re- the time period for filing the applica-
view within the 10 working days after tion for review or seeking a judicial
the date of the written ruling. The ap- stay is the day after the date of the
plication for review and the envelope written ruling. (For general procedures
containing it (if any) shall be cap- relating to applications for review, see
tioned ‘‘REVIEW OF FREEDOM OF IN- § 1.115 of this chapter.)
FORMATION ACTION.’’ The applica- (k) The Commission will make every
tion for review shall be delivered or effort to act on an application for re-
mailed to the General Counsel. If ei- view of an action on a request for in-
ther person files an application for re- spection of records within 20 working
71
§ 0.463 47 CFR Ch. I (10–1–02 Edition)
days after it is filed. See, however, (m) Staff orders and letters denying
paragraph (i) of this section. If it is not requests for inspection are signed by
possible to locate the records and to the official (or officials) who give final
determine whether they should be approval of their contents. If a request
made available for inspection within 20 is denied by the Commission, notice of
working days, the General Counsel denial will set forth the names of the
may, in the following circumstances Commissioners participating in the de-
and to the extent time has not been ex- cision.
tended under paragraphs (g) (1)(i), (ii), (n) Records shall be inspected within
or (iii) of this section, extend the time 7 days after notice is given that they
for action up to 10 working days. (The have been located and are available for
total period of extensions taken under inspection. After that period, they will
this paragraph and under paragraph (g) be returned to storage, and additional
of this section without the consent of charges may be imposed for again pro-
the person who submitted the request ducing them.
shall not exceed 10 working days.):
(Secs. 4, 303, 307, 48 Stat., as amended, 1066,
(1) It is necessary to search for and 1082, 1083; 47 U.S.C. 154, 303, 397; 47 FR
collect the requested records from field 0.231(d))
facilities or other establishments that
are separate from the office processing [40 FR 39507, Aug. 28, 1975, as amended at 40
FR 59439, Dec. 24, 1975; 45 FR 85028, Dec. 24,
the request; 1980; 49 FR 13367, Apr. 4, 1984; 49 FR 38122,
(2) It is necessary to search for, col- Sept. 27, 1984; 53 FR 39093, Oct. 5, 1988; 55 FR
lect and appropriately examine a volu- 8951, Mar. 9, 1990; 55 FR 9445, Mar. 14, 1990; 62
minous amount of separate and dis- FR 51797, Oct. 3, 1997; 63 FR 25778, 25779, May
tinct records which are demanded in a 11, 1998; 63 FR 44168, Aug. 18, 1998; 64 FR 55163,
single request; or Oct. 12, 1999]
(3) It is necessary to consult with an-
other agency having a substantial in- § 0.463 Demand by competent author-
ity for the production of documents
terest in the determination of the re- or testimony concerning informa-
quest or among two or more compo- tion contained therein.
nents of the Commission having sub-
stantial subject matter interest there- (a) In the event that a demand
in. (subpoena, order or other demand) is
made by a court or other competent
If these circumstances are not present
authority outside the Commission for
or if it is not possible to locate the
the production of records or files or for
records and make the determination
testimony concerning information con-
within the extended period, the person
tained therein, the Managing Director
who made the request will be advised of
shall promptly be advised of such de-
his/her rights and asked to consent to
mand, the nature of the papers or in-
an extension or further extension. If
formation sought, and all other rel-
the requester or person who made the
evant facts and circumstances. The
request agrees to an extension, the
Commissioin will thereupon issue such
General Counsel will confirm the
instructions as it may deem advisable.
agreement in a letter specifying the (b) Unless specifically authorized to
length of the agreed-upon extension. If produce such records or files or to tes-
the requestor or person who made the tify with respect thereto, any officer or
request does not agree to an extension, employee of the Commission who is
the Commission will continue to search served with a demand for the produc-
for and/or assess the record and will ad- tion of records or files or testimony
vise the person who made the request concerning the same, shall appear in
of further developments; but that per- response to the demand and respect-
son may file a complaint in an appro- fully decline to produce such records or
priate United States district court. files or to testify concerning them, bas-
(l) Subject to the application for re-
ing the refusal upon this rule.
view and judicial stay provisions of
paragraphs (h) and (i) of this section, if (Secs. 4(i), 303(n), Communications Act of
the request is granted, the records will 1934, as amended, 47 U.S.C. 154(i) and 303(n);
be produced for inspection at the ear- 47 CFR 0.231(d))
liest possible time. [49 FR 13367, Apr. 4, 1984]
72
§ 0.465 Request for copies of materials its own use or for the use of other
which are available, or made avail- agencies of the U.S. Government. When
able, for public inspection. it serves the regulatory or financial in-
(a) The Commission awards a con- terests of the U.S. Government, the
tract to a commercial duplication firm Commission will make and furnish cop-
to make copies of Commission records ies of its records free of charge. In
and offer them for sale to the public. In other circumstances, however, if it
addition to the charge for copying, the should be necessary for the Commis-
contractor may charge a search fee for sion to make and furnish copies of its
extracting the requested documents records for the use of others, the fee for
from the Commission’s files. this service shall be 17 cents per page.
For copies prepared with other media,
NOTE TO PARAGRAPH (a): The name, ad- such as computer tapes, microfiche or
dress, telephone number, and schedule of fees
for the current duplication contractor are
videotape, the charge will be the actual
published at the time of contract award of direct cost including operator time.
renewal in a Public Notice and periodically Requests for copying should be accom-
thereafter. Questions regarding this informa- panied by a statement specifying the
tion should be directed to the Reference In- maximum copying fee the person mak-
formation Center of the Consumer and Gov- ing the request is prepared to pay. If
ernmental Affairs Bureau. the Commission estimates that copy-
(b) The Commission awards a con- ing charges are likely to exceed $25 or
tract to a commercial firm to tran- the amount which the requester has in-
scribe Commission proceedings in dicated that he/she is prepared to pay,
which a verbatim record is kept and to then it shall notify the requester of the
offer copies of the transcript for sale to estimated amount of fees. Such a no-
the public. Except as authorized by the tice shall offer the requester the oppor-
Commission, the firm is required to re- tunity to confer with Commission per-
tain the capacity to furnish copies of sonnel with the object of revising or
the transcript for a period of 5 years, clarifying the request.
and may retain that capacity for a NOTE: The criterion considered in acting
longer period, even though another on a waiver request is whether ‘‘waiver or re-
firm is currently transcribing Commis- duction of the fee is in the public interest be-
sion proceedings. Requests for copies of cause furnishing the information can be con-
the transcript of the current pro- sidered as primarily benefiting the general
ceedings should be directed to the cur- public.’’ 5 U.S.C. 552(a)(4)(A). The following
rent contractor. Requests for tran- factors are relevant in applying that cri-
terion: the number of persons to be bene-
scripts of older proceedings will be for-
fited, the significance of the benefit, the pri-
warded by the Commission to the firm vate interest of the requester which the re-
which made the transcript in question; lease may further, the usefulness of the ma-
and the names of contracting firms for terials to be released to the general public
past years will be furnished upon re- and the likelihood that a tangible public
quest. benefit will be realized. (See Attorney Gen-
eral’s 1974 FOI Amdts. Memorandum, at 15.)
NOTE TO PARAGRAPH (b): The name, ad-
dress, telephone number, and schedule of fees (3) Requests for copies by representa-
for the current transcription contractor are tives of foreign governments or persons
maintained by the Office of the Secretary in residing in foreign countries shall be
the Managing Director’s Office. submitted to the General Counsel and
(c)(1) Contractual arrangements will be reviewed by the General Coun-
which have been entered into with sel under criteria established by the
commercial firms, as described in this Department of Commerce for control-
section, do not in any way limit the ling the export of technical data.
right of the public to inspect Commis- (4) Certified Documents. Copies of
sion records or to extract therefrom documents which are available or made
whatever information may be desired. available, for inspection under §§ 0.451
Coin-operated and debit card copy ma- through 0.465, will be prepared and cer-
chines are available for use by the pub- tified, under seal, by the Secretary, or
lic. for documents located in the Commis-
(2) The Commission has reserved the sion’s Gettysburg, Pennsylvania Office
right to make copies of its records for by his deputy. Requests shall be in
73
§ 0.466 47 CFR Ch. I (10–1–02 Edition)
writing, specifying the exact docu- processing according to the fee stand-
ments, the number of copies desired, ards established under the FOIA.
and the date on which they will be re- (Secs. 4, 303, 307, 48 Stat., as amended, 1066,
quired. The request shall allow a rea- 1082, 1083; 47 U.S.C. 154, 303, 397; 47 CFR
sonable time for the preparation and 0.231(d))
certification of copies. The fee for pre-
paring copies shall be the same as that FR 51610, Nov. 23, 1976; 45 FR 85028, Dec. 24,
charged by the Commission as de- 1980; 49 FR 13368, Apr. 4, 1984; 51 FR 34982,
scribed in § 0.465(c)(2). The fee for cer- Oct. 1, 1986; 52 FR 36774, Oct. 1, 1987; 53 FR
tification shall be $10 for each docu- 39093, Oct. 5, 1988; 64 FR 60725, Nov. 8, 1999; 67
ment. FR 13222, Mar. 21, 2002]
(d)(1) Computer maintained data
bases produced by the Commission may § 0.466 Definitions.
be obtained from the FCC’s internet (a) For the purpose of §§ 0.467 and
web site at www.fcc.gov. 0.468, the following definitions shall
apply:
NOTE: The Commission awards a contract
(1) The term direct costs means those
to provide the public with direct electronic
access to a portion of the non-Government expenditures which the Commission ac-
Master Frequency File data base released for tually incurs in searching for and du-
access and residing on the contractor’s com- plicating (and in case of commercial
puter system. The name, address, telephone requesters, reviewing) documents to re-
number, and schedule of fees for the current spond to a FOIA request. Direct costs
contractor are published annually at the include the salary of the employee per-
time of contract award or renewal in a Pub- forming the work (the basic rate of pay
lic notice. This information may be obtained
for the employee plus 16 percent of that
from the Office of Congressional and Public
Affairs, Consumer Assistance and Small rate to cover benefits), and the cost of
Business Division, Telephone (202) 632–7000. operating duplicating machinery. Not
included in direct costs are overhead
(2) Copies of computer generated data expenses, such as costs of space, and
stored as paper printouts or on micro- heating or lighting the facility in
fiche may also be obtained from the which the records are stored.
Commission’s duplicating contractor (2) The term search includes all time
(see paragraph (a) of this section). spent looking for material that is re-
(d)(3) Copies of computer source pro- sponsive to a request, including page-
grams and associated documentation by-page or line-by-line identification of
produced by the Commission shall be material contained within documents.
obtained from the Office of the Man- Such activity should be distinguished,
aging Director. however, from ‘‘review’’ of material in
(e) This section has no application to order to determine whether the mate-
printed publications, which may be rial is exempt from disclosure (see
purchased from the Superintendent of paragraph (a)(3) of this section).
Documents or private firms (see §§ 0.411 (3) The term review refers to the proc-
through 0.420). Nor does it apply to ap- ess of examining documents located in
plication forms or information bul- response to a commercial use request
letins, which are prepared for the use (see paragraph (a)(4) of this section) to
and information of the public and are determine whether any portion of a
available upon request (see §§ 0.421 and document located is exempt from dis-
0.423). closure. It also includes processing any
(f) Anyone requesting copies of docu- documents for disclosure, e.g., per-
ments pursuant to this section may se- forming such functions that are nec-
lect either the Commission or the con- essary to excise them or otherwise pre-
tractor to fulfill the request. If a re- pare them for release. Review does not
quest goes directly to the contractor, include time spent resolving general
the requester will be charged by the legal or policy issues regarding the ap-
contractor pursuant to the price list plication of FOIA exemptions.
set forth in the latest contract. If a re- (4) The term commercial use request
quest goes directly to the Commission, refers to a request from or on behalf of
it shall be sent to the Office of the one who seeks information for a use or
Managing Director for appropriate purpose that furthers the commercial
74
interests of the requester. In deter- that organization, even though not ac-
mining whether a requester properly tually employed by it.
falls within this category, the Commis- [53 FR 39093, Oct. 5, 1988]
sion shall determine the use to which a
requester will put the documents re- § 0.467 Search and review fees.
quested. Where the Commission has
(a)(1) Subject to the provisions of
reasonable cause to question the use to
this section, an hourly fee shall be
which a requester will put the docu-
charged for recovery of the full, allow-
ments sought, or where that use is not able direct costs of searching for and
clear from the request itself, the Com- reviewing records requested under
mission shall seek additional clarifica- § 0.460(e) or § 0.461, unless such fees are
tion before assigning the request to a precluded or waived pursuant to § 0.470.
specific category. The fee is based on the grade level of
(5) The term educational institution re- the employee(s) who conduct(s) the
fers to a preschool, a public or private search or review, as specified in the fol-
elementary or secondary school, an in- lowing schedule:
stitution or graduate higher education,
an institution of professional education Grade Hourly fee
and an institution of vocational edu- GS–1 .................................................................. 10.72

cation, which operates a program or GS–2 .................................................................. 11.66
programs of scholarly research. GS–3 .................................................................. 13.15
GS–4 .................................................................. 14.76
(6) The term non-commercial scientific GS–5 .................................................................. 16.51
institution refers to an institution that GS–6 .................................................................. 18.41
is not operated on a commercial basis GS–7 .................................................................. 20.46
GS–8 .................................................................. 22.66
as that term is referenced in paragraph
GS–9 .................................................................. 25.03
(a)(4) of this section, and which is oper- GS–10 ................................................................ 27.56
ated solely for the purpose of con- GS–11 ................................................................ 30.28
ducting scientific research the results GS–12 ................................................................ 36.29
GS–13 ................................................................ 43.15
of which are not intended to promote GS–14 ................................................................ 51.00
any particular product or industry. GS–15 ................................................................ 59.99
(7) The term representative of the news
media refers to any person actively NOTE: These fees will be modified periodi-
gathering news for an entity that is or- cally to correspond with modifications in the
rate of pay approved by Congress.
ganized and operated to publish or
broadcast news to the public. The term (2) The fees in paragraph (a)(1) of this
news means information that is about section were computed at Step 5 of
each grade level based on the General
current events or that would be of cur-
Schedule effective January 2002 and in-
rent interest to the public. Examples of
clude 20 percent for personnel benefits.
news media entities include television
(b) Search fees may be assessed for
or radio stations broadcasting to the
time spent searching, even if the Com-
public at large, and publishers of peri- mission fails to locate the records or if
odicals (but only in those instances the records are determined to be ex-
where they can qualify as dissemina- empt from disclosure.
tors of ‘‘news’’) who make their prod- (c) The Commission shall charge only
ucts available for purchase or subscrip- for the initial review, i.e., the review
tion by the general public. These exam- undertaken initially when the Commis-
ples are not intended to be all inclusion analyzes the applicability of a spe-
sive. Moreover, as traditional methods cific exemption to a particular record.
of news delivery evolve (e.g., electronic The Commission shall not charge for
dissemination of newspapers through review at the appeal level of an exemp-
telecommunications services), such al- tion already applied. However, records
ternative media would be included in or portions of records withheld in full
this category. In the case of under an exemption that is subse-
‘‘freelance’’ journalists, they may be quently determined not to apply may
regarded as working for a news organi- be reviewed again to determine the ap-
zation if they can demonstrate a solid plicability of other exemptions not pre-
basis for expecting publication through viously considered. The costs of such a
75
§ 0.468 47 CFR Ch. I (10–1–02 Edition)
subsequent review, under these cir- FOIA fees except as provided in sub-
cumstances, are properly assessable. section (a)(2) or where the Commission
(d) The fee charged will not exceed an estimates or determines that allowable
amount based on the time typically re- charges that a requester may be re-
quired to locate records of the kind required to pay are likely to exceed
quested. $250.00 and the requester has no history
(e) If the Commission estimates that of payment. Where allowable charges
search charges are likely to exceed $25 are likely to exceed $250.00 and the re-
or the amount which the requester in- quester has a history of prompt pay-
dicated he/she is prepared to pay, then ment of FOIA fees the Commission
it shall notify the requester of the esti- may notify the requester of the esti-
mated amount of fees. Such a notice mated cost and obtain satisfactory as-
shall offer the requester the oppor- surance of full payment.
tunity to confer with Commission per- (2) Where a requester has previously
sonnel with the object of revising or failed to pay a fee charged in a timely
clarifying the request. fashion (i.e., within 30 days of the date
(f) When the search has been com- of the billing), the Commission may re-
pleted, the custodian of the records quire the requester to pay the full
will give notice of the charges incurred amount owed plus any applicable inter-
to the person who made the request. est as provided in § 0.468, and to make
(g) The fee shall be paid to the Finan- an advance payment of the full amount
cial Management Division, Office of of the estimated fee before the Com-
Managing Director, or as otherwise di- mission begins to process a new request
rected by the Commission. or a pending request from that re-
(h) Records shall be inspected within quester.
7 days after notice is given that they
(3) When the Commission acts under
have been located and are available for
paragraph (a) (1) or (2) of this section,
inspection. After that period, they will
the administrative time limits pre-
be returned to storage, and additional
scribed in subsection (a)(6) of the FOIA
charges may be imposed for again pro-
(i.e., 10 working days from receipt of
ducing them.
initial requests and 20 working days
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, from receipt of appeals from initial de-
1082, 1083; 47 U.S.C. 154, 303, 397; 47 CFR nials, plus permissible extensions of
0.231(d)) these time limits) will begin only after
[40 FR 7316, Feb. 19, 1975, as amended at 45 the agency has received the fee pay-
FR 85028, Dec. 24, 1980; 49 FR 13368, Apr. 4, ments described above.
1984. Redesignated and amended at 53 FR (b) [Reserved]
39093, Oct. 5, 1988; 59 FR 21946, Apr. 27, 1994;
64 FR 31139, June 10, 1999; 65 FR 51234, Aug. [53 FR 39094, Oct. 5, 1988]
23, 2000; 66 FR 42453, Aug. 13, 2001; 67 FR 58543,
Sept. 17, 2002] § 0.470 Assessment of fees.
§ 0.468 Interest. (a)(1) Commercial use requesters.
When the Commission receives a re-
Interest shall be charged those request for documents for commercial
questers who fail to pay the fees use, it will assess charges that recover
charged. The agency will begin assess- the full direct cost of searching for, re-
ing interest charges on the amount viewing and duplicating the records
billed starting on the 31st day fol- sought pursuant to §§ 0.466 and 0.467,
lowing the day on which the billing above.
was sent. The date on which the pay-
(2) Educational and non-commercial
ment is received by the agency will de-
scientific institution requesters and re-
termine whether and how much inter-
questers who are representatives of the
est is due. The interest shall be set at
news media. The Commission shall pro-
the rate prescribed in 31 U.S.C. 3717.
vide documents to requesters in these
[53 FR 39094, Oct. 5, 1988] categories for the cost of reproduction
only, pursuant to § 0.465 above, exclud-
§ 0.469 Advance payments. ing reproduction charges for the first
(a)(1) The Commission may not re- 100 pages, provided however, that re-
quire advance payment of estimated questers who are representatives of the
76
news media shall be entitled to a re- this time period, the materials will be
duced assessment of charges only when available for inspection to the extent
the request is for the purpose of dis- that the time period exceeds the 10 or
seminating information. 20 day time period for responding to
(3) All other requesters. The Commis- FOIA requests, as appropriate.
sion shall charge requesters who do not (e) Copying, search and review
fit into any of the categories above fees charges shall be waived or reduced by
which cover the full, reasonable direct the General Counsel, when ‘‘disclosure
cost of searching for and reproducing of the information is in the public in-
records that are responsive to the re- terest because it is likely to contribute
quest, pursuant to §§ 0.467 and 0.465 significantly to public understanding
above, except that the first 100 pages of of the operations or activities of the
reproduction and the first two hours of government and is not primarily in the
search time shall be furnished without commercial interest of the requester.’’
charge. 5 U.S.C. 552(a)(4)(A)(iii).
(b)(1) The 100 page restriction on as- (f) The Commission shall not assess
sessment of reproduction fees in para- any fees if the routine cost of col-
graphs (a)(2) and (a)(3) of this section lecting the fee would be equal to or
refers to 100 paper copies of a standard greater than the fee itself.
size, which will normally be ‘‘81⁄2 × 11’’
or ‘‘11 × 14,’’ or microfiche containing [53 FR 39094, Oct. 5, 1988]
the equivalent of 100 pages or 100 pages PLACES FOR MAKING SUBMITTALS OR RE-
of computer printout. Requesters will QUESTS, FOR FILING APPLICATIONS,
not be entitled to 100 microfiche. AND FOR TAKING EXAMINATIONS
(2) When the agency reasonably be-
lieves that a requester or group of re- § 0.471 Miscellaneous submittals or re-
questers is attempting to segregate a quests.
request into a series of separate indi- Persons desiring to make submittals
vidual requests for the purpose of evad- or requests of a general nature should
ing the assessment of fees, the agency
communicate with the Secretary of the
will aggregate any such requests and
Commission.
assess charges accordingly.
(c) When a requester believes he is [36 FR 15121, Aug. 13, 1971]
entitled to a restricted fee assessment
pursuant to paragraphs (a)(2) and (a)(3), § 0.473 Reports of violations.
of this section , or a waiver pursuant to Reports of violations of the Commu-
paragraph (e) of this section, the re- nications Act or of the Commission’s
quester must include, in his original rules and regulations may be sub-
FOIA request, a statement explaining mitted to the Commission in Wash-
with specificity, the reasons dem- ington or to any field office.
onstrating that he/she qualifies for a [32 FR 10578, July 19, 1967]
restricted fee or a fee waiver. Included
in this statement should be a certifi- § 0.475 Applications for employment.
cation that the information will not be
Persons who wish to apply for em-
used to further the commercial inter-
ployment should communicate with
ests of the requester.
the Associate Managing Director-Per-
NOTE: Anyone requesting a restricted fee sonnel Management.
must submit the request directly to the
Commission and not to the contractor who (Secs. 4(i), 303(n), Communications Act of
will provide documents only at the contract 1934, as amended, 47 U.S.C. 154(i) and 303(n);
price. 47 CFR 0.231(d))
[49 FR 13368, Apr. 4, 1984]
(d) If the Commission reasonably be-
lieves that a commercial interest ex- § 0.481 Place of filing applications for
ists, based on the information provided radio authorizations.
pursuant to paragraph (c) of this sec-
tion, the requester shall be so notified For locations for filing applications,
and given an additional 5 working days and appropriate fees, see §§ 1.1102–1.1105
to provide further information to jus- of this chapter.
tify receiving a restricted fee. During [56 FR 64714, Dec. 12, 1991]
77
§ 0.482 47 CFR Ch. I (10–1–02 Edition)
§ 0.482 Application for waiver of wire- cial operator license examination man-
less radio service rules. agers. (See § 13.209 of this chapter).
All requests for waiver of the rules When the FCC conducts these examina-
(see § 1.925) governing the Wireless tions, they shall take place at loca-
Radio Services (see § 1.907) that require tions and times specified by the FCC.
a fee (see § 1.1102) shall be submitted via [58 FR 9124, Feb. 19, 1993]
the Universal Licensing System or to
the Mellon Bank, Pittsburgh, Pennsyl- § 0.489 Applications for ship radio in-
vania at the address set forth in spection and periodical survey.
§ 1.1102. Waiver requests that do not re-
quire a fee should be submitted via the Applications for ship radio inspection
Universal Licensing System or to: Fed- or for periodical survey shall be for-
eral Communications Commission, 1270 warded to the radio district office near-
Fairfield Road, Gettysburg, Pennsyl- est the desired port of inspection or
vania 17325–7245. Waiver requests at- place of survey.
tached to applications must be sub- [28 FR 12413, Nov. 22, 1963. Redesignated at 32
mitted in accordance with § 0.401(b) or FR 10578, July 19, 1967]
§ 0.401(c) of the rules.
[63 FR 68919, Dec. 14, 1998] § 0.491 Application for exemption from
compulsory ship radio require-
§ 0.483 Applications for amateur or ments.
commercial radio operator licenses. Applications for exemption filed
(a) Application filing procedures for under the provisions of §§ 352(b) or 383
amateur radio operator licenses are set of the Communications Act; Regula-
forth in part 97 of this chapter. tion 4, chapter I of the Safety Conven-
(b) Application filing procedures for tion; Regulation 5, chapter IV of the
commercial radio operator licenses are Safety Convention; or Article IX of the
set forth in part 13 of this chapter. De- Great Lakes Agreement, must be filed
tailed information about application as a waiver request using the proce-
forms, filing procedures, and places to dures specified in § 0.482 of this part.
file applications for commercial radio Emergency requests must be filed via
operator licenses is contained in the the Universal Licensing System or at
bulletin ‘‘Commercial Radio Operator the Federal Communications Commis-
Licenses and Permits.’’ This bulletin is sion, Office of the Secretary, 445 12th
available from any Commission field Street, SW, Room TW–B204, Wash-
office or the FCC, Washington, DC
ington, DC 20554.
20554.
[63 FR 68919, Dec. 14, 1998]
[47 FR 53378, Nov. 26, 1982]
§ 0.484 Amateur radio operator exami- § 0.493 Non-radio common carrier ap-
nations. plications.
Generally, examinations for amateur All such applications shall be filed at
radio operation licenses shall be ad- the Commission’s offices in Wash-
ministered at locations and times spec- ington, DC.
ified by volunteer examiners. (See [28 FR 12413, Nov. 22, 1963. Redesignated at 32
§ 97.509). When the FCC conducts exami- FR 10578, July 19, 1967]
nations for amateur radio operator li-
censes, they shall take place at loca-
tions and times designated by the FCC. Subpart D—Mandatory Declas-
sification of National Security
[58 FR 13021, Mar. 9, 1993]
Information
§ 0.485 Commercial radio operator ex-
aminations. AUTHORITY: Secs. 4(i), 303(r), Communica-
Generally, written and telegraphy ex- tions Act of 1934, as amended (47 U.S.C. 154(i)
aminations for commercial radio oper- and 303(r)).
ator licenses shall be conducted at lo- SOURCE: 47 FR 53377, Nov. 26, 1982, unless
cations and times specified by commer- otherwise noted.
78
§ 0.501 General. (b) Upon a determination by the bu-

reau or office that the requested mate-
Executive Order 12356 requires that
information relating to national secu- rial originally classified by the Com-
rity be protected against unauthorized mission no longer warrants protection,
disclosure as long as required by na- it shall be declassified and made avail-
tional security considerations. The able to the requester, unless with-
Order also provides that all informa- holding is otherwise authorized under
tion classified under Executive Order law.
12356 or predecessor orders be subject (c) If the information may not be de-
to a review for declassification upon classified or released in whole or in
receipt of a request made by a United part, the requester shall be notified as
States citizen or permanent resident to the reasons for the denial, given no-
alien, a Federal agency, or a state or tice of the right to appeal the denial to
local government. the Classification Review Committee,
and given notice that such an appeal
§ 0.502 Purpose. must be filed within 60 days of the date
This subpart prescribes the proce- of denial in order to be considered.
dures to be followed in submitting re- (d) The Commission’s Classification
quests, processing such requests, ap- Review Committee, consisting of the
peals taken from denials of declas- Managing Director (Chairman), the
sification requests and fees and General Counsel or his designee, and
charges. the Chief, Internal Review and Secu-
rity Division, shall have authority to
§ 0.503 Submission of requests for
mandatory declassification review. act, within 30 days, upon all appeals re-
garding denials of requests for manda-
(a) Requests for mandatory review of tory declassification of Commission-
national security information shall be originated classifications. The Com-
in writing, addressed to the Managing
mittee shall be authorized to overrule
Director, and reasonably describe the
previous determinations in whole or in
information sought with sufficient par-
part when, in its judgment, continued
ticularity to enable Commission per-
sonnel to identify the documents con- classification is no longer required. If
taining that information and be rea- the Committee determines that contin-
sonable in scope. ued classification is required under the
(b) When the request is for informa- criteria of the Order, the requester
tion originally classified by the Com- shall be promptly notified and advised
mission, the Managing Director shall that an application for review may be
assign the request to the appropriate filed with the Commission pursuant to
bureau or office for action. 47 CFR 1.115.
(c) Requests related to information,
either derivatively classified by the § 0.505 Fees and charges.
Commission or originally classified by (a) The Commission has designated a
another agency, shall be forwarded, to- contractor to make copies of Commis-
gether with a copy of the record, to the sion records and offer them for sale
originating agency. The transmittal (See § 0.465).
may contain a recommendation for ac- (b) An hourly fee is charged for re-
tion. covery of the direct costs of searching
§ 0.504 Processing requests for declas- for requested documents (See § 0.466).
sification.
§ 0.506 FOIA and Privacy Act requests.
(a) Responses to mandatory declas-
sification review requests shall be gov- Requests for declassification that are
erned by the amount of search and resubmitted under the provisions of the
view time required to process the re- Freedom of Information Act, as amend-
quest. A final determination shall be ed, (See § 0.461), of the Privacy Act of
made within one year from the date of 1974, (See § 0.554) shall be processed in
receipt of the request, except in un- accordance with the provisions of those
usual circumstances. Acts.
79
§ 0.551 47 CFR Ch. I (10–1–02 Edition)
Subpart E—Privacy Act § 0.552 Notice identifying Commission

Regulations systems of records.
The Commission publishes in the
AUTHORITY: Secs. 4, 303, 49 Stat. as amend- FEDERAL REGISTER upon establishment
ed, 1066, 1082 (47 U.S.C. 154, 303). or revision a notice of the existence
SOURCE: 40 FR 44512, Sept. 26, 1975, unless and character of the system of records,
otherwise noted. including for each system of records:
(a) The name and location of the sys-
§ 0.551 Purpose and scope; definitions. tem;
(a) The purpose of this subpart is to (b) The categories of individuals on
implement the Privacy Act of 1974, 5 whom records are maintained in the
U.S.C. 552(a), and to protect the rights system;
of the individual in the accuracy and (c) The categories of records main-
privacy of information concerning him tained in the system;
which is contained in Commission re- (d) Each routine use of the records
cords. The regulations contained here- contained in the system, including the
in cover any group of records under the categories of users and the purposes of
Commission’s control from which in- such use;
formation about individuals is retriev- (e) The policies and practices of the
able by the name of an individual or by agency regarding storage, retrievabil-
some other personal identifier. ity, access controls, retention, and dis-
(b) In this subpart: posal of the records;
(1) Individual means a citizen of the (f) The title and business address of
United States or an alien lawfully ad- the system manager;
mitted for permanent residence; (g) The address of the agency office
(2) Record means any item, collection to which inquiries should be addressed
or grouping of information about an in- and the addresses of locations at which
dividual that is maintained by the the individual may inquire whether a
Commission, including but not limited system contains records pertaining to
to, such individual’s education, finan- himself;
cial transactions, medical history, and (h) The agency procedures whereby
criminal or employment history, and an individual can be notified how ac-
that contains such individual’s name, cess can be gained to any record per-
or the identifying number, symbol, or taining to that individual contained in
other identifying particular assigned to a system of records, and the procedure
the individual, such as a finger or voice for correcting or contesting its con-
print or a photograph. tents; and
(3) System of Records means a group of
(i) The categories of sources of
records under the control of the Com-
records in the system.
mission from which information is re-
trievable by the name of the individual (Secs. 4(i) and 303(n), Communications Act of
or by some identifying number, sym- 1934, as amended, 47 U.S.C. 154(i) and 303(n);
bol, or other identifying particular as- 47 CFR 0.231(d))
signed to the individual; [40 FR 44512, Sept. 26, 1975, as amended at 49
(4) Routine Use means, with respect to FR 13368, Apr. 4, 1984]
the disclosure of a record, the use of
such record for a purpose which is com- § 0.553 New uses of information.
patible with the purpose for which it Before establishing a new routine use
was collected; of a system of records, the Commission
(5) System Manager means the Com- will publish a notice in the FEDERAL
mission official responsible for the REGISTER of its intention to do so, and
storage, maintenance, safekeeping, and will provide at least 30 days for public
disposal of a system of records. comment on such use. The notice will
(Secs. 4(i) and 303(n), Communications Act of contain:
1934, as amended, 47 U.S.C. 154(i) and 303(n); (a) The name of the system of records
47 CFR 0.231(d)) for which the new routine use is to be
[40 FR 44512, Sept. 26, 1975, as amended at 49 established;
FR 13368, Apr. 4, 1984] (b) The authority for the system;
80
(c) The categories of records main- stitute cause in and of itself, for denial of a
tained; request.
(d) The proposed routine use(s); and (2) All requests for record informa-
(e) The categories of recipients for tion sent by mail shall be signed by the
each proposed routine use. requestor and shall include his printed
name, current address and telephone
§ 0.554 Procedures for requests per- number (if any). Commission officials
taining to individual records in a receiving such requests will attempt to
system of records. verify the identity of the requestor by
(a) Upon request, the Commission comparing his or her signature to those
will notify individuals as to whether it in the record. If the record contains no
maintains information about them in a signatures and if positive identifica-
system of records and, subject to the tion cannot be made on the basis of
provisons of § 0.555(b), will disclose the other information submitted, the re-
substance of such information to that questor will be required to sign an
individual. In order to properly request identity statement and stipulate that
notification or access to record infor- knowingly or willfully seeking or ob-
mation, reference must be made to the taining access to records about another
Notice described in § 0.552. A table of person under false pretense is punish-
contents, which is alphabetized by bu- able by a fine of up to $5,000.
reau or office, precedes the system de- (3) If positive identification cannot
scriptions and allows members of the be made on the basis of the informa-
public to easily identify record systems tion submitted, and if data in the
record is so sensitive that unauthorized
of interest to them. An individual may
access could cause harm or embarrass-
inquire into information contained in
ment to the individual to whom the
any or all systems of records described
record pertains, the Commission re-
in the Notice. However, each inquiry
serves the right to deny access to the
shall be limited to information from
record pending the production of addi-
systems located within a single bureau
tional more satisfactory evidence of
or office and shall be addressed to that
identity.
bureau or office.
(b) Reasonable identification is re- NOTE: The Commission will require
quired of all individuals making re- verification of identity only where it has de-
termined that knowledge of the existence of
quests pursuant to paragraph (a) of
record information or its substance is not
this section in order to assure that dis- subject to the public disclosure requirements
closure of any information is made to of the Freedom of Information Act, 5 U.S.C.
the proper person. 552, as amended.
(1) Individuals who choose to register (c) All requests for notification of the
a request for information in person existence of record information or for
may verify their identity by showing access to such information shall be de-
any two of the following: social secu- livered to the business address of the
rity card; drivers license; employee system manager responsible for the
identification card; medicare card; system of records in question, except
birth certificate; bank credit card; or that requests relating to official per-
other positive means of identification. sonnel records shall be addressed to the
Documents incorporating a picture Associate Managing Director—Per-
and/or signature of the individual shall sonnel Management. Such addresses
be produced if possible. If an individual can be found in the FEDERAL REGISTER
cannot provide suitable documentation Notice described in § 0.552.
for identification, that individual will (d) A written acknowledgement of re-
be required to sign an identity state- ceipt of a request for notification and/
ment stipulating that knowingly or or access will be provided within 10
willfully seeking or obtaining access to days (excluding Saturdays, Sundays,
records about another person under and legal public holidays) to the indi-
false pretenses is punishable by a fine vidual making the request. Such an ac-
of up to $5,000. knowledgement may, if necessary, re-
NOTE: An individual’s refusal to disclose quest any additional information need-
his social security number shall not con- ed to locate a record. A search of all
81
§ 0.555 47 CFR Ch. I (10–1–02 Edition)
systems of records identified in the in- granted an individual appearing in per-

dividual’s request will be made to de- son. Individuals may be accompanied
termine if any records pertaining to by a person of his or her own choosing
the individual are contained therein, when reviewing a record. However, in
and the individual will be notified of such cases, a written statement au-
the search results as soon as the search thorizing discussion of their record in
has been completed. Normally, a re- the presence of a Commission rep-
quest will be processed and the indi- resentative having physical custody of
vidual notified of the search results the records.
within 30 days (excluding Saturdays, (2) Individuals may request that a
Sundays, and legal holidays) from the record be transferred to a Commission
date the inquiry is received. However, field office or installation in the vicin-
in some cases, as where records have to ity of his or her home and that access
be recalled from Federal Record Cen- be granted at that location. The ad-
ters, notification may be delayed. If it dresses of Commission field offices are
is determined that a record pertaining listed in § 0.121. A request to transfer
to the individual making the request records must specify the exact location
does exist, the notification will state where the records should be sent and a
approximately when the record will be telephone number to call when the in-
available for personal review. No sepa- formation is available for review at the
rate acknowledgement is required if field location. Paragraph (a)(1) of this
the request can be processed and the section regarding personal appoint-
individual notified of the search results ments, verification of identity accom-
within the ten-day period. panying persons, and disclosure of
(Secs. 4(i) and 303(n), Communications Act of original records applies equally to this
1934, as amended, 47 U.S.C. 154(i) and 303(n); paragraph.
47 CFR 0.231(d)) (3) Individuals may request that cop-
[40 FR 44512, Sept. 26, 1975, as amended at 49 ies of records be sent directly to them.
FR 13368, Apr. 4, 1984] In such cases, individuals must verify
their identity as § 0.554(b)(2) and pro-
§ 0.555 Disclosure of record informa- vide an accurate return address.
tion to individuals. Records shall be sent only to that ad-
(a) Individuals having been notified dress.
that the Commission maintains a (b) The disclosure of record informa-
record pertaining to them in a system tion under this section is subject to the
of records may request access to such following limitations:
record in one of three ways: by in per- (1) Records containing medical infor-
son inspection at the system location; mation pertaining to an individual are
by transfer of the record to a nearer lo- subject to individual access under this
cation; or by mail. section unless, in the judgment of the
(1) Individuals who wish to review system manager having custody of the
their records at the system location records after consultation with a med-
must do so during regular Commission ical doctor, access to such record infor-
business hours (8:00 a.m.–4:30 p.m., mation could have an adverse impact
Monday through Friday). For personal on the individual. In such cases, a copy
and administrative convenience, indi- of the record will be delivered to a
viduals are urged to arrange to review medical doctor named by the indi-
a record by appointment. Preferences vidual.
as to specific dates and times can be (2) Classified material, investigative
made by writing or calling the system material compiled for law enforcement
manager responsible for the system of purposes, investigatory material com-
records in question at least two days in piled solely for determining suitability
advance of the desired appointment for Federal employment or access to
date, and by providing a telephone classified information, and certain
number where the individual can be testing or examination material shall
reached during the day in case the ap- be removed from the records to the ex-
pointment must be changed. tent permitted in the Privacy Act of
Verification of identity is required as 1974, 5 U.S.C. 552(a). Section 0.561 of
in § 0.554(b)(1) before access will be this subpart sets forth the systems of
82
records maintained by the Commission Any request to amend should contain

which are either totally or partially as a minimum:
exempt from disclosure under this sub- (1) The identity verification informa-
paragraph. tion required by § 0.554(b)(2) and the in-
(c) No fee will be imposed if the num- formation needed to locate the record
ber of pages of records requested is 25 as required by § 0.554(a).
or less. Requests involving more than (2) A brief description of the item or
25 pages shall be submitted to the du- items of information to be amended;
plicating contractor (see § 0.456(a)). and
(d) The provisions of this section in (3) The reason for the requested
no way give an individual the right to change.
access any information compiled in (b) A written acknowledgement of
reasonable anticipation of a civil ac- the receipt of a request to amend a
tion or proceeding. record will be provided within 10 days
(e) In the event that a determination (excluding Saturdays, Sundays, and
is made denying an individual access to legal public holidays) to the individual
records pertaining to that individual requesting the amendment. Such an ac-
for any reason, such individual may ei- knowledgement may, if necessary, re-
ther: quest any additional information need-
(1) Seek administrative review of the ed to make a determination. There will
adverse determination. Such a request be no acknowledgement if the request
shall be in writing and should be ad- can be reviewed, processed, and the in-
dressed to the system manager who dividual notified of compliance or de-
made the initial decision. In addition, nial within the 10 day period.
the request for review shall state spe- (c) The responsible system manager,
cifically why the initial decision or in the case of official personnel
should be reversed. records of active FCC employees, the
(2) Seek judicial relief in the district Associate Managing Director—Per-
courts of the United States pursuant to sonnel Management, shall (normally
paragraph (g)(1)(B) of the Act. within 30 days) take one of the fol-
lowing actions regarding a request to
(Secs. 4(i) and 303(n), Communications Act of amend:
1934, as amended, 47 U.S.C. 154(i) and 303(n); (1) If the system manager agrees that
47 CFR 0.231(d)) an amendment to the record is war-
[40 FR 44512, Sept. 26, 1975, as amended at 40 ranted, the system manager shall:
FR 58858, Dec. 19, 1975; 49 FR 13369, Apr. 4, (i) So advise the individual in writ-
1984] ing;
(ii) Correct the record in compliance
§ 0.556 Request to correct or amend with the individual’s request; and
records. (iii) If an accounting of disclosures
(a) An individual may request the has been made, advise all previous re-
amendment of information contained cipients of the fact that the record has
in their record. Except as otherwise been corrected and of the substance of
provided in this paragraph, the request the correction.
to amend should be submitted in writ- (2) If the system manager, after an
ing to the system manager responsible initial review, does not agree that all
for the records. Requests to amend the or any portion of the record merits
official personnel records of active FCC amendment, the system manager shall:
employees should be submitted to the (i) Notify the individual in writing of
Associate Managing Director—Human such refusal to amend and the reasons
Resources Management, 445 12th therefore;
Street, SW., Washington, D.C. 20554. (ii) Advise the individual that further
Requests to amend official personnel administrative review of the initial de-
records of former FCC employees cision by the full Commission may be
should be sent to the Assistant Direc- sought pursuant to the procedures set
tor for Work Force Information, Com- forth in § 0.557. (In cases where the re-
pliance and Investigations Group, Of- quest to amend involves official per-
fice of Personnel Management, 1900 E sonnel records, review is available ex-
Street, NW., Washington, D.C. 20415. clusively from the Assistant Director
83
§ 0.557 47 CFR Ch. I (10–1–02 Edition)
for Work Force Information, Compli- manager is erroneous or inequitable;

ance and Investigations Group, Office and
of Personnel Management, Washington, (3) Clearly state how the record
DC 20415; and should be amended or corrected.
(iii) Inform the individual of the pro- (b) The Commission shall conduct an
cedures for requesting Commission re- independent review of the record in
view pursuant to § 0.557. controversy using the standards of re-
(d) In reviewing a record in response view set out in § 0.556(d). It may seek
to a request to amend, the system such additional information as is nec-
manager shall assess the accuracy, rel- essary to make its determination.
evance, timeliness, or completeness of Final administrative review shall be
the record in light of each data ele- completed not later than 30 days
ment placed into controversy and the (excluding Saturdays, Sundays and
use of the record in making decisions legal public holidays) from the date on
that could possibly affect the indi- which the individual requests such re-
vidual. Moreover, the system manager view unless the Chairman determines
shall ajudge the merits of any request that a fair and equitable review cannot
to delete information based on whether be made within the 30 day period. In
or not the information in controversy such event, the individual will be in-
is both relevant and necessary to ac- formed in writing of the reasons for the
complish a statutory purpose required delay and the approximate date on
of the Commission by law or executive which the review is expected to be
order of the President.
completed.
(Secs. 4(i) and 303(n), Communications Act of (c) If upon review of the record in
1934, as amended, 47 U.S.C. 154(i) and 303(n); controversy the Commission agrees
47 CFR 0.231(d)) with the individual that the requested
[40 FR 44512, Sept. 26, 1975, as amended at 45 amendment is warranted, the Commis-
FR 39850, June 12, 1980; 49 FR 13369, Apr. 4, sion will proceed in accordance with
1984; 65 FR 58466, Sept. 29, 2000] § 0.556(c)(1) (i) through (iii).
(d) If after the review, the Commis-
§ 0.557 Administrative review of an ini-
tial decision not to amend a record. sion also refuses to amend the record
as requested, it shall:
(a) Individuals have 30 days from the (1) Notify the individual in writing of
date of the determination not to amend its refusal and the reasons therefore;
a record consistent with their request (2) Advise the individual that a con-
to seek further administrative review cise statement of the reasons for dis-
by the full Commisison. Such a request agreeing with the decision of the
shall be in writing and should be ad-
Commisison may be filed;
dressed to either the system manager
(3) Inform the individual:
who made the initial adverse decision,
or, in the case of official personnel (i) That such a statement should be
records of active FCC employees, to signed and addressed to the system
the Assistant Director for Work Force manager having custody of the record
Information, Compliance and Inves- in question;
tigations Group, Office of Personnel (ii) That the statement will be made
Management, Washington, DC 20415. available to any one to whom the
Any request for administrative review record is subsequently disclosed to-
must: gether with, at the Commission’s dis-
(1) Clearly identify the questions pre- cretion, a summary of its reasons for
sented for review (e.g., whether the refusing to amend the record; and
record information in question is, in (iii) That prior recipients of the
fact, accurate; whether information record will be provided a copy of the
subject to a request to delete is rel- statement of dispute to the extent that
evant and necessary to the purpose for an accounting of such disclosures is
which it is maintained); maintained; and
(2) Specify with particularity why (4) Advise the individual that judicial
the decision reached by the system review of the Commisison’s decision
84
not to amend the record in any district ments become part of the individual’s
court of the United States is available. record for granting access, but are not
(Secs. 4(i) and 303(n), Communications Act of subject to the amendment procedures
1934, as amended, 47 U.S.C. 154(i) and 303(n); of § 0.556.
47 CFR 0.231(d))
§ 0.560 Penalty for false representation
[40 FR 44512, Sept. 26, 1975, as amended at 45
FR 39850, June 12, 1980; 49 FR 13369, Apr. 4,
of identity.
1984] Any individual who knowingly and
willfully requests or obtains under
§ 0.558 Advice and assistance.
false pretenses any record concerning
Individuals who have questions re- an individual from any system of
garding the procedures contained in records maintained by the Commission
this subpart for gaining access to a shall be guilty of a misdemeanor and
particular system of records or for con- subject to a fine of not more than
testing the contents of a record, either $5,000.
administratively or judicially, should
write or call the Privacy Liaison Offi- § 0.561 Exemptions.
cer at the following address:
The following systems of records are
Federal Communications Commission, Office totally or partially exempt from sub-
of General Counsel, 445 12th Street, SW.,
Washington, DC 20554. sections (c)(3), (d), (e)(1), (e)(4) (G), (H),
and (I), and (f) of the Privacy Act of
Individuals who request clarification of 1974, 5 U.S.C. 552(a), and from §§ 0.554
the Notice described in § 0.552 or who through 0.557 of this subpart:
have questions concerning the charac- (a) System name. Radio Operator
terization of specific systems of Records—FCC/FOB–1. Parts of this sys-
records as set forth therein, should tem of records are exempt pursuant to
write or call the Privacy Liaison Offi- Section (k)(2) of the Act because they
cer at the following address: contain investigatory material com-
Federal Communications Commission, Per- piled solely for law enforcement pur-
formance Evaluation and Records Manage- poses.
ment, Office of the Managing Director, 445
12th Street, SW., Washington, DC 20554 (b) System name. Violators File
(records kept on individuals who have
(Secs. 4(i) and 303(n), Communications Act of
been subjects of FCC field enforcement
1934, as amended, 47 U.S.C. 154(i) and 303(n);
47 CFR 0.231(d)) actions)—FCC/FOB–2. Parts of this sys-
tem of records are EXEMPT because
FR 13369, Apr. 4, 1984; 65 FR 58466, Sept. 29,
they are maintained as a protective
2000] service for individuals described in sec-
tion 3056 of title 18, and because they
§ 0.559 Disclosure of disputed informa- are necessary for Commission employ-
tion to persons other than the indi- ees to perform their duties, pursuant to
vidual to whom it pertains. sections (k) (1), (2), and (3) of the Act.
If the Commission determines not to (c) System name. Attorney Misconduct
amend a record consistent with an in- Files—FCC/OGC–2. This system of
dividual’s request, and if the individual records is exempt pursuant to section
files a statement of disagreement pur- 3(k)(2) of the Act because it is main-
suant to § 0.557(d)(2), the Commission tained for law enforcement purposes.
shall clearly annotate the record so (d) System name. Licensees or Unli-
that the disputed portion becomes ap-
censed Persons Operating Radio Equip-
parent to anyone who may subse-
ment Improperly—FCC. Parts of this
quently have access to, use or disclose
system of records are exempt pursuant
the record. A copy of the individual’s
statement of disagreement shall ac- to section 3(k)(2) of the Act because
company any subsequent disclosure of they embody investigatory material
the record. In addition, the Commis- compiled solely for law enforcement
sion may include a brief summary of purposes.
its reasons for not amending the record (e) System name. Personnel Investiga-
when disclosing the record. Such state- tion Records—FCC/Central–6. Parts of
85
§ 0.601 47 CFR Ch. I (10–1–02 Edition)
these systems of records are exempt be- cludes conference telephone calls, but
cause they emobdy investigatory mate- does not include the separate consider-
rial pursuant to sections 3(k)(2) and ation of Commission business by Com-
3(k)(5) of the Act as applicable. missioners.) For purposes of this sub-
(f) System name. Criminal Investiga- part each item on the agenda of a
tive Files—FCC/OIG–1. Compiled for meeting is considered a meeting or a
the purpose of criminal investigations. portion of a meeting.
This system of records is exempt pur-
[42 FR 12867, Mar. 7, 1977, as amended at 48
suant to section (j)(2) of the Act be- FR 56391, Dec. 21, 1983; 64 FR 2149, Jan. 13,
cause the records contain investigatory 1999]
material compiled for criminal law en-
forcement purposes. § 0.602 Open meetings.
(g) System name. General Investiga-
(a) All meetings shall be conducted
tive Files—FCC/OIG–2. Compiled for
in accordance with the provisions of
law enforcement purposes. This system
this subpart.
of records is exempt pursuant to sec-
(b) Except as provided in § 0.603, every
tion (k)(2) of the Act because the
portion of every meeting shall be open
records contain investigatory material
to public observation. Observation does
compiled for law enforcement purposes.
not include participation or disruptive
(Secs. 4(i) and 303(n), Communications Act of conduct by observers, and persons en-
1934, as amended, 47 U.S.C. 154(i) and 303(n); gaging in such conduct will be removed
47 CFR 0.231(d)) from the meeting.
[40 FR 44512, Sept. 26, 1975, as amended at 49 (c) The right of the public to observe
FR 13369, Apr. 4, 1984; 58 FR 11549, Feb. 26, open meetings does not alter those
1993] rules in this chapter which relate to
the filing of motions, pleadings, or
Subpart F—Meeting Procedures other documents. Unless such plead-
ings conform to the other procedural
AUTHORITY: Secs. 4, 303, 48 Stat., as amend- requirements of this chapter, pleadings
ed, 1066, 1082; (47 U.S.C. 154, 303). based upon comments or discussions at
open meetings, as a general rule, will
SOURCE: 42 FR 12867, Mar. 7, 1977, unless
otherwise noted. not become part of the official record,
will receive no consideration, and no
§ 0.601 Definitions. further action by the Commission will
be taken thereon.
For purposes of this section:
(a) The term agency means: (d) Deliberations, discussions, com-
(1) The Commission, ments or observations made during the
(2) A board of Commissioners (see course of open meetings do not them-
§ 0.212), selves constitute action of the Com-
(3) The Telecommunications Com- mission. Comments made by Commis-
mittee (see § 0.215), and sioners may be advanced for purposes
(4) Any other group of Commissioners of discussion and may not reflect the
hereafter established by the Commis- ultimate position of a Commissioner.
sion on a continuing or ad hoc basis [42 FR 12867, Mar. 7, 1977, as amended at 45
and authorized to act on behalf of the FR 63491, Sept. 25, 1980]
Commission.
(b) The term meeting means the delib- § 0.603 Bases for closing a meeting to
erations among a quorum of the Com- the public.
mission, a Board of Commissioners, or Except where the agency finds that
a quorum of a committee of Commis- the public interest requires otherwise,
sioners, where such deliberations deter- an agency or advisory committee
mine or result in the joint conduct or meeting may be closed to the public,
disposition of official agency business, and information pertaining to such
except that the term does not include meetings which would otherwise be dis-
deliberations to decide whether to an- closed to the public under § 0.605 may
nounce a meeting with less than seven be withheld, if the agency determines
days notice, or whether a meeting that an open meeting or the disclosure
should be open or closed. (The term in- of such information is likely to:
86
(a) Disclose matters that: (1) Are spe- sponsible for the regulation or super-
cifically authorized under criteria es- vision of financial institutions;
tablished by executive order to be kept (i) Disclose information the pre-
secret in the interest of national de- mature disclosure of which would be
fense or foreign policy, and (2) are in likely to significantly frustrate imple-
fact properly classified pursuant to mentation of a proposed agency action,
such executive order (see § 0.457(a)); except where the agency has already
(b) Relate solely to the internal per- disclosed to the public the content or
sonnel rules and practices of an agency nature of the disclosed action, or where
(see § 0.457(b)); the agency is required by law to make
(c) Disclose matters specifically ex- such disclosure on its own initiative
empted from disclosure, by statute prior to taking final agency action on
(other than the Freedom of Informa- such proposal; or
tion Act, 5 U.S.C. 552). Provided, That (j) Specifically concern the agency’s
such statute (1) requires that the mat- issuance of a subpoena, or the agency’s
ters be withheld from the public in participation in a civil action or pro-
such a manner as to leave no discretion ceeding, an action in a foreign court or
on the issue, or (2) establishes par- international tribunal, or an arbitra-
ticular criteria for withholding or re- tion, or the initiation, conduct, or dis-
fers to particular types of matters to position by the agency of a particular
be withheld (see § 0.457(c)); case of formal agency adjudication pur-
(d) Disclose trade secrets and com- suant to the procedures specified in 5
mercial or financial information ob- U.S.C. 554 or otherwise involving a de-
tained from a person and privileged or termination on the record after oppor-
confidential (see § 0.457(d)); tunity for hearing.
(e) Involve accusing any person of a
crime or formally censuring any per- § 0.605 Procedures for announcing
son; meetings.
(f) Disclose information of a personal
nature where disclosure would con- (a) Notice of all open and closed
stitute a clearly unwarranted invasion meetings will be given.
of personal privacy (see § 0.457(f)); (b) The meeting notice will be sub-
(g) Disclose investigatory records mitted for publication in the FEDERAL
compiled for law enforcement purposes, REGISTER on or before the date on
or information which if written would which the announcement is made. Cop-
be contained in such records, but only ies will be available in the Press and
to the extent that the production of News Media Division on the day the an-
such records or information would (1) nouncement is made. Copies will also
interfere with enforcement pro- be attached to ‘‘FCC Actions Alert’’,
ceedings, (2) deprive a person of a right which is mailed to certain individuals
to a fair trial or an impartial adjudica- and groups who have demonstrated an
tion, (3) constitute an unwarranted in- interest in representing the public in
vasion of personal privacy, (4) disclose Commission proceedings.
the identity of a confidential source, (c)(1) If the agency staff determines
and, in the case of a record compiled by that a meeting should be open to the
a criminal law enforcement authority public, it will, at least one week prior
in the course of a criminal investiga- to the meeting, announce in writing
tion, or by an agency conducting a law- the time, place and subject matter of
ful national security intelligence in- the meeting, that it is to be open to
vestigation, confidential information the public, and the name and phone
furnished only by the confidential number of the Chief, Press and News
source, (5) disclose investigative tech- Media Division, who has been des-
niques and procedures, or (6) endanger ignated to respond to requests for in-
the life or physical safety of law en- formation about the meeting.
forcement personnel; (2) If the staff determines that a
(h) Disclose information contained in meeting should be closed to the public,
or related to examination, operating, it will refer the matter to the General
or condition reports prepared by, on be- Counsel, who will certify that there is
half of, or for the use of an agency re- (or is not) a legal basis for closing the
87
§ 0.606 47 CFR Ch. I (10–1–02 Edition)
meeting to the public. Following ac- the agency will announce the change at
tion by the General Counsel, the mat- the earliest practicable time.
ter may be referred to the agency for a (g) If the subject matter or the deter-
vote on the question of closing the mination to open or close a meeting is
meeting (See § 0.606). changed, the agency will publicly an-
(d)(1) If the question of closing a nounce the change and the vote of each
meeting is considered by the agency member at the earliest practicable
but no vote is taken, the agency will, time. The announcement will contain a
at least one week prior to the meeting, finding that agency business requires
announce in writing the time, place the change and that no earlier an-
and subject matter of the meeting, nouncement of the change was pos-
that it is to be open to the public, and sible.
the name and phone number of the (47 U.S.C. 154, 155, 303)
Chief, Press and News Media Division.
(2) If a vote is taken, the agency will,
FR 12425, Mar. 7, 1979; 44 FR 70472, Dec. 7,
in the same announcement and within 1979; 64 FE 2150, Jan. 13, 1999]
one day after the vote, make public the
vote of each participating Commis- § 0.606 Procedures for closing a meet-
sioner. ing to the public.
(3) If the vote is to close the meeting, (a) For every meeting closed under
the agency will also, in that announce- § 0.603, the General Counsel will certify
ment, set out a full written expla- that there is a legal basis for closing
nation of its action, including the ap- the meeting to the public and will
plicable provision(s) of § 0.603, and a list state each relevant provision of § 0.603.
of persons expected to attend the meet- The staff of the agency will refer the
ing, including Commission personnel, matter to the General Counsel for cer-
together with their affiliations. The tification before it is referred to the
Commissioners, their assistants, the agency for a vote on closing the meet-
General Counsel, the Executive Direc- ing. Certifications will be retained in a
tor, the Chief, Press and News Media public file in the Minute and Rules
Division, and the Secretary are ex- Branch, Office of the Secretary.
pected to attend all Commission meet- (b) The agency will vote on the ques-
ings. The appropriate Bureau or Office tion of closing a meeting.
Chief and Division Chief are expected (1) If a member of the agency re-
to attend meetings which relate to quests that a vote be taken;
their responsibilities (see subpart A of (2) If the staff recommends that a
this part). meeting be closed and one member of
(4) If a meeting is closed, the agency the agency requests that a vote be
may omit from the announcement in- taken; or
formation usually included, if and to (3) If a person whose interests may be
the extent that it finds that disclosure directly affected by a meeting requests
would be likely to have any of the con- the agency to close the meeting for any
sequences listed in § 0.603. of the reasons listed in § 0.603 (e), (f) or
(e) If the prompt and orderly conduct (g), or if any person requests that a
of agency business requires that a closed meeting be opened, and a mem-
meeting be held less than one week ber of the agency requests that a vote
after the announcement of the meet- be taken. (Such requests may be filed
ing, or before that announcement, the with the Secretary at any time prior to
agency will issue the announcement at the meeting and should briefly state
the earliest practicable time. In addi- the reason(s) for opening or closing the
tion to other information, the an- meeting. To assure that they reach the
nouncement will contain the vote of Commission for consideration prior to
each member of the agency who par- the meeting, they should be submitted
ticipated in the decision to give less at the earliest practicable time and
than seven days notice, and the par- should be called specifically to the at-
ticular reason for that decision. tention of the Secretary—in person or
(f) If, after announcement of a meet- by telephone. It will be helpful if copies
ing, the time or place of the meeting is of the request are furnished to the
changed or the meeting is cancelled, members of the agency and the General
88
Counsel. The filing of a request shall in that file if, after the meeting, the re-
not stay the holding of a meeting.) sponsible Bureau or Office Chief deter-
(c) A meeting will be closed to the mines, in light of the discussion, that
public pursuant to § 0.603 only by vote the meeting could have been open to
of a majority of the entire membership the public or that the reason for with-
of the agency. The vote of each partici- holding information concerning the
pating Commissioner will be recorded. matters discussed no longer pertains.
No Commissioner may vote by proxy. Transcripts placed in the public file are
(d) A separate vote will be taken be- available for inspection under § 0.460.
fore any meeting is closed to the public Other transcripts, and separable por-
and before any information is withheld tions thereof which do not contain in-
from the meeting notice. However, a formation properly withheld under
single vote may be taken with respect § 0.603, may be made available for in-
to a series of meetings proposed to be spection under § 0.461. When a tran-
closed to the public, and with respect script, or portion thereof, is made
to information concerning such series available for inspection under § 0.461, it
of meetings (a vote on each question, if will be placed in the public file. Copies
both are presented), if each meeting in- of transcripts may be obtained from
volves the same particular matters and the duplicating contractor pursuant to
is scheduled to be held no later than 30 § 0.465(a). There will be no search or
days after the first meeting in the se- transcription fee. Requests for inspec-
ries. tion or copies of transcripts shall speci-
(e) Less than seven days notice may fy the date of the meeting, the name of
be given only by majority vote of the the agenda and the agenda item num-
entire membership of the agency. ber; this information will appear in the
(f) The subject matter or the deter- notice of the meeting. Pursuant to
mination to open or close a meeting § 0.465(c)(3), the Commission will make
will be changed only if a majority of copies of the transcript available di-
the entire membership of the agency rectly, free of charge, if it serves the fi-
determines by recorded vote that agen- nancial or regulatory interests of the
cy business so requires and that no ear- United States.
lier announcement of the change was (c) The Commission will maintain a
possible. copy of the transcript or minutes for a
period of at least two years after the
§ 0.607 Transcript, recording or min- meeting, or until at least one year
utes; availability to the public. after conclusion of the proceeding to
(a) The agency will maintain a com- which the meeting relates, whichever
plete transcript or electronic recording occurs later.
adequate to record fully the pro-
ceedings of each meeting closed to the Subpart G—Intergovernmental
public, except that in a meeting closed Communication
pursuant to paragraph (h) or (j) of
§ 0.603, the agency may maintain min- SOURCE: 66 FR 8091, Jan. 29, 2001, unless
utes in lieu of a transcript or record- otherwise noted.
ing. Such minutes shall fully and clear-
ly describe all matters discussed and § 0.701 Local and State Government
shall provide a full and accurate sum- Advisory Committee.
mary of any actions taken, and the The Local and State Government Ad-
reasons therefor, including a descrip- visory Committee (LSGAC) will facili-
tion of each of the views expressed on tate intergovernmental communica-
any item and the record of any roll call tion between local municipal, county,
vote. All documents considered in con- state and tribal governments and the
nection with any item will be identi- Federal Communications Commission.
fied in the minutes. The LSGAC shall be comprised of 15
(b) A public file of transcripts (or members (or their designated employ-
minutes) of closed meetings will be ees) as follows: six elected municipal
maintained in the Minute and Rules officials (city mayors and city council
Branch, Office of the Secretary. The members); three elected county offi-
transcript of a meeting will be placed cials (county commissioners or council
89
members); one elected or appointed 1.14 Citation of Commission documents.

local government attorney; one elected 1.16 Unsworn declarations under penalty of
state executive (governor or lieutenant perjury in lieu of affidavits.
governor); two elected state legisla- 1.17 Truthful written statements and re-
sponses to Commission inquiries and cor-
tors; one elected or appointed public respondence.
utilities or public service commis- 1.18 Administrative Dispute Resolution.
sioner, and one elected or appointed 1.19 Use of metric units required.
Native American tribal representative.
The LSGAC members shall select two PARTIES, PRACTITIONERS, AND WITNESSES
members, a Chair and Vice Chair, to 1.21 Parties.
serve as leaders of the Committee. Va- 1.22 Authority for representation.
cancies to on the LSGAC shall be filled 1.23 Persons who may be admitted to prac-
through a nomination process initiated tice.
by Public Notice and appointments 1.24 Censure, suspension, or disbarment of
shall be made by the Chairman of the attorneys.
1.25 [Reserved]
Federal Communications Commission.
1.26 Appearances.
At his discretion, the Chairman may 1.27 Witnesses; right to counsel.
replace LSGAC members using this 1.28–1.29 [Reserved]
same appointment process. Members of
the LSGAC are required to attend a PLEADINGS, BRIEFS, AND OTHER PAPERS
minimum of fifty percent of the yearly 1.41 Informal requests for Commission ac-
meetings. Failure to meet this attend- tion.
ance requirement will result in loss of 1.42 Applications, reports, complaints;
membership in the LSGAC, subject to cross-reference.
the discretion of the LSGAC chair. 1.43 Requests for stay; cross-reference.
Members of the LSGAC are responsible 1.44 Separate pleadings for different re-
quests.
for travel and other incidental ex- 1.45 Pleadings; filing periods.
penses incurred while on LSGAC busi- 1.46 Motions for extension of time.
ness and shall not be reimbursed for 1.47 Service of documents and proof of serv-
such expenses by the Commission. Pur- ice.
suant to section 204(b) of the Unfunded 1.48 Length of pleadings.
Mandates Reform Act of 1995, 2 U.S.C. 1.49 Specifications as to pleadings and docu-
1534(b), the LSGAC is not subject to, ments.
and is not required to follow, the proce- 1.50 Specifications as to briefs.
1.51 Number of copies of pleadings, briefs
dures set forth in the Federal Advisory
and other papers.
Committee Act. 5 U.S.C., App. 2 (1988). 1.52 Subscription and verification.
1.53 Separate pleadings for petitions for for-
PART 1—PRACTICE AND bearance.
PROCEDURE GENERAL APPLICATION PROCEDURES
Subpart A—General Rules of Practice and 1.61 Procedures for handling applications
Procedure requiring special aeronautical study.
1.62 Operation pending action on renewal
GENERAL application.
1.65 Substantial and significant changes in
Sec.
information furnished by applicants to
1.1 Proceedings before the Commission.
the Commission.
1.2 Declaratory rulings.
1.68 Action on application for license to
1.3 Suspension, amendment, or waiver of
cover construction permit.
rules.
1.4 Computation of time. 1.77 Detailed application procedures; cross
1.5 Mailing address furnished by licensee. references.
1.6 Availability of station logs and records MISCELLANEOUS PROCEEDINGS
for Commission inspection.
1.7 Documents are filed upon receipt. 1.80 Forfeiture proceedings.
1.8 Withdrawal of papers. 1.83 Applications for radio operator li-
1.10 Transcript of testimony; copies of docu- censes.
ments submitted. 1.85 Suspension of operator licenses.
1.12 Notice to attorneys of Commission doc- 1.87 Modification of license or construction
uments. permit on motion of the Commission.
1.13 Filing of petitions for review and no- 1.88 Predesignation pleading procedure.
tices of appeals of Commission orders. 1.89 Notice of violations.
90
Federal Communications Commission Pt. 1
1.91 Revocation and/or cease and desist pro- 1.248 Prehearing conferences; hearing con-
ceedings; hearings. ferences.
1.92 Revocation and/or cease and desist pro- 1.249 Prehearing statement.
ceedings; after waiver of hearing.
1.93 Consent orders. HEARING AND INTERMEDIATE DECISION
1.94 Consent order procedures. 1.250 Discovery and preservation of evi-
1.95 Violation of consent orders. dence; cross-reference.
1.251 Summary decision.
RECONSIDERATION AND REVIEW OF ACTIONS 1.253 Time and place of hearing.
TAKEN BY THE COMMISSION AND PURSUANT 1.254 Nature of the hearing; burden of proof.
TO DELEGATED AUTHORITY; EFFECTIVE 1.255 Order of procedure.
DATES AND FINALITY DATES OF ACTIONS 1.258 Closing of the hearing.
1.101 General provisions. 1.260 Certification of transcript.
1.102 Effective dates of actions taken pursu- 1.261 Corrections to transcript.
ant to delegated authority. 1.263 Proposed findings and conclusions.
1.103 Effective dates of Commission actions; 1.264 Contents of findings of fact and con-
finality of Commission actions. clusions.
1.104 Preserving the right of review; de- 1.267 Initial and recommended decisions.
ferred consideration of application for re-
REVIEW PROCEEDINGS
view.
1.106 Petitions for reconsideration. 1.271 Delegation of review function.
1.108 Reconsideration on Commission’s own 1.273 Waiver of initial or recommended deci-
motion. sion.
1.110 Partial grants; rejection and designa- 1.274 Certification of the record to the Com-
tion for hearing. mission for initial or final decision.
1.113 Action modified or set aside by person, 1.276 Appeal and review of initial decision.
panel, or board. 1.277 Exceptions; oral arguments.
1.115 Application for review of action taken 1.279 Limitation of matters to be reviewed.
pursuant to delegated authority. 1.282 Final decision of the Commission.
1.117 Review on motion of the Commission.
1.120 Protests of grants without hearing. INTERLOCUTORY ACTIONS IN HEARING
PROCEEDINGS
Subpart B—Hearing Proceedings 1.291 General provisions.
1.294 Oppositions and replies.
GENERAL
1.296 Service.
1.201 Scope. 1.297 Oral argument.
1.202 Official reporter; transcript. 1.298 Rulings; time for action.
1.203 The record.
1.204 Pleadings; definition. APPEAL AND RECONSIDERATION OF PRESIDING
1.205 Continuances and extensions. OFFICER’S RULING
1.207 Interlocutory matters, reconsideration 1.301 Appeal from presiding officer’s inter-
and review; cross references. locutory ruling; effective date of ruling.
1.209 Identification of responsible officer in 1.302 Appeal from presiding officer’s final
caption to pleading. ruling; effective date of ruling.
1.211 Service.
THE DISCOVERY AND PRESERVATION OF
PARTICIPANTS AND ISSUES EVIDENCE
1.221 Notice of hearing; appearances. 1.311 General.
1.223 Petitions to intervene. 1.313 Protective orders.
1.224 Motion to proceed in forma pauperis. 1.315 Depositions upon oral examination—
1.225 Participation by non-parties; consider- notice and preliminary procedure.
ation of communications. 1.316 Depositions upon written interrog-
1.227 Consolidations. atories—notice and preliminary proce-
1.229 Motions to enlarge, change, or delete dure.
issues. 1.318 The taking of depositions.
1.319 Objections to the taking of deposi-
PRESIDING OFFICER
tions.
1.241 Designation of presiding officer. 1.321 Use of depositions at the hearing.
1.243 Authority of presiding officer. 1.323 Interrogatories to parties.
1.244 Designation of a settlement judge. 1.325 Discovery and production of docu-
1.245 Disqualification of presiding officer. ments and things for inspection, copying,
or photographing.
PREHEARING PROCEDURES
SUBPENAS
1.246 Admission of facts and genuineness of
documents. 1.331 Who may sign and issue.
91
1.333 Requests for issuance of subpena. 1.512 Where to file; number of copies.
1.334 Motions to quash. 1.513 Who may sign applications.
1.335 Rulings. 1.514 Content of applications.
1.336 Service of subpenas. 1.516 Specification of facilities.
1.337 Return of service. 1.517 Contingent applications.
1.338 Subpena forms. 1.518 Inconsistent or conflicting applica-
1.339 Witness fees. tions.
1.340 Attendance of witness; disobedience. 1.519 Repetitious applications.
1.520 Multiple applications.
EVIDENCE
1.522 Amendment of applications.
1.351 Rules of evidence. 1.525 Agreements between parties for
1.352 Cumulative evidence. amendment or dismissal of, or failure to
1.353 Further evidence during hearing. prosecute, broadcast applications.
1.354 Documents containing matter not ma- 1.526 Records to be maintained locally for
terial. public inspection by commercial appli-
1.355 Documents in foreign language. cants, permittees and licensees.
1.356 Copies of exhibits. 1.527 Records to be maintained locally for
1.357 Mechanical reproductions as evidence. public inspection by noncommercial edu-
1.358 Tariffs as evidence. cational applicants, permittees and li-
1.359 Proof of official record; authentication censees.
of copy. 1.531 Formal and informal applications.
1.360 Proof of lack of record. 1.533 Application forms for authority to
1.361 Other proof of official record. construct a new station or make changes
1.362 Production of statements. in an existing station.
1.363 Introduction of statistical data.
1.534 Application for extension of construc-
1.364 Testimony by speakerphone.
tion permit or for construction permit to
replace expired construction permit.
Subpart C—Rulemaking Proceedings
1.536 Application for license to cover con-
GENERAL struction permit.
1.538 Application for modification of li-
1.399 Scope. cense.
1.400 Definitions. 1.539 Application for renewal of license.
PETITIONS AND RELATED PLEADINGS 1.540 Application for voluntary assignment
or transfer of control.
1.401 Petitions for rulemaking. 1.541 Application for involuntary assign-
1.403 Notice and availability. ment of license or transfer of control.
1.405 Responses to petitions; replies. 1.542 Application for temporary authoriza-
1.407 Action on petitions. tion.
1.543 Application for renewal or modifica-
RULEMAKING PROCEEDINGS
tion of special service authorization.
1.411 Commencement of rulemaking pro- 1.544 Application for broadcast station to
ceedings. conduct field strength measurements and
1.412 Notice of proposed rulemaking. for experimental operation.
1.413 Content of notice. 1.545 Application for permit to deliver pro-
1.415 Comments and replies. grams to foreign countries.
1.419 Form of comments and replies; num- 1.546 Application to determine operating
ber of copies. power by direct measurement of antenna
1.420 Additional procedures in proceedings power.
for amendment of the FM or TV Tables 1.549 Requests for extension of authority to
of Allotments. operate without required monitors, indi-
1.421 Further notice of rulemaking. cating instruments, and EBS Attention
1.423 Oral argument and other proceedings. Signal devices.
1.425 Commission action. 1.550 Requests for new or modified call sign
1.427 Effective date of rules. assignments.
1.429 Petition for reconsideration. 1.561 Staff consideration of applications
which receive action by the Commission.
INQUIRIES
1.562 Staff consideration of applications
1.430 Proceedings on a notice of inquiry. which do not require action by the Com-
mission.
Subpart D—Broadcast Applications and 1.564 Acceptance of applications.
Proceedings 1.566 Defective applications.
1.568 Dismissal of applications.
1.502 Emergency Broadcast Authorizations. 1.570 AM broadcast station applications in-
volving other North American countries.
GENERAL FILING REQUIREMENTS
1.571 Processing AM broadcast station ap-
1.511 Applications required. plications.
92
1.572 Processing TV broadcast and trans- 1.730 The Enforcement Bureau’s Acceler-
lator station applications. ated Docket.
1.573 Processing FM broadcast and trans- 1.731 Confidentiality of information pro-
lator station applications. duced or exchanged by the parties.
1.574 Processing of international broadcast 1.732 Other required written submissions.
station applications. 1.733 Status conference.
1.578 Amendments to applications for re- 1.734 Specifications as to pleadings, briefs,
newal, assignment or transfer of control. and other documents; subscription.
1.580 Local public notice of filing of broad- 1.735 Copies; service; separate filings
cast applications. against multiple defendants.
1.584 Petitions to deny. 1.736 Complaints filed pursuant to 47 U.S.C.
1.587 Procedure for filing informal applica- 271(d)(6)(B).
tions.
APPLICATIONS
1.591 Grants without hearing.
1.592 Conditional grant. 1.741 Scope.
1.593 Designation for hearing. 1.742 Place of filing, fees, and number of
1.594 Local public notice of designation for copies.
hearing. 1.743 Who may sign applications.
1.597 Procedures on transfer and assignment 1.744 Amendments.
applications. 1.745 Additional statements.
1.598 Period of construction. 1.746 Defective applications.
1.599 Forfeiture of construction permit. 1.747 Inconsistent or conflicting applica-
1.601 Simultaneous modification and re- tions.
newal of license. 1.748 Dismissal of applications.
1.603 Special waiver procedure relative to 1.749 Action on application under delegated
applications. authority.
1.605 Retention of applications in hearing SPECIFIC TYPES OF APPLICATIONS UNDER
status after designation for hearing. TITLE II OF COMMUNICATIONS ACT
1.612 Annual employment report.
1.613 Filing of contracts. 1.761 Cross reference.
1.615 Ownership reports. 1.763 Construction, extension, acquisition
or operation of lines.
Subpart E—Complaints, Applications, Tar- 1.764 Discontinuance, reduction, or impair-
iffs, and Reports Involving Common ment of service.
1.767 Cable landing licenses.
Carriers 1.768 Notification by and prior approval for
GENERAL submarine cable landing licensees that
are or propose to become affiliated with
1.701 Show cause orders. a foreign carrier.
1.703 Appearances.
TARIFFS
COMPLAINTS
1.771 Filing.
1.711 Formal or informal complaints. 1.772 Application for special tariff permis-
sion.
INFORMAL COMPLAINTS 1.773 Petitions for suspension or rejection of
1.716 Form. new tariff filings.
1.717 Procedure. 1.774 Pricing flexibility.
1.718 Unsatisfied informal complaints; for-
CONTRACTS, REPORTS, AND REQUESTS
mal complaints relating back to the fil-
REQUIRED TO BE FILED BY CARRIERS
ing dates of informal complaints.
1.719 Informal complaints filed pursuant to 1.781 Requests for extension of filing time.
section 258.
CONTRACTS
FORMAL COMPLAINTS 1.783 Filing.
1.720 General pleading requirements.
1.721 Format and content of complaints. FINANCIAL AND ACCOUNTING REPORTS AND
1.722 Damages. REQUESTS
1.723 Joinder of complainants and causes of 1.785 Annual financial reports.
action. 1.786 [Reserved]
1.724 Answers. 1.787 Reports of proposed changes in depre-
1.725 Cross-complaints and counterclaims. ciation rates.
1.726 Replies. 1.788 Reports regarding pensions and bene-
1.727 Motions. fits.
1.728 Formal complaints not stating a cause 1.789 Reports regarding division of inter-
of action; defective pleadings. national telegraph communication
1.729 Discovery. charges.
93
1.790 Reports relating to traffic by inter- 1.937 Repetitious or conflicting applica-
national carriers. tions.
1.791 Reports and requests to be filed under 1.939 Petitions to deny.
part 32 of this chapter. 1.945 License grants.
1.795 Reports regarding interstate rates of 1.946 Construction and coverage require-
return. ments.
1.947 Modification of licenses.
SERVICES AND FACILITIES REPORTS
1.948 Assignment of authorization or trans-
1.802 Reports relating to continuing author- fer of control, notification of consumma-
ity to supplement facilities or to provide tion.
temporary or emergency service. 1.949 Application for renewal of license.
1.803 Reports relating to reduction in tem- 1.951 Duty to respond to official commu-
porary experimental service. nications.
1.805 Reports relating to service by carriers 1.955 Termination of authorizations.
engaged in public radio service oper- 1.956 Settlement conferences.
ations. 1.957 Procedure with respect to amateur
MISCELLANEOUS REPORTS radio operator license.
1.811 Reports regarding amendments to REPORTS TO BE FILED WITH THE COMMISSION

charters, by-laws and partnership agree-
1.981 Reports, annual and semiannual.
ments of carriers engaged in domestic
public radio services.
1.814 Reports regarding free service ren-
Subpart G—Schedule of Statutory Charges
dered the Government for national de- and Procedures for Payment
fense.
1.1101 Authority.
1.815 Reports of annual employment.
1.1102 Schedule of charges for applications
GRANTS BY RANDOM SELECTION and other filings in the wireless tele-
communications services.
1.821 Scope. 1.1103 Schedule of charges for equipment ap-
1.822 General selection procedures. proval, experimental radio services, and
1.824 Random selection procedures for Mul- international telecommunications settle-
tichannel Multipoint Distribution Serv- ments.
ice and Multipoint Distribution Service
H–Channel stations.
and other filings for the Mass Media
Services.
Subpart F—Wireless Telecommunications
Services Applications and Proceedings and other filings in the common carrier
SCOPE AND AUTHORITY services.
1.901 Basis and purpose. and other filings in the cable services.
1.902 Scope. 1.1107 Schedule of charges for applications
1.903 Authorization required. and other filings in the international
1.907 Definitions. services.
APPLICATION REQUIREMENTS AND PROCEDURES 1.1108 Attachment of charges.
1.1109 Payment of charges.
1.911 Station files. 1.1110 Form of payment.
1.913 Application forms; electronic and 1.1111 Filing locations.
manual filing. 1.1112 Conditionality of Commission or staff
1.915 General application requirements. authorizations.
1.917 Who may sign applications. 1.1113 Return or refund of charges.
1.919 Ownership information.
1.1114 General exemptions to charges.
1.923 Content of applications.
1.924 Quiet zones. 1.1115 Adjustments to charges.
1.925 Waivers. 1.1116 Penalty for late or insufficient pay-
1.926 Application processing; initial proce- ments.
dures. 1.1117 Petitions and applications for review.
1.927 Amendment of applications. 1.1118 Error claims.
1.928 Frequency coordination, Canada. 1.1119 Billing procedures.
1.929 Classification of filings as major or 1.1151 Authority to prescribe and collect
minor. regulatory fees.
1.931 Application for special temporary au- 1.1152 Schedule of annual regulatory fees
thority. and filing locations for wireless radio
1.933 Public notices. services.
1.934 Defective applications and dismissal. 1.1153 Schedule of annual regulatory fees
1.935 Agreements to dismiss applications, and filing locations for mass media serv-
amendments or pleadings. ices.
94
1.1154 Schedule of annual regulatory SANCTIONS
charges and filing locations for common
1.1216 Sanctions.
carrier services.
1.1155 Schedule of regulatory fees and filing
Subpart I—Procedures Implementing the
locations for cable television services.
1.1156 Schedule of regulatory fees and filing National Environmental Policy Act of 1969
locations for international services. 1.1301 Basis and purpose.
1.1157 Payment of charges for regulatory 1.1302 Cross-reference; Regulations of the
fees. Council on Environmental Quality.
1.1158 Form of payment for regulatory fees. 1.1303 Scope.
1.1159 Filing locations and receipts for regu- 1.1304 Information and assistance.
latory fees. 1.1305 Actions which normally will have a
1.1160 Refunds of regulatory fees. significant impact upon the environ-
1.1161 Conditional license grants and dele- ment, for which Environmental Impact
gated authorizations. Statements must be prepared.
1.1162 General exemptions from regulatory 1.1306 Actions which are categorically ex-
fees. cluded from environmental processing.
1.1163 Adjustments to regulatory fees. 1.1307 Actions that may have a significant
1.1164 Penalties for late or insufficient regu- environmental effect, for which Environ-
latory fee payments. mental Assessments (EAs) must be pre-
1.1165 Payment by cashier’s check for regu- pared.
latory fees. 1.1308 Consideration of environmental as-
1.1166 Waivers, reductions and deferrals of sessments (EAs); findings of no signifi-
regulatory fees. cant impact.
1.1167 Error claims related to regulatory 1.1309 Application amendments.
fees. 1.1310 Radiofrequency radiation exposure
1.1181 Authority to prescribe and collect limits.
fees for competitive bidding-related serv- 1.1311 Environmental information to be in-
ices and products. cluded in the environmental assessment
1.1182 Schedule of fees for products and (EA).
services provided by the Commission in 1.1312 Facilities for which no
connection with competitive bidding pro- preconstruction authorization is re-
cedures. quired.
1.1313 Objections.
Subpart H—Ex Parte Communications 1.1314 Environmental impact statements
(EISs).
GENERAL 1.1315 The Draft Environmental Impact
1.1200 Introduction. Statement (DEIS); Comments.
1.1202 Definitions. 1.1317 The Final Environmental Impact
Statement (FEIS).
SUNSHINE PERIOD PROHIBITION 1.1319 Consideration of the environmental
impact statements.
1.1203 Sunshine period prohibition.
GENERAL EXEMPTIONS Subpart J—Pole Attachment Complaint

Procedures
1.1204 Exempt ex parte presentations and
proceedings. 1.1401 Purpose.
1.1402 Definitions.
NON-RESTRICTED PROCEEDINGS 1.1403 Duty to provide access; modifica-
1.1206 Permit-but-disclose proceedings. tions; notice of removal, increase or
modification; petition for temporary
RESTRICTED PROCEEDINGS stay; and cable operator notice.
1.1208 Restricted proceedings. 1.1404 Complaint.
1.1405 File numbers.
PROHIBITION ON SOLICITATION OF 1.1406 Dismissal of complaints.
PRESENTATIONS 1.1407 Response and reply.
1.1408 Number of copies and form of plead-
1.1210 Prohibition on solicitation of presen- ings.
tations. 1.1409 Commission consideration of the
complaint.
PROCEDURES FOR HANDLING OF PROHIBITED EX
1.1410 Remedies.
PARTE PRESENTATIONS
1.1411 Meetings and hearings.
1.1212 Procedures for handling of prohibited 1.1412 Enforcement.
ex parte presentations. 1.1413 Forfeiture.
1.1214 Disclosure of information concerning 1.1414 State certification.
violations of this subpart. 1.1415 Other orders.
95
1.1416 Imputation of rates; modification 1.1830 General prohibitions against dis-
costs. crimination.
1.1417 Allocation of Unusable Space Costs. 1.1831–1.1839 [Reserved]
1.1418 Use of presumptions in calculating 1.1840 Employment.
the space factor. 1.1841–1.1848 [Reserved]
1.1849 Program accessibility: Discrimina-
Subpart K—Implementation of the Equal tion prohibited.
Access to Justice Act (EAJA) in Agen- 1.1850 Program accessibility: Existing fa-
cy Proceedings cilities.
1.1851 Program accessibility: New construc-
GENERAL PROVISIONS tion and alterations.
1.1501 Purpose of these rules. 1.1852–1.1859 [Reserved]
1.1502 When the EAJA applies. 1.1860 Communications.
1.1503 Proceedings covered. 1.1861–1.1869 [Reserved]
1.1504 Eligibility of applicants. 1.1870 Compliance procedures.
1.1505 Standards for awards. 1.1871–1.1899 [Reserved]
1.1506 Allowable fees and expenses.
1.1507 Rulemaking on maximum rates for Subpart O—Collection of Claims Owed the
attorney fees. United States
1.1508 Awards against other agencies.
GENERAL PROVISIONS
INFORMATION REQUIRED FROM APPLICANTS
1.1901 Definitions.
1.1511 Contents of application. 1.1902 Exceptions.
1.1512 Net worth exhibit. 1.1903 Use of procedures.
1.1513 Documentation of fees and expenses. 1.1904 Conformance to law and regulations.
1.1514 When an application may be filed. 1.1905 Other procedures; collection of for-
PROCEDURES FOR CONSIDERING APPLICATIONS feiture penalties.
1.1906 Informal action.
1.1521 Filing and service of documents. 1.1907 Return of property.
1.1522 Answer to application. 1.1908 Omissions not a defense.
1.1523 Reply.
1.1524 Comments by other parties. ADMINISTRATIVE OFFSET—CONSUMER REPORT-
1.1525 Settlement. ING AGENCIES—CONTRACTING FOR COLLEC-
1.1526 Further proceedings. TION
1.1527 Decision.
1.1528 Commission review. 1.1911 Demand for payment.
1.1529 Judicial review. 1.1912 Collection by administrative offset.
1.1530 Payment of award. 1.1913 Administrative offset against
amounts payable from Civil Service Re-
Subpart L—Random Selection Procedures tirement and Disability Fund.
for Mass Media Services 1.1914 Collection in installments.
1.1915 Exploration of compromise.
GENERAL PROCEDURES 1.1916 Suspending or terminating collection
action.
1.1601 Scope.
1.1917 Referrals to the Department of Jus-
1.1602 Designation for random selection.
tice or the General Accounting Office.
1.1603 Conduct of random selection.
1.1918 Use of consumer reporting agencies.
1.1604 Post-selection hearings.
1.1919 Contracting for collection services.
1.1621 Definitions.
1.1622 Preferences. SALARY OFFSET
1.1623 Probability calculation.
1.1925 Purpose.
Subpart M [Reserved] 1.1926 Scope.
1.1927 Notification.
Subpart N—Enforcement of Nondiscrimina- 1.1928 Hearing.
tion on the Basis of Handicap in Pro- 1.1929 Deduction from pay.
grams or Activities Conducted by the 1.1930 Liquidation from final check or re-
Federal Communications Commission covery from other payment.
1.1931 Non-waiver of rights by payments.
1.1801 Purpose. 1.1932 Refunds.
1.1802 Applications. 1.1933 Interest, penalties and administrative
1.1803 Definitions. costs.
1.1804–1.1809 [Reserved] 1.1934 Recovery when paying agency is not
1.1810 Self-evaluation. creditor agency.
1.1811 Notice. 1.1935 Obtaining the services of a hearing
1.1812–1.1829 [Reserved] official.
96
INTEREST, PENALTIES, ADMINISTRATIVE COSTS 1.3004 Public disclosure and reporting re-
AND OTHER SANCTIONS quirements.
1.1940 Assessment. Subpart S—Preemption of Restrictions That
1.1941 Exemptions. ‘‘Impair’’ the Ability to Receive Tele-
1.1942 Other sanctions. vision Broadcast Signals, Direct Broad-
COOPERATION WITH THE INTERNAL REVENUE cast Satellite Services, or Multichannel
SERVICE Multipoint Distribution Services or the
Ability To Receive or Transmit Fixed
1.1950 Reporting discharged debts to the In- Wireless Communications Signals
ternal Revenue Service.
1.1951 Offset against tax refunds. 1.4000 Restrictions impairing reception of
television broadcast signals, direct
GENERAL PROVISIONS CONCERNING broadcast satellite services or multi-
INTERAGENCY REQUESTS channel multipoint distribution services.
1.1952 Interagency requests.
Subpart T—Exempt Telecommunications
Companies
Subpart P—Implementation of the Anti-
Drug Abuse Act of 1988 1.5000 Purpose.
1.5001 Definitions.
1.2001 Purpose. 1.5002 Contents of application and procedure
1.2002 Applicants required to submit infor- for filing.
mation. 1.5003 Effect of filing.
1.2003 Applications affected. 1.5004 Commission action.
1.5005 Notification of Commission action to
Subpart Q—Competitive Bidding the Securities and Exchange Commis-
Proceedings sion.
1.5006 Procedure for notifying Commission
GENERAL PROCEDURES of material change in facts.
1.5007 Comments.
1.2101 Purpose.
1.2102 Eligibility of applications for com- Subpart U—Implementation of Section
petitive bidding. 325(e) of the Communications Act:
1.2103 Competitive bidding design options. Procedures Governing Complaints
1.2104 Competitive bidding mechanisms. Filed by Television Broadcast Stations
1.2105 Bidding application and certification Against Satellite Carriers for Retrans-
procedures; prohibition of collusion. mission Without Consent
1.2106 Submission of upfront payments.
1.2107 Submission of down payment and fil- 1.6000 Purpose.
ing of long-form applications. 1.6001 Retransmission consent complaint
1.2108 Procedures for filing petitions to procedures.
deny against long-form applications. 1.6002 Form and content.
1.6003 Service requirements.
1.2109 License grant, denial, default, and
1.6004 Answers.
disqualification.
1.6005 Exclusive defenses.
1.2110 Designated entities. 1.6006 Counting of violations.
1.2111 Assignment or transfer of control: un- 1.6007 Burden of proof.
just enrichment. 1.6008 Determinations.
1.2112 Ownership disclosure requirements 1.6009 Relief.
for short- and long-form applications. 1.6010 Reporting of remedial measures.
1.2113 Construction prior to grant of appli- 1.6011 Effective date.
cation. 1.6012 Sunset provisions.
Subpart R—Implementation of Section Subpart V—Implementation of Section 706

4(g)(3) of the Communications Act: of the Telecommunications Act of
Procedures Governing Acceptance of 1996; Commission Collection of Ad-
Unconditional Gifts, Donations and Be- vanced Telecommunications Capa-
quests bility Data
1.3000 Purpose and scope. 1.7000 Purpose.

1.3001 Definitions. 1.7001 Scope and content of filed reports.
1.7002 Frequency of reports.
1.3002 Structural rules and prohibitions.
1.3003 Mandatory factors for evaluating Subpart W—FCC Registration Number
conflicts of interest.
1.8001 FCC Registration Number (FRN).
97
§ 1.1 47 CFR Ch. I (10–1–02 Edition)
1.8002 Obtaining an FRN. waived for good cause shown, in whole
1.8003 Providing the FRN in commission fil- or in part, at any time by the Commis-
ings. sion, subject to the provisions of the
1.8004 Penalty for failure to provide the
Administrative Procedure Act and the
FRN.
provisions of this chapter. Any provi-
APPENDIX A TO PART 1—A PLAN OF COOPERA- sion of the rules may be waived by the
TIVE PROCEDURE IN MATTERS AND CASES
UNDER THE PROVISIONS OF SECTION 410 OF
Commission on its own motion or on
THE COMMUNICATIONS ACT OF 1934
petition if good cause therefor is
shown.
AUTHORITY: 47 U.S.C. 151, 154(i), 154(j), 155,
225, 303(r), 309 and 325(e). CROSS REFERENCE: See subpart C of this
EDITORIAL NOTE: Nomenclature changes to part for practice and procedure involving
part 1 appear at 63 FR 54077, Oct. 8, 1998. rulemaking.
§ 1.4 Computation of time.

Subpart A—General Rules of
(a) Purpose. The purpose of this rule
Practice and Procedure section is to detail the method for com-
puting the amount of time within
SOURCE: 28 FR 12415, Nov. 22, 1963, unless which persons or entities must act in
otherwise noted. response to deadlines established by
GENERAL the Commission. It also applies to com-
putation of time for seeking both re-
§ 1.1 Proceedings before the Commis- consideration and judicial review of
sion. Commission decisions.
(b) General Rule—Computation of Be-
The Commission may on its own mo-
ginning Date When Action is Initiated by
tion or petition of any interested party
Commission or Staff. Unless otherwise
hold such proceedings as it may deem
provided, the first day to be counted
necessary from time to time in connec-
when a period of time begins with an
tion with the investigation of any mat- action taken by the Commission, an
ter which it has power to investigate Administrative Law Judge or by mem-
under the law, or for the purpose of ob- bers of the Commission or its staff pur-
taining information necessary or help- suant to delegated authority is the day
ful in the determination of its policies, after the day on which public notice of
the carrying out of its duties or the that action is given. See § 1.4(b) (1)–(5)
formulation or amendment of its rules of this section. Unless otherwise pro-
and regulations. For such purposes it vided, all Rules measuring time from
may subpena witnesses and require the the date of the issuance of a Commis-
production of evidence. Procedures to sion document entitled ‘‘Public No-
be followed by the Commission shall, tice’’ shall be calculated in accordance
unless specifically prescribed in this with this section. See § 1.4(b)(4) of this
part, be such as in the opinion of the section for a description of the ‘‘Public
Commission will best serve the pur- Notice’’ document. Unless otherwise
poses of such proceedings. provided in § 1.4 (g) and (h) of this sec-
(Sec. 403, 48 Stat. 1094; 47 U.S.C. 403) tion, it is immaterial whether the first
day is a ‘‘holiday.’’ For purposes of this
§ 1.2 Declaratory rulings. section, the term public notice means
The Commission may, in accordance the date of any of the following events:
with section 5(d) of the Administrative See § 1.4(e)(1) of this section for defini-
Procedure Act, on motion or on its own tion of ‘‘holiday.’’
motion issue a declaratory ruling ter- (1) For all documents in notice and
minating a controversy or removing comment and non-notice and comment
uncertainty. rulemaking proceedings required by
the Administrative Procedure Act, 5
(5 U.S.C. 554) U.S.C. 552, 553, to be published in the
FEDERAL REGISTER, including sum-
§ 1.3 Suspension, amendment, or waiv- maries thereof, the date of publication
er of rules.
in the FEDERAL REGISTER.
The provisions of this chapter may be NOTE TO PARAGRAPH (b)(1): Licensing and
suspended, revoked, amended, or other adjudicatory decisions with respect to
98
specific parties that may be associated with 1987. If the decision itself specifies FEDERAL
or contained in rulemaking documents are REGISTER publication, the date of public no-
governed by the provisions of § 1.4(b)(2). tice is Friday, April 10, 1987. If this decision
does not specify FEDERAL REGISTER publica-
Example 1: A document in a Commission
tion, public notice occurs on Wednesday,
rule making proceeding is published in the
FEDERAL REGISTER on Wednesday, May 6, April 1, 1987, and the first day to be counted
1987. Public notice commences on Wednes- in computing filing periods is Thursday,
day, May 6, 1987. The first day to be counted April 2, 1987.
in computing the beginning date of a period (4) If the full text of an action docu-
of time for action in response to the document is not to be released by the Com-
ment is Thursday, May 7, 1987, the ‘‘day after
the day’’ of public notice. mission, but a descriptive document
Example 2: Section 1.429(e) provides that entitled ‘‘Public Notice’’ describing the
when a petition for reconsideration is timely action is released, the date on which
filed in proper form, public notice of its fil- the descriptive ‘‘Public Notice’’ is re-
ing is published in the FEDERAL REGISTER. leased.
Section 1.429(f) provides that oppositions to a
petition for reconsideration shall be filed Example 5: At a public meeting the Com-
within 15 days after public notice of the peti- mission considers an uncontested applica-
tion’s filing in the FEDERAL REGISTER. Pub- tion to transfer control of a broadcast sta-
lic notice of the filing of a petition for recon- tion. The Commission grants the application
sideration is published in the FEDERAL REG- and does not plan to issue a full text of its
ISTER on Wednesday, June 10, 1987. For pur- decision on the uncontested matter. Five
poses of computing the filing period for an days after the meeting, a descriptive ‘‘Public
opposition, the first day to be counted is Notice’’ announcing the action is publicly re-
Thursday, June 11, 1987, which is the day leased. The date of public notice commences
after the date of public notice. Therefore, op- on the day of the release date.
positions to the reconsideration petition Example 6: A Public Notice of petitions for
must be filed by Thursday, June 25, 1987, 15 rule making filed with the Commission is re-
days later. leased on Wednesday, September 2, 1987; pub-
lic notice of these petitions is given on Sep-
(2) For non-rulemaking documents tember 2, 1987. The first day to be counted in
released by the Commission or staff, computing filing times is Thursday, Sep-
including the Commission’s section 271 tember 3, 1987.
determinations, 47 U.S.C. 271, the re-
lease date. (5) If a document is neither published
in the FEDERAL REGISTER nor released,
Example 3: The Chief, Mass Media Bureau, and if a descriptive document entitled
adopts an order on Thursday, April 2, 1987.
The text of that order is not released to the
‘‘Public Notice’’ is not released, the
public until Friday, April 3, 1987. Public no- date appearing on the document sent
tice of this decision is given on Friday, April (e.g., mailed, telegraphed, etc.) to per-
3, 1987. Saturday, April 4, 1987, is the first sons affected by the action.
day to be counted in computing filing peri-
ods. Example 7: A Bureau grants a license to an
applicant, or issues a waiver for non-con-
(3) For rule makings of particular ap- forming operation to an existing licensee,
plicability, if the rule making docu- and no ‘‘Public Notice’’ announcing the ac-
ment is to be published in the FEDERAL tion is released. The date of public notice
REGISTER and the Commission so states commences on the day appearing on the li-
in its decision, the date of public notice cense mailed to the applicant or appearing
on the face of the letter granting the waiver
will commence on the day of the mailed to the licensee.
FEDERAL REGISTER publication date. If
the decision fails to specify FEDERAL (c) General Rule—Computation of Be-
REGISTER publication, the date of pub- ginning Date When Action is Initiated by
lic notice will commence on the release Act, Event or Default. Commission pro-
date, even if the document is subse- cedures frequently require the com-
quently published in the FEDERAL REG- putation of a period of time where the
ISTER. See Declaratory Ruling, 51 FR period begins with the occurrence of an
23059 (June 25, 1986). act, event or default and terminates a
specific number of days thereafter. Un-
Example 4: An order establishing an inves-
tigation of a tariff, and designating issues to less otherwise provided, the first day to
be resolved in the investigation, is released be counted when a period of time be-
on Wednesday, April 1, 1987, and is published gins with the occurrence of an act,
in the FEDERAL REGISTER on Friday, April 10, event or default is the day after the
99
§ 1.4 47 CFR Ch. I (10–1–02 Edition)
day on which the act, event or default October; Veterans Day, November 11;
occurs. Thanksgiving Day, fourth Thursday in No-
vember; Christmas Day, December 25. If a
Example 8: Commission Rule § 21.39(d) re- legal holiday falls on Saturday or Sunday,
quires the filing of an application requesting the holiday is taken, respectively, on the
consent to involuntary assignment or con- preceding Friday or the following Monday.
trol of the permit or license within thirty In addition, January 20, (Inauguration Day)
days after the occurrence of the death or following a Presidential election year is a
legal disability of the licensee or permittee. legal holiday in the metropolitan Wash-
If a licensee passes away on Sunday, March ington, DC area. If Inauguration Day falls on
1, 1987, the first day to be counted pursuant Sunday, the next succeeding day is a legal
to § 1.4(c) is the day after the act or event. holiday. See 5 U.S.C. 6103; Executive Order
Therefore, Monday, March 2, 1987, is the first No. 11582, 36 FR 2957 (Feb. 11, 1971). The de-
day of the thirty day period specified in termination of a ‘‘holiday’’ will apply only
§ 21.39(d). to the specific Commission location(s) des-
(d) General Rule—Computation of Ter- ignated as on ‘‘holiday’’ on that particular
day.
minal Date. Unless otherwise provided,
when computing a period of time the (2) The term business day means all
last day of such period of time is in- days, including days when the Commis-
cluded in the computation, and any ac- sion opens later than the time specified
tion required must be taken on or be- in Rule § 0.403, which are not
fore that day. ‘‘holidays’’ as defined above.
Example 9: Paragraph 1.4(b)(1) of this sec- (3) The term filing period means the
tion provides that ‘‘public notice’’ in a no- number of days allowed or prescribed
tice and comment rule making proceeding by statute, rule, order, notice or other
begins on the day of FEDERAL REGISTER pub- Commission action for filing any docu-
lication. Paragraph 1.4(b) of this section pro- ment with the Commission. It does not
vides that the first day to be counted in com- include any additional days allowed for
puting a terminal date is the ‘‘day after the
filing any document pursuant to para-
day’’ on which public notice occurs. There-
fore, if the commission allows or requires an graphs (g), (h) and (j) of this section.
action to be taken 20 days after public notice (4) The term filing date means the
in the FEDERAL REGISTER, the first day to be date upon which a document must be
counted is the day after the date of the filed after all computations of time au-
FEDERAL REGISTER publication. Accordingly, thorized by this section have been
if the FEDERAL REGISTER document is pub- made.
lished on Thursday, July 23, 1987, public no-
tice is given on Thursday, July 23, and the (f) Except as provided in § 0.401(b) of
first day to be counted in computing a 20 day this chapter, all petitions, pleadings,
period is Friday, July 24, 1987. The 20th day tariffs or other documents not required
or terminal date upon which action must be to be accompanied by a fee and which
taken is Wednesday, August 12, 1987. are hand-delivered must be tendered
(e) Definitions for purposes of this for filing in complete form, as directed
section: by the Rules, with the Office of the
(1) The term holiday means Saturday, Secretary before 7:00 p.m., at 445 12th
Sunday, officially recognized Federal St., SW., TW–A325, Washington, DC.
legal holidays and any other day on The Secretary will determine whether
which the Commission’s offices are a tendered document meets the pre-7:00
closed and not reopened prior to 5:30 p.m. deadline. Documents filed elec-
p.m. For example, a regularly sched- tronically pursuant to § 1.49(f) must be
uled Commission business day may be- received by the Commission’s elec-
come a holiday if its offices are closed tronic filing system before midnight.
prior to 5:30 p.m. due to adverse weath- Applications, attachments and plead-
er, emergency or other closing. ings filed electronically in the Uni-
versal Licensing System (ULS) pursu-
NOTE: As of August 1987, officially recog- ant to § 1.939(b) must be received before
nized Federal legal holidays are New Year’s midnight on the filing date. Media Bu-
Day, January 1; Martin Luther King’s Birth-
reau applications and reports filed
day, third Monday in January; Washington’s
Birthday, third Monday in February; Memo- electronically pursuant to § 73.3500 of
rial Day, last Monday in May; Independence this chapter must be received by the
Day, July 4; Labor Day, first Monday in Sep- electronic filing system before mid-
tember; Columbus Day, second Monday in night on the filing date.
100
(g) Unless otherwise provided (e.g., Example 13: Section 1.45(b) requires the fil-
§§ 1.773 and 76.1502(e)(1) of this chapter), ing of replies to oppositions within five days
if the filing period is less than 7 days, after the time for filing oppositions has ex-
pired. If an opposition has been filed on the
intermediate holidays shall not be last day of the filing period (Friday, July 10,
counted in determining the filing date. 1987), and was served on the replying party
Example 10: A reply is required to be filed by mail, § 1.4(i) of this section specifies that
within 5 days after the filing of an opposition the paragraph (g) computation should be
in a license application proceeding. The op- made before the paragraph (h) computation.
position is filed on Wednesday, June 10, 1987. Therefore, since the specified filing period is
The first day to be counted in computing the less than seven days, paragraph (g) is applied
first. The first day of the filing period is
5 day time period is Thursday, June 11, 1987.
Monday, July 13, 1987, and Friday, July 17,
Saturday and Sunday are not counted be-
1987 is the fifth day (the intervening weekend
cause they are holidays. The document must
was not counted). Paragraph (h) is then ap-
be filed with the Commission on or before
plied to add three days for mailing
the following Wednesday, June 17, 1987.
(excluding holidays). That period begins on
(h) If a document is required to be Monday, July 20, 1987. Therefore, Wednesday,
served upon other parties by statute or July 22, 1987, is the date by which replies
must be filed, since the intervening weekend
Commission regulation and the docu-
is again not counted.
ment is in fact served by mail (see
§ 1.47(f)), and the filing period for a re- (j) Unless otherwise provided (e.g.
sponse is 10 days or less, an additional § 76.1502(e) of this chapter) if, after
3 days (excluding holidays) will be al- making all the computations provided
lowed to all parties in the proceeding for in this section, the filing date falls
for filing a response. This paragraph (h) on a holiday, the document shall be
shall not apply to documents filed pur- filed on the next business day. See
suant to § 1.89, § 1.120(d), § 1.315(b) or paragraph (e)(1) of this section.
§ 1.316. For purposes of this paragraph Example 14: The filing date falls on Friday,
(h) service by facsimile or by electronic December 25, 1987. The document is required
means shall be deemed equivalent to to be filed on the next business day, which is
hand delivery. Monday, December 28, 1987.
Example 11: A reply to an opposition for a (k) Where specific provisions of part 1
petition for reconsideration must be filed conflict with this section, those spe-
within 7 days after the opposition is filed. 47 cific provisions of part 1 are control-
CFR 1.106(h). The rules require that the op- ling. See, e.g.,§§ 1.45(d), 1.773(a)(3) and
position be served on the person seeking re-
consideration. 47 CFR 1.106(g). If the opposi-
1.773(b)(2). Additionally, where
tion is served on the party seeking reconsid- § 76.1502(e) of this chapter conflicts
eration by mail and the opposition is filed with this section, those specific provi-
with the Commission on Monday, November sions of § 76.1502 are controlling. See
9, 1987, the first day to be counted is Tues- e.g. 47 CFR 76.1502(e).
day, November 10, 1987 (the day after the day
on which the event occurred, § 1.4(c)), and the [52 FR 49159, Dec. 30, 1987; 53 FR 44196, Nov.
seventh day is Monday, November 16. An ad- 2, 1988, as amended at 56 FR 40567, 40568, Aug.
ditional 3 days (excluding holidays) is then 15, 1991; 58 FR 17529, Apr. 5, 1993; 61 FR 11749,
added at the end of the 7 day period, and the Mar. 22, 1996; 62 FR 26238, May 13, 1997; 63 FR
reply must be filed no later than Thursday, 24124, May 1, 1998; 64 FR 27201, May 19, 1999;
November 19, 1987. 64 FR 60725, Nov. 8, 1999; 65 FR 46109, July 27,
2000; 67 FR 13223, Mar. 21, 2002]
Example 12: Assume that oppositions to a
petition in a particular proceeding are due 10
days after the petition is filed and must be § 1.5 Mailing address furnished by li-
served on the parties to the proceeding. If
censee.
the petition is filed on October 28, 1993, the (a) Each licensee shall furnish the
last day of the filing period for oppositions is Commission with an address to be used
Sunday, November 7. If service is made by by the Commission in serving docu-
mail, the opposition is due three days after
ments or directing correspondence to
November 7, or Wednesday, November 10.
that licensee. Unless any licensee ad-
(i) If both paragraphs (g) and (h) of vises the Commission to the contrary,
this section are applicable, make the the address contained in the licensee’s
paragraph (g) computation before the most recent application will be used by
paragraph (h) computation. the Commission for this purpose.
101
§ 1.6 47 CFR Ch. I (10–1–02 Edition)
(b) The licensee is responsible for the Federal Communications Commis-

making any arrangements which may sion.
be necessary in his particular cir-
cumstances to assure that Commission § 1.7 Documents are filed upon receipt.
documents or correspondence delivered Unless otherwise provided in this
to this address will promptly reach him Title, by Public Notice, or by decision
or some person authorized by him to of the Commission or of the Commis-
act in his behalf. sion’s staff acting on delegated author-
ity, pleadings and other documents are
§ 1.6 Availability of station logs and considered to be filed with the Com-
records for Commission inspection. mission upon their receipt at the loca-
(a) Station records and logs shall be tion designated by the Commission.
made available for inspection or dupli- [60 FR 16055, Mar. 29, 1995]
cation at the request of the Commis-
sion or its representative. Such logs or § 1.8 Withdrawal of papers.
records may be removed from the li-
The granting of a request to dismiss
censee’s possession by a Commission
or withdraw an application or a plead-
representative or, upon request, shall
ing does not authorize the removal of
be mailed by the licensee to the Com-
such application or pleading from the
mission by either registered mail, re-
Commission’s records.
turn receipt requested, or certified
mail, return receipt requested. The re- § 1.10 Transcript of testimony; copies
turn receipt shall be retained by the li- of documents submitted.
censee as part of the station records
In any matter pending before the
until such records or logs are returned
Commission, any person submitting
to the licensee. A receipt shall be fur-
data or evidence, whether acting under
nished when the logs or records are re-
compulsion or voluntarily, shall have
moved from the licensee’s possession the right to retain a copy thereof, or to
by a Commission representative and procure a copy of any document sub-
this receipt shall be retained by the li- mitted by him, or of any transcript
censee as part of the station records made of his testimony, upon payment
until such records or logs are returned of the charges therefor to the person
to the licensee. When the Commission furnishing the same, which person may
has no further need for such records or be designated by the Commission. The
logs, they shall be returned to the li- Commission itself shall not be respon-
censee. The provisions of this rule shall sible for furnishing the copies.
apply solely to those station logs and
records which are required to be main- [29 FR 14406, Oct. 20, 1964]
tained by the provisions of this chap-
§ 1.12 Notice to attorneys of Commis-
ter. sion documents.
(b) Where records or logs are main-
tained as the official records of a rec- In any matter pending before the
ognized law enforcement agency and Commission in which an attorney has
the removal of the records from the appeared for, submitted a document on
possession of the law enforcement behalf of or been otherwise designated
agency will hinder its law enforcement by a person, any notice or other writ-
activities, such records will not be reten communication pertaining to that
moved pursuant to this section if the matter issued by the Commission and
chief of the law enforcement agency which is required or permitted to be
promptly certifies in writing to the furnished to the person will be commu-
Federal Communications Commission nicated to the attorney, or to one of
such attorneys if more than one is des-
that removal of the logs or records will
ignated. If direct communication with
hinder law enforcement activities of
the party is appropriate, a copy of such
the agency, stating insofar as feasible
communication will be mailed to the
the basis for his decision and the date
attorney.
when it can reasonably be expected
that such records will be released to [29 FR 14406, Oct. 20, 1964]
102
§ 1.13 Filing of petitions for review citation to any document that has been
and notices of appeals of Commis- printed in the Record. The citation
sion orders. should provide the volume, page num-
(a)(1) This section pertains to each ber and year, in that order (e.g., 1 FCC
party filing a petition for review in any Rcd. 1 (1986). Older documents may
United States court of appeals of a continue to be cited to the FCC Re-
Commission Order, pursuant to section ports, first or second series, if they
402(a) of the Communications Act, 47 were printed in the Reports (e.g., 1 FCC
U.S.C. 402(a), and 28 U.S.C. 2342(l), that 2d 1 (1965)).
wishes to avail itself of procedures es- [51 FR 45890, Dec. 23, 1986]
tablished for selection of a court in the
case of multiple appeals, pursuant to 28 § 1.16 Unsworn declarations under
U.S.C. 2112(a). Each such party shall, penalty of perjury in lieu of affida-
within ten days after the issuance of vits.
that order, file with the General Coun- Any document to be filed with the
sel in the Office of General Counsel, Federal Communications Commission
Room 8–A741, 445 12th Street, SW., and which is required by any law, rule
Washington, DC 20554, a copy of its pe- or other regulation of the United
tition for review as filed and date- States to be supported, evidenced, es-
stamped by the court of appeals within tablished or proved by a written sworn
which it was filed. Such copies of peti- declaration, verification, certificate,
tions for review must be filed by 5:30 statement, oath or affidavit by the per-
p.m. Eastern Time on the tenth day of son making the same, may be sup-
the filing period. A stamp indicating ported, evidenced, established or
the time and date received by the Of- proved by the unsworn declaration,
fice of General Counsel will constitute certification, verification, or state-
proof of filing. Upon receipt of any cop- ment in writing of such person, except
ies of petitions for review, the Commis- that, such declaration shall not be used
sion shall follow the procedures estab- in connection with: (a) A deposition,
lished in section 28 U.S.C. 2112(a) to de- (b) an oath of office, or (c) an oath re-
termine the court in which to file the quired to be taken before a specified of-
record in that case. ficial other than a notary public. Such
(2) Computation of time of the ten- declaration shall be subscribed by the
day period for filing copies of petitions declarant as true under penalty of per-
for review of a Commission order shall jury, and dated, in substantially the
be governed by § 1.4 of the Commis- following form:
sion’s Rules, 47 CFR 1.4. The date of
(1) If executed without the United
issuance of a Commission order for pur-
States:
poses of filing copies of petitions for re-
view shall be the date of public notice ‘‘I declare (or certify, verify, or state) under
as defined in § 1.4(b), 47 CFR 1.4(b). penalty of perjury under the laws of the
(b) Copies of notices of appeals filed United States of America that the foregoing
pursuant to 47 U.S.C. 402(b) shall be is true and correct. Executed on (date).
served upon the General Counsel. (Signature)’’.
NOTE: For administrative efficiency, the (2) If executed within the United
Commission requests that any petitioner States, its territories, possessions, or
seeking judicial review of Commission ac- commonwealths:
tions pursuant to 47 U.S.C. 402(a) serve a
copy of its petition on the General Counsel ‘‘I declare (or certify, verify, or state) under
regardless of whether it wishes to avail itself penalty of perjury that the foregoing is true
of the procedures for multiple appeals set and correct. Executed on (date).
forth in 47 U.S.C. 2112(a). (Signature)’’.
[54 FR 12453, Mar. 27, 1989, as amended at 65 [48 FR 8074, Feb. 25, 1983]
FR 14476, Mar. 17, 2000]
§ 1.17 Truthful written statements and
§ 1.14 Citation of Commission docu- responses to Commission inquiries
ments. and correspondence.
The appropriate reference to the FCC The Commission or its representa-
Record shall be included as part of the tives may, in writing, require from any
103
§ 1.18 47 CFR Ch. I (10–1–02 Edition)
applicant, permittee or licensee writ- unit shall be considered the sole re-
ten statements of fact relevant to a de- quirement; except, however, that the
termination whether an application use of metric paper sizes is not cur-
should be granted or denied, or to a de- rently required, and compliance with
termination whether a license should the English unit shall be considered
be revoked, or to some other matter sufficient when the Commission form
within the jurisdiction of the Commis- requests that data showing compliance
sion. No applicant, permittee or li- with that particular standard be sub-
censee shall in any response to Com- mitted in English units.
mission correspondence or inquiry or [58 FR 44893, Aug. 25, 1993]
in any application, pleading, report or
any other written statement submitted PARTIES, PRACTITIONERS, AND
to the Commission, make any mis- WITNESSES
representation or willful material
omission bearing on any matter within § 1.21 Parties.
the jurisdiction of the Commission. (a) Any party may appear before the
NOTE: Section 1.17 is limited in application Commission and be heard in person or
to written matter. It implies no change in by attorney.
the Commission’s existing policies respect- (b) The appropriate Bureau Chief(s)
ing the obligation of applicants, permittees of the Commission shall be deemed to
and licensees in all instances to respond be a party to every adjudicatory pro-
truthfully to requests for information
ceeding (as defined in the Administra-
deemed necessary to the proper execution of
the Commission’s functions. tive Procedure Act) without the neces-
sity of being so named in the order des-
[55 FR 23084, June 6, 1990] ignating the proceeding for hearing.
(c) When, in any proceeding, a plead-
§ 1.18 Administrative Dispute Resolu-
tion. ing is filed on behalf of either the Gen-
eral Counsel or the Chief Engineer, he
(a) The Commission has adopted an shall thereafter be deemed a party to
initial policy statement that supports the proceeding.
and encourages the use of alternative (d) Except as otherwise expressly pro-
dispute resolution procedures in its ad- vided in this chapter, a duly authorized
ministrative proceedings and pro- corporate officer or employee may act
ceedings in which the Commission is a for the corporation in any matter
party, including the use of regulatory which has not been designated for an
negotiation in Commission rulemaking evidentiary hearing and, in the discre-
matters, as authorized under the Ad- tion of the presiding officer, may ap-
ministrative Dispute Resolution Act pear and be heard on behalf of the cor-
and Negotiated Rulemaking Act. poration in an evidentiary hearing pro-
(b) In accordance with the Commis- ceeding.
sion’s policy to encourage the fullest
possible use of alternative dispute reso- [28 FR 12415, Nov. 22, 1963, as amended at 37
FR 8527, Apr. 28, 1972; 44 FR 39180, July 5,
lution procedures in its administrative 1979; 51 FR 12616, Apr. 14, 1986]
proceedings, procedures contained in
the Administrative Dispute Resolution § 1.22 Authority for representation.
Act, including the provisions dealing
Any person, in a representative ca-
with confidentiality, shall also be ap-
pacity, transacting business with the
plied in Commission alternative dis- Commission, may be required to show
pute resolution proceedings in which his authority to act in such capacity.
the Commission itself is not a party to
the dispute. § 1.23 Persons who may be admitted to
[56 FR 51178, Oct. 10, 1991, as amended at 57 practice.
FR 32181, July 21, 1992] (a) Any person who is a member in
good standing of the bar of the Su-
§ 1.19 Use of metric units required. preme Court of the United States or of
Where parenthesized English units the highest court of any state, terri-
accompany metric units throughout tory or the District of Columbia, and
this chapter, and the two figures are who is not under any final order of any
not precisely equivalent, the metric authority having power to suspend or
104
disbar an attorney in the practice of ticing before the Commission is subject

law within any state, territory or the to an order of final suspension (not
District of Columbia that suspends, en- merely temporary suspension pending
joins, restrains, disbars, or otherwise further action) or disbarment by such
restricts him or her in the practice of authority, the Commission may, with-
law, may represent others before the out any preliminary hearing, enter an
Commission. order temporarily suspending the at-
(b) When such member of the bar act- torney from practice before it pending
ing in a representative capacity ap- final disposition of a disciplinary pro-
pears in person or signs a paper in ceeding brought pursuant to § 1.24(a)(2),
practice before the Commission, his which shall afford such attorney an op-
personal appearance or signature shall portunity to be heard and directing the
constitute a representation to the attorney to show cause within thirty
Commission that, under the provisions days from the date of said order why
of this chapter and the law, he is au- identical discipline should not be im-
thorized and qualified to represent the posed against such attorney by the
particular party in whose behalf he Commission.
acts. Further proof of authority to act (d) Allegations of attorney mis-
in a representative capacity may be re- conduct in Commission proceedings
quired. shall be referred under seal to the Of-
[28 FR 12415, Nov. 22, 1963, as amended at 57 fice of General Counsel. Pending action
FR 38285, Aug. 24, 1992] by the General Counsel, the decision
maker may proceed with the merits of
§ 1.24 Censure, suspension, or disbar- the matter but in its decision may
ment of attorneys. make findings concerning the attor-
(a) The Commission may censure, ney’s conduct only if necessary to re-
suspend, or disbar any person who has solve questions concerning an appli-
practiced, is practicing or holding him- cant and may not reach any conclu-
self out as entitled to practice before it sions regarding the ethical ramifica-
if it finds that such person: tions of the attorney’s conduct. The
(1) Does not possess the qualifica- General Counsel will determine if the
tions required by § 1.23; allegations are substantial, and, if so,
(2) Has failed to conform to standards shall immediately notify the attorney
of ethical conduct required of practi- and direct him or her to respond to the
tioners at the bar of any court of which allegations. No notice will be provided
he is a member; to other parties to the proceeding. The
(3) Is lacking in character or profes- General Counsel will then determine
sional integrity; and/or what further measures are necessary to
(4) Displays toward the Commission protect the integrity of the Commis-
or any of its hearing officers conduct sion’s administrative process, includ-
which, if displayed toward any court of ing but not limited to one or more of
the United States or any of its Terri- the following:
tories or the District of Columbia, (1) Recommending to the Commis-
would be cause for censure, suspension, sion the institution of a proceeding
or disbarment. under paragraph (a) of this section;
(b) Except as provided in paragraph (2) Referring the matter to the appro-
(c) of this section, before any member priate State, territorial, or District of
of the bar of the Commission shall be Columbia bar; or
censured, suspended, or disbarred, (3) Consulting with the Department
charges shall be preferred by the Com- of Justice.
mission against such practitioner, and [28 FR 12415, Nov. 22, 1963, as amended at 57
he or she shall be afforded an oppor- FR 38285, Aug. 24, 1992; 60 FR 53277, Oct. 13,
tunity to be heard thereon. 1995]
(c) Upon receipt of official notice
from any authority having power to § 1.25 [Reserved]
suspend or disbar an attorney in the
practice of law within any state, terri- § 1.26 Appearances.
tory, or the District of Columbia which Rules relating to appearances are set
demonstrates that an attorney prac- forth in §§ 1.87, 1.91, 1.221, and 1.703.
105
§ 1.27 47 CFR Ch. I (10–1–02 Edition)
§ 1.27 Witnesses; right to counsel. also be sent electronically, via the

ULS.
Any individual compelled to appear
in person in any Commission pro- [28 FR 12415, Nov. 22, 1963, as amended at 63
ceeding may be accompanied, rep- FR 68919, Dec. 14, 1998]
resented, and advised by counsel as § 1.42 Applications, reports, com-
provided in this section. (Regulations plaints; cross-reference.
as to persons seeking voluntarily to ap-
(a) Rules governing applications and
pear and give evidence are set forth in
reports are contained in subparts D, E,
§ 1.225.) and F of this part.
(a) Counsel may advise his client in (b) Special rules governing com-
confidence, either upon his own initia- plaints against common carriers aris-
tive or that of the witness, before, during under the Communications Act are
ing, and after the conclusion of the set forth in subpart E of this part.
proceeding. (c) Rules governing the FCC Reg-
(b) Counsel for the witness will be istration Number (FRN) are contained
permitted to make objections on the in subpart W of this part.
record, and to state briefly the basis [28 FR 12415, Nov. 22, 1963, as amended at 66
for such objections, in connection with FR 47895, Sept. 14, 2001]
any examination of his client.
(c) At the conclusion of the examina- § 1.43 Requests for stay; cross-ref-
tion of his client, counsel may ask erence.
clarifying questions if in the judgment General rules relating to requests for
of the presiding officer such ques- stay of any order or decision are set
tioning is necessary or desirable in forth in §§ 1.41, 1.44(e), 1.45 (d) and (e),
order to avoid ambiguity or incom- and 1.298(a). See also §§ 1.102, 1.106(n),
pleteness in the responses previously and 1.115(h).
given.
§ 1.44 Separate pleadings for different
(d) Except as provided by paragraph requests.
(c) of this section, counsel for the wit-
ness may not examine or cross-examine (a) Requests requiring action by the
Commission shall not be combined in a
any witness, or offer documentary evi-
pleading with requests for action by an
dence, unless authorized by the Com-
administrative law judge or by any per-
mission to do so. son or persons acting pursuant to dele-
(5 U.S.C. 555) gated authority.
(b) Requests requiring action by an
[29 FR 12775, Sept. 10, 1964]
administrative law judge shall not be
combined in a pleading with requests
§§ 1.28–1.29 [Reserved]
for action by the Commission or by any
PLEADINGS, BRIEFS, AND OTHER PAPERS person or persons acting pursuant to
delegated authority.
§ 1.41 Informal requests for Commis- (c) Requests requiring action by any
sion action. person or persons pursuant to dele-
gated authority shall not be combined
Except where formal procedures are in a pleading with requests for action
required under the provisions of this by any other person or persons acting
chapter, requests for action may be pursuant to delegated authority.
submitted informally. Requests should (d) Pleadings which combine requests
set forth clearly and concisely the in a manner prohibited by paragraph
facts relied upon, the relief sought, the (a), (b), or (c) of this section may be re-
statutory and/or regulatory provisions turned without consideration to the
(if any) pursuant to which the request person who filed the pleading.
is filed and under which relief is (e) Any request to stay the effective-
sought, and the interest of the person ness of any decision or order of the
submitting the request. In application Commission shall be filed as a separate
and licensing matters pertaining to the pleading. Any such request which is
Wireless Radio Services, as defined in not filed as a separate pleading will not
§ 1.904 of this part, such requests may be considered by the Commission.
106
NOTE: Matters which are acted on pursuant § 1.46 Motions for extension of time.
to delegated authority are set forth in sub-
part B of part 0 of this chapter. Matters (a) It is the policy of the Commission
acted on by the hearing examiner are set that extensions of time shall not be
forth in § 0.341. routinely granted.
(b) Motions for extension of time in
§ 1.45 Pleadings; filing periods. which to file responses to petitions for
Except as otherwise provided in this rulemaking, replies to such responses,
comments filed in response to notice of
chapter, pleadings in Commission pro-
proposed rulemaking, replies to such
ceedings shall be filed in accordance
comments and other filings in rule-
with the provisions of this section.
making proceedings conducted under
Pleadings associated with licenses, ap-
Subpart C of this part shall be filed at
plications, waivers and other docu-
least 7 days before the filing date. If a
ments in the Wireless Radio Services timely motion is denied, the responses
may be filed via the ULS. and comments, replies thereto, or
(a) Petitions. Petitions to deny may other filings need not be filed until 2
be filed pursuant to § 1.939 of this part. business days after the Commission
(b) Oppositions. Oppositions to any acts on the motion. In emergency situ-
motion, petition, or request may be ations, the Commission will consider a
filed within 10 days after the original late-filed motion for a brief extension
pleading is filed. of time related to the duration of the
(c) Replies. The person who filed the emergency and will consider motions
original pleading may reply to opposi- for acceptance of comments, reply
tions within 5 days after the time for comments or other filings made after
filing oppositions has expired. The the filing date.
reply shall be limited to matters raised (c) If a motion for extension of time
in the oppositions, and the response to in which to make filings in proceedings
all such matters shall be set forth in a other than notice and comment rule
single pleading; separate replies to in- making proceedings is filed less than 7
dividual oppositions shall not be filed. days prior to the filing day, the party
(d) Requests for temporary relief; short- filing the motion shall (in addition to
er filing periods. Oppositions to a re- serving the motion on other parties)
quest for stay of any order or to a re- orally notify other parties and Com-
quest for other temporary relief shall mission staff personnel responsible for
be filed within 7 days after the request acting on the motion that the motion
is filed. Replies to oppositions should has been (or is being) filed.
not be filed and will not be considered. [39 FR 43301, Dec. 12, 1974, as amended at 41
The provisions of § 1.4(h) shall not FR 9550, Mar. 5, 1976; 41 FR 14871, Apr. 8, 1976;
apply in computing the filing date for 42 FR 28887, June 6, 1977; 63 FR 24124, May 1,
oppositions to a request for stay or for 1998]
other temporary relief. § 1.47 Service of documents and proof
(e) Ex parte disposition of certain plead- of service.
ings. As a matter of discretion, the
(a) Where the Commission or any per-
Commission may rule ex parte upon re-
son is required by statute or by the
quests for continuances and extensions
provisions of this chapter to serve any
of time, requests for permission to file document upon any person, service
pleadings in excess of the length pre- shall (in the absence of specific provi-
scribed in this chapter, and requests sions in this chapter to the contrary)
for temporary relief, without waiting be made in accordance with the provi-
for the filing of oppositions or replies. sions of this section.
NOTE: Where specific provisions contained (b) Where any person is required to
in part 1 conflict with this section, those serve any document filed with the
specific provisions are controlling. See, in Commission, service shall be made by
particular, §§ 1.294(c), 1.298(a), and 1.773. that person or by his representative on
[28 FR 12415, Nov. 22, 1963, as amended at 33 or before the day on which the docu-
FR 7153, May 15, 1968; 45 FR 64190, Sept. 29, ment is filed.
1980; 54 FR 31032, July 26, 1989; 54 FR 37682, (c) Commission counsel who formally
Sept. 12, 1989; 63 FR 68919, Dec. 14, 1998] participate in any proceeding shall be
107
§ 1.47 47 CFR Ch. I (10–1–02 Edition)
served in the same manner as other both the carrier and its designated
persons who participate in that pro- agents, a name, business address, tele-
ceeding. The filing of a document with phone or voicemail number, facsimile
the Commission does not constitute number, and, if available, Internet e-
service upon Commission counsel. mail address. The carrier shall addi-
(d) Except in formal complaint pro- tionally list any other names by which
ceedings against common carriers it is known or under which it does busi-
under §§ 1.720 through 1.736, documents ness, and, if the carrier is an affiliated
may be served upon a party, his attor- company, the parent, holding, or man-
ney, or other duly constituted agent by agement company. Within thirty (30)
delivering a copy or by mailing a copy days of the commencement of provi-
to the last known address. See § 1.736. sion of service, each carrier shall file
Documents that are required to be
such information with the Chief of the
served must be served in paper form,
Enforcement Bureau’s Market Disputes
even if documents are filed in elec-
Resolution Division. Carriers may file
tronic form with the Commission, un-
less the party to be served agrees to ac- a hard copy of the relevant portion of
cept service in some other form. the Telecommunications Reporting
(e) Delivery of a copy pursuant to Worksheet, as delineated by the Com-
this section means handing it to the mission in the FEDERAL REGISTER, to
party, his attorney, or other duly con- satisfy this requirement. Each Tele-
stituted agent; or leaving it with the communications Reporting Worksheet
clerk or other person in charge of the filed annually by a common carrier
office of the person being served; or, if must contain a name, business address,
there is no one in charge of such office, telephone or voicemail number, fac-
leaving it in a conspicuous place there- simile number, and, if available, Inter-
in; or, if such office is closed or the per- net e-mail address for its designated
son to be served has no office, leaving agents, regardless of whether such in-
it at his dwelling house or usual place formation has been revised since the
of abode with some person of suitable previous filing. Carriers must notify
age and discretion then residing there- the Commission within one week of
in. any changes in their designation infor-
(f) Service by mail is complete upon mation by filing revised portions of the
mailing. Telecommunications Reporting Work-
(g) Proof of service, as provided in sheet with the Chief of the Enforce-
this section, shall be filed before action ment Bureau’s Market Disputes Reso-
is taken. The proof of service shall lution Division. A paper copy of this
show the time and manner of service, designation list shall be maintained in
and may be by written acknowledge- the Office of the Secretary of the Com-
ment of service, by certificate of the mission. Service of any notice, process,
person effecting the service, or by orders, decisions or requirements of the
other proof satisfactory to the Com- Commission may be made upon such
mission. Failure to make proof of serv-
carrier by leaving a copy thereof with
ice will not affect the validity of the
such designated agent at his office or
service. The Commission may allow
usual place of residence. If a carrier
the proof to be amended or supplied at
fails to designate such an agent, serv-
any time, unless to do so would result
in material prejudice to a party. ice of any notice or other process in
(h) Every common carrier subject to any proceeding before the Commission,
the Communications Act of 1934, as or of any order, decision, or require-
amended, shall designate an agent in ment of the Commission, may be made
the District of Columbia, and may des- by posting such notice, process, order,
ignate additional agents if it so choos- requirement, or decision in the Office
es, upon whom service of all notices, of the Secretary of the Commission.
process, orders, decisions, and require- [28 FR 12415, Nov. 22, 1963, as amended at 40
ments of the Commission may be made FR 55644, Dec. 1, 1975; 53 FR 11852, Apr. 11,
for and on behalf of said carrier in any 1988; 63 FR 1035, Jan. 7, 1998; 63 FR 24124, May
proceeding before the Commission. 1, 1998; 64 FR 41330, July 30, 1999; 64 FR 60725,
Such designation shall include, for Nov. 8, 1999]
108
§ 1.48 Length of pleadings. sages or footnotes are used in this

manner the pleading will, at the discre-
(a) Affidavits, statements, tables of
tion of the Commission, either be re-
contents and summaries of filings, and
jected as unacceptable for filing or dis-
other materials which are submitted
missed with leave to be refiled in prop-
with and factually support a pleading
are not counted in determining the er form. Pleadings may be printed on
length of the pleading. If other mate- both sides of the paper. Pleadings that
rials are submitted with a pleading, use only one side of the paper shall be
they will be counted in determining its stapled, or otherwise bound, in the
length; and if the length of the plead- upper left-hand corner; those using
ings, as so computed, is greater than both sides of the paper shall be stapled
permitted by the provisions of this twice, or otherwise bound, along the
chapter, the pleading will be returned left-hand margin so that it opens like a
without consideration. book. The foregoing shall not apply to
(b) It is the policy of the Commission printed briefs specifically requested by
that requests for permission to file the Commission, official publications,
pleadings in excess of the length pre- charted or maps, original documents
scribed by the provisions of this chap- (or admissible copies thereof) offered as
ter shall not be routinely granted. exhibits, specially prepared exhibits, or
Where the filing period is 10 days or if otherwise specifically provided. All
less, the request shall be made within 2 copies shall be clearly legible.
business days after the period begins to (b) Except as provided in paragraph
run. Where the period is more than 10 (d) of this section, all pleadings and
days, the request shall be filed at least documents filed with the Commission,
10 days before the filing date. (See the length of which as computed under
§ 1.4.) If a timely request is made, the this chapter exceeds ten pages, shall
pleading need not be filed earlier than include, as part of the pleading or doc-
2 business days after the Commission ument, a table of contents with page
acts upon the request. references.
(c) Except as provided in paragraph
[41 FR 14871, Apr. 8, 1976, and 49 FR 40169,
(d) of this section, all pleadings and
Oct. 15, 1984]
documents filed with the Commission,
§ 1.49 Specifications as to pleadings the length of which filings as computed
and documents. under this chapter exceeds ten pages,
shall include, as part of the pleading or
(a) All pleadings and documents filed
document, a summary of the filing,
in paper form in any Commission pro-
suitably paragraphed, which should be
ceeding shall be typewritten or pre-
a succinct, but accurate and clear con-
pared by mechanical processing meth-
densation of the substance of the filing.
ods, and shall be filed on A4 (21 cm. ×
It should not be a mere repetition of
29.7 cm.) or on 81⁄2 × 11 inch (21.6 cm. ×
the headings under which the filing is
27.9 cm.) paper with the margins set so
arranged. For pleadings and documents
that the printed material does not ex-
exceeding ten but not twenty-five
ceed 6 1⁄2 × 91⁄2 inches (16.5 cm. × 24.1
pages in length, the summary should
cm.). The printed material may be in
seldom exceed one and never two pages;
any typeface of at least 12-point
for pleadings and documents exceeding
(0.42333 cm. or 12⁄72″) in height. The body
twenty-five pages in length, the sum-
of the text must be double spaced with
mary should seldom exceed two and
a minimum distance of 7⁄32 of an inch
never five pages.
(0.5556 cm.) between each line of text.
Footnotes and long, indented (d) The requirements of paragraphs
quotations may be single spaced, but (b) and (c) of this section shall not
must be in type that is 12-point or larg- apply to:
er in height, with at least 1⁄16 of an inch (1) Interrogatories or answers to in-
(0.158 cm.) between each line of text. terrogatories, and depositions;
Counsel are cautioned against employ- (2) FCC forms or applications;
ing extended single spaced passages or (3) Transcripts;
excessive footnotes to evade prescribed (4) Contracts and reports;
pleading lengths. If single-spaced pas- (5) Letters; or
109
§ 1.50 47 CFR Ch. I (10–1–02 Edition)
(6) Hearing exhibits, and exhibits or § 1.51 Number of copies of pleadings,

appendicies accompanying any docu- briefs and other papers.
ment or pleading submitted to the
Except as otherwise specifically pro-
Commission.
vided in the Commission’s rules and
(e) Petitions, pleadings, and other
regulations, the number of copies of
documents associated with licensing
pleadings, briefs, and other papers to
matters in the Wireless Radio Services
may be filed electronically in ULS. See be filed is as follows:
§ 22.6 for specifications. (a) In hearing proceedings, the fol-
(f)(1) In the following types of pro- lowing number of copies shall be filed:
ceedings, all pleadings, including per- (1) If the paper filed relates to a mat-
missible ex parte submissions, notices ter to be acted upon by the presiding
of ex parte presentations, comments, officer or the Chief Administrative
reply comments, and petitions for re- Law Judge, an original and 6 copies
consideration and replies thereto, may shall be filed.
be filed in electronic format: (2) If the paper filed relates to mat-
(i) General rulemaking proceedings ters to be acted on by the Commission,
other than broadcast allotment pro- an original and 14 copies shall be filed.
ceedings; (3) If more than one person presided
(ii) Notice of inquiry proceedings; (is presiding) at the hearing an addi-
and tional copy shall be filed for each such
(iii) Petition for rulemaking pro- additional person.
ceedings (except broadcast allotment (b) In rulemaking proceedings which
proceedings). have not been designated for hearing,
(2) For purposes of paragraphs (b) and see section 1.419 of this chapter.
(c) of this section, and any prescribed (c) In matters other than rule mak-
pleading lengths, the length of any doc- ing and hearing cases, the following
ument filed in electronic form shall be number of copies shall be filed:
equal to the length of the document if
(1) If the paper filed relates to mat-
printed out and formatted according to
the specifications of paragraph (a) of ters to be acted on by the Commission,
this section, or shall be no more that an original and 4 copies shall be filed.
250 words per page. If the matter relates to Part 22 of the
rules, see § 22.6.
NOTE: The table of contents and the sum- (2) If the paper filed related to mat-
mary pages shall not be included in com-
ters to be acted on by staff officials
plying with any page limitation require-
ments as set forth by Commission rule. under delegated authority, an original
and 4 copies shall be filed. If the matter
[40 FR 19198, May 2, 1975, as amended at 47 relates to Part 22 of the rules, see § 22.6.
FR 26393, June 18, 1982; 51 FR 16322, May 2,
1986; 54 FR 31032, July 26, 1989; 58 FR 44893, (d) Where statute or regulation pro-
Aug. 25, 1993; 59 FR 37721, July 25, 1994; 63 FR vides for service by the Commission of
24125, May 1, 1998; 63 FR 68920, Dec. 14, 1998] papers filed with the Commission, an
additional copy of such papers shall be
§ 1.50 Specifications as to briefs. filed for each person to be served.
The Commission’s preference is for (e) The parties to any proceeding
briefs that are either typewritten, pre- may, on notice, be required to file addi-
pared by other mechanical processing tional copies of any or all filings made
methods, or, in the case of matters in in that proceeding.
the Wireless Radio Services, composed (f) For application and licensing mat-
electronically and sent via ULS. Print- ters involving the Wireless Radio Serv-
ed briefs will be accepted only if spe- ices, pleadings, briefs or other docu-
cifically requested by the Commission. ments may be filed electronically in
Typewritten, mechanically produced, ULS, or if filed manually, one original
or electronically transmitted briefs and one copy of a pleading, brief or
must conform to all of the applicable other document must be filed.
specifications for pleadings and docu- (g) Participants that file pleadings,
ments set forth in § 1.49.
briefs or other documents electroni-
[63 FR 68920, Dec. 14, 1998] cally in ULS need only submit one
110
copy, so long as the submission con- has read the document; that to the best
forms to any procedural or filing re- of his knowledge, information, and be-
quirements established for formal elec- lief there is good ground to support it;
tronic comments. (see § 1.49) and that it is not interposed for delay.
(h) Pleadings, briefs or other docu- If the original of a document is not
ments filed electronically in ULS by a signed or is signed with intent to de-
party represented by an attorney shall feat the purpose of this section, or an
include the name, street address, and electronic reproduction does not con-
telephone number of at least one attor- tain a facsimile signature, it may be
ney of record. Parties not represented stricken as sham and false, and the
by an attorney that file electronically matter may proceed as though the doc-
in ULS shall provide their name, street ument had not been filed. An attorney
address, and telephone number. may be subjected to appropriate dis-
(Secs. 4, 303, 48 Stat., as amended, 1066, 1082; ciplinary action, pursuant to § 1.24, for
(47 U.S.C. 154, 303)) a willful violation of this section or if
scandalous or indecent matter is in-
FR 50399, Nov. 16, 1976; 45 FR 64190, Sept. 29, serted.
1980; 45 FR 79486, Dec. 1, 1980; 50 FR 26567, [63 FR 24125, May 1, 1998, as amended at 63
June 27, 1985; 54 FR 29037, July 11, 1989; 54 FR FR 68920, Dec. 14, 1998]
31032, July 26, 1989; 62 FR 4170, Jan. 29, 1997;
63 FR 24125, May 1, 1998; 63 FR 68920, Dec. 14,
§ 1.53 Separate pleadings for petitions
1998]
for forbearance.
§ 1.52 Subscription and verification. In order to be considered as a peti-
The original of all petitions, motions, tion for forbearance subject to the one-
pleadings, briefs, and other documents year deadline set forth in 47 U.S.C.
filed by any party represented by coun- 160(c), any petition requesting that the
sel shall be signed by at least one at- Commission exercise its forbearance
torney of record in his individual authority under 47 U.S.C. 160 shall be
name, whose address shall be stated. A filed as a separate pleading and shall be
party who is not represented by an at- identified in the caption of such plead-
torney shall sign and verify the docu- ing as a petition for forbearance under
ment and state his address. Either the 47 U.S.C. 160(c). Any request which is
original document, the electronic re- not in compliance with this rule is
production of such original document deemed not to constitute a petition
containing the facsimile signature of pursuant to 47 U.S.C. 160(c), and is not
the attorney or represented party, or, subject to the deadline set forth there-
in the case of matters in the Wireless in.
Radio Services, an electronic filing via
ULS is acceptable for filing. If a fac- [65 FR 7460, Feb. 15, 2000]
simile or electronic reproduction of
such original document is filed, the GENERAL APPLICATION PROCEDURES
signatory shall retain the original
until the Commission’s decision is final § 1.61 Procedures for handling applica-
tions requiring special aeronautical
and no longer subject to judicial re- study.
view. If pursuant to § 1.429(h) a docu-
ment is filed electronically, a signa- (a) Antenna Structure Registration
ture will be considered any symbol exe- is conducted by the Wireless Tele-
cuted or adopted by the party with the communications Bureau as follows:
intent that such symbol be a signature, (1) Each antenna structure owner
including symbols formed by com- that must notify the FAA of proposed
puter-generated electronic impulses. construction using FAA Form 7460–1
Except when otherwise specifically shall, upon proposing new or modified
provided by rule or statute, documents construction, register that antenna
signed by the attorney for a party need structure with the Wireless Tele-
not be verified or accompanied by affi- communications Bureau using FCC
davit. The signature or electronic re- Form 854.
production thereof by an attorney con- (2) If an Environmental Assessment
stitutes a certificate by him that he is required under § 1.1307, the Bureau
111
§ 1.61 47 CFR Ch. I (10–1–02 Edition)
will address the environmental con- (iii) If the application does not con-
cerns prior to processing the registra- tain the Antenna Structure Registra-
tion. tion Number, and the structure owner
(3) If a final FAA determination of has not filed FCC Form 854, the oper-
‘‘no hazard’’ is not submitted along ating Bureau notifies the applicant
with FCC Form 854, processing of the that FCC Form 854 must be filed and
registration may be delayed or dis- places the application on hold until
approved. Registration can be confirmed, so long
(4) If the owner of the antenna struc-
as the owner exhibits due diligence in
ture cannot file FCC Form 854 because
filing.
it is subject to a denial of Federal ben-
efits under the Anti-Drug Abuse Act of (2) If Antenna Structure Registration
1988, 21 U.S.C. 862, the first licensee au- is not required, the operating Bureau
thorized to locate on the structure processes the application.
must register the structure using FCC (c) Where one or more antenna farm
Form 854, and provide a copy of the An- areas have been designated for a com-
tenna Structure Registration (FCC munity or communities (see § 17.9 of
Form 854R) to the owner. The owner re- this chapter), an application proposing
mains responsible for providing a copy the erection of an antenna structure
of FCC Form 854R to all tenant licens- over 1,000 feet in height above ground
ees on the structure and for posting the to serve such community or commu-
registration number as required by nities will not be accepted for filing
§ 17.4(g) of this chapter. unless:
(5) Upon receipt of FCC Form 854, and (1) It is proposed to locate the an-
attached final FAA determination of
tenna structure in a designated an-
‘‘no hazard,’’ the Bureau prescribes an-
tenna farm area, or
tenna structure painting and/or light-
ing specifications or other conditions (2) It is accompanied by a statement
in accordance with the FAA airspace from the Federal Aviation Administra-
recommendation and returns a com- tion that the proposed structure will
pleted Antenna Structure Registration not constitute a menace to air naviga-
(FCC Form 854R) to the registrant. If tion, or
the proposed structure is disapproved (3) It is accompanied by a request for
the registrant is so advised. waiver setting forth reasons sufficient,
(b) Each operating Bureau or Office if true, to justify such a waiver.
examines the applications for Commis-
sion authorization for which it is re- NOTE: By Commission Order (FCC 65–455),
30 FR 7419, June 5, 1965, the Commission
sponsible to ensure compliance with
issued the following policy statement con-
FAA notification procedures as well as cerning the height of radio and television an-
Commission Antenna Structure Reg- tenna towers:
istration as follows: ‘‘We have concluded that this objective can
(1) If Antenna Structure Registration best be achieved by adopting the following
is required, the operating Bureau re- policy: Applications for antenna towers high-
views the application for the Antenna er than 2,000 feet above ground will be pre-
Structure Registration Number and sumed to be inconsistent with the public in-
proceeds as follows: terest, and the applicant will have a burden
(i) If the application contains the An- of overcoming that strong presumption. The
tenna Structure Registration Number applicant must accompany its application
or if the applicant seeks a Cellular or with a detailed showing directed to meeting
PCS system authorization, the oper- this burden. Only in the exceptional case,
ating Bureau processes the application. where the Commission concludes that a clear
(ii) If the application does not con- and compelling showing has been made that
tain the Antenna Structure Registra- there are public interest reasons requiring a
tion Number, but the structure owner tower higher than 2,000 feet above ground,
has already filed FCC Form 854, the op- and after the parties have complied with ap-
plicable FAA procedures, and full Commis-
erating Bureau places the application
sion coordination with FAA on the question
on hold until Registration can be con- of menace to air navigation, will a grant be
firmed, so long as the owner exhibits made. Applicants and parties in interest will,
due diligence in filing.
112
of course, be afforded their statutory hearing cessity beyond the express terms of
rights.’’ such temporary extension of license,
[28 FR 12415, Nov. 22, 1963, as amended at 32 nor shall such temporary extension in
FR 8813, June 21, 1967; 32 FR 20860, Dec. 28, any way affect or limit the action of
1967; 34 FR 6481, Apr. 15, 1969; 45 FR 55201, the Commission with respect to any
Aug. 19, 1980; 58 FR 13021, Mar. 9, 1993, 61 FR pending application or proceeding.
4361, Feb. 6, 1996] (c) Except where an instrument of
§ 1.62 Operation pending action on re- authorization clearly states on its face
newal application. that it relates to an activity not of a
continuing nature, or where the non-
(a)(1) Where there is pending before continuing nature is otherwise clearly
the Commission at the time of expira- apparent upon the face of the author-
tion of license any proper and timely ization, all licenses issued by the Com-
application for renewal of license with mission shall be deemed to be related
respect to any activity of a continuing to an activity of a continuing nature.
nature, in accordance with the provi-
sions of section 9(b) of the Administra- (5 U.S.C. 558)
tive Procedure Act, such license shall
continue in effect without further ac- § 1.65 Substantial and significant
changes in information furnished
tion by the Commission until such by applicants to the Commission.
time as the Commission shall make a
final determination with respect to the (a) Each applicant is responsible for
renewal application. No operation by the continuing accuracy and complete-
any licensee under this section shall be ness of information furnished in a
construed as a finding by the Commis- pending application or in Commission
sion that the operation will serve the proceedings involving a pending appli-
public interest, convenience, or neces- cation. Whenever the information fur-
sity, nor shall such operation in any nished in the pending application is no
way affect or limit the action of the longer substantially accurate and com-
Commission with respect to any pend- plete in all significant respects, the ap-
ing application or proceeding. plicant shall as promptly as possible
(2) A licensee operating by virtue of and in any event within 30 days, unless
this paragraph shall, after the date of good cause is shown, amend or request
expiration specified in the license, the amendment of his application so as
post, in addition to the original li- to furnish such additional or corrected
cense, any acknowledgment received information as may be appropriate.
from the Commission that the renewal Whenever there has been a substantial
application has been accepted for filing change as to any other matter which
or a signed copy of the application for may be of decisional significance in a
renewal of license which has been sub- Commission proceeding involving the
mitted by the licensee, or in services pending application, the applicant
other than broadcast and common car- shall as promptly as possible and in
rier, a statement certifying that the li- any event within 30 days, unless good
censee has mailed or filed a renewal ap- cause is shown, submit a statement
plication, specifying the date of mail- furnishing such additional or corrected
ing or filing. information as may be appropriate,
(b) Where there is pending before the which shall be served upon parties of
Commission at the time of expiration record in accordance with § 1.47. Where
of license any proper and timely appli- the matter is before any court for re-
cation for renewal or extension of the view, statements and requests to
term of a license with respect to any amend shall in addition be served upon
activity not of a continuing nature, the the Commission’s General Counsel. For
Commission may in its discretion the purposes of this section, an applica-
grant a temporary extension of such li- tion is ‘‘pending’’ before the Commis-
cense pending determination of such sion from the time it is accepted for
application. No such temporary exten- filing by the Commission until a Com-
sion shall be construed as a finding by mission grant or denial of the applica-
the Commission that the operation of tion is no longer subject to reconsider-
any radio station thereunder will serve ation by the Commission or to review
the public interest, convenience, or ne- by any court.
113
§ 1.68 47 CFR Ch. I (10–1–02 Edition)
(b) Applications in ITFS and broad- in the judgment of the Commission,

cast services subject to competitive make the operation of such station
bidding will be subject to the provi- against the public interest.
sions of §§ 1.2105(b), 73.5002 and 73.3522 (b) In the event the Commission is
regarding the modification of their ap- unable to make the findings in para-
plications. graph (a) of this section, the Commis-
(c) All broadcast permittees and li- sion will designate the application for
censees must report annually to the hearing upon specified issues.
Commission any adverse finding or ad-
verse final action taken by any court (Sec. 319, 48 Stat. 1089, as amended; 47 U.S.C.
or administrative body that involves 319)
conduct bearing on the permittee’s or
licensee’s character qualifications and § 1.77 Detailed application procedures;
cross references.
that would be reportable in connection
with an application for renewal as re- The application procedures set forth
flected in the renewal form. If a report in §§ 1.61 through 1.68 are general in na-
is required by this paragraph(s), it ture. Applicants should also refer to
shall be filed on the anniversary of the the Commission rules regarding the
date that the licensee’s renewal appli- payment of statutory charges (subpart
cation is required to be filed, except G of this part) and the use of the FCC
that licensees owning multiple stations Registration Number (FRN) (see sub-
with different anniversary dates need part W of this part). More detailed pro-
file only one report per year on the an- cedures are set forth in this chapter as
niversary of their choice, provided that follows:
their reports are not more than one (a) Rules governing applications for
year apart. Permittees and licensees authorizations in the Broadcast Radio
bear the obligation to make diligent, Services are set forth in subpart D of
good faith efforts to become knowl- this part.
edgeable of any such reportable adju- (b) Rules governing applications for
dicated misconduct. authorizations in the Common Carrier
NOTE: The terms adverse finding and adverse Radio Services are set forth in subpart
final action as used in paragraph (c) of this E of this part.
section include adjudications made by an ul- (c) Rules governing applications for
timate trier of fact, whether a government authorizations in the Private Radio
agency or court, but do not include factual
Services are set forth in subpart F of
determinations which are subject to review
de novo unless the time for taking such re- this part.
view has expired under the relevant proce- (d) Rules governing applications for
dural rules. The pendency of an appeal of an authorizations in the Experimental
adverse finding or adverse final action does Radio Services (other than broadcast)
not relieve a permittee or licensee from its are set forth in part 5 of this chapter.
obligation to report the finding or action.
(e) Rules governing applications for
[48 FR 27200, June 13, 1983, as amended at 55 authorizations in the Domestic Public
FR 23084, June 6, 1990; 56 FR 25635, June 5, Radio Services are set forth in part 21
1991; 56 FR 44009, Sept. 6, 1991; 57 FR 47412, of this chapter.
Oct. 16, 1992; 63 FR 48622, Sept. 11, 1998]
(f) Rules governing applications for
§ 1.68 Action on application for license authorizations in the Industrial, Sci-
to cover construction permit. entific, and Medical Service are set
(a) An application for license by the forth in part 18 of this chapter.
lawful holder of a construction permit (g) Rules governing applications for
will be granted without hearing where certification of equipment are set forth
the Commission, upon examination of in part 2, subpart J, of this chapter.
such application, finds that all the (h) Rules governing applications for
terms, conditions, and obligations set commercial radio operator licenses are
forth in the application and permit set forth in part 13 of this chapter.
have been fully met, and that no cause (i) Rules governing applications for
or circumstance arising or first coming authorizations in the Common Carrier
to the knowledge of the Commission and Private Radio terrestrial micro-
since the granting of the permit would, wave services and Local Multipoint
114
Distribution Services are set out in the forfeiture penalty under this sec-
part 101 of this chapter. tion shall not exceed $27,500 for each
[28 FR 12415, Nov. 22, 1963, as amended at 44 violation or each day of a continuing
FR 39180, July 5, 1979; 47 FR 53378, Nov. 26, violation, except that the amount as-
1982; 61 FR 26670, May 28, 1996; 62 FR 23162, sessed for any continuing violation
Apr. 29, 1997; 63 FR 36596, July 7, 1998; 66 FR shall not exceed a total of $300,000 for
47895, Sept. 14, 2001] any single act or failure to act de-
MISCELLANEOUS PROCEEDINGS scribed in paragraph (a) of this section.
There is no limit on forfeiture assess-
§ 1.80 Forfeiture proceedings. ments for EEO violations by cable op-
(a) Persons against whom and viola- erators that occur after notification by
tions for which a forfeiture may be as- the Commission of a potential viola-
sessed. A forfeiture penalty may be as- tion. See Section 634(f)(2) of the Com-
sessed against any person found to munications Act.
have: (2) If the violator is a common car-
(1) Willfully or repeatedly failed to rier subject to the provisions of the
comply substantially with the terms Communications Act or an applicant
and conditions of any license, permit, for any common carrier license, per-
certificate, or other instrument of au- mit, certificate, or other instrument of
thorization issued by the Commission; authorization issued by the Commis-
(2) Willfully or repeatedly failed to sion, the amount of any forfeiture pen-
comply with any of the provisions of alty determined under this section
the Communications Act of 1934, as shall not exceed $120,000 for each viola-
amended; or of any rule, regulation or
tion or each day of a continuing viola-
order issued by the Commission under
that Act or under any treaty, convention, except that the amount assessed
tion, or other agreement to which the for any continuing violation shall not
United States is a party and which is exceed a total of $1,200,000 for any sin-
binding on the United States; gle act or failure to act described in
(3) Violated any provision of section paragraph (a) of this section.
317(c) or 508(a) of the Communications (3) In any case not covered in para-
Act; or graphs (b)(1) or (b)(2) of this section,
(4) Violated any provision of section the amount of any forfeiture penalty
1304, 1343, or 1464 of Title 18, United determined under this section shall not
States Code. exceed $11,000 for each violation or
each day of a continuing violation, ex-
A forfeiture penalty assessed under
cept that the amount assessed for any
this section is in addition to any other
penalty provided for by the Commu- continuing violation shall not exceed a
nications Act, except that the pen- total of $87,500 for any single act or
alties provided for in paragraphs (b)(1), failure to act described in paragraph
(b)(2) and (b)(3) of this section shall not (a) of this section.
apply to conduct which is subject to a NOTE TO PARAGRAPH (b)(3): For information
forfeiture penalty under sections 202(c), concerning notices of apparent liability and
203(e), 205(b), 214(d), 219(b), 220(d), notices of opportunity for hearing, see para-
223(b), 362(a), 362(b), 386(a), 386(b), graphs (e), (f), and (g) of this section.
503(b), 506, and 634 of the Communica- (4) Factors considered in determining
tions Act. The remaining provisions of the amount of the forfeiture penalty. In
this section are applicable to such con- determining the amount of the for-
duct. feiture penalty, the Commission or its
(b) Limits on the amount of forfeiture designee will take into account the na-
assessed. (1) If the violator is a broad- ture, circumstances, extent and grav-
cast station licensee or permittee, a ity of the violations and, with respect
cable television operator, or an appli- to the violator, the degree of culpa-
cant for any broadcast or cable tele- bility, any history of prior offenses,
vision operator license, permit, certifi- ability to pay, and such other matters
cate, or other instrument of authoriza-
as justice may require.
tion issued by the Commission, except
as otherwise noted in this paragraph, NOTE TO PARAGRAPH (b)(4):
115
§ 1.80 47 CFR Ch. I (10–1–02 Edition)
GUIDELINES FOR ASSESSING FORFEITURES Violations Unique to the Service
The Commission and its staff may use Violation Services affected Amount
these guidelines in particular cases. The
Commission and its staff retain the discre- Unauthorized conver- Common Carrier ........... $40,000
tion to issue a higher or lower forfeiture sion of long distance
telephone service.
than provided in the guidelines, to issue no
Violation of operator Common Carrier ........... 7,000
forfeiture at all, or to apply alternative or services requirements.
additional sanctions as permitted by the Violation of pay-per-call Common Carrier ........... 7,000
statute. The forfeiture ceiling per violation requirements.
or per day for a continuing violation stated Failure to implement Cable ............................ 7,500
in Section 503 of the Communications Act rate reduction or re-
and the Commission’s Rules are described in fund order.
§ 1.80(b)(5)(iii). These statutory maxima are Violation of cable pro- Cable ............................ 7,500
gram access rules.
effective November 13, 2000. Forfeitures Violation of cable Cable ............................ 7,500
issued under other sections of the Act are leased access rules.
dealt with separately in Section III of this Violation of cable cross- Cable ............................ 7,500
note. ownership rules.
Violation of cable broad- Cable ............................ 7,500
Section I.—Base Amounts for Section 503 cast carriage rules.
Forfeitures Violation of pole attach- Cable ............................ 7,500
ment rules.
Violation Failure to maintain di- Broadcast ..................... 7,000
Forfeitures rectional pattern with-
Amount
in prescribed param-
Misrepresentation/lack of candor ............................ (1) eters.
Construction and/or operation without an instru- Violation of main studio Broadcast ..................... 7,000
ment of authorization for the service ................... $10,000 rule.
Failure to comply with prescribed lighting and/or Violation of broadcast Broadcast ..................... 7,000
marking ................................................................ 10,000 hoax rule.
Violation of public file rules ..................................... 10,000 AM tower fencing .......... Broadcast ..................... 7,000
Broadcasting telephone Broadcast ..................... 4,000
Violation of political rules: reasonable access, low-
conversations without
est unit charge, equal opportunity, and discrimi-
authorization.
nation ................................................................... 9,000
Violation of enhanced Broadcast ..................... 2,000
Unauthorized substantial transfer of control ........... 8,000 underwriting require-
Violation of children’s television commercialization ments.
or programming requirements ............................. 8,000
Violations of rules relating to distress and safety
frequencies ........................................................... 8,000 Section II. Adjustment Criteria for Section 503
False distress communications ............................... 8,000 Forfeitures
EAS equipment not installed or operational ............ 8,000
Alien ownership violation ......................................... 8,000 Upward Adjustment Criteria
Failure to permit inspection ..................................... 7,000 (1) Egregious misconduct.
Transmission of indecent/obscene materials .......... 7,000 (2) Ability to pay/relative disincentive.
Interference .............................................................. 7,000
(3) Intentional violation.
Importation or marketing of unauthorized equip-
ment ..................................................................... 7,000
(4) Substantial harm.
Exceeding of authorized antenna height ................. 5,000
(5) Prior violations of any FCC require-
Fraud by wire, radio or television ............................ 5,000 ments.
Unauthorized discontinuance of service ................. 5,000 (6) Substantial economic gain.
Use of unauthorized equipment .............................. 5,000 (7) Repeated or continuous violation.
Exceeding power limits ............................................ 4,000
Failure to respond to Commission communications 4,000
Downward Adjustment Criteria
Violation of sponsorship ID requirements ............... 4,000 (1) Minor violation.
Unauthorized emissions .......................................... 4,000 (2) Good faith or voluntary disclosure.
Using unauthorized frequency ................................. 4,000 (3) History of overall compliance.
Failure to engage in required frequency coordina- (4) Inability to pay.
tion ....................................................................... 4,000
Construction or operation at unauthorized location 4,000 Section III. Non-Section 503 Forfeitures That
Violation of requirements pertaining to broad- Are Affected by the Downward Adjustment
casting of lotteries or contests ............................. 4,000
Factors
Violation of transmitter control and metering re-
quirements ........................................................... 3,000 Unlike Section 503 of the Act, which estab-
Failure to file required forms or information ............ 3,000 lishes maximum forfeiture amounts, other
Failure to make required measurements or con- sections of the Act, with one exception, state
duct required monitoring ...................................... 2,000 prescribed amounts of forfeitures for viola-
Failure to provide station ID .................................... 1,000 tions of the relevant section. These amounts
Unauthorized pro forma transfer of control ............. 1,000
are then subject to mitigation or remission
Failure to maintain required records ....................... 1,000
under Section 504 of the Act. The one excep-
1 Statutory Maximum for each Service. tion is Section 223 of the Act, which provides
116
a maximum forfeiture per day. For conven- (A) Round increase to the nearest
ience, the Commission will treat this multiple of $10 if the penalty is from $0
amount as if it were a prescribed base to $100;
amount, subject to downward adjustments.
(B) Round increase to the nearest
The following amounts are adjusted for infla-
tion pursuant to the Debt Collection Im-
multiple of $100 if the penalty is from
provement Act of 1996 (DCIA), 28 U.S.C. 2461. $101 to $1,000;
These non-Section 503 forfeitures may be ad- (C) Round increase to the nearest
justed downward using the ‘‘Downward Ad- multiple of $1,000 if the penalty is from
justment Criteria’’ shown for Section 503 for- $1,001 to $10,000;
feitures in Section II of this note. (D) Round increase to the nearest
multiple of $5,000 if the penalty is from
Statutory
Violation amount ($) $10,001 to $100,000;
(E) Round increase to the nearest
Sec. 202(c) Common Carrier Discrimination ...... 7,600 330/ multiple of $10,000 if the penalty is
day.
Sec. 203(e) Common Carrier Tariffs ................... 7,600 330/ from $100,001 to $200,000; or
day. (F) Round increase to the nearest
Sec. 205(b) Common Carrier Prescriptions ........ 13,200. multiple of $25,000 if the penalty is over
Sec. 214(d) Common Carrier Line Extensions ... 1,200/day. $200,001.
Sec. 219(b) Common Carrier Reports ................ 1,200.
Sec. 220(d) Common Carrier Records & Ac- 7,600/day. (iii) The application of the inflation
counts. adjustments required by the DCIA, 28
Sec. 223(b) Dial-a-Porn ....................................... 60,000 U.S.C. 2461, results in the following ad-
max- justed statutory maximum forfeitures
imum/
day. authorized by the Communications
Sec. 364(a) Ship Station Inspection .................... 5,500 Act:
(owner).
Sec. 364(b) Ship Station Inspection .................... 1,100 Maximum
(vessel penalty after
U.S. Code citation
master). DCIA
adjustment
Sec. 386(a) Forfeitures ........................................ 5,500/day
(owner). 47 U.S.C. 202(c) ................................................ $7,600
Sec. 386(b) Forfeitures ........................................ 1,100 330
(vessel 47 U.S.C 203(e) ................................................ 7,600
master). 330
Sec. 634 Cable EEO ........................................... 500/day. 47 U.S.C. 205(b) ............................................... 13,200
47 U.S.C. 214(d) ............................................... 1,200
47 U.S.C. 219(b) ............................................... 1,200
(5) Inflation adjustments to the max- 47 U.S.C. 220(d) ............................................... 7,600
imum forfeiture amount. (i) Pursuant to 47 U.S.C. 223(b) ............................................... 60,000
47 U.S.C. 362(a) ............................................... 5,500
the Debt Collection Improvement Act 47 U.S.C. 362(b) ............................................... 1,100
of 1996, Public Law 104–134 (110 Stat. 47 U.S.C. 386(a) ............................................... 5,500
1321–358), which amends the Federal 47 U.S.C. 386(b) ............................................... 1,100
47 U.S.C. 503(b)(2)(A) ...................................... 27,500
Civil Monetary Penalty Inflation Ad- 300,000
justment Act of 1990, Public Law 101– 47 U.S.C. 503(b)(2)(B) ...................................... 120,000
410 (104 Stat. 890; 28 U.S.C. 2461 note), 1,200,000
47 U.S.C. 503(b)(2)(C) ...................................... 11,000
the statutory maximum amount of a 87,500
forfeiture penalty assessed under this 47 U.S.C. 507(a) ............................................... 550
section shall be adjusted for inflation 47 U.S.C. 507(b) ............................................... 110
at least once every four years using the 47 U.S.C. 554 .................................................... 500
following formula. First, obtain the in-
NOTE TO PARAGRAPH (b)(5): Pursuant to
flation factor by dividing the CPI for Public Law 104–134, the first inflation adjust-
June of the preceding year by the CPI ment cannot exceed 10 percent of the statu-
for June of the year the forfeiture was tory maximum amount.
last set or adjusted. Then, multiply the (c) Limits on the time when a pro-
inflation factor by the statutory max- ceeding may be initiated. (1) In the case
imum amount. Round off this result of a broadcast station, no forfeiture
using the rules in paragraph (b)(5)(ii) of penalty shall be imposed if the viola-
this section. Add the rounded result to tion occurred more than 1 year prior to
the statutory maximum forfeiture pen- the issuance of the appropriate notice
alty amount. The sum is the statutory or prior to the date of commencement
maximum amount, adjusted for infla- of the current license term, whichever
tion. is earlier. For purposes of this para-
(ii) The rounding rules are as follows: graph, ‘‘date of commencement of the
117
§ 1.80 47 CFR Ch. I (10–1–02 Edition)
current license term’’ means the date tation without issuance of an addi-
of commencement of the last term of tional citation.
license for which the licensee has been (e) Alternative procedures. In the dis-
granted a license by the Commission. A cretion of the Commission, a forfeiture
separate license term shall not be proceeding may be initiated either: (1)
deemed to have commenced as a result By issuing a notice of apparent liabil-
of continuing a license in effect under ity, in accordance with paragraph (f) of
section 307(c) pending decision on an this section, or (2) a notice of oppor-
application for renewal of the license. tunity for hearing, in accordance with
(2) In the case of a forfeiture imposed paragraph (g).
against a carrier under sections 202(c), (f) Notice of apparent liability. Before
203(e), and 220(d), no forfeiture will be imposing a forfeiture penalty under the
imposed if the violation occurred more provisions of this paragraph, the Com-
than 5 years prior to the issuance of a mission or its designee will issue a
notice of apparent liability. written notice of apparent liability.
(3) In all other cases, no penalty shall (1) Content of notice. The notice of ap-
be imposed if the violation occurred parent liability will:
more than 1 year prior to the date on
(i) Identify each specific provision,
which the appropriate notice is issued.
term, or condition of any act, rule, reg-
(d) Preliminary procedure in some cases;
ulation, order, treaty, convention, or
citations. No forfeiture penalty shall be
other agreement, license, permit, cer-
imposed upon any person under this
tificate, or instrument of authorization
section, if such person does not hold a
which the respondent has apparently
license, permit, certificate, or other
violated or with which he has failed to
authorization issued by the Commis-
comply,
sion, and if such person is not an appli-
(ii) Set forth the nature of the act or
cant for a license, permit, certificate,
omission charged against the respond-
or other authorization issued by the
ent and the facts upon which such
Commission, unless, prior to the
charge is based,
issuance of the appropriate notice,
such person: (1) Is sent a citation recit- (iii) State the date(s) on which such
ing the violation charged; (2) is given a conduct occurred, and
reasonable opportunity (usually 30 (iv) Specify the amount of the appar-
days) to request a personal interview ent forfeiture penalty.
with a Commission official, at the field (2) Delivery. The notice of apparent li-
office which is nearest to such person’s ability will be sent to the respondent,
place of residence; and (3) subsequently by certified mail, at his last known ad-
engages in conduct of the type de- dress (see § 1.5).
scribed in the citation. However, a for- (3) Response. The respondent will be
feiture penalty may be imposed, if such afforded a reasonable period of time
person is engaged in (and the violation (usually 30 days from the date of the
relates to) activities for which a li- notice) to show, in writing, why a for-
cense, permit, certificate, or other au- feiture penalty should not be imposed
thorization is required or if such per- or should be reduced, or to pay the for-
son is a cable television operator, or in feiture. Any showing as to why the for-
the case of violations of section 303(q), feiture should not be imposed or should
if the person involved is a nonlicensee be reduced shall include a detailed fac-
tower owner who has previously re- tual statement and such documenta-
ceived notice of the obligations im- tion and affidavits as may be pertinent.
posed by section 303(q) from the Com- (4) Forfeiture order. If the proposed
mission or the permittee or licensee forfeiture penalty is not paid in full in
who uses that tower. Paragraph (c) of response to the notice of apparent li-
this section does not limit the issuance ability, the Commission, upon consid-
of citations. When the requirements of ering all relevant information avail-
this paragraph have been satisfied with able to it, will issue an order canceling
respect to a particular violation by a or reducing the proposed forfeiture or
particular person, a forfeiture penalty requiring that it be paid in full and
may be imposed upon such person for stating the date by which the for-
conduct of the type described in the ci- feiture must be paid.
118
(5) Judicial enforcement of forfeiture sion so proceeds, it will provide the ap-
order. If the forfeiture is not paid, the plicant with a reasonable opportunity
case will be referred to the Department to respond to the forfeiture issue (see
of Justice for collection under section paragraph (f)(3) of this section) and
504(a) of the Communications Act. make a determination under the proce-
(g) Notice of opportunity for hearing. dures outlined in paragraph (f) of this
The procedures set out in this para- section.
graph will ordinarily be followed only (h) Payment. The forfeiture should be
when a hearing is being held for some paid by check or money order drawn to
reason other than the assessment of a the order of the Federal Communica-
forfeiture (such as, to determine tions Commission. The Commission
whether a renewal application should does not accept responsibility for cash
be granted) and a forfeiture is to be payments sent through the mails. The
considered as an alternative or in addi- check or money order should be mailed
tion to any other Commission action. to: Federal Communications Commis-
However, these procedures may be fol- sion, P.O. Box 73482, Chicago, Illinois
lowed whenever the Commission, in its 60673–7482.
discretion, determines that they will (i) Remission and mitigation. In its dis-
better serve the ends of justice. cretion, the Commission, or its des-
(1) Before imposing a forfeiture pen- ignee, may remit or reduce any for-
alty under the provisions of this para- feiture imposed under this section.
graph, the Commission will issue a no- After issuance of a forfeiture order,
tice of opportunity for hearing. The any request that it do so shall be sub-
hearing will be a full evidentiary hear- mitted as a petition for reconsideration
ing before an administrative law judge, pursuant to § 1.106.
conducted under procedures set out in (j) Effective date. Amendments to
subpart B of this part, including proce- paragraph (b) of this section imple-
dures for appeal and review of initial menting Pub. L. No. 101–239 are effec-
decisions. A final Commission order as- tive December 19, 1989.
sessing a forfeiture under the provi-
sions of this paragraph is subject to ju-
FR 15631, Apr. 12, 1983; 50 FR 40855, Oct. 7,
dicial review under section 402(a) of the 1985; 55 FR 25605, June 22, 1990; 56 FR 25638,
Communications Act. June 5, 1991; 57 FR 23161, June 2, 1992; 57 FR
(2) If, after a forfeiture penalty is im- 47006, Oct. 14, 1992; 57 FR 48333, Oct. 23, 1992;
posed and not appealed or after a court 58 FR 6896, Feb. 3, 1993; 58 FR 27473, May 10,
enters final judgment in favor of the 1993; 62 FR 4918, Feb. 3, 1997; 62 FR 43475, Aug.
Commission, the forfeiture is not paid, 14, 1997; 63 FR 26992, May 15, 1998; 65 FR 60868,
the Commission will refer the matter Oct. 13, 2000]
to the Department of Justice for col-
§ 1.83 Applications for radio operator
lection. In an action to recover the for- licenses.
feiture, the validity and appropriate-
ness of the order imposing the for- (a) Application filing procedures for
feiture are not subject to review. amateur radio operator licenses are set
(3) Where the possible assessment of forth in part 97 of this chapter.
a forfeiture is an issue in a hearing (b) Application filing procedures for
case to determine which pending appli- commercial radio operator licenses are
cation should be granted, and the ap- set forth in part 13 of this chapter. De-
plicant facing a potential forfeiture is tailed information about application
dismissed pursuant to a settlement forms, filing procedures, and where to
agreement or otherwise, and the pre- file applications for commercial radio
siding judge has not made a determina- operator licenses is contained in the
tion on the forfeiture issue, the order bulletin ‘‘Commercial Radio Operator
of dismissal shall be forwarded to the Licenses and Permits.’’ This bulletin is
attention of the full Commission. available from the Commission’s
Within the time provided by § 1.117, the Forms Distribution Center by calling
Commission may, on its own motion, 1–800–418-FORM (3676).
proceed with a determination of wheth- [47 FR 53378, Nov. 26, 1982, as amended at 58
er a forfeiture against the dismissing FR 13021, Mar. 9, 1993; 63 FR 68920, Dec. 14,
applicant is warranted. If the Commis- 1998]
119
§ 1.85 47 CFR Ch. I (10–1–02 Edition)
§ 1.85 Suspension of operator licenses. reasons therefor, and afford the li-
censee or permittee at least thirty
Whenever grounds exist for suspen-
days to protest such proposed order of
sion of an operator license, as provided
modification, except that, where safety
in § 303(m) of the Communications Act,
of life or property is involved, the Com-
the Chief of the Wireless Telecommuni-
cations Bureau, with respect to ama- mission may by order provide a shorter
teur and commercial radio operator li- period of time.
censes, may issue an order suspending (b) The notification required in para-
the operator license. No order of sus- graph (a) of this section may be effec-
pension of any operator’s license shall tuated by a notice of proposed rule
take effect until 15 days’ notice in making in regard to a modification or
writing of the cause for the proposed addition of an FM or television channel
suspension has been given to the oper- to the Table of Allotments (§§ 73.202 and
ator licensee, who may make written 73.504) or Table of Assignments
application to the Commission at any (§ 73.606). The Commission shall send a
time within the said 15 days for a hear- copy of any such notice of proposed
ing upon such order. The notice to the rule making to the affected licensee or
operator licensee shall not be effective permittee by certified mail, return re-
until actually received by him, and ceipt requested.
from that time he shall have 15 days in (c) Any other licensee or permittee
which to mail the said application. In who believes that its license or permit
the event that physical conditions pre- would be modified by the proposed ac-
vent mailing of the application before tion may also protest the proposed ac-
the expiration of the 15-day period, the tion before its effective date.
application shall then be mailed as (d) Any protest filed pursuant to this
soon as possible thereafter, accom- section shall be subject to the require-
panied by a satisfactory explanation of ments of section 309 of the Communica-
the delay. Upon receipt by the Commis- tions Act of 1934, as amended, for peti-
sion of such application for hearing, tions to deny.
said order of suspension shall be des- (e) In any case where a hearing is
ignated for hearing by the Chief, Wire- conducted pursuant to the provisions
less Telecommunications Bureau and of this section, both the burden of pro-
said suspension shall be held in abey- ceeding with the introduction of evi-
ance until the conclusion of the hear- dence and the burden of proof shall be
ing. Upon the conclusion of said hear- upon the Commission except that, with
ing, the Commission may affirm, mod- respect to any issue that pertains to
ify, or revoke said order of suspension. the question of whether the proposed
If the license is ordered suspended, the action would modify the license or per-
operator shall send his operator license mit of a person filing a protest pursu-
to the Licensing and Technical Anal- ant to paragraph (c) of this section,
ysis Branch, Public Safety and Private such burdens shall be as described by
Wireless Division, Wireless Tele- the Commission.
communications Bureau, in Wash- (f) In order to utilize the right to a
ington, DC, on or before the effective hearing and the opportunity to appear
date of the order, or, if the effective and give evidence upon the issues spec-
date has passed at the time notice is ified in any hearing order, the licensee
received, the license shall be sent to or permittee, in person or by attorney,
the Commission forthwith. shall, within the period of time as may
[63 FR 68920, Dec. 14, 1998] be specified in the hearing order, file
with the Commission a written state-
§ 1.87 Modification of license or con- ment stating that he or she will appear
struction permit on motion of the at the hearing and present evidence on
Commission. the matters specified in the hearing
(a) Whenever it appears that a sta- order.
tion license or construction permit (g) The right to file a protest or have
should be modified, the Commission a hearing shall, unless good cause is
shall notify the licensee or permittee shown in a petition to be filed not later
in writing of the proposed action and than 5 days before the lapse of time
120
specified in paragraph (a) or (f) of this ex parte rules to situations described in

section, be deemed waived: § 1.1203 of these rules.
(1) In case of failure to timely file the
protest as required by paragraph (a) of 1082, 1083; (47 U.S.C. 154, 303, 307))
this section or a written statement as
required by paragraph (f) of this sec- [45 FR 65597, Oct. 3, 1980]
tion.
(2) In case of filing a written state- § 1.89 Notice of violations.
ment provided for in paragraph (f) of (a) Except in cases of willfulness or
this section but failing to appear at the those in which public health, interest,
hearing, either in person or by counsel. or safety requires otherwise, any per-
(h) Where the right to file a protest son who holds a license, permit or
or have a hearing is waived, the li- other authorization appearing to have
censee or permittee will be deemed to violated any provision of the Commu-
have consented to the modification as nications Act or any provision of this
proposed and a final decision may be chapter will, before revocation, suspen-
issued by the Commission accordingly. sion, or cease and desist proceedings
Irrespective of any waiver as provided are instituted, be served with a written
for in paragraph (g) of this section or notice calling these facts to his or her
failure by the licensee or permittee to attention and requesting a statement
raise a substantial and material ques- concerning the matter. FCC Form 793
tion of fact concerning the proposed may be used for this purpose. The No-
modification in his protest, the Com- tice of Violation may be combined with
mission may, on its own motion, des- a Notice of Apparent Liability to Mon-
ignate the proposed modification for etary Forfeiture. In such event, not-
hearing in accordance with this sec- withstanding the Notice of Violation,
tion. the provisions of § 1.80 apply and not
(i) Any order of modification issued those of § 1.89.
pursuant to this section shall include a (b) Within 10 days from receipt of no-
statement of the findings and the tice or such other period as may be
grounds and reasons therefor, shall specified, the recipient shall send a
specify the effective date of the modi- written answer, in duplicate, directly
fication, and shall be served on the li- to the Commission office originating
censee or permittee. the official notice. If an answer cannot
[52 FR 22654, June 15, 1987] be sent or an acknowledgment cannot
be made within such 10-day period by
§ 1.88 Predesignation pleading proce- reason of illness or other unavoidable
dure. circumstance, acknowledgment and an-
In cases where an investigation is swer shall be made at the earliest prac-
being conducted by the Commission in ticable date with a satisfactory expla-
connection with the operation of a nation of the delay.
broadcast station or a pending applica- (c) The answer to each notice shall be
tion for renewal of a broadcast license, complete in itself and shall not be ab-
the licensee may file a written state- breviated by reference to other com-
ment to the Commission setting forth munications or answers to other no-
its views regarding the matters under tices. In every instance the answer
investigation; the staff, in its discre- shall contain a statement of action
tion, may in writing, advise such li- taken to correct the condition or omis-
censee of the general nature of the in- sion complained of and to preclude its
vestigation, and advise the licensee of recurrence. In addition:
its opportunity to submit such a state- (1) If the notice relates to violations
ment to the staff. Any filing by the li- that may be due to the physical or
censee will be forwarded to the Com- electrical characteristics of transmit-
mission in conjunction with any staff ting apparatus and any new apparatus
memorandum recommending that the is to be installed, the answer shall
Commission take action as a result of state the date such apparatus was or-
the invesigation. Nothing in this rule dered, the name of the manufacturer,
shall supersede the application of our and the promised date of delivery. If
121
§ 1.91 47 CFR Ch. I (10–1–02 Edition)
the installation of such apparatus re- particularity the facts and reasons re-
quires a construction permit, the file lied on to justify such late filing. Such
number of the application shall be petition for acceptance of late appear-
given, or if a file number has not been ance will be granted only if the Com-
assigned by the Commission, such iden- mission determines that the facts and
tification shall be given as will permit reasons stated therein constitute good
ready identification of the application. cause for failure to file on time.
(2) If the notice of violation relates (d) Hearings on the matters specified
to lack of attention to or improper opin such orders to show cause shall ac-
eration of the transmitter, the name cord with the practice and procedure
and license number of the operator in prescribed in this subpart and subpart
charge (where applicable) shall be B of this part, with the following ex-
given. ceptions: (1) In all such revocation and/
[48 FR 24890, June 3, 1983] or cease and desist hearings, the bur-
den of proceeding with the introduc-
§ 1.91 Revocation and/or cease and de- tion of evidence and the burden of
sist proceedings; hearings. proof shall be upon the Commission;
(a) If it appears that a station license and (2) the Commission may specify in
or construction permit should be re- a show cause order, when the cir-
voked and/or that a cease and desist cumstances of the proceeding require
order should be issued, the Commission expedition, a time less than that pre-
will issue an order directing the person scribed in §§ 1.276 and 1.277 within which
to show cause why an order of revoca- the initial decision in the proceeding
tion and/or a cease and desist order, as shall become effective, exceptions to
the facts may warrant, should not be such initial decision must be filed, par-
issued. ties must file requests for oral argu-
(b) An order to show cause why an ment, and parties must file notice of
order of revocation and/or a cease and intention to participate in oral argu-
desist order should not be issued will ment.
contain a statement of the matters (e) Correction of or promise to cor-
with respect to which the Commission rect the conditions or matters com-
is inquiring and will call upon the per- plained of in a show cause order shall
son to whom it is directed (the re- not preclude the issuance of a cease
spondent) to appear before the Com- and desist order. Corrections or prom-
mission at a hearing, at a time and ises to correct the conditions or mat-
place stated in the order, but not less ters complained of, and the past record
than thirty days after the receipt of of the licensee, may, however, be con-
such order, and given evidence upon sidered in determining whether a rev-
the matters specified in the order to ocation and/or a cease and desist order
show cause. However, if safety of life or should be issued.
property is involved, the order to show (f) Any order of revocation and/or
cause may specify a hearing date less cease and desist order issued after
than thirty days from the receipt of hearing pursuant to this section shall
such order. include a statement of findings and the
(c) To avail himself of such oppor- grounds therefor, shall specify the ef-
tunity for hearing, the respondent, per- fective date of the order, and shall be
sonally or by his attorney, shall file served on the person to whom such
with the Commission, within thirty order is directed.
days of the service of the order or such (Sec. 312, 48 Stat. 1086, as amended; 47 U.S.C.
shorter period as may be specified 312)
therein, a written appearance stating
that he will appear at the hearing and § 1.92 Revocation and/or cease and de-
present evidence on the matters speci- sist proceedings; after waiver of
fied in the order. The Commission in hearing.
its discretion may accept a late ap- (a) After the issuance of an order to
pearance. However, an appearance ten- show cause, pursuant to § 1.91, calling
dered after the specified time has ex- upon a person to appear at a hearing
pired will not be accepted unless ac- before the Commission, the occurrence
companied by a petition stating with of any one of the following events or
122
circumstances will constitute a waiver act upon the matters specified in the
of such hearing and the proceeding order to show cause in the regular
thereafter will be conducted in accord- course of business. The Commission
ance with the provisions of this sec- will determine on the basis of all the
tion. information available to it from any
(1) The respondent fails to file a source, including such further pro-
timely written appearance as pre- ceedings as may be warranted, if a rev-
scribed in § 1.91(c) indicating that he ocation order and/or a cease and desist
will appear at a hearing and present order should issue, and if so, will issue
evidence on the matters specified in such order. Otherwise, the Commission
the order. will issue an order dismissing the pro-
(2) The respondent, having filed a ceeding. All orders specified in this
timely written appearance as pre- paragraph will include a statement of
scribed in § 1.91(c), fails in fact to ap- the findings of the Commission and the
pear in person or by his attorney at the grounds and reasons therefor, will
time and place of the duly scheduled specify the effective date thereof, and
hearing. will be served upon the respondent.
(3) The respondent files with the (e) Corrections or promise to correct
Commission, within the time specified the conditions or matters complained
for a written appearance in § 1.91(c), a of in a show cause order shall not pre-
written statement expressly waiving clude the issuance of a cease and desist
his rights to a hearing. order. Corrections or promises to cor-
(b) When a hearing is waived under rect the conditions or matters com-
the provisions of paragraph (a) (1) or (3) plained of, and the past record of the li-
of this section, a written statement censee, may, however, be considered in
signed by the respondent denying or determining whether a revocation and/
seeking to mitigate or justify the cir- or a cease and desist order should be
cumstances or conduct complained of issued.
in the order to show cause may be sub-
(Sec. 312, 48 Stat. 1086, as amended; 47 U.S.C.
mitted within the time specified in
312)
§ 1.91(c). The Commission in its discre-
tion may accept a late statement. How- [28 FR 12415, Nov. 22, 1963, as amended at 29
ever, a statement tendered after the FR 6443, May 16, 1964; 37 FR 19372, Sept. 20,
specified time has expired will not be 1972]
accepted unless accompanied by a peti-
§ 1.93 Consent orders.
tion stating with particularity the
facts and reasons relied on to justify (a) As used in this subpart, a
such late filing. Such petitions for ac- ‘‘consent order’’ is a formal decree ac-
ceptance of a late statement will be cepting an agreement between a party
granted only if the Commission deter- to an adjudicatory hearing proceeding
mines that the facts and reasons stated held to determine whether that party
therein constitute good cause for fail- has violated statutes or Commission
ure to file on time. rules or policies and the appropriate
(c) Whenever a hearing is waived by operating Bureau, with regard to such
the occurrence of any of the events or party’s future compliance with such
circumstances listed in paragraph (a) statutes, rules or policies, and dis-
of this section, the Chief Administra- posing of all issues on which the pro-
tive Law Judge (or the presiding officer ceeding was designated for hearing.
if one has been designated) shall, at the The order is issued by the officer des-
earliest practicable date, issue an order ignated to preside at the hearing or (if
reciting the events or circumstances no officer has been designated) by the
constituting a waiver of hearing, ter- Chief Administrative Law Judge.
minating the hearing proceeding, and (b) Where the interests of timely en-
certifying the case to the Commission. forcement or compliance, the nature of
Such order shall be served upon the re- the proceeding, and the public interest
spondent. permit, the Commission, by its oper-
(d) After a hearing proceeding has ating Bureaus, may negotiate a con-
been terminated pursuant to paragraph sent order with a party to secure future
(c) of this section, the Commission will compliance with the law in exchange
123
§ 1.94 47 CFR Ch. I (10–1–02 Edition)
for prompt disposition of a matter sub- tion of law, rules or policy (see 18
ject to administrative adjudicative U.S.C. 6002); and
proceedings. Consent orders may not be (7) A draft order for signature of the
negotiated with respect to matters presiding officer resolving by consent,
which involve a party’s basic statutory and for the future, all issues specified
qualifications to hold a license (see 47 in the designation order.
U.S.C. 308 and 309). (d) If agreement is reached, it shall
[41 FR 14871, Apr. 8, 1976] be submitted to the presiding officer or
Chief Administrative Law Judge, as
§ 1.94 Consent order procedures. the case may be, who shall either sign
(a) Negotiations leading to a consent the order, reject the agreement, or sug-
order may be initiated by the operating gest to the parties that negotiations
Bureau or by a party whose possible continue on such portion of the agree-
violations are issues in the proceeding. ment as he considers unsatisfactory or
Negotiations may be initiated at any on matters not reached in the agree-
time after designation of a proceeding ment. If he rejects the agreement, the
for hearing. If negotiations are initi- hearing shall proceed. If he suggests
ated the presiding officer shall be noti- further negotiations, the hearing will
fied. Parties shall be prepared at the proceed or negotiations will continue,
initial prehearing conference to state depending on the wishes of parties to
whether they are at that time willing the agreement. If he signs the consent
to enter negotiations. See § 1.248(c)(7). order, he shall close the record.
If either party is unwilling to enter ne- (e) Any party to the proceeding who
gotiations, the hearing proceeding has not joined in any agreement which
shall proceed. If the parties agree to is reached may appeal the consent
enter negotiations, they will be af- order under § 1.302, and the Commission
forded an appropriate opportunity to may review the agreement on its own
negotiate before the hearing is com- motion under the provisions of that
menced. section. If the Commission rejects the
(b) Other parties to the proceeding consent order, the proceeding will be
are entitled, but are not required, to remanded for further proceedings. If
participate in the negotiations, and
the Commission does not reject the
may join in any agreement which is
consent order, it shall be entered in the
reached.
record as a final order and is subject to
(c) Every agreement shall contain
judicial review on the initiative only of
the following:
parties to the proceeding who did not
(1) An admission of all jurisdictional
join in the agreement. The Commission
facts;
may revise the agreement and consent
(2) A waiver of the usual procedures
for preparation and review of an initial order. In that event, private parties to
decision; the agreement may either accept the
(3) A waiver of the right of judicial revision or withdraw from the agree-
review or otherwise to challenge or ment. If the party whose possible viola-
contest the validity of the consent tions are issues in the proceeding with-
order; draws from the agreement, the consent
(4) A statement that the designation order will not be issued or made a part
order may be used in construing the of the record, and the proceeding will
consent order; be remanded for further proceedings.
(5) A statement that the agreement (f) The provisions of this section
shall become a part of the record of the shall not alter any existing procedure
proceeding only if the consent order is for informal settlement of any matter
signed by the presiding officer and the prior to designation for hearing (see,
time for review has passed without re- e.g., 47 U.S.C. 208) or for summary deci-
jection of the order by the Commission; sion after designation for hearing.
(6) A statement that the agreement (g) Consent orders, pleadings relating
is for purposes of settlement only and thereto, and Commission orders with
that its signing does not constitute an respect thereto shall be served on par-
admission by any party of any viola- ties to the proceeding. Public notice
124
will be given of orders issued by an ad- any person, panel, or board which has
ministrative law judge, the Chief Ad- been authorized by rule or order to ex-
ministrative Law Judge, or the Com- ercise authority under section 5(c) of
mission. Negotiating papers constitute the Communications Act.
work product, are available to parties
participating in negotiations, but are [28 FR 12415, Nov. 22, 1963, as amended at 62
FR 4170, Jan. 29, 1997]
not routinely available for public in-
spection.
§ 1.102 Effective dates of actions taken
[41 FR 14871, Apr. 8, 1976] pursuant to delegated authority.
(a) Final actions following review of an
§ 1.95 Violation of consent orders.
initial decision. (1) Final decisions of a
Violation of a consent order shall commissioner, or panel of commis-
subject the consenting party to any sioners following review of an initial
and all sanctions which could have decision shall be effective 40 days after
been imposed in the proceeding result- public release of the full text of such
ing in the consent order if all of the final decision.
issues in that proceeding had been de-
(2) If a petition for reconsideration of
cided against the consenting party and
such final decision is filed, the effect of
to any further sanctions for violation
the decision is stayed until 40 days
noted as agreed upon in the consent
order. The Commission shall have the after release of the final order dis-
burden of showing that the consent posing of the petition.
order has been violated in some (but (3) If an application for review of
not in every) respect. Violation of the such final decision is filed, or if the
consent order and the sanctions to be Commission on its own motion orders
imposed shall be the only issues consid- the record of the proceeding before it
ered in a proceeding concerning such for review, the effect of the decision is
an alleged violation. stayed until the Commission’s review
of the proceeding has been completed.
[41 FR 14871, Apr. 8, 1976]
(b) Non-hearing and interlocutory ac-
RECONSIDERATION AND REVIEW OF AC- tions. (1) Non-hearing or interlocutory
TIONS TAKEN BY THE COMMISSION AND actions taken pursuant to delegated
PURSUANT TO DELEGATED AUTHORITY; authority shall, unless otherwise or-
EFFECTIVE DATES AND FINALITY dered by the designated authority, be
DATES OF ACTIONS effective upon release of the document
containing the full text of such action,
§ 1.101 General provisions. or in the event such a document is not
Under section 5(c) of the Communica- released, upon release of a public no-
tions Act of 1934, as amended, the Com- tice announcing the action in question.
mission is authorized, by rule or order, (2) If a petition for reconsideration of
to delegate certain of its functions to a a non-hearing action is filed, the des-
panel of commissioners, an individual ignated authority may in its discretion
commissioner, an employee board, or stay the effect of its action pending
an individual employee. Section disposition of the petition for reconsid-
0.201(a) of this chapter describes in generation. Petitions for reconsideration
eral terms the basic categories of dele- of interlocutory actions will not be en-
gations which are made by the Com- tertained.
mission. Subpart B of part 0 of this (3) If an application for review of a
chapter sets forth all delegations which non-hearing or interlocutory action is
have been made by rule. Sections 1.102 filed, or if the Commission reviews the
through 1.120 set forth procedural rules action on its own motion, the Commis-
governing reconsideration and review
sion may in its discretion stay the ef-
of actions taken pursuant to authority
fect of any such action until its review
delegated under section 5(c) of the
of the matters at issue has been com-
Communications Act, and reconsider-
pleted.
ation of actions taken by the Commis-
sion. As used in §§ 1.102 through 1.117, [28 FR 12415, Nov. 22, 1963, as amended at 62
the term designated authority means FR 4170, Jan. 29, 1997]
125
§ 1.103 47 CFR Ch. I (10–1–02 Edition)
§ 1.103 Effective dates of Commission The application for review will in all
actions; finality of Commission ac- cases be acted upon by the Commis-
tions. sion.
(a) Unless otherwise specified by law NOTE: In those cases where the Commission
or Commission rule (e.g. §§ 1.102 and does not intend to release a document con-
1.427), the effective date of any Com- taining the full text of its action, it will
mission action shall be the date of pub- state that fact in the public notice announc-
lic notice of such action as that latter ing its action.
date is defined in § 1.4(b) of these rules: (c) If in any matter one party files a
Provided, That the Commission may, on petition for reconsideration and a sec-
its own motion or on motion by any ond party files an application for re-
party, designate an effective date that view, the Commission will withhold ac-
is either earlier or later in time than tion on the application for review until
the date of public notice of such action. final action has been taken on the peti-
The designation of an earlier or later tion for reconsideration.
effective date shall have no effect on (d) Any person who has filed a peti-
any pleading periods. tion for reconsideration may file an ap-
(b) Notwithstanding any determina- plication for review within 30 days
tions made under paragraph (a) of this from the date of public notice of such
section, Commission action shall be action, as that date is defined in § 1.4(b)
deemed final, for purposes of seeking of these rules. If a petition for recon-
reconsideration at the Commission or sideration has been filed, any person
judicial review, on the date of public who has filed an application for review
notice as defined in § 1.4(b) of these may: (1) Withdraw his application for
rules. review, or (2) substitute an amended
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, application therefor.
1082, 1083; 47 U.S.C. 154, 303, 307) NOTE: In those cases where the Commission
[46 FR 18556, Mar. 25, 1981] does not intend to release a document con-
taining the full text of its action, it will
§ 1.104 Preserving the right of review; state that fact in the public notice announc-
deferred consideration of applica- ing its action.
tion for review. (Secs. 4, 303, 307, 48 Stat., as amended, 1066,
(a) The provisions of this section 1082, 1083; 47 U.S.C. 154, 303, 307)
apply to all final actions taken pursu- [28 FR 12415, Nov. 22, 1963, as amended at 41
ant to delegated authority, including FR 14871, Apr. 8, 1976; 44 FR 60294, Oct. 19,
final actions taken by members of the 1979; 46 FR 18556, Mar. 25, 1981; 62 FR 4170,
Commission’s staff on nonhearing mat- Jan. 29, 1997]
ters. They do not apply to interlocu-
tory actions of the Chief Administra- § 1.106 Petitions for reconsideration.
tive Law Judge in hearing proceedings, (a)(1) Petitions requesting reconsid-
or to hearing designation orders issued eration of a final Commission action
under delegated authority. See §§ 0.351, will be acted on by the Commission.
1.106(a) and 1.115(e). Petitions requesting reconsideration of
(b) Any person desiring Commission other final actions taken pursuant to
consideration of a final action taken delegated authority will be acted on by
pursuant to delegated authority shall the designated authority or referred by
file either a petition for reconsider- such authority to the Commission. A
ation or an application for review (but petition for reconsideration of an order
not both) within 30 days from the date designating a case for hearing will be
of public notice of such action, as that entertained if, and insofar as, the peti-
date is defined in § 1.4(b) of these rules. tion relates to an adverse ruling with
The petition for reconsideration will be respect to petitioner’s participation in
acted on by the designated authority the proceeding. Petitions for reconsid-
or referred by such authority to the eration of other interlocutory actions
Commission: Provided, That a petition will not be entertained. (For provisions
for reconsideration of an order desig- governing reconsideration of Commis-
nating a matter for hearing will in all sion action in notice and comment rule
cases be referred to the Commission. making proceedings, see § 1.429. This
126
§ 1.106 does not govern reconsideration presented to the Commission or to the

of such actions.) designated authority may be granted
(2) Within the period allowed for fil- only under the following cir-
ing a petition for reconsideration, any cumstances:
party to the proceeding may request (1) The facts fall within one or more
the presiding officer to certify to the of the categories set forth in
Commission the question as to wheth- § 1.106(b)(2); or
er, on policy in effect at the time of (2) The Commission or the designated
designation or adopted since designa- authority determines that consider-
tion, and undisputed facts, a hearing ation of the facts relied on is required
should be held. If the presiding officer in the public interest.
finds that there is substantial doubt, (d)(1) The petition shall state with
on established policy and undisputed particularity the respects in which pe-
facts, that a hearing should be held, he titioner believes the action taken by
will certify the policy question to the the Commission or the designated au-
Commission with a statement to that thority should be changed. The peti-
effect. No appeal may be filed from an tion shall state specifically the form or
order denying such a request. See also, relief sought and, subject to this re-
§§ 1.229 and 1.251. quirement, may contain alternative re-
(b)(1) Subject to the limitations set quests.
forth in paragraph (b)(2) of this section, (2) The petition for reconsideration
any party to the proceeding, or any shall also, where appropriate, cite the
other person whose interests are ad- findings of fact and/or conclusions of
versely affected by any action taken by law which petitioner believes to be er-
the Commission or by the designated roneous, and shall state with particu-
authority, may file a petition request- larity the respects in which he believes
ing reconsideration of the action such findings and conclusions should be
taken. If the petition is filed by a per- changed. The petition may request
son who is not a party to the pro- that additional findings of fact and
ceeding, it shall state with particu- conclusions of law be made.
larity the manner in which the per- (e) Where a petition for reconsider-
son’s interests are adversely affected ation is based upon a claim of elec-
by the action taken, and shall show trical interference, under appropriate
good reason why it was not possible for rules in this chapter, to an existing
him to participate in the earlier stages station or a station for which a con-
of the proceeding. struction permit is outstanding, such
(2) Where the Commission has denied petition, in addition to meeting the
an application for review, a petition for other requirements of this section,
reconsideration will be entertained must be accompanied by an affidavit of
only if one or more of the following cir- a qualified radio engineer. Such affi-
cumstances is present: davit shall show, either by following
(i) The petition relies on facts which the procedures set forth in this chapter
relate to events which have occurred or for determining interference in the ab-
circumstances which have changed sence of measurements, or by actual
since the last opportunity to present measurements made in accordance
such matters; or with the methods prescribed in this
(ii) The petition relies on facts un- chapter, that electrical interference
known to petitioner until after his last will be caused to the station within its
opportunity to present such matters normally protected contour.
which could not, through the exercise (f) The petition for reconsideration
of ordinary diligence, have been and any supplement thereto shall be
learned prior to such opportunity. filed within 30 days from the date of
(3) A petition for reconsideration of public notice of the final Commission
an order denying an application for re- action, as that date is defined in § 1.4(b)
view which fails to rely on new facts or of these rules, and shall be served upon
changed circumstances may be dis- parties to the proceeding. The petition
missed by the staff as repetitious. for reconsideration shall not exceed 25
(c) A petition for reconsideration double spaced typewritten pages. No
which relies on facts not previously supplement or addition to a petition
127
§ 1.106 47 CFR Ch. I (10–1–02 Edition)
for reconsideration which has not been tion of such further proceedings, the
acted upon by the Commission or by Commission or designated authority
the designated authority, filed after ex- may affirm, reverse, or modify its
piration of the 30 day period, will be original order, or it may set aside the
considered except upon leave granted order and remand the matter for such
upon a separate pleading for leave to further proceedings, including rehear-
file, which shall state the grounds ing, as may be appropriate.
therefor. (3) Any order disposing of a petition
(g) Oppositions to a petition for re- for reconsideration which reverses or
consideration shall be filed within 10 modifies the original order is subject
days after the petition is filed, and to the same provisions with respect to
shall be served upon petitioner and par- reconsideration as the original order.
ties to the proceeding. Oppositions In no event, however, shall a ruling
shall not exceed 25 double spaced type- which denies a petition for reconsider-
written pages. ation be considered a modification of
(h) Petitioner may reply to opposi- the original order. A petition for recon-
tions within seven days after the last sideration of an order which has been
day for filing oppositions, and any such previously denied on reconsideration
reply shall be served upon parties to may be dismissed by the staff as repeti-
the proceeding. Replies shall not ex- tious.
ceed 10 double spaced typewritten NOTE: For purposes of this section, the
pages, and shall be limited to matters word ‘‘order’’ refers to that portion of its ac-
raised in the opposition. tion wherein the Commission announces its
(i) Petitions for reconsideration, op- judgment. This should be distinguished from
positions, and replies shall conform to the ‘‘memorandum opinion’’ or other mate-
the requirements of §§ 1.49, 1.51, and 1.52 rial which often accompany and explain the
and shall be submitted to the Sec- order.
retary, Federal Communications Com- (l) No evidence other than newly dis-
mission, Washington, D.C., 20554. covered evidence, evidence which has
(j) The Commission or designated au- become available only since the origi-
thority may grant the petition for re- nal taking of evidence, or evidence
consideration in whole or in part or which the Commission or the des-
may deny the petition. Its order will ignated authority believes should have
contain a concise statement of the rea- been taken in the original proceeding
sons for the action taken. Where the shall be taken on any rehearing or-
petition for reconsideration relates to dered pursuant to the provisions of this
an instrument of authorization granted section.
without hearing, the Commission or (m) The filing of a petition for recon-
designated authority will take such ac- sideration is not a condition precedent
tion within 90 days after the petition is to judicial review of any action taken
filed. by the Commission or by the des-
(k)(1) If the Commission or the designated authority, except where the
ignated authority grants the petition person seeking such review was not a
for reconsideration in whole or in part, party to the proceeding resulting in
it may, in its decision: the action, or relies on questions of
(i) Simultaneously reverse or modify fact or law upon which the Commission
the order from which reconsideration is or designated authority has been af-
sought; forded no opportunity to pass. (See
(ii) Remand the matter to a bureau § 1.115(c).) Persons in those categories
or other Commission personnel for who meet the requirements of this sec-
such further proceedings, including re- tion may qualify to seek judicial re-
hearing, as may be appropriate; or view by filing a petition for reconsider-
(iii) Order such other proceedings as ation.
may be necessary or appropriate. (n) Without special order of the Com-
(2) If the Commission or designated mission, the filing of a petition for re-
authority initiates further proceedings, consideration shall not excuse any per-
a ruling on the merits of the matter son from complying with or obeying
will be deferred pending completion of any decision, order, or requirement of
such proceedings. Following comple- the Commission, or operate in any
128
manner to stay or postpone the en- § 1.113 Action modified or set aside by
forcement thereof. However, upon good person, panel, or board.
cause shown, the Commission will stay
(a) Within 30 days after public notice
the effectiveness of its order or re-
has been given of any action taken pur-
quirement pending a decision on the
suant to delegated authority, the per-
petition for reconsideration. (This
paragraph applies only to actions of son, panel, or board taking the action
the Commission en banc. For provi- may modify or set it aside on its own
sions applicable to actions under dele- motion.
gated authority, see § 1.102.) (b) Within 60 days after notice of any
(o) Petitions for reconsideration of li- sanction imposed under delegated au-
censing actions, as well as oppositions thority has been served on the person
and replies thereto, that are filed with affected, the person, panel, or board
respect to the Wireless Radio Services, which imposed the sanction may mod-
may be filed electronically via ULS. ify or set it aside on its own motion.
(Secs. 4, 303, 307, 405, 48 Stat., as amended,
(c) Petitions for reconsideration and
1066, 1082, 1083, 1095; 47 U.S.C. 154, 303, 307, 405) applications for review shall be di-
rected to the actions as thus modified,
FR 7507, Apr. 15, 1972; 41 FR 1287, Jan. 7, 1976;
and the time for filing such pleadings
44 FR 60294, Oct. 19, 1979; 46 FR 18556, Mar. 25, shall be computed from the date upon
1981; 62 FR 4170, Jan. 29, 1997; 63 FR 68920, which public notice of the modified ac-
Dec. 14, 1998] tion is given or notice of the modified
sanction is served on the person af-
§ 1.108 Reconsideration on Commis- fected.
sion’s own motion.
The Commission may, on its own mo- § 1.115 Application for review of action
tion, set aside any action made or taken pursuant to delegated au-
taken by it within 30 days from the thority.
date of public notice of such action, as (a) Any person aggrieved by any ac-
that date is defined in § 1.4(b) of these tion taken pursuant to delegated au-
rules. thority may file an application re-
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, questing review of that action by the
1082, 1083; 47 U.S.C. 154, 303, 307) Commission. Any person filing an ap-
[28 FR 12415, Nov. 22, 1963, as amended at 46 plication for review who has not pre-
FR 18556, Mar. 25, 1981] viously participated in the proceeding
shall include with his application a
§ 1.110 Partial grants; rejection and statement describing with particu-
designation for hearing. larity the manner in which he is ag-
Where the Commission without a grieved by the action taken and show-
hearing grants any application in part, ing good reason why it was not possible
or with any privileges, terms, or condi- for him to participate in the earlier
tions other than those requested, or stages of the proceeding. Any applica-
subject to any interference that may tion for review which fails to make an
result to a station if designated appli- adequate showing in this respect will
cation or applications are subsequently be dismissed.
granted, the action of the Commission (b)(1) The application for review shall
shall be considered as a grant of such
concisely and plainly state the ques-
application unless the applicant shall,
tions presented for review with ref-
within 30 days from the date on which
erence, where appropriate, to the find-
such grant is made or from its effective
date if a later date is specified, file ings of fact or conclusions of law.
with the Commission a written request (2) Except as provided in paragraph
rejecting the grant as made. Upon re- (b)(5) of this section, the application
ceipt of such request, the Commission for review shall specify with particu-
will vacate its original action upon the larity, from among the following, the
application and set the application for factor(s) which warrant Commission
hearing in the same manner as other consideration of the questions pre-
applications are set for hearing. sented:
129
§ 1.115 47 CFR Ch. I (10–1–02 Edition)
(i) The action taken pursuant to dele- shall be filed within 5 days after the
gated authority is in conflict with stat- ruling is made. The applicaton for re-
ute, regulation, case precedent, or es- view shall be filed within 5 days after
tablished Commission policy. the order certifying the matter to the
(ii) The action involves a question of Commission is released or such ruling
law or policy which has not previously is made. Oppositions shall be filed
been resolved by the Commission. within 5 days after the application is
(iii) The action involves application filed. Replies to oppositions shall be
of a precedent or policy which should filed only if they are requested by the
be overturned or revised. Commission. Replies (if allowed) shall
(iv) An erroneous finding as to an im- be filed within 5 days after they are re-
portant or material question of fact. quested. A ruling certifying or not cer-
(v) Prejudicial procedural error. tifying a matter to the Commission is
(3) The application for review shall final: Provided, however, That the Com-
state with particularity the respects in mission may, on its own motion, dis-
which the action taken by the des- miss the application for review on the
ignated authority should be changed. ground that objections to the ruling
(4) The application for review shall should be deferred and raised as an ex-
state the form of relief sought and, ception.
subject to this requirement, may con- (2) The failure to file an application
tain alternative requests. for review of an interlocutory ruling
(c) No application for review will be made by the Chief Administrative Law
granted if it relies on questions of fact Judge or the denial of such application
or law upon which the designated au- by the Commission, shall not preclude
thority has been afforded no oppor- any party entitled to file exceptions to
tunity to pass. the initial decision from requesting re-
NOTE: Subject to the requirements of view of the ruling at the time when ex-
§ 1.106, new questions of fact or law may be ceptions are filed. Such requests will
presented to the designated authority in a be considered in the same manner as
petition for reconsideration. exceptions are considered.
(d) Except as provided in paragraph (3) Applications for review of a hear-
(e) of this section, the application for ing designation order issued under del-
review and any supplemental thereto egated authority shall be deferred until
shall be filed within 30 days of public exceptions to the initial decision in the
notice of such action, as that date is case are filed, unless the presiding Ad-
defined in section 1.4(b). Opposition to ministrative Law Judge certifies such
the application shall be filed within 15 an application for review to the Com-
days after the application for review is mission. A matter shall be certified to
filed. Except as provided in paragraph the Commission only if the presiding
(e)(3) of this section, replies to opposi- Administrative Law Judge determines
tions shall be filed within 10 days after that the matter involves a controlling
the opposition is filed and shall be lim- question of law as to which there is
ited to matters raised in the opposi- substantial ground for difference of
tion. opinion and that immediate consider-
(e)(1) Applications for review of ination of the question would materially
terlocutory rulings made by the Chief expedite the ultimate resolution of the
Administrative Law Judge (see § 0.351) litigation. A ruling refusing to certify
shall be deferred until the time when a matter to the Commission is not ap-
exceptions are filed unless the Chief pealable. In addition, the Commission
Judge certifies the matter to the Com- may dismiss, without stating reasons,
mission for review. A matter shall be an application for review that has been
certified to the Commission only if the certified, and direct that the objections
Chief Judge determines that it presents to the hearing designation order be de-
a new or novel question of law or pol- ferred and raised when exceptions in
icy and that the ruling is such that the initial decision in the case are
error would be likely to require remand filed. A request to certify a matter to
should the appeal be deferred and the Commission shall be filed with the
raised as an exception. The request to presiding Administrative Law Judge
certify the matter to the Commission within 5 days after the designation
130
order is released. Any application for tained only if one or more of the fol-
review authorized by the Administra- lowing circumstances is present:
tive Law Judge shall be filed within 5 (1) The petition relies on facts which
days after the order certifying the mat- related to events which have occurred
ter to the Commission is released or or circumstances which have changed
such a ruling is made. Oppositions since the last opportunity to present
shall be filed within 5 days after the such matters; or
application for review is filed. Replies (2) The petition relies on facts un-
to oppositions shall be filed only if known to petitioner until after his last
they are requested by the Commission. opportunity to present such matters
Replies (if allowed) shall be filed with- which could not, through the exercise
in 5 days after they are requested. of ordinary diligence, have been
(4) Applications for review of final learned prior to such opportunity.
staff decisions issued on delegated au- (h)(1) If the Commission grants the
thority in formal complaint pro- application for review in whole or in
ceedings on the Enforcement Bureau’s part, it may, in its decision:
Accelerated Docket (see, e.g., § 1.730) (i) Simultaneously reverse or modify
shall be filed within 15 days of public the order from which review is sought;
notice of the decision, as that date is (ii) Remand the matter to the des-
defined in § 1.4(b). These applications ignated authority for reconsideration
for review oppositions and replies in in accordance with its instructions,
Accelerated Docket proceedings shall and, if an evidentiary hearing has been
be served on parties to the proceeding held, the remand may be to the per-
by hand or facsimile transmission. son(s) who conducted the hearing; or
(f) Applications for review, opposi- (iii) Order such other proceedings, in-
tions, and replies shall conform to the cluding briefs and oral argument, as
requirements of §§ 1.49, 1.51, and 1.52, may be necessary or appropriate.
and shall be submitted to the Sec- (2) In the event the Commission or-
retary, Federal Communications Com- ders further proceedings, it may stay
mission, Washington, DC 20554. Except the effect of the order from which re-
as provided below, applications for review is sought. (See § 1.102.) Following
view and oppositions thereto shall not the completion of such further pro-
exceed 25 double-space typewritten ceedings the Commission may affirm,
pages. Applications for review of inter- reverse or modify the order from which
locutory actions in hearing proceedings review is sought, or it may set aside
(including designation orders) and op- the order and remand the matter to the
positions thereto shall not exceed 5 designated authority for reconsider-
double-spaced typewritten pages. When ation in accordance with its instruc-
permitted (see paragraph (e)(3) of this tions. If an evidentiary hearing has
section), reply pleadings shall not ex- been held, the Commission may re-
ceed 5 double-spaced typewritten pages. mand the matter to the person(s) who
The application for review shall be conducted the hearing for rehearing on
served upon the parties to the pro- such issues and in accordance with
ceeding. Oppositions to the application such instructions as may be appro-
for review shall be served on the person priate.
seeking review and on parties to the NOTE: For purposes of this section, the
proceeding. When permitted (see para- word ‘‘order’’ refers to that portion of its ac-
graph (e)(3) of this section), replies to tion wherein the Commission announces its
the opposition(s) to the application for judgment. This should be distinguished from
review shall be served on the person(s) the ‘‘memorandum opinion’’ or other mate-
opposing the application for review and rial which often accompany and explain the
order.
on parties to the proceeding.
(g) The Commission may grant the (i) An order of the Commission which
application for review in whole or in reverses or modifies the action taken
part, or it may deny the application pursuant to delegated authority is sub-
with or without specifying reasons ject to the same provisions with re-
therefor. A petition requesting recon- spect to reconsideration as an original
sideration of a ruling which denies an order of the Commission. In no event,
application for review will be enter- however, shall a ruling which denies an
131
§ 1.117 47 CFR Ch. I (10–1–02 Edition)
application for review be considered a as an original action of the Commis-

modification of the action taken pursu- sion.
ant to delegated authority.
(j) No evidence other than newly dis- § 1.120 Protests of grants without
covered evidence, evidence which has hearing.
become available only since the origi- (a) The provisions of this section
nal taking of evidence, or evidence shall not be applicable to any applica-
which the Commission believes should tion: (1) Filed on or after December 12,
have been taken in the original pro- 1960; (2) filed before December 12, 1960,
ceeding shall be taken on any rehear- but substantially amended (as defined
ing ordered pursuant to the provisions in the applicable provisions of this
of this section. chapter) on or after that date; or (3)
(k) The filing of an application for refiled before December 12, 1960, and not
view shall be a condition precedent to thereafter substantially amended, but
judicial review of any action taken with respect to which the rules in this
pursuant to delegated authority. chapter provide an opportunity for pe-
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, titions to deny to be filed under section
1082, 1083; 47 U.S.C. 154, 303, 307) 309 of the Communications Act, as
[28 FR 12415, Nov. 22, 1963, as amended at 41 amended. See §§ 1.580 and 1.962.
FR 14871, Apr. 8, 1976; 44 FR 60295, Oct. 19, (b) Where any instrument of author-
1979; 46 FR 18556, Mar. 25, 1981; 48 FR 12719, ization for a radio station, other than a
Mar. 28, 1983; 50 FR 39000, Sept. 26, 1985; 54 FR license pursuant to a construction per-
40392, Oct. 2, 1989; 55 FR 36641, Sept. 6, 1990; 57 mit, has been granted without a hear-
FR 19387, May 6, 1992; 62 FR 4170, Jan. 29,
ing, any party in interest may file a
1997; 63 FR 41446, Aug. 4, 1998; 67 FR 13223,
Mar. 21, 2002] protest directed to such grant and re-
quest a hearing on the application
§ 1.117 Review on motion of the Com- granted. Such protest shall be signed
mission. by the protestant and subscribed to
(a) Within 40 days after public notice under oath. Such protest must be filed
is given of any action taken pursuant with the Commission within 30 days
to delegated authority, the Commis- after release of the document con-
sion may on its own motion order the taining the full text of such action, or
record of the proceeding before it for in case such a document is not re-
review. leased, after release of a ‘‘Public No-
(b) If the Commission reviews the tice’’ announcing the action in ques-
proceeding on its own motion, it may tion and must separately set forth:
order such further procedure as may be (1) Such allegations of fact as will
useful to it in its review of the action show the protestant to be a party in in-
taken pursuant to delegated authority. terest, i.e., a person aggrieved or whose
(c) With or without such further pro- interests are adversely affected by the
cedure, the Commission may either af- Commission’s authorization, protest of
firm, reverse, modify, or set aside the which is sought. Each such allegation
action taken, or remand the proceeding of fact shall be separately stated.
to the designated authority for recon- (2) Facts indicating the reasons why
sideration in accordance with its in- the grant was improperly made or
structions. If an evidentiary hearing would otherwise not be in the public
has been held, the Commission may re- interest. Each such reason shall be sep-
mand the proceeding to the person(s) arately stated, and facts in support
who conducted the hearing for rehear- thereof shall be specified in detail and
ing on such issues and in accordance shall not include general non-specific
with such instructions as may be ap- conclusory arguments and allegations.
propriate. An order of the Commission
(3) The specific issues upon which
which reverses or modifies the action
protestant wishes a hearing to be held,
taken pursuant to delegated authority,
or remands the matter for further pro- which issues must relate directly to a
ceedings, is subject to the same provi- matter specified with particularity as
sions with respect to reconsideration part of paragraph (b)(2) of this section.
132
(c) Arguments and citations of au- issues resulting from facts set forth in
thority may be set forth in a brief ac- the protest and not adopted or speci-
companying the protest but must be fied by the Commission on its own mo-
excluded from the protest itself. tion, both the burden of proceeding
(d) Oppositions to protests and briefs with the introduction of evidence and
in support thereof shall contain all ma- the burden of proof shall be upon the
terial, including that pertinent to the protestant.
determination referred to in paragraph (h) The procedure in such protest
(i) of this section, deemed appropriate hearing shall be governed by the provi-
to the Commission’s resolution of the sions of subpart B of this part, except
protest. Such oppositions and sup- as otherwise provided in this section.
porting briefs must be filed within 10 (i) Pending hearing and decision, the
days after the filing of such protest, effective date of the Commission’s ac-
and any replies to such oppositions tion to which protest is made shall be
must be filed within 5 days after the postponed to the effective date of the
filing of the oppositions. Commission’s decision after hearing,
(e) Protests, oppositions, and replies unless the authorization involved is
shall be filed with the Commission in necessary to the maintenance or con-
original and 14 copies and shall be ac- duct of an existing service or unless
companied by proof of service upon the the Commission affirmatively finds
grantee or the protestant, as the case that the public interest requires that
may be, and/or their respective attor- the grant remain in effect, in which
neys. event the Commission shall authorize
(f) The Commission may upon consid- the applicant to utilize the facilities or
eration of a protest direct either the authorization in question pending the
protestant or grantee or both to sub- Commission’s decision after hearing.
mit further statements of fact under (Sec. 7, 66 Stat. 715, as amended. See, in par-
oath relating to the matters raised in ticular, sec. 4 (a) and (d), 74 Stat. 889, 892; 47
the protest. U.S.C. 309)
(g) Within 30 days from the date of
the filing of the protest, the Commis- FR 14503, Dec. 31, 1963]
sion will enter findings as to whether
such protest meets the requirements
set forth in paragraphs (b) (1) and (2) of Subpart B—Hearing Proceedings
this section. If the Commission finds
that one of these requirements is not SOURCE: 28 FR 12425, Nov. 22, 1963, unless
met, it will dismiss the protest. If the otherwise noted.
Commission finds that these require- GENERAL
ments are met, it will designate the ap-
plication in question for hearing. As to § 1.201 Scope.
issues which the Commission believes
This subpart shall be applicable to
present no grounds for setting aside
the following cases which have been
the grant, even if the facts alleged were
designated for hearing:
to be proven, the Commission may des-
(a) Adjudication (as defined by the
ignate such issues for oral argument
Administrative Procedure Act); and
only. The other issues will be des-
(b) Rule making proceedings which
ignated for evidentiary hearing except
are required by law to be made on the
that the Commission may redraft the
record after opportunity for a Commis-
issues in accordance with the facts or
sion hearing.
substantive matters alleged in the pro-
test and may also specify such addi- NOTE: For special provisions relating to
tional issues as it deems desirable. In AM broadcast station applications involving
any evidentiary hearing subsequently other North American countries see § 73.3570.
held upon issues specified by the Com- [28 FR 12425, Nov. 22, 1963, as amended at 51
mission, upon its own initiative or FR 32088, Sept. 9, 1986]
adopted by it, both the burden of pro-
ceeding with the introduction of evi- § 1.202 Official reporter; transcript.
dence and the burden of proof shall be The Commission will designate from
upon the grantee. With respect to time to time an official reporter for
133
§ 1.203 47 CFR Ch. I (10–1–02 Edition)
the recording and transcribing of hear- (c) Rules governing the reconsider-
ing proceedings. The transcript of the ation and review of actions taken pur-
testimony taken, or argument had, at suant to delegated authority, and the
any hearing will not be furnished by reconsideration of actions taken by the
the Commission, but will be open to in- Commission, are set forth in §§ 1.101
spection under § 0.453(a)(1) of this chap- through 1.120.
ter. Copies of such transcript, if de-
sired, may be obtained from the official [28 FR 12425, Nov. 22, 1963, as amended at 29
FR 6443, May 16, 1964; 36 FR 19439, Oct. 6,
reporter upon payment of the charges
1971]
therefor.
(5 U.S.C. 556) § 1.209 Identification of responsible of-
ficer in caption to pleading.
[32 FR 20861, Dec. 28, 1967]
Each pleading filed in a hearing pro-
§ 1.203 The record. ceeding shall indicate in its caption
The transcript of testimony and ex- whether it is to be acted upon by the
hibits, together with all papers and re- Commission, the Chief Administrative
quests filed in the proceeding, shall Law Judge, or the presiding officer. If
constitute the exclusive record for de- it is to be acted upon by the presiding
cision. Where any decision rests on of- officer, he shall be identified by name.
ficial notice of a material fact not ap- [29 FR 8219, June 30, 1964, as amended at 37
pearing in the record, any party shall FR 19372, Sept. 20, 1972; 62 FR 4171, Jan. 29,
on timely request be afforded an oppor- 1997]
tunity to show the contrary.
(5 U.S.C. 556) § 1.211 Service.
Except as otherwise expressly pro-
§ 1.204 Pleadings; definition. vided in this chapter, all pleadings
As used in this subpart, the term filed in a hearing proceeding shall be
pleading means any written notice, mo- served upon all other counsel in the
tion, petition, request, opposition, proceeding or, if a party is not rep-
reply, brief, proposed findings, excep- resented by counsel, then upon such
tions, memorandum of law, or other party. All such papers shall be accom-
paper filed with the Commission in a panied by proof of service. For provi-
hearing proceeding. It does not include sions governing the manner of service,
exhibits or documents offered in evi- see § 1.47.
dence. See § 1.356.
[29 FR 8219, June 30, 1964]
[29 FR 8219, June 30, 1964]
PARTICIPANTS AND ISSUES
§ 1.205 Continuances and extensions.
Continuances of any proceeding or § 1.221 Notice of hearing; appearances.
hearing and extensions of time for (a) Upon designation of an applica-
making any filing or performing any tion for hearing, the Commission issues
act required or allowed to be done an order containing the following:
within a specified time may be granted (1) A statement as to the reasons for
by the Commission or the presiding of- the Commission’s action.
ficer upon motion for good cause
(2) A statement as to the matters of
shown, unless the time for performance
fact and law involved, and the issues
or filing is limited by statute.
upon which the application will be
§ 1.207 Interlocutory matters, recon- heard.
sideration and review; cross ref- (3) A statement as to the time, place,
erences. and nature of the hearing. (If the time
(a) Rules governing interlocutory and place are not specified, the order
pleadings in hearing proceedings are will indicate that the time and place
set forth in §§ 1.291 through 1.298. will be specified at a later date.)
(b) Rules governing appeal from rul- (4) A statement as to the legal au-
ings made by the presiding officer are thority and jurisdiction under which
set forth as §§ 1.301 and 1.302. the hearing is to be held.
134
(b) The order designating an applica- ments of subpart G of the rules. A writ-
tion for hearing is mailed to the appli- ten appearance that does not contain
cant by the Reference Information Cen- the proper fee, or is not accompanied
ter of the Consumer and Governmental by a deferral request as per § 1.1115 of
Affairs Bureau and this order or a sum- the rules, shall be dismissed and re-
mary thereof is published in the turned to the applicant by the fee proc-
FEDERAL REGISTER. Reasonable notice essing staff. The presiding judge will be
of hearing will be given to the parties notified of this action and may dismiss
in all proceedings; and, whenever pos- the applicant with prejudice for failure
sible, the Commission will give at least to prosecute if the written appearance
60 days notice of comparative hearings. is not resubmitted with the correct fee
(c) In order to avail himself of the op-
within the original 20 day filing period.
portunity to be heard, the applicant, in
person or by his attorney, shall, within NOTE: If the parties file a settlement agree-
20 days of the mailing of the notice of ment prior to filing the Notice of Appearance
designation for hearing by the Ref- or simultaneously with it, the hearing fee
erence Information Center of the Con- need not accompany the Notice of Appear-
sumer and Governmental Affairs Bu- ance. In filing the Notice of Appearance, the
reau, file with the Commission, in trip- applicant should clearly indicate that a set-
licate, a written appearance stating tlement agreement has been filed. (The fact
that there are ongoing negotiations that
that he will appear of the date fixed for
may lead to a settlement does not affect the
hearing and present evidence on the requirement to pay the fee.) If a settlement
issues specified in the order. Where an agreement is not effectuated, the Presiding
applicant fails to file such a written Judge will require immediate payment of the
appearance within the time specified, fee.
or has not filed prior to the expiration
of that time a petition to dismiss with- (2) When a fee is required to accom-
out prejudice, or a petition to accept, pany a written appearance as described
for good cause shown, such written ap- in paragraph (f)(1) of this section, the
pearance beyond expiration of said 20 written appearance must also contain
days, the application will be dismissed FCC Registration Number (FRN) in
with prejudice for failure to prosecute. conformance with subpart W of this
(d) The Commission will on its own part. The presiding judge will notify
motion name as parties to the hearing the party filing the appearance of the
any person found to be a party in inter- omitted FRN and dismiss the applicant
est. with prejudice for failure to prosecute
(e) In order to avail himself of the op- if the written appearance is not resub-
portunity to be heard, any person mitted with the FRN within ten (10)
named as a party pursuant to para- business days of the date of notifica-
graph (d) of this section shall, within 20 tion.
days of the mailing of the notice of his (g) In comparative broadcast pro-
designation as a party, file with the
ceedings involving applicants for new
Commission, in person or by attorney,
facilities, where the hearing fee was
a written appearance in triplicate,
paid before designation of the applica-
stating that he will appear at the hear-
ing. Any person so named who fails to tions for hearing as required by the
file this written statement within the Public Notice described at § 73.3571(c),
time specified, shall, unless good cause § 73.3572(d), or § 73.3573(g) of this chap-
for such failure is shown, forfeit his ter, a hearing fee payment should not
hearing rights. be made with the filing of the Notice of
(f)(1) A fee must accompany each Appearance.
written appearance filed with the Com- (5 U.S.C. 554. Sec. 309, 48 Stat. 1085, as amend-
mission in certain cases designated for ed; 47 U.S.C. 309)
hearing. See subpart G, part 1 for the
amount due. Except as provided in [28 12424, Nov. 22, 1963, as amended at 51 FR
paragraph (g) of this section, the fee 19347, May 29, 1986; 52 FR 5288, Feb. 20, 1987;
55 FR 19154, May 8, 1990; 56 FR 25638, June 5,
must accompany each written appear-
1991; 64 FR 60725, Nov. 8, 1999; 66 FR 47895,
ance at the time of its filing and must
Sept. 14, 2001; 67 FR 13223, Mar. 21, 2002]
be in conformance with the require-
135
§ 1.223 47 CFR Ch. I (10–1–02 Edition)
§ 1.223 Petitions to intervene. days after the publication in the

(a) Where, in cases involving applica- FEDERAL REGISTER of the full text or a
tions for construction permits and sta- summary of the order designating an
tion licenses, or modifications or re- application for hearing or any substan-
newals thereof, the Commission has tial amendment thereto shall set forth
failed to notify and name as a party to the interest of petitioner in the pro-
the hearing any person who qualifies as ceeding, show how such petitioner’s
a party in interest, such person may participation will assist the Commis-
acquire the status of a party by filing, sion in the determination of the issues
under oath and not more than 30 days in question, must set forth any pro-
after the publication in the FEDERAL posed issues in addition to those al-
REGISTER of the hearing issues or any ready designated for hearing, and must
substantial amendment thereto, a peti- set forth reasons why it was not pos-
tion for intervention showing the basis sible to file a petition within the time
of its interest. Where such person’s in- prescribed by paragraphs (a) and (b) of
terest is based upon a claim that a this section. Such petition shall be ac-
grant of the application would cause companied by the affidavit of a person
objectionable interference under appli- with knowledge of the facts set forth in
cable provisions of this chapter to such the petition, and where petitioner
person as a licensee or permittee of an claims that a grant of the application
existing or authorized station, the peti- would cause objectionable interference
tion to intervene must be accompanied under applicable provisions of this
by an affidavit of a qualified radio en- chapter, the petition to intervene must
gineer which shall show, either by fol- be accompanied by the affidavit of a
lowing the procedures prescribed in qualified radio engineer showing the
this chapter for determining inter- extent of such alleged interference ac-
ference in the absence of measure- cording to the methods prescribed in
ments or by actual measurements paragraph (a) of this section. If, in the
made in accordance with the methods opinion of the presiding officer, good
prescribed in this chapter, the extent cause is shown for the delay in filing,
of such interference. Where the per- he may in his discretion grant such pe-
son’s status as a party in interest is es- tition or may permit intervention lim-
tablished, the petition to intervene will ited to particular issues or to a par-
be granted. ticular stage of the proceeding.
(b) Any other person desiring to par- (Sec. 309, 48 Stat. 1085, as amended; 47 U.S.C.
ticipate as a party in any hearing may 309)
file a petition for leave to intervene [28 FR 12425, Nov. 22, 1963, as amended at 29
not later than 30 days after the publi- FR 7821, June 19, 1964; 41 FR 14872, Apr. 8,
cation in the FEDERAL REGISTER of the 1976; 51 FR 19347, May 29, 1986]
full text or a summary of the order des-
ignating an application for hearing or § 1.224 Motion to proceed in forma
any substantial amendment thereto. pauperis.
The petition must set forth the inter- (a) A motion to proceed in forma
est of petitioner in the proceedings, pauperis may be filed by an individual,
must show how such petitioner’s par- a corporation, and unincorporated enti-
ticipation will assist the Commission ty, an association or other similar
in the determination of the issues in group, if the moving party is either of
question, must set forth any proposed the following:
issues in addition to those already des- (1) A respondent in a revocation pro-
ignated for hearing, and must be ac- ceeding, or a renewal applicant, who
companied by the affidavit of a person cannot carry on his livelihood without
with knowledge as to the facts set the radio license at stake in the pro-
forth in the petition. The presiding of- ceeding; or
ficer, in his discretion, may grant or (2) An intervenor in a hearing pro-
deny such petition or may permit ceeding who is in a position to intro-
intervention by such persons limited to duce testimony which is of probable
a particular stage of the proceeding. decisional significance, on a matter of
(c) Any person desiring to file a peti- substantial public interest importance,
tion for leave to intervene later than 30 which cannot, or apparently will not,
136
be introduced by other parties to the sonal knowledge thereof. The informa-

proceeding, and who is not seeking per- tion submitted shall include a copy of
sonal financial gain. the corporate charter or other docu-
(b) In the case of a licensee, the mo- ments that describe the activities and
tion to proceed in forma pauperis shall purposes of the organization; a current
contain specific allegations of fact suf- balance sheet and profit and loss state-
ficient to show that the moving party ment; facts showing, under all the cir-
is eligible under paragraph (a) of this cumstances, that it would not be rea-
section and that he cannot, because of sonable to expect added resources of in-
his poverty, pay the expenses of litiga- dividuals composing the group to be
tion and still be able to provide himself pooled to meet the expenses of partici-
and his dependents with the necessities pating in the proceeding; and an esti-
of life. Such allegations of fact shall be mate of the cost of participation. Per-
supported by affidavit of a person or sonal financial information pertaining
persons with personal knowledge there- to members of the group may be sub-
of. The information submitted shall de- mitted to the presiding officer in con-
tail the income and assets of the indi- fidence.
vidual and his financial obligations and (d) If the motion is granted, the pre-
responsibilities, and shall contain an siding officer may direct that a free
estimate of the cost of participation in copy of the transcript of testimony be
the proceeding. Personal financial in- made available to the moving party
formation may be submitted to the and may relax the rules of procedure in
presiding officer in confidence. any manner which will ease his finan-
(c)(1) In the case of an individual in- cial burden, is fair to other parties to
tervenor, the motion to proceed in the proceeding, and does not involve
forma pauperis shall contain specific the payment of appropriated funds to a
allegations of fact sufficient to show party.
that he is eligible under paragraph (a) [41 FR 53021, Dec. 3, 1976]
of this section and that he has dedi-
cated financial resources to sustain his § 1.225 Participation by non-parties;
participation which are reasonable in consideration of communications.
light of his personal resources and (a) Any person who wishes to appear
other demands upon them but are inad- and give evidence on any matter and
equate for effective participation in who so advises the Secretary, will be
the proceeding. Such allegations of notified by the Secretary if that mat-
fact shall be supported by affidavit of a ter is designated for hearing. In the
person or persons with personal knowl- case of requests bearing more than one
edge thereof. The information sub- signature, notice of hearing will be
mitted shall detail the income and as- given to the person first signing unless
sets of the individual and his imme- the request indicates that such notice
diate family and his financial obliga- should be sent to someone other than
tions and responsibilities, and shall such person.
contain an estimate of the cost of par- (b) No person shall be precluded from
ticipation. Personal financial informa- giving any relevant, material, and
tion may be submitted to the presiding competent testimony at a hearing be-
officer in confidence. cause he lacks a sufficient interest to
(2) In the case of an intervening justify his intervention as a party in
group, the motion to proceed in forma the matter.
pauperis shall contain specific allega- (c) When a hearing is held, no com-
tions of fact sufficient to show that the munication will be considered in deter-
moving party is eligible under para- mining the merits of any matter unless
graph (a) of this section and that it it has been received into evidence. The
cannot pay the expenses of litigation admissibility of any communication
and still be able to carry out the ac- shall be governed by the applicable
tivities and purposes for which it was rules of evidence, and no communica-
organized. Such allegations of fact tion shall be admissible on the basis of
shall be supported by affidavit of the a stipulation unless Commission coun-
President and Treasurer of the group, sel as well as counsel for all of the par-
and/or by other persons having per- ties shall join in such stipulation.
137
§ 1.227 47 CFR Ch. I (10–1–02 Edition)
§ 1.227 Consolidations. (ii) Domestic public fixed and public

(a) The Commission, upon motion or mobile. See Rule § 21.31 of this chapter
upon its own motion, will, where such for the requirements as to mutually ex-
action will best conduce to the proper clusive applications. See also Rule
dispatch of business and to the ends of § 21.23 of this chapter for the require-
justice, consolidate for hearing: ments as to amendments of applica-
(1) Any cases which involve the same tions.
applicant or involve substantially the (iii) Public coast stations (Maritime mo-
same issues, or bile service). See paragraph (b)(4) of this
(2) Any applications which present section.
conflicting claims, except where a ran- (4) This paragraph applies when mu-
dom selection process is used. tually exclusive applications subject to
(b)(1) In broadcast cases, except as section 309(b) of the Communications
provided in paragraph (b)(5) of this sec- Act and not subject to competitive bid-
tion, and except as otherwise provided ding procedures pursuant to § 1.2102 of
in § 1.1601, et seq., no application will be this chapter are filed in the Private
consolidated for hearing with a pre- Radio Services, or when there are more
viously filed application or applica- such applications for initial licenses
tions unless such application, or such than can be accommodated on avail-
application as amended, if amended so able frequencies. Except for applica-
as to require a new file number, is sub- tions filed under part 101, subparts H
stantially complete and tendered for and O, Private Operational Fixed
filing by the close of business on the Microwave Service, and applications
day preceding the day designated by for high seas public coast stations (see
Public Notice as the day any one of the §§ 80.122(b)(1) (first sentence), 80.357,
previously filed applications is avail- 80.361, 80.363(a)(2), 80.371(a), (b), and (d),
able and ready for processing. and 80.374 of this chapter) mutual ex-
(2) In other than broadcast, common clusivity will occur if the later applica-
carrier, and safety and special radio tion or applications are received by the
services cases, any application that is Commission’s offices in Gettysburg, PA
mutually exclusive with another appli- (or Pittsburgh, PA for applications re-
cation or applications already des- quiring the fees set forth at part 1, sub-
ignated for hearing will be consoli- part G of the rules) in a condition ac-
dated for hearing with such other ap- ceptable for filing within 30 days after
plication or applications only if the the release date of public notice listing
later application in question has been the first prior filed application (with
filed within 5 days after public notice which subsequent applications are in
has been given in the FEDERAL REG- conflict) as having been accepted for
ISTER of the Commission’s order which filing or within such other period as
first designated for hearing the prior specified by the Commission. For appli-
application or applications with which cations in the Private Operational
such application is in conflict. Fixed Microwave Service, mutual ex-
(3) Common carrier cases: (i) General clusivity will occur if two or more ac-
rule. Where an application is mutually ceptable applications that are in con-
exclusive with a previously filed appli- flict are filed on the same day. Applica-
cation, the second application will be tions for high seas public coast sta-
entitled to comparative consideration tions will be processed on a first come,
with the first or entitled to be included first served basis, with the first accept-
in a random selection process, only if able application cutting off the filing
the second has been properly filed at rights of subsequent, conflicting appli-
least one day before the Commission cations. Applications for high seas pub-
takes action on the first application. lic coast stations received on the same
Specifically, the later filed application day will be treated as simultaneously
must have been received by the Com- filed and, if granting more than one
mission, in a condition acceptable for would result in harmful interference,
filing, before the close of business on must be resolved through settlement or
the day prior to the grant date or des- technical amendment.
ignation date of the earlier filed appli- (5) Any mutually exclusive applica-
cation. tion filed after the date prescribed in
138
paragraph (b)(1), (b)(2), (b)(3), or (b)(4) tion, shall set forth the reason why it
of this section will be dismissed with- was not possible to file the motion
out prejudice and will be eligible for re- within the prescribed period. Except as
filing only after a final decision is ren- provided in paragraph (c) of this sec-
dered by the Commission with respect tion, the motion will be granted only if
to the prior application or applications good cause is shown for the delay in fil-
or after such application or applica- ing. Motions for modifications of issues
tions are dismissed or removed from which are based on new facts or newly
the hearing docket. discovered facts shall be filed within 15
(6) An application which is mutually days after such facts are discovered by
exclusive with an application for re- the moving party.
newal of license of a broadcast station (c) In the absence of good cause for
filed on or before May 1, 1995 will be late filing of a motion to modify the
designated for comparative hearing issues, the motion to enlarge will be
with such license renewal application considered fully on its merits if (and
if it is substantially complete and ten- only if) initial examination of the mo-
dered for filing no later than the date tion demonstrates that it raises a ques-
prescribed in § 73.3516(e). tion of probable decisional significance
[28 FR 12425, Nov. 22, 1963, as amended at 34 and such substantial public interest
FR 7966, May 21, 1969; 37 FR 13983, July 15, importance as to warrant consider-
1972; 38 FR 26202, Sept. 19, 1973; 48 FR 27200, ation in spite of its untimely filing.
June 13, 1983; 48 FR 34039, July 27, 1983; 52 FR (d) Such motions, opposition thereto,
10229, Mar. 31, 1987; 55 FR 46008, Oct. 31, 1990; and replies to oppositions shall contain
55 FR 46513, Nov. 5, 1990; 61 FR 18291, Apr. 25, specific allegations of fact sufficient to
1996; 67 FR 34851, May 16, 2002; 67 FR 48563,
July 25, 2002] support the action requested. Such al-
legations of fact, except for those of
§ 1.229 Motions to enlarge, change, or which official notice may be taken,
delete issues. shall be supported by affidavits of a
(a) A motion to enlarge, change or person or persons having personal
delete the issues may be filed by any knowledge thereof. The failure to file
party to a hearing. Except as provided an opposition or a reply will not nec-
for in paragraph (b) of this section, essarily be construed as an admission
such motions must be filed within 15 of any fact or argument contained in a
days after the full text or a summary pleading.
of the order designating the case for (e) In comparative broadcast pro-
hearing has been published in the ceedings involving applicants for only
FEDERAL REGISTER. new facilities, in addition to the show-
(b)(1) In comparative broadcast pro- ing with respect to the requested issue
ceedings involving applicants for only modification described in paragraph (d)
new facilities, such motions shall be of this section, the party requesting
filed within 30 days of the release of the enlargement of issues against an
the designation order, except that per- applicant in the proceeding shall iden-
sons not named as parties to the pro- tify those documents the moving party
ceeding in the designation order may wishes to have produced and any other
file such motions with their petitions discovery procedures the moving party
to intervene up to 30 days after publi- wishes to employ in the event the re-
cation of the full text or a summary of quested issue is added to the pro-
the designation order in the FEDERAL ceeding.
REGISTER. (See § 1.223 of this part). (1) In the event the motion to enlarge
(2) In comparative broadcast pro- issues is granted, the Commission or
ceedings involving renewal applicants, delegated authority acting on the mo-
such motions shall be filed within 30 tion will also rule on the additional
days after publication of the full text discovery requests, and, if granted,
or a summary of the designation order such additional discovery will be
in the FEDERAL REGISTER. scheduled to be completed within 30
(3) Any person desiring to file a mo- days of the action on the motion.
tion to modify the issues after the ex- (2) The moving party may file supple-
piration of periods specified in para- mental discovery requests on the basis
graphs (a), (b)(1), and (b)(2), of this sec- of information provided in responsive
139
§ 1.241 47 CFR Ch. I (10–1–02 Edition)
pleadings or discovered as a result of § 1.243 Authority of presiding officer.

initial discovery on the enlarged issue. From the time he is designated to
The grant or denial of any such supple- preside until issuance of his decision or
mental requests and the timing of the the transfer of the proceeding to the
completion of such supplemental dis- Commission or to another presiding of-
covery are subject to the discretion of ficer the presiding officer shall have
the presiding judge. such authority as is vested in him by
(3) The 30-day time limit for comple- law and by the provisions of this chap-
tion of discovery on enlarged issues ter, including authority to:
shall not apply where the persons sub- (a) Administer oaths and affirma-
ject to such additional discovery are tions;
not parties to the proceeding. In such (b) Issue subpenas;
case, additional time will be required (c) Examine witnesses;
to afford such persons adequate notice (d) Rule upon questions of evidence;
of the discovery procedures being em- (e) Take or cause depositions to be
ployed. taken;
(f) In any case in which the presiding (f) Regulate the course of the hear-
judge or the Commission grants a mo- ing, maintain decorum, and exclude
tion to enlarge the issues to inquire from the hearing any person engaging
into allegations that an applicant in contemptuous conduct or otherwise
made misrepresentations to the Com- disrupting the proceedings;
mission or engaged in other mis- (g) Require the filing of memoranda
conduct during the application process, of law and the presentation of oral ar-
the enlarged issues include notice that, gument with respect to any question of
after hearings on the enlarged issue law upon which he is required to rule
and upon a finding that the alleged during the course of the hearing;
misconduct occurred and warrants (h) Hold conferences for the settle-
such penalty, in addition to or in lieu ment or simplification of the issues by
of denying the application, the appli- consent of the parties;
cant may be liable for a forfeiture of up (i) Dispose of procedural requests or
to the maximum statutory amount. similar matters, as provided for in
See 47 U.S.C. 503(b)(2)(A). § 0.341 of this chapter;
[41 FR 14872, Apr. 8, 1976, as amended at 44 (j) Take actions and make decisions
FR 34947, June 18, 1979; 51 FR 19347, May 29, in conformity with the Administrative
1986; 56 FR 792, Jan. 9, 1991; 56 FR 25639, June Procedure Act;
5, 1991; 62 FR 4171, Jan. 29, 1997] (k) Act on motions to enlarge, mod-
ify or delete the hearing issues; and
PRESIDING OFFICER (l) Act on motions to proceed in
forma pauperis pursuant to § 1.224.
§ 1.241 Designation of presiding offi-
cer. (5 U.S.C. 556)
(a) Hearings will be conducted by the [28 FR 12425, Nov. 22, 1963, as amended at 41
FR 53022, Dec. 3, 1976]
Commission, by one or more commis-
sioners, or by a law judge designated § 1.244 Designation of a settlement
pursuant to section 11 of the Adminis- judge.
trative Procedure Act. If a presiding of-
ficer becomes unavailable to the Com- (a) In broadcast comparative cases
mission prior to the taking of testi- involving applicants for only new fa-
mony another presiding officer will be cilities, the applicants may request the
designated. appointment of a settlement judge to
facilitate the resolution of the case by
(b) Unless the Commission deter-
settlement.
mines that due and timely execution of
(b) Where all applicants in the case
its functions requires otherwise, pre-
agree that such procedures may be ben-
siding officers shall be designated, and
eficial, such requests may be filed with
notice thereof released to the public, at
the presiding judge no later than 15
least 10 days prior to the date set for
days prior to the date scheduled by the
hearing.
presiding judge for the commencement
(5 U.S.C. 556) of hearings. The presiding judge shall
140
suspend the procedural dates in the dence in any Commission licensing pro-
case and forward the request to the ceeding.
Chief Administrative Law Judge for ac- [56 FR 793, Jan. 9, 1991, as amended at 62 FR
tion. 4171, Jan. 29, 1997]
(c) If, in the discretion of the Chief
Administrative Law Judge, it appears § 1.245 Disqualification of presiding of-
that the appointment of a settlement ficer.
judge will facilitate the settlement of (a) In the event that a presiding offi-
the case, the Chief Judge will appoint a cer deems himself disqualified and de-
‘‘neutral’’ as defined in 5 U.S.C. 581 and sires to withdraw from the case, he
583(a) to act as the settlement judge. shall notify the Commission of his
(1) The parties may request the ap- withdrawal at least 7 days prior to the
pointment of a settlement judge of date set for hearing.
their own choosing so long as that per- (b) Any party may request the pre-
son is a ‘‘neutral’’ as defined in 5 U.S.C. siding officer to withdraw on the
581. grounds of personal bias or other dis-
(2) The appointment of a settlement qualification.
judge in a particular case is subject to (1) The person seeking disqualifica-
the approval of all the applicants in tion shall file with the presiding officer
the proceeding. See 5 U.S.C. 583(b). an affidavit setting forth in detail the
facts alleged to constitute grounds for
(3) The Commission’s Administrative
disqualification. Such affidavit shall be
Law Judges are eligible to act as set-
filed not later than 5 days before the
tlement judges, except that an Admin- commencement of the hearing unless,
istrative Law Judge will not be ap- for good cause shown, additional time
pointed as a settlement judge in any is necessary.
case in which the Administrative Law (2) The presiding officer may file a
Judge also acts as the presiding officer. response to the affidavit; and if he be-
(4) Other members of the Commis- lieves himself not disqualified, shall so
sion’s staff who qualify as neutrals rule and proceed with the hearing.
may be appointed as settlement judges, (3) The person seeking disqualifica-
except that staff members whose duties tion may appeal a ruling of disquali-
include drafting, review, and/or rec- fication, and, in that event, shall do so
ommendations in adjudicatory matters at the time the ruling is made. Unless
pending before the Commission shall an appeal of the ruling is filed at this
not be appointed as settlement judges. time, the right to request withdrawal
(d) The settlement judge shall have of the presiding officer shall be deemed
the authority to require applicants to waived.
submit their Standardized Integration (4) If an appeal of the ruling is filed,
Statements and/or their written direct the presiding officer shall certify the
cases for review. The settlement judge question, together with the affidavit
may also meet with the applicants and/ and any response filed in connection
or their counsel, individually and/or at therewith, to the Commission. The
joint conferences, to discuss their cases hearing shall be suspended pending a
and the cases of their competitors. All ruling on the question by the Commis-
such meetings will be off-the-record, sion.
and the settlement judge may express (5) The Commission may rule on the
an opinion as to the relative compara- question without hearing, or it may re-
tive standing of the applicants and rec- quire testimony or argument on the
ommend possible means to resolve the issues raised.
proceeding by settlement. The pro- (6) The affidavit, response, testimony
ceedings before the settlement judge or argument thereon, and the Commis-
sion’s decision shall be part of the
shall be subject to the confidentiality
record in the case.
provisions of 5 U.S.C. 574. Moreover, no
statements, offers of settlement, rep- (5 U.S.C. 556)
resentations or concessions of the par- [28 FR 12425, Nov. 22, 1963, as amended at 55
ties or opinions expressed by the settle- FR 36641, Sept. 6, 1990; 62 FR 4171, Jan. 29,
ment judge will be admissible as evi- 1997]
141
§ 1.246 47 CFR Ch. I (10–1–02 Edition)
PREHEARING PROCEDURES by the presiding officer without addi-

tional pleadings.
§ 1.246 Admission of facts and genuine-
ness of documents. [33 FR 463, Jan. 12, 1968, as amended at 35 FR
17333, Nov. 11, 1970]
(a) Within 20 days after the time for
filing a notice of appearance has ex- § 1.248 Prehearing conferences; hear-
pired; or within 20 days after the re- ing conferences.
lease of an order adding parties to the (a) The Commission, on its own ini-
proceeding (see §§ 1.223 and 1.227) or tiative or at the request of any party,
changing the issues (see § 1.229); or may direct the parties or their attor-
within such shorter or longer time as neys to appear at a specified time and
the presiding officer may allow on mo- place for a conference prior to a hear-
tion or notice, a party may serve upon ing, or to submit suggestions in writ-
any other party a written request for ing, for the purpose of considering,
the admission by the latter of the among other things, the matters set
genuineness of any relevant documents forth in paragraph (c) of this section.
identified in and exhibited by a clear The initial prehearing conference shall
copy with the request or of the truth of be scheduled 30 days after the effective
any relevant matters of fact set forth date of the order designating a case for
in the request. hearing, unless good cause is shown for
(b) Each of the matters of which an scheduling such conference at a later
admission is requested shall be deemed date.
admitted unless, within a period des- (b)(1) The presiding officer (or the
ignated in the request, not less than 10 Commission or a panel of commis-
days after service thereof, or within sioners in a case over which it pre-
such shorter or longer time as the pre- sides), on his own initiative or at the
siding officer may allow on motion or request of any party, may direct the
notice, the party to whom the request parties or their attorneys to appear at
is directed serves upon the party re- a specified time and place for a con-
questing the admission either: (1) A ference prior to or during the course of
sworn statement denying specifically a hearing, or to submit suggestions in
the matters of which an admission is writing, for the purpose of considering
requested or setting forth in detail the any of the matters set forth in para-
reasons why he cannot truthfully graph (c) of this section. The initial
admit or deny those matters, or (2) prehearing conference shall be sched-
written objections on the ground that uled 30 days after the effective date of
some or all of the requested admissions the order designating a case for hear-
ing, unless good cause is shown for
are privileged or irrelevant or that the
scheduling such conference at a later
request is otherwise improper in whole
date.
or in part. If written objections to a
(2) Except as circumstances other-
part of the request are made, the re-
wise require, the presiding officer shall
mainder of the request shall be an-
allow a reasonable period prior to com-
swered within the period designated in
mencement of the hearing for the or-
the request. A denial shall fairly meet derly completion of all prehearing pro-
the substance of the requested admis- cedures, including discovery, and for
sion, and when good faith requires that the submission and disposition of all
a party deny only a part or a qualifica- prehearing motions. Where the cir-
tion of a matter of which an admission cumstances so warrant, the presiding
is requested, he shall specify so much officer shall, promptly after the hear-
of it as is true and deny only the re- ing is ordered, call a preliminary pre-
mainder. hearing conference, to inquire into the
(c) A copy of the request and of any use of available procedures con-
answer shall be served by the party fil- templated by the parties and the time
ing on all other parties to the pro- required for their completion, to for-
ceeding and upon the presiding officer. mulate a schedule for their completion,
(d) Written objections to the re- and to set a date for commencement of
quested admissions may be ruled upon the hearing.
142
(c) In conferences held, or in sugges- (1) At the prehearing conference pre-

tions submitted, pursuant to para- scribed by this section, the parties to
graphs (a) and (b) of this section, the the proceeding shall be prepared to dis-
following matters, among others, may cuss the advisability of reducing any or
be considered: all phases of their affirmative direct
(1) The necessity or desirability of cases to written form.
simplification, clarification, amplifi- (2) In hearings involving applications
cation, or limitation of the issues; for new, improved and changed facili-
(2) The admission of facts and of the ties and in comparative hearings in-
genuineness of documents (see § 1.246), volving only applications for new fa-
and the possibility of stipulating with cilities, where it appears that it will
respect to facts; contribute significantly to the disposi-
(3) The procedure at the hearing; tion of the proceeding for the parties to
(4) The limitation of the number of submit all or any portion of their af-
witnesses; firmative direct cases in writing, the
(5) In cases arising under Title II of presiding officer may, in his discretion,
the Communications Act, the necessity require them to do so.
or desirability of amending the plead- (3) In other broadcast proceedings,
ings and offers of settlement or pro- where it appears that it will contribute
posals of adjustment; and significantly to the disposition of the
(6) In cases involving comparative proceeding for the parties to submit all
broadcast applications: or any portion of their affirmative di-
(i) Narrowing the issues or the areas rect cases in writing, it is the policy of
of inquiry and proof at the hearing; the Commission to encourage them to
(ii) [Reserved] do so. However, the phase or phases of
(iii) Reports and letters relating to the proceeding to be submitted in writ-
surveys or contacts; ing, the dates for the exchange of the
written material, and other limitations
(iv) Assumptions regarding the avail-
upon the effect of adopting the written
ability of equipment;
case procedure (such as whether mate-
(v) Network programming;
rial ruled out as incompetent may be
(vi) Assumptions regarding the avail-
restored by other competent testi-
ability of networks proposed;
mony) is to be left to agreement of the
(vii) Offers of letters in general; parties as approved by the presiding of-
(viii) The method of handling evi- ficer.
dence relating to the past cooperation (4) In broadcast comparative cases in-
of existing stations owned and/or oper- volving applicants for only new facili-
ated by the applicants with organiza- ties, oral testimony and cross examina-
tions in the area; tion will be permitted only where, in
(ix) Proof of contracts, agreements, the discretion of the presiding judge,
or understandings reduced to writing; material issues of decisional fact can-
(x) Stipulations; not be resolved without oral evi-
(xi) Need for depositions; dentiary hearing procedures or the
(xii) The numbering of exhibits; public interest otherwise requires oral
(xiii) The order or offer of proof with evidentiary proceedings.
relationship to docket number; (e) An official transcript of all con-
(xiv) The date for the formal hearing; ferences shall be made.
and (f) The presiding officer may, upon
(xv) Such other matters as may expe- the written request of a party or par-
dite the conduct of the hearing. ties, approve the use of a speakerphone
(7) In proceedings in which consent as a means of attendance at a pre-
agreements may be negotiated (see hearing conference if such use is found
§ 1.93), the parties shall be prepared to to conduce to the proper dispatch of
state at the initial prehearing con- business and the ends of justice.
ference whether they are at that time
willing to enter negotiations leading to FR 463, Jan. 12, 1968; 36 FR 14133, July 30,
a consent agreement. 1971; 37 FR 7507, Apr. 15, 1972; 41 FR 14873,
(d) This paragraph applies to broad- Apr. 8, 1976; 43 FR 33251, July 31, 1978; 56 FR
cast proceedings only. 793, Jan. 9, 1991]
143
§ 1.249 47 CFR Ch. I (10–1–02 Edition)
§ 1.249 Prehearing statement. (b) Within 14 days after a motion for

Immediately upon convening the for- summary decision is filed, any other
mal hearing in any proceeding, the pre- party to the proceeding may file an op-
siding officer shall enter upon the position or a countermotion for sum-
record a statement reciting all actions mary decision. A party opposing the
taken at the prehearing conferences, motion may not rest upon mere allega-
and incorporating into the record all of tions or denials but must show, by affi-
the stipulations and agreements of the davit or by other materials subject to
parties which are approved by him, and consideration by the presiding officer,
any special rules which he may deem that there is a genuine issue of mate-
necessary to govern the course of the rial fact for determination at the hear-
proceeding. ing, that he cannot, for good cause,
present by affidavit or otherwise facts
[28 FR 12425, Nov. 22, 1963. Redesignated at 33 essential to justify his opposition, or
FR 463, Jan. 12, 1968] that summary decision is otherwise in-
appropriate.
HEARING AND INTERMEDIATE DECISION
(c) Affidavits shall be made on per-
§ 1.250 Discovery and preservation of sonal knowledge, shall set forth such
evidence; cross-reference. facts as would be admissible in evi-
dence, and shall show affirmatively
For provisions relating to prehearing
that the affiant is competent to testify
discovery and preservation of admis-
to the matters stated therein.
sible evidence, see §§ 1.311 through 1.325.
(d) The presiding officer may, in his
[33 FR 463, Jan. 12, 1968] discretion, set the matter for argument
and call for the submission of proposed
§ 1.251 Summary decision. findings, conclusions, briefs or memo-
(a)(1) Any party to an adjudicatory randa of law. The presiding officer, giv-
proceeding may move for summary de- ing appropriate weight to the nature of
cision of all or any of the issues set for the proceeding, the issue or issues, the
hearing. The motion shall be filed at proof, and to the need for cross-exam-
least 20 days prior to the date set for ination, may grant a motion for sum-
commencement of the hearing. The mary decision to the extent that the
party filing the motion may not rest pleadings, affidavits, materials ob-
upon mere allegations or denials but tained by discovery or otherwise, ad-
must show, by affidavit or by other missions, or matters officially noticed,
materials subject to consideration by show that there is no genuine issue as
the presiding officer, that there is no to any material fact and that a party is
genuine issue of material fact for de- otherwise entitled to summary deci-
termination at the hearing. sion. If it appears from the affidavits of
(2) With the permission of the pre- a party opposing the motion that he
siding officer, or upon his invitation, a cannot, for good cause shown, present
motion for summary decision may be by affidavit or otherwise facts essential
filed at any time before or after the to justify his opposition, the presiding
commencement of the hearing. No ap- officer may deny the motion, may
peal from an order granting or denying order a continuance to permit affida-
a request for permission to file a mo- vits to be obtained or discovery to be
tion for summary decision shall be al- had, or make such other order as is
lowed. If the presiding officer author- just.
izes a motion for summary decision (e) If all of the issues (or a dispositive
after the commencement of the hear- issue) are determined on a motion for
ing, proposed findings of fact and con- summary decision no hearing (or fur-
clusions of law on those issues which ther hearing) will be held. The pre-
the moving party believes can be residing officer will issue a Summary De-
solved shall be attached to the motion, cision, which is subject to appeal or re-
and any other party may file findings view in the same manner as an Initial
of fact and conclusions of law as an at- Decision. See §§ 1.271 through 1.282. If
tachment to pleadings filed by him some of the issues only (including no
pursuant to paragraph (b) of this sec- dispositive issue) are decided on a mo-
tion. tion for summary decision, or if the
144
motion is denied, the presiding officer the hearing is moved therefrom. When
will issue a memorandum opinion and such proceedings are completed, the
order, interlocutory in character, and presiding officer may move the hearing
the hearing will proceed on the remain- from the field location specified to an-
ing issues. Appeal from interlocutory other appropriate field location or to
rulings is governed by § 1.301. the District of Columbia.
(f) The presiding officer may take
any action deemed necessary to assure § 1.254 Nature of the hearing; burden
that summary decision procedures are of proof.
not abused. He may rule in advance of
a motion that the proceeding is not ap- Any hearing upon an application
propriate for summary decision, and shall be a full hearing in which the ap-
may take such other measures as are plicant and all other parties in interest
necessary to prevent any unwarranted shall be permitted to participate but in
delay. which both the burden of proceeding
(1) Should it appear to the satisfac- with the introduction of evidence upon
tion of the presiding officer that a mo- any issue specified by the Commission,
tion for summary decision has been as well as the burden of proof upon all
presented in bad faith or solely for the such issues, shall be upon the applicant
purpose of delay, or that such a motion except as otherwise provided in the
is patently frivolous, he will enter a de- order of designation.
termination to that effect upon the
record. (Sec. 309, 48 Stat. 1085, as amended; 47 U.S.C.
(2) If, on making such determination, 309)
the presiding officer concludes that the
§ 1.255 Order of procedure.
facts warrant disciplinary action
against an attorney, he will certify the (a) At hearings on a formal com-
matter to the Commission with his plaint or petition or in a proceeding for
findings and recommendations, for con- any instrument of authorization which
sideration under § 1.24. the Commission is empowered to issue,
(3) If, on making such determination, the complainant, petitioner, or appli-
the presiding officer concludes that the cant, as the case may be, shall, unless
facts warrant a finding of bad faith on the Commission otherwise orders, open
the part of a party to the proceeding, and close. At hearings on protests, the
he will certify the matter to the Com- protestant opens and closes the pro-
mission, with his findings and rec- ceedings in case the issues are not spe-
ommendations, for a determination as cifically adopted by the Commission;
to whether the facts warrant addition otherwise the grantee does so. At hear-
of an issue as to the character quali-
ings on orders to show cause, to cease
fications of that party.
and desist, to revoke or modify a sta-
[37 FR 7507, Apr. 15, 1972, as amended at 42 tion license under sections 312 and 316
FR 56508, Oct. 26, 1977] of the Communications Act, or other
§ 1.253 Time and place of hearing. like proceedings instituted by the
Commission, the Commission shall
(a) The Commission will specify the open and close.
day on which and the place at which
(b) At all hearings under Title II of
any hearing is to commence.
the Communications Act, other than
(b) The presiding officer will specify
the days on which subsequent hearing hearings on formal complaints, peti-
sessions are to be held. tions, or applications, the respondent
(c) If the Commission specifies that a shall open and close unless otherwise
hearing is to commence in the District specified by the Commission.
of Columbia, it shall be moved there- (c) In all other cases, the Commission
from only by order of the Commission. or presiding officer shall designate the
(d) If the Commission specifies that a order of presentation. Intervenors shall
hearing is to commence at a field loca- follow the party in whose behalf inter-
tion, all appropriate proceedings will vention is made, and in all cases where
be completed at such location before the intervention is not in support of an
145
§ 1.258 47 CFR Ch. I (10–1–02 Edition)
original party, the Commission or pre- may specify corrections to be made in

siding officer shall designate at what the transcript on 5 days’ notice.
stage such intervenors shall be heard. [40 FR 51441, Nov. 5, 1975]
FR 463, Jan. 12, 1968] § 1.263 Proposed findings and conclu-
sions.
§ 1.258 Closing of the hearing. (a) Each party to the proceeding may
The record of hearing shall be closed file proposed findings of fact and con-
by an announcement to that effect at clusions, briefs, or memoranda of law:
the hearing by the presiding officer Provided, however, That the presiding
when the taking of testimony has been officer may direct any party other than
concluded. In the discretion of the pre- Commission counsel to file proposed
siding officer, the record may be closed findings of fact and conclusions, briefs,
as of a future specified date in order to or memoranda of law. Such proposed
permit the admission into the record of findings of fact, conclusions, briefs, and
exhibits to be prepared: Provided, The memoranda of law shall be filed within
parties to the proceeding stipulate on 20 days after the record is closed, un-
the record that they waive the oppor- less additional time is allowed.
tunity to cross-examine or present evi- (b) All pleadings and other papers
dence with respect to such exhibits. filed pursuant to this section shall be
The record in any hearing which has accompanied by proof of service there-
been adjourned may not be closed by of upon all other counsel in the pro-
such officer prior to the day on which ceeding; if a party is not represented
the hearing is to resume, except upon by counsel, proof of service upon such
10 days’ notice to all parties to the pro- party shall be made.
ceeding. (c) In the absence of a showing of
good cause therefor, the failure to file
§ 1.260 Certification of transcript. proposed findings of fact, conclusions,
briefs, or memoranda of law, when di-
After the close of the hearing, the rected to do so, may be deemed a waiv-
complete transcript of testimony, to- er of the right to participate further in
gether with all exhibits, shall be cer- the proceeding.
tified as to identity by the presiding of-
ficer and filed in the office of the Sec- (5 U.S.C. 557)
retary of the Commission. Notice of
such certification shall be served on all § 1.264 Contents of findings of fact and
conclusions.
parties to the proceedings.
Proposed findings of fact shall be set
§ 1.261 Corrections to transcript. forth in serially numbered paragraphs
At any time during the course of the and shall set out in detail and with
proceeding, or as directed by the pre- particularity all basic evidentiary
siding officer, but not later than 10 facts developed on the record (with ap-
days after the date of notice of certifi- propriate citations to the transcript of
cation of the transcript, any party to record or exhibit relied on for each evi-
the proceeding may file with the pre- dentiary fact) supporting the conclu-
siding officer a motion requesting the sions proposed by the party filing
correction of the transcript, which mo- same. Proposed conclusions shall be
tion shall be accompanied by proof of separately stated. Proposed findings of
service thereof upon all other parties fact and conclusions submitted by a
to the proceeding. Within 5 days after person other than an applicant may be
the filing of such a motion, other par- limited to those issues in connection
ties may file a pleading in support of or with the hearing which affect the in-
in opposition to such motion. There- terests of such person.
after, the presiding officer shall, by (5 U.S.C. 557)
order, specify the corrections to be
made in the transcript, and a copy of § 1.267 Initial and recommended deci-
the order shall be served upon all par- sions.
ties and made a part of the record. The (a) Except as provided in this para-
presiding officer, on his own initiative, graph, in §§ 1.94, 1.251 and 1.274, or
146
where the proceeding is terminated on case or category of cases be performed

motion (see § 1.302), the presiding offi- by a commissioner, or a panel of com-
cer shall prepare an initial (or rec- missioners, in which event the commis-
ommended) decision, which shall be sioner or panel shall exercise the au-
transmitted to the Secretary of the thority and perform the functions
Commission. In the case of rate mak- which would otherwise have been per-
ing proceedings conducted under sec- formed by the Commission under
tions 201–205 of the Communications §§ 1.273 through 1.282.
Act, the presumption shall be that the NOTE: To provide for an orderly completion
presiding officer shall prepare an ini- of cases, exceptions and related pleadings
tial or recommended decision. The Sec- filed after March 1, 1996, shall be directed to
retary will make the decision public the Commission and will not be acted upon
immediately and file it in the docket of by the Review Board.
the case. [62 FR 4171, Jan. 29, 1997]
(b) Each initial and recommended de-
cision shall contain findings of fact and § 1.273 Waiver of initial or rec-
conclusions, as well as the reasons or ommended decision.
basis therefor, upon all the material At the conclusion of the hearing or
issues of fact, law, or discretion pre- within 20 days thereafter, all parties to
sented on the record; each initial deci- the proceeding may agree to waive an
sion shall also contain the appropriate initial or recommended decision, and
rule or order, and the sanction, relief may request that the Commission issue
or denial thereof; and each rec- a final decision or order in the case. If
ommended decision shall contain rec- the Commission has directed that its
ommendations as to what disposition review function in the case be per-
of the case should be made by the Com- formed by a commissioner, a panel of
mission. Each initial decision will commissioners, the request shall be di-
show the date upon which it will be- rected to the appropriate review au-
come effective in accordance with the thority. The Commission or such re-
rules in this part in the absence of ex- view authority may in its discretion
ceptions, appeal, or review. grant the request, in whole or in part,
(c) The authority of the Presiding Of- if such action will best conduce to the
ficer over the proceedings shall cease proper dispatch of business and to the
when he has filed his Initial or Rec- ends of justice.
ommended Decision, or if it is a case in [28 FR 12425, Nov. 22, 1963, as amended at 62
which he is to file no decision, when he FR 4171, Jan. 29, 1997]
has certified the case for decision:
Provided, however, That he shall retain § 1.274 Certification of the record to
limited jurisdiction over the pro- the Commission for initial or final
ceeding for the purpose of effecting cer- decision.
tification of the transcript and correc- (a) Where the presiding officer is
tions to the transcript, as provided in available to the Commission, and
§§ 1.260 and 1.261, respectively, and for where the Commission finds upon the
the purpose of ruling initially on appli- record that due and timely execution
cations for awards of fees and expenses of its functions imperatively and un-
under the Equal Access to Justice Act. avoidably so requires, the Commission
(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. may direct that the record in a pending
409, 5 U.S.C. 557; secs. 4, 303, 307, 48 Stat., as proceeding be certified to it for initial
amended, 1066, 1082, 1083: 47 U.S.C. 154, 303, or final decision. Unless the Commis-
307) sion finds that due and timely execu-
[28 FR 12425, Nov. 22, 1963, as amended at 41 tion of its functions imperatively and
FR 14873, Apr. 8, 1976; 47 FR 3786, Jan. 27, unavoidably requires that no rec-
1982] ommended decision be issued, the pre-
siding officer will prepare and file a
REVIEW PROCEEDINGS recommended decision, which will be
released with the Commission’s initial
§ 1.271 Delegation of review function. or final decision.
The Commission may direct, by order (b) Where the presiding officer be-
or rule, that its review function in a comes unavailable to the Commission
147
§ 1.276 47 CFR Ch. I (10–1–02 Edition)
after the taking of testimony has been (2) Exceptions shall be consolidated
concluded, the Commission may direct with the argument in a supporting
that the record in a pending proceeding brief and shall not be submitted sepa-
be certified to it for initial or final de- rately. As used in this subpart, the
cision. In that event, the record shall term exceptions means the document
be certified to the Commission by the consolidating the exceptions and sup-
Chief Administrative Law Judge. porting brief. The brief shall contain (i)
(c)(1) Where the presiding officer be- a table of contents, (ii) a table of cita-
comes unavailable to the Commission tions, (iii) a concise statement of the
after the taking of evidence has com- case, (iv) a statement of the questions
menced but before it has been con- of law presented, and (v) the argument,
cluded, the Commission may order a presenting clearly the points of fact
rehearing before another presiding offi- and law relied upon in support of the
cer designated in accordance with position taken on each question, with
§ 1.241. specific reference to the record and all
(2) Upon a finding that due and time- legal or other materials relied on.
ly execution of its functions impera- (b) The Commission may on its own
tively and unavoidably so requires, the initiative provide, by order adopted not
Commission may (as an alternative) later than 20 days after the time for fil-
order that the hearing be continued by ing exceptions expires, that an initial
another presiding officer designated in decision shall not become final, and
accordance with § 1.241 or by the Com- that it shall be further reviewed or
mission itself. In that event, the officer considered by the Commission.
continuing the hearing shall, upon (c) In any case in which an initial de-
completion of the hearing, certify the cision is subject to review in accord-
proceeding to the Commission for an ance with paragraph (a) or (b) of this
initial or final decision. Unless the section, the Commission may, on its
Commission finds upon the record that own initiative or upon appropriate re-
due and timely execution of its func- quests by a party, take any one or
tions imperatively and unavoidably re- more of the following actions:
quires that no recommended decision (1) Hear oral argument on the excep-
be issued, the officer continuing the tions;
hearing shall prepare and file a rec- (2) Require the filing of briefs;
ommended decision to be released with (3) Prior to or after oral argument or
the Commission’s initial or final deci- the filing of exceptions or briefs, re-
sion. If all the parties expressly con- open the record and/or remand the pro-
sent, and if the Commission does not ceedings to the presiding officer to
order otherwise, the officer continuing take further testimony or evidence;
the hearing may prepare an initial de- (4) Prior to or after oral argument or
cision. the filing of exceptions or briefs, re-
(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. mand the proceedings to the presiding
409) officer to make further findings or con-
clusions; and
§ 1.276 Appeal and review of initial de- (5) Prior to or after oral argument or
cision. the filing of exceptions or briefs, issue,
(a)(1) Within 30 days after the date on or cause to be issued by the presiding
which public release of the full text of officer, a supplemental initial decision.
an initial decision is made, or such (d) No initial decision shall become
other time as the Commission may effective before 50 days after public re-
specify, any of the parties may appeal lease of the full text thereof is made
to the Commission by filing exceptions unless otherwise ordered by the Com-
to the initial decision, and such deci- mission. The timely filing of excep-
sion shall not become effective and tions, the further review or consider-
shall then be reviewed by the Commis- ation of an initial decision on the Com-
sion, whether or not such exceptions mission’s initiative, or the taking of
may thereafter be withdrawn. It is the action by the Commission under para-
Commission’s policy that extensions of graph (c) of this section shall stay the
time for filing exceptions shall not be effectiveness of the initial decision
routinely granted. until the Commission’s review thereof
148
has been completed. If the effective ever, all other contents of and attach-
date of an initial decision falls within ments to the brief are counted.) Within
any further time allowed for the filing 10 days, or such other time as the Com-
of exceptions, it shall be postponed mission or delegated authority may
automatically until 30 days after time specify, after the time for filing excep-
for filing exceptions has expired. tions has expired, any other party may
(e) If no exceptions are filed, and the file a reply brief, which shall not ex-
Commission has not ordered the review ceed 25 double spaced typewritten
of an initial decision on its initiative, pages and shall contain a table of con-
or has not taken action under para- tents and a table of citations. If excep-
graph (c) of this section, the initial de- tions have been filed, any party may
cision shall become effective, an appro- request oral argument not later than
priate notation to that effect shall be five days after the time for filing re-
entered in the docket of the case, and plies to the exceptions has expired. The
a ‘‘Public Notice’’ thereof shall be Commission or delegated authority, in
given by the Commission. The provi- its discretion, will grant oral argument
sions of § 1.108 shall not apply to such by order only in cases where such oral
public notices. presentations will assist in the resolu-
(f) When any party fails to file exception of the issues presented. Within
tions within the specified time to an five days after release of an order des-
initial decision which proposes to deny ignating an initial decision for oral ar-
its application, such party shall be gument, as provided in paragraph (d) of
deemed to have no interest in further this section, any party who wishes to
prosecution of its application, and its participate in oral argument shall file
application may be dismissed with a written notice of intention to appear
prejudice for failure to prosecute. and participate in oral argument. Fail-
(Sec. 40, 48 Stat. 1096, as amended; 47 U.S.C. ure to file a written notice shall con-
409) stitute a waiver of the opportunity to
[28 FR 12425, Nov. 22, 1963, as amended at 41 participate.
FR 14873, Apr. 8, 1976] (d) Each order scheduling a case for
oral argument will contain the allot-
§ 1.277 Exceptions; oral arguments. ment of time for each party for oral ar-
(a) The consolidated supporting brief gument before the Commission. The
and exceptions to the initial decision Commission will grant, in its discre-
(see § 1.276(a)(2)), including rulings upon tion, upon good cause shown, an exten-
motions or objections, shall point out sion of such time upon petition by a
with particularity alleged material er- party, which petition must be filed
rors in the decision or ruling and shall within 5 days after issuance of said
contain specific references to the page order for oral argument.
or pages of the transcript of hearing, (e) Within 10 days after a transcript
exhibit or order if any on which the ex- of oral argument has been filed in the
ception is based. Any objection not office of the Secretary of the Commis-
saved by exception filed pursuant to sion, any party who participated in the
this section is waived. oral argument may file with the Com-
(b) Within the period of time allowed mission a motion requesting correction
in § 1.276(a) for the filing of exceptions, of the transcript, which motion shall
any party may file a brief in support of be accompanied by proof of service
an initial decision, in whole or in part, thereof upon all other parties who par-
which may contain exceptions and ticipated in the oral argument. Within
which shall be similar in form to the 5 days after the filing of such a motion,
brief in support of exceptions (see other parties may file a pleading in
§ 1.276(a)(2)). support of or in opposition to such mo-
(c) Except by special permission, the tion. Thereafter, the officer who pre-
consolidated brief and exceptions will sided at the oral argument shall, by
not be accepted if the exceptions and order, specify the corrections to be
argument exceed 25 double-spaced made in the transcript, and a copy of
typewritten pages in length. (The table the order shall be served upon all par-
of contents and table of citations are ties to the proceeding. The officer who
not counted in the 25 page limit; how- presided at the oral argument may, on
149
§ 1.279 47 CFR Ch. I (10–1–02 Edition)
his own initiative, by order, specify (3) The appropriate rule or oder and
corrections to be made in the tran- the sanction, relief or denial thereof.
script on 5 days notice of the proposed
(Sec. 8(b), 60 Stat. 2422; 5 U.S.C. 1007(b))
corrections to all parties who partici-
pated in the oral argument. [28 FR 12425, Nov. 22, 1963, as amended at 41
FR 14873, Apr. 8, 1976]
(f) Any commissioner who is not
present at oral argument and who is INTERLOCUTORY ACTIONS IN HEARING
otherwise authorized to participate in PROCEEDINGS
a final decision may participate in
making that decision after reading the § 1.291 General provisions.
transcript of oral argument.
(a)(1) The Commission acts on peti-
(Sec. 409, 48 Stat. 1096, as amended; 47 U.S.C. tions to amend, modify, enlarge or de-
409) lete the issues in hearing proceedings
[28 FR 12425, Nov. 22, 1963, as amended at 41 which involve rule making matters ex-
FR 14873, Apr. 8, 1976; 41 FR 34259, Aug. 13, clusively. It also acts on interlocutory
1976; 44 FR 12426, Mar. 7, 1979; 56 FR 793, Jan. pleadings filed in matters or pro-
9, 1991; 62 FR 4171, Jan. 29, 1997] ceedings which are before the Commis-
sion.
§ 1.279 Limitation of matters to be re- (2) The Chief Administrative Law
viewed. Judge acts on those interlocutory mat-
Upon review of any initial decision, ters listed in § 0.351 of this chapter.
the Commission may, in its discretion, (3) All other interlocutory matters in
limit the issues to be reviewed to those hearing proceedings are acted on by
findings and conclusions to which ex- the presiding officer. See §§ 0.218 and
ceptions have been filed, or to those 0.341 of this chapter.
findings and conclusions specified in (4) Each interlocutory pleading shall
the Commission’s order of review indicate in its caption whether the
issued pursuant to § 1.276(b). pleading is to be acted upon by the
Commission, the Chief Administrative
§ 1.282 Final decision of the Commis- Law Judge, or the presiding officer. If
sion. the pleading is to be acted upon by the
(a) After opportunity has been af- presiding officer, he shall be identified
by name.
forded for the filing of proposed find-
ings of fact and conclusions, excep- (b) All interlocutory pleadings shall
be submitted in accordance with the
tions, supporting statements, briefs,
provisions of §§ 1.4, 1.44, 1.47, 1.48, 1.49,
and for the holding of oral argument as
and 1.52.
provided in this subpart, the Commis-
(c)(1) Procedural rules governing in-
sion will issue a final decision in each
terlocutory pleadings are set forth in
case in which an initial decision has
§§ 1.294–1.298.
not become final.
(2) Rules governing appeal from, and
(b) The final decision shall contain:
reconsideration of, interlocutory rul-
(1) Findings of fact and conclusions, ings made by the presiding officer are
as well as the reasons or basis therefor, set forth in §§ 1.301 and 1.303.
upon all the material issues of fact, law (3) Rules governing the review of in-
or discretion presented on the record; terlocutory rulings made by the Chief
(2) Rulings on each relevant and ma- Administrative Law Judge are set
terial exception filed; the Commission forth in §§ 1.101, 1.102(b), 1.115, and 1.117.
will deny irrelevant exceptions, or Petitions requesting reconsideration of
those which are not of decisional sig- an interlocutory ruling made by the
nificance, without a specific statement Commission, or the Chief Administra-
of reasons prescribed by paragraph tive Law Judge will not be entertained.
(b)(1) of this section; and See, however, § 1.113.
150
(d) No initial decision shall become § 1.297 Oral argument.

effective under § 1.276(e) until all inter-
Oral argument with respect to any
locutory matters pending before the
Commission in the proceeding at the contested interlocutory matter will be
time the initial decision is issued have held when, in the opinion of the per-
been disposed of and the time allowed son(s) who is to make the ruling, the
for appeal from interlocutory rulings of ends of justice will be best served
the presiding officer has expired. thereby. Timely notice will be given of
the date, time, and place of any such
(Secs. 4(i), 303(r) and 5(c)(1) of the Commu-
oral argument.
nications Act of 1934, as amended; 47 CFR
0.61 and 0.283) [29 FR 6444, May 16, 1964]
FR 12773, Sept. 10, 1964; 37 FR 19372, Sept. 20, § 1.298 Rulings; time for action.
1972; 41 FR 14873, Apr. 8, 1976; 49 FR 4381, Feb. (a) Unless it is found that irreparable
6, 1984; 62 FR 4171, Jan. 29, 1997]
injury would thereby be caused one of
§ 1.294 Oppositions and replies. the parties, or that the public interest
requires otherwise, or unless all parties
(a) Any party to a hearing may file
an opposition to an interlocutory re- have consented to the contrary, consid-
quest filed in that proceeding. eration of interlocutory requests will
(b) Except as provided in paragraph be withheld until the time for filing op-
(c) of this section, oppositions shall be positions (and replies, if replies are al-
filed within 4 days after the original lowed) has expired. As a matter of dis-
pleading is filed, and replies to opposi- cretion, however, requests for continu-
tions will not be entertained. See, how- ances and extensions of time, requests
ever, § 1.732. for permission to file pleadings in ex-
(c) Oppositions to pleadings in the cess of the length prescribed in this
following categories shall be filed with- chapter, and requests for temporary re-
in 10 days after the pleading is filed. lief may be ruled upon ex parte without
Replies to such oppositions shall be waiting for the filing of responsive
filed within 5 days after the opposition pleadings.
is filed, and shall be limited to matters (b) In the discretion of the presiding
raised in the opposition. officer, rulings on interlocutory mat-
(1) Petitions to amend, modify, enters may be made orally at the hear-
large, or delete the issues upon which ing. The presiding officer may, in his
the hearing was ordered. discretion, state his reasons on the
(2) [Reserved]
record or subsequently issue a written
(3) Petitions by adverse parties re-
statement of the reasons for his ruling,
questing dismissal of an application.
(4) Joint requests for approval of either separately or as part of the ini-
agreements filed pursuant to § 1.525. tial decision.
(d) Additional pleadings may be filed [28 FR 12425, Nov. 22, 1963, as amended at 29
only if specifically requested or au- FR 6444, May 16, 1964; 41 FR 14874, Apr. 8,
thorized by the person(s) who is to 1976]
make the ruling.
APPEAL AND RECONSIDERATION OF
FR 10909, Mar. 22, 1974] PRESIDING OFFICER’S RULING
§ 1.296 Service. § 1.301 Appeal from presiding officer’s

interlocutory ruling; effective date
No pleading filed pursuant to § 1.51 or of ruling.
§ 1.294 will be considered unless it is ac-
companied by proof of service upon the (a) Interlocutory rulings which are ap-
parties to the proceeding. pealable as a matter of right. Rulings
listed in this paragraph are appealable
(Secs. 4(i), 303(r) and 5(c)(1) of the Commu-
as a matter of right. An appeal from
nications Act of 1934, as amended; 47 CFR
0.61 and 0.283) such a ruling may not be deferred and
raised as an exception to the initial de-
[49 FR 4381, Feb. 6, 1984, as amended at 62 FR
cision.
4171, Jan. 29, 1997]
151
§ 1.301 47 CFR Ch. I (10–1–02 Edition)
(1) If the presiding officer’s ruling de- siding officer on the ground that objec-
nies or terminates the right of any per- tion to the ruling should be deferred
son to participate as a party to a hear- and raised as an exception. In the dis-
ing proceeding, such person, as a mat- cretion of the presiding officer, the re-
ter of right, may file an appeal from quest for permission to file appeal may
that ruling. be made orally, on the record of the
(2) If the presiding officer’s ruling re- proceeding. The request may be dis-
quires testimony or the production of posed of orally.
documents, over objection based on a (1) If an appeal is not allowed, or is
claim of privilege, the ruling on the dismissed by the Commission, or if per-
claim of privilege is appealable as a mission to file an appeal is not re-
matter of right. quested, objection to the ruling may be
(3) If the presiding officer’s ruling de- raised on review of the initial decision.
nies a motion to disqualify the pre- (2) If an appeal is allowed and is con-
siding judge, the ruling is appealable as sidered on its merits, the disposition
a matter of right. on appeal is final. Objection to the rul-
(4) Rulings granting a joint request ing or to the action on appeal may not
filed under § 1.525 without terminating be raised on review of the initial deci-
the proceeding are appealable by any sion.
party as a matter of right. (3) If the presiding officer modifies
(5) A ruling removing counsel from the ruling, any party adversely af-
the hearing is appealable as a matter of fected by the modified ruling may file
right, by counsel on his own behalf or a request for permission to file appeal,
by his client. (In the event of such rul- pursuant to the provisions of this para-
ing, the presiding officer will adjourn graph.
the hearing for such period as is rea- (c) Procedures, effective date. (1) Un-
sonably necessary for the client to se- less the presiding officer orders other-
cure new counsel and for counsel to fa- wise, rulings made by him shall be ef-
miliarize himself with the case). fective when the order is released or (if
(b) Other interlocutory rulings. Except no written order) when the ruling is
as provided in paragraph (a) of this sec- made. The Commission may stay the
tion, appeals from interlocutory rul- effect of any ruling which comes before
ings of the presiding officer shall be it for consideration on appeal.
filed only if allowed by the presiding (2) Appeals filed under paragraph (a)
officer. Any party desiring to file an of this section shall be filed within 5
appeal shall first file a request for per- days after the order is released or (if no
mission to file appeal. The request written order) after the ruling is made.
shall be filed within 5 days after the Appeals filed under paragraph (b) of
order is released or (if no written this section shall be filed within 5 days
order) after the ruling is made. Plead- after the appeal is allowed.
ings responsive to the request shall be (3) The appeal shall conform with the
filed only if they are requested by the specifications set out in § 1.49 and shall
presiding officer. The request shall be subscribed and verified as provided
contain a showing that the appeal pre- in § 1.52.
sents a new or novel question of law or (4) The appeal shall be served on par-
policy and that the ruling is such that ties to the proceeding (see §§ 1.47 and
error would be likely to require remand 1.211), and shall be filed with the Sec-
should the appeal be deferred and retary, Federal Communications Com-
raised as an exception. The presiding mission, Washington, D.C. 20554.
officer shall determine whether the (5) The appeal shall not exceed 5 dou-
showing is such as to justify an inter- ble-spaced typewritten pages.
locutory appeal and, in accordance (6) Appeals are acted on by the Com-
with his determination, will either mission.
allow or disallow the appeal or modify (7) Oppositions and replies shall be
the ruling. If the presiding officer al- served and filed in the same manner as
lows or disallows the appeal, his ruling appeals and shall be served on appel-
is final: Provided, however, That the lant if he is not a party to the pro-
Commission may, on its own motion, ceeding. Oppositions shall be filed
dismiss an appeal allowed by the pre- within 5 days after the appeal is filed.
152
Replies shall not be permitted, unless shall be filed within 10 days after the
the Commission specifically requests opposition is filed and shall be limited
them. Oppositions shall not exceed 5 to matters raised in the oppositions.
double-spaced typewritten pages. Re- Oppositions shall not exceed 25 double-
plies shall not exceed 5 double-spaced spaced typewritten pages. Replies shall
typewritten pages. not exceed 10 double-spaced type-
written pages.
1082, 1083; 47 U.S.C. 154, 303, 307) [35 FR 17333, Nov. 11, 1970, as amended at 36
[35 FR 17333, Nov. 11, 1970, as amended at 40 FR 7423, Apr. 20, 1971; 62 FR 4171, Jan. 29,
FR 39509, Aug. 28, 1975; 41 FR 14874, Apr. 8, 1997]
1976; 41 FR 28789, July 13, 1976; 46 FR 58682,
Dec. 3, 1981; 55 FR 36641, Sept. 6, 1990; 62 FR THE DISCOVERY AND PRESERVATION OF
4171, Jan. 29, 1997] EVIDENCE
§ 1.302 Appeal from presiding officer’s AUTHORITY: Sections 1.311 through 1.325 are
final ruling; effective date of ruling. issued under secs. 4, 303, 409, 48 Stat., as
(a) If the presiding officer’s ruling amended, 1066, 1082, 1096; 47 U.S.C. 154, 303,
terminates a hearing proceeding, any 409, 5 U.S.C. 552.
party to the proceeding, as a matter of § 1.311 General.
right, may file an appeal from that rul-
ing within 30 days after the ruling is Sections 1.311 through 1.325 provide
released. for taking the deposition of any person
(b) Any party who desires to preserve (including a party), for interrogatories
the right to appeal shall file a notice of to parties, and for orders to parties re-
appeal within 10 days after the ruling lating to the production of documents
is released. If a notice of appeal is not and things and for entry upon real
filed within 10 days, the ruling shall be property. These procedures may be
effective 30 days after the ruling is re- used for the discovery of relevant facts,
leased and within this period, may be for the production and preservation of
reviewed by the Commission on its own evidence for use at the hearing, or for
motion. If an appeal is not filed fol- both purposes.
lowing notice of appeal, the ruling (a) Applicability. For purposes of dis-
shall be effective 50 days after the day covery, these proecdures may be used
of its release and, within this period, in any case of adjudication (as defined
may be reviewed by the Commission on in the Administrative Procedure Act)
its own motion. If an appeal is filed, or which has been designated for hearing.
if the Commission reviews the ruling For the preservation of evidence, they
on its own motion, the effect of the rul- may be used in any case which has
ing is further stayed pending the com- been designated for hearing and is con-
pletion of proceedings on appeal or re- ducted under the provisions of this sub-
view. part (see § 1.201).
(c) The appeal shall conform with the (b) Scope of examination. Persons and
specifications set out in § 1.49 and shall parties may be examined regarding any
be subscribed and verified as provided matter, not privileged, which is rel-
in § 1.52. evant to the hearing issues, including
(d) The appeal shall be served on par- the existence, description, nature, cus-
ties to the proceeding (see §§ 1.47 and tody, condition and location of any
1.211), and shall be filed with the Sec- books, documents, or other tangible
retary, Federal Communications Com- things and the identity and location of
mission, Washington, D.C. 20554. persons having knowledge of relevant
(e) The appeal shall not exceed 25 facts. It is not ground for objection to
double-spaced typewritten pages. use of these procedures that the testi-
(f) The Commission will act on the mony will be inadmissible at the hear-
appeal. ing if the testimony sought appears
(g) Oppositions and replies shall be reasonably calculated to lead to the
filed and served in the same manner as discovery of admissible evidence. The
the appeal. Oppositions to an appeal use of these procedures against the
shall be filed within 15 days after the Commission is subject to the following
appeal is filed. Replies to oppositions additional limitations:
153
§ 1.313 47 CFR Ch. I (10–1–02 Edition)
(1) The informer’s privilege shall en- siding officer, discovery may be initi-
compass information which may lead ated before or after the prehearing con-
to the disclosure of an informer’s iden- ference provided for in § 1.248 of this
tity. part.
(2) Commission personnel may not be (3) In all proceedings, the presiding
questioned by deposition for the pur- officer may at any time order the par-
poses of discovery except on special ties or their attorneys to appear at a
order of the Commission, but may be conference to consider the proper use
questioned by written interrogatories of these procedures, the time to be al-
under § 1.323. Interrogatories shall be lowed for such use, and/or to hear
served on the appropriate Bureau Chief agrument and render a ruling on dis-
(see § 1.21(b)). They will be answered putes that arise under these rules.
and signed by those personnel with (d) Who shall act. Actions provided for
knowledge of the facts. The answers in §§ 1.311 through 1.325 will, in most
will be served by the Secretary of the cases, be taken by the officer des-
Commission upon parties to the pro- ignated to preside at the hearing (see
ceeding. § 1.241). If the proceeding, or a par-
(3) Commission records are not sub- ticular matter to which the action re-
ject to discovery under § 1.325. The in- lates, is before the Commission, a com-
spection of Commission records is gov- missioner or panel of commissioners,
erned by the Freedom of Information or the Chief Administrative Law
Act, as amended, and by §§ 0.451 Judge, the action will be taken by such
through 0.467 of this chapter. Commis- officer or body. The term presiding offi-
sion employees may be questioned by cer, as used in §§ 1.311 through 1.325
written interrogatories regarding the shall be understood to refer to the ap-
existence, nature, description, custody, propriate officer or body. See §§ 0.341,
condition and location of Commission 0.351, 0.365, and 1.271 of this chapter.
records, but may not be questioned
(e) Stipulations regarding the taking of
concerning their contents unless the
depositions. If all of the parties so stipu-
records are available (or are made
late in writing and if there is no inter-
available) for inspection under §§ 0.451
ference to the conduct of the pro-
through 0.467. See § 0.451(b)(5) of this
ceeding, depositions may be taken be-
chapter.
fore any person, at any time (subject to
(4) Subject to paragraphs (b) (1)
the limitation below) or place, upon
through (3) of this section, Commission
any notice and in any manner, and
personnel may be questioned generally
when so taken may be used like other
by written interrogatories regarding
depositions. An original and one copy
the existence, description, nature, cus-
of the stipulation shall be filed with
tody, condition and location of rel-
the Secretary of the Commission, and a
evant documents and things and re-
copy of the stipulation shall be served
garding the identity and location of
on the presiding officer, at least 3 days
persons having knowledge of relevant
before the scheduled taking of the dep-
facts, and may otherwise only be exam-
osition.
ined regarding facts of the case as to
which they have direct personal knowl- [33 FR 463, Jan. 12, 1968, as amended at 40 FR
edge. 39509, Aug. 28, 1975; 47 FR 51873, Nov. 18, 1982;
(c) Schedule for use of the procedures. 56 FR 794, Jan. 9, 1991; 62 FR 4171, Jan. 29,
(1) In comparative broadcast pro- 1997]
ceedings involving applicants for only
new facilities, discovery commences § 1.313 Protective orders.
with the release of the hearing designa- The use of the procedures set forth in
tion order, and, in routine cases, the §§ 1.311 through 1.325 of this part is sub-
discovery phase of the proceeding will ject to control by the presiding officer,
be conducted in a manner intended to who may issue any order consistent
conclude that portion of the case with- with the provisions of those sections
in 90 days of the release of the designa- which is appropriate and just for the
tion order. purpose of protecting parties and depo-
(2) In all other proceedings, except as nents or of providing for the proper
provided by special order of the pre- conduct of the proceeding. Whenever
154
doing so would be conducive to the effi- and address of the officer before whom
cient and expeditious conduct of the the deposition is to be taken.
proceeding, the presiding officer may (3) The matters upon which each per-
convene a conference to hear argument son will be examined. See § 1.319.
and issue a ruling on any disputes that (b) Responsive pleadings. (1) Within 7
may arise under these rules. The rul- days after service of the notice to take
ing, whether written or delivered on depositions, a motion opposing the tak-
the record at a conference, may specify ing of depositions may be filed by any
any measures, including the following party to the proceeding or by the per-
to assure proper conduct of the pro- son to be examined. See § 1.319(a).
ceeding or to protect any party or de- (2) Within 14 days after service of the
ponent from annoyance, expense, notice to take depositions, a response
embarassment or oppression: to the opposition motion may be filed
(a) That depositions shall not be by any party to the proceeding.
taken or that interrogatories shall not (3) Additional pleadings should not be
be answered. filed and will not be considered.
(b) That certain matters shall not be (4) The computation of time provi-
inquired into. sions set forth in § 1.4(g) shall not apply
(c) That the scope of the examination to pleadings filed under the provisions
or interrogatories shall be limited to of this paragraph.
certain matters. (c) Protective order. On an opposition
(d) That depositions may be taken motion filed under paragraph (b) of this
only at some designated time or place, section, or on his own motion, the pre-
or before an officer, other than that siding officer may issue a protective
stated in the notice. order. See § 1.313. A protective order
(e) That depositions may be taken issued by the presiding officer on his
only by written interrogatories or only own motion may be issued at any time
upon oral examination. prior to the date specified in the notice
(f) That, after being sealed, the depo- for the taking of depositions.
sition shall be opened only by order of (d) Authority to take depositions. (1) If
the presiding officer. an opposition motion is not filed with-
[33 FR 463, Jan. 12, 1968, as amended at 56 FR in 7 days after service of the notice to
794, Jan. 9, 1991] take depositions, and if the presiding
officer does not on his own motion
§ 1.315 Depositions upon oral examina- issue a protective order prior to the
tion—notice and preliminary proce- time specified in the notice for the tak-
dure. ing of depositions, the depositions de-
(a) Notice. A party to a hearing pro- scribed in the notice may be taken. An
ceeding desiring to take the deposition order for the taking of depositions is
of any person upon oral examination not required.
shall give a minimum of 21 days notice (2) If an opposition motion is filed,
in writing to every other party, to the the depositions described in the notice
person to be examined, and to the pre- shall not be taken until the presiding
siding officer. An original and three officer has acted on that motion. If the
copies of the notice shall be filed with presiding officer authorizes the taking
the Secretary of the Commission. Re- of depositions, he may specify a time,
lated pleadings shall be served and place or officer for taking them dif-
filed in the same manner. The notice ferent from that specified in the notice
shall contain the following informa- to take depositions.
tion: (3) If the presiding officer issues a
(1) The name and address of each per- protective order, the depositions de-
son to be examined, if known, and if scribed in the notice may be taken (if
the name is not known, a general de- at all) only in accordance with the pro-
scription sufficient to identify him or visions of that order.
the particular class or group to which (e) Broadcast comparative proceedings
he belongs. involving applicants for only new facili-
(2) The time and place for taking the ties. In these cases, the 21-day advance
deposition of each person to be exam- notice provision of paragraph (a) of
ined, and the name or descriptive title this section shall be inapplicable to
155
§ 1.316 47 CFR Ch. I (10–1–02 Edition)
depositions of active and passive own- with notice to the witness of any addi-
ers of applicants in the proceeding. All tional matters upon which he will be
applicants in such proceedings should examined.
be prepared to make their active and (c) Cross interrogatories. Within 14
passive owners available for deposi- days after the filing and service of the
tions during the period commencing original interrogatories, any party to
with the deadline for filing notices of the proceeding may, in the same man-
appearance and ending 90 days after ner, file and serve cross interrog-
the release of the designation order, if atories, which shall be limited to mat-
such depositions are requested by a ters raised in the original or in the ad-
party to the proceeding. All such depo-
ditional interrogatories.
sitions will be conducted in Wash-
(d) Responsive pleadings. (1) Within 21
ington, DC or in the community of li-
cense of the proposed station, at the days after service of the original inter-
deponent’s option, unless all parties rogatories, any party to the proceeding
agree to some other location. may move to limit or suppress any
original, additional or cross interrog-
[33 FR 10571, July 25, 1968, as amended at 56 atory, and the person to be examined
FR 794, Jan. 9, 1991]
may file a motion opposing the taking
§ 1.316 Depositions upon written inter- of depositions. See § 1.319(a).
rogatories—notice and preliminary (2) Within 28 days after service of the
procedure. original interrogatories, a response to
(a) Service of interrogatories; notice. A a motion to limit or suppress any in-
party to the hearing proceeding desir- terrogatory or to a motion opposing
ing to take the deposition of any per- the taking of depositions may be filed
son upon written interrogatories shall by any party to the proceeding.
serve the interrogatories upon every (3) Additional pleadings should not be
other party and shall give a minimum filed and will not be considered.
of 35 days notice in writing to every (e) Protective order. On a motion to
other party and to the person to be ex- limit or suppress or an opposition mo-
amined. An original and three copies of tion filed under paragraph (d) of this
the interrogatories and the notice (and section, or on his own motion, the pre-
of all related pleadings) shall be filed siding officer may issue a protective
with the Secretary of the Commission. order. See § 1.313. A protective order
A copy of the interrogatories and the issued by the presiding officer on his
notice (and of all related pleadings) own motion may be issued at any time
shall be served on the presiding officer. prior to the date specified in the notice
The notice shall contain the following for the taking of depositions.
information: (f) Authority to take depositions. (1) If
(1) The name and address of each per-
an opposition motion is not filed with-
son to be examined, if known, and if
in 21 days after service of the notice to
the name is not known, a general de-
take depositions, and if the presiding
scription sufficient to identify him or
officer does not on his own motion
the particular class or group to which
issue a protective order prior to the
he belongs.
(2) The time and place for taking the time specified in the notice for the tak-
deposition of each person to be exam- ing of depositions, the depositions de-
ined, and the name or descriptive title scribed in the notice may be taken. An
and address of the officer before whom order for the taking of depositions is
the deposition is to be taken. not required.
(3) The matters upon which each per- (2) If an opposition motion is filed,
son will be examined. See § 1.319. the depositions described in the notice
(b) Additional interrogatories. Within 7 shall not be taken until the presiding
days after the filing and service of the officer has acted on that motion. If the
original interrogatories, any other presiding officer authorizes the taking
party to the proceeding may, in the of depositions, he may specify a time,
same manner, file and serve additional place or officer for taking them dif-
interrogatories to be asked of the same ferent from that specified in the notice
witness at the same time and place, to take depositions.
156
(3) If the presiding officer issues a in the notice, who shall propound them
protective order, the depositions de- to the witness and record the answers
scribed in the notice may be taken (if verbatim.
at all) only in accordance with the pro- (2) In the taking of depositions upon
visions of that order. written interrogatories, the party who
NOTE: The computation of time provisions served the original interrogatories
of § 1.4(g) shall not apply to interrogatories shall transmit copies of all interrog-
and pleadings filed under the provisions of atories to the officer designated in the
this section. notice, who shall propound them to the
[33 FR 10571, July 25, 1968] witness and record the answers ver-
batim.
§ 1.318 The taking of depositions.
(e) Submission of deposition to witness;
(a) Persons before whom depositions changes; signing. When the testimony is
may be taken. Depositions shall be fully transcribed, the deposition of
taken before any judge of any court of each witness shall be submitted to him
the United States; any U.S. Commis- for examination and shall be read to or
sioner; any clerk of a district court;
by him, unless such examination and
any chancellor, justice or judge of a su-
reading are waiver by the witness and
preme or superior court; the mayor or
chief magistrate of a city; any judge of by the parties. Any changes in form or
a county court, or court of common substance which the witness desires to
pleas of any of the United States; any make shall be entered upon the deposi-
notary public, not being of counsel or tion by the officer with a statement of
attorney to any party, nor interested the reasons given by the witness for
in the event of the proceeding; or pre- making them. The deposition shall
siding officers, as provided in § 1.243. then be signed by the witness, unless
(b) Attendance of witnesses. The at- the parties by stipulation waive the
tendance of witnesses at the taking of signing, or the witness is ill, cannot be
depositions may be compelled by the found, or refuses to sign. If the deposi-
use of subpena as provided in §§ 1.331 tion is not signed by the witness, the
through 1.340. officer shall sign it and state on the
(c) Oath; transcript. The officer before record the fact of the waiver, the ill-
whom the deposition is to be taken ness or absence of the witness, or of his
shall administer an oath or affirmation refusal to sign, together with the rea-
to the witness and shall personally, or son (if any) given therefor; and the dep-
by someone acting under his direction osition may then be used as fully as
and in his presence record the testi- though signed, unless upon a motion to
mony of the witness. The testimony suppress, the presiding officer holds
may be taken stenographically or, that the reason given for the refusal to
upon approval by the presiding officer, sign requires rejection of the deposi-
testimony may be taken through the tion in whole or in part.
use of telephonically or electronically
(f) Certification of deposition and filing
recorded methods, including videotape.
by officer; copies. The officer shall cer-
In the event these latter methods are
tify on the deposition that the witness
used for the deposition, the parties
may agree to the waiver of the provi- was duly sworn by him, that the depo-
sions of paragraphs (e) and (f) as appro- sition is a true record of the testimony
priate and as approved by the presiding given by the witness, and that said offi-
officer. cer is not of counsel or attorney to ei-
(d) Examination. (1) In the taking of ther of the parties, nor interested in
depositions upon oral examination, the the event of the proceeding or inves-
parties may proceed with examination tigation. He shall then securely seal
and cross-examination of deponents as the deposition in an envelope endorsed
permitted at the hearing. In lieu of with the title of the action and marked
participating in the oral examination, ‘‘Deposition of (here insert name of
parties served with the notice to take witness)’’ and shall promptly send the
depositions may transmit written in- original and two copies of the deposi-
terrogatories to the officer designated tion and of all exhibits, together with
157
§ 1.319 47 CFR Ch. I (10–1–02 Edition)
the notice and any interrogatories regarding the proper limits of the exam-
ceived by him, by certified mail to the ination.
Secretary of the Commission. (2) If counsel cannot agree on the
proper limits of the examination the
[33 FR 463, Jan. 12, 1968, as amended at 47 FR
51873, Nov. 18, 1982] taking of depositions shall continue on
matters not objected to and counsel
§ 1.319 Objections to the taking of shall, within 24 hours, either jointly or
depositions. individually, telegraph statements of
(a) Objections to be made by motion their positions to the presiding officer,
prior to the taking of depositions. If there together with the telephone numbers
is objection to the substance of any in- at which they and the officer taking
terrogatory or to examination on any the depositions can be reached, or shall
matter clearly covered by the notice to otherwise jointly confer with the pre-
take depositions, the objection shall be siding officer. If individual statements
made in a motion opposing the taking are submitted, copies shall be provided
of depositions or in a motion to limit to all counsel participating in the tak-
or suppress the interrogatory as pro- ing of depositions.
vided in §§ 1.315(b) and 1.316(d) and shall (3) The presiding officer shall
not be made at the taking of the depo- promptly rule upon the question pre-
sition. sented or take such other action as
(b) Objections to be made at the taking may be appropriate under § 1.313, and
of depositions. Errors and irregularities shall give notice of his ruling, by tele-
occurring at the oral examination in phone, to counsel who submitted state-
the manner of taking the deposition, in ments and to the officer taking the
the form of the questions or answers, depositions. The presiding officer shall
in the oath or affirmation, or in the thereafter reduce his ruling to writing.
conduct of parties, and errors of any (4) The taking of depositions shall
kind which might be obviated, re- continue in accordance with the pre-
moved, or cured if promptly presented, siding officer’s ruling. Such rulings are
are waived unless reasonable objection not subject to appeal.
thereto is made at the taking of the [33 FR 463, Jan. 12, 1968]
deposition. If such objection is made,
counsel shall, if possible, agree upon § 1.321 Use of depositions at the hear-
the measures required to obviate, re- ing.
move, or cure such errors. The meas- (a) No inference concerning the ad-
ures agreed upon shall be taken. If missibility of a deposition in evidence
agreement cannot be reached, the ob- shall be drawn because of favorable ac-
jection shall be noted on the deposition tion on the notice to take depositions.
by the officer taking it, and the testi- (b) Except as provided in this para-
mony objected to shall be taken sub- graph and in § 1.319, objection may be
ject to the objection. made at the hearing to receiving in
(c) Additional objections which may be evidence any deposition or part thereof
made at the taking of depositions. Objec- for any reason which would require the
tion may be made at the taking of exclusion of the evidence if the witness
depositions on the ground of relevancy were then present and testifying.
or privilege, if the notice to take depo- (1) Objections to the competency of a
sitions does not clearly indicate that witness, or the competency, relevancy
the witness is to be examined on the or materiality of testimony are waived
matters to which the objection relates. by failure to make them before or dur-
See paragraph (a) of this section. Ob- ing the taking of depositions if (and
jection may also be made on the only if) the ground of the objection is
ground that the examination is being one which might have been obviated or
conducted in such manner as to unrea- removed if presented at that time.
sonably annoy, embarrass, or oppress a (2) Objection on the ground of privi-
deponent or party. lege is waived by failure to make it be-
(1) When there is objection to a line fore or during the taking of deposi-
of questioning, as permitted by this tions.
paragraph, counsel shall, if possible, (c) A party shall not be deemed to
reach agreement among themselves re- make a person his own witness for any
158
purpose by taking his deposition. The (4) If only part of a deposition is of-
introduction in evidence of the deposi- fered in evidence by a party, an adverse
tion or any part thereof for any pur- party may require him to introduce all
pose other than that of contradicting of it which is relevant to the part in-
or impeaching the deponent makes the troduced, and any party may introduce
deponent the witness of the party in- any other parts.
troducing the deposition, but this shall (5) Substitution of parties does not
not apply to the use by an adverse affect the right to use depositions pre-
party of a deposition as described in viously taken; and, when an action in
paragraph (d)(2) of this section. At the any hearing has been dismissed and an-
hearing any party may rebut any rel- other action involving the same sub-
evant evidence contained in a deposi- ject matter is afterward brought be-
tion whether introduced by him or by tween the same parties or their rep-
any other party. resentatives or successors in interest,
(d) At the hearing (or in a pleading), all depositions lawfully taken and duly
any part or all of a deposition, so far as filed in the former action may be used
admissible, may be used against any in the latter as if originally taken
party who was present or represented therefor.
at the taking of the deposition or who [33 FR 463, Jan. 12, 1968, as amended at 41 FR
had due notice thereof, in accordance 14874, Apr. 8, 1976]
with any one of the following provi-
sions: § 1.323 Interrogatories to parties.
(1) Any deposition may be used by (a) Interrogatories. Any party may
any party for the purpose of contra- serve upon any other party written in-
dicting or impeaching the testimony of terrogatories to be answered in writing
deponent as a witness. by the party served or, if the party
(2) The deposition of a party or of served is a public or private corpora-
any one who at the time of taking the tion or a partnership or association, by
deposition was an officer, director, or any officer or agent, who shall furnish
managing agent of a public or private such information as is available to the
corporation, partnership or association party. A copy of the interrogatories
which is a party may be used by an ad- shall be served upon all parties to the
verse party for any purpose. proceeding. An original and three cop-
(3) To the extent that the affirmative ies of the interrogatories, answers, and
direct case of a party is made in writ- all related pleadings shall be filed with
ing pursuant to § 1.248(d), the deposi- the Secretary of the Commission. A
tion of any witness, whether or not a copy of the interrogatories, answers
party, may be used by any party for and all related pleadings shall be
any purpose, provided the witness is served on the presiding officer.
made available for cross-examination. (1) Except as otherwise provided in a
In all cases, the deposition of a wit- protective order, the number of inter-
ness, whether or not a party, may be rogatories or sets of interrogatories is
used by any party for any purpose if not limited.
the presiding officer finds: (i) That the (2) Except as provided in such an
witness is dead; or (ii) that the witness order, interrogatories may be served
is out of the United States, unless it after a deposition has been taken, and
appears that the absence of the witness a deposition may be sought after inter-
was procured by the party offering the rogatories have been answered.
deposition; or (iii) that the witness is (b) Answers and objections. Each inter-
unable to attend or testify because of rogatory shall be answered separately
age, sickness, infirmity, or imprison- and fully in writing under oath or affir-
ment; or (iv) upon application and no- mation, unless it is objected to, in
tice, that such exceptional cir- which event the reasons for objection
cumstances exist as to make it desir- shall be stated in lieu of an answer.
able in the interest of justice and with The answers shall be signed by the per-
due regard to the importance of pre- son making them, and the objections
senting the testimony of witnesses by the attorney making them. The
orally in open hearing, to allow the party upon whom the interrogatories
deposition to be used. were served shall serve a copy of the
159
§ 1.325 47 CFR Ch. I (10–1–02 Edition)
answers and objections upon all parties § 1.325 Discovery and production of
to the proceeding within 14 days after documents and things for inspec-
service of the interrogatories, or with- tion, copying, or photographing.
in such shorter or longer period as the (a) A party to a Commission pro-
presiding officer may allow. Answers ceeding may request any other party
may be used in the same manner as except the Commission to produce and
depositions of a party (see § 1.321(d)). permit inspection and copying or
(c) Motion to compel an answer. Any photographing, by or on behalf of the
party to the proceeding may, within 7 requesting party, of any designated
days, move for an order with respect to documents, papers, books, accounts,
any objection or other failure to an- letters, photographs, objects, or tan-
gible things which constitute or con-
swer an interrogatory. For purposes of
tain evidence within the scope of the
this paragraph, an evasive or incom-
examination permitted by § 1.311(b) of
plete answer is a failure to answer; and this part and which are in his posses-
if the motion is based on the assertion sion, custody, or control or to permit
that the answer is evasive or incom- entry upon designated land or other
plete, it shall contain a statement as property in his possession or control
to the scope and detail of an answer for purposes of inspecting, measuring,
which would be considered responsive surveying, or photographing the prop-
and complete. The party upon whom erty or any designated object or oper-
the interrogatories were served may ation thereon within the scope of the
file a response within 7 days after the examination permitted by § 1.311(b) of
motion is filed, to which he may ap- this part.
pend an answer or an amended answer. (1) Such requests need not be filed
Additional pleadings should not be sub- with the presiding officer, but copies of
mitted and will not be considered. the request shall be served on all other
(d) Action by the presiding officer. If parties to the proceeding.
the presiding officer determines that (2) The party against whom the re-
an objection is not justified, he shall quest was made must, within 10 days,
comply with the request or object to
order that the answer be served. If an
the request, claiming a privilege or
interrogatory has not been answered,
raising other proper objections. If the
the presiding officer may rule that the
request is not complied with in whole
right to object has been waived and or in part, the requesting party may
may order that an answer be served. If file a motion to compel production of
an answer does not comply fully with documents or access to property with
the requirements of this section, the the presiding officer. A motion to com-
presiding officer may order that an pel must be accompanied by a copy of
amended answer be served, may specify the original request and the responding
the scope and detail of the matters to party’s objection or claim of privilege.
be covered by the amended answer, and Motions to compel must be filed within
may specify any appropriate proce- five business days of the objection or
dural consequences (including adverse claim of privilege.
findings of fact and dismissal with prej- (3) In resolving any disputes involv-
udice) which will follow from the failing the production of documents or ac-
ure to make a full and responsive an- cess to property, the presiding officer
swer. If a full and responsive answer is may direct that the materials objected
not made, the presiding officer may to be presented to him for in camera in-
issue an order invoking any of the pro- spection.
cedural consequences specified in the (b) Any party seeking the production
order to compel an answer. of Commission records should proceed
under § 0.460 or § 0.461 of this chapter.
(e) Appeal. As order to compel an an-
See §§ 0.451 through 0.467.
swer is not subject to appeal.
(c) In comparative broadcast pro-
[33 FR 10572, July 25, 1968, as amended at 35 ceedings involving applicants for only
FR 17334, Nov. 11, 1970] new facilities, all applicants will serve
160
the materials listed in the Standard (xi) All documents relating to com-
Document Production Order and the mitments to divest other media inter-
Standardized Integration Statement on ests; and
all other parties in the case that have (xii) All documents that identify or
filed Notices of Appearance. The ex- describe the principals who are respon-
change of these materials must be ac- sible for completing the application,
complished within five days after the arranging financing, obtaining the ap-
date established for filing notices of plicant’s transmitter site, publishing
appearance (see § 1.221). the required notices, establishing the
(1) Standard Document Production local public inspection file, and retain-
Order. The following documents must ing lawyers, engineers, and other pro-
be produced or objected to on grounds fessionals.
of privilege (Unless otherwise directed (2) Standardized Integration Statement.
by the presiding officer, copies of these On the same day that documents are
documents should not be filed with the exchanged pursuant to the Standard-
presiding officer): ized Document Production Order, the
(i) All formation and organizational following information must also be
documents, including articles of incor- provided by all applicants (Copies of
poration, by laws, partnership agree- this statement should be filed with the
ments, voting rights, proxies, and any presiding officer and served on all par-
amendments to the foregoing docu- ties to the proceeding that have filed
ments; Notices of Appearance):
(ii) All minutes of meetings relating
(i) The ownership structure of the ap-
to the application;
plicant, i.e., whether it is a partner-
(iii) All documents relating to the
ship, limited partnership, or a corpora-
rights or plans of persons or entities to
tion (if a corporation, indicate whether
purchase an interest in the applicant
it has voting and non-voting stock);
or of current owners to alineate their
(ii) The ownership percentage of each
interests;
owner;
(iv) All documents relating to
pledges, mortgages, security interests, (iii) The identity of the owners who
or other encumbrances of any kind will work at the proposed station, what
with respect to the applicant; titles and duties they will have, how
(v) All bank letters and other financ- many hours they will work per week,
ing documents with the dollar amounts and how they will reconcile any cur-
unexpurgated; rent business interests or employment
(vi) All documents relating to the ap- with that commitment to the station;
plicant’s proposed transmitter site; (iv) All other media interests held by
(vii) All documents relating to com- the persons identified under paragraph
munications by proposed integrated (c)(2)(ii), of this section;
principals with respect to their pro- (v) Whether the integrated owners
posed participation in the management will claim credit for minority or fe-
of the station and the disposition of male ownership and if so, specifically
their current employment; on what basis;
(viii) All documents relating to prior (vi) Whether the integrated owners
integration pledges made by principals will claim credit for local residence
who propose to be integrated into the and civic involvement in the city of li-
management of the station at issue; cense or service area and if so, specifi-
(ix) All documents relating to com- cally on what basis (including a de-
munications by and between principals tailed chronology of past residence and
of the applicant concerning the appli- a description of civic activities and
cation, including communications be- their duration);
tween active and passive principals; (vii) Whether the integrated owners
(x) Representative documents relat- will claim credit for previous broadcast
ing to enhancement credits and pref- experience and if so, provide a detailed
erences sought by the applicant’s prin- list of the stations they worked at, the
cipals for local residence, civic partici- titles and duties they had, and the
pation, past broadcast experience, mi- years in which they were so employed;
nority/female status, and the like; and
161
§ 1.331 47 CFR Ch. I (10–1–02 Edition)
(viii) Whether the applicant will § 1.333 Requests for issuance of sub-
claim a daytimer preference and if so, pena.
specifically on what basis. (a) Unless submitted on the record
(3) Supplemental document production. while a hearing is in progress, requests
Parties may request additional rel- for a subpena ad testificandum shall be
evant documents, not called for in the submitted in writing.
Standard Document Production Order, (b) Requests for a subpena duces
at any time after the release of the des- tecum shall be submitted in writing,
ignation order. Supplemental requests duly subscribed and verified, and shall
for documents based on materials ex- specify with particularity the books,
changed pursuant to the Standardized papers, and documents desired and the
Document Production Order and facts expected to be proved thereby.
Standardized Integration Statement Where the subpena duces tecum request
is directed to a nonparty to the pro-
must be filed no later than ten days
ceeding, the presiding officer may issue
after those standardized exchanges.
the same, upon request, without an ac-
Other supplemental document requests companying subpena to enforce a no-
must be filed no later than ten days tice to take depositions, provided for in
after receipt of the information on paragraph (e) of this section, where it
which those requests are based. Supple- appears that the testimony of said per-
mental document requests will be han- son is not required in connection with
dled under the procedures established the subpena duces tecum.
in paragraph (a) of this section. To fa- (c) All requests for subpenas shall be
cilitate the resolution of disputes con- supported by a showing of the general
cerning the production of documents, relevance and materiality of the evi-
the presiding officer may convene a dence sought.
pre-hearing conference to hear argu- (d) Requests for subpenas shall be
ment on and dispose of any such dis- submitted in triplicate, but need not be
putes. served on the parties to the proceeding.
(e) Requests for issuance of a subpena
[33 FR 463, Jan. 12, 1968, as amended at 40 FR ad testificandum to enforce a notice to
39509, Aug. 28, 1975; 56 FR 794, Jan. 9, 1991; 56 take depositions shall be submitted in
FR 25639, June 5, 1991] writing. Such requests may be sub-
mitted with the notice or at a later
SUBPENAS
date. The request shall not be granted
until the period for the filing of mo-
AUTHORITY: Sections 1.331 and 1.333
tions opposing the taking of deposi-
through 1.340 are issued under sec. 409, 48
tions has expired or, if a motion has
Stat. 1096; 47 U.S.C. 409.
been filed, until that motion has been
§ 1.331 Who may sign and issue. acted on. Regardless of the time when
the subpena request is submitted, it
Subpenas requiring the attendance need not be accompanied by a showing
and testimony of witnesses, and sub- that relevant and material evidence
penas requiring the production of any will be adduced, but merely that the
books, papers, schedules of charges, person will be examined regarding a
contracts, agreements, and documents nonprivileged matter which is relevant
relating to any matter under investiga- to the hearing issues. The subpena re-
tion or hearing, may be signed and quest may ask that a subpena duces
issued as follows: tecum be contemporaneously issued
(a) Hearings before the Commission commanding the person to whom it is
en banc, an individual commissioner, directed to produce designated books,
or a panel of commissioners: By any papers, documents, or tangible things
commissioner participating in the con- which constitute or contain evidence
duct of the hearing. relating to any of the matters within
(b) Hearings before an administrative the scope of the examination permitted
by § 1.311(b) but in that event the sub-
law judge: By the administrative law
pena request will be subject to the pro-
judge or, in his absence, by the Chief
visions of § 1.313 and paragraph (b) of
Administrative Law Judge. this section.
162
(f) Requests for issuance of a subpena shall make affidavit thereof, stating
duces tecum to enforce an order for the the date, time, and manner of service.
production of documents and things for (b) In case of failure to make service,
inspection and copying under § 1.325 the reasons for the failure shall be
may be submitted with the motion re- stated on the original subpena by the
questing the issuance of such an order. person who attempted to make service.
Regardless of the time when the sub- (c) The original subpena, bearing or
pena request is submitted, it need not accompanied by the required return af-
be accompanied by a showing that rel-
fidavit or statement, shall be returned
evant and material evidence will be ad-
forthwith to the Secretary of the Com-
duced, but merely that the documents
mission or, if so directed on the sub-
and things to be examined contain non-
privileged matter which is relevant to pena, to the official before whom the
the subject matter of the proceeding. person named in the subpena is re-
quired to appear.
FR 466, Jan. 12, 1968; 47 FR 51873, Nov. 18, § 1.338 Subpena forms.
1982]
(a) Subpena forms, marked
§ 1.334 Motions to quash. ‘‘Original’’, ‘‘Duplicate’’, and
Any person against whom a subpena ‘‘Triplicate’’, and bearing the Commis-
is directed may file a motion to quash sion’s seal, may be obtained from the
or limit the subpena, setting forth the Commission’s Dockets Division. These
reasons why the subpena should not be forms are to be completed and sub-
complied with or why it should be lim- mitted with any request for issuance of
ited in scope. a subpena.
(b) If the request for issuance of a
§ 1.335 Rulings. subpena is granted, the ‘‘Original’’ and
Prompt notice, including a brief ‘‘Duplicate’’ copies of the subpena are
statement of the reasons therefor, will returned to the person who submitted
be given of the denial, in whole or in the request. The ‘‘Triplicate’’ copy is
part, of a request for subpena or of a retained for the Commission’s files.
motion to quash. (c) The ‘‘Original’’ copy of the sub-
pena includes a form for proof of serv-
§ 1.336 Service of subpenas. ice. This form is to be executed by the
(a) A subpena may be served by a person who effects service and returned
United States marshal or his deputy, by him to the Secretary of the Com-
by Commission personnel, or by any mission or, if so directed on the sub-
person who is not a party to the pro- pena, to the official before whom the
ceeding and is not less than 18 years of person named in the subpena is re-
age. quired to appear.
(b) Service of a subpena upon the per- (d) The ‘‘Duplicate’’ copy of the sub-
son named therein shall be made by ex- pena shall be served upon the person
hibiting the original subpena to him, named therein and retained by him.
by reading the original subpena to him This copy should be presented in sup-
if he is unable to read, by delivering
port of any claim for witness fees or
the duplicate subpena to him, and by
mileage allowances for testimony on
tendering to him the fees for one day’s
attendance at the proceeding to which behalf of the Commission.
he is summoned and the mileage al- § 1.339 Witness fees.
lowed by law. If the subpena is issued
on behalf of the United States or an of- Witnesses who are subpenaed and re-
ficer or agency thereof, attendance fees spond thereto are entitled to the same
and mileage need not be tendered. fees, including mileage, as are paid for
like service in the courts of the United
§ 1.337 Return of service. States. Fees shall be paid by the party
(a) If service of the subpena is made at whose instance the testimony is
by a person other than a United States taken.
marshal or his deputy such person
163
§ 1.340 47 CFR Ch. I (10–1–02 Edition)
§ 1.340 Attendance of witness; disobe- of the record. Other counsel will be af-
dience. forded an opportunity to introduce in
The attendance of witnesses and the evidence, in like manner, other por-
production of documentary evidence tions of such document if found to be
may be required from any place in the material and relevant.
United States at any designated place
of hearing. In case of disobedience to a § 1.355 Documents in foreign language.
subpena, the Commission or any party Every document, exhibit, or other
to a proceeding before the Commission paper written in a language other than
may invoke the aid of any court of the English, which shall be filed in any
United States in requiring the attend- proceeding, or in response to any order,
ance and testimony of witnesses and shall be filed in the language in which
the production of documentary evi- it is written together with an English
dence. translation thereof duly verified under
EVIDENCE oath to be a true translation. Each
copy of every such document, exhibit,
§ 1.351 Rules of evidence. or other paper filed shall be accom-
Except as otherwise provided in this panied by a separate copy of the trans-
subpart, the rules of evidence gov- lation.
erning civil proceedings in matters not
§ 1.356 Copies of exhibits.
involving trial by jury in the courts of
the United States shall govern formal No document or exhibit, or part
hearings. Such rules may be relaxed if thereof, shall be received as, or admit-
the ends of justice will be better served ted in, evidence unless offered in dupli-
by so doing. cate. In addition, when exhibits of a
documentary character are to be of-
§ 1.352 Cumulative evidence. fered in evidence, copies shall be fur-
The introduction of cumulative evi- nished to other counsel unless the pre-
dence shall be avoided, and the number siding officer otherwise directs.
of witnesses that may be heard in be-
half of a party on any issue may be § 1.357 Mechanical reproductions as
limited. evidence.
Unless offered for the sole purpose of
§ 1.353 Further evidence during hear-
ing. attempting to prove or demonstrate
sound effect, mechanical or physical
At any stage of a hearing, the pre- reproductions of sound waves shall not
siding officer may call for further evi- be admitted in evidence. Any party de-
dence upon any issue and may require siring to offer any matter alleged to be
such evidence to be submitted by any contained therein or thereupon shall
party to the proceeding. have such matter typewritten on paper
§ 1.354 Documents containing matter of the size prescribed by § 1.49, and the
not material. same shall be identified and offered in
duplicate in the same manner as other
If material and relevant matter of-
exhibits.
fered in evidence is embraced in a doc-
ument containing other matter not § 1.358 Tariffs as evidence.
material or relevant, and not intended
to be put in evidence, such document In case any matter contained in a
will not be received, but the party of- tariff schedule on file with the Com-
fering the same shall present to other mission is offered in evidence, such tar-
counsel, and to the presiding officer, iff schedule need not be produced or
the original document, together with marked for identification, but the mat-
true copies of such material and rel- ter so offered shall be specified with
evant matter taken therefrom, as it is particularity (tariff and page number)
desired to introduce. Upon presen- in such manner as to be readily identi-
tation of such matter, material and fied, and may be received in evidence
relevant, in proper form, it may be re- by reference subject to check with the
ceived in evidence, and become a part original tariff schedules on file.
164
§ 1.359 Proof of official record; authen- § 1.362 Production of statements.

tication of copy. After a witness is called and has
An official record or entry therein, given direct testimony in a hearing,
when admissible for any purpose, may and before he is excused, any party
be evidenced by an official publication may move for the production of any
thereof or by a copy attested by the of- statement of such witness, or part
ficer having legal custody of the thereof, pertaining to his direct testi-
record, or by his deputy, and accom- mony, in possession of the party call-
panied with a certificate that such offi- ing the witness, if such statement has
cer has the custody. If the office in been reduced to writing and signed or
which the record is kept is within the otherwise approved or adopted by the
United States or within a territory or witness. Such motion shall be directed
insular possession subject to the do- to the presiding officer. If the party de-
minion of the United States, the cer- clines to furnish the statement, the
tificate may be made by the judge of a testimony of the witness pertaining to
court of record of the district or polit- the requested statement shall be
ical subdivision in which the record is stricken.
kept, authenticated by the seal of the [33 FR 466, Jan. 12, 1968]
court, or may be made by any public
officer having a seal of office having of- § 1.363 Introduction of statistical data.
ficial duties in the district or political (a) All statistical studies, offered in
subdivision in which the record is kept, evidence in common carrier hearing
authenticated by the seal of his office. proceedings, including but not limited
If the office in which the record is kept to sample surveys, econometric anal-
is in a foreign state or country, the yses, and experiments, and those parts
certificate may be made by a secretary of other studies involving statistical
of embassy or legation, consul general, methodology shall be described in a
consul, vice consul, or consular agent, summary statement, with supple-
or by any officer in the foreign service mentary details added in appendices so
of the United States stationed in the as to give a comprehensive delineation
foreign state or country in which the of the assumptions made, the study
record is kept, and authenticated by plan utilized and the procedures under-
the seal of his office. taken. In the case of sample surveys,
there shall be a clear description of the
§ 1.360 Proof of lack of record. survey design, including the definition
The absence of an official record or of the universe under study, the sam-
entry of a specified tenor in an official pling frame, and the sampling units; an
record may be evidenced by a written explanation of the method of selecting
the sample and the characteristics
statement signed by an officer, or by
measured or counted. In the case of
his deputy, who would have custody of
econometric investigations, the econo-
the official record, if it existed, that
metric model shall be completely de-
after diligent search no record or entry
scribed and the reasons given for each
of a specified tenor is found to exist in
assumption and statistical specifica-
the records of his office, accompanied tion. The effects on the final results of
by a certificate as provided in § 1.359. changes in the assumptions should be
Such statement and certificate are ad- made clear. When alternative models
missible as evidence that the records of and variables have been employed, a
his office contain no such record or record shall be kept of these alter-
entry. native studies, so as to be available
upon request. In the case of experi-
§ 1.361 Other proof of official record.
mental analyses, a clear and complete
Sections 1.359 and 1.360 do not pre- description of the experimental design
vent the proof of official records or of shall be set forth, including a specifica-
entry or lack of entry therein by any tion of the controlled conditions and
method authorized by any applicable how the controls were realized. In addi-
statute or by the rules of evidence at tion, the methods of making observa-
common law. tions and the adjustments, if any, to
165
§ 1.364 47 CFR Ch. I (10–1–02 Edition)
observed data shall be described. In the GENERAL

case of every kind of statistical study,
the following items shall be set forth § 1.399 Scope.
clearly: The formulas used for statis- This subpart shall be applicable to
tical estimates, standard errors and notice and comment rulemakings pro-
test statistics, the description of sta- ceedings conducted under 5 U.S.C. 553,
tistical tests, plus all related computa- and shall have no application to formal
tions, computer programs and final re- rulemaking (or rate making) pro-
sults. Summary descriptions of input ceedings unless the Commission directs
data shall be submitted. Upon request, that it shall govern the conduct of a
the actual input data shall be made particular proceeding.
available. [42 FR 25735, May 19, 1977]
(b) In the case of all studies and anal-
yses offered in evidence in common § 1.400 Definitions.
carrier hearing proceedings, other than As used in this subpart, the term
the kinds described in paragraph (a) of party refers to any person who partici-
this section, there shall be a clear pates in a proceeding by the timely fil-
statement of the study plan, all rel- ing of a petition for rule making, com-
evant assumptions and a description of ments on a notice of proposed rule
the techniques of data collection, esti- making, a petition for reconsideration,
mation and/or testing. In addition, or responsive pleadings in the manner
there shall be a clear statement of the prescribed by this subpart. The term
facts and judgments upon which con- does not include those who submit let-
clusions are based and a statement of ters, telegrams or other informal mate-
the relative weights given to the var- rials.
ious factors in arriving at each conclu- [41 FR 1287, Jan. 7, 1976]
sion, together with an indication of the
alternative courses of action consid- PETITIONS AND RELATED PLEADINGS
ered. Lists of input data shall be made
available upon request. § 1.401 Petitions for rulemaking.
(a) Any interested person may peti-
[35 FR 16254, Oct. 16, 1970]
tion for the issuance, amendment or re-
§ 1.364 Testimony by speakerphone. peal of a rule or regulation.
(b) The petition for rulemaking shall
(a) If all parties to the proceeding conform to the requirements of §§ 1.49,
consent and the presiding officer ap- 1.52 and 1.419(b) (or § 1.420(e), if applica-
proves, the testimony of a witness may ble), and shall be submitted or ad-
be taken by speakerphone. dressed to the Secretary, Federal Com-
(b) Documents used by the witness munications Commission, Washington,
shall be made available to counsel by DC 20554, or (except in broadcast allot-
the party calling the witness in ad- ment proceedings) may be submitted
vance of the speakerphone testimony. electronically.
The taking of testimony by (c) The petition shall set forth the
speakerphone shall be subject to such text or substance of the proposed rule,
other ground rules as the parties may amendment, or rule to be repealed, to-
agree upon. gether with all facts, views, arguments
and data deemed to support the action
[43 FR 33251, July 31, 1978] requested, and shall indicate how the
interests of petitioner will be affected.
Subpart C—Rulemaking (d) Petitions for amendment of the
Proceedings FM Table of Assignments (§ 73.202 of
this chapter) or the Television Table of
Assignments (§ 73.606) shall be served
AUTHORITY: 5 U.S.C. 553. by petitioner on any Commission li-
SOURCE: 28 FR 12432, Nov. 22, 1963, unless censee or permittee whose channel as-
otherwise noted. signment would be changed by grant of
166
the petition. The petition shall be ac- ing prior to Commission action on the
companied by a certificate of service petition but not later than 15 days
on such licensees or permittees. A draft after the filing of such a statement.
Notice of Proposed Rule Making may Such a reply shall be accompanied by
be submitted with a petition for proof of service upon the party or par-
amendment of the FM or Television ties filing the statement or statements
Table of Assignments. to which the reply is directed on or
(e) Petitions which are moot, pre- prior to the date of filing in conformity
mature, repetitive, frivolous, or which with § 1.47 and shall conform in other
plainly do not warrant consideration aspects with the requirements of §§ 1.49,
by the Commission may be denied or 1.52, and 1.419(b).
dismissed without prejudice to the pe-
(c) No additional pleadings may be
titioner.
filed unless specifically requested by
[28 FR 12432, Nov. 22, 1963, as amended at 28 the Commission or authorized by it.
FR 14503, Dec. 31, 1963; 40 FR 53391, Nov. 18, (d) The Commission may act on a pe-
1975; 45 FR 42621, June 25, 1980; 63 FR 24125,
May 1, 1998]
tition for rule making at any time
after the deadline for the filing of re-
§ 1.403 Notice and availability. plies to statements in support of or in
opposition to the petition. Statements
All petitions for rule making (other
than petitions to amend the FM, Tele- in support of or in opposition to a peti-
vision, and Air-Ground Tables of As- tion for rule making, and replies there-
signments) meeting the requirements to, shall not be filed after Commission
of § 1.401 will be given a file number action.
and, promptly thereafter, a ‘‘Public (Secs. 4, 303, 307, 48 Stat., as amended, 1066,
Notice’’ will be issued (by means of a 1082, 1083; 47 U.S.C. 154, 303, 307)
Commission release entitled ‘‘Petitions
for Rule Making Filed’’) as to the peti- [28 FR 12413, Nov. 22, 1963, as amended at 28
FR 14503, Dec. 31, 1963; 45 FR 42621, June 25,
tion, file number, nature of the pro-
1980; 46 FR 60404, Dec. 9, 1981]
posal, and date of filing, Petitions for
rule making are available at the Com- § 1.407 Action on petitions.
mission’s Reference Information Cen-
ter, 445 12th Street, SW, Washington, If the Commission determines that
DC and may also be available elec- the petition discloses sufficient reasons
tronically over the Internet at http:// in support of the action requested to
www.fcc.gov/. justify the institution of a rulemaking
proceeding, and notice and public pro-
[67 FR 13223, Mar. 21, 2002]
cedure thereon are required or deemed
§ 1.405 Responses to petitions; replies. desirable by the Commission, an appro-
priate notice of proposed rule making
Except for petitions to amend the FM
will be issued. In those cases where no-
Television or Air-Ground Tables of As-
signments: tice and public procedure thereon are
(a) Any interested person may file a not required, the Commission may
statement in support of or in opposi- issue a final order amending the rules.
tion to a petition for rule making prior In all other cases the petition for rule
to Commission action on the petition making will be denied and the peti-
but not later than 30 days after ‘‘Public tioner will be notified of the Commis-
Notice’’, as provided for in § 1.403, is sion’s action with the grounds therefor.
given of the filing of such a petition.
Such a statement shall be accompanied RULEMAKING PROCEEDINGS
by proof of service upon the petitioner
§ 1.411 Commencement of rulemaking
on or prior to the date of filing in con-
proceedings.
formity with § 1.47 and shall conform in
other aspects with the requirements of Rulemaking proceedings are com-
§§ 1.49, 1.52, and 1.419(b). menced by the Commission, either on
(b) Any interested person may file a it own motion or on the basis of a peti-
reply to statements in support of or in tion for rulemaking. See §§ 1.401–1.407.
opposition to a petition for rule mak-
167
§ 1.412 47 CFR Ch. I (10–1–02 Edition)
§ 1.412 Notice of proposed rulemaking. § 1.413 Content of notice.

(a) Except as provided in paragraphs A notice of the proposed issuance,
(b) and (c) of this section, prior notice amendment, or repeal of a rule will in-
of proposed rulemaking will be given. clude the following:
(1) Notice is ordinarily given by pub- (a) A statement of the time, nature
lication of a ‘‘Notice of Proposed Rule and place of any public rulemaking
Making’’ in the FEDERAL REGISTER. A proceeding to be held.
summary of the full decision adopted (b) Reference to the authority under
by the Commission constitutes a which the issuance, amendment or re-
‘‘Notice of Proposed Rulemaking’’ for peal of a rule is proposed.
purposes of FEDERAL REGISTER publica- (c) Either the terms or substance of
tion. the proposed rule or a description of
(2) If all persons subject to the pro- the subjects and issues involved.
posed rules are named, the proposal (d) The docket number assigned to
may (in lieu of publication) be person- the proceeding.
ally served upon those persons. (e) A statement of the time for filing
(3) If all persons subject to the pro- comments and replies thereto.
posed rules are named and have actual § 1.415 Comments and replies.
notice of the proposal as a matter of
law, further prior notice of proposed (a) After notice of proposed rule-
rulemaking is not required. making is issued, the Commission will
(b) Rule changes (including adoption, afford interested persons an oppor-
amendment, or repeal of a rule or tunity to participate in the rulemaking
rules) relating to the following matters proceeding through submission of writ-
will ordinarily be adopted without ten data, views, or arguments, with or
prior notice: without opportunity to present the
same orally in any manner.
(1) Any military, naval, or foreign af-
(b) A reasonable time will be pro-
fairs function of the United States.
vided for submission of comments in
(2) Any matter relating to Commis- support of or in opposition to proposed
sion management or personnel or to rules, and the time provided will be
public property, loans, grants, benefits, specified in the notice of proposed rule-
or contracts. making.
(3) Interpretative rules. (c) A reasonable time will be pro-
(4) General statements of policy. vided for filing comments in reply to
(5) Rules of Commission organiza- the original comments, and the time
tion, procedure, or practice. provided will be specified in the notice
(c) Rule changes may in addition be of proposed rulemaking.
adopted without prior notice in any (d) No additional comments may be
situation in which the Commission for filed unless specifically requested or
good cause finds that notice and public authorized by the Commission.
procedure are impracticable, unneces-
NOTE: In some (but not all) rulemaking
sary, or contrary to the public interest. proceedings, interested persons may also
The finding of good cause and a state- communicate with the Commission and its
ment of the basis for that finding are staff on an ex parte basis, provided certain
in such situations published with the procedures are followed. See §§ 1.420 and
rule changes. 1.1200 et seq. See also ll FCC 2d ll (1980)
(d) In addition to the notice provi- (i.e., this order).
sions of paragraph (a) of this section, (e) For time limits for filing motions
the Commission, before prescribing any for extension of time for filing re-
requirements as to accounts, records, sponses to petitions for rulemaking, re-
or memoranda to be kept by carriers, plies to such responses, comments filed
will notify the appropriate State agen- in response to notices of proposed rule-
cies having jurisdiction over any car- making, replies to such comments, see
rier involved of the proposed require- § 1.46(b).
ments.
[28 FR 12432, Nov. 22, 1963, as amended at 51 FR 28888, June 6, 1977; 45 FR 45591, July 7,
FR 7445, Mar. 4, 1986] 1980; 52 FR 37460, Oct. 7, 1987]
168
§ 1.419 Form of comments and replies; docketed rulemaking proceeding shall

number of copies. furnish the Commission two additional
(a) Comments, replies, and other doc- copies of any such document for each
uments filed in a rulemaking pro- additional docket. This requirement
ceeding shall conform to the require- does not apply if the proceedings have
ments of § 1.49. been consolidated.
(b) An original and 4 copies of all (d) Participants that file comments
comments, briefs and other documents and replies in electronic form need
filed in a rulemaking proceeding shall only submit one copy of those com-
be furnished the Commission. The dis- ments, so long as the submission con-
tribution of such copies shall be as fol- forms to any procedural or filing re-
lows: quirements established for formal elec-
Secretary (original and 1) .................... 2 tronic comments.
Bureau .................................................. 2 (e) Comments and replies and other
Reference Information Center .............. 1 documents filed in electronic form by a
party represented by an attorney shall
Total ........................................... 5 include the name and mailing address
Participants filing the required 5 cop- of at least one attorney of record. Par-
ies who also wish each Commissioner ties not represented by an attorney
to have a personal copy of the com- that file comments and replies and
ments may file an additional 5 copies. other documents in electronic form
The distribution of such copies shall be shall provide their name and mailing
as follows: address.
Commissioners ..................................... 5 [28 FR 12432, Nov. 22, 1963, as amended at 41
Secretary .............................................. 2 FR 50399, Nov. 16, 1976; 50 FR 26567, June 27,
Bureau .................................................. 2 1985; 54 FR 29037, July 11, 1989; 63 FR 24125,
Reference Information Center .............. 1 May 1, 1998; 63 FR 56091, Oct. 21, 1998; 67 FR
13223, Mar. 21, 2002]
Total ........................................... 10
However, members of the general § 1.420 Additional procedures in pro-
public who wish to express their inter- ceedings for amendment of the FM
est by participating informally in a or TV Tables of Allotments.
rulemaking proceeding may do so by (a) Comments filed in proceedings for
submitting an original and one copy of amendment of the FM Table of Allot-
their comments, without regard to ments (§ 73.202 of this chapter) or the
form, provided only that the Docket Television Table of Allotments (§ 73.606
Number is specified in the heading. In- of this chapter) which are initiated on
formal comments filed after close of a petition for rule making shall be
the reply comment period, or, if on reserved on petitioner by the person who
consideration, the reconsideration files the comments.
reply comment period, should be la- (b) Reply comments filed in pro-
beled ‘‘ex parte’’ pursuant to section ceedings for amendment of the FM or
1.1206(a) of this chapter. Letters sub- Television Tables of Allotments shall
mitted to Commissioners or Commis- be served on the person(s) who filed the
sion staff will be treated in the same comments to which the reply is di-
way as informal comments, as set forth rected.
above. Also such informal participants (c) Such comments and reply com-
who wish the responsible members of ments shall be accompanied by a cer-
the staff and the Commissioners to tificate of service.
have personal copies may file an addi- (d) Counterproposals shall be ad-
tional 7 copies. The distribution of vanced in initial comments only and
such copies shall be as follows: will not be considered if they are ad-
Commissioners ..................................... 5 vanced in reply comments.
Secretary .............................................. 2 (e) An original and 4 copies of all pe-
Bureau .................................................. 2 titions for rulemaking, comments,
reply comments, and other pleadings
Total ........................................... 9
shall be filed with the Commission.
(c) Any person desiring to file iden- (f) Petitions for reconsideration and
tical documents in more than one responsive pleadings shall be served on
169
§ 1.420 47 CFR Ch. I (10–1–02 Edition)
parties to the proceeding and on any li- tially the same market, then the Com-
censee or permittee whose authoriza- mission may amend § 73.606(b) and mod-
tion may be modified to specify oper- ify the licenses (or permits) of the peti-
ation on a different channel, and shall tioners to specify operation on the ap-
be accompanied by a certificate of propriate channels upon a finding that
service. such action will promote the public in-
(g) The Commission may modify the terest, convenience, and necessity.
license or permit of an FM station to
another class of channel or of a UHF NOTE 1 TO PARAGRAPH (h): Licensees and
permittees operating Class A FM stations
TV station to a VHF channel in the
who seek to upgrade their facilities to Class
same community in the course of the B1, B, C3, C2, C1, or C on Channel 221, and
rule making proceeding to amend whose proposed 1 mV/m signal contours
§ 73.202(b), § 73.504(a) or § 73.606(b) if any would overlap the Grade B contour of a tele-
of the following conditions are met: vision station operating on Channel 6 must
(1) There is no other timely filed ex- meet a particularly heavy burden by dem-
pression of interest, or onstrating that grants of their upgrade re-
(2) If another interest in the proposed quests are in the public interest. In this re-
channel is timely filed an additional gard, the Commission will examine the
equivalent class of channel is also al- record in rule making proceedings to deter-
mine the availability of existing and poten-
lotted, assigned or available for appli-
tial non-commercial education service.
cation, or
(3) With respect to FM, the modifica- (i) In the course of the rule making
tion of license or permit would occur proceeding to amend § 73.202(b) or
on a mutually exclusive higher class § 73.606(b), the Commission may modify
adjacent or co-channel. the license or permit of an FM or tele-
NOTE 1 TO PARAGRAPH (g): In certain situa- vision broadcast station to specify a
tions, a licensee or permittee may seek an new community of license where the
adjacent, intermediate frequency or co-chan- amended allotment would be mutually
nel upgrade by application. See § 73.203(b) of exclusive with the licensee’s or permit-
this chapter. tee’s present assignment.
NOTE 2 TO PARAGRAPH (g): The reclassifica- (j) Whenever an expression of interest
tion of a Class C station in accordance with in applying for, constructing, and oper-
the procedure set forth in Note 4 to § 73.3573 ating a station has been filed in a pro-
may be initiated through the filing of an ceeding to amend the FM or TV Table
original petition for amendment of the FM
Table of Allotments. The Commission will of Allotments, and the filing party
notify the affected Class C station licensee of seeks to dismiss or withdraw the ex-
the proposed reclassification by issuing a no- pression of interest, either unilaterally
tice of proposed rule making, except that or in exchange for financial consider-
where a triggering petition proposes an ation, that party must file with the
amendment or amendments to the FM Table Commission a request for approval of
of Allotments in addition to the proposed re-
the dismissal or withdrawal, a copy of
classification, the Commission will issue an
order to show cause as set forth in Note 4 to any written agreement related to the
§ 73.3573, and a notice of proposed rule mak- dismissal or withdrawal, and an affi-
ing will be issued only after the reclassifica- davit setting forth:
tion issue is resolved. Triggering petitions (1) A certification that neither the
will be dismissed upon the filing, rather than party withdrawing its interest nor its
the grant, of an acceptable construction per- principals has received or will receive
mit application to increase antenna height
to at least 451 meters HAAT by a subject any money or other consideration in
Class C station. excess of legitimate and prudent ex-
(h) Where licensees (or permittees) of penses in exchange for the dismissal or
television broadcast stations jointly withdrawal of the expression of inter-
petition to amend § 73.606(b) and to ex- est;
change channels, and where one of the (2) The exact nature and amount of
licensees (or permittees) operates on a any consideration received or prom-
commercial channel while the other ised;
operates on a reserved noncommercial (3) An itemized accounting of the ex-
educational channel within the same penses for which it seeks reimburse-
band, and the stations serve substan- ment; and
170
(4) The terms of any oral agreement § 1.427 Effective date of rules.
related to the dismissal or withdrawal
(a) Any rule issued by the Commis-
of the expression of interest.
sion will be made effective not less
(5) In addition, within 5 days of a par- than 30 days from the time it is pub-
ty’s request for approval, each remain- lished in the FEDERAL REGISTER except
ing party to any written or oral agree- as otherwise specified in paragraphs (b)
ment must submit an affidavit setting and (c) of this section.
forth: (b) For good cause found and pub-
(i) A certification that neither it nor lished with the rule, any rule issued by
its principals has paid or will pay the Commission may be made effective
money or other consideration in excess within less than 30 days from the time
of the legitimate and prudent expenses it is published in the FEDERAL REG-
of the party withdrawing its expression ISTER. Rules involving any military,
of interest; and naval or foreign affairs function of the
(ii) The terms of any oral agreement United States; matters relating to
relating to the dismissal or withdrawal agency management or personnel, pub-
of the expression of interest. lic property, loans, grants, benefits or
contracts; rules granting or recog-
nizing exemption or relieving restric-
1082, 1083; 47 U.S.C. 154, 303, 307)
tion; rules of organization, procedure
[39 FR 44022, Dec. 20, 1974, as amended at 40 or practice; or interpretative rules; and
FR 53391, Nov. 18, 1975; 41 FR 1287, Jan. 7, statements of policy may be made ef-
1976; 51 FR 15629, Apr. 25, 1986; 51 FR 20291, fective without regard to the 30-day re-
June 4, 1986; 52 FR 8260, Mar. 17, 1987; 52 FR quirement.
25866, July 9, 1987; 54 FR 16366, Apr. 24, 1989;
(c) In cases of alterations by the
54 FR 26201, June 22, 1989; 55 FR 28914, July
16, 1990; 58 FR 38535, July 19, 1993; 59 FR 59503, Commission in the required manner or
Nov. 17, 1994; 61 FR 43472, Aug. 23, 1996; 65 FR form of keeping accounts by carriers,
79776, Dec. 20, 2000] notice will be served upon affected car-
riers not less than 6 months prior to
§ 1.421 Further notice of rulemaking. the effective date of such alterations.
In any rulemaking proceeding where § 1.429 Petition for reconsideration.
the Commission deems it warranted, a
further notice of proposed rulemaking (a) Any interested person may peti-
will be issued with opportunity for par- tion for reconsideration of a final ac-
ties of record and other interested per- tion in a proceeding conducted under
sons to submit comments in con- this subpart (see §§ 1.407 and 1.425).
formity with §§ 1.415 and 1.419. Where the action was taken by the
Commission, the petition will be acted
§ 1.423 Oral argument and other pro- on by the Commission. Where action
ceedings. was taken by a staff official under dele-
gated authority, the petition may be
In any rulemaking where the Com- acted on by the staff official or referred
mission determines that an oral argu- to the Commission for action.
ment, hearing or any other type of pro-
ceeding is warranted, notice of the NOTE: The staff has been authorized to act
time, place and nature of such pro- on rulemaking proceedings described in
§ 1.420 and is authorized to make editorial
ceeding will be published in the changes in the rules (see § 0.231(d)).
FEDERAL REGISTER.
(b) A petition for reconsideration
[58 FR 66300, Dec. 20, 1993] which relies on facts which have not
previously been presented to the Com-
§ 1.425 Commission action.
mission will be granted only under the
The Commission will consider all rel- following circumstances:
evant comments and material of record (1) The facts relied on relate to
before taking final action in a rule- events which have occurred or cir-
making proceeding and will issue a de- cumstances which have changed since
cision incorporating its finding and a the last opportunity to present them to
brief statement of the reasons therefor. the Commission;
171
§ 1.429 47 CFR Ch. I (10–1–02 Edition)
(2) The facts relied on were unknown 10 double-spaced typewritten pages.

to petitioner until after his last oppor- See also §§ 1.49(d) and 1.49(f).
tunity to present them to the Commis- (h) Petitions for reconsideration, op-
sion, and he could not through the ex- positions and replies shall conform to
ercise of ordinary diligence have the requirements of §§ 1.49 and 1.52, ex-
learned of the facts in question prior to cept that they need not be verified. Ex-
such opportunity; or cept as provided in § 1.420(e), an origi-
(3) The Commission determines that nal and 11 copies shall be submitted to
consideration of the facts relied on is the Secretary, Federal Communica-
required in the public interest. tions Commission, Washington, D.C.
(c) The petition for reconsideration 20554. Parties filing in electronic form
shall state with particularity the re- need only submit one copy.
spects in which petitioner believes the (i) The Commission may grant the
action taken should be changed. petition for reconsideration in whole or
(d) The petition for reconsideration in part or may deny the petition. Its
and any supplement thereto shall be order will contain a concise statement
filed within 30 days from the date of of the reasons for the action taken.
public notice of such action, as that Any order disposing of a petition for
date is defined in § 1.4(b). No supple-
reconsideration which modifies rules
ment to a petition for reconsideration
adopted by the original order is, to the
filed after expiration of the 30 day pe-
extent of such modification, subject to
riod will be considered, except upon
reconsideration in the same manner as
leave granted pursuant to a separate
pleading stating the grounds for ac- the original order. Except in such cir-
ceptance of the supplement. The peti- cumstance, a second petition for recon-
tion for reconsideration shall not ex- sideration may be dismissed by the
ceed 25 double-spaced typewritten staff as repetitious.
pages. See also § 1.49(f). (j) The filing of a petition for recon-
(e) Except as provided in § 1.420(f), pe- sideration is not a condition precedent
titions for reconsideration need not be to judicial review of any action taken
served on parties to the proceeding. by the Commission, except where the
(However, where the number of parties person seeking such review was not a
is relatively small, the Commission en- party to the proceeding resulting in
courages the service of petitions for re- the action or relies on questions of fact
consideration and other pleadings, and or law upon which the Commission has
agreements among parties to exchange been afforded no opportunity to pass.
copies of pleadings. See also § 1.47(d) re- Subject to the provisions of paragraph
garding electronic service of docu- (b) of this section, such a person may
ments.) When a petition for reconsider- qualify to seek judicial review by filing
ation is timely filed in proper form, a petition for reconsideration.
public notice of its filing is published (k) Without special order of the Com-
in the FEDERAL REGISTER. The time for mission, the filing of a petition for re-
filing oppositions to the petition runs consideration shall not excuse any per-
from the date of public notice. See son from complying with any rule or
§ 1.4(b). operate in any manner to stay or post-
(f) Oppositions to a petition for re- pone its enforcement. However, upon
consideration shall be filed within 15 good cause shown, the Commission will
days after the date of public notice of stay the effective date of a rule pend-
the petition’s filing and need be served ing a decision on a petition for recon-
only on the person who filed the peti- sideration. See, however, § 1.420(f).
tion. See also § 1.49(d). Oppositions
shall not exceed 25 double-spaced type- (Secs. 4, 303, 307, 48 Stat., as amended, 1066,
written pages. See § 1.49(f). 1082, 1083; 47 U.S.C. 154, 303, 307)
(g) Replies to an opposition shall be [41 FR 1287, Jan. 7, 1976, as amended at 44 FR
filed within 10 days after the time for 5436, Jan. 26, 1979; 46 FR 18556, Mar. 25, 1981;
filing oppositions has expired and need 52 FR 49161, Dec. 30, 1987; 63 FR 24126, May 1,
be served only on the person who filed 1998]
the opposition. Replies shall not exceed
172
INQUIRIES § 1.525 Agreements between parties for

amendment or dismissal of, or fail-
§ 1.430 Proceedings on a notice of in- ure to prosecute, broadcast applica-
quiry. tions.
The provisions of this subpart also See § 73.3525.
govern proceedings commenced by
issuing a ‘‘Notice of Inquiry,’’ except § 1.526 Records to be maintained lo-
that such proceedings do not result in cally for public inspection by com-
the adoption of rules, and Notices of mercial applicants, permittees and
Inquiry are not required to be pub- licensees.
lished in the FEDERAL REGISTER. See § 73.3526.
[51 FR 7445, Mar. 4, 1986]
§ 1.527 Records to be maintained lo-
cally for public inspection by non-
Subpart D—Broadcast commercial educational applicants,
Applications and Proceedings permittees and licensees.
See § 73.3527.
SOURCE: 44 FR 38483, July 2, 1979, unless
otherwise noted. § 1.531 Formal and informal applica-
tions.
§ 1.502 Emergency Broadcast Author- See § 73.3511.
izations.
See § 73.913. § 1.533 Application forms for authority
to construct a new station or make
GENERAL FILING REQUIREMENTS changes in an existing station.
See § 73.3533.
§ 1.511 Applications required.
See § 73.3511. § 1.534 Application for extension of
construction permit or for construc-
§ 1.512 Where to file; number of copies. tion permit to replace expired con-
struction permit.
See § 73.3512.
See § 73.3534.
§ 1.513 Who may sign applications.
§ 1.536 Application for license to cover
See § 73.3513. construction permit.
§ 1.514 Content of applications. See § 73.3536.
See § 73.3514. § 1.538 Application for modification of
license.
§ 1.516 Specification of facilities.
See § 73.3538.
See § 73.3516.
§ 1.539 Application for renewal of li-
§ 1.517 Contingent applications. cense.
See § 73.3517. See § 73.3539.
§ 1.518 Inconsistent or conflicting ap- § 1.540 Application for voluntary as-
plications.
signment or transfer of control.
See § 73.3518.
See § 73.3540.
§ 1.519 Repetitious applications.
§ 1.541 Application for involuntary as-
See § 73.3519. signment of license or transfer of
control.
§ 1.520 Multiple applications.
See § 73.3541.
See § 73.3520.
§ 1.542 Application for temporary au-
§ 1.522 Amendment of applications. thorization.
See § 73.3522. See § 73.3542.
173
§ 1.543 47 CFR Ch. I (10–1–02 Edition)
§ 1.543 Application for renewal or § 1.572 Processing TV broadcast and

modification of special service au- translator station applications.
thorization. See § 73.3572.
See § 73.3543.
§ 1.573 Processing FM broadcast and
§ 1.544 Application for broadcast sta- translator station applications.
tion to conduct field strength meas- See § 73.3573.
urements and for experimental op-
eration. § 1.574 Processing of international
See §§ 73.157 and 73.1510. broadcast station applications.
See § 73.3574.
§ 1.545 Application for permit to de-
liver programs to foreign countries. § 1.578 Amendments to applications
for renewal, assignment or transfer
See § 73.3545. of control.
§ 1.546 Application to determine oper- See § 73.3578.
ating power by direct measurement
of antenna power. § 1.580 Local public notice of filing of
broadcast applications.
See § 73.45. See § 73.3580.
§ 1.549 Requests for extension of au- § 1.584 Petitions to deny.
thority to operate without required
monitors, indicating instruments, See § 73.3584.
and EBS Attention Signal devices.
§ 1.587 Procedure for filing informal
See § 73.3549. applications.
See § 73.3587.
§ 1.550 Requests for new or modified
call sign assignments. § 1.591 Grants without hearing.
See § 73.3550. See § 73.3591.
§ 1.561 Staff consideration of applica- § 1.592 Conditional grant.
tions which receive action by the
Commission. See § 73.3592.
See § 73.3561. § 1.593 Designation for hearing.
See § 73.3593.
§ 1.562 Staff consideration of applica-
tions which do not require action § 1.594 Local public notice of designa-
by the Commission. tion for hearing.
See § 73.3562. See § 73.3594.
§ 1.564 Acceptance of applications. § 1.597 Procedures on transfer and as-
See § 73.3564. signment applications.
See § 73.3597.
§ 1.566 Defective applications.
§ 1.598 Period of construction.
See § 73.3566.
See § 73.3598.
§ 1.568 Dismissal of applications.
§ 1.599 Forfeiture of construction per-
See § 73.3568. mit.
See § 73.3599.
§ 1.570 AM broadcast station applica-
tions involving other North Amer- § 1.601 Simultaneous modification and
ican countries. renewal of license.
See § 73.3570. See § 73.3601.
§ 1.571 Processing AM broadcast sta- § 1.603 Special waiver procedure rel-
tion applications. ative to applications.
See § 73.3571. See § 73.3603.
174
§ 1.605 Retention of applications in amended, or by Commission order in

hearing status after designation for any proceeding, no written statement
hearing. indicating intent to appear need be
See § 73.3605. filed in advance of actual appearance
at any hearing by any person or his at-
§ 1.612 Annual employment report. torney.
See § 73.3612. (b) Oral arguments. Within 5 days
after release of an order designating an
§ 1.613 Filing of contracts. initial decision for oral argument or
See § 73.3613. within such other time as may be spec-
ified in the order, any party who wish-
§ 1.615 Ownership reports. es to participate in the oral argument
shall file a written statement indi-
See § 73.3615.
cating that he will appear and partici-
pate. Within such time as may be spec-
Subpart E—Complaints, Applica- ified in an order designating any other
tions, Tariffs, and Reports In- matter for oral argument, any person
volving Common Carriers wishing to participate in the The Com-
mission will advise him whether he
SOURCE: 28 FR 12450, Nov. 22, 1963, unless may participate. (See § 1.277 for pen-
otherwise noted. alties for failure to file appearance
statements in proceedings involving
GENERAL oral arguments on initial decisions.)
(c) Commission counsel. The require-
§ 1.701 Show cause orders. ment of paragraph (b) of this section
(a) The Commission may commence shall not apply to counsel representing
any proceeding within its jurisdiction the Commission or the Chief of the En-
against any common carrier by serving forcement Bureau.
upon the carrier an order to show [28 FR 12450, Nov. 22, 1963, as amended at 67
cause. The order shall contain a state- FR 13223, Mar. 21, 2002]
ment of the particulars and matters
concerning which the Commission is COMPLAINTS
inquiring and the reasons for such ac-
tion, and will call upon the carrier to § 1.711 Formal or informal complaints.
appear before the Commission at a Complaints filed against carriers
place and time therein stated and give under section 208 of the Communica-
evidence upon the matters specified in tions Act may be either formal or in-
the order. formal.
(b) Any carrier upon whom an order
has been served under this section shall INFORMAL COMPLAINTS
file its answer within the time speci-
fied in the order. Such answer shall § 1.716 Form.
specifically and completely respond to An informal complaint shall be in
all allegations and matters contained writing and should contain: (a) The
in the show cause order. name, address and telephone number of
(c) All papers filed by a carrier in a the complaint, (b) the name of the car-
proceeding under this section shall rier against which the complaint is
conform with the specifications of made, (c) a complete statement of the
§§ 1.49 and 1.50 and the subscription and facts tending to show that such carrier
verification requirements of § 1.52. did or omitted to do anything in con-
travention of the Communications Act,
FR 7423, Apr. 20, 1971]
and (d) the specific relief of satisfac-
tion sought.
§ 1.703 Appearances. [51 FR 16039, Apr. 30, 1986]
(a) Hearings. Except as otherwise re-
quired by § 1.221 regarding application § 1.717 Procedure.
proceedings, by § 1.91 regarding pro- The Commission will forward infor-
ceedings instituted under section 312 of mal complaints to the appropriate car-
the Communications Act of 1934, as rier for investigation. The carrier will,
175
§ 1.718 47 CFR Ch. I (10–1–02 Edition)
within such time as may be prescribed, (b) Form. The complaint shall be in
advise the Commission in writing, with writing, and should contain: The com-
a copy to the complainant, of its satis- plainant’s name, address, telephone
faction of the complaint or of its re- number and e-mail address (if the com-
fusal or inability to do so. Where there plainant has one); the name of both the
are clear indications from the carrier’s allegedly unauthorized carrier, as de-
report or from other communications fined by § 64.1100(d) of this chapter, and
with the parties that the complaint has authorized carrier, as defined by
been satisfied, the Commission may, in § 64.1100(c) of this chapter; a complete
its discretion, consider a complaint statement of the facts (including any
proceeding to be closed, without re- documentation) tending to show that
sponse to the complainant. In all other such carrier engaged in an unauthor-
cases, the Commission will contact the ized change of the subscriber’s pre-
complainant regarding its review and ferred carrier; a statement of whether
disposition of the matters raised. If the the complainant has paid any disputed
complainant is not satisfied by the car- charges to the allegedly unauthorized
rier’s response and the Commission’s carrier; and the specific relief sought.
disposition, it may file a formal com- (c) Procedure. The Commission will
plaint in accordance with § 1.721 of this
resolve slamming complaints under the
part.
definitions and procedures established
[51 FR 16039, Apr. 30, 1986] in §§ 64.1100 through 64.1190 of this chap-
ter. The Commission will issue a writ-
§ 1.718 Unsatisfied informal com- ten (or electronic) order informing the
plaints; formal complaints relating complainant, the unauthorized carrier,
back to the filing dates of informal and the authorized carrier of its find-
complaints.
ing, and ordering the appropriate rem-
When an informal complaint has not edy, if any, as defined by §§ 64.1160
been satisfied pursuant to § 1.717, the through 64.1170 of this chapter.
complainant may file a formal com- (d) Unsatisfied Informal Complaints
plaint with this Commission in the Involving Unauthorized Changes of a
form specified in § 1.721. Such filing will Subscriber’s Preferred Carrier; Formal
be deemed to relate back to the filing Complaints Relating Back to the Fil-
date of the informal complaint: ing Dates of Informal Complaints. If
Provided, That the formal complaint: the complainant is unsatisfied with the
(a) Is filed within 6 months from the resolution of a complaint under this
date of the carrier’s report, (b) makes section, the complainant may file a
reference to the date of the informal formal complaint with the Commission
complaint, and (c) is based on the same in the form specified in § 1.721. Such fil-
cause of action as the informal coming will be deemed to relate back to
plaint. If no formal complaint is filed the filing date of the informal com-
within the 6-month period, the complaint filed under this section, so long
plainant will be deemed to have aban- as the informal complaint complied
doned the unsatisfied informal com- with the requirements of paragraph (b)
plaint.
of this section and provided that: The
[51 FR 16040, Apr. 30, 1986] formal complaint is filed within 45 days
from the date an order resolving the in-
§ 1.719 Informal complaints filed pur- formal complaint filed under this sec-
suant to section 258. tion is mailed or delivered electroni-
(a) Notwithstanding the require- cally to the complainant; makes ref-
ments of §§ 1.716 through 1.718, the fol- erence to both the informal complaint
lowing procedures shall apply to com- number assigned to and the initial date
plaints alleging that a carrier has vio- of filing the informal complaint filed
lated section 258 of the Communica- under this section; and is based on the
tions Act of 1934, as amended by the same cause of action as the informal
Telecommunications Act of 1996, by complaint filed under this section. If
making an unauthorized change of a no formal complaint is filed within the
subscriber’s preferred carrier, as de- 45–day period, the complainant will be
fined by § 64.1100(e) of this chapter. deemed to have abandoned its right to
176
bring a formal complaint regarding the (h) Specific reference shall be made
cause of action at issue. to any tariff provision relied on in sup-
port of a claim or defense. Copies of
[65 FR 47690, Aug. 3, 2000]
relevant tariffs or relevant portions of
FORMAL COMPLAINTS tariffs that are referred to or relied
upon in a complaint, answer, or other
§ 1.720 General pleading requirements. pleading shall be appended to such
complaint, answer, or other pleading.
Formal complaint proceedings are (i) All statements purporting to sum-
generally resolved on a written record marize or explain Commission orders
consisting of a complaint, answer, and or policies must cite, in standard legal
joint statement of stipulated facts, dis- form, the Commission ruling upon
puted facts and key legal issues, along which such statements are based.
with all associated affidavits, exhibits (j) Pleadings shall identify the name,
and other attachments. Commission address, telephone number, and fac-
proceedings may also require or permit simile transmission number for either
other written submissions such as the filing party’s attorney or, where a
briefs, written interrogatories, and party is not represented by an attor-
other supplementary documents or ney, the filing party.
pleadings. Those formal complaint pro-
ceedings handled on the Enforcement [53 FR 11852, Apr. 11, 1988, as amended at 58
Bureau’s Accelerated Docket are sub- FR 25572, Apr. 27, 1993; 63 FR 1035, Jan. 7,
1998; 63 FR 41446, Aug. 4, 1998; 64 FR 60725,
ject to pleading and procedural rules
Nov. 8, 1999]
that differ in some respects from the
general rules for formal complaint pro- § 1.721 Format and content of com-
ceedings. plaints.
(a) Pleadings must be clear, concise, (a) Subject to paragraph (e) of this
and explicit. All matters concerning a section governing supplemental com-
claim, defense or requested remedy, in- plaints filed pursuant to § 1.722, and
cluding damages, should be pleaded paragraph (f) of this section governing
fully and with specificity. Accelerated Docket proceedings, a for-
(b) Pleadings must contain facts mal complaint shall contain:
which, if true, are sufficient to con- (1) The name of each complainant
stitute a violation of the Act or Com- and defendant;
mission order or regulation, or a de- (2) The occupation, address and tele-
fense to such alleged violation. phone number of each complainant
(c) Facts must be supported by rel- and, to the extent known, each defend-
evant documentation or affidavit. ant;
(d) Legal arguments must be sup- (3) The name, address, and telephone
ported by appropriate judicial, Com- number of complainant’s attorney, if
mission, or statutory authority. represented by counsel;
(e) Opposing authorities must be dis- (4) Citation to the section of the
tinguished. Communications Act and/or order and/
(f) Copies must be provided of all or regulation of the Commission al-
non-Commission authorities relied leged to have been violated.
upon which are not routinely available (5) A complete statement of facts
in national reporting systems, such as which, if proven true, would constitute
unpublished decisions or slip opinions such a violation. All material facts
of courts or administrative agencies. must be supported, pursuant to the re-
(g) Parties are responsible for the quirements of § 1.720(c) and paragraph
continuing accuracy and completeness (a)(11) of this section, by relevant affi-
of all information and supporting au- davits and documentation, including
thority furnished in a pending com- copies of relevant written agreements,
plaint proceeding. Information sub- offers, counter-offers, denials, or other
mitted, as well as relevant legal au- related correspondence. The statement
thorities, must be current and updated of facts shall include a detailed expla-
as necessary and in a timely manner at nation of the manner and time period
any time before a decision is rendered in which a defendant has allegedly vio-
on the merits of the complaint. lated the Act, Commission order, or
177
§ 1.721 47 CFR Ch. I (10–1–02 Edition)
Commission rule in question, including with particularity in the complaint,

a full identification or description of along with a description of the facts
the communications, transmissions, within any such individual’s knowl-
services, or other carrier conduct com- edge;
plained of and the nature of any injury (ii) A description of all documents,
allegedly sustained by the complain- data compilations and tangible things
ant. Assertions based on information in the complainant’s possession, cus-
and belief are expressly prohibited un- tody, or control, that are relevant to
less made in good faith and accom- the facts alleged with particularity in
panied by an affidavit explaining the the complaint. Such description shall
basis for the plaintiff’s belief and why include for each document:
the complainant could not reasonably (A) The date it was prepared, mailed,
ascertain the facts from the defendant transmitted, or otherwise dissemi-
or any other source; nated;
(6) Proposed findings of fact, conclu- (B) The author, preparer, or other
sions of law, and legal analysis rel- source;
evant to the claims and arguments set (C) The recipient(s) or intended re-
forth in the complaint; cipient(s);
(7) The relief sought, including recov- (D) Its physical location; and
ery of damages and the amount of dam-
(E) A description of its relevance to
ages claimed, if known;
the matters contained in the com-
(8) Certification that the complain-
plaint; and
ant has, in good faith, discussed or at-
tempted to discuss the possibility of (iii) A complete description of the
settlement with each defendant prior manner in which the complainant iden-
to the filing of the formal complaint. tified all persons with information and
Such certification shall include a designated all documents, data com-
statement that, prior to the filing of pilations and tangible things as being
the complaint, the complainant mailed relevant to the dispute, including, but
a certified letter outlining the allega- not limited to, identifying the indi-
tions that form the basis of the com- vidual(s) that conducted the informa-
plaint it anticipated filing with the tion search and the criteria used to
Commission to the defendant carrier or identify such persons, documents, data
one of the defendant’s registered compilations, tangible things, and in-
agents for service of process that information;
vited a response within a reasonable (11) Copies of all affidavits, docu-
period of time and a brief summary of ments, data compilations and tangible
all additional steps taken to resolve things in the complainant’s possession,
the dispute prior to the filing of the custody, or control, upon which the
formal complaint. If no additional complainant relies or intends to rely to
steps were taken, such certificate shall support the facts alleged and legal ar-
state the reason(s) why the complain- guments made in the complaint;
ant believed such steps would be fruit- (12) A completed Formal Complaint
less; Intake Form;
(9) Whether a separate action has (13) A declaration, under penalty of
been filed with the Commission, any perjury, by the complainant or com-
court, or other government agency plainant’s counsel describing the
that is based on the same claim or amount, method, and date of the com-
same set of facts, in whole or in part, plainant’s payment of the filing fee re-
or whether the complaint seeks pro- quired under § 1.1105(1)(c) or (d), and the
spective relief identical to the relief complainant’s 10-digit FCC Registra-
proposed or at issue in a notice-and- tion Number, if any;
comment proceeding that is concur- (14) A certificate of service; and
rently before the Commission; (15) A FCC Registration Number is
(10) An information designation con- required under Part 1, Subpart W. Sub-
taining: mission of a complaint without the
(i) The name, address, and position of FCC Registration Number as required
each individual believed to have first- by Part 1, subpart W will result in dis-
hand knowledge of the facts alleged missal of the complaint.
178
(b) The following format may be used §§ 1.720(b), 1.721(a)(4), (a) (5), (a)(8), (9),
in cases to which it is applicable, with (a)(12), and (a)(13) shall not apply to
such modifications as the cir- such supplemental complaints;
cumstances may render necessary: (2) In addition, supplemental com-
plaints filed pursuant to § 1.722 shall
BEFORE THE FEDERAL COMMUNICATIONS contain a complete statement of facts
COMMISSION, WASHINGTON, DC 20554 which, if proven true, would support
In the matter of complainant’s calculation of damages
llllllllllllllllllllllll for each category of damages for which
Complainant, recovery is sought. All material facts
v. must be supported, pursuant to the re-
llllllllllllllllllllllll quirements of § 1.720(c) and paragraph
Defendant. (a)(11) of this section, by relevant affi-
File No. (To be inserted by the Enforcement davits and other documentation. The
Bureau) statement of facts shall include a de-
Complaint tailed explanation of the matters relied
upon, including a full identification or
To: The Commission.
description of the communications,
The complainant (here insert full name of
each complainant and, if a corporation, the transmissions, services, or other mat-
corporate title of such complainant) shows ters relevant to the calculation of dam-
that: ages and the nature of any injury alleg-
1. (Here state occupation, post office ad- edly sustained by the complainant. As-
dress, and telephone number of each com- sertions based on information and be-
plainant). lief are expressly prohibited unless
2. (Here insert the name, occupation and,
made in good faith and accompanied by
to the extent known, address and telephone
number of defendants). an affidavit explaining the basis for the
3. (Here insert fully and clearly the specific complainant’s belief and why the com-
act or thing complained of, together with plainant could not reasonably ascer-
such facts as are necessary to give a full un- tain the facts from the defendant or
derstanding of the matter, including rel- any other source;
evant legal and documentary support). (3) Supplemental complaints filed
Wherefore, complainant asks (here state
specifically the relief desired).
pursuant to § 1.722 shall contain a cer-
tification that the complainant has, in
llllllllllllllllllllllll good faith, discussed or attempted to
(Date)
discuss the possibility of settlement
llllllllllllllllllllllll with respect to damages for which re-
(Name of each complainant)
covery is sought with each defendant
llllllllllllllllllllllll
prior to the filing of the supplemental
(Name, address, and telephone number of at- complaint. Such certification shall in-
torney, if any) clude a statement that, no later than
(c) Where the complaint is filed pur- 30 days after the release of the liability
suant to § 47 U.S.C. § 271(d)(6)(B), the order, the complainant mailed a cer-
complainant shall clearly indicate tified letter to the primary individual
whether or not it is willing to waive who represented the defendant carrier
the ninety-day resolution deadline con- during the initial complaint proceeding
tained within 47 U.S.C. 271(d)(6)(B), in outlining the allegations that form the
accordance with the requirements of basis of the supplemental complaint it
§ 1.736. anticipates filing with the Commission
(d) The complainant may petition the and inviting a response from the car-
staff, pursuant to § 1.3, for a waiver of rier within a reasonable period of time.
any of the requirements of this section. The certification shall also contain a
Such waiver may be granted for good brief summary of all additional steps
cause shown. taken to resolve the dispute prior to
(e) Supplemental complaints. (1) Sup- the filing of the supplemental com-
plemental complaints filed pursuant to plaint. If no additional steps were
§ 1.722 shall conform to the require- taken, such certification shall state
ments set out in this section and § 1.720, the reason(s) why the complainant be-
except that the requirements in lieved such steps would be fruitless.
179
§ 1.722 47 CFR Ch. I (10–1–02 Edition)
(f) Complaints on the Accelerated Dock- ments in addition to those require-

et. For the purpose of this paragraph ments generally applicable in formal
(e), the term document also shall in- complaint proceedings:
clude data compilations and tangible (i) As required in § 1.729(i)(1), com-
things. plaints on the Accelerated Docket shall
(1) Formal complaints that have been be accompanied, when served on de-
accepted onto the Accelerated Docket fendants, by copies of documents, with-
shall conform to the requirements set in the complainant’s possession, cus-
out in this section with the following tody or control, that are likely to bear
listed exceptions: significantly on the issues raised in the
(i) The requirement in § 1.720(c) and complaint. Unless otherwise directed,
paragraphs (a)(5) and (a)(11) of this sec- these documents shall not be filed with
tion that factual assertions be sup- the Commission.
ported by affidavit shall not apply to (ii) Complaints on the Accelerated
complaints on the Accelerated Docket. Docket will bear the following notation
Nevertheless, allegations of material in bold typeface above the normal cap-
fact, whether based on personal knowl- tion on the first page: ‘‘Accelerated
edge or information and belief, that Docket Proceeding: Answer Due Within
cannot be supported by documentation Ten Days of Service Date.’’
remain subject to the provisions of [53 FR 11853, Apr. 11, 1988, as amended at 63
§ 1.52. FR 1035, Jan. 7, 1998; 63 FR 41446, Aug. 4, 1998;
(ii) Complaints on the Accelerated 64 FR 60725, Nov. 8, 1999; 66 FR 16616, Mar. 27,
Docket are not required to include pro- 2001; 66 FR 47895, Sept. 14, 2001]
posed findings of fact, conclusions of
law, and legal analysis relevant to the § 1.722 Damages.
claims and arguments set forth in the (a) If a complainant wishes to recover
complaint, as required in paragraph damages, the complaint must contain a
(a)(6) of this section. Nevertheless, clear and unequivocal request for dam-
complaints on the Accelerated Docket ages.
shall fully set out the facts and legal (b) If a complainant wishes a deter-
theories on which the complainant mination of damages to be made in the
premises its claims. same proceeding as the determinations
(iii) In light of the requirement for of liability and prospective relief, the
staff-supervised settlement negotia- complaint must contain the allegations
tions in § 1.730(b), complaints on the and information required by paragraph
Accelerated Docket are not required to (h) of this section.
include a certification that the com- (c) Notwithstanding paragraph (b) of
plainant has discussed or attempted to this section, in any proceeding to
discuss the possibility of settlement which no statutory deadline applies, if
with each defendant, as required in the Commission decides that a deter-
paragraph (a)(8) of this section. mination of damages would best be
(iv) In light of the automatic docu- made in a proceeding that is separate
ment production required in from and subsequent to the proceeding
§ 1.729(i)(1), complaints on the Acceler- in which the determinations of liabil-
ated Docket are not required to include ity and prospective relief are made, the
a description of all relevant documents Commission may at any time order
in the complainant’s possession, cus- that the initial proceeding will deter-
tody or control, as required in para- mine only liability and prospective re-
graph (a)(10)(ii) of this section. lief, and that a separate, subsequent
(v) Complaints on the Accelerated proceeding initiated in accordance
Docket are not required to provide the with paragraph (e) of this section will
description, required in paragraph determine damages.
(a)(10)(iii) of this section, of the man- (d) If a complainant wishes a deter-
ner in which the complainant identi- mination of damages to be made in a
fied persons with knowledge of, and proceeding that is separate from and
documents relevant to, the dispute. subsequent to the proceeding in which
(2) Formal complaints that have been the determinations of liability and pro-
accepted onto the Accelerated Docket spective relief are made, the complain-
will comply with the following require- ant must:
180
(1) Comply with paragraph (a) of this (ii) Why such information is unavail-
section, and able to the complaining party;
(2) State clearly and unequivocally (iii) The factual basis the complain-
that the complainant wishes a deter- ant has for believing that such evi-
mination of damages to be made in a dence of; damages exists;
proceeding that is separate from and (iv) A detailed outline of the method-
subsequent to the proceeding in which ology that would be used to create a
the determinations of liability and pro- computation of damages with such evi-
spective relief will be made. dence.
(e) If a complainant proceeds pursu- (i) Where a complainant files a sup-
ant to paragraph (d) of this section, or plemental complaint for damages in
if the Commission invokes its author- accordance with paragraph (e) of this
ity under paragraph (c) of this section, section, the following procedures may
the complainant may initiate a sepa- apply:
rate proceeding to obtain a determina- (1) Issues concerning the amount, if
tion of damages by filing a supple- any, of damages may be either des-
mental complaint that complies with ignated by the Enforcement Bureau for
§ 1.721(e) and paragraph (h) of this sec- hearing before, or, if the parties agree,
tion within sixty days after public no- submitted for mediation to, a Commis-
tice (as defined in § 1.4(b) of this chap- sion Administrative Law Judge. Such
ter) of a decision that contains a find- Administrative Law Judge shall be
ing of liability on the merits of the chosen in the following manner:
original complaint. (i) By agreement of the parties and
(f) If a complainant files a supple- the Chief Administrative Law Judge;
mental complaint for damages in ac- or
cordance with paragraph (e) of this sec- (ii) In the absence of such agreement,
tion, the supplemental complaint shall the Chief Administrative Law Judge
be deemed, for statutory limitations shall designate the Administrative Law
purposes, to relate back to the date of Judge.
the original complaint. (2) The Commission may, in its dis-
(g) Where a complainant chooses to cretion, order the defendant either to
seek the recovery of damages upon a post a bond for, or deposit into an in-
supplemental complaint in accordance terest bearing escrow account, a sum
with the requirements of paragraph (e) equal to the amount of damages which
of this section, the Commission will re- the Commission finds, upon prelimi-
solve the separate, preceding liability nary investigation, is likely to be or-
complaint within any applicable com- dered after the issue of damages is
plaint resolution deadlines contained fully litigated, or some lesser sum
in the Act. which may be appropriate, provided the
(h) In all cases in which recovery of Commission finds that the grant of this
damages is sought, it shall be the re- relief is favored on balance upon con-
sponsibility of the complainant to in- sideration of the following factors:
clude, within either the complaint or (i) The complainant’s potential irrep-
supplemental complaint for damages arable injury in the absence of such de-
filed in accordance with paragraph (e) posit;
of this section, either: (ii) The extent to which damages can
(1) A computation of each and every be accurately calculated;
category of damages for which recov- (iii) The balance of the hardships be-
ery is sought, along with an identifica- tween the complainant and the defend-
tion of all relevant documents and ma- ant; and
terials or such other evidence to be (iv) Whether public interest consider-
used by the complainant to determine ations favor the posting of the bond or
the amount of such damages; or ordering of the deposit.
(2) An explanation of: (3) The Commission may, in its dis-
(i) The information not in the posses- cretion, suspend ongoing damages pro-
sion of the complaining party that is ceedings for fourteen days, to provide
necessary to develop a detailed com- the parties with a time within which to
putation of damages; pursue settlement negotiations and/or
181
§ 1.723 47 CFR Ch. I (10–1–02 Edition)
alternative dispute resolution proce- formal complaint by the complainant,

dures. unless otherwise directed by the Com-
(4) The Commission may, in its dis- mission.
cretion, end adjudication of damages (b) The answer shall advise the com-
with a determination of the sufficiency plainant and the Commission fully and
of a damages computation method or completely of the nature of any de-
formula. No such method or formula fense, and shall respond specifically to
shall contain a provision to offset any all material allegations of the com-
claim of the defendant against the plaint. Every effort shall be made to
complainant. The parties shall nego- narrow the issues in the answer. The
tiate in good faith to reach an agree- defendant shall state concisely its de-
ment on the exact amount of damages fense to each claim asserted, admit or
pursuant to the Commission-mandated deny the averments on which the com-
method or formula. Within thirty days plainant relies, and state in detail the
of the release date of the damages basis for admitting or denying such
order, parties shall submit jointly to averment. General denials are prohib-
the Commission either: ited. Denials based on information and
(i) A statement detailing the parties’ belief are expressly prohibited unless
agreement as to the amount of dam- made in good faith and accompanied by
ages; an affidavit explaining the basis for the
(ii) A statement that the parties are defendant’s belief and why the defend-
continuing to negotiate in good faith ant could not reasonably ascertain the
and a request that the parties be given facts from the complainant or any
an extension of time to continue nego- other source. If the defendant is with-
tiations; or out knowledge or information suffi-
(iii) A statement detailing the bases cient to form a belief as to the truth of
for the continuing dispute and the rea- an averment, the defendant shall so
sons why no agreement can be reached. state and this has the effect of a denial.
(j) Except where otherwise indicated, When a defendant intends in good faith
the rules governing initial formal com- to deny only part of an averment, the
plaint proceedings govern supple- defendant shall specify so much of it as
mental formal complaint proceedings, is true and shall deny only the remain-
as well. der. The defendant may deny the alle-
[66 FR 16616, Mar. 27, 2001] gations of the complaint as specific de-
nials of either designated averments or
§ 1.723 Joinder of complainants and paragraphs.
causes of action.
(c) The answer shall contain proposed
(a) Two or more complainants may findings of fact, conclusions of law, and
join in one complaint if their respec- legal analysis relevant to the claims
tive causes of action are against the and arguments set forth in the answer.
same defendant and concern substan- (d) Averments in a complaint or sup-
tially the same facts and alleged viola- plemental complaint filed pursuant to
tion of the Communications Act. § 1.722 are deemed to be admitted when
(b) Two or more grounds of complaint not denied in the answer.
involving the same principle, subject, (e) Affirmative defenses to allega-
or statement of facts may be included tions contained in the complaint shall
in one complaint, but should be sepa- be specifically captioned as such and
rately stated and numbered. presented separately from any denials
[53 FR 11853, Apr. 11, 1988] made in accordance with paragraph (c)
of this section.
§ 1.724 Answers. (f) The answer shall include an infor-
(a) Subject to paragraph (k) of this mation designation containing:
section governing Accelerated Docket (1) The name, address, and position of
proceedings, any carrier upon which a each individual believed to have first-
copy of a formal complaint is served hand knowledge of the facts alleged
shall answer such complaint in the with particularity in the answer, along
manner prescribed under this section with a description of the facts within
within twenty days of service of the any such individual’s knowledge;
182
(2) A description of all documents, any of the requirements of this section.

data compilations and tangible things Such waiver may be granted for good
in the defendant’s possession, custody, cause shown.
or control, that are relevant to the (k) Accelerated Docket Proceedings.
facts alleged with particularity in the For the purpose of this paragraph (k),
answer. Such description shall include the term document also shall include
for each document: data compilations and tangible things.
(i) The date it was prepared, mailed, (1) Any party named as a defendant
transmitted, or otherwise dissemi- in an Accelerated Docket formal com-
nated; plaint shall answer such complaint in
(ii) The author, preparer, or other the manner prescribed under this sec-
source;
tion within ten days of service of the
(iii) The recipient(s) or intended re-
complaint by the complainant, unless
cipient(s);
otherwise directed by the Commission.
(iv) Its physical location; and
(v) A description of its relevance to Except as set forth in this paragraph
the matters in dispute. (k), answers in Accelerated Docket pro-
(3) A complete description of the ceedings shall comply with the require-
manner in which the defendant identi- ments of this section.
fied all persons with information and (2) The requirement in § 1.720(c) and
designated all documents, data com- paragraph (g) of this section that fac-
pilations and tangible things as being tual assertions be supported by affi-
relevant to the dispute, including, but davit shall not apply to answers in Ac-
not limited to, identifying the indi- celerated Docket proceedings. Never-
vidual(s) that conducted the informa- theless, allegations of material fact,
tion search and the criteria used to whether based on personal knowledge
identify such persons, documents, data or information and belief, that cannot
compilations, tangible things, and in- be supported by documentation remain
formation; subject to the provisions of § 1.52.
(g) The answer shall attach copies of (3) Answers on the Accelerated Dock-
all affidavits, documents, data com- et are not required to include proposed
pilations and tangible things in the de- findings of fact, conclusions of law, and
fendant’s possession, custody, or con- legal analysis relevant to the defenses
trol, upon which the defendant relies or and arguments set forth in the answer,
intends to rely to support the facts alas required in paragraph (c) of this sec-
leged and legal arguments made in the tion. Nevertheless, answers on the Ac-
answer. celerated Docket shall fully set out the
(h) The answer shall contain certifi- facts and legal theories on which the
cation that the defendant has, in good
defendant premises its defenses.
faith, discussed or attempted to dis-
(4) In light of the requirement for
cuss, the possibility of settlement with
the complainant prior to the filing of staff-supervised settlement negotia-
the formal complaint. Such certifi- tions required in § 1.730(b), answers on
cation shall include a brief summary of the Accelerated Docket are not re-
all steps taken to resolve the dispute quired to include a certification that
prior to the filing of the formal com- the defendant has discussed, or at-
plaint. If no such steps were taken, tempted to discuss, the possibility of
such certificate shall state the rea- settlement with the complainant, as
son(s) why the defendant believed such required in paragraph (h) of this sec-
steps would be fruitless; tion.
(i) Where the complaint is filed pur- (5) As required in § 1.729(i)(1), answers
suant to 47 U.S.C. 271(d)(6)(B), the de- on the Accelerated Docket shall be ac-
fendant shall clearly indicate its will- companied, when served on complain-
ingness to waive the 90-day resolution ants, by copies of documents, within
deadline contained within 47 U.S.C. the defendant’s possession, custody or
271(d)(6)(B), in accordance with the re- control, that are likely to bear signifi-
quirements of § 1.736. cantly on the issues raised in the pro-
(j) The defendant may petition the ceeding. Unless otherwise directed,
staff, pursuant to § 1.3, for a waiver of these documents shall not be filed with
183
§ 1.725 47 CFR Ch. I (10–1–02 Edition)
the Commission. In light of this auto- which contain other allegations or ar-
matic document production require- guments will not be accepted or consid-
ment, answers on the Accelerated ered by the Commission.
Docket are not required to include a (b) Failure to reply to an affirmative
description of all relevant documents defense shall be deemed an admission
in the defendant’s possession, custody of such affirmative defense and of any
or control, as required in paragraph facts supporting such affirmative de-
(f)(2) of this section. fense that are not specifically contra-
(6) Answers on the Accelerated Dock- dicted in the complaint.
et are not required to provide the de- (c) The reply shall contain proposed
scription, required in paragraph (f)(3) findings of fact, conclusions of law, and
of this section, of the manner in which legal analysis relevant to the claims
the defendant identified persons with and arguments set forth in the reply.
knowledge of, and documents relevant (d) The reply shall include an infor-
to, the dispute. mation designation containing:
(7) In Accelerated Docket pro- (1) The name, address and position of
ceedings, the defendant, as required in each individual believed to have first-
§ 1.729(i)(1), shall serve, contempora- hand knowledge about the facts alleged
neously with its answer, the complain- with particularity in the reply, along
ant(s) with copies of documents, within with a description of the facts within
the defendant’s possession, custody or any such individual’s knowledge.
control, that are likely to bear signifi- (2) A description of all documents,
cantly on the issues raised in the com- data compilations and tangible things
plaint and/or the answer. in the complainant’s possession, cus-
[53 FR 11853, Apr. 11, 1988, as amended at 58 tody, or control that are relevant to
FR 25572, Apr. 27, 1993; 63 FR 1037, Jan. 7, the facts alleged with particularity in
1998; 63 FR 41446, Aug. 4, 1998; 66 FR 16617, the reply. Such description shall in-
Mar. 27, 2001] clude for each document:
(i) The date prepared, mailed, trans-
§ 1.725 Cross-complaints and counter-
claims. mitted, or otherwise disseminated;
(ii) The author, preparer, or other
Cross-complaints seeking any relief source;
within the jurisdiction of the Commis- (iii) The recipient(s) or intended re-
sion against any carrier that is a party cipient(s);
(complainant or defendant) to that pro- (iv) Its physical location; and
ceeding are expressly prohibited. Any (v) A description of its relevance to
claim that might otherwise meet the the matters in dispute.
requirements of a cross-complaint may (3) A complete description of the
be filed as a separate complaint in ac- manner in which the complainant iden-
cordance with §§ 1.720 through 1.736. For tified all persons with information and
purposes of this subpart, the term designated all documents, data com-
‘‘cross-complaint’’ shall include coun- pilations and tangible things as being
terclaims. relevant to the dispute, including, but
[63 FR 1037, Jan. 7, 1998] not limited to, identifying the indi-
vidual(s) that conducted the informa-
§ 1.726 Replies. tion search and the criteria used to
(a) Subject to paragraph (g) of this identify such persons, documents, data
section governing Accelerated Docket compilations, tangible things, and in-
proceedings, within three days after formation;
service of an answer containing affirm- (e) The reply shall attach copies of
ative defenses presented in accordance all affidavits, documents, data com-
with the requirements of § 1.724(e), a pilations and tangible things in the
complainant may file and serve a reply complainant’s possession, custody, or
containing statements of relevant, ma- control upon which the complainant
terial facts and legal arguments that relies or intends to rely to support the
shall be responsive to only those spe- facts alleged and legal arguments made
cific factual allegations and legal argu- in the reply.
ments made by the defendant in sup- (f) The complainant may petition the
port of its affirmative defenses. Replies staff, pursuant to § 1.3, for a waiver of
184
any of the requirements of this section. covery must contain a certification by

Such waiver may be granted for good the moving party that a good faith at-
cause shown. tempt to resolve the dispute was made
(g) Accelerated Docket Proceedings. prior to filing the motion. All facts re-
For the purpose of this paragraph (g), lied upon in motions must be supported
the term document also shall include by documentation or affidavits pursu-
data compilations and tangible things. ant to the requirements of § 1.720(c), ex-
(1) The filing of a separate pleading cept for those facts of which official
to reply to affirmative defenses is not notice may be taken.
permitted in Accelerated Docket pro-
(c) The moving party shall provide a
ceedings. Complainants in such pro-
proposed order for adoption, which ap-
ceedings may include, in the § 1.733(i)(4)
pre-status-conference filing, those propriately incorporates the basis
statements that otherwise would have therefor, including proposed findings of
been the subject of a reply. fact and conclusions of law relevant to
(2) In Accelerated Docket pro- the pleading. The proposed order shall
ceedings, the failure to reply, in the be clearly marked as a ‘‘Proposed
pre-status-conference filing, to an af- Order.’’ The proposed order shall be
firmative defense shall be deemed an submitted both as a hard copy and on
admission of such affirmative defense computer disk in accordance with the
and of any facts supporting such af- requirements of § 1.734(d). Where appro-
firmative defense that are not specifi- priate, the proposed order format
cally contradicted in the complaint. should conform to that of a reported
(3) If a complainant replies to an af- FCC order.
firmative defense in its § 1.733(i)(4), pre- (d) Oppositions to any motion shall
status-conference filing, it shall in- be accompanied by a proposed order for
clude in that filing the information, re- adoption, which appropriately incor-
quired by paragraph (d)(1) of this sec- porates the basis therefor, including
tion, identifying individuals with first- proposed findings of fact and conclu-
hand knowledge of the facts alleged in sions of law relevant to the pleading.
the reply. The proposed order shall be clearly
(4) An Accelerated Docket complain-
captioned as a ‘‘Proposed Order.’’ The
ant that replies to an affirmative de-
proposed order shall be submitted both
fense in its § 1.733(i)(4), pre-status-con-
as a hard copy and on computer disk in
ference filing also shall serve on the
defendant, at the same time as that fil- accordance with the requirements of
ing, those documents in the complain- § 1.734(d). Where appropriate, the pro-
ant’s possession, custody or control posed order format should conform to
that were not previously produced to that of a reported FCC order.
the defendant and that are likely to (e) Oppositions to motions may be
bear significantly on the issues raised filed and served within five business
in the reply. Such a complainant is not days after the motion is filed and
required to comply with the remainder served and not after. Oppositions shall
of the requirements in paragraphs (d) be limited to the specific issues and al-
and (e) of this section. legations contained in such motion;
when a motion is incorporated in an
41447, Aug. 4, 1998; 66 FR 16617, Mar. 27, 2001] answer to a complaint, the opposition
to such motion shall not address any
§ 1.727 Motions. issues presented in the answer that are
(a) A request to the Commission for not also specifically raised in the mo-
an order shall be by written motion, tion. Failure to oppose any motion
stating with particularity the grounds may constitute grounds for granting of
and authority therefor, and setting the motion.
forth the relief or order sought. (f) No reply may be filed to an opposi-
(b) All dispositive motions shall con- tion to a motion.
tain proposed findings of fact and con- (g) Motions seeking an order that the
clusions of law, with supporting legal allegations in the complaint be made
analysis, relevant to the contents of more definite and certain are prohib-
the pleading. Motions to compel dis- ited.
185
§ 1.728 47 CFR Ch. I (10–1–02 Edition)
(h) Amendments or supplements to atories for purposes of compliance with

complaints to add new claims or re- this limit. Requests for interrogatories
quests for relief are prohibited. Parties filed and served pursuant to this proce-
are responsible, however, for the con- dure may be used to seek discovery of
tinuing accuracy and completeness of any non-privileged matter that is rel-
all information and supporting author- evant to the material facts in dispute
ity furnished in a pending complaint in the pending proceeding, provided,
proceeding as required under § 1.720(g). however, that requests for interrog-
[53 FR 11854, Apr. 11, 1988, as amended at 58 atories filed and served by a complain-
FR 25572, Apr. 27, 1993; 63 FR 1036, Jan. 7, ant after service of the defendant’s an-
1998; 63 FR 41447, Aug. 4, 1998] swer shall be limited in scope to spe-
cific factual allegations made by the
§ 1.728 Formal complaints not stating defendant in support of its affirmative
a cause of action; defective plead- defenses. This procedure may not be
ings.
employed for the purpose of delay, har-
(a) Any document purporting to be a assment or obtaining information that
formal complaint which does not state is beyond the scope of permissible in-
a cause of action under the Commu- quiry related to the material facts in
nications Act will be dismissed. In such dispute in the pending proceeding.
case, any amendment or supplement to (b) Requests for interrogatories filed
such document will be considered a and served pursuant to paragraph (a) of
new filing which must be made within
this section shall contain a listing of
the statutory periods of limitations of
the interrogatories requested and an
actions contained in section 415 of the
explanation of why the information
Communications Act.
sought in each interrogatory is both
(b) Any other pleading filed in a for-
mal complaint proceeding not in con- necessary to the resolution of the dis-
formity with the requirements of the pute and not available from any other
applicable rules in this part may be source.
deemed defective. In such case the (c) A responding party shall file with
Commission may strike the pleading or the Commission and serve on the pro-
request that specified defects be cor- pounding party any opposition and ob-
rected and that proper pleadings be jections to the requests for interrog-
filed with the Commission and served atories as follows:
on all parties within a prescribed time (1) By the defendant, within ten cal-
as a condition to being made a part of endar days of service of the requests
the record in the proceeding. for interrogatories served simulta-
neously with the complaint and within
[53 FR 11854, Apr. 11, 1988]
five calendar days of the requests for
§ 1.729 Discovery. interrogatories served following serv-
ice of the answer;
(a) Subject to paragraph (i) of this
section governing Accelerated Docket (2) By the complainant, within five
proceedings, a complainant may file calendar days of service of the requests
with the Commission and serve on a de- for interrogatories; and
fendant, concurrently with its com- (3) In no event less than three cal-
plaint, a request for up to ten written endar days prior to the initial status
interrogatories. A defendant may file conference as provided for in § 1.733(a).
with the Commission and serve on a (d) Commission staff will consider
complainant, during the period start- the requests for interrogatories, prop-
ing with the service of the complaint erly filed and served pursuant to para-
and ending with the service of its an- graph (a) of this section, along with
swer, a request for up to ten written in- any objections or oppositions thereto,
terrogatories. A complainant may file properly filed and served pursuant to
with the Commission and serve on a de- paragraph (b) of this section, at the ini-
fendant, within three calendar days of tial status conference, as provided for
service of the defendant’s answer, a re- in § 1.733(a)(5), and at that time deter-
quest for up to five written interrog- mine the interrogatories, if any, to
atories. Subparts of any interrogatory which parties shall respond, and set the
will be counted as separate interrog- schedule of such response.
186
(e) The interrogatories ordered to be (i) Appears likely to have an influ-

answered pursuant to paragraph (d) of ence on, or affect the outcome of, a
this section are to be answered sepa- claim or defense;
rately and fully in writing under oath (ii) Reflects the relevant knowledge
or affirmation by the party served, or of persons who, if their potential testi-
if such party is a public or private cor- mony were known, might reasonably
poration or partnership or association, be expected to be deposed or called as a
by any officer or agent who shall fur- witness by any of the parties;
nish such information as is available to (iii) Is something that competent
the party. The answers shall be signed counsel would consider reasonably nec-
by the person making them. The an- essary to prepare, evaluate or try a
swers shall be filed with the Commis- claim or defense; or
sion and served on the propounding (iv) Would not support the disclosing
party. party’s contentions.
(f) A propounding party asserting (2) In their § 1.733(i)(4) pre-status-con-
that a responding party has provided ference filings, parties to Accelerated
an inadequate or insufficient response Docket proceedings may request the
to Commission-ordered discovery reproduction of additional documents. In
quest may file a motion to compel their § 1.733(i)(4) filings, parties may
within ten days of the service of such also seek leave to conduct a reasonable
response, or as otherwise directed by number of depositions, including depo-
Commission staff, pursuant to the re- sitions of expert witnesses, if any.
quirements of § 1.727. When requesting additional discovery,
(g) The Commission may, in its dis- each party shall be prepared at the sta-
cretion, require parties to provide doc- tus conference to justify its requests
uments to the Commission in a by identifying the specific issue or
scanned or other electronic format issues on which it expects to obtain
evidence from each request.
that provides:
(3) Interrogatories shall not be rou-
(1) Indexing by useful identifying in-
tinely granted in Accelerated Docket
formation about the documents; and
proceedings. A party to an Accelerated
(2) Technology that allows staff to Docket proceeding that prefers inter-
annotate the index so as to make the rogatories to the other forms of avail-
format an efficient means of reviewing able discovery, for reasons of conven-
the documents. ience or expense, may seek leave in its
(h) The Commission may allow addi- § 1.733(i)(4) pre-status-conference filing
tional discovery, including, but not to propound a limited number of inter-
limited to, document production, depo- rogatories.
sitions and/or additional interrog- (4) Expert Witnesses.
atories. In its discretion, the Commis- (i) Any complainant in an Acceler-
sion may modify the scope, means and ated Docket proceeding that intends to
scheduling of discovery in light of the rely on expert testimony for a purpose
needs of a particular case and the re- other than to rebut a defendant’s ex-
quirements of applicable statutory pert evidence, shall identify its expert
deadlines. witnesses in the information designa-
(i) Discovery in Accelerated Docket pro- tion required by § 1.721(a)(10)(i). In its
ceedings. (1) Each party to an Acceler- § 1.721(a)(10)(i) information designation,
ated Docket proceeding shall serve, such a complainant shall also provide
with its initial pleading and with any its expert statement. For purposes of
reply statements in the pre-status-con- this paragraph (i)(4), an expert state-
ference filing (see § 1.726(g)(1)), copies of ment shall include a brief statement of
all documents in the possession, cus- the opinions to be expressed by the ex-
tody or control of the party that are pert, the basis and reasons therefor and
likely to bear significantly on any any data or other information that the
claim or defense. For the purpose of witness considered in forming her opin-
this paragraph (i), document also shall ions.
include data compilations and tangible (ii) Any defendant in an Accelerated
things. A document is likely to bear Docket proceeding that intends to rely
significantly on a claim or defense if it: on expert testimony shall identify its
187
§ 1.730 47 CFR Ch. I (10–1–02 Edition)
expert witnesses in the information (c) Within five days of receiving serv-
designation required by § 1.724(f)(1). ice of a complaint, any defendant in a
Such a defendant shall provide its ex- formal complaint proceeding may sub-
pert statement with its § 1.733(i)(4), pre- mit by facsimile or hand delivery, to
status-conference filing. the Chief of the Enforcement Bureau’s
(iii) Any complainant in an Acceler- Market Disputes Resolution Division, a
ated Docket proceeding that intends to request seeking inclusion of its pro-
rely on previously undisclosed expert ceeding on the Accelerated Docket.
testimony to rebut any portion of the Such a defendant contemporaneously
defendant’s case shall identify the ex- shall transmit, in the same manner, a
pert and provide the appropriate expert copy of its request to all parties to the
statement at the initial status con- proceeding. A defendant submitting
ference. such a request shall file and serve its
(iv) Expert witnesses shall be subject answer in compliance with the require-
to deposition in Accelerated Docket ments of § 1.724(k), except that the de-
proceedings under the same rules and fendant shall not be required to serve
limitations applicable to fact wit- with its answer the automatic docu-
nesses. ment production required by
§§ 1.724(k)(7) and 1.729(i)(1). In pro-
41447, Aug. 4, 1998]
ceedings accepted onto the Accelerated
Docket at a defendant’s request, the
§ 1.730 The Enforcement Bureau’s Ac- Commission staff will conduct super-
celerated Docket. vised settlement discussions as appro-
priate. After accepting such a pro-
(a) Parties to formal complaint pro-
ceeding onto the Accelerated Docket,
ceedings against common carriers
Commission staff will establish a
within the responsibility of the En-
schedule for the remainder of the pro-
forcement Bureau (see §§ 0.111, 0.311,
ceeding, including the parties’
0.314 of this chapter) may request in-
§ 1.729(i)(1) automatic production of
clusion on the Bureau’s Accelerated
documents.
Docket. As set out in §§ 1.720 through
1.736, proceedings on the Accelerated (d) During the thirty days following
Docket are subject to shorter pleading the effective date of these rules, any
deadlines and certain other procedural party to a pending formal complaint
rules that do not apply to other formal proceeding in which an answer has
complaint proceedings before the En- been filed or is past due may seek ad-
forcement Bureau. mission of the proceeding to the Accel-
(b) Any party that contemplates fil- erated Docket by submitting a request
ing a formal complaint may submit a by facsimile or hand delivery to the
request to the Chief of the Enforce- Chief of the Enforcement Bureau’s
ment Bureau’s Market Disputes Reso- Market Disputes Resolution Division,
lution Division, either by phone or in with facsimile copies to all other par-
writing, seeking inclusion of its com- ties to the proceeding by the same
plaint, once filed, on the Accelerated mode of transmission. If a pending pro-
Docket. In appropriate cases, Commis- ceeding is accepted onto the Acceler-
sion staff shall schedule and supervise ated Docket, Commission staff will
pre-filing settlement negotiations be- conduct supervised settlement discus-
tween the parties to the dispute. If the sions if appropriate and establish a
parties do not resolve their dispute and schedule for the remainder of the pro-
the matter is accepted for handling on ceeding, including the parties’
the Accelerated Docket, the complain- § 1.729(i)(1) automatic production of
ant shall file its complaint with a let- documents if necessary.
ter stating that it has gained admis- (e) In determining whether to admit
sion to the Accelerated Docket. When a proceeding onto the Accelerated
it files its complaint, such a complain- Docket, Commission staff may con-
ant shall also serve a copy of its com- sider factors from the following, non-
plaint on the Commission staff that su- exclusive list:
pervised the pre-filing settlement dis- (1) Whether it appears that the par-
cussions. ties to the dispute have exhausted the
188
reasonable opportunities for settle- (2) Before a minitrial, each party will
ment during the staff-supervised settle- receive a specific time allotment in
ment discussions. which it may present evidence and
(2) Whether the expedited resolution make argument during the minitrial.
of a particular dispute or category of The ALJ or other Commission staff
disputes appears likely to advance presiding at the minitrial will deduct
competition in the telecommuni- from each party’s time allotment any
cations market. time that the party spends presenting
(3) Whether the issues in the pro- either evidence or argument during the
ceeding appear suited for decision proceeding. The presiding official shall
under the constraints of the Acceler- have broad discretion in determining
ated Docket. This factor may entail, any time penalty or deduction for a
inter alia, examination of the number of party who appears to be intentionally
distinct issues raised in a proceeding, delaying either the proceeding or the
the likely complexity of the necessary presentation of another party’s case.
discovery, and whether the complain- Within the limits imposed by its time
ant bifurcates any damages claims for allotment, a party may present evi-
decision in a separate proceeding. See dence and argument in whatever man-
§ 1.722(b). ner or format it chooses, provided,
however, that the submission of writ-
(4) Whether the complainant states a
ten testimony shall not be permitted.
claim for violation of the Act, or Com-
(3) Three days before a minitrial,
mission rule or order that falls within
each party to a proceeding shall serve
the Commission’s jurisdiction.
on all other parties a copy of all exhib-
(5) Whether it appears that inclusion its that the party intends to introduce
of a proceeding on the Accelerated during the minitrial and a list of all
Docket would be unfair to one party witnesses, including expert witnesses,
because of an overwhelming disparity that the party may call during the
in the parties’ resources. minitrial. Service of this material
(6) Such other factors as the Commis- shall be accomplished either by hand or
sion staff, within its substantial discre- by facsimile transmission. Objections
tion, may deem appropriate and condu- to any exhibits or proposed witness tes-
cive to the prompt and fair adjudica- timony will be heard before the begin-
tion of complaint proceedings. ning of the minitrial.
(f) If it appears at any time that a (4) No party will be permitted to call
proceeding on the Accelerated Docket as a witness in a minitrial, or other-
is no longer appropriate for such treat- wise offer evidence from, an individual
ment, Commission staff may remove in that party’s employ, unless the indi-
the matter from the Accelerated Dock- vidual appears on the party’s informa-
et either on its own motion or at the tion designation (see §§ 1.721(a)(10)(i) or
request of any party. 1.724(f)(1)) with a general description of
(g) Minitrials. the issues on which she will offer evi-
(1) In Accelerated Docket pro- dence. No party will be permitted to
ceedings, the Commission may conduct present expert evidence unless the
a minitrial, or hearing-type pro- party has complied fully with the ex-
ceeding, as an alternative to requiring pert-disclosure requirements of
that parties submit briefs in support of § 1.729(i)(4). The Commission may per-
their cases. Minitrials typically will mit exceptions to the rules in this
take place between 40 and 45 days after paragraph (g)(4) for good cause shown.
the filing of the complaint. A Commis- (5) Two days before the beginning of
sion Administrative Law Judge the minitrial, parties shall file pro-
(‘‘ALJ’’) typically will preside at the posed findings of fact and conclusions
minitrial, administer oaths to wit- of law. These submissions shall not ex-
nesses, and time the parties’ presen- ceed 40 pages per party. Within three
tation of their cases. In consultation days after the conclusion of the mini-
with the Commission staff, the ALJ trial, parties may submit revised pro-
will rule on objections or procedural posed findings of fact and conclusions
issues that may arise during the course of law to meet evidence introduced or
of the minitrial. arguments raised at the minitrial.
189
§ 1.731 47 CFR Ch. I (10–1–02 Edition)
These submissions shall not exceed 20 contained in the Freedom of Informa-

pages per party. tion Act (FOIA), 5 U.S.C. 552(b) (1)
(6) The parties shall arrange for the through (9). Any party asserting con-
stenographic transcription of minitrial fidentiality for such materials shall so
proceedings so that transcripts are indicate by clearly marking each page,
available and filed with the Commis- or portion thereof, for which a propri-
sion no more than three days after the etary designation is claimed. If a pro-
conclusion of the minitrial. Absent an prietary designation is challenged, the
agreement to the contrary, the cost of party claiming confidentiality shall
the transcript shall be shared equally have the burden of demonstrating, by a
between the parties to the proceeding. preponderance of the evidence, that the
(h) Applications for review of staff material designated as proprietary
decisions issued on delegated authority falls under the standards for nondisclo-
in Accelerated Docket proceedings sure enunciated in the FOIA.
shall comply with the filing and serv- (b) Materials marked as proprietary
ice requirements in § 1.115(e)(4). In may be disclosed solely to the fol-
those Accelerated Docket proceedings lowing persons, only for use in pros-
which raise issues that may not be de- ecuting or defending a party to the
cided on delegated authority (see 47 complaint action, and only to the ex-
U.S.C. 155(c)(1); 47 CFR 0.291(d)), the tent necessary to assist in the prosecu-
staff decision issued after the minitrial tion or defense of the case:
will be a recommended decision subject (1) Counsel of record representing the
to adoption or modification by the parties in the complaint action and
Commission. Any party to the pro- any support personnel employed by
ceeding that seeks modification of the such attorneys;
recommended decision may do so by (2) Officers or employees of the op-
filing comments challenging the deci- posing party who are named by the op-
sion within 15 days of its release by the posing party as being directly involved
Commission’s Office of Media Rela- in the prosecution or defense of the
tions. (Compare § 1.4(b)(2).) Opposition case;
comments may be filed within 15 days (3) Consultants or expert witnesses
of the comments challenging the deci- retained by the parties;
sion; reply comments may be filed 10 (4) The Commission and its staff; and
days thereafter and shall be limited to (5) Court reporters and stenographers
issues raised in the opposition com- in accordance with the terms and con-
ments. ditions of this section.
(i) If no party files comments chal- (c) These individuals shall not dis-
lenging the recommended decision, the close information designated as propri-
Commission will issue its decision etary to any person who is not author-
adopting or modifying the rec- ized under this section to receive such
ommended decision within 45 days of information, and shall not use the in-
its release. If parties to the proceeding formation in any activity or function
file comments to the recommended de- other than the prosecution or defense
cision, the Commission will issue its in the case before the Commission.
decision adopting or modifying the rec- Each individual who is provided access
ommended decision within 30 days of to the information shall sign a nota-
the filing of the final comments. rized statement affirmatively stating
[63 FR 41448, Aug. 4, 1998, as amended at 64 that the individual has personally re-
FR 60725, Nov. 8, 1999] viewed the Commission’s rules and un-
derstands the limitations they impose
§ 1.731 Confidentiality of information on the signing party.
produced or exchanged by the par- (d) No copies of materials marked
ties. proprietary may be made except copies
(a) Any materials generated in the to be used by persons designated in
course of a formal complaint pro- paragraph (b) of this section. Each
ceeding may be designated as propri- party shall maintain a log recording
etary by that party if the party be- the number of copies made of all pro-
lieves in good faith that the materials prietary material and the persons to
fall within an exemption to disclosure whom the copies have been provided.
190
(e) Upon termination of a formal sions of law which the filing party is
complaint proceeding, including all ap- urging the Commission to adopt, with
peals and petitions, all originals and specific citation to the record, and sup-
reproductions of any proprietary mate- porting relevant authority and anal-
rials, along with the log recording per- ysis.
sons who received copies of such mate- (c) In cases in which discovery is not
rials, shall be provided to the pro- conducted, absent an order by the Com-
ducing party. In addition, upon final mission that briefs be filed, parties
termination of the complaint pro- may not submit briefs. If the Commis-
ceeding, any notes or other work prod- sion does authorize the filing of briefs
uct derived in whole or in part from in cases in which discovery is not con-
the proprietary materials of an oppos- ducted, briefs shall be filed concur-
ing or third party shall be destroyed. rently by both the complainant and de-
[58 FR 25573, Apr. 27, 1993, as amended at 63 fendant at such time as designated by
FR 1039, Jan. 7, 1998] the Commission staff and in accord-
ance with the provisions of this sec-
§ 1.732 Other required written submis- tion.
sions. (d) In cases in which discovery is con-
(a) The Commission may, in its dis- ducted, briefs shall be filed concur-
cretion, or upon a party’s motion show- rently by both the complainant and de-
ing good cause, require the parties to fendant at such time designated by the
file briefs summarizing the facts and Commission staff.
issues presented in the pleadings and (e) Briefs containing information
other record evidence. which is claimed by an opposing or
(b) Unless otherwise directed by the third party to be proprietary under
Commission, all briefs shall include all § 1.731 shall be submitted to the Com-
legal and factual claims and defenses mission in confidence pursuant to the
previously set forth in the complaint, requirements of § 0.459 of this chapter
answer, or any other pleading sub- and clearly marked ‘‘Not for Public In-
mitted in the proceeding. Claims and spection.’’ An edited version removing
defenses previously made but not re- all proprietary data shall also be filed
flected in the briefs will be deemed with the Commission for inclusion in
abandoned. The Commission may, in the public file. Edited versions shall be
its discretion, limit the scope of any filed within five days from the date the
briefs to certain subjects or issues. A unedited brief is submitted, and served
party shall attach to its brief copies of on opposing parties.
all documents, data compilations, tan- (f) Initial briefs shall be no longer
gible things, and affidavits upon which than twenty-five pages. Reply briefs
such party relies or intends to rely to shall be no longer than ten pages. Ei-
support the facts alleged and legal ar- ther on its own motion or upon proper
guments made in its brief and such motion by a party, the Commission
brief shall contain a full explanation of staff may establish other page limits
how each attachment is relevant to the for briefs.
issues and matters in dispute. All such (g) The Commission may require the
attachments to a brief shall be docu- parties to submit any additional infor-
ments, data compilations or tangible mation it deems appropriate for a full,
things, or affidavits made by persons, fair, and expeditious resolution of the
that were identified by any party in its proceeding, including affidavits and ex-
information designations filed pursu- hibits.
ant to §§ 1.721(a)(10)(i), (a)(10)(ii), (h) The parties shall submit a joint
1.724(f)(1), (f)(2), and 1.726(d)(1), (d)(2). statement of stipulated facts, disputed
Any other supporting documentation facts, and key legal issues no later
or affidavits that is attached to a brief than two business days prior to the ini-
must be accompanied by a full expla- tial status conference, scheduled in ac-
nation of the relevance of such mate- cordance with the provisions of
rials and why such materials were not § 1.733(a).
identified in the information designa- [53 FR 11855, Apr. 11, 1988. Redesignated and
tions. These briefs shall contain the amended at 58 FR 25573, Apr. 27, 1993; 63 FR
proposed findings of fact and conclu- 1039, Jan. 7, 1998]
191
§ 1.733 47 CFR Ch. I (10–1–02 Edition)
§ 1.733 Status conference. least two business days prior to the

scheduled initial status conference.
(a) In any complaint proceeding, the
(c) In addition to the initial status
Commission may, in its discretion, di-
conference referenced in paragraph (a)
rect the attorneys and/or the parties to
of this section, any party may also re-
appear before it for a status con-
quest that a conference be held at any
ference. Unless otherwise ordered by
time after the complaint has been
the Commission, and with the excep-
filed.
tion of Accelerated Docket pro-
(d) During a status conference, the
ceedings, governed by paragraph (i) of
Commission staff may issue oral rul-
this section, an initial status con-
ings pertaining to a variety of inter-
ference shall take place, at the time
locutory matters relevant to the con-
and place designated by the Commis-
duct of a formal complaint proceeding
sion staff, ten business days after the
including, inter alia, procedural mat-
date the answer is due to be filed. A
ters, discovery, and the submission of
status conference may include discus-
briefs or other evidentiary materials.
sion of:
(e) Parties may make, upon written
(1) Simplification or narrowing of the
notice to the Commission and all at-
issues;
tending parties at least three business
(2) The necessity for or desirability of days prior to the status conference, an
additional pleadings or evidentiary audio recording of the Commission
submissions; staff’s summary of its oral rulings. Al-
(3) Obtaining admissions of fact or ternatively, upon agreement among all
stipulations between the parties as to attending parties and written notice to
any or all of the matters in con- the Commission at least three business
troversy; days prior to the status conference, the
(4) Settlement of all or some of the parties may make an audio recording
matters in controversy by agreement of, or use a stenographer to transcribe,
of the parties; the oral presentations and exchanges
(5) Whether discovery is necessary between and among the participating
and, if so, the scope, type and schedule parties, insofar as such communica-
for such discovery; tions are ‘‘on-the-record’’ as deter-
(6) The schedule for the remainder of mined by the Commission staff, as well
the case and the dates for any further as the Commission staff’s summary of
status conferences; and its oral rulings. A complete transcript
(7) Such other matters that may aid of any audio recording or stenographic
in the disposition of the complaint. transcription shall be filed with the
(b)(1) Subject to paragraph (i) of this Commission as part of the record, pur-
section governing Accelerated Docket suant to the provisions of paragraph
proceedings, parties shall meet and (f)(2) of this section. The parties shall
confer prior to the initial status con- make all necessary arrangements for
ference to discuss: the use of a stenographer and the cost
(i) Settlement prospects; of transcription, absent agreement to
(ii) Discovery; the contrary, will be shared equally by
(iii) Issues in dispute; all parties that agree to make the
(iv) Schedules for pleadings; record of the status conference.
(v) Joint statement of stipulated (f) The parties in attendance, unless
facts, disputed facts, and key legal otherwise directed, shall either:
issues; and (1) Submit a joint proposed order me-
(vi) In a 47 U.S.C. 271(d)(6)(B) pro- morializing the oral rulings made dur-
ceeding, whether or not the parties ing the conference to the Commission
agree to waive the 47 U.S.C. 271(d)(6)(B) by 5:30 pm, Eastern Time, on the busi-
90-day resolution deadline. ness day following the date of the sta-
(2) Subject to paragraph (i) of this tus conference, or as otherwise directed
section governing Accelerated Docket by Commission staff. In the event the
proceedings, parties shall submit a parties in attendance cannot reach
joint statement of all proposals agreed agreement as to the rulings that were
to and disputes remaining as a result of made, the joint proposed order shall in-
such meeting to Commission staff at clude the rulings on which the parties
192
agree, and each party’s alternative pro- (iii) Factual and legal issues in dis-
posed rulings for those rulings on pute.
which they cannot agree. Commission (3) Two days before the status con-
staff will review and make revisions, if ference, parties shall submit to Com-
necessary, prior to signing and filing mission staff a joint statement of:
the submission as part of the record. (i) The agreements that they have
The proposed order shall be submitted reached with respect to discovery;
both as hard copy and on computer (ii) The facts to which they have
disk in accordance with the require- agreed to stipulate; and
ments of § 1.734(d); or (iii) The disputed facts or legal issues
(2) Pursuant to the requirements of of which they can agree to a joint
paragraph (e) of this section, submit to statement.
the Commission by 5:30 pm., Eastern (4) Two days before the status con-
Time, on the third business day fol- ference, each party also shall submit to
lowing the status conference or as oth- Commission staff a separate statement
erwise directed by Commission staff ei- which shall include, as appropriate, the
ther: party’s statement of the disputed facts
(i) A transcript of the audio record- and legal issues presented by the com-
ing of the Commission staff’s summary plaint proceeding and any additional
of its oral rulings; discovery that the party seeks. A com-
(ii) A transcript of the audio record- plainant that wishes to reply to a de-
ing of the oral presentations and ex- fendant’s affirmative defense shall do
changes between and among the par- so in its pre-status-conference filing.
ticipating parties, insofar as such com- To the extent that this filing contains
munications are ‘‘on-the-record’’ as de- statements replying to an affirmative
termined by the Commission staff, and defense, the complainant shall include,
the Commission staff’s summary of its and/or serve with the statement, the
oral rulings; or witness information and documents re-
(iii) A stenographic transcript of the quired in § 1.726(g)(3)–(4). A defendant
oral presentations and exchanges be- that intends to rely on expert evidence
tween and among the participating shall include its expert statement in
parties, insofar as such communica- its pre-status conference filing. (See
tions are ‘‘on-the-record’’ as deter- § 1.729(i)(4)(ii).)
mined by the Commission staff, and [53 FR 11855, Apr. 11, 1988. Redesignated and
the Commission staff’s summary of its amended at 58 FR 25573, Apr. 27, 1993; 63 FR
oral rulings. 1039, Jan. 7, 1998; 63 FR 41449, Aug. 4, 1998]
(g) Status conferences will be sched-
uled by the Commission staff at such § 1.734 Specifications as to pleadings,
time and place as it may designate to briefs, and other documents; sub-
be conducted in person or by telephone scription.
conference call. (a) All papers filed in any formal
(h) The failure of any attorney or complaint proceeding must be drawn in
party, following reasonable notice, to conformity with the requirements of
appear at a scheduled conference will §§ 1.49 and 1.50.
be deemed a waiver by that party and (b) All averments of claims or de-
will not preclude the Commission staff fenses in complaints and answers shall
from conferring with those parties and/ be made in numbered paragraphs. The
or counsel present. contents of each paragraph shall be
(i) Accelerated Docket Proceedings. (1) limited as far as practicable to a state-
In Accelerated Docket proceedings, the ment of a single set of circumstances.
initial status conference will be held 10 Each claim founded on a separate
days after the answer is due to be filed. transaction or occurrence and each af-
(2) Prior to the initial status con- firmative defense shall be separately
ference, the parties shall confer, either stated to facilitate the clear presen-
in person or by telephone, about: tation of the matters set forth.
(i) Discovery to which they can (c) The original of all pleadings and
agree; other submissions filed by any party
(ii) Facts to which they can stipu- shall be signed by the party, or by the
late; and party’s attorney. The signing party
193
§ 1.735 47 CFR Ch. I (10–1–02 Edition)
shall include in the document his or ance with part I, subpart G (see
her address, telephone number, fac- § 1.1105(1)(c) and (d)) and, on the same
simile number and the date on which day:
the document was signed. Copies (1) File three copies of the complaint
should be conformed to the original. with the Office of the Commission Sec-
Unless specifically required by rule or retary;
statute, pleadings need not be verified. (2) Serve two copies on the Market
The signature of an attorney or party Disputes Resolution Division, Enforce-
shall be a certificate that the attorney ment Bureau;
or party has read the pleading, motion, (3) If the complaint is filed against a
or other paper; that to the best of his carrier concerning matters within the
or her knowledge, information, and be- responsibility of the International Bu-
lief formed after reasonable inquiry, it reau (see § 0.261 of this chapter), serve a
is well grounded in fact and is war- copy on the Chief, Policy Division,
ranted by existing law or a good faith International Bureau; and
argument for the extension, modifica- (4) If a complaint is addressed against
tion, or reversal of existing law; and multiple defendants, pay a separate
that it is not interposed solely for pur- fee, in accordance with part I, subpart
poses of delay or for any other im- G (see § 1.1105(1)(c) and (d)), and file
proper purpose. three copies of the complaint with the
(d) All proposed orders shall be sub- Office of the Commission Secretary for
mitted both as hard copies and on com- each additional defendant.
puter disk formatted to be compatible (c) Generally, a separate file is set up
with the Commission’s computer sys- for each defendant. An original plus
tem and using the Commission’s cur- two copies shall be filed of all plead-
rent wordprocessing software. Each ings and documents, other than the
disk should be submitted in ‘‘read complaint, for each file number as-
only’’ mode. Each disk should be clear- signed.
ly labelled with the party’s name, pro- (d) The complainant shall serve the
ceeding, type of pleading, and date of complaint by hand delivery on either
submission. Each disk should be ac- the named defendant or one of the
companied by a cover letter. Parties named defendant’s registered agents
who have submitted copies of tariffs or for service of process on the same date
reports with their hard copies need not that the complaint is filed with the
include such tariffs or reports on the Commission in accordance with the re-
disk. Upon showing of good cause, the quirements of paragraph (b) of this sec-
Commission may waive the require- tion.
ments of this paragraph. (e) Upon receipt of the complaint by
[53 FR 11855, Apr. 11, 1988. Redesignated at 58 the Commission, the Commission shall
FR 25573, Apr. 27, 1993, as amended at 63 FR promptly send, by facsimile trans-
1040, Jan. 7, 1998] mission to each defendant named in
the complaint, notice of the filing of
§ 1.735 Copies; service; separate filings the complaint. The Commission shall
against multiple defendants. send, by regular U.S. mail delivery, to
(a) Complaints may generally be each defendant named in the com-
brought against only one named car- plaint, a copy of the complaint. The
rier; such actions may not be brought Commission shall additionally send, by
against multiple defendants unless the regular U.S. mail to all parties, a
defendant carriers are commonly schedule detailing the date the answer
owned or controlled, are alleged to will be due and the date, time and loca-
have acted in concert, are alleged to be tion of the initial status conference.
jointly liable to complainant, or the (f) All subsequent pleadings and
complaint concerns common questions briefs filed in any formal complaint
of law or fact. Complaints may, how- proceeding, as well as all letters, docu-
ever, be consolidated by the Commis- ments or other written submissions,
sion for disposition. shall be served by the filing party on
(b) The complainant shall file an the attorney of record for each party to
original copy of the complaint, accom- the proceeding, or, where a party is not
panied by the correct fee, in accord- represented by an attorney, each party
194
to the proceeding either by hand deliv- deadline contained in 47 U.S.C.

ery, overnight delivery, or by facsimile 271(d)(6)(B) in the following manner:
transmission followed by regular U.S. (1) The complainant shall so indicate
mail delivery, together with a proof of in both the complaint itself and in the
such service in accordance with the re- Formal Complaint Intake Form, and
quirements of § 1.47(g). Service is the defendant shall so indicate in its
deemed effective as follows: answer; or
(1) Service by hand delivery that is (2) The parties shall indicate their
delivered to the office of the recipient agreement to waive the ninety-day res-
by 5:30 pm, local time of the recipient, olution deadline to the Commission
on a business day will be deemed served staff at the initial status conference, to
that day. Service by hand delivery that be held in accordance with § 1.733 of the
is delivered to the office of the recipi- rules.
ent after 5:30 pm, local time of the re-
(b) Requests for waiver of the ninety-
cipient, on a business day will be
day resolution deadline for complaints
deemed served on the following busi-
filed pursuant to 47 U.S.C. 271(d)(6)(B)
ness day;
will not be entertained by the Commis-
(2) Service by overnight delivery will
sion staff subsequent to the initial sta-
be deemed served the business day fol-
lowing the day it is accepted for over- tus conference, absent a showing by
night delivery by a reputable overnight the complainant and defendant that
delivery service such as, or comparable such waiver is in the public interest.
to, the US Postal Service Express Mail, [63 FR 1041, Jan. 7, 1998]
United Parcel Service or Federal Ex-
press; or APPLICATIONS
(3) Service by facsimile transmission
that is fully transmitted to the office § 1.741 Scope.
of the recipient by 5:30 pm, local time The general rules relating to applica-
of the recipient, on a business day will tions contained in §§ 1.742 through 1.748
be deemed served that day. Service by apply to all applications filed by car-
facsimile transmission that is fully riers except those filed by public cor-
transmitted to the office of the recipi- respondence radio stations pursuant to
ent after 5:30 pm, local time of the re- parts 80, 87, and 101 of this chapter, and
cipient, on a business day will be those filed by common carriers pursu-
deemed served on the following busi- ant to part 25 of this chapter. Parts 21
ness day. and 101 of this chapter contain general
(g) Supplemental complaint pro- rules applicable to applications filed
ceedings. Supplemental complaints pursuant to these parts. For general
filed pursuant to section 1.722 shall
rules applicable to applications filed
conform to the requirements set out in
pursuant to parts 80 and 87 of this
this section, except that the complain-
chapter, see such parts and subpart F
ant need not submit a filing fee, and
the complainant may effect service of this part. For rules applicable to ap-
pursuant to paragraph (f) of this sec- plications filed pursuant to part 25, see
tion rather than paragraph (d) of this said part.
section numerals. [61 FR 26670, May 28, 1996]
[53 FR 11855, Apr. 11, 1988. Redesignated and
amended at 58 FR 25573, 25574, Apr. 27, 1993, § 1.742 Place of filing, fees, and num-
as amended at 63 FR 1040, Jan. 7, 1998; 64 FR ber of copies.
60726, Nov. 8, 1999; 66 FR 16617, Mar. 27, 2001; All applications which do not require
67 FR 13223, Mar. 21, 2002]
a fee shall be filed at the Commission’s
§ 1.736 Complaints filed pursuant to 47 main office in Washington, DC., Atten-
U.S.C. 271(d)(6)(B). tion: Office of the Secretary. Hand-de-
livered applications will be dated by
(a) Where a complaint is filed pursu- the Secretary upon receipt (mailed ap-
ant to 47 U.S.C. 271(d)(6)(B), parties plications will be dated by the Mail
shall indicate whether they are willing
Branch) and then forwarded to the
to waive the ninety-day resolution
195
§ 1.743 47 CFR Ch. I (10–1–02 Edition)
Wireline Competition Bureau. All ap- forth his reasons for believing that
plications accompanied by a fee pay- such statements are true.
ment should be filed with the Commis- (c) Only the original of applications,
sion’s lockbox bank in accordance with amendments, or related statements of
§ 1.1105, Schedule of Fees. The number fact need be signed; copies may be con-
of copies required for each application formed.
and the nonrefundable processing fees (d) Applications, amendments, and
and any applicable regulatory fees (see related statements of fact need not be
subpart G of this part) which must ac- signed under oath. Willful false state-
company each application in order to ments made therein, however, are pun-
qualify it for acceptance for filing and ishable by fine and imprisonment, U.S.
consideration are set forth in the rules Code, Title 18, section 1001, and by ap-
in this chapter relating to various propriate administrative sanctions, in-
types of applications. However, if any cluding revocation of station license
application is not of the type covered pursuant to section 312(a)(1) of the
by this chapter, an original and two Communications Act of 1934, as amend-
copies of each such application shall be ed.
submitted. (e) ‘‘Signed,’’ as used in this section,
means an original hand-written signa-
[59 FR 30998, June 16, 1994, as amended at 67
FR 13223, Mar. 21, 2002] ture, except that by public notice in
the FEDERAL REGISTER the Wireline
§ 1.743 Who may sign applications. Competition Bureau may allow signa-
ture by any symbol executed or adopt-
(a) Except as provided in paragraph ed by the applicant with the intent
(b) of this section, applications, amend- that such symbol be a signature, in-
ments thereto, and related statements cluding symbols formed by computer-
of fact required by the Commission generated electronic impulses.
must be signed by the applicant, if the
applicant is an individual; by one of [28 FR 12450, Nov. 22, 1963, as amended at 53
the partners, if the applicant is a part- FR 17193, May 16, 1988; 59 FR 59503, Nov. 17,
nership; by an officer or duly author- 1994; 67 FR 13223, Mar. 21, 2002]
ized employee, if the applicant is a cor-
§ 1.744 Amendments.
poration; or by a member who is an of-
ficer, if the applicant is an unincor- (a) Any application not designated
porated association. Applications, for hearing may be amended at any
amendments, and related statements of time by the filing of signed amend-
fact filed on behalf of eligible governments in the same manner, and with
ment entities such as states and terri- the same number of copies, as was the
tories of the United States, their polit- initial application. If a petition to
ical subdivisions, the District of Co- deny (or to designate for hearing) has
lumbia, and units of local government, been filed, the amendment shall be
including incorporated municipalities, served on the petitioner.
must be signed by a duly elected or ap- (b) After any application is des-
pointed official who is authorized to do ignated for hearing, requests to amend
so under the laws of the applicable ju- such application may be granted by the
risdiction. presiding officer upon good cause
(b) Applications, amendments there- shown by petition, which petition shall
to, and related statements of fact re- be properly served upon all other par-
quired by the Commission may be ties to the proceeding.
signed by the applicant’s attorney in (c) The applicant may at any time be
case of the applicant’s physical dis- ordered to amend his application so as
ability or of his absence from the to make it more definite and certain.
United States. The attorney shall in Such order may be issued upon motion
that event separately set forth the rea- of the Commission (or the presiding of-
son why the application is not signed ficer, if the application has been des-
by the applicant. In addition, if any ignated for hearing) or upon petition of
matter is stated on the basis of the at- any interested person, which petition
torney’s belief only (rather than his shall be properly served upon the appli-
knowledge), he shall separately set cant and, if the application has been
196
designated for hearing, upon all parties a request for dismissal without preju-
to the hearing. dice. The Commission may dismiss an
[29 FR 6444, May 16, 1964, and 31 FR 14394,
application without prejudice before it
Nov. 9, 1966] has been designated for hearing when
the applicant fails to comply or justify
§ 1.745 Additional statements. noncompliance with Commission re-
The applicant may be required to quests for additional information in
submit such additional documents and connection with such application.
written statements of fact, signed and (b) After designation for hearing. A re-
verified (or affirmed), as in the judg- quest to dismiss an application without
ment of the Commission (or the pre- prejudice after it has been designated
siding officer, if the application has for hearing shall be made by petition
been designated for hearing) may be properly served upon all parties to the
necessary. Any additional documents hearing and will be granted only for
and written statements of fact required good cause shown. An application may
in connection with applications under be dismissed with prejudice after it has
Title II of the Communications Act been designated for hearing when the
need not be verified (or affirmed). applicant:
(1) Fails to comply with the require-
[29 FR 6444, May 16, 1964] ments of § 1.221(c);
§ 1.746 Defective applications. (2) Otherwise fails to prosecute his
application; or
(a) Applications not in accordance (3) Fails to comply or justify non-
with the applicable rules in this chap- compliance with Commission requests
ter may be deemed defective and re- for additional information in connec-
turned by the Commission without action with such application.
ceptance of such applications for filing
and consideration. Such applications [28 FR 12450, Nov. 22, 1963, as amended at 29
will be accepted for filing and consider- FR 6445, May 16, 1964]
ation if accompanied by petition show-
ing good cause for waiver of the rule § 1.749 Action on application under
delegated authority.
with which the application does not
conform. Certain applications do not require
(b) The assignment of a file number, action by the Commission but, pursu-
if any, to an application is for the ad- ant to the delegated authority con-
ministrative convenience of the Com- tained in subpart B of part 0 of this
mission and does not indicate the ac- chapter, may be acted upon by the
ceptance of the application for filing Chief of the Wireline Competition Bu-
and consideration. reau subject to reconsideration by the
Commission.
§ 1.747 Inconsistent or conflicting ap-
plications. [67 FR 13223, Mar. 21, 2002]
When an application is pending or SPECIFIC TYPES OF APPLICATIONS UNDER

undecided, no inconsistent or con- TITLE II OF COMMUNICATIONS ACT
flicting application filed by the same
applicant, his successor or assignee, or § 1.761 Cross reference.
on behalf or for the benefit of said ap-
Specific types of applications under
plicant, his successor, or assignee, will
Title III of the Communications Act in-
be considered by the Commission.
volving public correspondence radio
§ 1.748 Dismissal of applications. stations are specified in parts 23, 80, 87,
and 101 of this chapter.
(a) Before designation for hearing. Any
application not designated for hearing [61 FR 26671, May 28, 1996]
may be dismissed without prejudice at
any time upon request of the applicant. § 1.763 Construction, extension, acqui-
An applicant’s request for the return of sition or operation of lines.
an application that has been accepted (a) Applications under section 214 of
for filing and consideration, but not the Communications Act for authority
designated for hearing, will be deemed to construct a new line, extend any
197
§ 1.764 47 CFR Ch. I (10–1–02 Edition)
line, acquire or operate any line or ex- all applications under this section re-
tension thereof, or to engage in trans- questing authorizations (including cer-
mission over or by means of such addi- tificates) are filed with the regulatory
tional or extended line, to furnish tem- agencies of the States involved.
porary or emergency service, or to sup-
plement existing facilities shall be
FR 5289, Feb. 20, 1987]
made in the form and manner, with the
number of copies and accompanied by § 1.767 Cable landing licenses.
the fees specified in part 63 of this
chapter. (a) Applications for cable landing li-
(b) In cases under this section requir- censes under 47 U.S.C. 34–39 and Execu-
ing a certificate, notice is given to and tive Order No. 10530, dated May 10, 1954,
a copy of the application is filed with should be filed in duplicate and in ac-
the Secretary of Defense, the Secretary cordance with the provisions of that
of State (with respect to such applica- Executive Order. These applications
tions involving service to foreign should contain:
points), and the Governor of each State (1) The name, address and telephone
involved. Hearing is held if any of these number(s) of the applicant;
persons desires to be heard or if the (2) The Government, State, or Terri-
Commission determines that a hearing tory under the laws of which each cor-
should be held. Copies of applications porate or partnership applicant is orga-
for certificates are filed with the regu- nized;
latory agencies of the States involved. (3) The name, title, post office ad-
[28 FR 12450, Nov. 22, 1963, as amended at 64 dress, and telephone number of the offi-
FR 39939, July 23, 1999] cer and any other contact point, such
as legal counsel, to whom correspond-
§ 1.764 Discontinuance, reduction, or ence concerning the application is to
impairment of service. be addressed;
(a) Applications under section 214 of (4) A description of the submarine
the Communications Act for the au- cable, including the type and number
thority to discontinue, reduce, or im- of channels and the capacity thereof;
pair service to a community or part of (5) A specific description of the cable
a community or for the temporary, landing stations on the shore of the
emergency, or partial discontinuance, United States and in foreign countries
reduction, or impairment of service where the cable will land. The descrip-
shall be made in the form and manner, tion shall include a map showing spe-
with the number of copies specified in cific geographic coordinates, and may
part 63 of this chapter (see also subpart also include street addresses, of each
G, part 1 of this chapter). Posted and landing station. The map must also
public notice shall be given the public specify the coordinates of any beach
as required by part 63 of this chapter. joint where those coordinates differ
(b) In cases under this section requir- from the coordinates of the cable sta-
ing a certificate, notice is given to and tion. The applicant initially may file a
a copy of the application is filed with general geographic description of the
the Secretary of Defense, the Secretary landing points; however, grant of the
of State (with respect to such applica- application will be conditioned on the
tions involving service to foreign Commission’s final approval of a more
points), and the Governor of each State specific description of the landing
involved. Hearing is held if any of these points, including all information re-
persons desires to be heard or if the quired by this paragraph, to be filed by
Commission determines that a hearing the applicant no later than ninety (90)
should be held. Copies of all formal ap- days prior to construction. The Com-
plications under this section request- mission will give public notice of the
ing authorizations (including certifi- filing of this description, and grant of
cates) are filed with the Secretary of the license will be considered final if
Defense, the Secretary of State (with the Commission does not notify the ap-
respect to such applications involving plicant otherwise in writing no later
service to foreign points) and the Gov- than sixty (60) days after receipt of the
ernor of each State involved. Copies of specific description of the landing
198
points, unless the Commission des- tification pursuant to § 1.768, the appli-
ignates a different time period; cant shall reference in the application
(6) A statement as to whether the the foreign carrier affiliation notifica-
cable will be operated on a common tion and the date of its filing. See
carrier or non-common carrier basis; § 1.768. See also paragraph (g)(7) of this
(7) A list of the proposed owners of section (providing for post-transaction
the cable system, including each U.S. notification of pro forma assignments
cable landing station, their respective and transfers of control).
voting and ownership interests in each (iii) An assignee or transferee shall
U.S. cable landing station, their re- notify the Commission no later than
spective voting interests in the wet thirty (30) days after either consumma-
link portion of the cable system, and tion of the assignment or transfer or a
their respective ownership interests by decision not to consummate the assign-
segment in the cable; ment or transfer. The notification may
(8) For each applicant of the cable be by letter and shall identify the file
system, a certification as to whether numbers under which the initial li-
the applicant is, or is affiliated with, a cense and the authorization of the as-
foreign carrier, including an entity signment or transfer were granted.
that owns or controls a foreign cable (b) These applications are acted upon
landing station in any of the cable’s by the Commission after obtaining the
destination markets. Include the citi- approval of the Secretary of State and
zenship of each applicant and informa- such assistance from any executive de-
tion and certifications required in partment or establishment of the Gov-
§ 63.18(h) through (k), and in § 63.18(o), ernment as it may require.
of this chapter; (c) Original files relating to sub-
(9) A certification that the applicant marine cable landing licenses and ap-
accepts and will abide by the routine plications for licenses since June 30,
conditions specified in paragraph (g) of 1934, are kept by the Commission. Such
this section; and applications for licenses (including all
(10) Any other information that may documents and exhibits filed with and
be necessary to enable the Commission made a part thereof, with the exception
to act on the application. of any maps showing the exact location
(11) (i) If applying for authority to as- of the submarine cable or cables to be
sign or transfer control of an interest licensed) and the licenses issued pursu-
in a cable system, the applicant shall ant thereto, with the exception of such
complete paragraphs (a)(1) through maps, shall, unless otherwise ordered
(a)(3) of this section for both the trans- by the Commission, be open to public
feror/assignor and the transferee/as- inspection in the offices of the Com-
signee. Only the transferee/assignee mission in Washington, D.C.
needs to complete paragraphs (a)(8) (d) Original files relating to licenses
through (a)(9) of this section. At the and applications for licenses for the
beginning of the application, the appli- landing operation of cables prior to
cant should also include a narrative of June 30, 1934, were kept by the Depart-
the means by which the transfer or as- ment of State, and such files prior to
signment will take place. The applica- 1930 have been transferred to the Exec-
tion shall also specify, on a segment utive and Foreign Affairs Branch of the
specific basis, the percentage of voting General Records Office of the National
and ownership interests being trans- Archives. Requests for inspection of
ferred or assigned in the cable system, these files should, however, be ad-
including in a U.S. cable landing sta- dressed to the Federal Communica-
tion. The Commission reserves the tions Commission, Washington, D.C.,
right to request additional information 20554; and the Commission will obtain
as to the particulars of the transaction such files for a temporary period in
to aid it in making its public interest order to permit inspection at the of-
determination. fices of the Commission.
(ii) In the event the transaction re- (e) A separate application shall be
quiring an assignment or transfer of filed with respect to each individual
control application also requires the cable system for which a license is re-
filing of a foreign carrier affiliation no- quested, or for which modification or
199
§ 1.767 47 CFR Ch. I (10–1–02 Edition)
amendment of a previous license is re- regarding the location and conceal-

quested. The application fee for a non ment of the cable facilities, buildings,
common-carrier cable landing license and apparatus for the purpose of pro-
is payment type code BJT. Applicants tecting and safeguarding the cables
for common carrier cable landing li- from injury or destruction by enemies
censes shall pay the fees for both a of the United States of America;
common carrier cable landing license (4) The licensee, or any person or
(payment type code CXT) and overseas company controlling it, controlled by
cable construction (payment type code it, or under direct or indirect common
BIT). There is no application fee for control with it, does not enjoy and
modification of a cable landing license, shall not acquire any right to handle
except that the fee for assignment or traffic to or from the United States, its
transfer of control of a cable landing li- territories or its possessions unless
cense is payment type code CUT. See such service is authorized by the Com-
§ 1.1107(2) of this chapter. mission pursuant to section 214 of the
(f) Applicants shall disclose to any Communications Act, as amended;
interested member of the public, upon (5)(i) The licensee shall be prohibited
written request, accurate information from agreeing to accept special conces-
concerning the location and timing for sions directly or indirectly from any
the construction of a submarine cable foreign carrier, including any entity
system authorized under this section. that owns or controls a foreign cable
This disclosure shall be made within 30 landing station, where the foreign car-
days of receipt of the request. rier possesses sufficient market power
(g) Routine conditions. Except as oth- on the foreign end of the route to affect
erwise ordered by the Commission, the competition adversely in the U.S. mar-
following rules apply to each licensee ket, and from agreeing to accept spe-
of a cable landing license granted on or cial concessions in the future.
after March 15, 2002: (ii) For purposes of this section, a
(1) Grant of the cable landing license special concession is defined as an ex-
is subject to: clusive arrangement involving serv-
(i) All rules and regulations of the ices, facilities, or functions on the for-
Federal Communications Commission; eign end of a U.S. international route
(ii) Any treaties or conventions relat- that are necessary to land, connect, or
ing to communications to which the operate submarine cables, where the
United States is or may hereafter be- arrangement is not offered to similarly
come a party; and situated U.S. submarine cable owners,
(iii) Any action by the Commission indefeasible-right-of-user holders, or
or the Congress of the United States lessors, and includes arrangements for
rescinding, changing, modifying or the terms for acquisition, resale, lease,
amending any rights accruing to any transfer and use of capacity on the
person by grant of the license; cable; access to collocation space; the
(2) The location of the cable system opportunity to provide or obtain
within the territorial waters of the backhaul capacity; access to technical
United States of America, its terri- network information; and interconnec-
tories and possessions, and upon its tion to the public switched tele-
shores shall be in conformity with communications network.
plans approved by the Secretary of the NOTE TO PARAGRAPH (g)(5): Licensees may
Army. The cable shall be moved or rely on the Commission’s list of foreign car-
shifted by the licensee at its expense riers that do not qualify for the presumption
upon request of the Secretary of the that they lack market power in particular
Army, whenever he or she considers foreign points for purposes of determining
such course necessary in the public in- which foreign carriers are the subject of the
requirements of this section. The Commis-
terest, for reasons of national defense, sion’s list of foreign carriers that do not
or for the maintenance and improve- qualify for the presumption that they lack
ment of harbors for navigational pur- market power is available from the Inter-
poses; national Bureau’s World Wide Web site at
(3) The licensee shall at all times http://www.fcc.gov/ib.
comply with any requirements of (6) Except as provided in paragraph
United States government authorities (g)(7) of this section, the cable landing
200
license and rights granted in the li- may significantly affect the environ-
cense shall not be transferred, as- ment within the meaning of § 1.1307 im-
signed, or disposed of, or disposed of in- plementing the National Environ-
directly by transfer of control of the li- mental Policy Act of 1969. See § 1.1307(a)
censee, unless the Federal Communica- and (b). The cable landing license is
tions Commission gives prior consent subject to modification by the Com-
in writing; mission under its review of any envi-
(7) A pro forma assignee or a person ronmental assessment or environ-
or company that is the subject of a pro mental impact statement that it may
forma transfer of control of a cable require pursuant to its rules. See also
landing license is not required to seek § 1.1306 note 1 and § 1.1307(c) and (d);
prior approval for the pro forma trans- (10) The Commission reserves the
action. A pro forma assignee or person right, pursuant to section 2 of the
or company that is the subject of a pro Cable Landing License Act, 47 U.S.C.
forma transfer of control must notify 35, Executive Order No. 10530 as amend-
the Secretary, Federal Communica- ed, and section 214 of the Communica-
tions Commission, Washington, DC tions Act of 1934, as amended, 47 U.S.C.
20554, with a copy to the Chief, Inter- 214, to impose common carrier regula-
national Bureau, Federal Communica- tion or other regulation consistent
tions Commission, no later than thirty with the Cable Landing License Act on
(30) days after the assignment or trans- the operations of the cable system if it
fer of control is consummated. The no- finds that the public interest so re-
tification may be in the form of a let- quires;
ter (in duplicate to the Secretary), and (11) The licensee, or in the case of
it must contain a certification that the multiple licensees, the licensees collec-
assignment or transfer of control was tively, shall maintain de jure and de
pro forma, as defined in § 63.24(a) of this facto control of the U.S. portion of the
chapter, and, together with all pre-
cable system, including the cable land-
vious pro forma transactions, does not
ing stations in the United States, suffi-
result in a change of the licensee’s ulti-
cient to comply with the requirements
mate control. A single letter may be
of the Commission’s rules and any spe-
filed for an assignment or transfer of
cific conditions of the license;
control of more than one license issued
in the name of a licensee if each license (12) The licensee shall comply with
is identified by the file number under the requirements of § 1.768;
which it was granted; (13) The cable landing license is rev-
(8) Unless the licensee has notified ocable by the Commission after due no-
the Commission in the application of tice and opportunity for hearing pursu-
the precise locations at which the cable ant to section 2 of the Cable Landing
will land, as required by paragraph License Act, 47 U.S.C. 35, or for failure
(a)(5) of this section, the licensee shall to comply with the terms of the license
notify the Commission no later than or with the Commission’s rules; and
ninety (90) days prior to commencing (14) The licensee shall notify the Sec-
construction at that landing location. retary, Federal Commissions Commis-
The Commission will give public notice sion, Washington, DC 20554, in writing,
of the filing of each description, and within thirty (30) days of the date the
grant of the cable landing license will cable is placed into service, of the date
be considered final with respect to that the cable was placed into service. The
landing location unless the Commis- cable landing license shall expire twen-
sion issues a notice to the contrary no ty-five (25) years from the in-service
later than sixty (60) days after receipt date, unless renewed or extended upon
of the specific description. See para- proper application. Upon expiration,
graph (a)(5) of this section; all rights granted under the license
(9) The Commission reserves the shall be terminated.
right to require the licensee to file an (h) Applicants/Licensees. Except as
environmental assessment should it de- otherwise required by the Commission,
termine that the landing of the cable the following entities, at a minimum,
at the specific locations and construc- shall be applicants for, and licensees
tion of necessary cable landing stations on, a cable landing license:
201
§ 1.767 47 CFR Ch. I (10–1–02 Edition)
(1) Any entity that owns or controls (k) Eligibility for streamlining. Each
a cable landing station in the United applicant must demonstrate eligibility
States; and for streamlining by:
(2) All other entities owning or con- (1) Certifying that it is not a foreign
trolling a five percent (5%) or greater carrier and it is not affiliated with a
interest in the cable system and using foreign carrier in any of the cable’s
the U.S. points of the cable system. destination markets;
(i) Processing of cable landing license (2) Demonstrating pursuant to
applications. The Commission will take § 63.12(c)(l)(i) through (iii) of this chap-
action upon an application eligible for ter that any such foreign carrier or af-
streamlined processing, as specified in filiated foreign carrier lacks market
paragraph (k) of this section, within power; or
forty-five (45) days after release of the (3) Certifying that the destination
public notice announcing the applica- market where the applicant is, or has
tion as acceptable for filing and eligi- an affiliation with, a foreign carrier is
ble for streamlined processing. If the a World Trade Organization (WTO)
Commission deems an application Member and the applicant agrees to ac-
seeking streamlined processing accept- cept and abide by the reporting re-
able for filing but ineligible for stream- quirements set out in paragraph (l) of
lined processing, or if an applicant does this section. An application that in-
not seek streamlined processing, the cludes an applicant that is, or is affili-
Commission will issue public notice in- ated with, a carrier with market power
dicating that the application is ineli- in a cable’s non-WTO Member destina-
gible for streamlined processing. With- tion country is not eligible for stream-
in ninety (90) days of the public notice, lining.
the Commission will take action upon (l) Reporting Requirements Applicable
the application or provide public notice to Licensees Affiliated with a Carrier with
that, because the application raises Market Power in a Cable’s WTO Destina-
questions of extraordinary complexity, tion Market. Any licensee that is, or is
an additional 90-day period for review affiliated with, a carrier with market
is needed. Each successive 90-day pe- power in any of the cable’s WTO Mem-
riod may be so extended. ber destination countries, and that re-
(j) Applications for streamlining. Each quests streamlined processing of an ap-
applicant seeking to use the stream- plication under paragraphs (j) and (k)
lined grant procedure specified in para- of this section, must comply with the
graph (i) of this section shall caption following requirements:
its application and any cover letter (1) File quarterly reports summa-
with ‘‘Application for Cable Landing rizing the provisioning and mainte-
License—Streamlined Processing Re- nance of all network facilities and
quested.’’ Applications for streamlined services procured from the licensee’s
processing shall include the informa- affiliate in that destination market,
tion and certifications required by within ninety (90) days from the end of
paragraph (k) of this section. On the each calendar quarter. These reports
date of filing with the Commission, the shall contain the following:
applicant shall also send a complete (i) The types of facilities and services
copy of the application, or any major provided (for example, a lease of wet
amendments or other material filings link capacity in the cable, collocation
regarding the application, to: U.S. Co- of licensee’s equipment in the cable
ordinator, EB/CIP, U.S. Department of station with the ability to provide
State, 2201 C Street, NW, Washington, backhaul, or cable station and
DC 20520–5818; Office of Chief Counsel/ backhaul services provided to the li-
NTIA, U.S. Department of Commerce, censee);
14th St. and Constitution Ave., NW, (ii) For provisioned facilities and
Washington, DC 20230; and Defense In- services, the volume or quantity
formation Systems Agency, Code RGC, provisioned, and the time interval be-
701 S. Courthouse Road, Arlington, Va. tween order and delivery; and
22204, and shall certify such service on (iii) The number of outages and inter-
a service list attached to the applica- vals between fault report and facility
tion or other filing. or service restoration; and
202
(2) File quarterly circuit status re- including an entity that owns or con-
ports, within ninety (90) days from the trols a cable landing station in that
end of each calendar quarter and in the market, shall notify the Commission of
format set out by the § 43.82 of this that affiliation.
chapter annual circuit status manual (a) Affiliations requiring prior notifica-
with the exception that activated or tion: Except as provided in paragraph
idle circuits must be reported on a fa- (b) of this section, the licensee must
cility-by-facility basis and derived cir- notify the Commission, pursuant to
cuits need not be specified. See this section, forty-five (45) days before
§ 63.10(c)(5) of this chapter. consummation of either of the fol-
(m) (1) Except as specified in para- lowing types of transactions:
graph (m)(2) of this section, amend- (1) Acquisition by the licensee, or by
ments to pending applications, and ap- any entity that controls the licensee,
plications to modify a license, includ- or by any entity that directly or indi-
ing amendments or applications to add rectly owns more than twenty-five per-
a new applicant or licensee, shall be cent (25%) of the capital stock of the li-
signed by each initial applicant or licensee, of a controlling interest in a
censee, respectively. Joint applicants foreign carrier that is authorized to op-
or licensees may appoint one party to erate in a market where the cable
act as proxy for purposes of complying lands; or
with this requirement. (2) Acquisition of a direct or indirect
(2) Any licensee that seeks to relin- interest greater than twenty-five per-
quish its interest in a cable landing li- cent (25%), or of a controlling interest,
cense shall file an application to mod- in the capital stock of the licensee by
ify the license. Such application must a foreign carrier that is authorized to
include a demonstration that the appli- operate in a market where the cable
cant is not required to be a licensee lands, or by an entity that controls
under paragraph (h) of this section and such a foreign carrier.
that the remaining licensee(s) will re- (b) Exceptions: (1) Notwithstanding
tain collectively de jure and de facto paragraph (a) of this section, the noti-
control of the U.S. portion of the cable fication required by this section need
system sufficient to comply with the not be filed before consummation, and
requirements of the Commission’s rules may instead by filed pursuant to para-
and any specific conditions of the li- graph (c) of this section, if either of the
cense, and must be served on each following is true with respect to the
other licensee of the cable system. named foreign carrier, regardless of
NOTE TO § 1.767: The terms ‘‘affiliated’’ and whether the destination market where
‘‘foreign carrier,’’ as used in this section, are the cable lands is a World Trade Orga-
defined as in § 63.09 of this chapter except nization (WTO) or non-WTO Member:
that the term ‘‘foreign carrier’’ also shall in- (i) The Commission has previously
clude any entity that owns or controls a
determined in an adjudication that the
cable landing station in a foreign market.
foreign carrier lacks market power in
[28 FR 12450, Nov. 22, 1963, as amended at 52 that destination market (for example,
FR 5289, Feb. 20, 1987; 61 FR 15726, Apr. 9, in an international section 214 applica-
1996; 64 FR 19061, Apr. 19, 1999; 65 FR 51769,
tion or a declaratory ruling pro-
Aug. 25, 2000; 65 FR 54799, Sept. 11, 2000; 67 FR
1619, Jan. 14, 2002] ceeding); or
(ii) The foreign carrier owns no fa-
§ 1.768 Notification by and prior ap- cilities in that destination market. For
proval for submarine cable landing this purpose, a carrier is said to own
licensees that are or propose to be- facilities if it holds an ownership, inde-
come affiliated with a foreign car- feasible-right-of-user, or leasehold in-
rier. terest in a cable landing station or in
Any entity that is licensed by the bare capacity in international or do-
Commission (‘‘licensee’’) to land or op- mestic telecommunications facilities
erate a submarine cable landing in a (excluding switches).
particular foreign destination market (2) In the event paragraph (b)(1) of
that becomes, or seeks to become, af- this section cannot be satisfied, not-
filiated with a foreign carrier that is withstanding paragraph (a) of this sec-
authorized to operate in that market, tion, the notification required by this
203
§ 1.768 47 CFR Ch. I (10–1–02 Edition)
section need not be filed before con- under § 1.767 or § 1.767(g), the foreign
summation, and may instead be filed carrier notification shall reference in
pursuant to paragraph (c) of this sec- the notification the transfer of control
tion, if the licensee certifies that the or assignment application and the date
destination market where the cable of its filing. See § 1.767(g).
lands is a WTO Member and provides (e) Contents of notification: The notifi-
certification to satisfy either of the cation shall certify the following infor-
following: mation:
(i) The licensee demonstrates that its (1) The name of the newly affiliated
foreign carrier affiliate lacks market foreign carrier and the country or
power in the cable’s destination mar- countries at the foreign end of the
ket pursuant to § 63.10(a)(3) of this cable in which it is authorized to pro-
chapter (see § 63.10(a)(3) of this chapter); vide telecommunications services to
or the public or where it owns or controls
(ii) The licensee agrees to comply a cable landing station;
with the reporting requirements con- (2) Which, if any, of those countries
tained in § 1.767(l) effective upon the ac- is a Member of the World Trade Organi-
quisition of the affiliation. See § 1.767(l). zation;
(c) Notification after consummation: (3) The name of the cable system that
Any licensee that becomes affiliated is the subject of the notification, and
with a foreign carrier and has not pre- the FCC file number(s) under which the
viously notified the Commission pursu- license was granted;
ant to the requirements of this section
(4) The name, address, citizenship,
shall notify the Commission within
and principal business of any person or
thirty (30) days after consummation of
entity that directly or indirectly owns
the acquisition.
at least ten percent (10%) of the equity
Example 1 to paragraph (c). Acquisition by a of the licensee, and the percentage of
licensee (or by any entity that directly or in- equity owned by each of those entities
directly controls, is controlled by, or is (to the nearest one percent (1%));
under direct or indirect common control
with the licensee) of a direct or indirect in- (5) Interlocking directorates. The
terest in a foreign carrier that is greater name of any interlocking directorates,
than twenty-five percent (25%) but not con- as defined in § 63.09(g) of this chapter,
trolling is subject to paragraph (c) of this with each foreign carrier named in the
section but not to paragraph (a) of this sec- notification. See § 63.09(g) of this chap-
tion. ter.
Example 2 to paragraph (c). Notification of
(6) With respect to each foreign car-
an acquisition by a licensee of a hundred per-
cent (100%) interest in a foreign carrier may rier named in the notification, a state-
be made after consummation, pursuant to ment as to whether the notification is
paragraph (c) of this section, if the foreign subject to paragraph (a) or (c) of this
carrier operates only as a resale carrier. section. In the case of a notification
Example 3 to paragraph (c). Notification of subject to paragraph (a) of this section,
an acquisition by a foreign carrier from a the licensee shall include the projected
WTO Member of a greater than twenty-five date of closing. In the case of a notifi-
percent (25%) interest in the capital stock of cation subject to paragraph (c) of this
the licensee may be made after consumma-
tion, pursuant to paragraph (c) of this sec-
section, the licensee shall include the
tion, if the licensee demonstrates in the actual date of closing.
post-notification that the foreign carrier (7) If a licensee relies on an exception
lacks market power in the cable’s destina- in paragraph (b) of this section, then a
tion market or the licensee agrees to comply certification as to which exception the
with the reporting requirements contained foreign carrier satisfies and a citation
in § 1.767(l) effective upon the acquisition of to any adjudication upon which the li-
the affiliation.
censee is relying. Licensees relying
(d) Cross-reference: In the event a upon the exceptions in paragraph (b)(2)
transaction requiring a foreign carrier of this section must make the required
notification pursuant to this section certified demonstration in paragraph
also requires a transfer of control or (b)(2)(i) of this section or the certified
assignment application pursuant to the commitment to comply with the re-
requirements of the license granted porting requirements in paragraph
204
(b)(2)(ii) of this section in the notifica- Telecommunications Market, Market Entry and
tion required by paragraph (c) of this Regulation of Foreign-Affiliated Entities, IB
section. Docket Nos. 97–142 and 95–22, Report and
Order and Order on Reconsideration, 12 FCC
(f) If the licensee seeks to be ex-
Rcd 23891, 23946 at paragraph 130, 62 FR 64741,
cepted from the reporting requirements December 9, 1997.
contained in § 1.767(l), the licensee
(h) All licensees are responsible for
should demonstrate that each foreign
the continuing accuracy of information
carrier affiliate named in the notifica-
provided pursuant to this section for a
tion lacks market power pursuant to
period of forty-five (45) days after fil-
§ 63.10(a)(3) of this chapter. See
ing. During this period if the informa-
§ 63.10(a)(3) of this chapter.
tion furnished is no longer accurate,
(g) Procedure. After the Commission
the licensee shall as promptly as pos-
issues a public notice of the submis-
sible, and in any event within ten (10)
sions made under this section, inter-
ested parties may file comments with- days, unless good cause is shown, file
in fourteen (14) days of the public no- with the Secretary in duplicate a cor-
tice. rected notification referencing the FCC
(1) If the Commission deems it nec- file numbers under which the original
essary at any time before or after the notification was provided.
deadline for submission of public com- (i) A licensee that files a prior notifi-
ments, the Commission may impose re- cation pursuant to paragraph (a) of
porting requirements on the licensee this section may request confidential
based on the provisions of § 1.767(l). See treatment of its filing, pursuant to
§ 1.767(l). § 0.459 of this chapter, for the first
(2) In the case of a prior notification twenty (20) days after filing. Such a re-
filed pursuant to paragraph (a) of this quest must be made prominently in a
section in which the foreign carrier is cover letter accompanying the filing.
authorized to operate in, or own a NOTE TO § 1.768: The terms ‘‘affiliated’’ and
cable landing station in, a non-WTO ‘‘foreign carrier,’’ as used in this section, are
Member, the licensee must dem- defined as in § 63.09 of this chapter except
that the term ‘‘foreign carrier’’ also shall in-
onstrate that it continues to serve the clude an entity that owns or controls a cable
public interest for it to retain its inter- landing station in a foreign market.
est in the cable landing license for that
segment of the cable that lands in the [67 FR 1622, Jan. 14, 2002]
non-WTO destination market by dem-
TARIFFS
onstrating either that the foreign car-
rier lacks market power in that des- § 1.771 Filing.
tination market pursuant to
§ 63.10(a)(3) of this chapter or the mar- Schedules of charges, and classifica-
ket offers effective opportunities for tions, practices, and regulations affect-
U.S. companies to land and operate a ing such charges, required under sec-
submarine cable in that country. If the tion 203 of the Communications Act
licensee is unable to make either re- shall be constructed, filed, and posted
quired showing or is notified that the in accordance with and subject to the
affiliation may otherwise harm the requirements of part 61 of this chapter.
public interest pursuant to the Com-
mission’s policies and rules under 47 § 1.772 Application for special tariff
permission.
U.S.C. 34 through 39 and Executive
Order No. 10530, dated May 10, 1954, Applications under section 203 of the
then the Commission may impose con- Communications Act for special tariff
ditions necessary to address any public permission shall be made in the form
interest harms or may proceed to an and manner, with the number of copies
immediate authorization revocation set out in part 61 of this chapter.
hearing. [52 FR 5289, Feb. 20, 1987]
NOTE TO PARAGRAPH (g)(2): The assessment
of whether a destination market offers effec- § 1.773 Petitions for suspension or re-
tive opportunities for U.S. companies to land jection of new tariff filings.
and operate a submarine cable will be made
under the standard established in Rules and (a) Petition—(1) Content. Petitions
Policies on Foreign Participation in the U.S. seeking investigation, suspension, or
205
§ 1.773 47 CFR Ch. I (10–1–02 Edition)
rejection of a new or revised tariff fil- that the cost and demand studies or av-
ing or any provision thereof shall erage schedule information was not
specify the filing’s Federal Commu- provided upon reasonable request. If
nications Commission tariff number such a showing is not made, then the
and carrier transmittal number, the filing will be considered prima facie
items against which protest is made, lawful and will not be suspended by the
and the specific reasons why the pro- Commission unless the petition re-
tested tariff filing warrants investiga- questing suspension shows each of the
tion, suspension, or rejection under the following:
Communications Act. No petition shall (A) That there is a high probability
include a prayer that it also be consid- the tariff would be found unlawful after
ered a formal complaint. Any formal investigation;
complaint shall be filed as a separate (B) That any unreasonable rate
pleading as provided in § 1.721. would not be corrected in a subsequent
(i) Petitions seeking investigation, filing;
suspension, or rejection of a new or re-
(C) That irreparable injury will re-
vised tariff filing or any provision of
sult if the tariff filing is not suspended;
such a publication, must specify the
pertinent Federal Communications and
Commission tariff number and carrier (D) That the suspension would not
transmittal number; the matters pro- otherwise be contrary to the public in-
tested; and the specific reasons why terest.
the tariff warrants investigation, sus- (iv) For the purposes of this section,
pension, or rejection. When a single pe- tariff filings made pursuant to § 61.49(b)
tition asks for more than one form of by carriers subject to price cap regula-
relief, it must separately and distinctly tion will be considered prima facie law-
plead and support each form of relief. ful, and will not be suspended by the
However, no petiton may ask that it Commission unless the petition shows
also be considered a formal complaint. that the support information required
Formal complaints must be separately in § 61.49(b) was not provided, or unless
lodged, as provided in § 1.721. the petition requesting suspension
(ii) For purposes of this section, tar- shows each of the following:
iff filings by nondominant carriers will (A) That there is a high probability
be considered prima facie lawful, and the tariff would be found unlawful after
will not be suspended by the Commis- investigation;
sion unless the petition requesting sus- (B) That the suspension would not
pension shows: substantially harm other interested
(A) That there is a high probability parties;
the tariff would be found unlawful after (C) That irreparable injury will re-
investigation; sult if the tariff filing is not suspended;
(B) That the harm alleged to com- and
petition would be more substantial
(D) That the suspension would not
than the injury to the public arising
otherwise be contrary to the public in-
from the unavailability of the service
terest.
pursuant to the rates and conditions
proposed in the tariff filing; (v) For the purposes of this section,
(C) That irreparable injury will re- any tariff filing by a price cap LEC
sult if the tariff filing is not suspended; filed pursuant to the requirements of
and § 61.42(d)(4)(ii) of this chapter will be
(D) That the suspension would not considered prima facie lawful, and will
otherwise be contrary to the public in- not be suspended by the Commission
terest. unless the petition requesting suspen-
(iii) For the purpose of this section, sion shows each of the following:
any tariff filing by a local exchange (A) That there is a high probability
carrier filed pursuant to the require- the tariff would be found unlawful after
ments of § 61.39 will be considered investigation;
prima facie lawful and will not be sus- (B) That any unreasonable rate
pended by the Commission unless the would not be corrected in a subsequent
petition requesting suspension shows filing;
206
(C) That irreparable injury will re- holiday, the petition shall be filed on
sult if the tariff filing is not suspended; the next succeeding business day.
and (4) Copies, service. An original and
(D) That the suspension would not four copies of each petition shall be
otherwise be contrary to the public in- filed with the Commission as follows:
terest. the original and three copies of each
(2) When filed. All petitions seeking petition shall be filed with the Sec-
investigation, suspension, or rejection retary, FCC room TW–A325, 445 12th
of a new or revised tariff filing shall Street, SW, Washington, DC 20554; one
meet the filing requirements of this copy must be delivered directly to the
paragraph. In case of emergency and Commission’s copy contractor. Addi-
within the time limits provided, a tele- tional, separate copies shall be served
graphic request for such relief may be simultaneously upon the Chief,
sent to the Commission setting forth Wireline Competition Bureau; and the
succinctly the substance of the matters Chief, Pricing Policy Division. Peti-
required by paragraph (a)(1) of this sections seeking investigation, suspen-
tion. A copy of any such telegraphic re- sion, or rejection of a new or revised
quest shall be sent simultaneously to tariff made on 15 days or less notice
the Chief, Wireline Competition Bu- shall be served either personally or via
reau, the Chief, Pricing Policy Divi- facsimile on the filing carrier. If a peti-
sion, and the publishing carrier. There- tion is served via facsimile, a copy of
after, the request shall be confirmed by the petition must also be sent to the
petition filed and served in accordance filing carrier via first class mail on the
with § 1.773(a)(4). same day of the facsimile trans-
(i) Petitions seeking investigation, mission. Petitions seeking investiga-
suspension, or rejection of a new or re- tion, suspension, or rejection of a new
vised tariff filed pursuant to section or revised tariff filing made on more
204(a)(3) of the Communications Act than 15 days notice may be served on
made on 7 days notice shall be filed and the filing carrier by mail.
served within 3 calendar days after the (b) Reply—(1) When filed. A publishing
date of the tariff filing. carrier’s reply to a petition for relief
(ii) Petitions seeking investigation, from a tariff filing shall be filed in ac-
suspension, or rejection of a new or re- cordance with the following periods:
vised tariff filing made on less than 15 (i) Replies to petitions seeking inves-
days notice shall be filed and served tigation, suspension, or rejection of a
within 6 days after the date of the tar- new or revised tariff filed pursuant to
iff filing. section 204(a)(3) of the Act made on 7
(iii) Petitions seeking investigation, days notice shall be filed and served
suspension, or rejection of a new or re- within 2 days after the date the peti-
vised tariff filing made on at least 15 tion is filed with the Commission.
but less than 30 days notice shall be (ii) Replies to petitions seeking in-
filed and served within 7 days after the vestigation, suspension, or rejection of
date of the tariff filing. a new or revised tariff filing made on
(iv) Petitions seeking investigation, less than 15 days notice shall be filed
suspension, or rejection of a new or re- and served within 3 days after the date
vised tariff filing made on at least 30 the petition is due to be filed with the
but less than 90 days notice shall be Commission.
filed and served within 15 days after (iii) Replies to petitions seeking in-
the date of the tariff filing. vestigation, suspension, or rejection of
(v) Petitions seeking investigation, a new or revised tariff filing made on
suspension, or rejection of a new or re- at least 15 but less than 30 days notice
vised tariff filing mode on 90 or more shall be filed and served within 4 days
days notice shall be filed and served after service of the petition.
within 25 days after the date of the tar- (iv) Replies to petitions seeking in-
iff filing. vestigation, suspension, or rejection of
(3) Computation of time. Intermediate a new or revised tariff filing made on
holidays shall be counted in deter- at least 30 but less than 90 days notice
mining the above filing dates. If the shall be filed and served within 5 days
date for filing the petition falls on a after service of the petition.
207
§ 1.774 47 CFR Ch. I (10–1–02 Edition)
(v) Replies to petitions seeking inves- petitioner personally, by mail or via

tigation, suspension, or rejection of a facsimile.
new or revised tariff filing made on 90 [45 FR 64190, Sept. 29, 1980, as amended at 49
or more days notice shall be filed and FR 40876, Oct. 18, 1984; 49 FR 49466, Dec. 20,
served within 8 days after service of 1984; 52 FR 26682, July 16, 1987; 54 FR 19840,
the petition. May 8, 1989; 58 FR 17529, Apr. 5, 1993; 58 FR
(vi) Where all petitions against a tar- 51247, Oct. 1, 1993; 62 FR 5777, Feb. 7, 1997; 64
iff filing have not been filed on the FR 51264, Sept. 22, 1999; 65 FR 58466, Sept. 29,
2000; 67 FR 13223, Mar. 21, 2002]
same day, the publishing carrier may
file a consolidated reply to all the peti- § 1.774 Pricing flexibility.
tions. The time for filing such a con-
solidated reply will begin to run on the (a) Petitions. (1) A petition seeking
last date for timely filed petitions, as pricing flexibility for specific services
fixed by paragraphs (a)(2) (i) through pursuant to part 69, subpart H, of this
(iv) of this section, and the date on chapter, with respect to a metropolitan
statistical area (MSA), as defined in
which the consolidated reply is due will
§ 22.909(a) of this chapter, or the non-
be governed by paragraphs (b)(1) (i)
MSA parts of a study area, must show
through (iv) of this section.
that the price cap LEC has met the rel-
(2) Computation of time. Intermediate evant thresholds set forth in part 69,
holidays shall be counted in deter- subpart H, of this chapter.
mining the 3-day filing date for replies (2) The petition must make a sepa-
to petitions seeking investigation, sus- rate showing for each MSA for which
pension, or rejection of a new or re- the petitioner seeks pricing flexibility,
vised tariff filing made on less than 15 and for the portion of the study area
days notice. Intermediate holidays that falls outside any MSA.
shall not be counted in determining fil- (3) Petitions seeking pricing flexi-
ing dates for replies to petitions seek- bility for services described in
ing investigation, suspension, or rejec- §§ 69.709(a) and 69.711(a) of this chapter
tion of a new or revised tariff filing must include:
made on 15 or more days notice. When (i) The total number of wire centers
a petition is permitted to be served in the relevant MSA or non-MSA parts
upon the filing carrier by mail, an ad- of a study area, as described in § 69.707
ditional 3 days (counting holidays) may of this chapter;
be allowed for filing the reply. If the (ii) The number and location of the
date for filing the reply falls on a holi- wire centers in which competitors have
day, the reply may be filed on the next collocated in the relevant MSA or non-
succeeding business day. MSA parts of a study area, as described
(3) Copies, service. An original and in § 69.707 of this chapter;
four copies of each reply shall be filed (iii) In each wire center on which the
with the Commission, as follows: the price cap LEC bases its petition, the
original and three copies must be filed name of at least one collocator that
with the Secretary, FCC room TW– uses transport facilities owned by a
A325, 445 12th Street, SW, Washington, provider other than the price cap LEC
DC 20554; one copy must be delivered to transport traffic from that wire cen-
directly to the Commission’s copy con- ter; and
tractor. Additional separate copies (iv)(A) The percentage of the wire
shall be served simultaneously upon centers in the relevant MSA or non-
the Chief, Wireline Competition Bu- MSA area, as described in § 69.707 of
reau, the Chief, Pricing Policy Division this chapter, in which competitors
and the petitioner. Replies to petitions have collocated and use transport fa-
seeking investigation, suspension, or cilities owned by a provider other than
rejection of a new or revised tariff the price cap LEC to transport traffic
made on 15 days or less notice shall be from that wire center; or
served on petitioners personally or via (B) The percentage of total base pe-
facsimile. Replies to petitions seeking riod revenues generated by the services
investigation, suspension, or rejection at issue in the petition that are attrib-
of a new or revised tariff made on more utable to wire centers in the relevant
than 15 days notice may be served upon MSA or non-MSA area, as described in
208
§ 69.707 of this chapter, in which com- (C) The price cap LEC must provide
petitors have collocated and use trans- to the Commission copies of the infor-
port facilities owned by a provider mation it provides to such parties.
other than the price cap LEC to trans- (2)(i) Interested parties filing opposi-
port traffic from that wire center. tions or comments in response to a pe-
(4) Petitions seeking pricing flexi- tition for pricing flexibility may file
bility for services described in those comments through ETFS.
§ 69.713(a) of this chapter must make a (ii) Any interested party electing to
showing sufficient to meet the relevant file an opposition or comment in re-
requirements of § 69.713 of this chapter. sponse to a pricing flexibility petition
through a method other than ETFS
(b) Confidential treatment. A price cap
must file an original and four copies of
LEC wishing to request confidential
each opposition or comment with the
treatment of information contained in
Commission, as follows: the original
a pricing flexibility petition should
and three copies of each pleading shall
demonstrate, by a preponderance of the be filed with the Secretary, FCC, 445
evidence, that the information should 12th Street, SW, Washington, DC, 20554;
be withheld from public inspection in one copy must be delivered directly to
accordance with the requirements of the Commission’s copy contractor. Ad-
§ 0.459 of this chapter. ditional, separate copies shall be
(c) Oppositions. Any interested party served upon the Chief, Wireline Com-
may file comments or oppositions to a petition Bureau and the Chief, Pricing
petition for pricing flexibility. Com- Policy Division.
ments and oppositions shall be filed no (iii) In addition, oppositions and
later than 15 days after the petition is comments shall be served either per-
filed. Time shall be computed pursuant sonally or via facsimile on the peti-
to § 1.4. tioner. If an opposition or comment is
(d) Replies. The petitioner may file a served via facsimile, a copy of the op-
reply to any oppositions filed in re- position or comment must be sent to
sponse to its petition for pricing flexi- the petitioner via first class mail on
bility. Replies shall be filed no later the same day as the facsimile trans-
than 10 days after comments are filed. mission.
Time shall be computed pursuant to (3) Replies shall be filed with the
§ 1.4. Commission through ETFS. In addi-
(e) Copies, service. (1)(i) Any price cap tion, petitioners choosing to file a
LEC filing a petition for pricing flexi- reply must serve a copy on each party
bility must submit its petition pursu- filing an opposition or comment, either
ant to the Commission’s Electronic personally or via facsimile. If a reply is
Tariff Filing System (ETFS), following served via facsimile, a copy of the
the procedures set forth in § 61.14(a) of reply must be sent to the recipient of
this chapter. that reply via first class mail on the
same day as the facsimile trans-
(ii) The price cap LEC must provide
mission.
to each party upon which the price cap
(f) Disposition. (1) A petition for pric-
LEC relies to meet its obligations ing flexibility pertaining to special ac-
under paragraph (a)(3)(iii) of this sec- cess and dedicated transport services
tion, the information it provides about shall be deemed granted unless the
that party in its petition, even if the Chief, Wireline Competition Bureau,
price cap LEC requests that the infor- denies the petition no later than 90
mation be kept confidential under days after the close of the pleading
paragraph (b) of this section. cycle. The period for filing applications
(A) The price cap LEC must certify in for review begins the day the Bureau
its pricing flexibility petition that it grants or denies the petition, or the
has made such information available to day that the petition is deemed denied.
the party. Time shall be computed pursuant to
(B) The price cap LEC may provide § 1.4.
data to the party in redacted form, re- (2) A petition for pricing flexibility
vealing only that information to the pertaining to common-line and traffic-
party that relates to the party. sensitive services shall be deemed
209
§ 1.781 47 CFR Ch. I (10–1–02 Edition)
granted unless the Commission denies operations in accordance with part 43

the petition no later than five months of this chapter.
after the close of the pleading cycle. [28 FR 12450, Nov. 22, 1963, as amended at 31
Time shall be computed pursuant to FR 747, Jan. 20, 1966; 47 FR 50697, Nov. 9, 1982;
§ 1.4. 49 FR 36503, Sept. 18, 1984; 50 FR 41152, Oct. 9,
1985; 58 FR 36143, July 6, 1993]
FR 13223, Mar. 21, 2002] § 1.786 [Reserved]
CONTRACTS, REPORTS, AND REQUESTS § 1.787 Reports of proposed changes in
REQUIRED TO BE FILED BY CARRIERS depreciation rates.
§ 1.781 Requests for extension of filing Carriers shall file reports regarding
time. proposed changes in depreciation rates
as required by part 43 of this chapter.
Requests for extension of time within
which to file contracts, reports, and re- § 1.788 Reports regarding pensions
quests referred to in §§ 1.783 through and benefits.
1.814 shall be made in writing and may Carriers shall file reports regarding
be granted for good cause shown. pensions and benefits as required by
part 43 of this chapter.
CONTRACTS
§ 1.789 Reports regarding division of
§ 1.783 Filing. international telegraph communica-
Copies of carrier contracts, agree- tion charges.
ments, concessions, licenses, authoriza- Carriers engaging in international
tions or other arrangements, shall be telegraph communication shall file re-
filed as required by part 43 of this chap- ports in regard to the division of com-
ter. munication charges as required by part
43 of this chapter.
FINANCIAL AND ACCOUNTING REPORTS
AND REQUESTS § 1.790 Reports relating to traffic by
international carriers.
§ 1.785 Annual financial reports. Carriers shall file periodic reports re-
(a) An annual financial report shall garding international point-to-point
be filed by telephone carriers and affili- traffic as required by part 43 of this
ates as required by part 43 of this chap- chapter.
ter on form M. [57 FR 8579, Mar. 11, 1992]
(b) Verified copies of annual reports
filed with the Securities and Exchange § 1.791 Reports and requests to be filed
Commission on its Form 10–K, Form 1– under part 32 of this chapter.
MD, or such other form as may be pre- Reports and requests shall be filed ei-
scribed by that Commission for filing ther periodically, upon the happening
of equivalent information, shall be of specified events, or for specific ap-
filed annually with this Commission by proval by class A and class B telephone
each person directly or indirectly con- companies in accordance with and sub-
trolling any communications common ject to the provisions of part 32 of this
carrier in accordance with part 43 of chapter.
this chapter. [55 FR 30461, July 26, 1990]
(c) Carriers having separate depart-
ments or divisions for carrier and non- § 1.795 Reports regarding interstate
carrier operations shall file separate rates of return.
supplemental annual reports with re- Carriers shall file reports regarding
spect to such carrier and non-carrier interstate rates of return on FCC Form
210
492 as required by part 65 of this chap- on FCC Form 395, an annual employ-
ter. ment report.
(b) A copy of every annual employ-
[52 FR 274, Jan. 5, 1987]
ment report filed by the licensee or
SERVICES AND FACILITIES REPORTS permittee pursuant to the provisions
herein; and copies of all exhibits, let-
§ 1.802 Reports relating to continuing ters, and other documents filed as part
authority to supplement facilities thereof, all amendments thereto, all
or to provide temporary or emer- correspondence between the permittee
gency service. or licensee and the Commission per-
Carriers receiving authority under taining to the reports after they have
part 63 of this chapter shall file quar- been filed and all documents incor-
terly or semiannual reports as required porated herein by reference are open
therein. for public inspection at the offices of
the Commission.
§ 1.803 Reports relating to reduction in (c) Cross references—(1) Applicability of
temporary experimental service. cable television EEO reporting require-
ments to MDS and MMDS facilities, see
As required in part 63 of this chapter,
carriers shall report reductions in serv-
(2) Applicability of cable television EEO
ice which had previously been expanded
reporting requirements for FSS facilities,
on an experimental basis for a tem-
see § 25.601 of this chapter.
porary period.
[35 FR 12894, Aug. 14, 1970, as amended at 36
§ 1.805 Reports relating to service by FR 3119, Feb. 18, 1971; 58 FR 42249, Aug. 9,
carriers engaged in public radio 1993]
service operations.
GRANTS BY RANDOM SELECTION
Monthly and quarterly reports must
be filed with the Commission in con- § 1.821 Scope.
nection with certain fixed public radio
The provisions of §§ 1.822 and 1.824 of
service operations. No form is pre-
this part apply as indicated to those
scribed. A complete description of the
applications for permits, licenses or
contents of these reports is contained
authorizations in the Multichannel
in part 23 of this chapter. Multipoint Distribution Service for
MISCELLANEOUS REPORTS which action may be taken by the
Wireless Telecommunications Bureau
§ 1.811 Reports regarding amendments pursuant to delegated authority.
to charters, by-laws and partner- [63 FR 68920, Dec. 14, 1998, as amended at 67
ship agreements of carriers en- FR 13224, Mar. 21, 2002]
gaged in domestic public radio
services. § 1.822 General selection procedures.
Amendments to such documents (a) Mutually exclusive applications
shall be reported and filed in accord- for permits and licenses in the services
ance with part 21 of this chapter. specified in § 1.821 may be designated
for random selection according to the
§ 1.814 Reports regarding free service procedures established for each service.
rendered the Government for na-
tional defense. Following the random selection, the
Commission shall determine whether
Carriers rendering free service in the applicant is qualified to receive the
connection with the national defense permit or license. If, after reviewing
to any agency of the United States the tentative selectee’s application and
Government shall file reports in ac- pleadings properly filed against it, the
cordance with part 2 of this chapter. Commission determines that a substan-
tial and material question of fact ex-
§ 1.815 Reports of annual employment. ists, it shall designate the qualifying
(a) Each common carrier licensee or issue(s) for an expedited hearing.
permittee with 16 or more full time (b) Expedited hearing procedures. (1)
employees shall file with the Commis- Hearings may be conducted by the
sion, on or before May 31 of each year, Commission or an Administrative Law
211
§ 1.824 47 CFR Ch. I (10–1–02 Edition)
Judge. In the case of a question which whether the applicant is qualified to

requires oral testimony for its resolu- receive the conditional license or li-
tion, the hearing will be conducted by cense. If the Commission determines
an Administrative Law Judge. that the tentative selectee is qualified,
(2) Parties have ten (10) days from it shall grant the application. In the
publication in the FEDERAL REGISTER event that the tentative selectee’s ap-
of the hearing designation order to file plication is denied, a second random
notices of appearance. selection will be conducted. Petitions
(3) When the Commission, under for Reconsideration, Motions to Stay
§ 1.221, issues an order stating the time, or Applications for Review may be sub-
place, and nature of the hearing, this mitted at the time the Commission
order shall instruct the applicant to grants or denies the application of the
submit its direct case in writing within tentative selectee. The filing periods
thirty (30) days from the order’s release specified in the rules shall apply for
date, or as otherwise specified in the such pleadings.
order. The direct written case must set (b) Competing applications for condi-
forth all those facts and circumstances tional licenses and licenses shall be
related to the issues in the designation designated for random selection in ac-
order. Documentary evidence upon cordance with §§ 1.1621, 1.1622 (a), (b),
which the applicant relies must be at- (c), (d), and (e), and 1.1623. No pref-
tached. Each exhibit must be numbered erences pursuant to § 1.1622 (b)(2) or
and must be accompanied by an affi- (b)(3) shall be granted to any MMDS or
davit from someone who has personal MDS H-channel applicant whose own-
knowledge of the facts in the submis- ers, when aggregated, have an owner-
sion and who attests to the truth of the ship interest of more than 50 percent in
submission. the media of mass communication
(4) The order will also specify those whose service areas, as set forth at
petitioners that directly raised an § 1.1622 (e)(1) through (e)(7), wholly en-
issue which was designated and will in- compass or are encompassed by the
form these parties of their opportunity protected service area contour, com-
to submit a written rebuttal case with- puted in accordance with § 21.902(d) of
in twenty (20) days after the direct case this chapter, for which the license or
is due. The procedures in paragraph conditional license is sought.
(b)(3) of this section will apply as to (c) Petitions to Deny may be filed
documentary evidence, exhibits, and only against the tentative selectee.
affidavits. These petitions must be filed within 30
(5) Appeal of initial decisions ren- days of the Public Notice announcing
dered by an Administrative Law Judge such tentative selection. A consoli-
shall lie with the Commission. dated reply may be filed within 15 days
[48 FR 27201, June 13, 1983. Redesignated and of the due date for Petitions to Deny.
amended at 50 FR 5991, Feb. 13, 1985] [50 FR 5992, Feb. 13, 1985, as amended at 56
FR 57815, Nov. 14, 1991]
§ 1.824 Random selection procedures
for Multichannel Multipoint Dis-
tribution Service and Multipoint Subpart F—Wireless Telecommuni-
Distribution Service H-Channel sta- cations Services Applications
tions. and Proceedings
(a) If there are mutually exclusive
applications for an initial conditional SOURCE: 28 FR 12454, Nov. 22, 1963, unless
license or license, the Commission may otherwise noted.
use the random selection process to se-
lect the conditional licensee or li- SCOPE AND AUTHORITY
censee. Each such random selection
shall be conducted under the direction § 1.901 Basis and purpose.
of the Office of the Managing Director These rules are issued pursuant to
in conjunction with the Office of the the Communications Act of 1934, as
Secretary. Following the random selec- amended, 47 U.S.C 151 et seq. The pur-
tion, the Commission shall announce pose of these rules is to establish the
the tentative selectee and determine requirements and conditions under
212
which entities may be licensed in the required to operate rural subscriber

Wireless Radio Services as described in stations in the Rural Radiotelephone
this part and in parts 13, 20, 22, 24, 26, Service, except as provided in § 22.703 of
27, 80, 87, 90, 95, 97 and 101 of this chap- this chapter. Individual authorizations
ter. are required for end users of certain
[63 FR 68921, Dec. 14, 1998] Specialized Mobile Radio Systems as
provided in § 90.655 of this chapter. In
§ 1.902 Scope. addition, certain ships and aircraft are
In case of any conflict between the required to be individually licensed
rules set forth in this subpart and the under Parts 80 and 87 of this chapter.
rules set forth in parts 13, 20, 22, 24, 26, See §§ 80.13, 87.18 of this chapter.
27, 80, 87, 90, 95, 97, and 101 of Title 47,
[63 FR 68921, Dec. 14, 1998]
Chapter I of the Code of Federal Regu-
lations, the rules in art 1 shall govern. § 1.907 Definitions.
[63 FR 68921, Dec. 14, 1998] Antenna structure. The term antenna
§ 1.903 Authorization required. structure includes the radiating and re-
ceiving elements, its supporting struc-
(a) General rule. Stations in the Wire- tures, towers, and all appurtenances
less Radio Services must be used and mounted thereon.
operated only in accordance with the
Application. A request on a standard
rules applicable to their particular
service as set forth in this title and form for a station license as defined in
with a valid authorization granted by § 3(b) of the Communications Act,
the Commission under the provisions of signed in accordance with § 1.917 of this
this part, except as specified in para- part, or a similar request to amend a
graph (b) of this section. pending application or to modify or
(b) Restrictions. The holding of an au- renew an authorization. The term also
thorization does not create any rights encompasses requests to assign rights
beyond the terms, conditions and pe- granted by the authorization or to
riod specified in the authorization. Au- transfer control of entities holding au-
thorizations may be granted upon prop- thorizations.
er application, provided that the Com- Auctionable license. A Wireless Radio
mission finds that the applicant is Service license identified in § 1.2102 of
qualified in regard to citizenship, char- this part for which competitive bidding
acter, financial, technical and other is used to select from among mutually
criteria, and that the public interest, exclusive applications.
convenience and necessity will be Auctionable license application. A
served. See §§ 301, 308, and 309, 310 of this Wireless Radio Service license applica-
chapter. tion identified in § 1.2102 of this part for
(c) Subscribers. Authority for sub-
which competitive bidding is used if
scribers to operate mobile or fixed sta-
the application is subject to mutually
tions in the Wireless Radio Services,
except for certain stations in the Rural exclusive applications.
Radiotelephone Service and the Air- Authorization. A written instrument
Ground Radiotelephone Service, is in- or oral statement issued by the FCC
cluded in the authorization held by the conveying authority to operate, for a
licensee providing service to them. specified term, to a station in the Wire-
Subscribers are not required to apply less Telecommunications Services.
for, and the Commission does not ac- Authorized bandwidth. The maximum
cept, applications from subscribers for bandwidth permitted to be used by a
individual mobile or fixed station au- station as specified in the station li-
thorizations in the Wireless Radio cense. See § 2.202 of this chapter.
Services, except as follows: individual Authorized power. The maximum
authorizations are required to operate power a station is permitted to use.
general aviation airborne mobile sta- This power is specified by the Commis-
tions in the Air-Ground Radio- sion in the station’s authorization or
telephone Service. See § 22.82 of this rules.
chapter. Individual authorizations are
213
§ 1.911 47 CFR Ch. I (10–1–02 Edition)
Control station. A fixed station, the pending applications may result in the
transmissions of which are used to con- assignment of a new receipt date in ac-
trol automatically the emissions or op- cordance with § 1.927 of this part.
erations of a radio station, or a remote Universal Licensing System. The Uni-
base station transmitter. versal Licensing System (ULS) is the
Effective radiated power (ERP). The consolidated database, application fil-
product of the power supplied to the ing system, and processing system for
antenna multiplied by the gain of the all Wireless Radio Services. ULS sup-
antenna referenced to a half-wave ports electronic filing of all applica-
dipole. tions and related documents by appli-
Equivalent Isotopically Radiated Power cants and licensees in the Wireless
(EIRP). The product of the power sup- Radio Services, and provides public ac-
plied to the antenna multiplied by the cess to licensing information.
antenna gain referenced to an isotropic Wireless Radio Services. All radio serv-
antenna. ices authorized in parts 13, 20, 22, 24, 26,
Fixed station. A station operating at a 27, 74, 80, 87, 90, 95, 97 and 101 of this
fixed location. chapter, whether commercial or pri-
Harmful interference. Interference vate in nature.
that endangers the functioning of a Wireless Telecommunications Services.
radionavigation service or of other Wireless Radio Services, whether fixed
safety services or seriously degrades, or mobile, that meet the definition of
obstructs, or repeatedly interrupts a ‘‘telecommunications service’’ as de-
radio communications service oper- fined by 47 U.S.C. 153, as amended, and
ating in accordance with the Radio are therefore subject to regulation on a
Regulations. common carrier basis. Wireless Tele-
Mobile relay station. A fixed trans- communications Services include all
mitter used to facilitate the trans- radio services authorized by parts 20,
mission of communications between 22, 24, 26, and 27 of this chapter. In ad-
mobile units. dition, Wireless Telecommunications
Mobile station. A radio communica- Services include Public Coast Stations
tion station capable of being moved authorized by part 80 of this chapter,
and which ordinarily does move. Commercial Mobile Radio Services au-
Non-auctionable license. A Wireless thorized by part 90 of this chapter, and
Radio Service license identified in common carrier fixed microwave serv-
§ 1.2102 of this part for which competi- ices, Local Television Transmission
tive bidding is not used to select from Service (LTTS), Local Multipoint Dis-
among mutually exclusive applica- tribution Service (LMDS), and Digital
tions. Electronic Message Service (DEMS),
Non-auctionable license application. A authorized by part 101 of this chapter.
Wireless Radio Service license applica-
[63 FR 68921, Dec. 14, 1998]
tion for which § 1.2102 of this part pre-
cludes the use of competitive bidding if APPLICATION REQUIREMENTS AND
the application is subject to mutually PROCEDURES
exclusive applications.
Private Wireless Services. Wireless § 1.911 Station files.
Radio Services authorized by parts 80,
Applications, notifications, cor-
87, 90, 95, 97, and 101 that are not Wire-
respondence, electronic filings and
less Telecommunications Services, as
other material, and copies of author-
defined in this part.
izations, comprising technical, legal,
Radio station. A separate transmitter
and administrative data relating to
or a group of transmitters under simul-
each station in the Wireless Radio
taneous common control, including the
Services are maintained by the Com-
accessory equipment required for car-
mission in ULS. These files constitute
rying on a radio communications serv-
the official records for these stations
ice.
and supersede any other records, data-
Receipt date. The date an electronic
base or lists from the Commission or
or paper application is received at the
other sources.
appropriate location at the Commis-
sion or Mellon Bank. Amendments to [63 FR 68922, Dec. 14, 1998]
214
§ 1.913 Application forms; electronic 1999, or (2) six months after the Com-
and manual filing. mission begins use of ULS to process
(a) Application forms. Applicants and applications in the service, whichever
licensees in the Wireless Radio Serv- is later. The Commission will announce
ices shall use the following forms and by public notice the deployment date
associated schedules for all applica- of each service in ULS.
tions: (1) Attachments to applications
(1) FCC Form 601, Application for Au- should be uploaded along with the elec-
thorization in the Wireless Radio Services. tronically filed application whenever
FCC Form 601 and associated schedules possible. The files, other than the
is used to apply for initial authoriza- ASCII table of contents, should be in
tions, modifications to existing author- Adobe Acrobat Portable Document
izations, amendments to pending appli- Format (PDF) whenever possible.
cations, renewals of station authoriza- (2) Any associated documents (see
tions, developmental authorizations, § 1.211(a) of this part) submitted with
special temporary authority, notifica- an application must be uploaded as at-
tions, requests for extension of time, tachments to the application whenever
and administrative updates. possible. The attachment should be
(2) FCC Form 602, Wireless Radio Serv- uploaded via ULS in Adobe Acrobat
ices Ownership Form. FCC Form 602 is Portable Document Format (PDF)
used by applicants and licensees in whenever possible.
auctionable services to provide and up- (c) Auctioned license applications. Auc-
date ownership information as required tioned license applications, as defined
by §§ 1.919, 1.948, 1.2112(a) of this part, in § 1.907 of this part, shall also comply
and any other section that requires the with the requirements of subpart Q of
submission of such information. this part and the applicable Commis-
(3) FCC Form 603, Application for As- sion orders and public notices issued
signment of Authorization or Transfer of with respect to each auction for a par-
Control. FCC Form 603 is used to apply ticular service and spectrum.
for Commission consent to assignments (d) Manual filing. (1) ULS Forms 601,
of existing authorizations, to apply for 603 and 605 may be filed manually or
Commission consent to the transfer of electronically by applicants and licens-
control of entities holding authoriza- ees in the following services:
tions, to notify the Commission of the (i) The part 90 Private Land Mobile
consummation of assignments or trans- Radio services for shared spectrum,
fers, and to request extensions of time spectrum in the public safety pool
for consummation of assignments or below 746 MHz, and spectrum in the
transfers. It is also used to apply for public safety allocation above 746 MHz,
Commission consent to partial assign- except those filed by Commission-cer-
ments of authorizations, including par- tified frequency coordinators;
titioning and disaggregation. (ii) The part 97 Amateur Radio Serv-
(4) FCC Form 605, Quick-form Applica- ice, except those filed by Volunteer Ex-
tion for Authorization for Wireless Radio amination Coordinators;
Services. FCC Form 605 is used to apply (iii) The part 95 General Mobile
for Amateur, Ship, Aircraft, and Gen- Radio Service and Personal Radio
eral Mobile Radio Service (GMRS) au- Service (excluding 218–219 MHz serv-
thorizations, as well as Commercial ice);
Radio Operator Licenses. (iv) The part 80 Maritime Services
(b) Electronic filing. Except as speci- (excluding the VHF 156–162 MHz Public
fied in paragraph (d) of this section or Coast Stations);
elsewhere in this chapter, all applica- (v) The part 87 Aviation Services;
tions and other filings using FCC (vi) Part 13 Commercial Radio Opera-
Forms 601 through 605 or associated tors; and
schedules must be filed electronically (vii) Part 101 licensees who are also
in accordance with the electronic filing members of any of the groups listed in
instructions provided by ULS. For each paragraph (d)(1)(i) through (d)(1)(vi) of
Wireless Radio Service that is subject this section.
to mandatory electronic filing, this (2) Manually filed applications must
subparagraph is effective on (1) July 1, be submitted to the Commission at the
215
§ 1.915 47 CFR Ch. I (10–1–02 Edition)
appropriate address with the appro- plicant to pass one or more examina-
priate filing fee. The addresses for fil- tion elements must present the admin-
ing and the fee amounts for particular istering Volunteer Examiners (VE)
applications are listed in Subpart G of with all information required by the
this part, and in the appropriate fee fil- rules prior to the examination. The
ing guide for each service available VEs may collect the information re-
from the Commission’s Forms Dis- quired by these rules in any manner of
tribution Center by calling 1–800–418- their choosing, including creating their
FORM (3676). own forms. Upon completion of the ex-
(3) Manually filed applications re- amination, the administering VEs will
quiring fees as set forth at Subpart G, immediately grade the test papers and
of this part must be filed in accordance will then issue a certificate for success-
with § 0.401(b). ful completion of an amateur radio op-
(4) Manually filed applications that erator examination (CSCE) if the appli-
do not require fees must be addressed cant is successful. The VEs will send
and sent to Federal Communications all necessary information regarding a
Commission, 1270 Fairfield Road, Get- candidate to the Volunteer-Examiner
tysburg, Pennsylvania 17325–7245. Coordinator (VEC) coordinating the ex-
(5) Standard forms may be repro- amination session. Applications filed
duced and the copies used in accord- with the Commission by VECs must be
ance with the provisions of § 0.409 of filed electronically via ULS. All other
this chapter. applications for amateur service li-
(6) Attachments to manually filed ap- censes may be submitted manually to
plications may be filed on a standard FCC, 1270 Fairfield Road, Gettysburg,
3.5 magnetic diskette formatted to be PA 17325–7245, or may be electronically
readable by high density floppy drives filed via ULS. Feeable requests for van-
operating under MS-DOS (version 3.X ity call signs must be filed in accord-
or later compatible versions). Each ance with § 0.401 of this chapter or elec-
diskette submitted must contain an tronically filed via ULS.
ASCII text file listing each filename (g) Section 337 Requests. Applications
and a brief description of the contents to provide public safety services sub-
of each file and format for each docu- mitted pursuant to 47 U.S.C. 337 must
ment on the diskette. The files on the be filed on the same form and in the
diskette, other than the table of con- same manner as other applications for
tents, should be in Adobe Acrobat the requested frequency(ies), except
Portable Document Format (PDF) that applicants must select the service
whenever possible. All diskettes sub- code reflective of the type of service
mitted must be legibly labelled ref- the applicant intends to provide.
erencing the application and its filing [63 FR 68922, Dec. 14, 1998, as amended at 66
date. FR 55, Jan. 2, 2001; 67 FR 34851, May 16, 2002]
(e) Applications requiring prior coordi-
nation. Parties filing applications that § 1.915 General application require-
require frequency coordination shall, ments.
prior to filing, complete all applicable (a) General requirement. Except as pro-
frequency coordination requirements vided in paragraph (b) of this section,
in service-specific rules contained for all Wireless Radio Services, station
within this chapter. After appropriate licenses, as defined in section 308(a) of
frequency coordination, such applica- the Communications Act, as amended,
tions may be electronically filed via operator licenses, modifications or re-
ULS or, if filed manually, must be for- newals of licenses, assignments or
warded to the appropriate address with transfers of control of station licenses
the appropriate filing fee (if applicable) or any rights thereunder, and waiver
in accordance with subparagraph (d). requests associated with any of the
Applications filed by the frequency co- foregoing shall be granted only upon an
ordinator on behalf of the applicant application filed pursuant to §§ 1.913
must be filed electronically. through 1.917 of this part.
(f) Applications for Amateur licenses. (b)(1) Exception for emergency filings.
Each candidate for an amateur radio The Commission may grant station li-
operator license which requires the ap- censes, or modifications or renewals
216
thereof, without the filing of a formal or appointed official who is authorized

application in the following cases: to do so under the laws of the applica-
(i) an emergency found by the Com- ble jurisdiction.
mission to involve danger to life or (b) Applications, amendments, and
property or to be due to damage to related statements of fact required by
equipment; the Commission may be signed by the
(ii) a national emergency proclaimed applicant’s attorney in case of the ap-
by the President or declared by the plicant’s physical disability or absence
Congress and during the continuance of from the United States, or by appli-
any war in which the United States is cant’s designated vessel master when a
engaged, when such action is necessary temporary permit is requested for a
for the national defense or security or vessel. The attorney shall, when appli-
otherwise in furtherance of the war ef- cable, separately set forth the reason
fort; or why the application is not signed by
(iii) an emergency where the Com- the applicant. In addition, if any mat-
mission finds that it would not be fea- ter is stated on the basis of the attor-
sible to secure renewal applications ney’s or master’s belief only (rather
from existing licensees or otherwise to than knowledge), the attorney or mas-
follow normal licensing procedures. ter shall separately set forth the rea-
(2) No such authorization shall be sons for believing that such statements
granted for or continue in effect be- are true. Only the original of applica-
yond the period of the emergency or tions, amendments, and related state-
war requiring it. The procedures to be ments of fact need be signed.
followed for emergency requests sub- (c) Applications, amendments, and
mitted under this subparagraph are the related statements of fact need not be
same as for seeking special temporary
signed under oath. Willful false state-
authority under § 1.931 of this part.
ments made therein, however, are pun-
After the end of the period of emer-
ishable by fine and imprisonment, 18
gency, the party must submit its re-
U.S.C. 1001, and by appropriate admin-
quest by filing the appropriate FCC
istrative sanctions, including revoca-
form in accordance with paragraph (a)
tion of station license pursuant to
of this section.
312(a)(1) of the Communications Act of
[63 FR 68923, Dec. 14, 1998] 1934, as amended.
(d) ‘‘Signed,’’ as used in this section,
§ 1.917 Who may sign applications. means, for manually filed applications
(a) Except as provided in paragraph only, an original hand-written signa-
(b) of this section, applications, amend- ture or, for electronically filed applica-
ments, and related statements of fact tions only, an electronic signature. An
required by the Commission must be electronic signature shall consist of
signed as follows (either electronically the name of the applicant transmitted
or manually, see paragraph (d) of this electronically via ULS and entered on
section): (1) By the applicant, if the ap- the application as a signature.
plicant is an individual; (2) by one of
the partners if the applicant is a part- [63 FR 68923, Dec. 14, 1998]
nership; (3) by an officer, director, or
duly authorized employee, if the appli- § 1.919 Ownership information.
cant is a corporation; (4) by a member (a) Applicants or licensees in Wire-
who is an officer, if the applicant is an less Radio Services that are subject to
unincorporated association; or (5) by the ownership reporting requirements
the trustee if the applicant is an ama- of § 1.2112(a) of this part shall use FCC
teur radio service club. Applications, Form 602 to provide all ownership in-
amendments, and related statements of formation required by this chapter.
fact filed on behalf of eligible govern- (b) Any applicant or licensee that is
ment entities such as states and terri- subject to the ownership reporting re-
tories of the United States, their polit- quirements of § 1.2112(a) of this part
ical subdivisions, the District of Co- shall file an FCC Form 602, or file an
lumbia, and units of local government, updated form if the ownership informa-
including unincorporated municipali- tion on a previously filed FCC Form 602
ties, must be signed by a duly elected is not current, at the time it submits:
217
§ 1.923 47 CFR Ch. I (10–1–02 Edition)
(1) An initial application for author- plication may incorporate such infor-
ization (FCC Form 601); mation by reference, provided that:
(2) An application for license renewal (1) The referenced information has
(FCC Form 601); been filed in ULS or, if manually filed
(3) An application for assignment of outside of ULS, the information com-
authorization or transfer of control prises more than one ‘‘81⁄2 × 11’’ page.
(FCC Form 603); or (2) The referenced information is cur-
(4) A notification of consummation of rent and accurate in all material re-
a pro forma assignment of authoriza- spects; and
tion or transfer of control (FCC Form
(3) The application states specifically
603) under the Commission’s forbear-
where the referenced information can
ance procedures (see § 1.948(c ) of this
actually be found, including:
part).
(c) A single FCC Form 602 may be as- (i) The station call sign or applica-
sociated with multiple applications tion file number and its location if the
filed by the same applicant or licensee. reference is to station files or pre-
If an applicant or licensee already has viously filed applications;
a current FCC Form 602 on file when it (ii) The title of the proceeding, the
files an initial application, renewal ap- docket number, and any legal cita-
plication, application for assignment tions, if the reference is to a docketed
or transfer of control, or notification of proceeding.
a pro forma assignment or transfer, it (c) Antenna locations. Applications for
may certify that it has a current FCC stations at fixed locations must de-
Form 602 on file. scribe each transmitting antenna site
(d) No filing fee is required to submit by its geographical coordinates and
or update FCC Form 602. also by its street address, or by ref-
(e) Applicants or licensees in Wire- erence to a nearby landmark. Geo-
less Radio Services that are not subject graphical coordinates, referenced to
to the ownership reporting require- NAD83, must be specified in degrees,
ments of § 1.2112(a) of this part are not minutes, and seconds to the nearest
required to file FCC Form 602. How- second of latitude and longitude.
ever, such applicants and licensees may (d) Antenna structure registration.
be required by the rules applicable to Owners of certain antenna structures
such services to disclose the real party must notify the Federal Aviation Ad-
(or parties) in interest to the applica- ministration and register with the
tion, including (as required) a complete Commission as required by Part 17 of
disclosure of the identity and relation- this chapter. Applications proposing
ship of those persons or entities di- the use of one or more new or existing
rectly or indirectly owning or control- antenna structures must contain the
ling (or both) the applicant or licensee. FCC Antenna Registration Number(s)
[63 FR 68923, Dec. 14, 1998] of each structure for which registra-
tion is required. If registration is not
§ 1.923 Content of applications. required, the applicant must provide
(a) General. Applications must con- information in its application suffi-
tain all information requested on the cient for the Commission to verify this
applicable form and any additional in- fact.
formation required by the rules in this (e) Environmental concerns. Each ap-
chapter and any rules pertaining to the plicant is required to indicate at the
specific service for which the applica- time its application is filed whether or
tion is filed. not a Commission grant of the applica-
(b) Reference to material on file. Ques- tion may have a significant environ-
tions on application forms that call for mental effect, as defined by § 1.1307 of
specific technical data, or that can be this chapter. If answered affirmatively,
answered yes or no or with another an Environmental Assessment, re-
short answer, must be answered on the quired by § 1.1311 of this chapter, must
form. Otherwise, if documents, exhib- be filed with the application and envi-
its, or other lengthy showings already ronmental review by the Commission
on file with the FCC contain informa- must be completed prior to construc-
tion required in an application, the ap- tion.
218
(f) International coordination. Channel Naval Radio Research Observatory site

assignments and/or usage under this at Sugar Grove, Pendleton County,
part are subject to the applicable pro- West Virginia.
visions and requirements of treaties (1) Applicants and licensees planning
and other international agreements be- to construct and operate a new or
tween the United States government modified station at a permanent fixed
and the governments of Canada and location within the area bounded by N
Mexico. 39° 15″ 0.4″ on the north, W 78° 29″ 59.0″
(g) Quiet zones. Each applicant is re- on the east, N 37° 30″ 0.4″ on the south,
quired to comply with the ‘‘Quiet and W 80° 29″ 59.2″ on the west must no-
Zone’’ rule (see § 1.924). tify the Director, National Radio As-
(h) Taxpayer Identification Number tronomy Observatory, Post Office Box
(TINs). Wireless applicants and licens- No. 2, Green Bank, West Virginia 24944,
ees, including all attributable owners in writing, of the technical details of
of auctionable licenses as defined by the proposed operation. The notifica-
§ 1.2112 of this part, are required to pro- tion must include the geographical co-
vide their Taxpayer Identification ordinates of the antenna location, the
Numbers (TINS) (as defined in 26 U.S.C. antenna height, antenna directivity (if
6109) to the Commission, pursuant to any), the channel, the emission type
the Debt Collection Improvement Act and power.
of 1996 (DCIA). Under the DCIA, the (2) When an application for authority
FCC may use an applicant or licensee’s to operate a station is filed with the
TIN for purposes of collecting and re- FCC, the notification required in para-
porting to the Department of the graph (a)(1) of this section should be
Treasury any delinquent amounts aris- sent at the same time. The application
ing out of such person’s relationship must state the date that notification
with the Government. The Commission in accordance with paragraph (a)(1) of
will not publicly disclose applicant or this section was made. After receipt of
licensee TINs unless authorized by law, such applications, the FCC will allow a
but will assign a ‘‘public identification period of 20 days for comments or ob-
number’’ to each applicant or licensee jections in response to the notifica-
registering a TIN. This public identi- tions indicated.
fication number will be used for agency (3) If an objection is received during
purposes other than debt collection. the 20-day period from the National
(i) Unless an exception is set forth Radio Astronomy Observatory for
elsewhere in this chapter, each appli- itself or on behalf of the Naval Radio
cant must specify an address where the Research Observatory, the FCC will,
applicant can receive mail delivery by after consideration of the record, take
the United States Postal Service. This whatever action is deemed appropriate.
address will be used by the Commission (b) Table Mountain. The requirements
to serve documents or direct cor- of this paragraph are intended to mini-
respondence to the applicant. mize possible interference at the Table
[63 FR 68924, Dec. 14, 1998, as amended at 64 Mountain Radio Receiving Zone of the
FR 53238, Oct. 1, 1999] Research Laboratories of the Depart-
ment of Commerce located in Boulder
§ 1.924 Quiet zones. County, Colorado.
Quiet zones are those areas where it (1) Licensees and applicants planning
is necessary to restrict radiation so as to construct and operate a new or
to minimize possible impact on the op- modified station at a permanent fixed
erations of radio astronomy or other location in the vicinity of Boulder
facilities that are highly sensitive to County, Colorado are advised to give
interference. The areas involved and consideration, prior to filing applica-
procedures required are as follows: tions, to the need to protect the Table
(a) NRAO, NRRO. The requirements Mountain Radio Receiving Zone from
of this paragraph are intended to mini- interference. To prevent degradation of
mize possible interference at the Na- the present ambient radio signal level
tional Radio Astronomy Observatory at the site, the Department of Com-
site located at Green Bank, Pocahontas merce seeks to ensure that the field
County, West Virginia, and at the strengths of any radiated signals
219
§ 1.924 47 CFR Ch. I (10–1–02 Edition)
(excluding reflected signals) received (4) The FCC will not screen applica-
on this 1800 acre site (in the vicinity of tions to determine whether advance
coordinates 40°07′49.9″ North Latitude, consultation has taken place. However,
105°14′42.0″ West Longitude) resulting such consultation may avoid the filing
from new assignments (other than mo- of objections from the Department of
bile stations) or from the modification Commerce or institution of pro-
or relocation of existing facilities do ceedings to modify the authorizations
not exceed the values given in the fol- of stations that radiate signals with a
lowing table: field strength or power flux density at
the site in excess of those specified
FIELD STRENGTH LIMITS FOR TABLE MOUNTAIN 1 herein.
Power (c) Federal Communications Commission
Field flux protected field offices. The requirements
Frequency range strength density
(mV/m) of this paragraph are intended to mini-
(dBW/m2)
mize possible interference to FCC mon-
Below 540 kHz .................................. 10 ¥65.8
540 to 1600 kHz ................................ 20 ¥59.8 itoring activities.
1.6 to 470 MHz .................................. 10 65.8 (1) Licensees and applicants planning
470 to 890 MHz ................................. 30 56.2 to construct and operate a new or
890 and above .................................. 1 85.8
modified station at a permanent fixed
1 Note: Equivalent values of power flux density are cal-
culated assuming free space characteristic impedance of
location in the vicinity of an FCC pro-
376.7 omega (120π Ω). tected field office are advised to give
consideration, prior to filing applica-
(2) Advance consultation is rec-
tions, to the need to avoid interfering
ommended, particularly for applicants
with the monitoring activities of that
that have no reliable data to indicate
office. FCC protected field offices are
whether the field strength or power
listed in § 0.121 of this chapter.
flux density figures in the above table
would be exceeded by their proposed (2) Applications for stations (except
radio facilities. In general, coordina- mobile stations) that could produce on
tion is recommended for: any channel a direct wave fundamental
(i) Stations located within 2.4 kilo- field strength of greater than 10 mV/m
meters (1.5 miles) of the Table Moun- (¥65.8 dBW/m2 power flux density as-
tain Radio Receiving Zone; suming a free space characteristic im-
(ii) Stations located within 4.8 kilo- pedance of 120π Ω) in the authorized
meters (3 miles) transmitting with 50 bandwidth at the protected field office
watts or more effective radiated power may be examined to determine the po-
(ERP) in the primary plane of polariza- tential for interference with moni-
tion in the azimuthal direction of the toring activities. After consideration of
Table Mountain Radio Receiving Zone; the effects of the predicted field
(iii) Stations located with 16 kilo- strength of the proposed station, in-
meters (10 miles) transmitting with 1 cluding the cumulative effects of the
kW or more ERP in the primary plane signal from the proposed station with
of polarization in the azimuthal direc- other ambient radio field strength lev-
tion of Table Mountain Radio Receiv- els at the protected field office, the
ing Zone; FCC may add a condition restricting
(iv) Stations located within 80 kilo- radiation toward the protected field of-
meters (50 miles) transmitting with 25 fice to the station authorization.
kW or more ERP in the primary plane (3) In the event that the calculated
of polarization in the azimuthal direc- field strength exceeds 10 mV/m at the
tion of Table Mountain Receiving protected field office site, or if there is
Zone. any question whether field strength
(3) Applicants concerned are urged to levels might exceed that level, advance
communicate with the Radio Fre- consultation with the FCC to discuss
quency Management Coordinator, De- possible measures to avoid interference
partment of Commerce, Research Sup- to monitoring activities should be con-
port Services NOAAR/E5X2, Boulder sidered. Prospective applicants may
Laboratories, Boulder, CO 80303; tele- communicate with: Chief, Enforcement
phone (303) 497–6548, in advance of filing Bureau, Federal Communications Com-
their applications with the FCC. mission, Washington, DC 20554.
220
(4) Advance consultation is rec- station licenses are not issued by the
ommended for applicants that have no FCC; or planning a modification of any
reliable data to indicate whether the existing station at a permanent fixed
field strength or power flux density fig- location on these islands that would in-
ure indicated would be exceeded by crease the likelihood of causing inter-
their proposed radio facilities. In gen- ference to the operations of the Are-
eral, coordination is recommended for: cibo Observatory must notify the In-
(i) Stations located within 2.4 kilo- terference Office, Arecibo Observatory,
meters (1.5 miles) of the protected field Post Office Box 995, Arecibo, Puerto
office; Rico 00613, in writing or electronically
(ii) Stations located within 4.8 kilo- (e-mail address: prcz@naic.edu), of the
meters (3 miles) with 50 watts or more technical parameters of the planned
average effective radiated power (ERP) operation. Carriers may wish to use the
in the primary plane of polarization in interference guidelines provided by
the azimuthal direction of the pro- Cornell University as guidance in de-
tected field offices. signing facilities to avoid interference
(iii) Stations located within 16 kilo- to the Observatory. The notification
meters (10 miles) with 1 kw or more av- must include identification of the geo-
erage ERP in the primary plane of po- graphical coordinates of the antenna
larization in the azimuthal direction of location (NAD–83 datum), the antenna
the protected field office; height, antenna directivity (if any),
(iv) Stations located within 80 kilo- proposed channel and FCC Rule Part,
meters (50 miles) with 25 kw or more type of emission, and effective iso-
average ERP in the primary plane of tropic radiated power.
polarization in the azimuthal direction (1) In the Amateur radio service:
of the protected field office; (i) The provisions of paragraph (d) of
(v) Advance coordination for stations this section do not apply to repeaters
transmitting on channels above 1000 that transmit on the 1.2 cm or shorter
MHz is recommended only if the pro- wavelength bands; and
posed station is in the vicinity of a pro- (ii) The coordination provision of
tected field office designated as a sat- paragraph (d) of this section does not
ellite monitoring facility in § 0.121 of apply to repeaters that are located 16
this chapter. km or more from the Arecibo observ-
(vi) The FCC will not screen applica- atory.
tions to determine whether advance (2) In services in which individual
consultation has taken place. However, station licenses are issued by the FCC,
such consultation may serve to avoid the notification required in paragraph
the need for later modification of the (d) of this section should be sent the
authorizations of stations that inter- same time the application is filed with
fere with monitoring activities at pro- the FCC, and at least 20 days in ad-
tected field offices. vance of the applicant’s planned oper-
(d) Notification to the Arecibo Observ- ation. The application must state the
atory. The requirements in this section date that notification in accordance
are intended to minimize possible in- with paragraph (d) of this section was
terference at the Arecibo Observatory made. In services in which individual
in Puerto Rico. Licensees must make station licenses are not issued by the
reasonable efforts to protect the Ob- FCC, the notification required in para-
servatory from interference. Licensees graph (d) of this section should be sent
planning to construct and operate a at least 45 days in advance of the appli-
new station at a permanent fixed loca- cant’s planned operation. In the latter
tion on the islands of Puerto Rico, services, the Interference Office must
Desecheo, Mona, Vieques or Culebra in inform the FCC of a notification by an
services in which individual station li- applicant within 20 days if the Office
censes are issued by the FCC; planning plans to file comments or objections to
to construct and operate a new station the notification. After the FCC re-
at a permanent fixed location on these ceives an application from a service ap-
islands that may cause interference to plicant or is informed by the Inter-
the operations of the Arecibo Observ- ference Office of a notification from a
atory in services in which individual service applicant, the FCC will allow
221
§ 1.924 47 CFR Ch. I (10–1–02 Edition)
the Interference Office a period of 20 the proposed station is located within

days for comments or objections in re- 20 km (or within 55 km if the applica-
sponse to the application or notification is for an outdoor low power oper-
tion. ation pursuant to § 101.147(r)(10) of this
(3) If an objection to any planned chapter) of the following coordinated:
service operation is received during the Denver, CO area: 39°43″00″ N. Lat./
20-day period from the Interference Of- 104°46″00″ W. Long.
fice, the FCC will take whatever action
Washington, DC area: 38°48″00″ N. Lat./
is deemed appropriate.
76°52″00″ W. Long.
(e) Government satellite earth stations.
(1) To minimize or avoid harmful inter- (f) GOES. The requirements of this
ference to Government Satellite Earth paragraph are intended to minimize
Stations located in the Denver, Colo- harmful interference to Geostationary
rado and Washington, DC areas, any Operational Environmental Satellite
application for a new station license to earth stations receiving in the band
operate in the 17.8–19.7 GHz band 1670–1675 MHz, which are located at
(except for low power operations gov- Wallops Island, Virginia; Fairbanks,
erned by § 101.147(r)(10) of this chapter), Alaska; and Greenbelt, Maryland.
or for modification of an existing sta- (1) Applicants and licensees planning
tion license in this band which would to construct and operate a new or
change the frequency, power, emission, modified station within the area
modulation, polarization, antenna bounded by a circle with a radius of 100
height or directivity, or location of kilometers (62.1 miles) that is centered
such a station, must be coordinated on 37°56′47′ N, 75°27′37′ W (Wallops Is-
with the Federal Government by the land) or 64°58′36′ N, 147°31′03′ W
Commission before an authorization (Fairbanks) or within the area bounded
will be issued, if the station or pro- by a circle with a radius of 65 kilo-
posed station is located in whole or in meters (40.4 miles) that is centered on
part within any of the areas defined by 39°00′02′ N, 76°50′31′ W (Greenbelt) must
the following rectangles or circles: notify the National Oceanic and At-
mospheric Administration (NOAA) of
DENVER, CO AREA the proposed operation. For this pur-
Rectangle 1: pose, NOAA maintains the GOES co-
1°30″00″ N. Lat. on the north ordination web page at http://
103°10″00″ W. Long. on the east www.osd.noaa.gov/radio/frequency.htm,
38°30″00″ N. Lat. on the south which provides the technical param-
106°30″00″ W. Long. on the west eters of the earth stations and the
Rectangle 2: point-of-contact for the notification.
38°30″00″ N. Lat. on the north The notification shall include the fol-
105°00″00″ W. Long. on the east lowing information: requested fre-
37°30″00″ N. Lat. on the south quency, geographical coordinates of
105°50″00″ W. Long. on the west the antenna location, antenna height
Rectangle 3: above mean sea level, antenna direc-
40°08″00″ N. Lat. on the north tivity, emission type, equivalent
107°00″00″ W. Long. on the east isotropically radiated power, antenna
39°56″00″ N. Lat. on the south make and model, and transmitter
107°15″00″ W. Long. on the west make and model.
(2) Protection. (i) Wallops Island and
WASHINGTON, DC AREA
Fairbanks. Licensees are required to
Rectangle protect the Wallops Island and Fair-
38°40″00″ N. Lat. on the north banks sites at all times.
78°50″00″ W. Long. on the east (ii) Greenbelt. Licensees are required
38°10″00″ N. Lat. on the south to protect the Greenbelt site only when
79°20″00″ W. Long. on the west; or it is active. Licensees should coordi-
(2) Within a radius of 178 km of nate appropriate procedures directly
38°48″00″ N. Lat./78°52″00″ W. Long. with NOAA for receiving notification
(3) In addition, no application seek- of times when this site is active.
ing authority to operate in the 17.8–19.7 (3) When an application for authority
GHz band will be accepted for filing if to operate a station is filed with the
222
FCC, the notification required in para- (3) If an objection is received during

graph (f)(1) of this section should be the 20-day period from NOAA, the FCC
sent at the same time. The application will, after consideration of the record,
must state the date that notification take whatever action is deemed appro-
in accordance with paragraph (f)(1) of priate.
this section was made. After receipt of NOTE TO § 1.924: Unless otherwise noted, all
such an application, the FCC will allow coordinates cited in this section are specified
a period of 20 days for comments or ob- in terms of the North American Datum of
jections in response to the notification. 1983 (NAD 83).
(4) If an objection is received during [63 FR 68924, Dec. 14, 1998, as amended at 67
the 20-day period from NOAA, the FCC FR 6182, Feb. 11, 2002; 67 FR 13224, Mar. 21,
will, after consideration of the record, 2002; 67 FR 41852, June 20, 2002]
take whatever action is deemed appro-
priate. § 1.925 Waivers.
(g) GOES. The requirements of this (a) Waiver requests generally. The
paragraph (g) are intended to minimize Commission may waive specific re-
harmful interference to Geostationary quirements of the rules on its own mo-
Operational Environmental Satellite tion or upon request. The fees for such
(GOES) earth stations receiving in the waiver requests are set forth in § 1.1102
band 1670–1675 MHz, which are located of this part.
at Wallops Island, Virginia and Fair- (b) Procedure and format for filing
banks, Alaska and Greenbelt Maryland. waiver requests. (1) Requests for waiver
(1) Applicants and licensees planning of rules associated with licenses or ap-
to construct and operate a new or plications in the Wireless Radio Serv-
modified station within the area ices must be filed on FCC Form 601, 603,
bounded by a circle with a radius of 100 or 605.
kilometers (62.1 miles) that is centered (2) Requests for waiver must contain
on 37°56′ 47′ N, 75°27′ 37′ W (Wallops Is- a complete explanation as to why the
waiver is desired. If the information
land) or 64°58′ 36′ N, 147°31′ 03′ W
necessary to support a waiver request
(Fairbanks) must notify the National
is already on file, the applicant may
Oceanic and Atmospheric Administra-
cross-reference the specific filing where
tion (NOAA) of the proposed operation.
the information may be found.
For this purpose, NOAA maintains the
(3) The Commission may grant a re-
GOES coordination web page at http://
quest for waiver if it is shown that:
www.osd.noaa.gov/radio/frequency.htm, (i) The underlying purpose of the
which provides the technical param- rule(s) would not be served or would be
eters of the earth stations and the frustrated by application to the instant
point-of-contact for the notification. case, and that a grant of the requested
The notification shall include the fol- waiver would be in the public interest;
lowing information: requested fre- or
quency, geographical coordinates of (ii) In view of unique or unusual fac-
the antenna location, antenna height tual circumstances of the instant case,
above mean sea level, antenna direc- application of the rule(s) would be in-
tivity, emission type, equivalent equitable, unduly burdensome or con-
isotropically radiated power, antenna trary to the public interest, or the ap-
make and model, and transmitter plicant has no reasonable alternative.
make and model. (4) Applicants requiring expedited
(2) When an application for authority processing of their request for waiver
to operate a station is filed with the shall clearly caption their request for
FCC, the notification required in para- waiver with the words ‘‘WAIVER—EX-
graph (g)(1) of this section should be PEDITED ACTION REQUESTED.’’
sent at the same time. The application (c) Action on Waiver Requests.
must state the date that notification (i) The Commission, in its discretion,
in accordance with paragraph (g)(1) of may give public notice of the filing of
this section was made. After receipt of a waiver request and seek comment
such an application, the FCC will allow from the public or affected parties.
a period of 20 days for comments or ob- (ii) Denial of a rule waiver request
jections in response to the notification. associated with an application renders
223
§ 1.926 47 CFR Ch. I (10–1–02 Edition)
that application defective unless it rules in applicable parts of this chap-

contains an alternative proposal that ter.
fully complies with the rules, in which (g) Where an amendment to an appli-
event, the application will be processed cation specifies a substantial change in
using the alternative proposal as if the beneficial ownership or control (de jure
waiver had not been requested. Appli- or de facto) of an applicant, the appli-
cations rendered defective may be dis- cant must provide an exhibit with the
missed without prejudice. amendment application containing an
affirmative, factual showing as set
[63 FR 68926, Dec. 14, 1998]
forth in § 1.948(h)(2).
§ 1.926 Application processing; initial (h) Where an amendment to an appli-
procedures. cation constitutes a major change, as
defined in § 1.929, the amendment shall
Applications are assigned file num- be treated as a new application for de-
bers and service codes in order to fa- termination of filing date, public no-
cilitate processing. Assignment of a tice, and petition to deny purposes.
file number to an application is for ad- (i) If a petition to deny or other in-
ministrative convenience and does not formal objection has been filed, a copy
constitute a determination that the ap- of any amendment (or other filing)
plication is acceptable for filing. Pur- must be served on the petitioner. If the
pose and service codes appear on the FCC has issued a public notice stating
Commission forms. that the application appears to be mu-
[63 FR 68927, Dec. 14, 1998] tually exclusive with another applica-
tion (or applications), a copy of any
§ 1.927 Amendment of applications. amendment (or other filing) must be
(a) Pending applications may be served on any such mutually exclusive
amended as a matter of right if they applicant (or applicants).
have not been designated for hearing or [63 FR 68927, Dec. 14, 1998, as amended at 64
listed in a public notice as accepted for FR 53238, Oct. 1, 1999]
filing for competitive bidding, except
as provided in paragraphs (b) through § 1.928 Frequency coordination, Can-
(e) of this section. ada.
(b) Applicants for an initial license in (a) As a result of mutual agreements,
auctionable services may amend such the Commission has, since May 1950
applications only in accordance with had an arrangement with the Canadian
Subpart Q of this part. Department of Communications for the
(c) Amendments to non-auction ap- exchange of frequency assignment in-
plications that are applied for under formation and engineering comments
Part 101 or that resolve mutual exclu- on proposed assignments along the
sivity may be filed at any time, subject Canada-United States borders in cer-
to the requirements of § 1.945 of this tain bands above 30 MHz. Except as
part. provided in paragraph (b) of this sec-
(d) Any amendment to an application tion, this arrangement involves assign-
for modification must be consistent ments in the following frequency
with, and must not conflict with, any bands.
other application for modification re-
garding that same station. MHz
(e) Amendments to applications des- 30.56–32.00
ignated for hearing may be allowed by 33.00–34.00
the presiding officer or, when a pro- 35.00–36.00
ceeding is stayed or otherwise pending 37.00–38.00
before the full Commission, may be al- 39.00–40.00
lowed by the Commission for good 42.00–46.00
cause shown. In such instances, a writ- 47.00–49.60
ten petition demonstrating good cause 72.00–73.00
must be submitted and served upon the 75.40–76.00
parties of record. 150.80–174.00
(f) Amendments to applications are 450–470
also subject to the service-specific 806.00–960.00
224
1850.0–2200.0 nically to the original assignment to

2450.0–2690.0 preclude harmful interference to exist-
3700.0–4200.0 ing stations across the border.
5925.0–7125.0 (e) For bands below 470 MHz, the
areas which are involved lie between
GHz Lines A and B and between Lines C and
10.55–10.68 D, which are described as follows:
10.70–13.25
Line A—Begins at Aberdeen, Wash., run-
(b) The following frequencies are not ning by great circle arc to the intersection of
involved in this arrangement because 48 deg. N., 120 deg. W., thence along parallel
of the nature of the services: 48 deg. N., to the intersection of 95 deg. W.,
thence by great circle arc through the south-
MHz ernmost point of Duluth, Minn., thence by
great circle arc to 45 deg. N., 85 deg. W.,
156.3 thence southward along meridian 85 deg. W.,
156.35 to its intersection with parallel 41 deg. N.,
156.4 thence along parallel 41 deg. N., to its inter-
156.45 section with meridian 82 deg. W., thence by
156.5 great circle arc through the southernmost
156.55 point of Bangor, Maine, thence by great cir-
156.6 cle arc through the southern-most point of
Searsport, Maine, at which point it termi-
156.65
nates; and
156.7
Line B—Begins at Tofino, B.C., running by
156.8 great circle arc to the intersection of 50 deg.
156.9 N., 125 deg. W., thence along parallel 50 deg.
156.95 N., to the intersection of 90 deg. W., thence
157.0 and 161.6 by great circle arc to the intersection of 45
157.05 deg. N., 79 deg. 30′ W., thence by great circle
157.1 arc through the northernmost point of
157.15 Drummondville, Quebec (lat: 45 deg. 52′ N.,
157.20 long: 72 deg. 30′ W.), thence by great circle
arc to 48 deg. 30′ N., 70 deg. W., thence by
157.25
great circle arc through the northernmost
157.30 point of Campbellton, N.B., thence by great
157.35 circle arc through the northernmost point of
157.40. Liverpool, N.S., at which point it termi-
(c) Assignments proposed in accord- nates.
ance with the railroad industry radio Line C— Begins at the intersection of 70
frequency allotment plan along the deg. N., 144 deg. W., thence by great circle
United States-Canada borders utilized arc to the intersection of 60 deg. N., 143 deg.
W., thence by great circle arc so as to in-
by the Federal Communications Com- clude all of the Alaskan Panhandle; and
mission and the Department of Trans- Line D— Begins at the intersection of 70
port, respectively, may be excepted deg. N., 138 deg. W., thence by great circle
from this arrangement at the discre- arc to the intersection of 61 deg. 20′ N., 139
tion of the referring agency. deg. W., (Burwash Landing), thence by great
(d) Assignments proposed in any circle arc to the intersection of 60 deg. 45′ N.,
radio service in frequency bands below 135 deg. W., thence by great circle arc to the
470 MHz appropriate to this arrange- intersection of 56 deg. N., 128 deg. W., thence
ment, other than those for stations in south along 128 deg. meridian to Lat. 55 deg.
the Domestic Public (land mobile or N., thence by great circle arc to the intersec-
tion of 54 deg. N., 130 deg. W., thence by great
fixed) category, may be excepted from circle arc to Port Clements, thence to the
this arrangement at the discretion of Pacific Ocean where it ends.
the referring agency if a base station
assignment has been made previously (f) For all stations using bands be-
under the terms of this arrangement or tween 470 MHz and 1000 MHz; and for
prior to its adoption in the same radio any station of a terrestrial service
service and on the same frequency and using a band above 1000 MHz, the areas
in the local area, and provided the which are involved are as follows:
basic characteristics of the additional (1) For a station the antenna of
station are sufficiently similar tech- which looks within the 200 deg. sector
225
§ 1.929 47 CFR Ch. I (10–1–02 Edition)
toward the Canada-United States bor- (6) Application or amendment re-

ders, that area in each country within questing to add a frequency or fre-
35 miles of the borders; quency block for which the applicant is
(2) For a station the antenna of not currently authorized, excluding re-
which looks within the 160 deg. sector moving a frequency.
away from the Canada-United States (b) In the Cellular Radiotelephone
borders, that area in each country Service:
within 5 miles of the borders; and (1) Request an authorization or an
(3) The area in either country within amendment to a pending application
coordination distance as described in that would expand the cellular geo-
Recommendation 1A of the Final Acts graphic service area (COSA) of an ex-
of the EARC, Geneva, 1963 of a receiv- isting cellular system or, in the case of
ing earth station in the other country an amendment, as previously proposed
which uses the same band. in an application, except during the ap-
(g) Proposed assignments in the plicable five-year build-out period, if
space radiocommunication services and any;
proposed assignments to stations in
(2) Request that a CGSA boundary or
frequency bands allocated coequally to
portion of a CGSA boundary be deter-
space and terrestrial services above 1
GHz are not treated by these arrange- mined using an alternative method; or,
ments. Such proposed assignments are (3) Request an authorization for fa-
subject to the regulatory provisions of cilities that would produce a de minimis
the International Radio Regulations. service area boundary extension into
(h) Assignments proposed in the fre- unserved area in an adjacent market.
quency band 806–890 MHz shall be in ac- (c) In addition to those changes listed
cordance with the Canada-United in subparagraph (a) above, the fol-
States agreement, dated April 7, 1982. lowing are major changes applicable to
stations licensed to provide base-to-
[64 FR 53238, Oct. 1, 1999] mobile, mobile-to-base, mobile-to-mo-
§ 1.929 Classification of filings as bile on a site-specific basis:
major or minor. (1) In the Paging and Radiotelephone
Service, Rural Radiotelephone Service
Applications and amendments to ap- and 800 MHz Specialized Mobile Radio
plications for stations in the wireless
Service (SMR), any change that would
radio services are classified as major or
increase or expand the applicant’s ex-
minor ( see § 1.947). Categories of major
isting composite interference contour.
and minor filings are listed in § 309 of
the Communications Act of 1934. (2) In the 900 MHz SMR and 220 MHz
Service, any change that would in-
(a) For all stations in all Wireless
Radio Services, whether licensed geo- crease or expand the applicant’s serv-
graphically or on a site-specific basis, ice area as defined in the rule parts
the following actions are classified as governing the particular radio service.
major: (3) In the Paging and Radiotelephone
(1) Application for initial authoriza- Service, Rural Radiotelephone Service,
tion; Offshore Radiotelephone Service, and
(2) Any substantial change in owner- Specialized Mobile Radio Service:
ship or control, including requests for (i) Request an authorization or an
partitioning and disaggregation; amendment to a pending application
(3) Application for renewal of author- that would establish for the filer a new
ization; fixed transmission path;
(4) Application or amendment re- (ii) Request an authorization or an
questing authorization for a facility amendment to a pending application
that would have a significant environ- for a fixed station (i.e., control, re-
mental effect, as defined by §§ 1.1301 peater, central office, rural subscriber,
through 1.1319 of the rules; or inter-office station) that would in-
(5) Application or amendment requir- crease the effective radiated power, an-
ing frequency coordination pursuant to tenna height above average terrain in
the Commission’s rules or inter- any azimuth, or relocate an existing
national treaty or agreement; transmitter;
226
(4) In the Private Land Mobile Radio (vi) Any increase in transmit an-
Services (PLMRS) and in GMRS sys- tenna height (above mean sea level)
tems licensed to non-individuals: more than 3 meters, except as specified
(i) Change in frequency or modifica- in paragraph (d)(3) of this section;
tion of channel pairs; (vii) Any increase in transmit an-
(ii) Change in the type of emission; tenna beamwidth, except as specified
(iii) Change in effective radiated in paragraph (d)(3) of this section;
power from that authorized or, for (viii) Any change in transmit an-
GMRS systems licensed to non-individ- tenna polarization;
uals, an increase in the transmitter (ix) Any change in transmit antenna
power of a station; azimuth greater than 1 degree, except
(iv) Change in antenna height from as specified in paragraph (d)(3) of this
that authorized; section ; or,
(x) Any change which together with
(v) Change in the authorized location
all minor modifications or amend-
or number of base stations, fixed, con-
ments since the last major modifica-
trol, or, for systems operating on non-
tion or amendment produces a cumu-
exclusive assignments in GMRS or the
lative effect exceeding any of the above
470–512 MHz, 800 MHz or 900 MHz bands,
major criteria.
a change in the number of mobile
(2) Changes to transmit antenna loca-
transmitters, or a change in the area of
tion of Multiple Address System (MAS)
mobile transmitters, or a change in the
Remote Units and Digital Electronic
area of mobile operations from that au-
Message Service (DEMS) User Units
thorized;
are not major.
(vi) Change in the class of a land sta- (3) Changes in accordance with para-
tion, including changing from multiple graphs (d)(1)(vi), (d)(1)(vii) and (d)(1)(ix)
licensed to cooperative use, and from of this section are not major for the
shared to unshared use. following:
(d) In the microwave services: (i) Fixed Two-Way MAS on the re-
(1) Except as specified in paragraph mote to master path,
(d)(2) and (d)(3) of this section, the fol- (ii) Fixed One-Way Inbound MAS on
lowing, in addition to those filings list- the remote to master path,
ed in paragraph (a) of this section, are (iii) Multiple Two-Way MAS on the
major actions that apply to stations li- remote to master and master to remote
censed to provide fixed point-to-point, paths,
point-to-multipoint, or multipoint-to- (iv) Multiple One-Way Outbound
point, communications on a site-spe- MAS on the master to remote path,
cific basis, or fixed or mobile commu- (v) Mobile MAS Master,
nications on an area-specific basis (vi) Fixed Two-Way DEMS on the
under part 101 of this chapter: user to nodal path, and
(i) Any change in transmit antenna (vii) Multiple Two-Way DEMS on the
location by more than 5 seconds in lati- nodal to user and user to nodal paths.
tude or longitude for fixed point-to- NOTE to paragraph (d)(3) of § 1.929: For the
point facilities (e.g., a 5 second change systems and path types described in para-
in latitude, longitude, or both would be graph (d)(3) of this section, the data provided
minor); any change in coordinates of by applicants is either a typical value for a
the center of operation or increase in certain parameter or a fixed value given in
radius of a circular area of operation, the Form instructions.
or any expansion in any direction in (e) In addition to those filings listed
the latitude or longitude limits of a in paragraph (a) of this section, the fol-
rectangular area of operation, or any lowing are major actions that apply to
change in any other kind of area oper- stations licensed to provide service in
ation; the Air-ground Radiotelephone Serv-
(ii) Any increase in frequency toler- ice:
ance; (1) Request an authorization to relo-
(iii) Any increase in bandwidth; cate an existing General Aviation
(iv) Any change in emission type; ground station; or,
(v) Any increase in EIRP greater (2) Request the first authorization for
than 3 dB; a new Commercial Aviation ground
227
§ 1.931 47 CFR Ch. I (10–1–02 Edition)
station at a location other than those (2) Any name change not involving
listed in § 22.859 of this chapter. change in ownership or control of the
(f) In addition to those changes listed license;
in paragraph (a), the following are (3) Any address and/or telephone
major changes that apply to stations number changes;
licensed in the industrial (4) Any changes in contact person;
radiopositioning stations for which fre- (5) Any change to vessel name on a
quencies are assigned on an exclusive ship station license;
basis, Maritime and Aviation services, (6) Any change to a site-specific li-
except Maritime Public Coast VHF cense, except a PLMRS license under
(CMRS), Ship and Aircraft stations: part 90, or a license under part 101,
(1) Any change in antenna azimuth; where the licensee’s interference con-
(2) Any change in beamwidth; tours are not extended and co-channel
(3) Any change in antenna location; separation criteria are met, except
those modifications defined in para-
(4) Any change in emission type;
graph (c)(2) of this section; or
(5) Any increase in antenna height;
(7) Any conversion of multiple site-
(6) Any increase in authorized power; specific licenses into a single wide-area
(7) Any increase in emission band- license, except a PLMRS license under
width. part 90 or a license under part 101 of
(g) In addition to those changes list- this chapter, where there is no change
ed in paragraph (a), any change requir- in the licensee’s composite interference
ing international coordination in the contour or service area as defined in
Maritime Public Coast VHF (CMRS) paragraph (c)(2) of this section.
Service is major.
(h) In addition to those changes list- [63 FR 68927, Dec. 14, 1998, as amended at 64
FR 53239, Oct. 1, 1999]
ed in paragraph (a) of this section, the
following are major changes that apply § 1.931 Application for special tem-
to ship stations: porary authority.
(1) Any request for additional equip-
(a) Wireless Telecommunications Serv-
ment;
ices. (1) In circumstances requiring im-
(2) A change in ship category;
mediate or temporary use of station in
(3) A request for assignment of a the Wireless Telecommunications
Maritime Mobile Service Identity Services, carriers may request special
(MMSI) number; or temporary authority (STA) to operate
(4) A request to increase the number new or modified equipment. Such re-
of ships on an existing fleet license. quests must be filed electronically
(i) In addition to those changes listed using FCC Form 601 and must contain
in paragraph (a) of this section, the fol- complete details about the proposed
lowing are major changes that apply to operation and the circumstances that
aircraft stations: fully justify and necessitate the grant
(1) A request to increase the number of STA. Such requests should be filed
of aircraft on an existing fleet license; in time to be received by the Commis-
or sion at least 10 days prior to the date
(2) A request to change the type of of proposed operation or, where an ex-
aircraft (private or air carrier). tension is sought, 10 days prior to the
(j) In addition to those changes listed expiration date of the existing STA.
in paragraph (a) of this section, the fol- Requests received less than 10 days
lowing are major changes that apply to prior to the desired date of operation
amateur licenses: may be given expedited consideration
(1) An upgrade of an existing license; only if compelling reasons are given for
or the delay in submitting the request.
(2) A change of call sign. Otherwise, such late-filed requests are
(k) Any change not specifically listed considered in turn, but action might
above as major is considered minor (see not be taken prior to the desired date
§ 1.947(b). This includes but is not lim- of operation. Requests for STA must be
ited to: accompanied by the proper filing fee.
(1) Any pro forma assignment or (2) Grant without Public Notice. STA
transfer of control; may be granted without being listed in
228
a Public Notice, or prior to 30 days (iii) To conduct tests to determine

after such listing, if: necessary data for the preparation of
(i) The STA is to be valid for 30 days an application for regular authoriza-
or less and the applicant does not plan tion;
to file an application for regular au- (iv) For a temporary, non-recurring
thorization of the subject operation; service where a regular authorization
(ii) The STA is to be valid for 60 days is not appropriate;
or less, pending the filing of an applica- (v) In other situations involving cir-
tion for regular authorization of the cumstances which are of such extraor-
subject operation; dinary nature that delay in the institu-
(iii) The STA is to allow interim option of temporary operation would seri-
eration to facilitate completion of au- ously prejudice the public interest.
thorized construction or to provide (3) The nature of the circumstance
substantially the same service as pre- which, in the opinion of the applicant
viously authorized; or justifies issuance of STA, must be fully
(iv) The STA is made upon a finding described in the request. Applications
that there are extraordinary cir- for STA must be filed at least 10 days
cumstances requiring operation in the prior to the proposed operation. Appli-
public interest and that delay in the cations filed less than 10 days prior to
institution of such service would seri- the proposed operation date will be ac-
ously prejudice the public interest. cepted only upon a showing of good
(3) Limit on STA term. The Commis- cause.
sion may grant STA for a period not to (4) The Commission may grant exten-
exceed 180 days under the provisions of sions of STA for a period of 180 days,
section 309(f) of the Communications but the applicant must show that ex-
Act of 1934, as amended, (47 U.S.C. traordinary circumstances warrant
309(f)) if extraordinary circumstances
such an extension.
so require, and pending the filing of an
(5) In special situations defined in
application for regular operation. The
Commission may grant extensions of § 1.915(b)(1), a request for STA may be
STA for a period of 180 days, but the made by telephone or telegraph pro-
applicant must show that extraor- vided a properly signed application is
dinary circumstances warrant such an filed within 10 days of such request.
extension. (6) An applicant for an Aircraft Radio
(b) Private Wireless Services. (1) A li- Station License may operate the radio
censee of, or an applicant for, a station station pending issuance of an Aircraft
in the Private Wireless Services may Radio Station License by the Commis-
request STA not to exceed 180 days for sion for a period of 90 days under tem-
(A) operation of a new station or (B) porary operating authority, evidenced
operation of a licensed station in a by a properly executed certification
manner which is beyond the scope of made on FCC Form 605.
that authorized by the existing license. (7) Unless the Commission otherwise
See §§ 1.962(b)(5) and (f). Where the ap- prescribes, a person who has been
plicant, seeking a waiver of the 180 day granted an operator license of Novice,
limit, requests STA to operate as a pri- Technician, Technician Plus, General,
vate mobile radio service provider for a or Advanced class and who has prop-
period exceeding 180 days, evidence of erly submitted to the administering
frequency coordination is required. Re- VEs an application document for an op-
quests for shorter periods do not re- erator license of a higher class, and
quire coordination and, if granted, will who holds a CSCE indicating that he/
be authorized on a secondary, non-in- she has completed the necessary ex-
terference basis. aminations within the previous 365
(2) STA may be granted in the fol- days, is authorized to exercise the
lowing circumstances: rights and privileges of the higher op-
(i) In emergency situations; erator class until final disposition of
(ii) To permit restoration or reloca- the application or until 365 days fol-
tion of existing facilities to continue lowing the passing of the examination,
communication service; whichever comes first.
229
§ 1.933 47 CFR Ch. I (10–1–02 Edition)
(8) An applicant for a Ship Radio sta- 470 MHz or in the one-way paging 929–
tion license may operate the radio sta- 930 MHz band may operate the proposed
tion pending issuance of the ship sta- station during the pendency of its ap-
tion authorization by the Commission plication for a period of up to 180 days
for a period of 90 days, under a tem- under a conditional permit. Condi-
porary operating authority, evidenced tional operations may commence upon
by a properly executed certification the filing of a properly completed ap-
made on FCC Form 605. plication that complies with § 90.127 if
(9) An applicant for a station license the application, when frequency co-
in the Industrial/Business pool (other ordination is required, is accompanied
than an applicant who seeks to provide by evidence of frequency coordination
commercial mobile radio service as de- in accordance with § 90.175 of this chap-
fined in Part 20 of this chapter) uti- ter. Operation under such a permit is
lizing an already authorized facility evidenced by the properly executed
may operate the station for a period of Form 601 with certifications that sat-
180 days, under a temporary permit, isfy the requirements of § 90.159(b).
evidenced by a properly executed cer- (12) An applicant for a General Mo-
tification made on FCC Form 601, after bile Radio Service system license,
filing an application for a station li- sharing a multiple-licensed or coopera-
cense together with evidence of fre- tive shared base station used as a mo-
quency coordination, if required, with bile relay station, may operate the sys-
the Commission. The temporary oper- tem for a period of 180 days, under a
ation of stations, other than mobile Temporary Permit, evidenced by a
stations, within the Canadian coordi- properly executed certification made
nation zone will be limited to stations on FCC Form 605.
with a maximum of 5 watts effective [63 FR 68928, Dec. 14, 1998]
radiated power and a maximum an-
tenna height of 20 feet (6.1 meters) § 1.933 Public notices.
above average terrain. (a) Generally. Periodically, the Com-
(10) An applicant for a radio station mission issues Public Notices in the
license under Part 90, Subpart S, of Wireless Radio Services listing infor-
this chapter (other than an applicant mation of public significance. Cat-
who seeks to provide commercial mo- egories of Public Notice listings are as
bile radio service as defined in part 20 follows:
of this chapter) to utilize an already (1) Accepted for filing. Acceptance for
existing Specialized Mobile Radio Sys- filing of applications and major amend-
tem (SMR) facility or to utilize an al- ments thereto.
ready licensed transmitter may oper- (2) Actions. Commission actions on
ate the radio station for a period of up pending applications previously listed
to 180 days, under a temporary permit. as accepted for filing.
Such request must be evidenced by a (3) Environmental considerations. Spe-
properly executed certification of FCC cial environmental considerations as
Form 601 after the filing of an applica- required by Part 1 of this chapter.
tion for station license, provided that (4) Informative listings. Information
the antenna employed by the control that the Commission, in its discretion,
station is a maximum of 20 feet (6.1 me- believes to be of public significance.
ters) above a man-made structure Such listings do not create any rights
(other than an antenna tower) to which to file petitions to deny or other plead-
it is affixed. ings.
(11) An applicant for an itinerant sta- (b) Accepted for filing public notices.
tion license, an applicant for a new pri- The Commission will issue at regular
vate land mobile radio station license intervals public notices listing applica-
in the frequency bands below 470 MHz tions that have been received by the
and in the one-way paging 929–930 MHz Commission in a condition acceptable
band (other than a commercial mobile for filing, or which have been returned
radio service applicant or licensee on to an applicant for correction. Any ap-
these bands) or an applicant seeking to plication that has been listed in a pub-
modify or acquire through assignment lic notice as acceptable for filing and is
or transfer an existing station below (1) subject to a major amendment, or
230
(2) has been returned as defective or in- (9) Any application for authorization
complete and resubmitted to the Com- in the Private Wireless Services.
mission, shall be listed in a subsequent
[63 FR 68929, Dec. 14, 1998]
public notice. Acceptance for filing
shall not preclude the subsequent dis- § 1.934 Defective applications and dis-
missal of an application as defective. missal.
(c) Public notice prior to grant. Appli-
cations for authorizations, major modi- (a) Dismissal of applications. The Com-
fications, major amendments to appli- mission may dismiss any application in
cations, and substantial assignment or the Wireless Radio Services at the re-
transfer applications for the following quest of the applicant; if the applica-
categories of stations and services tion is mutually exclusive with an-
shall be placed on Public Notice as ac- other application that is selected or
cepted for filing prior to grant: granted in accordance with the rules in
(1) Wireless Telecommunications this part; for failure to prosecute or if
Services. the application is found to be defective;
(2) Industrial radiopositioning sta- if the requested spectrum is not avail-
tions for which frequencies are as- able; or if the application is untimely
signed on an exclusive basis. filed. Such dismissal may be ‘‘without
(3) Aeronautical enroute stations. prejudice,’’ meaning that the Commis-
(4) Aeronautical advisory stations. sion may accept from the applicant an-
(5) Airport control tower stations. other application for the same purpose
(6) Aeronautical fixed stations. at a later time, provided that the appli-
(7) Alaska public fixed stations. cation is otherwise timely. Dismissal
(d) No public notice prior to grant. The ‘‘with prejudice’’ means that the Com-
following types of applications, no- mission will not accept another appli-
tices, and other filings need not be cation from the applicant for the same
placed on Public Notice as accepted for purpose for a period of one year. Unless
filing prior to grant: otherwise provided in this part, a dis-
(1) Applications or notifications con- missed application will not be returned
cerning minor modifications to author- to the applicant.
izations or minor amendments to appli- (1) Dismissal at request of applicant.
cations. Any applicant may request that its ap-
(2) Applications or notifications con- plication be withdrawn or dismissed. A
cerning non-substantial (pro forma) as- request for the withdrawal of an appli-
signments and transfers. cation after it has been listed on Public
(3) Consent to an involuntary assign- Notice as tentatively accepted for fil-
ment or transfer under section 310(b) of ing is considered to be a request for
the Communications Act. dismissal of that application without
(4) Applications for licenses under prejudice.
section 319(c) of the Communications (i) If the applicant requests dismissal
Act. of its application with prejudice, the
(5) Requests for extensions of time to Commission will dismiss that applica-
complete construction of authorized fa- tion with prejudice.
cilities. (ii) If the applicant requests dis-
(6) Requests for special temporary missal of its application without preju-
authorization not to exceed 30 days dice, the Commission will dismiss that
where the applicant does not con- application without prejudice, unless:
template the filing of an application (A) It has been designated for com-
for regular operation, or not to exceed parative hearing; or
60 days pending or after the filing of an (B) It is an application for which the
application for regular operation. applicant submitted the winning bid in
(7) Requests for emergency author- a competitive bidding process.
izations under section 308(a) of the (2) If an applicant who is a winning
Communications Act. bidder for a license in a competitive
(8) Any application for temporary au- bidding process requests dismissal of
thorization under section 101.31(a) of its short-form or long-form applica-
this chapter. tion, the Commission will dismiss that
231
§ 1.935 47 CFR Ch. I (10–1–02 Edition)
application with prejudice. The appli- rule(s), or in the event the Commission
cant will also be subject to default pay- denies such a waiver request, does not
ments under Subpart Q of this part. contain an alternative proposal that
(3) An applicant who requests dis- fully complies with the rules;
missal of its application after that ap- (3) The appropriate filing fee has not
plication has been designated for com- been paid; or
parative hearing may submit a written (4) The FCC Registration Number
petition requesting that the dismissal (FRN) has not been provided.
be without prejudice. Such petition (e) Dismissal because spectrum not
must demonstrate good cause and be available. The Commission may dismiss
served upon all parties of record. The applications that request spectrum
Commission may grant such petition which is unavailable because:
and dismiss the application without (1) It is not allocated for assignment
prejudice or deny the petition and dis- in the specific service requested;
miss the application with prejudice. (2) It was previously assigned to an-
(b) Dismissal of mutually exclusive ap- other licensee on an exclusive basis or
plications not granted. The Commission cannot be assigned to the applicant
may dismiss mutually exclusive appli- without causing harmful interference;
cations: or
(1) For which the applicant did not (3) Reasonable efforts have been
submit the winning bid in a competi- made to coordinate the proposed facil-
tive bidding process; or ity with foreign administrations under
(2) That receive comparative consid- applicable international agreements,
eration in a hearing but are not grant- and an unfavorable response (harmful
ed by order of the presiding officer. interference anticipated) has been re-
(c) Dismissal for failure to prosecute. ceived.
The Commission may dismiss applica- (f) Dismissal as untimely. The Commis-
tions for failure of the applicant to sion may dismiss without prejudice ap-
prosecute or for failure of the applicant plications that are premature or late
to respond substantially within a speci- filed, including applications filed prior
fied time period to official correspond- to the opening date or after the closing
ence or requests for additional infor- date of a filing window, or after the
mation. Such dismissal will generally cut-off date for a mutually exclusive
be without prejudice if the failure to application filing group.
prosecute or respond occurred prior to [63 FR 68930, Dec. 14, 1998, as amended at 66
designation of the application for com- FR 47895, Sept. 14, 2001]
parative hearing, but may be with prej-
udice in cases of non-compliance with § 1.935 Agreements to dismiss applica-
§ 1.945 of this part. Dismissal will gen- tions, amendments or pleadings.
erally be with prejudice if the failure Parties that have filed applications
to prosecute or respond occurred after that are mutually exclusive with one
designation of the application for com- or more other applications, and then
parative hearing. The Commission may enter into an agreement to resolve the
dismiss applications with prejudice for mutual exclusivity by withdrawing or
failure of the applicant to comply with requesting dismissal of the applica-
requirements related to a competitive tion(s), specific frequencies on the ap-
bidding process. plication or an amendment thereto,
(d) Dismissal as defective. The Com- must obtain the approval of the Com-
mission may dismiss without prejudice mission. Parties that have filed or
an application that it finds to be defec- threatened to file a petition to deny,
tive. An application is defective if: informal objection or other pleading
(1) It is unsigned or incomplete with against an application and then seek to
respect to required answers to ques- withdraw or request dismissal of, or re-
tions, informational showings, or other frain from filing, the petition, either
matters of a formal character; unilaterally or in exchange for a finan-
(2) It requests an authorization that cial consideration, must obtain the ap-
would not comply with one or more of proval of the Commission.
the Commission’s rules and does not (a) The party withdrawing or re-
contain a request for waiver of these questing dismissal of its application
232
(or specific frequencies on the applica- poses of this section, reimbursement by

tion), petition to deny, informal objec- an applicant of the legitimate and pru-
tion or other pleading or refraining dent expenses of a potential petitioner
from filing a pleading must submit to or objector, incurred reasonably and di-
the Commission a request for approval rectly in preparing to file a petition to
of the withdrawal or dismissal, a copy deny, will not be considered to be pay-
of any written agreement related to ment for refraining from filing a peti-
the withdrawal or dismissal, and an af- tion to deny or an informal objection.
fidavit setting forth: Payments made directly to a potential
(1) A certification that neither the petitioner or objector, or a person re-
party nor its principals has received or lated to a potential petitioner or objec-
will receive any money or other consid-
tor, to implement non-financial prom-
eration in excess of the legitimate and
ises are prohibited unless specifically
prudent expenses incurred in preparing
and prosecuting the application, peti- approved by the Commission.
tion to deny, informal objection or (d) For the purposes of this section:
other pleading in exchange for the (1) Affidavits filed pursuant to this
withdrawal or dismissal of the applica- section must be executed by the filing
tion, petition to deny, informal objec- party, if an individual; a partner hav-
tion or other pleading, or threat to file ing personal knowledge of the facts, if
a pleading, except that this provision a partnership; or an officer having per-
does not apply to dismissal or with- sonal knowledge of the facts, if a cor-
drawal of applications pursuant to poration or association.
bona fide merger agreements; (2) Each application, petition to
(2) The exact nature and amount of deny, informal objection or other
any consideration received or prom- pleading is deemed to be pending before
ised; the Commission from the time the pe-
(3) An itemized accounting of the ex- tition to deny is filed with the Com-
penses for which it seeks reimburse- mission until such time as an order or
ment; and correspondence of the Commission
(4) The terms of any oral agreement granting, denying or dismissing it is no
related to the withdrawal or dismissal
longer subject to reconsideration by
of the application, petition to deny, in-
the Commission or to review by any
formal objection or other pleading, or
court.
threat to file a pleading.
(b) In addition, within 5 days of the (3) ‘‘Legitimate and prudent ex-
filing date of the applicant’s or peti- penses’’ are those expenses reasonably
tioner’s request for approval, each re- incurred by a party in preparing to file,
maining party to any written or oral filing, prosecuting and/or settling its
agreement must submit an affidavit application, petition to deny, informal
setting forth: objection or other pleading for which
(1) A certification that neither the reimbursement is sought.
applicant nor its principals has paid or (4) ‘‘Other consideration’’ consists of
will pay money or other consideration financial concessions, including, but
in excess of the legitimate and prudent not limited to, the transfer of assets or
expenses of the petitioner in exchange the provision of tangible pecuniary
for withdrawing or dismissing the ap- benefit, as well as non-financial con-
plication, petition to deny, informal cessions that confer any type of benefit
objection or other pleading; and on the recipient.
(2) The terms of any oral agreement (e) Notwithstanding the provisions of
relating to the withdrawal or dismissal this section, any payments made or re-
of the application, petition to deny, in- ceived in exchange for withdrawing a
formal objection or other pleading. short-form application for a Commis-
(c) No person shall make or receive sion authorization awarded through
any payments in exchange for with- competitive bidding shall be subject to
drawing a threat to file or refraining the restrictions set forth in § 1.2105(c)
from filing a petition to deny, informal
of this chapter.
objection, or any other pleading
against an application. For the pur- [63 FR 68931, Dec. 14, 1998]
233
§ 1.937 47 CFR Ch. I (10–1–02 Edition)
§ 1.937 Repetitious or conflicting appli- whether as filed originally or upon

cations. major amendment as defined in § 1.929
(a) Where the Commission has, for of this part.
any reason, dismissed an application (1) For auctionable license applica-
for a new station or for any modifications, petitions to deny and related
tion of services or facilities with preju- pleadings are governed by the proce-
dice, or revoked the license for a radio dures set forth in § 1.2108 of this part.
station in the Wireless Radio Services, (2) Petitions to deny for non-
the Commission will not consider a auctionable applications that are sub-
like or new application involving serv- ject to petitions under § 309(d) of the
ice of the same kind to substantially Communications Act must comply
the same area by substantially the with the provisions of this section and
same applicant, its successor or as- must be filed no later than 30 days
signee, or on behalf of or for the benefit after the date of the Public Notice list-
of the original parties in interest, until ing the application or major amend-
after the lapse of 12 months from the ment to the application as accepted for
effective date of final Commission ac- filing.
tion. (b) Filing of petitions. Petitions to
(b) If an applicant has been afforded deny and related pleadings may be filed
an opportunity for a hearing with re- electronically via ULS. Manually filed
spect to an application for a new sta- petitions to deny must be filed with
tion or an enlargement of service area, the Office of the Secretary, 445 Twelfth
and the Commission has, after hearing Street, S.W., Room TW-B204, Wash-
or default, denied the application or ington, DC 20554. Manually filed peti-
dismissed it with prejudice, the Com- tions to deny must be filed with the Of-
mission will not consider a like appli- fice of the Secretary, 1919 M Street,
cation for service of the same type to NW., Washington, DC 20554. Attach-
the same area by that applicant, or by ments to manually filed applications
its successor or assignee, or on behalf may be filed on a standard 31/4’’ mag-
of or for the benefit of the parties in in- netic diskette formatted to be readable
terest to the original application, until by high density floppy drives operating
after the lapse of 12 months from the under MS–DOS (version 3.X or later
effective date of final Commission ac- compatible versions). Each diskette
tion on the original application. submitted must contain an ASCII text
(c) If an appeal has been taken from file listing each filename and a brief
the action of the Commission denying description of the contents of each file
a particular application, a like applica- on the diskette. The files on the disk-
tion for service of the same type to the ette, other than the table of contents,
same area, in whole or in part, filed by should be in Adobe Acrobat Portable
that applicant or by its successor or as- Document Format (PDF) whenever
signee, or on behalf or for the benefit of possible. Petitions to deny and related
the parties in interest to the original pleadings must reference the file num-
application, will not be considered ber of the pending application that is
until the final disposition of such ap- the subject of the petition.
peal. (c) Service. A petitioner shall serve a
(d) While an application is pending, copy of its petition to deny on the ap-
any subsequent inconsistent or con- plicant and on all other interested par-
flicting application submitted by, on ties pursuant to § 1.47. Oppositions and
behalf of, or for the benefit of the same replies shall be served on the petitioner
applicant, its successor or assignee will and all other interested parties.
not be accepted for filing. (d) Content. A petition to deny must
contain specific allegations of fact suf-
[63 FR 68931, Dec. 14, 1998] ficient to make a prima facie showing
that the petitioner is a party in inter-
§ 1.939 Petitions to deny. est and that a grant of the application
(a) Who may file. Any party in inter- would be inconsistent with the public
est may file with the Commission a pe- interest, convenience and necessity.
tition to deny any application listed in Such allegations of fact, except for
a Public Notice as accepted for filing, those of which official notice may be
234
taken, shall be supported by affidavit is not subject to competitive bidding

of a person or persons with personal under § 309(j) of the Communications
knowledge thereof. Act will be granted by the Commission
(e) Petitions to deny amended applica- prior to the 31st day following the
tions. Petitions to deny a major amend- issuance of a Public Notice of the ac-
ment to an application may raise only ceptance for filing of such application
matters directly related to the major or of any substantial amendment
amendment that could not have been thereof, unless the application is not
raised in connection with the applica- subject to § 309(b) of the Communica-
tion as originally filed. This paragraph tions Act.
does not apply to petitioners who gain (c) Grant without hearing. In the case
standing because of the major amend- of both auctionable license applica-
ment. tions and non-mutually exclusive non-
(f) Oppositions and replies. The appli- auctionable license applications, the
cant and any other interested party Commission will grant the application
may file an opposition to any petition without a hearing if it is proper upon
to deny and the petitioner may file a its face and if the Commission finds
reply thereto in which allegations of from an examination of such applica-
fact or denials thereof, except for those tion and supporting data, any pleading
of which official notice may be taken, filed, or other matters which it may of-
shall be supported by affidavit of a per- ficially notice, that:
son or persons with personal knowledge (1) There are no substantial and ma-
thereof. Time for filing of oppositions terial questions of fact;
and replies is governed by § 1.45 of this (2) The applicant is legally, tech-
part for non-auctionable services and nically, financially, and otherwise
§ 1.2108 of this part for auctionable qualified;
services. (3) A grant of the application would
(g) Dismissal of petition. The Commis- not involve modification, revocation,
sion may dismiss any petition to deny or non-renewal of any other existing li-
that does not comply with the require- cense;
ments of this section if the issues (4) A grant of the application would
raised become moot, or if the peti- not preclude the grant of any mutually
tioner or his/her attorney fails to ap- exclusive application; and
pear at a settlement conference pursu- (5) A grant of the application would
ant to § 1.956 of this part. The reasons serve the public interest, convenience,
for the dismissal will be stated in the and necessity.
dismissal letter or order. When a peti- (d) Grant of petitioned applications.
tion to deny is dismissed, any related The FCC may grant, without a formal
responsive pleadings are also dismissed hearing, an application against which
(h) Grant of petitioned application. If a petition(s) to deny have been filed. If
petition to deny has been filed and the any petition(s) to deny are pending (i.e.
Commission grants the application, the have not been dismissed or withdrawn
Commission will dismiss or deny the by the petitioner) when an application
petition by issuing a concise statement is granted, the FCC will deny the peti-
of the reason(s) for dismissing or deny- tion(s) and issue a concise statement of
ing the petition, disposing of all sub- the reason(s) for the denial, disposing
stantive issues raised in the petition. of all substantive issues raised in the
[63 FR 68931, Dec. 14, 1998, as amended at 64 petitions.
FR 53240, Oct. 1, 1999] (e) Partial and conditional grants. The
FCC may grant applications in part,
§ 1.945 License grants. and/or subject to conditions other than
(a) License grants—auctionable license those normally applied to authoriza-
applications. Procedures for grant of li- tions of the same type. When the FCC
censes that are subject to competitive does this, it will inform the applicant
bidding under section 309(j) of the Com- of the reasons therefor. Such partial or
munications Act are set forth in conditional grants are final unless the
§§ 1.2108 and 1.2109 of this part. FCC revises its action in response to a
(b) License grants—non-auctionable li- petition for reconsideration. Such peti-
cense applications. No application that tions for reconsideration must be filed
235
§ 1.946 47 CFR Ch. I (10–1–02 Edition)
by the applicant within thirty days tween the date of grant of an author-
after the date of the letter or order ization and the date of required com-
stating the reasons for the partial or mencement of service or operations is
conditional grant, and must reject the referred to as the construction period.
partial or conditional grant and return (b) Coverage and substantial service re-
the instrument of authorization. quirements. In certain Wireless Radio
(f) Designation for hearing. If the Com- Services, licensees must comply with
mission is unable to make the findings geographic coverage requirements or
prescribed in subparagraph (c), it will substantial service requirements with-
formally designate the application for in a specified time period. These re-
hearing on the grounds or reasons then quirements are set forth in the rule
obtaining and will notify the applicant part governing each specific service.
and all other known parties in interest For purposes of this section, the period
of such action. between the date of grant of an author-
(1) Orders designating applications ization and the date that a particular
for hearing will specify with particu- degree of coverage or substantial serv-
larity the matters in issue. ice is required is referred to as the cov-
(2) Parties in interest, if any, who are erage period.
not notified by the Commission of its (c) Termination of authorizations. If a
action in designating a particular ap- licensee fails to commence service or
plication for hearing may acquire the operations by the expiration of its con-
status of a party to the proceeding by struction period or to meet its cov-
filing a petition for intervention show- erage or substantial service obligations
ing the basis of their interest not more by the expiration of its coverage pe-
than 30 days after publication in the riod, its authorization terminates
FEDERAL REGISTER of the hearing automatically, without specific Com-
issues or any substantial amendment mission action, on the date the con-
thereto. struction or coverage period expires.
(3) The applicant and all other par- (d) Licensee notification of compliance.
ties in interest shall be permitted to A licensee who commences service or
participate in any hearing subse- operations within the construction pe-
quently held upon such applications. riod or meets its coverage or substan-
Hearings may be conducted by the tial service obligations within the cov-
Commission or by the Chief of the erage period must notify the Commis-
Wireless Telecommunications Bureau, sion by filing FCC Form 601. The notifi-
or, in the case of a question which re- cation must be filed with the Commis-
quires oral testimony for its resolu- sion within 15 days of the expiration of
tion, an Administrative Law Judge. the applicable construction or coverage
The burden of proceeding with the in- period. Where the authorization is site-
troduction of evidence and burden of specific, if service or operations have
proof shall be upon the applicant, ex- begun using some, but not all, of the
cept that with respect to any issue pre- authorized transmitters, the notifica-
sented by a petition to deny or a petition must show to which specific trans-
tion to enlarge the issues, such burdens mitters it applies.
shall be as determined by the Commis- (e) Requests for extension of time. Li-
sion or the Chief of the Wireless Tele- censees may request to extend a con-
communications Bureau. struction period or coverage period by
[63 FR 68932, Dec. 14, 1998] filing FCC Form 601. The request must
be filed before the expiration of the
§ 1.946 Construction and coverage re- construction or coverage period.
quirements. (1) An extension request may be
(a) Construction and commencement of granted if the licensee shows that fail-
service requirements. For each of the ure to meet the construction or cov-
Wireless Radio Services, requirements erage deadline is due to involuntary
for construction and commencement of loss of site or other causes beyond its
service or commencement of oper- control.
ations are set forth in the rule part (2) Extension requests will not be
governing the specific service. For pur- granted for failure to meet a construc-
poses of this section, the period be- tion or coverage deadline due to delays
236
caused by a failure to obtain financing, (c) Multiple pending modification ap-

to obtain an antenna site, or to order plications requesting changes to the
equipment in a timely manner. If the same or related technical parameters
licensee orders equipment within 90 on an authorization are not permitted.
days of its initial license grant, a pre- If a modification application is pend-
sumption of diligence is established. ing, any additional changes to the
(3) Extension requests will not be same or related technical parameters
granted for failure to meet a construc- may be requested only in an amend-
tion or coverage deadline because the ment to the pending modification ap-
licensee undergoes a transfer of control plication.
or because the licensee intends to as- (d) Any proposed modification that
sign the authorization. The Commis- requires a fee as set forth at part 1,
sion will not grant extension requests subpart G, of this chapter must be filed
solely to allow a transferee or assignee in accordance with § 1.913.
to complete facilities that the trans- [63 FR 68933, Dec. 14, 1998, as amended at 64
feror or assignor failed to construct. FR 53240, Oct. 1, 1999]
(4) The filing of an extension request
does not automatically extend the con- § 1.948 Assignment of authorization or
struction or coverage period unless the transfer of control, notification of
request is based on involuntary loss of consummation.
site or other circumstances beyond the (a) General. Except as provided in this
licensee’s control, in which case the section, authorizations in the Wireless
construction period is automatically Radio Services may be assigned by the
extended pending disposition of the ex- licensee to another party, voluntarily
tension request. or involuntarily, directly or indirectly,
(5) A request for extension of time to or the control of a licensee holding
construct a particular transmitter or such authorizations may be trans-
other facility does not extend the conferred, only upon application to and ap-
struction period for other transmitters proval by the Commission.
and facilities under the same author- (b) Limitations on transfers and assign-
ization. ments. (1) A change from less than 50%
ownership to 50% or more ownership
[63 FR 68933, Dec. 14, 1998]
shall always be considered a transfer of
control.
§ 1.947 Modification of licenses.
(2) In other situations a controlling
(a) All major modifications, as de- interest shall be determined on a case-
fined in § 1.929 of this part, require by-case basis considering the distribu-
prior Commission approval. Applica- tion of ownership, and the relation-
tions for major modifications also shall ships of the owners, including family
be treated as new applications for de- relationships.
termination of filing date, Public No- (3) Designated Entities, as defined in
tice, and petition to deny purposes. § 1.2110(a) of this part, must comply
(b) Licensees may make minor modi- with §§ 1.2110 and 1.2111 of this part
fications to station authorizations, as when seeking to assign or transfer con-
defined in § 1.929 of this part (other trol of an authorization.
than pro forma transfers and assign- (4) Stations must meet all applicable
ments), as a matter of right without requirements regarding transfers and
prior Commission approval. Where assignments contained in the rules per-
other rule parts permit licensees to taining to the specific service in which
make permissive changes to technical the station is licensed.
parameters without notifying the Com- (5) Licenses, permits, and authoriza-
mission (e.g., adding, modifying, or de- tions for stations in the Amateur,
leting internal sites), no notification is Ship, Aircraft, Commercial Operator
required. For all other types of minor and Personal Radio Services (except
modifications (e.g., name, address, 218–219 MHz Service) may not be as-
point of contact changes), licensees signed or transferred, unless otherwise
must notify the Commission by filing stated.
FCC Form 601 within thirty (30) days of (c) Application required. In the case of
implementing any such changes. an assignment of authorization or
237
§ 1.948 47 CFR Ch. I (10–1–02 Edition)
transfer of control, the assignor must necessary updates of ownership infor-

file an application for approval of the mation on FCC Form 602.
assignment on FCC Form 603. If the as- (e) Partial assignment of authorization.
signee or transferee is subject to the If the authorization for some, but not
ownership reporting requirements of all, of the facilities of a radio station
§ 1.2112(a), the assignee or transferee in the Wireless Radio Services is as-
must also file an updated FCC Form 602 signed to another party, voluntarily or
or certify that a current FCC Form 602 involuntarily, such action is a partial
is on file. assignment of authorization. To re-
(1) In the case of a non-substantial quest Commission approval of a partial
(pro forma) transfer or assignment in- assignment of authorization, the as-
volving a telecommunications carrier,
signor must notify the Commission on
as defined in § 153(44) of the Commu-
FCC Form 603 of the facilities that will
nications Act, filing of the Form 603
and Commission approval in advance of be deleted from its authorization upon
the proposed transaction is not re- consummation of the assignment.
quired, provided that: (f) Partitioning and disaggregation.
(i) the affected license is not subject Where a licensee proposes to partition
to unjust enrichment provisions under or disaggregate a portion of its author-
subpart Q of this part; ization to another party, the applica-
(ii) the transfer or assignment does tion will be treated as a request for
not involve a proxy contest; and partial assignment of authorization.
(iii) the transferee or assignee pro- The assignor must notify the Commis-
vides notice of the transaction by filing sion on FCC Form 603 of the geographic
FCC Form 603 within 30 days of its area or spectrum that will be deleted
completion, and provides any necessary from its authorization upon con-
updates of ownership information on summation of the assignment.
FCC Form 602. (g) Involuntary transfer and assign-
(2) In the case of an involuntary as- ment. In the event of the death or legal
signment or transfer, FCC Form 603 disability of a permittee or licensee, a
must be filed no later than 30 days member of a partnership, or a person
after the event causing the involuntary directly or indirectly in control of a
assignment or transfer. corporation which is a permittee or li-
(d) Notification of consummation. In all censee, the Commission shall be noti-
Wireless Radio Services, licensees are fied promptly of the occurrence of such
required to notify the Commission of death or legal disability. Within 30
consummation of an approved transfer days after the occurrence of such death
or assignment using FCC Form 603. The
or legal disability (except in the case of
assignee or transferee is responsible for
a ship or amateur station), an applica-
providing this notification, including
the date the transaction was con- tion shall be filed for consent to invol-
summated. For transfers and assign- untary assignment of such permit or li-
ments that require prior Commission cense, or for involuntary transfer of
approval, the transaction must be con- control of such corporation, to a person
summated and notification provided to or entity legally qualified to succeed to
the Commission within 180 days of pub- the foregoing interests under the laws
lic notice of approval, and notification of the place having jurisdiction over
of consummation must occur no later the estate involved. The procedures
than 30 days after actual consumma- and forms to be used are the same pro-
tion, unless a request for an extension cedures and forms as those specified in
of time to consummate is filed on FCC paragraph (b) of this section. In the
Form 603 prior to the expiration of this case of Ship, aircraft, Commercial Op-
180-day period. For transfers and as- erator, Amateur, and Personal Radio
signments that do not require prior Services (except for 218–219 MHz Serv-
Commission approval, notification of ice) involuntary assignment of licenses
consummation must be provided on will not be granted; such licenses shall
FCC Form 603 no later than 30 days be surrendered for cancellation upon
after consummation, along with any
238
the death or legal disability of the li- (b) Licensees with multiple author-
censee. Amateur station call signs as- izations in the same service may re-
signed to the station of a deceased li- quest a common day and month on
censee shall be available for reassign- which such authorizations expire for
ment pursuant to § 97.19 of this chapter. renewal purposes. License terms may
(h) Disclosure requirements. Applicants be shortened by up to one year but will
for transfer or assignment of licenses not be extended to accommodate the
in auctionable services must comply applicant’s selection.
with the disclosure requirements of
[63 FR 68934, Dec. 14, 1998]
§§ 1.2111 and 1.2112 of this part.
(i) Trafficking. Applications for ap- § 1.951 Duty to respond to official com-
proval of assignment or transfer may munications.
be reviewed by the Commission to de-
termine if the transaction is for pur- Licensees or applicants in the Wire-
poses of trafficking in service author- less Radio Services receiving official
izations. notice of an apparent or actual viola-
(1) Trafficking consists of obtaining tion of a federal statute, international
or attempting to obtain an authoriza- agreement, Executive Order, or regula-
tion for the principal purpose of specu- tion pertaining to communications
lation or profitable resale of the au- shall respond in writing within 10 days
thorization rather than for the provi- to the office of the FCC originating the
sion of telecommunication services to notice, unless otherwise specified. Re-
the public or for the licensee’s own pri- sponses to official communications
vate use. must be complete and self-contained
(2) The Commission may require sub- without reference to other communica-
mission of an affirmative, factual tions unless copies of such other com-
showing, supported by affidavit of per- munications are attached to the re-
sons with personal knowledge thereof, sponse. Licensees or applicants may re-
to demonstrate that the assignor did spond via ULS.
not acquire the authorization for the [63 FR 68934, Dec. 14, 1998]
principal purpose of speculation or
profitable resale of the authorization. § 1.955 Termination of authorizations.
This showing may include, for example, (a) Authorizations in general remain
a demonstration that the proposed as- valid until terminated in accordance
signment is due to changed cir- with this section, except that the Com-
cumstances (described in detail) affect- mission may revoke an authorization
ing the licensee after the grant of the pursuant to section 312 of the Commu-
authorization, or that the proposed as- nications Act of 1934, as amended. See
signment is incidental to a sale of 47 U.S.C. 312.
other facilities or a merger of inter- (1) Expiration. Authorizations auto-
ests. matically terminate, without specific
[63 FR 68933, Dec. 14, 1998, as amended at 64 Commission action, on the expiration
FR 62120, Nov. 16, 1999] date specified therein, unless a timely
application for renewal is filed. See
§ 1.949 Application for renewal of li- § 1.949 of this part. No authorization
cense. granted under the provisions of this
(a) Applications for renewal of au- part shall be for a term longer than ten
thorizations in the Wireless Radio years.
Services must be filed no later than the (2) Failure to meet construction or cov-
expiration date of the authorization for erage requirements. Authorizations
which renewal is sought, and no sooner automatically terminate, without spe-
than 90 days prior to expiration. Re- cific Commission action, if the licensee
newal applications must be filed on the fails to meet applicable construction or
same form as applications for initial coverage requirements. See § 1.948(c) of
authorization in the same service, i.e., this part.
FCC Form 601 or 605. Additional re- (3) Service discontinued. Authoriza-
newal requirements applicable to spe- tions automatically terminate, with-
cific services are set forth in the sub- out specific Commission action, if serv-
parts governing those services. ice is permanently discontinued. The
239
§ 1.956 47 CFR Ch. I (10–1–02 Edition)
Commission authorization or the indi- (4) To encourage settlement of the

vidual service rules govern the defini- matters in controversy by agreement
tion of permanent discontinuance for between the parties; and
purposes of this section. A licensee who (5) To consider other matters that
discontinues operations shall notify may aid in the resolution of the con-
the Commission of the discontinuance tested proceeding.
of operations by submitting FCC Form (b) Conferences are scheduled by the
601 or 605 requesting license cancella- Commission at a time and place it may
tion. designate, to be conducted in person or
(b) Special temporary authority by telephone conference call.
(STA) automatically terminates with- (c) The failure of any party or attor-
out specific Commission action upon ney, following reasonable notice, to ap-
failure to comply with the terms and pear at a scheduled conference will be
conditions therein, or at the end of the deemed a failure to prosecute, sub-
period specified therein, unless a time- jecting that party’s application or peti-
ly request for an extension of the STA tion to dismissal by the Commission.
term is filed in accordance with § 1.931 [63 FR 68935, Dec. 14, 1998]
of this part. If a timely filed request
for extension of the STA term is dis- § 1.957 Procedure with respect to ama-
missed or denied, the STA automati- teur radio operator license.
cally terminates, without specific Each candidate for an amateur radio
Commission action, on the day after license which requires the applicant to
the applicant or the applicant’s attor- pass one or more examination elements
ney is notified of the Commission’s ac- must present the Volunteer Examiners
tion dismissing or denying the request (VEs) with a properly completed FCC
for extension. Form 605 prior to the examination.
(c) Authorizations submitted by li- Upon completion of the examination,
censees for cancellation terminate the VEs will grade the test papers. If
when the Commission gives Public No- the applicant is successful, the VEs
tice of such action. will forward the candidate’s applica-
[63 FR 68934, Dec. 14, 1998, as amended at 64 tion to a Volunteer-Examiner Coordi-
FR 53240, Oct. 1, 1999] nator (VEC). The VEs will then issue a
certificate for sucessful completion of
EDITORIAL NOTE: At 64 FR 53240, Oct. 1,
an amateur radio operator examina-
1999, § 1.955 was amended by revising the last
sentence of paragraph (b)(2) to read ‘‘See tion. The VEC will forward the applica-
§ 1.946(c) of this part.’’, effective Nov. 30, 1999. tion to the Commission’s Gettysburg,
However, paragraph (b)(2) does not exist in Pennsylvania, facility.
the 1998 volume. [63 FR 68935, Dec. 14, 1998]
§ 1.956 Settlement conferences. REPORTS TO BE FILED WITH THE
Parties are encouraged to use alter- COMMISSION
native dispute resolution procedures to
settle disputes. See subpart E of this § 1.981 Reports, annual and semi-
part. In any contested proceeding, the annual.
Commission, in its discretion, may di- (a) Licensees of stations authorized
rect the parties or their attorneys to for developmental operation shall sub-
appear before it for a conference. mit a report on the results of the devel-
(a) The purposes of such conferences opmental program. The report shall be
are: filed with and made a part of each ap-
(1) To obtain admissions of fact or plication for renewal of authorization.
stipulations between the parties as to The report shall be filed at the Com-
any or all of the matters in con- mission’s offices in Washington, DC or
troversy; alternatively may be sent to the com-
(2) To consider the necessity for or mission electronically via the ULS.
desirability of amendments to the (b) The report shall include com-
pleadings, or of additional pleadings or prehensive and detailed information on
evidentiary submissions; the following:
(3) To consider simplification or nar- (1) The final objective.
rowing of the issues; (2) Results of operation to date.
240
(3) Analysis of the results obtained. Subpart G—Schedule of Statutory

(4) Copies of any published reports. Charges and Procedures for
(5) Need for continuation of the pro- Payment
gram.
(6) Number of hours of operation on SOURCE: 52 FR 5289, Feb. 20, 1987, unless
each frequency. otherwise noted.
(c) Where required by the particular
service rules, licensees who have en- § 1.1101 Authority.
tered into agreements with other per- Authority to impose and collect
sons for the cooperative use of radio these charges is contained in title III,
station facilities must submit annually section 3001 of the Omnibus Budget
an audited financial statement reflect- Reconciliation Act of 1989 (Pub. L. 101–
ing the nonprofit cost-sharing nature 239), revising 47 U.S.C. 158, which di-
of the arrangement to the Commis- rects the Commission to prescribe
sion’s offices in Washington, DC or al- charges for certain of the regulatory
ternatively may be sent to the Com- services it provides to many of the
mission electronically via the ULS, no communications entities within its ju-
later than three months after the close risdiction. This law revises section 8 of
of the licensee’s fiscal year. the Communications Act of 1934, as
amended, which contains a Schedule of
[63 FR 68935, Dec. 14, 1998] Charges as well as procedures for modi-
fying and collecting these charges.
[55 FR 19155, May 8, 1990]
§ 1.1102 Schedule of charges for applications and other filings in the wireless
telecommunications services.
[Those services designated with an asterisk in the payment type code column have associated regulatory fees that must be paid
at the same time the application fee is paid. Please refer to §1.1152 for the appropriate regulatory fee that must be paid for
this service.]
Fee Payment
Action FCC Form No. Address
amount type code
1. Marine Coast:.
a. New; Renewal ................... 503 & 159 ...... $95.00 PBMR* Federal Communications Commission, Wireless
Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
b. Modification; Public Coast 503 & 159 ...... 95.00 PBMM Federal Communications Commission, Wireless
CMRS; Non-Profit. Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
c. Assignment of Authoriza- 503, 1046 & 95.00 PBMM Federal Communications Commission, Wireless
tion. 159. Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
d. Transfer of Control ............ 703 & 159 ...... 50.00 PATM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
e. Duplicate License ............. Corres & 159 50.00 PADM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
f. Special Temporary Author- Corres & 159 135.00 PCMM Federal Communications Commission, Wireless
ity. Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
g. Renewal ............................ 452R & 159 ... 95.00 PBMR* Federal Communications Commission, Wireless
burgh, PA 15251–5270.
h. Renewal (Electronic Filing) 900 & 159 ...... 95.00 PBMR* Federal Communications Commission, Wireless
Bureau ELT, P.O. Box 358994, Pittsburgh, PA
15251–5994.
i. Renewal (Non-Profit; 452R & 159 ... 95.00 PBMM Federal Communications Commission, Wireless
CMRS). Bureau Applications, P.O. Box 358270, Pitts-
burgh, PA 15251–5130.
j. Renewal (Electronic Filing) 900 & 159 ...... 95.00 PBMM Federal Communications Commission, Wireless
(Non-Profit; CMRS). Bureau ELT, P.O. Box 358994, Pittsburgh, PA
15251–5994.
241
§ 1.1102 47 CFR Ch. I (10–1–02 Edition)
this service.]
Fee Payment
amount type code
k. Rule Waiver ...................... Corres & 159 145.00 PDWM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
2. Aviation Ground:
a. New; Renewal ................... 406 & 159 ...... 95.00 PBVR* Federal Communications Commission, Wireless
burgh, PA 15251–5130.
b. Modification; Nonprofit ...... 406 & 159 ...... 95.00 PBVM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
c. Assignment of Authoriza- 406, 1046 & 95.00 PBVM Federal Communications Commission, Wireless
tion. 159. Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
d. Transfer of Control ............ 703 & 159 ...... 50.00 PATM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
e. Duplicate License ............. Corres & 159 $50.00 PADM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
f. Special Temporary Author- Corres & 159 135.00 PCVM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
g. Renewal ............................ 452R & 159 ... 95.00 PBVR* Federal Communications Commission, Wireless
burgh, PA 15251–5270.
h. Renewal (Electronic Filing) 900 & 159 ...... 95.00 PBVR* Federal Communications Commission, Wireless
15251–5994.
i. Renewal (Non-Profit) ......... 452R & 159 ... 95.00 PBVM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
j. Renewal (Electronic Filing) 900 & 159 ...... 95.00 PBVM Federal Communications Commission, Wireless
(Non-Profit). Bureau ELT, P.O. Box 358994, Pittsburgh, PA
15251–5994.
k. Rule Waiver ...................... Corres & 159 145.00 PDWM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
3. Ship:
a. New; Renewal ................... 506 & 159 ...... 50.00 PASR* Federal Communications Commission, Wireless
burgh, PA 15251–5130.
b. Modification; Non-Profit .... 506 & 159 ...... 50.00 PASM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
c. Duplicate License .............. Corres & 159 50.00 PADM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
d. Exemption from Ship Sta- 820 & 159 ...... 145.00 PDWM Federal Communications Commission, Wireless
tion Requirements. Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
e. Rule Waiver ...................... Corres & 159 145.00 PDWM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
4. Aircraft:
a. New; Renew/Mod ............. 605 & 159 ...... 50.00 PAAR* Federal Communications Commission, Wireless
burgh, PA 15251–5130.
b. New; Renew/Mod 605 & 159 ...... 50.00 PAAR* Federal Communications Commission, Wireless
(Electronic Filing). Bureau ELT, P.O. Box 358994, Pittsburgh, PA
15251–5994.
c. Modification; Non-Profit ..... 605 & 159 ...... 50.00 PAAM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
d. Modification; Non-Profit 605 & 159 ...... 50.00 PAAM Federal Communications Commission, Wireless
15251–5994.
e. Renewal ............................ 605 & 159 ...... 50.00 PAAR* Federal Communications Commission, Wireless
burgh, PA 15251–5245.
242
this service.]
Fee Payment
amount type code
f. Renewal (Electronic Filing) 605 & 159 ...... 50.00 PAAR* Federal Communications Commission, Wireless
15251–5994.
g. Renewal (Non-Profit) ........ 605 & 159 ...... 50.00 PAAM Federal Communications Commission, Wireless
burgh, PA 15251–5245.
h. Renewal (Non-Profit) 605 & 159 ...... 50.00 PAAM Federal Communications Commission, Wireless
15251–5994.
i. Duplicate License ............... 605 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
j. Duplicate License 605 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
15251–5994.
k. Rule Waiver ...................... 605 & 159 ...... 145.00 PDWM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
l. Rule Waiver (Electronic Fil- 605 & 159 ...... 145.00 PDWM Federal Communications Commission, Wireless
ing). Bureau ELT, P.O. Box 358994, Pittsburgh, PA
15251–5994.
5. Private Operational Fixed
Microwave:
a. New; Renew/Mod ............. 601 & 159 ...... 210.00 PEOR* Federal Communications Commission, Wireless
burgh, PA 15251–5130.
b. New; Renew/Mod 601 &159 ....... 210.00 PEOR* Federal Communications Commission, Wireless
15251–5994.
c. Modification; Consolidate 601 & 159 ...... 210.00 PEOM Federal Communications Commission, Wireless
Call Signs; Non-Profit. Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
d. Modification; Consolidate 601 & 159 ...... 210.00 PEOM Federal Communications Commission, Wireless
Call Signs; Non-Profit Elec- Bureau ELT, P.O. Box 358994, Pittsburgh, PA
tronic Filing. 15251–5994.
e. Renewal ............................ 601 & 159 ...... 210.00 PEOR* Federal Communications Commission, Wireless
burgh, PA 15251–5245.
f. Renewal (Electronic Filing) 601 & 159 ...... 210.00 PEOR* Federal Communications Commission, Wireless
15251–5994.
g. Renewal (Non-Profit) ........ 601 & 159 ...... 210.00 PEOM Federal Communications Commission, Wireless
burgh, PA 15251–5245.
h. Renewal (Non-Profit) 601 & 159 ...... 210.00 PEOM Federal Communications Commission, Wireless
15251–5994.
i. Assignment ........................ 603 & 159 ...... 210.00 PEOM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
j. Assignment (Electronic Fil- 603 & 159 ...... 210.00 PEOM Federal Communications Commission, Wireless
15251–5994.
k. Transfer of Control ............ 603 & 159 ...... 50.00 PATM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
l. Transfer of Control 603 & 159 ...... 50.00 PATM Federal Communications Commission, Wireless
15251–5994.
m. Duplicate License ............ 601 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
n. Duplicate License 601 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
15251–5185.
o. Special Temporary Author- 601 & 159 ...... 50.00 PAOM Federal Communications Commission, Wireless
burgh, PA 15251–5185.
243
§ 1.1102 47 CFR Ch. I (10–1–02 Edition)
this service.]
Fee Payment
amount type code
p. Special Temporary Author- 601 & 159 ...... 50.00 PAOM Federal Communications Commission, Wireless
ity (Electronic Filing). Bureau ELT, P.O. Box 358994, Pittsburgh, PA
15251–5185.
q. Rule Waiver ...................... 601 & 159 ...... 145.00 PDWM Federal Communications Commission, Wireless
burgh, PA 15251–5185.
r. Rule Waiver (Electronic Fil- 601 & 159 ...... 145.00 PDWM Federal Communications Commission, Wireless
15251–5185.
6. Land Mobile, PMRS:
a. New or Renew/Mod 601 & 159 ...... 50.00 PALR* Federal Communications Commission, Wireless
(Frequencies below 470 Bureau Applications, P.O. Box 358130, Pitts-
MHz (except 220 MHz)). burgh, PA 15251–5185.
b. New or Renew/Mod 601 & 159 ...... 50.00 PALR* Federal Communications Commission, Wireless
(Frequencies below 470 Bureau ELT, P.O. Box 358994, Pittsburgh, PA
MHz (except 220 MHz)) 15251–5185.
(Electronic Filing).
c. New or Renew/Mod 601 & 159 ...... 50.00 PALS* Federal Communications Commission, Wireless
(Frequencies 470 MHz and Bureau Applications, P.O. Box 358130, Pitts-
above and 220 MHz Local). burgh, PA 15251–5185.
d. New or Renew/Mod 601 & 159 ...... 50.00 PALS* Federal Communications Commission, Wireless
(Frequencies 470 MHz and Bureau ELT, P.O. Box 358994, Pittsburgh, PA
above and 220 MHz Local) 15251–5185.
(Electronic Filing).
e. New or Renew/Mod (220 601 & 159 ...... 50.00 PALT* Federal Communications Commission, Wireless
MHz Nationwide. Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5185.
f.New or Renew/Mod (220 601 & 159 ...... 50.00 PALT* Federal Communications Commission, Wireless
MHz Nationwide) Bureau ELT, P.O. Box 358994, Pittsburgh, PA
(Electronic Filing). 15251–5185.
g. Modification; Non-Profit; 601 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
For Profit Special Emer- Bureau Applications, P.O. Box 358130, Pitts-
gency and Public Safety; burgh, PA 15251–5185.
and CMRS.
h. Modification; Non-Profit; 601 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
For Profit Special Emer- Bureau ELT, P.O. Box 358994, Pittsburgh, PA
gency and Public Safety; 15251–5185.
and CMRS (Electronic Fil-
ing).
i. Renewal ............................. 601 & 159 ...... 50.00 PALR* Federal Communications Commission, Wireless
PALS* Bureau Applications, P.O. Box 358245, Pitts-
PALT* burgh, PA 15251–5185.
j. Renewal (Electronic Filing) 601 & 159 ...... 50.00 PALR* Federal Communications Commission, Wireless
PALS* Bureau ELT, P.O. Box 358994, Pittsburgh, PA
PALT* 15251–5185.
k. Renewal (Non-Profit; 601 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
CMRS; For-Profit Special Bureau Applications, P.O. Box 358130, Pitts-
Emergency and Public burgh, PA 15251–5185.
Safety).
l. Renewal (Non-Profit; 601 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
CMRS; For-Profit Special Bureau ELT, P.O. Box 358994, Pittsburgh, PA
Emergency and Public 15251–5185.
Safety (Electronic Filing).
m. Assignment of Authoriza- 603 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
tion (PMRS and CMRS). Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5185.
n. Assignment of Authoriza- 603 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
tion (PMRS and CMRS) Bureau ELT, P.O. Box 358994, Pittsburgh, PA
o. Transfer of Control (PMRS 603 & 159 ...... 50.00 PATM Federal Communications Commission, Wireless
and CMRS). Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
p. Transfer of Control (PMRS 603 & 159 ...... 50.00 PATM Federal Communications Commission, Wireless
and CMRS) (Electronic Fil- Bureau ELT, P.O. Box 358994, Pittsburgh, PA
ing). 15251–5994.
q. Duplicate License ............. 601 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
Bureau Applications P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
244
this service.]
Fee Payment
amount type code
r. Duplicate License 601 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
15251–5994.
s. Special Temporary Author- 601 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
t. Special Temporary Author- 601 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
ity (Electronic Filing). Bureau ELT, P.O. Box 358994 Pittsburgh, PA
15251–594.
u. Rule Waiver ...................... 601 & 159 ...... 145.00 PDWM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
v. Rule Waiver (Electronic 601 & 159 ...... 145.00 PDWM Federal Communications Commission, Wireless
Filing). Bureau ELT, P.O. Box 358994, Pittsburgh, PA
15251–5994.
w. Consolidate Call Signs ..... 601 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
x. Consolidate Call Signs 601 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
15251–5994.
7. 218–219 MHz (previously
IVDS):
a. New; Renew/Mod ............. 601 & 159 ...... 50.00 PAIR* Federal Communications Commission, Wireless
burgh, PA 15251–5130.
b. New; Renew/Mod 601 & 159 ...... 50.00 PAIR* Federal Communications Commission, Wireless
(Electronic Filing). Bureau ELT, P.O. Box 358994 Pittsburgh, PA
15251–5994.
c. Modification ....................... 601 & 159 ...... 50.00 PAIM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
d. Modification (Electronic Fil- 601 & 159 ...... 50.00 PAIM Federal Communications Commission, Wireless
15251–5994.
e. Renewal ............................ 601 & 159 ...... 50.00 PAIR* Federal Communications Commission, Wireless
burgh, PA 15251–5245.
f. Renewal (Electronic Filing) 601 & 159 ...... 50.00 PAIR* Federal Communications Commission, Wireless
15251–5994.
g. Assignment of Authoriza- 603 & 159 ...... 50.00 PAIM Federal Communications Commission, Wireless
tion. Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
h. Assignment of Authoriza- 603 & 159 ...... 50.00 PAIM Federal Communications Commission, Wireless
tion (Electronic Filing). Bureau ELT, P.O. Box 358994, Pittsburgh, PA
15251–5994.
i. Transfer of Control ............. 603 & 159 ...... 50.00 PATM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
j. Transfer of Control 603 & 159 ...... 50.00 PATM Federal Communications Commission, Wireless
15251–5994.
k. Duplicate License .............. 601 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
l. Duplicate License 601 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
15251–5994.
m. Special Temporary Au- 601 & 159 ...... 50.00 PAIM Federal Communications Commission, Wireless
thority. Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
n. Special Temporary Author- 601 & 159 ...... 50.00 PAIM Federal Communications Commission, Wireless
15251–5994.
8. General Mobile Radio (GMRS)
a. New; Renew/Mod ............. 605 & 159 ...... 50.00 PALR* Federal Communications Commission, Wireless
burgh, PA 15251–5130.
245
§ 1.1102 47 CFR Ch. I (10–1–02 Edition)
this service.]
Fee Payment
amount type code
b. New; Renew/Mod 605 & 159 ...... 50.00 PALR* Federal Communications Commission, Wireless
15251–5994.
c. Modification ....................... 605 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
d. Modification (Electronic Fil- 605 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
15251–5994.
e. Renewal ............................ 605 & 159 ...... 50.00 PALR* Federal Communications Commission, Wireless
burgh, PA 15251–5245.
f. Renewal (Electronic Filing) 605 & 159 ...... 50.00 PALR* Federal Communications Commission, Wireless
15251–5994.
g. Duplicate License ............. 605 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
h. Duplicate License 605 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
15251–5994.
i. Special Temporary Author- 605 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
j. Special Temporary Author- 605 & 159 ...... 50.00 PALM Federal Communications Commission, Wireless
15251–5994.
k. Rule Waiver ...................... 605 & 159 ...... 145.00 PDWM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
l. Rule Waiver (Electronic Fil- 605 & 159 ...... 145.00 PDWM Federal Communications Commission, Wireless
15251–5994.
9. Restricted Radiotelephone:
a. New (Lifetime Permit) ....... 753 & 159 ...... 50.00 PARR Federal Communications Commission, Wireless
burgh, PA 15251–5130.
New—Limited Use ................ 755 & 159.
b. Duplicate/Replacement 753 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
Permit. Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
Duplicate/Replacement Per- 755 & 159.
mit (Limited Use).
10. Commercial Radio Operator:
a. Renewal ............................ 756 & 159 ...... 50.00 PACS Federal Communications Commission, Wireless
burgh, PA 15251–5130.
b. Duplicate ........................... 756 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
11. Hearing ................................... Corres & 159 9,020.00 PFHM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
12. Common Carrier Microwave
(Pt. To Pt. & Local TV Trans):
a. New; Renew/Mod 601 & 159 ...... 210.00 CJPR* Federal Communications Commission, Wireless
(Electronic Filing Required). Bureau ELT, P.O. Box 358994, Pittsburgh, PA
15251–5994.
b. Modification; Consolidate 601 & 159 ...... 210.00 CJPM Federal Communications Commission, Wireless
Call Signs (Electronic Fil- Bureau ELT, P.O. Box 358994, Pittsburgh, PA
ing Required). 15251–5994.
c. Renewal (Electronic Filing 601 & 159 ...... 210.00 CJPR* Federal Communications Commission, Wireless
Required). Bureau ELT, P.O. Box 358994, Pittsburgh, PA
15251–5994.
d. Assignment of Authoriza- 603 & 159 ...... 75.00 CCPM Federal Communications Commission, Wireless
tion; Transfer of Control. Bureau ELT, P.O. Box 358994, Pittsburgh, PA
15251–5994.
Additional Stations ........................ 50.00 CAPM
(Electronic Filing Required).
246
this service.]
Fee Payment
amount type code
e. Duplicate License 601 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
(Electronic Filing Required). Bureau ETL, P.O. Box 358994, Pittsburgh, PA
15251–5994.
f. Extension of Construction 601 & 159 ...... 75.00 CCPM Federal Communications Commission, Wireless
Authority (Electronic Filing Bureau ETL, P.O. Box 358994, Pittsburgh, PA
Required). 15251–5994.
g. Special Temporary Author- 601 & 159 ...... 95.00 CEPM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
h. Special Temporary Author- 601 & 159 ...... 95.00 CEPM Federal Communications Commission, Wireless
ity (Electronic Filing ). Bureau ETL, P.O. Box 358994, Pittsburgh, PA
15251–5994.
13. Common Carrier Microwave
(DEMS):
a. New; Renewal/Mod 601 & 159 ...... 210.00 CJLR* Federal Communications Commission, Wireless
(Electronic Filing Required). Bureau ELT, P.O. Box 358994, Pittsburgh, PA
15251–5994.
b. Modification; Consolidate 601 & 159 ...... 210.00 CJLM Federal Communications Commission, Wireless
Call Signs (Electronic Fil- Bureau ETL, P.O. Box 358994, Pittsburgh, PA
c. Renewal (Electronic Filing 601 & 159 ...... 210.00 CJLR* Federal Communications Commission, Wireless
Required). Bureau ETL, P.O. Box 358994, Pittsburgh, PA
15251–5994.
d. Assignment of Authoriza- 603 & 159 ...... 75.00 CCLM Federal Communications Commission, Wireless
tion; Transfer of Control. Bureau ETL, P.O. Box 358994, Pittsburgh, PA
15251–5994.
Additional Stations ........................ 50.00 CALM
e. Duplicate License 601 & 159 ...... 50.00 PADM Federal Communications Commission, Wireless
(Electronic Filing Required). Bureau ETL, P.O. Box 358994, Pittsburgh, PA
15251–5994.
f. Extension of Construction 601 & 159 ...... 75.00 CCLM Federal Communications Commission, Wireless
Authority (Electronic Filing Bureau ETL, P.O. Box 358994, Pittsburgh, PA
Required). 15251–5994.
g. Special Temporary Author- 601 & 159 ...... 95.00 CELM Federal Communications Commission, Wireless
burgh, PA 15251–5130.
h. Special Temporary Author- 601 & 159 ...... 95.00 CELM Federal Communications Commission, Wireless
ity (Electronic Filing). Bureau ETL, P.O. Box 358994, Pittsburgh, PA
15251–5994.
14. Broadcast Auxiliary (Aural
and TV Microwave):
a. New; Modification; Renew/ 601 & 159 ...... 115.00 MEA Federal Communications Commission, Wireless
Mod. Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
b. New; Modification; Renew/ 601 & 159 ...... 115.00 MEA Federal Communications Commission, Wireless
Mod (Electronic Filing). Bureau ETL, P.O. Box 358994, Pittsburgh, PA
15251–5994.
c. Special Temporary Author- 601 & 159 ...... 135.00 MGA Federal Communications Commission, Wireless
burgh, PA 15251–5130.
d. Special Temporary Author- 601 & 159 ...... 135.00 MGA Federal Communications Commission, Wireless
15251–5994.
e. Renewal ............................ 601 & 159 ...... 50.00 MAA Federal Communications Commission, Wireless
burgh, PA 15251–5245
f. Renewal (Electronic Filing) 601 & 159 ...... 50.00 MAA Federal Communications Commission, Wireless
Bureau ETL, P.O. Box 358994, Pittsburgh, PA
15251–5994.
15. Broadcast Auxiliary (Remote
and Low Power):
a. New; Modification; Renew/ 601 & 159 ...... 115.00 MEA Federal Communications Commission, Wireless
Mod. Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
b. New; Modification; Renew/ 601 & 159 ...... 115.00 MEA Federal Communications Commission, Wireless
Mod (Electronic Filing). Bureau ETL, P.O. Box 358994, Pittsburgh, PA
15251–5994.
247
§ 1.1102 47 CFR Ch. I (10–1–02 Edition)
this service.]
Fee Payment
amount type code
c. Renewal ............................ 601 & 159 ...... 50.00 MAA Federal Communications Commission, Wireless
burgh, PA 15251–5130.
d. Renewal (Electronic Filing) 601 & 159 ...... 50.00 MAA Federal Communications Commission, Wireless
Bureau ETL, P.O. Box 358994, Pittsburgh, PA
15251–5994.
e. Special Temporary Author- 601 & 159 ...... 135.00 MGA Federal Communications Commission, Wireless
burgh, PA 15251–5130.
f. Special Temporary Author- 601 & 159 ...... 135.00 MGA Federal Communications Commission, Wireless
15251–5994.
16. Pt 22 Paging & Radio-
telephone:
a. New; Major Mod; Addi- 601 & 159 ...... 310.00 CMD Federal Communications Commission, Wireless
tional Facility; Major Bureau ETL, P.O. Box 358994, Pittsburgh, PA
Amendment; Major Re- 15251–5994.
newal/Mod; Fill in Trans-
mitter (Per transmitter)
(Electronic filing required).
b. Minor Mod; Renewal; 601 & 159 ...... 50.00 CAD Federal Communications Commission, Wireless
Minor Renewal/Mod; (Per Bureau ELT, P.O. Box 358994, Pittsburgh, PA
Call Sign) 900 MHz Na- 15251–5185.
tionwide Renewal New
Organ; New Operator (Per
Operator/Per City) Notice
of Completion of Construc-
tion or Extension of Time
to Construct (Per Applica-
tion) (Electronic filing re-
quired).
c. Auxiliary Test (Per Trans- 601 & 159 ...... 270.00 CLD Federal Communications Commission, Wireless
mitter); Consolidate Calls Bureau ELT, P.O. Box 358994, Pittsburgh, PA
(Per Call Sign) (Electronic 15251–5185.
Filing Required).
d. Special Temporary Author- 601 & 159 ...... 270.00 CLD Federal Communications Commission, Wireless
ity (Per Location/Per Fre- Bureau Applications, P.O. Box 358130, Pitts-
quency). burgh, PA 15251–5185.
e. Special Temporary Author- 601 & 159 ...... 270.00 CLD Federal Communications Commission, Wireless
ity (Per Location/Per Fre- Bureau ELT, P.O. Box 358994, Pittsburgh, PA
quency) (Electronic Filing). 15251–5185.
f. Assignment of License or 603 & 159 ...... 310.00 CMD Federal Communications Commission, Wireless
Transfer of Control (Full or 50.00 CAD Bureau ELT, P.O. Box 358994, Pittsburgh, PA
Partial) (Per Call Sign);. 15251–5185.
Additional Call Signs (Per
Call Sign) (Electronic Filing
Required).
g. Subsidiary Comm Service 601 & 159 ...... 135.00 CFD Federal Communications Commission, Wireless
(Per Request) (Electronic Bureau ELT, P.O. Box 358994, Pittsburgh, PA
Filing Required). 15251–5994.
h. Air Ground Individual Initial 409 & 159 ...... 50.00 CAD Federal Communications Commission, Wireless
License; Mod; Renewal Bureau Applications, P.O. Box 358130, Pitts-
(Per Station). burgh, PA 15251–5130.
.
17. Cellular;
a. New; Major Mod; Addi- 601 & 159 ...... 310.00 CMC Federal Communications Commission, Wireless
tional Facility; Major Re- Bureau ELT, P.O. Box 358994, Pittsburgh, PA
newal/Mod (Electronic Fil- 15251–5994.
ing Required).
b. Minor Modification; Minor 601 & 159 ...... 85.00 CDC Federal Communications Commission, Wireless
Renewal/Mod (Electronic Bureau ELT, P.O. Box 358994, Pittsburgh, PA
c. Assignment of License or 603 & 159 ...... 310.00 CMC Federal Communications Commission, Wireless
Transfer of Control (Full or Bureau ELT, P.O. Box 358994, Pittsburgh, PA
Partial (Electronic Filing 15251–5994.
Required).
248
this service.]
Fee Payment
amount type code
d. Notice of Extension of 601 & 159 ...... 50.00 CAC Federal Communications Commission, Wireless
Time to Complete Con- Bureau ELT, P.O. Box 358994, Pittsburgh, PA
struction; Renewal 15251–5185.
e. Special Temporary Author- 601 & 159 ...... 270.00 CLC Federal Communications Commission, Wireless
burgh, PA 15251–5130.
f. Special Temporary Author- 601 & 159 ...... 270.00 CLC Federal Communications Commission, Wireless
15251–5994.
g. Combining Cellular Geo- 601 & 159 ...... 70.00 CBC Federal Communications Commission, Wireless
graphic Areas (Electronic Bureau ELT, P.O. Box 358994, Pittsburgh, PA
18. Rural Radio:
a. New; Major Renew/Mod; 601 & 159 ...... 145.00 CGRR Federal Communications Commission, Wireless
Additional Facility (Per Bureau ELT, P.O. Box 358994, Pittsburgh, PA
Transmitter) (Electronic Fil- 15251–5185.
ing Required).
b. Major Mod; Major Amend- 601 & 159 ...... 145.00 CGRM Federal Communications Commission, Wireless
ment (Per Transmitter) Bureau ELT, P.O. Box 358994, Pittsburgh, PA
(Electronic Filing Required). 15251–5185.
c. Minor Modification; (Per 601 & 159 ...... 50.00 CARM Federal Communications Commission, Wireless
Transmitter) (Electronic Fil- Bureau ELT, P.O. Box 358994, Pittsburgh, PA
d. Assignment of License or 603 & 159 ...... $145.00 CGRM Federal Communications Commission, Wireless
Partial) (Per Call Sign);. 15251–5994.
Additional Calls (Per Call ........................ 50.00 CARM
Sign) (Electronic Filing Re-
quired).
e. Renewal (Per Call Sign); 601 & 159 ...... 50.00 CARR* Federal Communications Commission, Wireless
Minor Renew/Mod (Per Bureau ELT, P.O. Box 358994, Pittsburgh, PA
Transmitter) (Electronic Fil- 15251–5994.
ing Required).
f. Notice of Completion of 601 & 159 ...... 50.00 CARM Federal Communications Commission, Wireless
Construction or Extension Bureau ELT, P.O. Box 358994, Pittsburgh, PA
of Time to Construct (Per 15251–5994.
Application) (Electronic Fil-
ing Required).
g. Special Temporary Author- 601 & 159 ...... 270.00 CLRM Federal Communications Commission, Wireless
ity (Per Transmitter). Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
h. Special Temporary Author- 601 & 159 ...... 270.00 CLRM Federal Communications Commission, Wireless
ity (Per Transmitter) Bureau ELT, P.O. Box 358994, Pittsburgh, PA
(Electronic Filing Required). 15251–5994.
i. Combining Call Signs (Per 601 & 159 ...... 270.00 CLRM Federal Communications Commission, Wireless
Call Sign) (Electronic Filing Bureau ELT, P.O. Box 358994, Pittsburgh, PA
Required). 15251–5994.
j. Auxiliary Test Station (Per 601 & 159 ...... 270.00 CLRM Federal Communications Commission, Wireless
Transmitter) (Electronic Fil- Bureau ELT, P.O. Box 358994, Pittsburgh, PA
19. Offshore Radio:
a. New; Major Mod; Addi- 601 & 159 ...... 145.00 CGF Federal Communications Commission, Wireless
tional Facility; Major Bureau ELT, P.O. Box 358994, Pittsburgh, PA
Amendment; Major Renew/ 15251–5994.
Mod; Fill in Transmitters
(Per Transmitter)
b. Consolidate Call Signs 601 & 159 ...... 270.00 CLF Federal Communications Commission, Wireless
(Per Call Sign); Auxiliary Bureau ELT, P.O. Box 358994, Pittsburgh, PA
Test (Per Transmitter) 15251–5994.
249
§ 1.1103 47 CFR Ch. I (10–1–02 Edition)
this service.]
Fee Payment
amount type code
c. Minor Modification (Per 601 & 159 ...... 50.00 CAF Federal Communications Commission, Wireless
Transmitter) Notice of Bureau ELT, P.O. Box 358994, Pittsburgh, PA
Completion of Construction 15251–5994.
or Extension of Time to
Construct (Per Applica-
tion); Renewal (Per Call
Sign) (Electronic Filing Re-
quired).
d. Assignment of License or 603 & 159 ...... 145.00 CGF Federal Communications Commission, Wireless
Partial). 15251–5994.
e. Special Temporary Author- 601 & 159 ...... 270.00 CLF Federal Communications Commission, Wireless
ity (Per Transmitter). Bureau Applications, P.O. Box 358130, Pitts-
burgh, PA 15251–5130.
f. Special Temporary Author- 601 & 159 ...... 270.00 CLF Federal Communications Commission, Wireless
ity (Per Transmitter) Bureau ELT, P.O. Box 358994, Pittsburgh, PA
20. Billing ...................................... Invoice ........... Various Various Federal Communications Commission, Wireless
Telecommunications Bureau, P.O. Box
358325, Pittsburgh, PA 15251–5325.
[65 FR 49742, Aug. 15, 2000]
§ 1.1103 Schedule of charges for equipment approval, experimental radio services,

and international telecommunications settlements.
Fee Payment
amount type code
1. Certification:
a. Receivers (except TV & Electronic 731 $385.00 EEC Federal Communications Commission, Equip-
FM). & Electronic ment Approval Services P.O. Box 358315,
or Paper Pittsburgh, PA 15251–5315.
159.
b. Devices Under Parts 11, Electronic 731 985.00 EGC Federal Communications Commission, Equip-
15 & 18 (except TV and & Electronic ment Approval Services, P.O. Box 358315,
FM). or Paper Pittsburgh, PA 15251–5315.
159.
c. All Other Devices .............. Electronic 731 495.00 EFT Federal Communications Commission, Equip-
& Electronic ment Approval Services, P.O. Box 358315,
159.
d. Modifications and Class II Electronic 731 50.00 EAC Federal Communications Commission, Equip-
Permissive Changes. & Electronic ment Approval Services, P.O. Box 358315,
159.
e. Request for Confidentiality Electronic 731 145.00 EBC Federal Communications Commission, Equip-
& Electronic ment Approval Services, P.O. Box 358315,
159.
f. Class III permissive Electronic 731 495 ECC Federal Communications Commission, Equip-
changes. & Electronic ment Approval Services, P.O. Box 358315,
159.
2. Advance Approval of Subscrip- Electronic 3,010.00 EIS Federal Communications Commission, Equip-
tion TV Systems. Corres & ment Approval Services, P.O. Box 358315,
Electronic or Pittsburgh, PA 15251–5315.
Paper 159.
a. Request for Confidentiality Electronic 145.00 EBS Federal Communications Commission, Equip-
Corres & ment Approval Services, P.O. Box 358315,
Electronic or Pittsburgh, PA 15251–5315.
Paper 159.
3. Assignment of Grantee Code:
a. New Applicants for all Ap- Electronic 50.00 EAG Federal Communications Commission, Equip-
plication Types, except Corres & ment Approval Services, P.O. Box 358315,
Subscription TV. Electronic or Pittsburgh, PA 15251–5315.
Paper 159.
250
Fee Payment
amount type code
4. Experimental Radio Service:

a. New Station Authorization 442 & 159 ...... 50.00 EAE Federal Communications Commission, Equip-
ment Radio Services, P.O. Box 358320, Pitts-
burgh, PA 15251–5320.
b. Modification of Authoriza- 442 & 159 ...... 50.00 EAE Federal Communications Commission, Equip-
tion. ment Radio Services, P.O. Box 358320, Pitts-
burgh, PA 15251–5320.
c. Renewal of Station Author- 442 & 159 ...... 50.00 EAE Federal Communications Commission, Equip-
ization. ment Radio Services, P.O. Box 358320, Pitts-
burgh, PA 15251–5320.
d. Assignment of Transfer of 702 & 159 or 50.00 EAE Federal Communications Commission, Equip-
Control. 703 & 159. ment Radio Services, P.O. Box 358320, Pitts-
burgh, PA 15251–5320.
e. Special Temporary Author- Corres & 159 50.00 EAE Federal Communications Commission, Equip-
ity Requirements. ment Radio Services, P.O. Box 358320, Pitts-
burgh, PA 15251–5320.
f. Additional fee required for Corres & 159 50.00 EAE Federal Communications Commission, Equip-
any of the above applica- ment Radiol Services, P.O. Box 358320, Pitts-
tions that request with- burgh, PA 15251–5320.
holding from public inspec-
tion.
5. International Telecommuncia- Form 99 ......... 2.00 IAT Federal Communications Commission, Inter-
tions. national Telecommunications Settlements,
P.O. Box 358001, Pittsburgh, PA 15251–5001.
[65 FR 49751, Aug. 15, 2000, as amended at 66 FR 50840, Oct. 5, 2001]
§ 1.1104 Schedule of charges for applications and other filings for the Mass Media
Services.
[Those services designated with an asterisk in the Payment Type Code column accepts multiples if filing in the same post office
box.]
Fee Payment
amount type code
1. Commercial Television Sta- 301 & 159 or $3,385.00 MVT Federal Communications Commission, Mass
tions: 301–CA & Media Services, P.O. Box 358165 Pittsburgh,
159. PA 15251–5165.
a. New and Major Change
Construction Permits.
b. Minor Change (per appli- 301 & 159 or 755.00 MPT Federal Communications Commission, Mass
cation). 301–CA & Media Services, P.O. Box 358165, Pittsburgh,
159. PA 15251–5165
c. Main Studio Request ........ Corres & 159 755.00 MPT Federal Communications Commission, Mass
Media Services, P.O. Box 358165, Pittsburgh,
PA 15251–5165
d. New License (per applica- 302–TV & 159 230.00 MJT Federal Communications Commission, Mass
tion). or 302–CA Media Services, P.O. Box 358165, Pittsburgh,
& 159. PA 15251–5165.
e. License Renewal .............. 303–S & 159 135.00 MGT Federal Communications Commission, Mass
PA 15251–5165
f. License Assignment:
(1) Long Form ................ 314 & 159 ...... 755.00 MPT* Federal Communications Commission, Mass
PA 15251–5350
(2) Short Form ............... 316 & 159 ...... 110.00 MDT* Federal Communications Commission, Mass
PA 15251–5350.
g. Transfer of Control:
(1) Long Form ................ 315 & 159 ...... 755.00 MPT* Federal Communications Commission, Mass
PA 15251–5350
(2) Short Form ............... 316 & 159 ...... 110.00 MDT* Federal Communications Commission, Mass
PA 15251–5350
251
§ 1.1104 47 CFR Ch. I (10–1–02 Edition)
box.]
Fee Payment
amount type code
h. Hearing (New and Major/ Corres & 159 9,020.00 MWT Federal Communications Commission, Mass
Minor Change Compara- Media Services, P.O. Box 358170, Pittsburgh,
tive Construction Permit PA 15251–5170.
Hearings.
I. Call Sign ............................ 380 & 159 ...... 75.00 MBT Federal Communications Commission, Mass
PA 15251–5165
j. Special Temporary Author- Corres & 159 135.00 MGT Federal Communications Commission, Mass
ity. Media Services, P.O. Box 358165, Pittsburgh,
PA 15251–5165.
k. Petition for Rulemaking for 301 & 159 or 2,090.00 MRT Federal Communications Commission, Mass
New Community of Li- 302–TV & Media Services, P.O. Box 358165, Pittsburgh,
cense. 159. PA 15251–5165.
l. Ownership Report .............. 323 & 159 or 50.00 MAT* Federal Communications Commission, Mass
Corres & Media Services, P.O. Box 358180, Pittsburgh,
159. PA 15251–5180.
2. Commercial AM Radio Sta-
tions:
a. New or Major Change 301 & 159 ...... 3,010.00 MUR Federal Communications Commission, Mass
Construction Permit. Media Services, P.O. Box 358190, Pittsburgh,
PA 15251–5190.
b. Minor Change ................... 301 & 159 ...... 755.00 MPR Federal Communications Commission, Mass
PA 15251–5190.
c. Main Studio Request ........ Corres & 159 755.00 MPR Federal Communications Commission, Mass
PA 15251–5190.
d. New License ..................... 302–AM & 159 495.00 MMR Federal Communications Commission, Mass
PA 15251–5190.
e. AM Directional Antenna .... 302–AM & 159 570.00 MOR Federal Communications Commission, Mass
PA 15251–5190.
f. AM Remote Control ........... 301 & 159 ...... 50.00 MAR Federal Communications Commission, Mass
PA 15251–5190.
g. License Renewal .............. 303–S & 159 135.00 MGR Federal Communications Commission, Mass
PA 15251–5190.
h. License Assignment:
(1) Long Form ................ 314 & 159 ...... 755.00 MPR* Federal Communications Commission, Mass
PA 15251–5350.
(2) Short Form ............... 316 & 159 ...... 110.00 MDR* Federal Communications Commission, Mass
PA 15251–5350.
I. Transfer of Control:
PA 15251–5350.
PA 15251–5350.
j. Hearing (New or Major/ Corres & 159 9,020.00 MW Federal Communications Commission, Mass
Minor Change, Compara- Media Services, P.O. Box 358170, Pittsburgh,
tive Construction Permit). PA 15251–5170.
k. Call Sign ............................ 380 & 159 ...... 75.00 MBR Federal Communications Commission, Mass
PA 15251–5165.
l. Special Temporary Author- Corres & 159 135.00 MGR Federal Communications Commission, Mass
PA 15251–5190.
m. Ownership Report ............ 323 & 159 or 50.00 MAR* Federal Communications Commission, Mass
159. PA 15251–5180.
3. Commercial FM Radio Station:
a. New or Major Change 301 & 159 ...... 2,710.00 MTR Federal Communications Commission, Mass
PA 15251–5195.
252
box.]
Fee Payment
amount type code
b. Minor Change ................... 301 & 159 ...... 755.00 MPR Federal Communications Commission, Mass
PA 15251–5195.
c. Main Studio Request ........ Corres & 159 755.00 MPR Federal Communications Commission, Mass
PA 15251–5195.
d. New License ..................... 302–FM & 159 155.00 MHR Federal Communications Commission, Mass
PA 15251–5195.
e. FM Directional Antenna .... 302–FM & 159 475.00 MLR Federal Communications Commission, Mass
PA 15251–5195.
f. License Renewal ............... 303–S & 159 135.00 MGR Federal Communications Commission, Mass
PA 15251–5190.
g. License Assignment:
PA 15251–5350.
PA 15251–5350.
h. Transfer of Control:
PA 15251–5350.
PA 15251–5350.
I. Hearing (New and Major/ Corres & 159 9,020.00 MWR Federal Communications Commission, Mass
Minor Change Compara- Media Services, P.O. Box 358170, Pittsburgh,
tive Construction Permit PA 15251–5170.
Hearings).
j. Call Sign ............................. 380 & 159 ...... 75.00 MBR Federal Communications Commission, Mass
PA 15251–5165.
k. Special Temporary Author- Corres & 159 135.00 MGR Federal Communications Commission, Mass
PA 15251–5195
l. Petition for Rulemaking for 301 & 159 or 2,090.00 MRR Federal Communications Commission, Mass
For New Community of Li- 302–FM & Media Services, P.O. Box 358195, Pittsburgh,
cense or Higher Class 159. PA 15251–5195.
Channel.
m. Ownership Report ............ 323 & 159 or 50.00 MAR* Federal Communications Commission, Mass
159. PA 15251–5180.
4. FM Translators:
a. New or Major Change 349 & 159 ...... 570.00 MOF Federal Communications Commission, Mass
PA 15251–5200.
b. New License ..................... 350 & 159 ...... 115.00 MEF Federal Communications Commission, Mass
PA 15251–5200.
c. License Renewal ............... 303–S & 159 50.00 MAF Federal Communications Commission, Mass
PA 15251–5200.
d. Special Temporary Author- Corres & 159 135.00 MGF Federal Communications Commission, Mass
PA 15251–5200.
E. License Assignment ......... 345 & 159 or 110.00 MDF* Federal Communications Commission, Mass
314 & 159 Media Services, P.O. Box 358350, Pittsburgh,
or 316 & PA 15251–5350.
159.
f. Transfer of Control ............. 345 & 159 or 110.00 MDF* Federal Communications Commission, Mass
or 316 & PA 15251–5350.
159.
253
§ 1.1104 47 CFR Ch. I (10–1–02 Edition)
box.]
Fee Payment
amount type code
5. TV Translators and LPTV Sta-

tions:
a. New or Major Change Con- 346 & 159 ...... 570.00 MOL Federal Communications Commission, Mass
struction Permit. Media Services, P.O. Box 358185, Pittsburgh,
PA 15251–5185.
b. New License ..................... 347 & 159 ...... 115.00 MEL Federal Communications Commission, Mass
PA 15251–5185.
c. License Renewal ............... 303–S & 159 50.00 MAL* Federal Communications Commission, Mass
PA 15251–5185.
d. Special Temporary Author- Corres & 159 135.00 MGL Federal Communications Commission, Mass
PA 15251–5185.
e. License Assignment .......... 345 & 159 or 110.00 MDL* Federal Communications Commission, Mass
or 316 & PA 15251–5350.
159.
f. Transfer of Control ............. 345 & 159 or 110.00 MDL* Federal Communications Commission, Mass
or 316 & PA 15251–5350.
159.
6. FM Booster Stations:
PA 15251–5200.
PA 15251–5200.
c. Special Temporary Author- Corres & 159 135.00 MGF Federal Communications Commission, Mass
PA 15251–5200.
7. TV Booster Stations
PA 15251–5185.
PA 15251–5185.
c. Special Temporary Author- Corres & 159 135.00 MGF Federal Communications Commission, Mass
PA 15251–5185.
8. Multipoint Distribution Service
(Including Multichannel MDS)
a. Conditional License (Per 304 & 159 or 210.00 CJM Federal Communications Commission, Mass
Station). 331 & 159. Media Services, P.O. Box 358155, Pittsburgh,
PA 15251–5155.
b. Major Modifications of 304 & 159 or 210.00 CJM Federal Communications Commission, Mass
Conditional Licenses or Li- 331 & 159. Media Services, P.O. Box 358155, Pittsburgh,
cense Authorization (Per PA 15251–5155.
Station).
c. Certificate of Completion 304–A & 159 610.0 CPM* Federal Communications Commission, Mass
of Construction (Per Chan- Media Services, P.O. Box 358155, Pittsburgh,
nel). PA 15251–5155.
d. License Renewal (Per Sta- 405 & 159 ...... 210.00 CJM Federal Communications Commission, Mass
tion). Media Services, P.O. Box 358155, Pittsburgh,
PA 15251–5155.
e. Assignment or Transfer:.
(1) First Station on Appli- 702 & 159 or 75.00 CCM Federal Communications Commission, Mass
cation. 704 & 159. Media Services, P.O. Box 358155, Pittsburgh,
PA 15251–5155.
(2) Each Additional Sta- 702 & 159 or 50.00 CAM* Federal Communications Commission, Mass
tion. 704 & 159. Media Services, P.O. Box 358155, Pittsburgh,
PA 15251–5155.
f. Extension of Construction 701 & 159 ...... 175.00 CHM Federal Communications Commission, Mass
Authorization. Media Services, P.O. Box 358155, Pittsburgh,
PA 15251–5155.
254
box.]
Fee Payment
amount type code
g. Special Temporary Author- Corres & 159 95.00 CEM Federal Communications Commission, Mass
ity or Request for Waiver Media Services, P.O. Box 358155, Pittsburgh,
of Prior Construction Au- PA 15251–5155.
thorization.
h. Signal Booster:
(1) Application ................ 304 & 159 or 70.00 CSB Federal Communications Commission, Mass
331 & 159. Media Services, P.O. Box 358155, Pittsburgh,
PA 15251–5155.
(2) Certification of Com- 304–A & 159 70.00 CCB Federal Communications Commission, Mass
pletion of Construction. Media Services, P.O. Box 358155, Pittsburgh,
PA 15251–5155.
[65 FR 49752, Aug. 15, 2000]
§ 1.1105 Schedule of charges for applications and other filings in the common car-
rier services.
Fee Payment
amount code
1. All Common Carrier Services:

a. Formal Complaints ............ Corres & 159 $165.00 CIZ Federal Communications Commission, Common
Carrier, P.O. Box 358120, Pittsburgh, PA
15251–5120.
b. Communication Assistance Corres & 159 5,000.00 CLEA Federal Communications Commission, Common
for Law Enforcement Carrier, P.O. Box 358120, Pittsburgh, PA
(CALEA) Petitions. 15251–5120.
2. Domestic 214 Applications:
a. Domestic Cable Construc- Corres & 159 815.00 CUT Federal Communications Commission, Common
tion. Carrier Domestic Services, P.O. Box 358145,
Pittsburgh, PA 15251–5145.
b. Other ................................. Corres & 159 815.00 CUT Federal Communications Commission, Common
Carrier Network Services, P.O. Box 358145,
3. Telephone Equipment Reg- 730 & 159 ...... 210.00 CJQ Federal Communications Commission, Common
istration. Carrier Network Services P.O. Box 358145,
4. Tariff Filings:
a. Tariff Filing Fees (per Corres & 159 655.00 CQK Federal Communications Commission, Common
transmittal or cover letter). Carrier Tariff Filing, P.O. Box 358150, Pitts-
burgh, PA 15251–5150.
b. Application for Special Corres & 159 655.00 CQK Federal Communications Commission, Common
Permission Filing (request Carrier Tariff Filing, P.O. Box 358150, Pitts-
for waiver of any rule in burgh, PA 15251–5150.
part 61 of the Commis-
sion’s Rules) (per request).
c. Waiver of part 69 Tariff Corres & 159 655.00 CQK Federal Communications Commission, Common
Rules (per request). Carrier Tariff Filing, P.O. Box 358150, Pitts-
burgh, PA 15251–5150.
5. Accounting and Audits:
a. Field Audit ......................... Corres & 159 83,090.00 BMA Federal Communications Commission, Account-
ing and Audits, P.O. Box 358340 Pittsburgh,
PA 15251–5340.
b. Review of Attest Audit ...... Corres & 159 45,355.00 BLA Federal Communications Commission, Account-
ing and Audits, P.O. Box 358340, Pittsburgh,
PA 15251–5340.
c. Review of Depreciation
Update Study:
(1) Single State .............. Corres & 159 27,595.00 BKA Federal Communications Commission, Account-
ing and Audits, P.O. Box 358140, Pittsburgh,
PA 15251–5140.
(2) Each Additional State Corres & 159 910.00 CVA Federal Communications Commission, Account-
ing and Audits, P.O. Box 358140 Pittsburgh,
PA 15251–5140.
255
§ 1.1106 47 CFR Ch. I (10–1–02 Edition)
Fee Payment
amount code
d. Petition for Waiver (per Corres & 159 6,220.00 BEA Federal Communications Commission, Account-
petition Waiver of Part 69 ing and Audits, P.O. Box 358140, Pittsburgh,
Accounting Rules & Part PA 15251–5140.
32 Accounting Rules, Part
36 Separation Rules, Part
43 Reporting Require-
ments Part 64 Allocation of
Costs Rules Part 65 Rate
of Return & Rate Base
Rules.
e. Development and Review Corres & 159 45,355.00 BLA Federal Communications Commission, Account-
of Agreed-upon-Proce- ing and Audits, P.O. Box 358140 Pittsburgh,
dures Engagement Audit. PA 15251–5140.
[65 FR 49755, Aug. 15, 2000]
§ 1.1106 Schedule of charges for applications and other filings in the cable serv-
ices.
Fee Payment
amount type code
1. Cable Television Services:.

a. CARS Construction Permit 327 & 159 ...... $210.00 TIC Federal Communications Commission, Cable
Services, P.O. Box 358205, Pittsburgh, PA
15215–5205.
b. CARS Modification ............ 327 & 159 ...... 210.00 TIC Federal Communications Commission, Cable
15215–5205.
c. CARS License Renewal ... 327 & 159 ...... 210.00 TIC Federal Communications Commission, Cable
15215–5205.
d. CARS License Agreement 327 & 159 ...... 210.00 TIC Federal Communications Commission, Cable
15215–5205.
e. CARS Transfer of Control 327 & 159 ...... 210.00 TIC Federal Communications Commission, Cable
15215–5205.
f. Special Temporary Author- Corres & 159 135.00 TGC Federal Communications Commission, Cable
ization,. Services, P.O. Box 358205, Pittsburgh, PA
15215–5205.
g. Cable Special Relief Peti- Corres & 159 1,055.00 TQC Federal Communications Commission, Cable
tion. Services, P.O. Box 358205, Pittsburgh, PA
15215–5205.
h. § 76.1801 Registration Corres & 159 50.00 TAC Federal Communications Commission, Cable
Statement 19. Services, P.O. Box 358205, Pittsburgh, PA
15215–5205.
i. Aeronautical Frequency Corres & 159 50.00 TAC Federal Communications Commission, Cable
Usage Notification 20. Services, P.O. Box 358205, Pittsburgh, PA
15215–5205.
j. Pole Attachment Complaint Corres & 159 205.00 TPC Federal Communications Commission, Cable
15215–5205.
[65 FR 49756, Aug. 15, 2000, as amended at 65 FR 53614, Sept. 5, 2000; 67 FR 13224, Mar. 21, 2002]
256
§ 1.1107 Schedule of charges for applications and other filings in the inter-
national services.
Fee Payment
Action FCC form No. Address
amount type code
1. International Fixed Public

Radio: (Public & Control Sta-
tion)
a. Initial Construction Permit 407 & 159 ...... $685.00 CSN Federal Communications Commission, Inter-
(per station). national Bureau—Fixed Public Radio, P.O.
Box 358160, Pittsburgh, PA 15251–5160.
b. Assignment or Transfer 702 & 159 or 685.00 CSN Federal Communications Commission, Inter-
(per Application). 704 & 159. national Bureau—Fixed Public Radio, P.O.
c. Renewal (per license) ....... 405 & 159 ...... 495.00 CON Federal Communications Commission, Inter-
national Bureau—Fixed Public Radio, P.O.
d. Modification (per station) .. 403 & 159 ...... 495.00 CON Federal Communications Commission, Inter-
national Bureau—Fixed Public Radio, P.O.
e. Extension of Construction 701 & 159 ...... 250.00 CKN Federal Communications Commission, Inter-
Authorization (per station). national Bureau—Fixed Public Radio, P.O.
f. Special Temporary Author- Corres & 159 250.00 CKN Federal Communications Commission, Inter-
ity or request for Waiver national Bureau—Fixed Public Radio, P.O.
(per request). Box 358160, Pittsburgh, PA 15251–5160.
2. Section 214 Applications:
a. Overseas Cable Construc- Corres & 159 12,175.00 BIT Federal Communications Commission, Inter-
tion. national Bureau—Telecommunications, P.O.
Box 358115, Pittsburgh, PA 15251–5115
b. Cable Landing License:
(1) Common Carrier ...... Corres & 159 1,370.00 CXT Federal Communications Commission, Inter-
national Bureau—Telecommunications, P.O.
(2) Non-Common Carrier Corres & 159 13,540.00 BJT Federal Communications Commission, Inter-
national Bureau—Telecommunications, P.O.
c. All Other International 214 Corres & 159 815.00 CUT Federal Communications Commission, Inter-
Applications. national Bureau—Telecommunications, P.O.
d. Special Temporary Au- Corres & 159 815.00 CUT Federal Communications Commission, Inter-
thority (all services). national Bureau—Telecommunications, P.O.
e. Assignments or Transfers Corres & 159 815.00 CUT Federal Communications Commission, Inter-
(all services). national Bureau—Telecommunications, P.O.
3. Fixed Satellite Transmit/Re-
ceive Earth Stations:
a. Initial Application (per sta- 312 & Sched- 2,035.00 BAX Federal Communications Commission, Inter-
tion). ule B & 159. national Bureau—Earth Stations P.O. Box
358160, Pittsburgh, PA 15251–5160.
b. Modification of License 312 & Sched- 145.00 CGX Federal Communications Commission, Inter-
(per station). ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
c. Assignment or Transfer:
(1) First Station .............. 312 & Sched- 405.00 CNX Federal Communications Commission, Inter-
ule A & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
(2) Each Additional Sta- Attachment to 135.00 CFX Federal Communications Commission, Inter-
tion. 312 Sched- national Bureau—Earth Stations, P.O. Box
ule A & 159. 358160, Pittsburgh, PA 15251–5160.
d. Renewal of License (per 405 & 159 ...... 145.00 CGX Federal Communications Commission, Inter-
station ). national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
e. Special Temporary Au- Corres & 159 145.00 CGX Federal Communications Commission, Inter-
thority or Waiver of Prior national Bureau—Earth Stations, P.O. Box
Construction Authorization 358160, Pittsburgh, PA 15251–5160.
(per request).
f. Amendment of Pending 312 & Sched. 145.00 CGX Federal Communications Commission, Inter-
Application (per station). A or B & national Bureau—Earth Stations, P.O. Box
159. 358160, Pittsburgh, PA 15251–5160.
257
§ 1.1107 47 CFR Ch. I (10–1–02 Edition)
Fee Payment
amount type code
g. Extension of Construction 701 & 159 ...... 145.00 CGX Federal Communications Commission, Inter-
Permit (per station). national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
4. Fixed Satelite transmit/Receive
Earth Stations, (2 meters or
less operating in the 4/6 GHz
frequency band):
a. Lead Application ............... 312 & Sched- 4,510.00 BDS Federal Communications Commission, Inter-
ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
b. Routine Application (per 312 & Sched- 50.00 CAS Federal Communications Commission, Inter-
station). ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
c. Modification of License 312 & Sched- 145.00 CGS Federal Communications Commission, Inter-
(per station). ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
d. Assignment or Transfer:
(1) First Station .............. 312 & Sched- 405.00 CNS Federal Communications Commission, Inter-
358160, Pittsburgh, PA 15251–5160.
(2) Each Additional Sta- Attachment to 50.00 CAS Federal Communications Commission, Inter-
tion. 312 & national Bureau—Earth Stations, P.O. Box
Schedule A 358160, Pittsburgh, PA 15251–5160.
& 159.
e. Renewal of License (per 405 & 159 ...... 145.00 CGS Federal Communications Commission, Inter-
station). national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
f. Special Temporary Author- Corres & 159 145.00 CGS Federal Communications Commission, Inter-
ity or Waiver of Prior Con- national Bureau—Earth Stations, P.O. Box
struction Authorization (per 358160, Pittsburgh, PA 15251–5160.
request).
g. Amendment of Pending 312 & Sched. 145.00 CGS Federal Communications Commission, Inter-
Application (per station). A & B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
h. Extension of Construction 701 & 159 ...... 145.00 CGS Federal Communications Commission, Inter-
Permit (per station). national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
5. Receive Only Earth Stations:
a. Initial Applications for 312 & Sched- 310.00 CMO Federal Communications Commission, Inter-
Registration or License ule B & 159. national Bureau—Earth Stations, P.O. Box
(per station). 358160, Pittsburgh, PA 15251–5160.
b. Modification of License or 312 & Sched- 145.00 CGO Federal Communications Commission, Inter-
Registration (per station). ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
c. Assignment or Transfer:
(1) First Station .............. 312 & Sched- 405.00 CNO Federal Communications Commission, Inter-
358160, Pittsburgh, PA 15251–5160.
(2) Each Additional Sta- Attachment to 135.00 CFO Federal Communications Commission, Inter-
tion. 312 Sched- national Bureau—Earth Stations, P.O. Box
ule A & 159. 358160, Pittsburgh, PA 15251–5160.
d. Renewal of License (per 405 & 159 ...... 145.00 CGO Federal Communications Commission, Inter-
station). national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
e. Amendment of Pending 312 & Sched. 145.00 CGO Federal Communications Commission, Inter-
Application (per station). A or B & national Bureau—Earth Stations, P.O. Box
159. 358160, Pittsburgh, PA 15251–5160.
f. Extension of Construction 701 & 159 ...... 145.00 CGO Federal Communications Commission, Inter-
Permit Application (per national Bureau—Earth Stations, P.O. Box
station). 358160, Pittsburgh, PA 15251–5160.
g. Waivers (per request) ....... Corres & 159 145.00 CGO Federal Communications Commission, Inter-
national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
6. Fixed Satelite Very Small Ap-
erture Terminal (AVSAT) Sys-
tem:
a. Initial Application (per sta- 312 & Sched- 7,510.00 BGV Federal Communications Commission, Inter-
tion). ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
258
Fee Payment
amount type code
b. Modification of Li- 312 & Sched- 145.00 CGV Federal Communications Commission, Inter-
cense(per station). ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
c. Assignment or Transfer of 312 & Sched- 2,010.00 CZS Federal Communications Commission, Inter-
System. ule A & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
d. Renewal of License (per 405 & 159 ...... 145.00 CGV Federal Communications Commission, Inter-
system). national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
e. Special Temporary Au- Corres & 159 145.00 CGV Federal Communications Commission, Inter-
thority or Waiver of Prior national Bureau—Earth Stations, P.O. Box
Construction Authorization 358160, Pittsburgh, PA 15251–5160.
(per request).
f. Amendment of Pending 312 & Sched. 145.00 CGV Federal Communications Commission, Inter-
Application (per system). A or B & national Bureau—Earth Stations, P.O. Box
159. 358160, Pittsburgh, PA 15251–5160.
g. Extension of Construction 701 & 159 ...... 145.00 CGV Federal Communications Commission, Inter-
Permit (per system). national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
7. Mobile Satellite Earth Stations:
a. Initial Application of Blan- 312 & Sched- 7,510.00 BGB Federal Communications Commission, Inter-
ket Authorization. ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
b. Initial Application for Indi- 312 & Sched- 1,805.00 CYB Federal Communications Commission, Inter-
vidual Earth Station. ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
c. Modification of License 312 & Sched- 145.00 CGB Federal Communications Commission, Inter-
(per system). ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
d. Assignment or Transfer 312 & Sched- 2,010.00 CZB Federal Communications Commission, Inter-
(per system). ule A & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
e. Renewal of License (per 405 & 159 ...... 145.00 CGB Federal Communications Commission, Inter-
358160, Pittsburgh, PA 15251–5160.
f. Special Temporary Author- Corres & 159 145.00 CGB Federal Communications Commission, Inter-
ity of Waiver of Prior Con- national Bureau—Earth Stations, P.O. Box
struction Authorization (per 358160, Pittsburgh, PA 15251–5160
request).
g. Amendment of Pending 312 & Sched. 145.00 CGB Federal Communications Commission, Inter-
159. 358160, Pittsburgh, PA 15251–5160.
h. Extension of Construction 701 & 159 ...... 145.00 CGB Federal Communications Commission, Inter-
358160, Pittsburgh, PA 15251–5160.
8. Radio Determination Satellite
Earth Station:
a. Initial Application of Blan- 312 & Sched- 7,510.00 BGH Federal Communications Commission, Inter-
ket Authorization. ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
b. Initial Application for Indi- 312 & Sched- 1,805.00 CYH Federal Communications Commission, Inter-
vidual Earth Station. ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburg, PA 15251–5160.
c. Modification of License 312 & Sched- 145.00 CGH Federal Communications Commission, Inter-
(per system). ule B & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
d. Assignments or Transfer 312 & Sched- 2,010.00 CZH Federal Communications Commission, Inter-
(per system). ule A & 159. national Bureau—Earth Stations, P.O. Box
358160, Pittsburgh, PA 15251–5160.
e. Renewal of License (per 405 & 159 ...... 145.00 CGH Federal Communications Commission, Inter-
358160, Pittsburgh, PA 15251–5160.
f. Special Temporary Author- Corres & 159 145.00 CGH Federal Communications Commission, Inter-
ity or Waiver of Prior Con- national Bureau—Earth Stations, P.O. Box
struction Authorization (per 358160, Pittsburgh, PA 15251–5160.
request).
g. Amendment of Pending 312 & Sched. 145.00 CGH Federal Communications Commission, Inter-
159. 358160, Pittsburgh, PA 15251–5160.
259
§ 1.1107 47 CFR Ch. I (10–1–02 Edition)
Fee Payment
amount type code
h. Extension of Construction 701 & 159 ...... 145.00 CGH Federal Communications Commission, Inter-
358160, Pittsburgh, PA 15251–5160.
9. Space Stations (GSO):
a. Appplication for Authority
to Launch & Operate:
(1) Initial Application ...... 312 & 159 ...... 93,375.00 BNY Federal Communications Commission, Inter-
national Bureau—Satellites, P.O. Box
358210, Pittsburgh, PA 15251–5210.
(2) Replacement Sat- 312 & 159 ...... 93,375.00 BNY Federal Communications Commission, Inter-
ellite. national Bureau—Satellites, P.O. Box
358210, Pittsburgh, PA 15251–5210.
b. Assignment or Transfer 312 & Sched- 6,670.00 BFY Federal Communications Commission, Inter-
(per satellite). ule A & 159. national Bureau—Satellites, P.O. Box
358210, Pittsburgh, PA 15251–5210.
c. Modification ....................... 312 & 159 ...... 6,670.00 BFY Federal Communications Commission, Inter-
national Bureau—Satellites, P.O. Box
358210, Pittsburgh, PA 15251–5210.
d. Special Temporary Au- Corres & 159 670.00 CRY Federal Communications Commission, Inter-
thority (per request). national Bureau—Satellites, P.O. Box
358210, Pittsburgh, PA 15251–5210.
e. Amendment of Pending 312 & 159 ...... 1,335.00 CWY Federal Communications Commission, Inter-
Application (per request). national Bureau—Satellites, P.O. Box
358210, Pittsburgh, PA 15251–5210.
f. Extension of Launch Au- Corres & 159 670.00 CRY Federal Communications Commission, Inter-
thority. national Bureau—Satellites, P.O. Box
358210, Pittsburgh, PA 15251–5210.
10. Space Stations (NGSO):
a. Application for Authority to 312 & 159 ...... 321,570.00 CLW Federal Communications Commission, Inter-
Launch and Operate (per national Bureau—Satellites, P.O. Box
system of technically iden- 358210, Pittsburgh, PA 15251–5210.
tical satellites).
b. Assignment or Transfer 312 & 159 ...... 9,195.00 CZW Federal Communications Commission, Inter-
(per request). national Bureau—Satellites, P.O. Box
358210, Pittsburgh, PA 15251–5210.
c. Modification (per request) 312 & 159 ...... 22,970.00 CGW Federal Communications Commission, Inter-
national Bureau—Satellites P.O. Box
358210, Pittsburgh, PA 15251–5210.
d. Special Temporary Au- Corres & 159 2,305.00 CXW Federal Communications Commission, Inter-
358210, Pittsburgh, PA 15251–5210
e. Amendment of Pending 312 & 159 ...... 4,600.00 CAW Federal Communications Commission, Inter-
Application (per request). national Bureau—Satellites, P.O. Box
358210, Pittsburgh, PA 15251–5210.
f. Extension of Launch Au- Corres & 159 2,305.00 CXW Federal Communications Commission, Inter-
thority. national Bureau—Satellites, P.O. Box
358210, Pittsburgh, PA 15251–5210.
11. Direct Broadcast Satellites:
a. Authorization to Construct Corres & 159 2,710.00 MTD Federal Communications Commission, Inter-
or Major Modification (per national Bureau—Satellites, P.O. Box
request). 358210, Pittsburgh, PA 15251–5210.
b. Construction Permit and Corres & 159 26,295.00 MXD Federal Communications Commission, Inter-
Launch authority (per re- national Bureau—Satellites, P.O. Box
quest). 358210, Pittsburgh, PA 15251–5210.
c. License to Operate (per Corres & 159 755.00 MPD Federal Communications Commission, Inter-
request). national Bureau—Satellites, P.O. Box
358210, Pittsburgh, PA 15251–5210.
d. Special Temporary Au- Corres & 159 135.00 MGD Federal Communications Commission, Inter-
358210, Pittsburg, PA 15251–5210.
e. Hearing (New and Major/ Corres & 159 9,020.00 MWD Federal Communications Commission, Inter-
Minor change, comparative national Bureau, P.O. Box 358270, Pitts-
construction permit hear- burgh, PA 15251–5170.
ings; comparative license
renewal hearing).
12. International Broadcast Sta-
tions:
a. New Station & Facilities 309 & 159 ...... 2,275.00 MSN Federal Communications Commission, Inter-
Change Construction Per- national Bureau, P.O. Box 358175, Pitts-
mit (per applications). burgh, PA 15251–5175.
260
Fee Payment
amount type code
b. New License (per applica- 310 & 159 ...... 515.00 MNN Federal Communications Commission, Inter-
tion). national Bureau, P.O. Box 358175, Pitts-
burgh, PA 15251–5175.
c. License Renewal (per ap- 311 & 159 ...... 130.00 MFN Federal Communications Commission, Inter-
plication). national Bureau, P.O. Box 358175, Pitts-
burgh, PA 15251–5175.
d. License Assignment or 314 & 159 or 85.00 MCN Federal Communications Commission, Inter-
Transfer of Control (per 315 & 159 national Bureau, P.O. Box 358175, Pitts-
stationlicense). or 316 & burgh, PA 15251–5175.
159.
e. Frequency Assignment & Corres & 159 50.00 MAN Federal Communications Commission Inter-
Coordination (per fre- national Bureau, P.O. Box 358175, Pitts-
quency hour). burgh, PA 15251–5175.
f. Special Temporary Author- Corres & 159 135.00 MGN Federal Communications Commission, Inter-
ization (per application). national Bureau, P.O. Box 358175, Pitts-
burgh, PA 15251–5175.
13. Permit to Deliver Programs to
Foreign Broadcast Stations
(per application):
a. Commercial TV Stations .. 308 & 159 ...... 75.00 MBT Federal Communications Commission, Inter-
national Bureau, P.O. Box 358175, Pitts-
burgh, PA 15251–5175.
b. Commercial AM or FM 308 & 159 ...... 75.00 MBR Federal Communications Commission, Inter-
Radio Stations. national Bureau, P.O. Box 358175, Pitts-
burgh, PA 15251–5175.
14. Recognized Private Operating Corres & 159 815.00 CUG Federal Communications Commission, Inter-
Status (per application). national Bureau, P.O. Box 358115, Pitts-
burgh, PA 15251–5115.
[65 FR 49757, Aug. 15, 2000]
§ 1.1108 Attachment of charges. (c) Applications and other filings

that are not submitted in accordance
The charges required to accompany a
with these instructions will be re-
request for the Commission regulatory
turned as unprocessable.
services listed in §§ 1.1102 through 1.1107
of this subpart will not be refundable NOTE: This requirement for the simulta-
to the applicant irrespective of the neous submission of fee forms with applica-
Commission’s disposition of that re- tions or other filings does not apply to the
quest. Return or refund of charges will payment of fees for which the Commission
has established a billing process. See § 1.1118
be made in certain limited instances as of this subpart.
set out at § 1.1113 of this subpart.
(d) Applications returned to appli-
[65 FR 49762, Aug. 15, 2000]
cants for additional information or cor-
rections will not require an additional
§ 1.1109 Payment of charges.
fee when resubmitted, unless the addi-
(a) Electronic fee payments do not tional information results in an in-
require the use of a FCC Form 159, Re- crease of the original fee amount.
mittance Advice. An electronic fee Those applications not requiring an ad-
payment must be made on or before the ditional fee should be resubmitted di-
day the application and appropriate rectly to the Bureau/Office requesting
processing form are filed. the additional information. The origi-
(b) The schedule of fees for applica- nal fee will be forfeited if the addi-
tions and other filings lists those appli- tional information or corrections are
cations and other filings that must be not resubmitted to the appropriate Bu-
accompanied by a FCC Form 159, Re- reau/Office by the prescribed deadline.
mittance Advice. A separate FCC Form If an additional fee is required, the
159 will not be required once the infor- original fee will be returned and the
mation requirements of that form application must be resubmitted with a
(payor information) is incorporated new remittance in the amount of the
into the underlying application form. required fee to the Commission’s
261
§ 1.1110 47 CFR Ch. I (10–1–02 Edition)
lockbox bank. Applicants should at- with a third party as maker or en-
tach a copy of the Commission request dorser) will not be accepted.
for additional or corrected information (1) Specific procedures for electronic
to their resubmission. payment will be announced by Public
(1) If the Bureau/Office staff discovers Notice. Applicants must submit a writ-
within 30 days after the resubmission ten request to the Commission for au-
that the required fee was not sub- thorization to make electronic pay-
mitted, the application will be dis- ments of a fee for applications and
missed. other filings, as follows.
(2) If after 30 days the Bureau/Office (2) No electronic payment of an appli-
staff discovers the required fee has not cation fee will be accepted unless the
been paid, the application will be re- payor has obtained the written author-
tained and a 25 percent late fee will be ization of the Commission to submit
assessed on the deficient amount even application fees electronically. It is the
if the Commission has completed its responsibility of the payor to insure
action on the application. Any Com- that any electronic payment is made in
mission actions taken prior to timely the manner required by the Commis-
payment of these charges are contin- sion. Failure to comply with the Com-
gent and subject to recession. mission’s procedures will result in the
(e) Should the staff change the status return of the application or other filing
of an application, resulting in an in- and the fee payment.
crease in the fee due, the applicant will (3) Payments by wire transfer will be
be billed for the remainder under the accepted. Prior to making a payment
conditions established by § 1.110(b) of by wire, the payor shall obtain the ap-
the rules.
proval of the Managing Director or his
NOTE: Due to the statutory requirements designee. A completed FCC Form 159
applicable to tariff filings, the procedures for shall be submitted to the Managing Di-
handling tariff filings may vary from the rector or his designee prior to initi-
procedures set out in the rules. ating the wire transfer.
[52 FR 5289, Feb. 20, 1987, as amended at 53 (b) Applicants are required to submit
FR 40888, Oct. 19, 1988; 55 FR 19171, May 8, one payment instrument (check, bank
1990. Redesignated and amended at 59 FR draft or money order) and FCC Form
30998, June 16, 1994. Redesignated at 60 FR
5326, Jan. 27, 1995]
159 with each application or filing.
Multiple payment instruments for a
§ 1.1110 Form of payment. single application or filing are not per-
mitted. Except that a separate Fee
(a) Fee payments should be in the Form (FCC Form 159) will not be re-
form of a check, bank draft, on money
quired once the information require-
order denominated in U.S. dollars and
ments of that form (the Fee Code, fee
drawn on a United States financial in-
amount, and total fee remitted) are in-
stitution and made payable to the Fed-
corporated into the underlying applica-
eral Communications Commission or
tion form.
by a Visa, MasterCard, American Ex-
press, or Discover credit card. No other (c) The Commission may accept mul-
credit card is acceptable. Fees for ap- tiple money orders in payment of a fee
plications and other filings paid by for a single application where the fee
credit card will not be accepted unless exceeds the maximum amount for a
the credit card section of FCC Form 159 money order established by the issuing
is completed in full. The Commission agency and the use of multiple money
discourages applicants from submit- orders is the only practical method
ting cash and will not be responsible available for fee payment.
for cash sent through the mail. Per- (d) The Commission may require pay-
sonal or corporate checks dated more ment of fees with a cashier’s check
than six months prior to their submis- upon notification to an applicant or
sion to the Commission’s lockbox bank filer or prospective group of applicants
and postdated checks will not be ac- under the conditions set forth below in
cepted and will be returned as defi- paragraphs (d) (1) and (2) of this sec-
cient. Third party checks (i.e., checks tion.
262
(1) Payment by cashier’s check may submit a copy of the cover letter, the
be required when a person or organiza- FCC Form 159, and the appropriate fee
tion has made payment, on one or more to the Commission’s lockbox bank at
occasions with a payment instrument the address established in § 1.1105.
on which the Commission does not re- (2) Bills for collection will be paid at
ceive final payment and such failure is the Commission’s lockbox bank at the
not excused by bank error. address of the appropriate service as
(2) The Commission will notify the established in §§ 1.1102 through 1.1107,
party in writing that future payments as set forth on the bill sent by the
must be made by cashier’s check until Commission. Payments must be ac-
further notice. If, subsequent to such companied by the bill sent by the Com-
notice, payment is not made by cash- mission. Payments must be accom-
ier’s check, the party’s payment will panied by the bill and a FCC Form 159
not be accepted and its application or to ensure proper credit.
other filing will be returned. (3) Petitions for reconsideration or
(e) All fees collected will be paid into applications for review of fee decisions
the general fund of the United States pursuant to § 1.1117(b) of this subpart
Treasury in accordance with Pub. L. must be accompanied by the required
99–272. fee for the application or other filing
(f) The Commission will furnish a being considered or reviewed.
stamped receipt of an application only (4) Applicants claiming an exemption
upon request that complies with the from a fee requirement for an applica-
following instructions. In order to ob- tion or other filing under 47 U.S.C.
tain a stamped receipt for an applica- 158(d)(1) or § 1.1114 of this subpart shall
tion (or other filing), the application file their applications in the appro-
package must include a copy of the priate location as set forth in the rules
first page of the application, clearly
for the service for which they are ap-
marked ‘‘copy’’, submitted expressly
plying, except that request for waiver
for the purpose of serving as a receipt
accompanied by a tentative fee pay-
of the filing. The copy should be the
ment should be filed at the Commis-
top document in the package. The copy
sion’s lockbox bank at the address for
will be date-stamped immediately and
the appropriate service set forth in
provided to the bearer of the submis-
§§ 1.1102 through 1.1107.
sion, if hand delivered. For submissions
by mail, the receipt copy will be pro- (b) Except as provided for in para-
vided through return mail if the filer graph (c) of this section, all materials
has attached to the receipt copy a must be submitted as one package. The
stamped self-addressed envelope of suf- Commission will not take responsi-
ficient size to contain the date stamped bility for matching fees, forms and ap-
copy of the application. No remittance plications submitted at different times
receipt copies will be furnished. or locations. Materials submitted at
other than the location and address re-
[52 FR 5289, Feb. 20, 1987; 52 FR 38232, Oct. 15, quired by § 0.401(b) and paragraph (a) of
1987, as amended at 53 FR 40888, Oct. 19, 1988; this section will be returned to the ap-
55 FR 19171, May 8, 1990. Redesignated at 59
FR 30998, June 16, 1994, as amended at 59 FR
plicant or filer.
30999, June 16, 1994. Redesignated at 60 FR (c) Fees for applications and other
5326, Jan. 27, 1995; 65 FR 49762, Aug. 15, 2000; filings pertaining to the Wireless Radio
67 FR 46303, July 12, 2002] Services that are submitted electroni-
cally via ULS may be paid electroni-
§ 1.1111 Filing locations. cally or sent to the Commission’s lock
(a) Except as noted in this section, box bank manually. When paying
applications and other filings, with at- manually, applicants must include the
tached fees and FCC Form 159, must be application file number (assigned by
submitted to the locations and address- the ULS electronic filing system on
es set forth in §§ 1.1102 through 1.1107. FCC Form 159) and submit such num-
(1) Tariff filings shall be filed with ber with the payment in order for the
the Secretary, Federal Communica- Commission to verify that the payment
tions Commission, Washington, DC was made. Manual payments must be
20554. On the same day, the filer should received no later than ten (10) days
263
§ 1.1112 47 CFR Ch. I (10–1–02 Edition)
after receipt of the application on ULS the grant of authority, shall be condi-
or the application will be dismissed. tioned upon final payment of the fee,
[55 FR 19171, May 8, 1990. Redesignated at 59 plus other required payments for late
FR 30998, June 16, 1994, as amended at 59 FR payments, by the date prescribed by
30999, June 16, 1994. Redesignated at 60 FR the deferral decision or bill. Failure to
5326, Jan. 27, 1995; 63 FR 68941, Dec. 14, 1998; comply with the terms of the deferral
65 FR 49762, Aug. 15, 2000] decision or bill shall result in the auto-
matic dismissal of the submission or
§ 1.1112 Conditionality of Commission
or staff authorizations. rescision of the Commission authoriza-
tion for failure to meet the condition
(a) Any instrument of authorization imposed by this subpart. The Commis-
granted by the Commission, or by its sion reserves the right to return pay-
staff under delegated authority, will be ments received after the date estab-
conditioned upon final payment of the lished on the bill and exercise the con-
applicable fee and timely payment of
ditions attached to the application.
bills issued by the Commission. As ap-
The Commission shall:
plied to checks, bank drafts and money
orders, final payment shall mean re- (1) Notify the grantee that the au-
ceipt by the Treasury of funds cleared thorization has been rescinded;
by the financial institution on which (i) Upon such notification, the grant-
the check, bank draft or money order ee will immediately cease operations
is drawn. initiated pursuant to the authoriza-
(1) If, prior to a grant of an instru- tion.
ment of authorization, the Commission (2) Not permit nunc pro tunc treat-
is notified that final payment has not ment to applicants who attempt to
been made, the application or filing refile after the original deadline for the
will be: underlying submission.
(i) Dismissed and returned to the ap- (c) Where the procedures outlined in
plicant; paragraphs (a) and (b) of this section
(ii) Shall lose its place in the proc- would not provide a meaningful incen-
essing line; tive to pay a fee that is due or would
(iii) And will not be accorded nunc not be a meaningful sanction for fail-
pro tunc treatment if resubmitted after ure to pay such a fee, in the alternative
the relevant filing deadline. to those procedures, the Commission
(2) If, subsequent to a grant of an in- may, in its discretion, withhold proc-
strument of authorization, the Com- essing and/or grant of any other appli-
mission is notified that final payment cation or filing made by a person or or-
has not been made, the Commission ganization who has failed to make full
will:
payment of any fee due under this sub-
(i) Automatically rescind that instru-
part.
ment of authorization for failure to
meet the condition imposed by this (1) Before taking such action, the
subsection; and staff will make a written request for
(ii) Notify the grantee of this action; the fee, together with any penalties
and that may be due under this subpart.
(iii) Not permit nunc pro tunc treat- Such request shall inform the appli-
ment for the resubmission of the applicant/filer that failure to pay will result
cation or filing if the relevant deadline in the Commission’s withholding ac-
has expired. tion on any other application or re-
(3) Upon receipt of a notification of quest filed by the applicant. The staff
rescision of the authorization, the shall also inform the applicant of the
grantee will immediately cease oper- procedures for seeking Commission re-
ations initiated pursuant to the au- view of the staff’s fee determination.
thorization. (2) If, after final determination that
(b) In those instances where the Com- the fee is due, the applicant fails to pay
mission has granted a request for de- the fee in a timely manner, the staff
ferred payment of a fee or issued a bill may terminate the processing and/or
payable at a future date, further proc- withhold a grant of any other applica-
essing of the application or filing, or tion or filing pending or later filed by
264
the applicant, until the matter is re- cifically requests a refund of the fee
solved. paid and dismissal of his or her appli-
cant.
[52 FR 5289, Feb. 20, 1987, as amended at 55
FR 19171, May 8, 1990. Redesignated at 59 FR [52 FR 5289, Feb. 20, 1987, as amended at 53
30998, June 16, 1994. Redesignated at 60 FR FR 40889, Oct. 19, 1988; 56 FR 795, Jan. 9, 1991;
5326, Jan. 27, 1995] 56 FR 56602, Nov. 6, 1991. Redesignated at 59
FR 30998, June 16, 1994. Redesignated at 60
§ 1.1113 Return or refund of charges. FR 5326, Jan. 27, 1995; 65 FR 49762, Aug. 15,
(a) All refunds will be issued to the 2000; 67 FR 46303, July 12, 2002]
payer named in the appropriate block
§ 1.1114 General exemptions to
of the FCC Form 159. The full amount charges.
of any fee submitted will be returned
or refunded, as appropriate, under the No fee established in §§ 1.1102 through
authority granted at § 0.231. 1.1106 of this subpart, unless otherwise
(1) When no fee is required for the ap- Qualified herein, shall be required for:
plication or other filing. (a) Applications filed for the sole pur-
(2) When the fee processing staff or pose of modifying an existing author-
bureau/office determines that an insuf- ization (or a pending application for
ficient fee has been submitted within 30 authorization) in order to comply with
calendar days of receipt of the applica- new or additional requirements of the
tion or filing and the application or fil- Commission’s rules or the rules of an-
ing is dismissed. other Federal agency. However, if the
(3) When the application is filed by applicant also requests an additional
an applicant who cannot fulfill a pre- modification, renewal, or other action,
scribed age requirement. the appropriate fee for such additional
(4) When the Commission adopts new request must accompany the applica-
rules that nullify applications already tion. Cases in which a fee will be paid
accepted for filing, or new law or trea- include applications by FM and TV li-
ty would render useless a grant or censees or permittees seeking to up-
other positive disposition of the appli- grade channel after a rulemaking.
cation. (b) Applicants in the Special Emer-
(5) When a waiver is granted in ac- gency Radio and Public Safety Radio
cordance with this subpart. Services that are government entities
or nonprofit entities. Applicants claim-
NOTE: Payments in excess of an application ing nonprofit status must include a
fee will be refunded only if the overpayment current Internal Revenue Service De-
is $10 or more.
termination Letter documenting this
(6) When an application for new or nonprofit status.
modified facilities is not timely filed in (c) Applicants, permittees or licens-
accordance with the filing window as ees of noncommercial educational
established by the Commission in a broadcast stations in the FM or TV
public notice specifying the earliest services, as well as AM applicants, per-
and latest dates for filing such applica- mittees or licensees who certify that
tions. the station will operate or does operate
(b) Comparative hearings are no in accordance with § 73.503 of the rules.
longer required. (d) Applicants, permittees, or licens-
(c) Applicants in the Mass Media ees qualifying under paragraph (c) of
Services for first-come, first-served this section requesting Commission au-
construction permits will be entitled to thorization in any other mass media
a refund of the fee, if, within fifteen radio service (except the international
days of the issuance of a Public Notice broadcast (HF) service) private radio
indicating that there is a previously service, or common carrier radio com-
filed pending application for the same munications service otherwise requir-
vacant channel, such application noti- ing a fee, if the radio service is used in
fies the Commission that they no conjunction with the noncommercial
longer wish their application to remain educational broadcast station on a
on file behind the first applicant and noncommercial educational basis.
any other applicants filed before his or (e) Other applicants, permittees, or
her application, and the applicant spe- licensees providing, or proposing to
265
§ 1.1115 47 CFR Ch. I (10–1–02 Edition)
provide, a noncommercial educational over their respective communities or

or instructional service, but not quali- programs.
fying under paragraph (c) of this sec- (g) Applications for Restricted Radio-
tion, may be exempt from filing fees, telephone Operator Permits where the
or be entitled to a refund, in the fol- applicant intends to use the permit
lowing circumstances. solely in conjunction with duties per-
(1) An applicant is exempt from filing formed at radio facilities qualifying for
fees if it is an organization that, like fee exemption under paragraphs (c),
the Public Broadcasting Service or Na- (d), or (e) of this section.
tional Public Radio, receives funding
NOTE: Applicants claiming exemptions
directly or indirectly through the Pub-
under the terms of this subpart must certify
lic Broadcasting Fund, 47 U.S.C. 396(k), as to their eligibility for the exemption
distributed by the Corporation for Pub- through a cover letter accompanying the ap-
lic Broadcasting, where the authoriza- plication or filing. This certification is not
tion requested will be used in conjunc- required if the applicable FCC Form requests
tion with the organization on a non- the information justifying the exemption.
commercial educational basis; [52 FR 5289, Feb. 20, 1987, as amended at 53
(2) An applicant for a translator or FR 40889, Oct. 19, 1988; 55 FR 19172, May 8,
low power television station that pro- 1990; 56 FR 56602, Nov. 6, 1991. Redesignated
poses a noncommercial educational and amended at 59 FR 30998, June 16, 1994.
service will be entitled to a refund of Redesignated at 60 FR 5326, Jan. 27, 1995; 65
fees paid for the filing of the applica- FR 49762, Aug. 15, 2000]
tion when, after grant, it provides
proof that it has received funding for § 1.1115 Adjustments to charges.
the construction of the station through (a) The Schedule of Charges estab-
the National Telecommunications and lished by Sections 1.1102 through 1.1107
Information Administration (NTIA) or of this subpart shall be adjusted by the
other showings as required by the Com- Commission on October 1, 1999 and
mission. every two years thereafter.
(3) An applicant that has qualified for (1) The fees will be adjusted by the
a fee refund under paragraph (e)(2) of Commission to reflect the percentage
this section and continues to operate change in the Consumer Price Index for
as a noncommercial education station all Urban Consumers (CPI–U) from the
is exempt from fees for broadcast aux- date of enactment of the authorizing
iliary stations (subparts D, E, and F of legislation (December 19, 1989) to the
part 74) or stations in the private radio date of adjustment, and every two
or common carrier services where such years thereafter, to reflect the percent-
authorization is to be used in conjunc- age change in the CPI–U in the period
tion with the noncommercial edu- between the enactment date and the
cational translator or low power sta- adjustment date.
tion. (2) Adjustments based upon the per-
(4) An applicant that is the licensee centage change in the CPI–U will be ap-
of an instructional television fixed sta- plied against the base fees as enacted
tion (§ 74.901 et seq.) is exempt from fil- or amended by Congress. Adjustments
ing fees where the authorization re- will not be calculated by using the pre-
quested will be used by the applicant in viously adjusted fee as the base.
conjunction with the provision of the (b) Increases or decreases in charges
instructional service. will apply to all categories of fees cov-
(f) Applicants, permittees or licens- ered by this subpart. Individual fees
ees who qualify as governmental enti- will not be adjusted until the increase
ties. For purposes of this exemption a or decrease, as determined by the net
governmental entity is defined as any change in the CPI–U since the date of
state, possession, city, county, town, enactment of the authorizing legisla-
village, municipal corporation or simi- tion, amounts to at least $5 in the case
lar political organization or subpart of fees under $100, or 5% or more in the
thereof controlled by publicly elected case of fees of $100 or greater. All fees
or duly appointed public officials exer- will be adjusted upward to the next $5
cising sovereign direction and control increment.
266
(c) Adjustments to fees made pursu- payment of these charges are contin-
ant to these procedures will not be sub- gent and subject to rescission.
ject to notice and comment
rulemakings, nor will these decisions
FR 40889, Oct. 19, 1988; 55 FR 19172, May 8,
be subject to petitions for reconsider-
1990. Redesignated and amended at 59 FR
ation under § 1.429 of the rules. Re- 30998, June 16, 1994. Redesignated at 60 FR
quests for modifications will be limited 5326, Jan. 27, 1995]
to correction of arithmetical errors
made during an adjustment cycle. § 1.1117 Petitions and applications for
[52 FR 5289, Feb. 20, 1987, as amended at 53 review.
FR 40889, Oct. 19, 1988; 55 FR 19172, May 8, (a) The fees established by this sub-
part may be waived or deferred in spe-
5326, Jan. 27, 1995; 65 FR 49762, Aug. 15, 2000] cific instances where good cause is
shown and where waiver or deferral of
§ 1.1116 Penalty for late or insufficient the fee would promote the public inter-
payments. est.
(a) Filings subject to fees and accom- (b) Requests for waivers or deferrals
panied by defective fee submissions will only be considered when received
will be dismissed under § 1.1108(b) of from applicants acting in respect to
this subpart where the defect is discov- their own applications. Requests for
ered by the Commission’s staff within waivers or deferrals of entire classes of
30 calendar days from the receipt of the services will not be considered.
application or filing by the Commis- (c) Petitions for waivers, deferrals,
sion.
fee determinations, reconsiderations
(1) A defective fee may be corrected
by resubmitting the application or and applications for review will be
other filing, together with the entire acted upon by the Managing Director
correct fee. with the concurrence of the General
(2) For purposes of determining Counsel. All such filings within the
whether the filing is timely, the date of scope of the fee rules shall be filed as a
resubmission with the correct fee will separate pleading and clearly marked
be considered the date of filing. How- to the attention of the Managing Di-
ever, in cases where the fee payment rector. Any such request that is not
fails due to error of the applicant’s filed as a separate pleading will not be
bank, as evidenced by an affidavit of an considered by the Commission. Re-
officer of the bank, the date of the quests for deferral of a fee payment for
original submission will be considered financial hardship must be accom-
the date of filing. panied by supporting documentation.
(b) Applications or filings accom- (1) Petitions and applications for re-
panied by insufficient fees or no fees view submitted with a fee must be sub-
which are inadvertently forwarded to
mitted to the Commission’s lockbox
Commission staff for substantive re-
bank at the address for the appropriate
view will be billed for the amount due
if the discrepancy is not discovered service set forth in §§ 1.1102 through
until after 30 calendar days from the 1.1105.
receipt of the application or filing at (2) If no fee payment is submitted,
the Commission. A penalty charge of 25 the request should be filed with the
percent of the amount due will be Commission’s Secretary.
added to each bill. Any Commission ac- (d) Deferrals of fees will be granted
tions taken prior to timely payment of for an established period of time not to
this bill are contingent and subject to exceed six months.
rescission. (e) Applicants seeking waivers must
(c) Applicants to whom a deferral of submit the request for waiver with the
payment is granted under the terms of application or filing, required fee and
this subsection will be billed for the FCC Form 159. Waiver requests that do
amount due plus a charge equalling 25 not include these materials will be dis-
percent of the amount due. Any Com- missed in accordance with § 1.1108 of
mission actions taken prior to timely
267
§ 1.1118 47 CFR Ch. I (10–1–02 Edition)
this subpart. Submitted fees will be re- § 1.1119 Billing procedures.

turned if a waiver is granted. The Com-
(a) The fees required for the Inter-
mission will not be responsible for
delays in acting upon these requests. national Telecommunications Settle-
ments (§ 1,1103 of this subpart) and
[52 FR 5289, Feb. 20, 1987, as amended at 55 Common Carrier Field Audits (§ 1.1105
FR 19172, May 8, 1990; 55 FR 38065, Sept. 17, of this subpart) should not be paid with
30998, June 16, 1994, as further amended at 59
the filing or submission of the request.
FR 30999, June 16, 1994. Redesignated at 60 The fees required for requests for Spe-
FR 5326, Jan. 27, 1995; 65 FR 49762, Aug. 15, cial Temporary Authority (see gen-
2000; 66 FR 36202, July 11, 2001] erally §§ 1.1102, 1.1104, 1.1106, & 1.1107 of
this subpart).
§ 1.1118 Error claims. (b) In these cases, the appropriate fee
(a) Applications who wish to chal- will be determined by the Commission
lenge a staff determination of an insuf- and the filer will be billed for that fee.
ficient fee may do so in writing. These The bill will set forth the amount to be
claims should be addressed to the same paid, the date on which payment is
location as the original submission due, and the address to which the pay-
marked ‘‘Attention Financial Oper- ment should be submitted. See also
ations.’’ § 1.1111 of this subpart.
(b) Actions taken by Financial Oper-
ations staff are subject to the reconsid-
FR 68541, Dec. 28, 1993. Redesignated and
eration and review provisions of §§ 1.106 amended at 59 FR 30998, June 16, 1994. Redes-
and 1.115 of this part, EXCEPT THAT ignated at 60 FR 5326, Jan. 27, 1995; 65 FR
reconsideration and/or review will only 49763, Aug. 15, 2000]
be available where the applicant has
made the full and proper payment of § 1.1151 Authority to prescribe and col-
the underlying fee as required by this lect regulatory fees.
subpart. Authority to impose and collect reg-
(1) Petitions for reconsideration and/ ulatory fees is contained in title VI,
or applications for review submitted by section 6002(a) of the Omnibus Budget
applicants that have not made the full Reconciliation Act of 1993 (Pub. L. 103–
and proper fee payment will be dis-
66, 107 Stat. 397), enacting section 9 of
missed; and
the Communications Act, 47 U.S.C. 159,
(2) If the fee payment should fail
which directs the Commission to pre-
while the Commission is considering
scribe and collect annual regulatory
the matter, the petition for reconsider-
fees from designated regulatees in
ation or application for review will be
order to recover the costs of certain of
dismissed.
its regulatory activities in the private
[52 FR 5289, Feb. 20, 1987, as amended at 53 radio, mass media, common carrier,
FR 40889, Oct. 19, 1988. Redesignated at 59 FR and cable television services.
5326, Jan. 27, 1995; 65 FR 49763, Aug. 15, 2000] [59 FR 30999, June 16,1994]
§ 1.1152 Schedule of annual regulatory fees and filing locations for wireless radio
services.
Fee
Exclusive use services (per license) Address
amount 1
1. Land Mobile (Above 470 MHz and 220 MHz Local,

Base Station & SMRS) (47 CFR, Part 90):
(a) New, Renew/Mod (FCC 601 & 159) ..................... $5.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130.
(b) New, Renew/Mod (Electronic Filing) (FCC 601 & 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994.
159).
(c) Renewal Only (FCC 601 & 159) ........................... 5.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245.
(d) Renewal Only (Electronic Filing) (FCC 601 & 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994.
159).
220 MHz Nationwide
(a) New, Renew/Mod (FCC 601 & 159) ..................... 5.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130.
268
Fee
amount 1
159).
159).
2. Microwave (47 CFR Pt. 101) (Private):
159).
159).
3. 218–219 MHz Service:
159).
159).
4. Shared Use Services:
Land Mobile (Frequencies Below 470 MHz—except 220 MHz)
159).
159).
General Mobile Radio Service
159).
159).
Rural Radio (Part 22)
(a) New, Additional Facility, Major Renew/Mod 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994.
(Electronic Filing) (FCC 601 & 159).
(b) Renewal, Minor Renew/Mod (Electronic Filing) 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994.
(FCC 601 & 159).
Marine Coast
(a) New Renewal/Mod (FCC 601 & 159) ................... 5.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130.
(b) Renewal Only (FCC 601 & 159) ........................... 5.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245.
(c) Renewal Only (Electronic Filing) (FCC 601 & 5.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994.
159).
Aviation Ground
(a) New, Renewal/Mod (FCC 601 & 159) .................. 10.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130.
(b) Renewal Only (FCC 601 & 159) ........................... 10.00 FCC, P.O. Box 358245, Pittsburgh, PA 15251–5245.
(c) Renewal Only (Electronic Filing) (FCC 601 & 10.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994.
159).
Marine Ship
(a) New, Renewal/Mod (FCC 605 & 159) .................. 10.00 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130.
(b) New, Renewal/Mod (Electronic Filing) (FCC 605 10.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994.
& 159).
159).
Aviation Aircraft
159).
269
§ 1.1153 47 CFR Ch. I (10–1–02 Edition)
Fee
amount 1
159).
5. Amateur Vanity Call Signs:
(a) Initial or Renew (FCC 605 & 159) ........................ 1.45 FCC, P.O. Box 358130, Pittsburgh, PA 15251–5130.
(b) Initial or Renew (Electronic Filing) (FCC 605 & 1.45 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994.
159).
6. CMRS Mobile Services (per unit) (FCC 159) ................ 2 .24 FCC, P.O. Box 358835, Pittsburgh, PA 15251–5835.
7. CMRS Messaging Services (per unit) (FCC 159) ......... 3 .08 FCC, P.O. Box 358835, Pittsburgh, PA 15251–5835.
1 Note that ‘‘small fees’’ are collected in advance for the entire license term. Therefore, the annual fee amount shown in this
table that is a small fee (categories 1 through 5) must be multiplied by the 5- or 10-year license term, as appropriate, to arrive at
the total amount of regulatory fees owed. It should be further noted that application fees may also apply as detailed in § 1.1102
of this chapter.
2 These are standard fees that are to be paid in accordance with § 1.1157(b) of this chapter.
3 These are standard fees that are to be paid in accordance with § 1.1157(b) of this chapter.
[67 FR 46303, July 12, 2002]
§ 1.1153 Schedule of annual regulatory fees and filing locations for mass media
services.
Fee Address
amount
Radio [AM and FM] (47 CFR, Part 73)
1. AM Class A:
<=20,000 population ................................................... $500 FCC, Radio, P.O. Box 358835, Pittsburgh, PA 15251–
20,001–50,000 population .......................................... 925 5835.
50,001–125,000 population ........................................ 1,500
125,001–400,000 population ...................................... 2,250
400,001–1,000,000 population ................................... 3,125
1,000,000 population .................................................. 4,975
2. AM Class B:
<=20,000 population ................................................... 375
20,001–50,000 population .......................................... 725
50,001–125,000 population ........................................ 975
125,001–400,000 population ...................................... 1,575
400,001–1,000,000 population ................................... 2,525
1,000,000 population .................................................. 4,100
3. AM Class C:
<=20,000 population ................................................... 275
20,001–50,000 population .......................................... 375
50,001–125,000 population ........................................ 525
125,001–400,000 population ...................................... 800
400,001–1,000,000 population ................................... 1,425
1,000,000 population .................................................. 2,075
4. AM Class D:
<=20,000 population ................................................... 325
20,001–50,000 population .......................................... 525
50,001–125,000 population ........................................ 775
125,001–400,000 population ...................................... 950
400,001–1,000,000 population ................................... 1,700
1,000,000 population .................................................. 2,625
5. AM Construction Permit ................................................. 370
6. FM Classes A, B1 and C3:
<=20,000 population ................................................... 375
20,001–50,000 population .......................................... 725
50,001–125,000 population ........................................ 975
125,001–400,000 population ...................................... 1,575
400,001–1,000,000 population ................................... 2,525
?1,000,000 population ................................................ 4,100
7. FM Classes B, C, C1 and C2:
<=20,000 population ................................................... 500
20,001–50,000 population .......................................... 925
50,001–125,000 population ........................................ 1,500
125,001–400,000 population ...................................... 2,250
400,001–1,000,000 population ................................... 3,125
?1,000,000 population ................................................ 4,975
8. FM Construction Permits ............................................... 1,500
270
Fee Address
amount
TV (47 CFR, Part 73) VHF Commercial
1. Markets 1 thru 10 ........................................................... 47,050 FCC, TV Branch, P.O. Box 358835, Pittsburgh, PA
2. Markets 11 thru 25 ......................................................... 34,700 15251–5835.
3. Markets 26 thru 50 ......................................................... 23,625
4. Markets 51 thru 100 ....................................................... 15,150
5. Remaining Markets ........................................................ 3,525
6. Construction Permits ...................................................... 2,750
UHF Commercial
1. Markets 1 thru 10 ........................................................... 12,800 FCC, UHF Commercial, P.O. Box 358835, Pittsburgh,
2. Markets 11 thru 25 ......................................................... 10,300 PA 15251–5835.
3. Markets 26 thru 50 ......................................................... 6,600
4. Markets 51 thru 100 ....................................................... 3,875
5. Remaining Markets ........................................................ 1,075
6. Construction Permits ...................................................... 5,175
Satellite UHF/VHF Commercial
1. All Markets ..................................................................... 805 FCC Satellite TV, P.O. Box 358835, Pittsburgh, PA
2. Construction Permits ...................................................... 420 15251–5835.
Low Power TV, TV/FM Translator, & TV/FM Booster (47 320 FCC, Low Power, P.O. Box 358835, Pittsburgh, PA
CFR Part 74). 15251–5835.
Broadcast Auxiliary ............................................................ 10 FCC, Auxiliary, P.O. Box 358835, Pittsburgh, PA
15251–5835.
Multipoint Distribution (Includes MMDS, MDS, & LMDS) .. 430 FCC, Multipoint, P.O. Box 358835, Pittsburgh, PA
15251–5835
[67 FR 46304, July 12, 2002]
§ 1.1154 Schedule of annual regulatory charges and filing locations for common
carrier services.
Fee Address
amount
Radio Facilities
1. Microwave (Domestic Public Fixed) (Electronic Filing) $10.00 FCC, P.O. Box 358994, Pittsburgh, PA 15251–5994.
(FCC Form 601 & 159).
Fee amount Address
Carriers
1. Interstate Telephone Service Providers (per inter- .00153 FCC, Carriers, P.O. Box 358835, Pittsburgh, PA
state and international end-user revenues (see FCC 15251–5835.
Form 499–A).
[67 FR 46305, July 12, 2002]
§ 1.1155 Schedule of regulatory fees and filing locations for cable television serv-
ices.
Fee Address
amount
1. Cable Television Relay Service ..................................... $65 FCC, Cable, P.O. Box 358835, Pittsburgh, PA 15251–
2. Cable TV System ........................................................... .53 5835.
[67 FR 46306, July 12, 2002]
271
§ 1.1156 47 CFR Ch. I (10–1–02 Edition)
§ 1.1156 Schedule of regulatory fees and filing locations for international services.
Fee Address
amount
Radio Facilities
1. International (HF) Broadcast .......................................... $495 FCC, International, P.O. Box 358835, Pittsburgh, PA
15251–5835.
2. International Public Fixed .............................................. 1,400 FCC, International, P.O. Box 358835, Pittsburgh, PA
15251–5835.
Space Stations (Geostationary Orbit) ................................ 99,700 FCC, Space Stations, P.O. Box 358835, Pittsburgh, PA
15251–5835.
Space Stations (Non-Geostationary Orbit) ........................ 103,200 FCC, Space Stations, P.O. Box 358835, Pittsburgh, PA
15251–5835.
Earth Stations
Transmit/Receive & Transmit Only (per authorization or $140 FCC, Earth Station, P.O. Box 358835, Pittsburgh, PA
registration). 15251–5835.
Carriers
1. International Bearer Circuits (per active 64KB circuit or $2.00 FCC, International, P.O. Box 358835, Pittsburgh, PA
equivalent). 15251–5835.
[67 FR 46306, July 12, 2002]
§ 1.1157 Payment of charges for regu- sion or the Managing Director, pursu-
latory fees. ant to delegated authority, and pub-
Payment of a regulatory fee, required lished in the FEDERAL REGISTER.
under §§ 1.1152 through 1.1156, shall be (2) Large regulatory fees, as annually
filed in the following manner: defined by the Commission, may be
(a) (1) The amount of the regulatory submitted in installment payments or
fee payment that is due with any appli- in a single payment on a date certain
cation for authorization shall be the as announced by the Commission or
multiple of the number of years in the the Managing Director, pursuant to
entire term of the requested license or delegated authority, and published in
other authorization multiplied by the the FEDERAL REGISTER.
annual fee payment required in the (c) Standard regulatory fee pay-
Schedule of Regulatory Fees, effective ments, as well as any installment pay-
at the time the application is filed. Ex- ment, must be filed with a FCC Form
cept as set forth in § 1.1160, advance 159, FCC Remittance Advice, and a FCC
payments shall be final and shall not Form 159C, Remittance Advice Con-
be readjusted during the term of the li- tinuation Sheet, if additional space is
cense or authorization, notwith- needed. Failure to submit a copy of
standing any subsequent increase or FCC Form 159 with a standard regu-
decrease in the annual amount of a fee latory fee payment, or an installment
required under the Schedule of Regu- payment, will result in the return of
latory Fees. the submission and a 25 percent pen-
(2) Failure to file the appropriate alty if the payment is resubmitted
regulatory fee due with an application after the date the Commission estab-
for authorization will result in the re- lishes for the payment of standard reg-
turn of the accompanying application, ulatory fees and for any installment
including an application for which the payment.
Commission has assigned a specific fil- (1) Any late filed regulatory fee pay-
ing deadline. ment will be subject to the penalties
(b)(1) Payments of standard regu- set forth in section 1.1164.
latory fees applicable to certain wire- (2) If one or more installment pay-
less radio, mass media, common car- ments are untimely submitted or not
rier, cable and international services submitted at all, the eligibility of the
shall be filed in full on an annual basis subject regulatee to submit install-
at a time announced by the Commis- ment payments may be cancelled.
272
(d) Any Commercial Mobile Radio and a penalty fee of 25 percent if the
Service (CMRS) licensee subject to subsequent refiling of the fee payment
payment of an annual regulatory fee is late. Failure to comply will also sub-
shall retain for a period of two (2) years ject the payor to the penalties set forth
from the date on which the regulatory in § 1.1164.
fee is paid, those business records (b) Multiple payment instruments for
which were used to calculate the a single regulatory fee are not per-
amount of the regulatory fee. mitted, except that the Commission
will accept multiple money orders in
FR 59825, Nov. 5, 1997; 67 FR 46306, July 12, payment of any fee where the fee ex-
2002] ceeds the maximum amount for a
money order established by the issuing
§ 1.1158 Form of payment for regu- entity and the use of multiple money
latory fees. orders is the only practicable means
Any regulatory fee payment must be available for payment.
submitted in the form of a check, bank (c) Payment of multiple standard
draft or money order denominated in regulatory fees (including an install-
U.S. dollars and drawn on a United ment payment) due on the same date,
States financial institution and made may be made with a single payment in-
payable to the Federal Communica- strument and cover mass media, com-
tions Commission or by Visa, mon carrier, international, and cable
Mastercard, American Express or Dis- service fee payments. Each regulatee is
cover credit cards only. The Commis- solely responsible for accurately ac-
sion discourages applicants from sub- counting for and listing each license or
mitting cash payments and will not be authorization and the number of sub-
responsible for cash sent through the scribers, access lines, or other relevant
mail. Personal or corporate checks units on the accompanying FCC Form
dated more than six months prior to 159 and, if needed, FCC Form 159C and
their submission to the Commission’s for making full payment for every reg-
lockbox bank and postdated checks ulatory fee listed on the accompanying
will not be accepted and will be reform. Any omission or payment defi-
turned as deficient. ciency of a regulatory fee will result in
(a) Upon authorization from the a 25 percent penalty of the amount due
Commission following a written re- and unpaid.
quest, electronic fund transfer (EFT) (d) Any regulatory fee payment
payment of a regulatory fee may be (including a regulatory fee payment
made as follows: submitted with an application in the
(1)(i) The payor may instruct its wireless radio service) made by credit
bank to make payment of the regu- card or money order must be submitted
latory fee directly to the Commission’s with a completed FCC Form 159. Fail-
lockbox bank, or ure to accurately enter the credit card
(ii) The payor may authorize the number and date of expiration and the
Commission to direct its lockbox bank payor’s signature in the appropriate
to withdraw funds directly from the blocks on FCC Form 159 will result in
payor’s bank account. rejection of the credit card payment.
(2) No EFT payment of a regulatory [60 FR 34031, June 29, 1995, as amended at 67
fee will be accepted unless the payor FR 46306, July 12, 2002]
has obtained the written authorization
of the Commission to submit regu- § 1.1159 Filing locations and receipts
latory fees electronically. Procedures for regulatory fees.
for electronic payment of regulatory (a) Regulatory fee payments must be
fees will be announced by Public No- directed to the location and address set
tice. It is the responsibility of the forth in §§ 1.1152 through 1.1156 for the
payor to insure that any electronic specific category of fee involved. Any
payment is made in the manner re- regulatory fee required to be submitted
quired by the Commission. Failure to with an application must be filed as a
comply with the Commission’s proce- part of the application package accom-
dures for electronic fee payment will panying the application. The Commis-
result in the return of the fee payment, sion will not take responsibility for
273
§ 1.1160 47 CFR Ch. I (10–1–02 Edition)
matching fees, forms and applications regulatory fee and shall publish the
submitted at different times or loca- Public Notice in the FEDERAL REG-
tions. ISTER.
(b) Petitions for reconsideration or
applications for review of fee decisions FR 59825, Nov. 5, 1997]
submitted with a standard regulatory
fee payment pursuant to § § 1.1152 § 1.1160 Refunds of regulatory fees.
through 1.1156 of the rules are to be
(a) Regulatory fees will be refunded,
filed with the Commission’s lockbox
upon request, only in the following in-
bank in the manner set forth in §§ 1.1152
stances:
through 1.1156 for payment of the fee
(1) When no regulatory fee is required
subject to the petition for reconsider-
or an excessive fee has been paid. In
ation or the application for review. Pe-
the case of an overpayment, the refund
titions for reconsideration and applica-
amount will be based on the appli-
tions for review that are submitted
cants’, permittees’, or licensees’ entire
with no accompanying payment should
submission. All refunds will be issued
be filed with the Secretary, Federal
to the payor named in the appropriate
Communications Commission, Atten-
block of the FCC Form 159. Payments
tion: Managing Director, Washington,
in excess of a regulatory fee will be re-
D.C. 20554.
funded only if the overpayment is
(c) Any request for exemption from a
$10.00 or more.
regulatory fee shall be filed with the
(2) In the case of advance payment of
Secretary, Federal Communications
regulatory fees, subject to § 1.1152, a re-
Commission, Attention: Managing Di-
fund will be issued based on unexpired
rector, Washington, D.C. 20554, except
full years:
that requests for exemption accom-
panied by a tentative fee payment shall (i) When the Commission adopts new
be filed at the lockbox set forth for the rules that nullify a license or other au-
appropriate service in § § 1.1152 through thorization, or a new law or treaty ren-
1.1156. ders a license or other authorization
(d) The Commission will furnish a re- useless;
ceipt for a regulatory fee payment only (ii) When a licensee in the wireless
upon request. In order to obtain a re- radio service surrenders the license or
ceipt for a regulatory fee payment, the other authorization subject to a fee
package must include an extra copy of payment to the Commission; or
the Form FCC 159 or, if a Form 159 is (iii) When the Commission declines
not required with the payment, a copy to grant an application submitted with
of the first page of the application or a regulatory fee payment.
other filing submitted with the regu- (3) When a waiver is granted in ac-
latory fee payment, submitted ex- cordance with § 1.1166.
pressly for the purpose of serving as a (b) No pro-rata refund of an annual
receipt for the regulatory fee payment fee will be issued.
and application fee payment, if re- (c) No refunds will be issued based on
quired. The document should be clearly unexpired partial years.
marked ‘‘copy’’ and should be the top (d) No refunds will be processed with-
document in the package. The copy out a written request from the appli-
will be date stamped immediately and cant, permittee, licensee or agent.
provided to the bearer of the submis- [60 FR 34032, June 29, 1995, as amended at 67
sion, if hand delivered. For submissions FR 46307, July 12, 2002]
by mail, the receipt copy will be pro-
vided through return mail if the filer § 1.1161 Conditional license grants and
has attached to the receipt copy a delegated authorizations.
stamped self-addressed envelope of suf- (a) Grant of any application or an in-
ficient size to contain the receipt docu- strument of authorization or other fil-
ment. ing, for which a regulatory fee is re-
(e) The Managing Director may issue quired to accompany the application or
annually, at his discretion, a Public filing, will be conditioned upon final
Notice setting forth the names of all payment of the regulatory fee. Final
commercial regulatees that have paid a payment shall mean receipt by the U.S.
274
Treasury of funds cleared by the finan- tive to pay a regulatory fee that is due
cial institution on which the check, or would not be a meaningful sanction
bank draft, money order, credit card, for failure to pay such a fee, the Com-
wire or electronic payment is drawn. mission may, in its discretion, whether
(1) If, prior to a grant of an instru- the regulatory fee is required to be
ment of authorization, the Commission paid with an application for an instru-
is notified that final payment of the ment of authorization or otherwise,
regulatory fee has not been made, the withhold processing and/or grant of
application or filing: any application or filing made by a
(i) Will be dismissed and returned; person or organization who has failed
(ii) Shall lose its place in the proc- to make full payment of any regu-
essing line; and latory fee due.
(iii) Will not be treated as timely (1) Before taking such action, the
filed if resubmitted after the relevant staff will make a written request for
filing deadline. the fee, together with any penalties
(2) If, subsequent to a grant of an in- that may be rendered under this sub-
strument of authorization or other fil- part. Such request shall inform the
ing, the Commission is notified that regulatee that failure to pay may re-
final payment has not been made, the
sult in the Commission withholding ac-
Commission will:
tion on any application or request filed
(i) Automatically rescind that instru-
by the applicant. The staff shall also
ment of authorization for failure to
inform the regulatee of the procedures
meet the condition imposed by this
for seeking Commission review of the
subsection;
(ii) Notify the grantee of this action; staff’s fee determination.
and (2) If, after final determination that
(iii) Treat as late filed any applica- the fee is due, payment is not made in
tion resubmitted after the original a timely manner, the staff may termi-
deadline for filing the application. nate processing and/or withhold any
(3) Upon receipt of a notification of grant or petition requested by the per-
rescission of the authorization, the son or organization subject to the fee
grantee will immediately cease oper- payment requirement, until the matter
ations initiated pursuant to the au- is resolved.
thorization. [60 FR 34032, June 29, 1995]
(b) In those instances where the Com-
mission has granted a request for de- § 1.1162 General exemptions from reg-
ferred payment of a regulatory fee, fur- ulatory fees.
ther processing of the application or
No regulatory fee established in
filing or the grant of authority shall be
conditioned upon final payment of the §§ 1.1152 through 1.1156, unless other-
regulatory fee and any required pen- wise qualified herein, shall be required
alties for late payment prescribed by for: (a) Applicants, permittees or li-
the deferral decision. Failure to com- censees in the Amateur Radio Service,
ply with the terms of the deferral deci- except that any person requesting a
sion shall result in the automatic dis- vanity call-sign shall be subject to the
missal of the submission or rescission payment of a regulatory fee, as pre-
of the Commission authorization. Fur- scribed in § 1.1152.
ther, the Commission shall: (b) Applicants, permittees, or licens-
(1) Notify the grantee that the au- ees who qualify as government entities.
thorization has been rescinded. Upon For purposes of this exemption, a gov-
such notification, the grantee will im- ernment entity is defined as any state,
mediately cease operations initiated possession, city, county, town, village,
pursuant to the authorization; and municipal corporation, or similar po-
(2) Treat as late filed any application litical organization or subpart thereof
resubmitted after the original deadline controlled by publicly elected or duly
for filing the application. appointed public officials exercising
(c) Where the procedures described in sovereign direction and control over
paragraphs (a) and (b) of this section their respective communities or pro-
would not provide a meaningful incen- grams.
275
§ 1.1162 47 CFR Ch. I (10–1–02 Edition)
(c) Applicants and permittees who services, as well as AM applicants, per-

qualify as nonprofit entities. For pur- mittees or licensees operating in ac-
poses of this exemption, a nonprofit en- cordance with § 73.503 of this chapter.
tity is defined as: an organization duly (f) Applicants, permittees, or licens-
qualified as a nonprofit, tax exempt en- ees qualifying under paragraph (e) of
tity under section 501 of the Internal this section requesting Commission au-
Revenue Code, 26 U.S.C. 501; or an enti- thorization in any other mass media
ty with current certification as a non- radio service (except the international
profit corporation or other nonprofit broadcast (HF) service), wireless radio
entity by state or other governmental service, common carrier radio service,
authority. or international radio service requiring
(1) Any permittee, licensee or other payment of a regulatory fee, if the
entity subject to a regulatory fee and service is used in conjunction with
claiming an exemption from a regu- their noncommercial educational
latory fee based upon its status as a broadcast station on a noncommercial
nonprofit entity, as described above, educational basis.
shall file with the Secretary of the (g) Other applicants, permittees or li-
Commission (Attn: Managing Director) censees providing, or proposing to pro-
written documentation establishing vide, a noncommercial educational or
the basis for its exemption within 60 instructional service, but not quali-
days of its coming under the regu- fying under paragraph (e) of this sec-
latory jurisdiction of the Commission tion, may be exempt from regulatory
or at the time its fee payment would fees, or be entitled to a refund, in the
otherwise be due, whichever is sooner, following circumstances:
or at such other time as required by
(1) The applicant, permittee or li-
the Managing Director. Acceptable
censee is an organization that, like the
documentation may include Internal
Public Broadcasting Service or Na-
Revenue Service determination letters,
tional Public Radio, receives funding
state or government certifications or
directly or indirectly through the Pub-
other documentation that non-profit
lic Broadcasting Fund, 47 U.S.C. 396(k),
status has been approved by a state or
other governmental authority. Appli- distributed by the Corporation for Pub-
cants, permittees and licensees are re- lic Broadcasting, where the authoriza-
quired to file documentation of their tion requested will be used in conjunc-
nonprofit status only once, except upon tion with the organization on a non-
request of the Managing Director. commercial educational basis;
(2) Within sixty (60) days of a change (2) An applicant, permittee or li-
in nonprofit status, a licensee or per- censee of a translator or low power tel-
mittee previously claiming a 501(C) ex- evision station operating or proposing
emption is required to file with the to operate a noncommercial edu-
Secretary of the Commission (Attn: cational service who, after grant, pro-
Managing Director) written notice of vides proof that it has received funding
such change in its nonprofit status or for the construction of the station
ownership. Additionally, for-profit pur- through the National Telecommuni-
chasers or assignees of a license, sta- cations and Information Administra-
tion or facility previously licensed or tion (NTIA) or other showings as re-
operated by a non-profit entity not quired by the Commission; or
subject to regulatory fees must notify (3) An applicant, permittee, or li-
the Secretary of the Commission (Attn: censee provided a fee refund under
Managing Director) of such purchase or § 1.1160 and operating as a noncommer-
reassignment within 60 days of the ef- cial education station, is exempt from
fective date of the purchase or assign- fees for broadcast auxiliary stations
ment. (subparts D, E, and F of part 74 of this
(d) Applicants, permittees or licens- chapter) or stations in the wireless
ees in the Special Emergency Radio radio, common carrier, or inter-
and Public Safety Radio services. national services where such authoriza-
(e) Applicants, permittees or licens- tion is to be used in conjunction with
ees of noncommercial educational the noncommercial educational trans-
broadcast stations in the FM or TV lator or low power station.
276
(h) An applicant, permittee or li- (2) Be established at amounts that

censee that is the licensee of an in- will result in collection, during each
structional television fixed station fiscal year, of an amount that can rea-
(§§ 74.901 through 74.996 of this chapter) sonably be expected to equal the
is exempt from regulatory fees where amount appropriated for such fiscal
the authorization requested will be year for the performance of the activi-
used by the applicant in conjunction ties described in paragraph (c)(1) of
with the provision of the instructional this section.
service. (d) The Commission shall by rule
(i) Applications filed in the wireless amend the Schedule of Regulatory Fees
radio service for the sole purpose of by proportionate increases or decreases
modifying an existing authorization (or that reflect, in accordance with para-
a pending application for authoriza- graph (c)(2) of this section, changes in
tion). However, if the applicant also re- the amount appropriated for the per-
quests a renewal or reinstatement of formance of the activities described in
its license or other authorization for paragraph (c)(1) of this section, for
which the submission of a regulatory such fiscal year. Such proportionate in-
fee is required, the appropriate regu- creases or decreases shall be adjusted
latory fee for such additional request to reflect unexpected increases or de-
must accompany the application. creases in the number of licensees or
[60 FR 34033, June 29, 1995, as amended at 60 units subject to payment of such fees
FR 34904, July 5, 1995; 62 FR 59825, Nov. 5, and result in collection of an aggregate
1997] amount of fees that will approximately
equal the amount appropriated for the
§ 1.1163 Adjustments to regulatory subject regulatory activities.
fees.
(e) The Commission shall, by rule,
(a) For Fiscal Year 1995, the amounts amend the Schedule of Regulatory Fees
assessed for regulatory fees are set if the Commission determines that the
forth in §§ 1.1152 through 1.1156. Schedule requires amendment to com-
(b) For Fiscal year 1996 and there- ply with the requirements of paragraph
after, the Schedule of Regulatory Fees, (c)(1) of this section. In making such
contained in §§ 1.1152 through 1.1156, amendments, the Commission shall
may be adjusted annually by the Com- add, delete or reclassify services in the
mission pursuant to section 9 of the Schedule to reflect additional deletions
Communications Act. 47 U.S.C. 159. Ad- or changes in the nature of its services
justments to the fees established for as a consequence of Commission rule-
any category of regulatory fee pay- making proceedings or changes in law.
ment shall include projected cost in- (f) In making adjustments to regu-
creases or decreases and an estimate of latory fees, the Commission will round
the volume of licensees or units upon such fees to the nearest $5.00 in the
which the regulatory fee is calculated. case of fees under $1,000.00, or to the
(c) The fees assessed shall: nearest $25.00 in the case of fees of
(1) Be derived by determining the $1,000.00 or more.
full-time equivalent number of employ-
ees performing enforcement activities, [60 FR 34033, June 29, 1995, as amended at 67
policy and rulemaking activities, user FR 13224, Mar. 21, 2002]
information services, and international
activities within the Wireline Competi- § 1.1164 Penalties for late or insuffi-
tion Bureau, Media Bureau, Inter- cient regulatory fee payments.
national Bureau and other offices of Any late payment or insufficient
the Commission, adjusted to take into payment of a regulatory fee, not ex-
account factors that are reasonably re- cused by bank error, shall subject the
lated to the benefits provided to the regulatee to a 25 percent penalty of the
payor of the fee by the Commission’s amount of the fee of installment pay-
activities, including such factors as ment which was not paid in a timely
service coverage area, shared use manner. A timely fee payment or in-
versus exclusive use, and other factors stallment payment is one received at
that the Commission determines are the Commission’s lockbox bank by the
necessary in the public interest; due date specified by the Commission
277
§ 1.1165 47 CFR Ch. I (10–1–02 Edition)
or by the Managing Director. A pay- the required regulatory fee and by any
ment will also be considered late filed assessed penalty payment.
if the payment instrument (check, (f) In instances where the Commis-
money order, bank draft or credit card) sion may revoke an existing instru-
is uncollectible. ment of authorization for failure to file
(a) The Commission may, in its dis- a regulatory fee, the Commission will
cretion, following one or more late provide prior notice to the regulatee of
filed installment payments, require a such action and shall allow the licensee
regulatee to pay the entire balance of no less than 60 days to either pay the
its regulatory fee by a date certain, in fee or show cause why the payment as-
addition to assessing a 25 percent pen- sessed is inapplicable or should other-
alty. wise be waived or deferred.
(b) In cases were a fee payment fails (1) An adjudicatory hearing will not
due to error by the payor’s bank, as be designated unless the response by
evidenced by an affidavit of an officer the regulatee to the Order to Show
of the bank, the date of the original Cause presents a substantial and mate-
submission will be considered the date
rial question of fact.
of filing.
(2) Disposition of the proceeding shall
(c) If a regulatory fee is paid in a
be based upon written evidence only
timely manner, the regulatee will be
and the burden of proceeding with the
notified of its deficiency. This notice
will automatically assess a 25 percent introduction of evidence and the bur-
penalty, subject the delinquent payor’s den of proof shall be on the respondent
pending applications to dismissal, and regulatee.
may require a delinquent payor to (3) Unless the regulatee substantially
show cause why its existing instru- prevails in the hearing, the Commis-
ments of authorization should not be sion may assess costs for the conduct
subject to rescission. of the proceeding against the respond-
(d)(1) Where a regulatee’s new, re- ent regulatee. See 47 U.S.C. 402(b)(5).
newal or reinstatement application is (4) Any regulatee failing to submit a
required to be filed with a regulatory regulatory fee, following notice to the
fee (as is the case with wireless radio regulatee of failure to submit the re-
services), the application will be dis- quired fee, is subject to collection of
missed if the regulatory fee is not in- the fee, including interest thereon, any
cluded with the application package. In associated penalties, and the full cost
the case of a renewal or reinstatement of collection to the Federal govern-
application, the application may not be ment pursuant to section 3720A of the
refiled unless the appropriate regu- Internal Revenue Code, 31 U.S.C. 3717,
latory fee plus the 25 percent penalty and to the provisions of the Debt Col-
charge accompanies the refiled applica- lection Act, 31 U.S.C. 3717. See 47 CFR
tion. 1.1901 through 1.1952. The debt collec-
(2) If the application that must be action processes described above may
companied by a regulatory fee is a mu- proceed concurrently with any other
tually exclusive application with a fil- sanction in this paragraph.
ing deadline, or any other application
that must be filed by a date certain, [60 FR 34034, June 29, 1995]
the application will be dismissed if not
accompanied by the proper regulatory § 1.1165 Payment by cashier’s check
for regulatory fees.
fee and will be treated as late filed if
resubmitted after the original date for Payment by cashier’s check may be
filing application. required when a person or organization
(e) Any pending or subsequently filed makes payment, on one or more occa-
application submitted by a party will sions, with a payment instrument on
be dismissed if that party is deter- which the Commission does not receive
mined to be delinquent in paying a final payment and such error is not ex-
standard regulatory fee or an install- cused by bank error.
ment payment. The application may be
resubmitted only if accompanied by [60 FR 34034, June 29, 1995]
278
§ 1.1166 Waivers, reductions and defer- cial hardship, supported by documenta-

rals of regulatory fees. tion of the financial hardship.
The fees established by sections [60 FR 34034, June 29, 1995, as amended at 65
1.1152 through 1.1156 may be waived, re- FR 78989, Dec. 18, 2000; 66 FR 36206, July 11,
duced or deferred in specific instances, 2001]
on a case-by-case basis, where good
§ 1.1167 Error claims related to regu-
cause is shown and where waiver, re- latory fees.
duction or deferral of the fee would
promote the public interest. Requests (a) Challenges to determinations of
for waivers, reductions or deferrals of an insufficient regulatory fee payment
regulatory fees for entire categories of should be made in writing. challenges
payors will not be considered. submitted with a fee payment must be
submitted to the same location as the
(a) Requests for waivers, reductions
original fee payment, marked
or deferrals will be acted upon by the
‘‘Attention: Fee Supervisor’’. Chal-
Managing Director with the concur-
lenges not accompanied by a fee pay-
rence of the General Counsel. All such
ment should be filed with the Commis-
filings within the scope of the fee rules
sion’s Secretary and clearly marked to
shall be filed as a separate pleading and the attention of the Managing Direc-
clearly marked to the attention of the tor.
Managing Director. Any such request (b) The filing of a petition for recon-
that is not filed as a separate pleading sideration or an application for review
will not be considered by the Commis- of a fee determination will not relieve
sion. licensees from the requirement that
(1) If the request for waiver, reduc- full and proper payment of the under-
tion or deferral is accompanied by a fee lying fee payment be submitted, as re-
payment, the request must be sub- quired by the Commission’s action, or
mitted to the Commission’s lockbox delegated action, on a request for waiv-
bank at the address for the appropriate er, reduction or deferment. Petitions
service set forth in §§ 1.1152 through for reconsideration and applications
1.1156 of this subpart. for review submitted with a fee pay-
(2) If no fee payment is submitted, ment must be submitted to the same
the request should be filed with the location as the original fee payment.
Commission’s Secretary. Petitions for reconsideration and appli-
(b) Deferrals of fees will be granted cations for review not accompanied by
for a period of six months following the a fee payment should be filed with the
date that the fee is initially due. Commission’s Secretary and clearly
(c) Petitions for waiver of a regu- marked to the attention of the Man-
latory fee must be accompanied by the aging Director.
required fee and FCC Form 159. Sub- (1) Failure to submit the fee by the
mitted fees will be returned if a waiver date required will result in the assess-
is granted. Waiver requests that do not ment of a 25 percent penalty.
include the required fees or forms will (2) If the fee payment should fail
be dismissed unless accompanied by a while the Commission is considering
petition to defer payment due to finan- the matter, the petition for reconsider-
cial hardship, supported by documenta- ation or application for review will be
tion of the financial hardship. dismissed.
(d) Petitions for reduction of a fee [60 FR 34035, June 29, 1995]
must be accompanied by the full fee
payment and Form 159. Petitions for § 1.1181 Authority to prescribe and col-
reduction accompanied by a fee pay- lect fees for competitive bidding-re-
ment must be addressed to the Federal lated services and products.
Communications Commission, Atten- Authority to prescribe, impose, and
tion: Petitions, Post Office Box 358835, collect fees for expenses incurred by
Pittsburgh, Pennsylvania, 15251–5835. the government is governed by the
Petitions for reduction that do not in- Independent Offices Appropriation Act
clude the required fees or forms will be of 1952, as amended, 31 U.S.C. 9701,
dismissed unless accompanied by a pe- which authorizes agencies to prescribe
tition to defer payment due to finan- regulations that establish charges for
279
§ 1.1182 47 CFR Ch. I (10–1–02 Edition)
the provision of government services § 1.1182 Schedule of fees for products

and products. Under this authority, the and services provided by the Com-
Federal Communications Commission mission in connection with competi-
may prescribe and collect fees for com- tive bidding procedures.
petitive bidding-related services and
products as specified in § 1.1182.
[60 FR 38280, July 26, 1995]
Product or service Fee amount Payment procedure
On-line remote access 900 Number Tele- 2.30 per minute ....................................... Charges included on customer’s long
phone Service). distance telephone bill.
Remote Bidding Software .......................... $175.00 per package .............................. Payment to auction contractor by credit
card or check. (Public Notice will
specify exact payment procedures.)
Bidder Information Package ...................... First package free; $16.00 per additional Payment to auction contractor by credit
package (including postage) to same card or check. (Public Notice will
person or entity. specify exact payment procedures.)
[60 FR 38280, July 26, 1995] notice. Joint Boards may modify the ex
parte rules in proceedings before them.
Subpart H—Ex Parte (b) Inquiries concerning the propriety
Communications of ex parte presentations should be di-
rected to the Office of General Counsel.
SOURCE: 52 FR 21052, June 4, 1987, unless [62 FR 15853, Apr. 3, 1997]
otherwise noted.
§ 1.1202 Definitions.
GENERAL
For the purposes of this subpart, the
§ 1.1200 Introduction. following definitions apply:
(a) Presentation. A communication di-
(a) Purpose. To ensure the fairness rected to the merits or outcome of a
and integrity of its decision-making,
proceeding, including any attachments
the Commission has prescribed rules to
to a written communication or docu-
regulate ex parte presentations in Com-
ments shown in connection with an
mission proceedings. These rules speci-
oral presentation directed to the mer-
fy ‘‘exempt’’ proceedings, in which ex
its or outcome of a proceeding. Ex-
parte presentations may be made freely
(§ 1.1204(b)), ‘‘permit-but-disclose’’ pro- cluded from this term are communica-
ceedings, in which ex parte presen- tions which are inadvertently or cas-
tations to Commission decision-mak- ually made, inquiries concerning com-
ing personnel are permissible but sub- pliance with procedural requirements
ject to certain disclosure requirements if the procedural matter is not an area
(§ 1.1206), and ‘‘restricted’’ proceedings of controversy in the proceeding, state-
in which ex parte presentations to and ments made by decisionmakers that
from Commission decision-making per- are limited to providing publicly avail-
sonnel are generally prohibited able information about pending pro-
(§ 1.1208). In all proceedings, a certain ceedings, and inquiries relating solely
period (’’the Sunshine Agenda period’’) to the status of a proceeding, including
is designated in which all presentations inquiries as to the approximate time
to Commission decision-making per- that action in a proceeding may be
sonnel are prohibited (§ 1.1203). The lim- taken. However, a status inquiry which
itations on ex parte presentations de- states or implies a view as to the mer-
scribed in this section are subject to its or outcome of the proceeding or a
certain general exceptions set forth in preference for a particular party, which
§ 1.1204(a). Where the public interest so states why timing is important to a
requires in a particular proceeding, the particular party or indicates a view as
Commission and its staff retain the dis- to the date by which a proceeding
cretion to modify the applicable ex should be resolved, or which otherwise
parte rules by order, letter, or public is intended to address the merits or
280
outcome or to influence the timing of a cation, waiver request, petition, mo-

proceeding is a presentation. tion, request for a declaratory ruling,
NOTE TO PARAGRAPH (a): A communication
or other filing seeking affirmative re-
expressing concern about administrative lief (including a Freedom of Informa-
delay or expressing concern that a pro- tion Act request), and any person
ceeding be resolved expeditiously will be (other than an individual viewer or lis-
treated as a permissible status inquiry so tener filing comments regarding a
long as no reason is given as to why the pro- pending broadcast application or mem-
ceeding should be expedited other than the
bers of Congress or their staffs or
need to resolve administrative delay, no
view is expressed as to the merits or out- branches of the federal government or
come of the proceeding, and no view is ex- their staffs) filing a written submission
pressed as to a date by which the proceeding referencing and regarding such pending
should be resolved. A presentation by a party filing which is served on the filer, or, in
in a restricted proceeding not designated for the case of an application, any person
hearing requesting action by a particular filing a mutually exclusive application;
date or giving reasons that a proceeding
should be expedited other than the need to NOTE 1 TO PARAGRAPH (d)(1): Persons who
avoid administrative delay (and responsive file mutually exclusive applications for serv-
presentations by other parties) may be made ices that the Commission has announced will
on an ex parte basis subject to the provisions be subject to competitive bidding or lotteries
of § 1.1204(a)(11). shall not be deemed parties with respect to
each others’ applications merely because
(b) Ex parte presentation. Any presen- their applications are mutually exclusive.
tation which: Therefore, such applicants may make pres-
(1) If written, is not served on the entations to the Commission about their
parties to the proceeding; or own applications provided that no one has
(2) If oral, is made without advance become a party with respect to their applica-
tion by other means, e.g., by filing a petition
notice to the parties and without op-
or other opposition against the applicant or
portunity for them to be present. an associated waiver request, if the petition
NOTE TO PARAGRAPH (b): Written commu- or opposition has been served on the appli-
nications include electronic submissions cant.
transmitted in the form of texts, such as by (2) Any person who files a complaint
Internet electronic mail. or request to revoke a license or other
(c) Decision-making personnel. Any authorization or for an order to show
member, officer, or employee of the cause which shows that the complain-
Commission, or, in the case of a Joint ant has served it on the subject of the
Board, its members or their staffs, who complaint or which is a formal com-
is or may reasonably be expected to be plaint under 47 U.S.C. 208 and § 1.721 of
involved in formulating a decision, this chapter or 47 U.S.C. 255 and either
rule, or order in a proceeding. Any per- §§ 6.21 or 7.21 of this chapter, and the
son who has been made a party to a person who is the subject of such a
proceeding or who otherwise has been complaint or request that shows serv-
excluded from the decisional process ice or is a formal complaint under 47
shall not be treated as a decision- U.S.C. 208 and § 1.721 of this chapter or
maker with respect to that proceeding. 47 U.S.C. 255 and either §§ 6.21 or 7.21 of
Thus, any person designated as part of this chapter;
a separate trial staff shall not be con- (3) The subject of an order to show
sidered a decision-making person in cause, hearing designation order, no-
the designated proceeding. Unseparated tice of apparent liability, or similar
Bureau or Office staff shall be consid- notice or order, or petition for such no-
ered decision-making personnel with tice or order;
respect to decisions, rules, and orders (4) In a proceeding designated for
in which their Bureau or Office partici- hearing, any person who has been given
pates in enacting, preparing, or review- formal party status; and
ing. (5) In an informal rulemaking pro-
(d) Party. Unless otherwise ordered ceeding conducted under section 553 of
by the Commission, the following per- the Administrative Procedure Act
sons are parties: (other than a proceeding for the allot-
(1) In a proceeding not designated for ment of a broadcast channel) or a pro-
hearing, any person who files an appli- ceeding before a Joint Board or before
281
§ 1.1203 47 CFR Ch. I (10–1–02 Edition)
the Commission to consider the rec- for hearing in accordance with proce-
ommendation of a Joint Board, mem- dures in 5 U.S.C. 554.
bers of the general public after the
issuance of a notice of proposed rule- FR 68947, Dec. 9, 1999; 64 FR 72571, Dec. 28,
making or other order as provided 1999; 65 FR 56261, Sept. 18, 2000; 67 FR 13224,
under § 1.1206(a) (1) or (2). Mar. 21, 2002]
(6) In an informal rulemaking pro-
ceeding conducted under section 553 of SUNSHINE PERIOD PROHIBITION
the Administrative Procedure Act
(other than a proceeding for the allot- § 1.1203 Sunshine period prohibition.
ment of a broadcast channel) or a pro- (a) With respect to any Commission
ceeding before a Joint Board or before proceeding, all presentations to deci-
the Commission to consider the rec- sionmakers concerning matters listed
ommendation of a Joint Board, mem- on a Sunshine Agenda, whether ex
bers of the general public after the parte or not, are prohibited during the
issuance of a notice of proposed rule- period prescribed in paragraph (b) of
making or other order as provided this section unless:
under § 1.1206(a) (1) or (2). (1) The presentation is exempt under
NOTE 2 TO PARAGRAPH (d): To be deemed a § 1.1204(a);
party, a person must make the relevant fil- (2) The presentation relates to settle-
ing with the Secretary, the relevant Bureau ment negotiations and otherwise com-
or Office, or the Commission as a whole. plies with any ex parte restrictions in
Written submissions made only to the Chair- this subpart;
man or individual Commissioners will not (3) The presentation occurs in the
confer party status.
NOTE 3 TO PARAGRAPH (d): The fact that a course of a widely attended speech or
person is deemed a party for purposes of this panel discussion and concerns a Com-
subpart does not constitute a determination mission action in an exempt or a per-
that such person has satisfied any other mit-but-disclose proceeding that has
legal or procedural requirements, such as the been adopted (not including private
operative requirements for petitions to deny presentations made on the site of a
or requirements as to timeliness. Nor does it widely attended speech or panel discus-
constitute a determination that such person
has any other procedural rights, such as the
sion); or
right to intervene in hearing proceedings. (4) The presentation is made by a
The Commission or the staff may also deter- member of Congress or his or her staff,
mine in particular instances that persons or by other agencies or branches of the
who qualify as ‘‘parties’’ under § 1.1202(d) Federal government or their staffs in a
should nevertheless not be deemed parties proceeding exempt under § 1.1204 or sub-
for purposes of this subpart. ject to permit-but-disclose require-
NOTE 4 TO PARAGRAPH (d): Individual lis-
ments under § 1.1206. If the presentation
teners or viewers submitting comments re-
garding a pending broadcast application pur- is of substantial significance and clear-
suant to § 1.1204(a)(8) will not become parties ly intended to affect the ultimate deci-
simply by service of the comments. The sion, the presentation (or, if oral, a
Media Bureau may, in its discretion, make summary of the presentation) must be
such a commenter a party, if doing so would placed in the record of the proceeding
be conducive to the Commission’s consider- by Commission staff or by the pre-
ation of the application or would otherwise senter in accordance with the proce-
be appropriate.
dures set forth in § 1.1206(b).
NOTE 5 TO PARAGRAPH (d): A member of
Congress or his or her staff, or other agen- (b) The prohibition set forth in para-
cies or branches of the federal government or graph (a) of this section applies from
their staffs will not become a party by serv- the release of a public notice that a
ice of a written submission regarding a pend- matter has been placed on the Sun-
ing proceeding that has not been designated shine Agenda until the Commission:
for hearing unless the submission affirma- (1) Releases the text of a decision or
tively seeks and warrants grant of party sta- order relating to the matter;
tus.
(2) Issues a public notice stating that
(e) Matter designated for hearing. Any the matter has been deleted from the
matter that has been designated for Sunshine Agenda; or
hearing before an administrative law (3) Issues a public notice stating that
judge or which is otherwise designated the matter has been returned to the
282
staff for further consideration, which- tion matter in a proceeding which has
ever occurs first. not been designated for hearing and in
which the relevant agency is not a
FR 68947, Dec. 9, 1999] party or commenter (in an informal
rulemaking or Joint board proceeding)
GENERAL EXEMPTIONS provided that, any new factual informa-
tion obtained through such a presen-
§ 1.1204 Exempt ex parte presentations tation that is relied on by the Commis-
and proceedings. sion in its decision-making process will
(a) Exempt ex parte presentations. The be disclosed by the Commission no
following types of presentations are ex- later than at the time of the release of
empt from the prohibitions in re- the Commission’s decision;
stricted proceedings (§ 1.1208), the dis- NOTE 1 TO PARAGRAPH (a): Under para-
closure requirements in permit-but-dis- graphs (a)(5) and (a)(6) of this section, infor-
close proceedings (§ 1.1206), and the pro- mation will be relied on and disclosure will
hibitions during the Sunshine Agenda be made only after advance coordination
period prohibition (§ 1.1203): with the agency involved in order to ensure
(1) The presentation is authorized by that the agency involved retains control
statute or by the Commission’s rules to over the timing and extent of any disclosure
be made without service, see, e.g., that may have an impact on that agency’s
jurisdictional responsibilities. If the agency
§ 1.333(d), or involves the filing of re- involved does not wish such information to
quired forms; be disclosed, the Commission will not dis-
(2) The presentation is made by or to close it and will disregard it in its decision-
the General Counsel and his or her making process, unless it fits within another
staff and concerns judicial review of a exemption not requiring disclosure (e.g., for-
matter that has been decided by the eign affairs). The fact that an agency’s views
Commission; are disclosed under paragraphs (a)(5) and
(3) The presentation directly relates (a)(6) does not preclude further discussions
pursuant to, and in accordance with, the ex-
to an emergency in which the safety of emption.
life is endangered or substantial loss of
property is threatened, provided that, (7) The presentation is between Com-
if not otherwise submitted for the mission staff and an advisory coordi-
record, Commission staff promptly nating committee member with respect
places the presentation or a summary to the coordination of frequency as-
of the presentation in the record and signments to stations in the private
discloses it to other parties as appro- land mobile services or fixed services
priate. as authorized by 47 U.S.C. 332;
(4) The presentation involves a mili- (8) The presentation is a written
tary or foreign affairs function of the presentation made by a listener or
United States or classified security in- viewer of a broadcast station who is
formation; not a party under § 1.1202(d)(1), and the
(5) The presentation is to or from an presentation relates to a pending appli-
agency or branch of the Federal Gov- cation that has not been designated for
ernment or its staff and involves a hearing for a new or modified broad-
matter over which that agency or cast station or license, for renewal of a
branch and the Commission share ju- broadcast station license or for assign-
risdiction provided that, any new fac- ment or transfer of control of a broad-
tual information obtained through cast permit or license;
such a presentation that is relied on by (9) The presentation is made pursu-
the Commission in its decision-making ant to an express or implied promise of
process will, if not otherwise submitted confidentiality to protect an individual
for the record, be disclosed by the Com- from the possibility of reprisal, or
mission no later than at the time of there is a reasonable expectation that
the release of the Commission’s deci- disclosure would endanger the life or
sion; physical safety of an individual;
(6) The presentation is to or from the (10) The presentation is requested by
United States Department of Justice or (or made with the advance approval of)
Federal Trade Commission and in- the Commission or staff for the clari-
volves a telecommunications competi- fication or adduction of evidence, or
283
§ 1.1204 47 CFR Ch. I (10–1–02 Edition)
for resolution of issues, including pos- notice requirement to avoid interference

sible settlement, subject to the fol- with an investigation, a determination will
lowing limitations: be made in the discretion of the Commission
(i) This exemption does not apply to or its staff as to when and how disclosure
restricted proceedings designated for should be made if necessary. See Amendment
hearing; of Subpart H, Part I, 2 FCC Rcd 6053, 6054 ¶¶ 10–
14 (1987).
(ii) In restricted proceedings not des-
ignated for hearing, any new written (iv) If the presentation is made in a
information elicited from such request proceeding subject to the Sunshine pe-
or a summary of any new oral informa- riod prohibition, disclosure must be
tion elicited from such request shall made in accordance with the require-
promptly be served by the person mak- ments of § 1.1206(b) or by other ade-
ing the presentation on the other par- quate means of notice that the Com-
ties to the proceeding. Information re-
mission deems appropriate;
lating to how a proceeding should or
could be settled, as opposed to new in- (v) In situations where new informa-
formation regarding the merits, shall tion regarding the merits is disclosed
not be deemed to be new information during settlement discussions, and the
for purposes of this section. The Com- Commission or staff intends that the
mission or its staff may waive the serv- product of the settlement discussions
ice requirement if service would be too will be disclosed to the other parties or
burdensome because the parties are nu- the public for comment before any ac-
merous or because the materials relat- tion is taken, the Commission or staff
ing to such presentation are volumi- in its discretion may defer disclosure
nous. If the service requirement is of such new information until com-
waived, copies of the presentation or ment is sought on the settlement pro-
summary shall be placed in the record posal or the settlement discussions are
of the proceeding and the Commission terminated.
or its staff shall issue a public notice (11) The presentation is an oral pres-
which states that copies of the presen- entation in a restricted proceeding not
tation or summary are available for in- designated for hearing requesting ac-
spection. The Commission or its staff tion by a particular date or giving rea-
may determine that service or public sons that a proceeding should be expe-
notice would interfere with the effec- dited other than the need to avoid ad-
tive conduct of an investigation and ministrative delay. A detailed sum-
dispense with the service and public mary of the presentation shall prompt-
notice requirements; ly be filed in the record and served by
(iii) If the presentation is made in a
the person making the presentation on
proceeding subject to permit-but-dis-
the other parties to the proceeding,
close requirements, disclosure of any
who may respond in support or opposi-
new written information elicited from
such request or a summary of any new tion to the request for expedition, in-
oral information elicited from such re- cluding by oral ex parte presentation,
quest must be made in accordance with subject to the same service require-
the requirements of § 1.1206(b), pro- ment.
vided, however, that the Commission (12) The presentation is between
or its staff may determine that disclo- Commission staff and:
sure would interfere with the effective (i) The administrator of the inter-
conduct of an investigation and dis- state telecommunications relay serv-
pense with the disclosure requirement. ices fund relating to administration of
As in paragraph (a)(10)(ii) of this sec- the telecommunications relay services
tion, information relating to how a fund pursuant to 47 U.S.C. 225;
proceeding should or could be settled, (ii) The North American Numbering
as opposed to new information regard- Plan Administrator or the North
ing the merits, shall not be deemed to American Numbering Plan Billing and
be new information for purposes of this Collection Agent relating to the ad-
section; ministration of the North American
NOTE 2 TO PARAGRAPH (a): If the Commis- Numbering Plan pursuant to 47 U.S.C.
sion or its staff dispenses with the service or 251(e);
284
(iii) The Universal Service Adminis- documents in a civil context. Such pleadings
trative Company relating to the ad- that are not served will be dismissed without
ministration of universal service sup- consideration as a defective pleading and
treated as a violation of the ex parte rules
port mechanisms pursuant to 47 U.S.C.
unless the Commission determines that the
254; or matter should be entertained by making it
(iv) The Number Portability Admin- part of the record under § 1.1212(d) and the
istrator relating to the administration parties are so informed.
of local number portability pursuant to
47 U.S.C. 251(b)(2) and (e); provided that [62 FR 15855, Apr. 3, 1997, as amended at 64
FR 63251, Nov. 19, 1999; 64 FR 68948, Dec. 9,
the relevant administrator has not 1999]
filed comments or otherwise partici-
pated as a party in the proceeding. NON-RESTRICTED PROCEEDINGS
(b) Exempt proceedings. Unless other-
wise provided by the Commission or § 1.1206 Permit-but-disclose pro-
the staff pursuant to § 1.1200(a), ex parte ceedings.
presentations to or from Commission
(a) Unless otherwise provided by the
decision-making personnel are permis-
Commission or the staff pursuant to
sible and need not be disclosed with re-
§ 1.1200(a), until the proceeding is no
spect to the following proceedings,
longer subject to administrative recon-
which are referred to as ‘‘exempt’’ pro-
sideration or review or to judicial re-
ceedings:
view, ex parte presentations (other than
(1) A notice of inquiry proceeding;
ex parte presentations exempt under
(2) A petition for rulemaking, except
§ 1.1204(a)) to or from Commission deci-
for a petition requesting the allotment
sion-making personnel are permissible
of a broadcast channel (see also
in the following proceedings, which are
§ 1.1206(a)(1)), or other request that the
referred to as permit-but-disclose pro-
Commission modify its rules, issue a
ceedings, provided that ex parte presen-
policy statement or issue an interpre-
tations to Commission decision-mak-
tive rule, or establish a Joint Board;
ing personnel are disclosed pursuant to
(3) A tariff proceeding (including di-
paragraph (b) of this section:
rectly associated waiver requests or re-
quests for special permission) prior to NOTE 1 TO PARAGRAPH (a): In the case of pe-
titions for declaratory ruling that seek Com-
it being set for investigation (see also mission preemption of state or local regu-
§ 1.1206(a)(4)); latory authority and petitions for relief
(4) A proceeding relating to prescrip- under 47 U.S.C. 332(c)(7)(B)(v), the petitioner
tion of common carrier depreciation must serve the original petition on any state
rates under section 220(b) of the Com- or local government, the actions of which
munications Act prior to release of a are specifically cited as a basis for request-
public notice of specific proposed de- ing preemption. Service should be made on
preciation rates (see also § 1.1206(a)(9)); those bodies within the state or local govern-
ments that are legally authorized to accept
(5) An informal complaint proceeding
service of legal documents in a civil context.
under 47 U.S.C. 208 and § 1.717 of this Such pleadings that are not served will be
chapter or 47 U.S.C. 255 and either dismissed without consideration as a defec-
§§ 6.17 or 7.17 of this chapter; and tive pleading and treated as a violation of
(6) A complaint against a cable oper- the ex parte rules unless the Commission de-
ator regarding its rates that is not termines that the matter should be enter-
filed on the standard complaint form tained by making it part of the record under
required by § 76.951 of this chapter (FCC § 1.1212(d) and the parties are so informed.
Form 329). (1) An informal rulemaking pro-
NOTES 1–3 TO PARAGRAPH (b): [Reserved] ceeding conducted under section 553 of
NOTE 4 TO PARAGRAPH (b): In the case of pe- the Administrative Procedure Act
titions for rulemaking that seek Commission other than a proceeding for the allot-
preemption of state or local regulatory au- ment of a broadcast channel, upon re-
thority, the petitioner must serve the origi- lease of a Notice of Proposed Rule-
nal petition on any state or local govern- making (see also § 1.1204(b)(2));
ment, the actions of which are specifically
cited as a basis for requesting preemption. (2) A proceeding involving a rule
Service should be made on those bodies with- change, policy statement or interpre-
in the state or local governments that are le- tive rule adopted without a Notice of
gally authorized to accept service of legal Proposed Rule Making upon release of
285
§ 1.1206 47 CFR Ch. I (10–1–02 Edition)
the order adopting the rule change, tions for preemption under § 253 of the
policy statement or interpretive rule; Communications Act.
(3) A declaratory ruling proceeding; NOTE 3 TO PARAGRAPH (a): In a permit-but-
(4) A tariff proceeding which has been disclose proceeding involving only one
set for investigation under section 204 ‘‘party,’’ as defined in § 1.1202(d) of this sec-
tion, the party and the Commission may
or 205 of the Communications Act
freely make presentations to each other and
(including directly associated waiver need not comply with the disclosure require-
requests or requests for special permis- ments of paragraph (b) of this section.
sion) (see also § 1.1204(b)(4));
(5) Unless designated for hearing, a (b) The following disclosure require-
proceeding under section 214(a) of the ments apply to ex parte presentations
Communications Act that does not also in permit but disclose proceedings:
involve applications under Title III of (1) Written presentations. A person
the Communications Act (see also who makes a written ex parte presen-
§ 1.1208); tation subject to this section shall, no
(6) Unless designated for hearing, a later than the next business day after
proceeding involving an application for the presentation, submit two copies of
a Cable Landing Act license that does the presentation to the Commission’s
not also involve applications under secretary under separate cover for in-
Title III of the Communications Act clusion in the public record. The pres-
(see also § 1.1208); entation (and cover letter) shall clear-
ly identify the proceeding to which it
(7) A proceeding involving a request
relates, including the docket number,
for information filed pursuant to the
if any, shall indicate that two copies
Freedom of Information Act;
have been submitted to the Secretary,
NOTE 2 TO PARAGRAPH (a): Where the re-
quested information is the subject of a re-
and must be labeled as an ex parte
quest for confidentiality, the person filing presentation. If the presentation re-
the request for confidentiality shall be lates to more than one proceeding, two
deemed a party. copies shall be filed for each pro-
ceeding. Alternatively, in rulemaking
(8) A proceeding before a Joint Board proceedings governed by § 1.49(f), the
or a proceeding before the Commission person making the presentation may
involving a recommendation from a file one copy of the presentation elec-
Joint Board; tronically; no additional paper copies
(9) A proceeding conducted pursuant need to be filed.
to section 220(b) of the Communica- (2) Oral presentations. A person who
tions Act for prescription of common makes an oral ex parte presentation
carrier depreciation rates upon release subject to this section that presents
of a public notice of specific proposed data or arguments not already re-
depreciation rates (see also flected in that person’s written com-
§ 1.1204(b)(4)); ments, memoranda or other filings in
(10) A proceeding to prescribe a rate that proceeding shall, no later than the
of return for common carriers under next business day after the presen-
section 205 of the Communications Act; tation, submit to the Commission’s
and Secretary, an original and one copy of
(11) A cable rate complaint pro- a memorandum which summarizes the
ceeding pursuant to section 623(c) of new data or arguments. Except in pro-
the Communications Act where the ceedings subject to § 1.49(f) in which
complaint is filed on FCC Form 329. pleadings are filed electronically, a
(12) A modification request filed pur- copy of the memorandum must also be
suant to § 64.1001 of this chapter; submitted to the Commissioners or
(13) Applications by Bell Operating Commission employees involved in the
Companies to provide in-region, oral presentation. In proceedings gov-
interLATA services pursuant to § 271(d) erned by § 1.49(f), the person making
of the Communications Act; and the presentation may, alternatively,
(14) Petitions for Commission pre- electronically file one copy of the
emption of authority to review inter- memorandum, which will be available
connection agreements under § 252(e)(5) to Commissioners and Commission em-
of the Communications Act and peti- ployees involved in the presentation
286
through the Commission’s electronic tations received by his or her office re-
comment filing system. Memoranda lating to any permit-but-disclose pro-
must contain a summary of the sub- ceeding. Such public notices should
stance of the ex parte presentation and generally be released at least twice per
not merely a listing of the subjects dis- week.
cussed. More than a one or two sen-
tence description of the views and ar- NOTE 2 TO PARAGRAPH (b): Interested per-
sons should be aware that some ex parte fil-
guments presented is generally re- ings, for example, those not filed in accord-
quired. The memorandum (and cover ance with the requirements of this paragraph
letter) shall clearly identify the pro- (b), might not be placed on the referenced
ceeding to which it relates, including public notice. All ex parte presentations and
the docket number, if any, shall indi- memoranda filed under this section will be
cate that an original and one copy have available for public inspection in the public
been submitted to the Secretary or file or record of the proceeding, and parties
that one copy has been filed electroni- wishing to ensure awareness of all filings
cally, and must be labeled as an ex should review the public file or record.
parte presentation. If the presentation NOTE 3 TO PARAGRAPH (b): As a matter of
relates to more than one proceeding, convenience, the Secretary may also list on
the referenced public notices materials, even
two copies of the memorandum (or an if not ex parte presentations, that are filed
original and one copy) shall be filed for after the close of the reply comment period
each proceeding. or, if the matter is on reconsideration, the
NOTE 1 TO PARAGRAPH (b): Where, for exam- reconsideration reply comment period.
ple, presentations occur in the form of dis- [62 FR 15856, Apr. 3, 1997, as amended at 63
cussion at a widely attended meeting, prepa- FR 24126, May 1, 1998; 64 FR 68948, Dec. 9,
ration of a memorandum as specified in the 1999; 66 FR 3501, Jan. 16, 2001]
rule might be cumbersome. Under these cir-
cumstances, the rule may be satisfied by
RESTRICTED PROCEEDINGS
submitting a transcript or tape recording of
the discussion as an alternative to a memo-
randum.
§ 1.1208 Restricted proceedings.
(3) Notwithstanding paragraphs (b)(1) Unless otherwise provided by the

and (b)(2) of this section, in permit-but- Commission or its staff pursuant to
disclose proceedings presentations § 1.1200(a) of this section, ex parte pres-
made by members of Congress or their entations (other than ex parte presen-
staffs or by an agency or branch of the tations exempt under § 1.1204(a) of this
Federal Government or its staff shall section) to or from Commission deci-
be treated as ex parte presentations sion-making personnel are prohibited
only if the presentations are of sub- in all proceedings not listed as exempt
stantial significance and clearly in- in § 1.1204(b) or permit-but-disclose in
tended to affect the ultimate decision. § 1.1206(a) of this section until the pro-
The Commission staff shall prepare a ceeding is no longer subject to admin-
written summary of any such oral pres- istrative reconsideration or review or
entations and place them in the record judicial review. Proceedings in which
in accordance with paragraph (b)(2) of ex parte presentations are prohibited,
this section and place any such written referred to as ‘‘restricted’’ proceedings,
presentations in the record in accord- include, but are not limited to, all pro-
ance with paragraph (b)(1) of this sec- ceedings that have been designated for
tion. hearing, proceedings involving amend-
(4) Notice of ex parte presentations. The ments to the broadcast table of allot-
Commission’s Secretary or, in the case ments, applications for authority
of non-docketed proceedings, the rel- under Title III of the Communications
evant Bureau or Office shall place in Act, and all waiver proceedings (except
the public file or record of the pro- for those directly associated with tariff
ceeding written ex parte presentations filings).
and memoranda reflecting oral ex parte NOTE 1 TO § 1.1208: In a restricted pro-
presentations. The Secretary shall ceeding involving only one ‘‘party,’’ as de-
issue a public notice listing any writ- fined in § 1.1202(d), the party and the Com-
ten ex parte presentations or written mission may freely make presentations to
summaries of oral ex parte presen- each other because there is no other party to
287
§ 1.1210 47 CFR Ch. I (10–1–02 Edition)
be served or with a right to have an oppor- the presentation that it is prohibited
tunity to be present. See § 1.1202(b). There- and shall terminate the discussion.
fore, to determine whether presentations are (b) Commission personnel who re-
permissible in a restricted proceeding with-
ceive oral ex parte presentations which
out service or notice and an opportunity for
other parties to be present the definition of
they believe are prohibited shall for-
a ‘‘party’’ should be consulted. ward to the Office of General Counsel a
statement containing the following in-
Examples: After the filing of an formation:
uncontested application or waiver request, (1) The name of the proceeding;
the applicant or other filer would be the sole
party to the proceeding. The filer would have
(2) The name and address of the per-
no other party to serve with or give notice of son making the presentation and that
any presentations to the Commission, and person’s relationship (if any) to the
such presentations would therefore not be parties to the proceeding;
‘‘ex parte presentations’’ as defined by (3) The date and time of the presen-
§ 1.1202(b) and would not be prohibited. On tation, its duration, and the cir-
the other hand, in the example given, be- cumstances under which it was made;
cause the filer is a party, a third person who (4) A full summary of the substance
wished to make a presentation to the Com-
mission concerning the application or waiver
of the presentation;
request would have to serve or notice the (5) Whether the person making the
filer. Further, once the proceeding involved presentation persisted in doing so after
additional ‘‘parties’’ as defined by § 1.1202(d) being advised that the presentation
(e.g., an opponent of the filer who served the was prohibited; and
opposition on the filer), the filer and other (6) The date and time that the state-
parties would have to serve or notice all ment was prepared.
other parties. (c) Commission personnel who re-
NOTE 2 TO § 1.1208: Consistent with ceive written ex parte presentations
§ 1.1200(a), the Commission or its staff may which they believe are prohibited shall
determine that a restricted proceeding not forward them to the Office of General
designated for hearing involves primarily Counsel. If the circumstances in which
issues of broadly applicable policy rather the presentation was made are not ap-
than the rights and responsibilities of spe-
cific parties and specify that the proceeding
parent from the presentation itself, a
will be conducted in accordance with the statement describing those cir-
provisions of § 1.1206 governing permit-but- cumstances shall be submitted to the
disclose proceedings. Office of General Counsel with the
presentation.
FR 68948, Dec. 9, 1999] (d) Prohibited written ex parte pres-
entations and all documentation relat-
PROHIBITION ON SOLICITATION OF ing to prohibited written and oral ex
PRESENTATIONS parte presentations shall be placed in a
public file which shall be associated
§ 1.1210 Prohibition on solicitation of with but not made part of the record of
presentations. the proceeding to which the presen-
No person shall solicit or encourage tations pertain. Such materials may be
others to make any improper presen- considered in determining the merits
tation under the provisions of this sec- of a restricted proceeding only if they
tion. are made part of the record and the
parties are so informed.
[64 FR 68949, Dec. 9, 1999] (e) If the General Counsel determines
that an ex parte presentation or presen-
PROCEDURES FOR HANDLING OF tation during the Sunshine period is
PROHIBITED EX PARTE PRESENTATIONS prohibited by this subpart, he or she
shall notify the parties to the pro-
§ 1.1212 Procedures for handling of ceeding that a prohibited presentation
prohibited ex parte presentations. has occurred and shall serve on the
(a) Commission personnel who be- parties copies of the presentation (if
lieve that an oral presentation which is written) and any statements describing
being made to them or is about to be the circumstances of the presentation.
made to them is prohibited shall Service by the General Counsel shall
promptly advise the person initiating not be deemed to cure any violation of
288
the rules against prohibited ex parte tion as required by this subpart, may
presentations. be disqualified from further participa-
(f) If the General Counsel determines tion in that proceeding. In proceedings
that service on the parties would be other than a rulemaking, a party who
unduly burdensome because the parties has violated or caused the violation of
to the proceeding are numerous, he or any provision of this subpart may be
she may issue a public notice in lieu of required to show cause why his or her
service. The public notice shall state claim or interest in the proceeding
that a prohibited presentation has been should not be dismissed, denied, dis-
made and may also state that the pres- regarded, or otherwise adversely af-
entation and related materials are fected. In any proceeding, such alter-
available for public inspection. native or additional sanctions as may
(g) The General Counsel shall forward be appropriate may also be imposed.
a copy of any statement describing the (b) Commission personnel. Commission
circumstances in which the prohibited personnel who violate provisions of
ex parte presentation was made to the this subpart may be subject to appro-
person who made the presentation. priate disciplinary or other remedial
Within ten days thereafter, the person action as provided in part 19 of this
who made the presentation may file chapter.
with the General Counsel a sworn dec- (c) Other persons. Such sanctions as
laration regarding the presentation may be appropriate under the cir-
and the circumstances in which it was cumstances shall be imposed upon
made. The General Counsel may serve other persons who violate the provi-
copies of the sworn declaration on the sions of this subpart.
parties to the proceeding.
(h) Where a restricted proceeding [62 FR 15858, Apr. 3, 1997]
precipitates a substantial amount of
correspondence from the general pub- Subpart I—Procedures Imple-
lic, the procedures in paragraphs (c) menting the National Environ-
through (g) of this section will not be mental Policy Act of 1969
followed with respect to such cor-
respondence. The correspondence will
SOURCE: 51 FR 15000, Apr. 22, 1986, unless
be placed in a public file and be made otherwise noted.
available for public inspection.
[62 FR 15857, Apr. 3, 1997] § 1.1301 Basis and purpose.
The provisions of this subpart imple-
§ 1.1214 Disclosure of information con- ment Subchapter I of the National En-
cerning violations of this subpart.
vironmental Policy Act of 1969, as
Any party to a proceeding or any amended, 42 U.S.C. 4321–4335.
Commission employee who has sub-
stantial reason to believe that any vio- § 1.1302 Cross-reference; Regulations
lation of this subpart has been solic- of the Council on Environmental
ited, attempted, or committed shall Quality.
promptly advise the Office of General A further explanation regarding im-
Counsel in writing of all the facts and plementation of the National Environ-
circumstances which are known to him mental Policy Act is provided by the
or her. regulations issued by the Council on
[62 FR 15858, Apr. 3, 1997] Environmental Quality, 40 CFR 1500–
1508.28.
SANCTIONS
§ 1.1303 Scope.
§ 1.1216 Sanctions. The provisions of this subpart shall
(a) Parties. Upon notice and hearing, apply to all Commission actions that
any party to a proceeding who directly may or will have a significant impact
or indirectly violates or causes the vio- on the quality of the human environ-
lation of any provision of this subpart, ment. To the extent that other provi-
or who fails to report the facts and cir- sions of the Commission’s rules and
cumstances concerning any such viola- regulations are inconsistent with the
289
§ 1.1304 47 CFR Ch. I (10–1–02 Edition)
subpart, the provisions of this subpart (1) Involve a site location specified
shall govern. under § 1.1307(a) (1)–(7), or
(2) Involve high intensity lighting
[55 FR 20396, May 16, 1990]
under § 1.1307(a)(8).
§ 1.1304 Information and assistance. (3) Result in human exposure to ra-
diofrequency radiation in excess of the
For general information and assist- applicable safety standards specified in
ance concerning the provisions of this § 1.1307(b).
subpart, the Office of General Counsel
NOTE 1: The provisions of § 1.1307(a) of this
may be contacted, (202) 632–6990. For
part requiring the preparation of EAs do not
more specific information, the Bureau encompass the mounting of antenna(s) on an
responsible for processing a specific ap- existing building or antenna tower unless
plication should be contacted. § 1.1307(a)(4) of this part is applicable. Such
antennas are subject to § 1.1307(b) of this part
§ 1.1305 Actions which normally will and require EAs if their construction would
have a significant impact upon the result in human exposure to radiofrequency
environment, for which Environ- radiation in excess of the applicable health
mental Impact Statements must be and safety guidelines cited in § 1.1307(b) of
prepared. this part. The provisions of § 1.1307 (a) and (b)
of this part do not encompass the installa-
Any Commission action deemed to tion of aerial wire or cable over existing aer-
have a significant effect upon the qual- ial corridors of prior or permitted use or the
ity of the human environment requires underground installation of wire or cable
the preparation of a Draft Environ- along existing underground corridors of prior
mental Impact Statement (DEIS) and or permitted use, established by the appli-
Final Environmental Impact State- cant or others. The use of existing buildings,
ment (FEIS) (collectively referred to as towers or corridors is an environmentally de-
sirable alternative to the construction of
EISs) (see §§ 1.1314, 1.1315 and 1.1317). new facilities and is encouraged. The provi-
The Commission has reviewed rep- sions of § 1.1307(a) and (b) of this part do not
resentative actions and has found no encompass the construction of new sub-
common pattern which would enable it marine cable systems.
to specify actions that will thus auto- NOTE 2: The specific height of an antenna
matically require EISs. tower or supporting structure, as well as the
specific diameter of a satellite earth station,
NOTE: Our current application forms refer in and of itself, will not be deemed sufficient
applicants to § 1.1305 to determine if their to warrant environmental processing, see
proposals are such that the submission of en- §§ 1.1307 and 1.1308.
vironmental information is required (see NOTE 3: The construction of an antenna
§ 1.1311). Until the application forms are re- tower or supporting structure in an estab-
vised to reflect our new environmental rules, lished ‘‘antenna farm’’: (i.e., an area in
applicants should refer to § 1.1307. Section which similar antenna towers are clustered,
1.1307 now delineates those actions for which whether or not such area has been officially
applicants must submit environmental infor- designated as an antenna farm), will be cat-
mation. egorically excluded unless one or more of the
antennas to be mounted on the tower or struc-
§ 1.1306 Actions which are categori- ture are subject to the provisions of § 1.1307(b)
cally excluded from environmental and the additional radiofrequency radiation
processing. from the antenna(s) on the new tower or struc-
ture would cause human exposure in excess of
(a) Except as provided in § 1.1307 (c)
the applicable health and safety guidelines
and (d), Commission actions not cov- cited in § 1.1307(b).
ered by § 1.1307 (a) and (b) are deemed
individually and cumulatively to have [51 FR 15000, Apr. 22, 1986, as amended at 51
FR 18889, May 23, 1986; 53 FR 28393, July 28,
no significant effect on the quality of 1988; 56 FR 13414, Apr. 2, 1991; 64 FR 19061,
the human environment and are cat- Apr. 19, 1999]
egorically excluded from environ-
mental processing. § 1.1307 Actions that may have a sig-
(b) Specifically, any Commission ac- nificant environmental effect, for
tion with respect to any new applica- which Environmental Assessments
tion, or minor or major modifications (EAs) must be prepared.
of existing or authorized facilities or (a) Commission actions with respect
equipment, will be categorically ex- to the following types of facilities may
cluded, provided such proposals do not: significantly affect the environment
290
and thus require the preparation of high intensity white lights which are
EAs by the applicant (see §§ 1.1308 and to be located in residential neighbor-
1.1311) and may require further Com- hoods, as defined by the applicable zon-
mission environmental processing (see ing law.
§§ 1.1314, 1.1315 and 1.1317): (b) In addition to the actions listed in
(1) Facilities that are to be located in paragraph (a) of this section, Commis-
an officially designated wilderness sion actions granting construction per-
area. mits, licenses to transmit or renewals
(2) Facilities that are to be located in thereof, equipment authorizations or
an officially designated wildlife pre- modifications in existing facilities, re-
serve. quire the preparation of an Environ-
(3) Facilities that: (i) May affect list- mental Assessment (EA) if the par-
ed threatened or endangered species or ticular facility, operation or trans-
designated critical habitats; or (ii) are mitter would cause human exposure to
likely to jeopardize the continued ex- levels of radiofrequency radiation in
istence of any proposed endangered or excess of the limits in §§ 1.1310 and
threatened species or likely to result in 2.1093 of this chapter. Applications to
the destruction or adverse modifica- the Commission for construction per-
tion of proposed critical habitats, as mits, licenses to transmit or renewals
determined by the Secretary of the In- thereof, equipment authorizations or
terior pursuant to the Endangered Spe- modifications in existing facilities
cies Act of 1973. must contain a statement confirming
NOTE: The list of endangered and threat-
compliance with the limits unless the
ened species is contained in 50 CFR 17.11, facility, operation, or transmitter is
17.22, 222.23(a) and 227.4. The list of des- categorically excluded, as discussed
ignated critical habitats is contained in 50 below. Technical information showing
CFR 17.95, 17.96 and part 226. To ascertain the the basis for this statement must be
status of proposed species and habitats, in- submitted to the Commission upon re-
quiries may be directed to the Regional Di- quest.
rector of the Fish and Wildlife Service, De- (1) The appropriate exposure limits in
partment of the Interior.
§§ 1.1310 and 2.1093 of this chapter are
(4) Facilities that may affect dis- generally applicable to all facilities,
tricts, sites, buildings, structures or operations and transmitters regulated
objects, significant in American his- by the Commission. However, a deter-
tory, architecture, archeology, engi- mination of compliance with the expo-
neering or culture, that are listed, or sure limits in § 1.1310 or § 2.1093 of this
are eligible for listing, in the National chapter (routine environmental evalua-
Register of Historic Places. (See 16 tion), and preparation of an EA if the
U.S.C. 470w(5); 36 CFR 60 and 800.) limits are exceeded, is necessary only
NOTE: The National Register is updated for facilities, operations and transmit-
and re-published in the FEDERAL REGISTER ters that fall into the categories listed
each year in February. To ascertain whether in table 1, or those specified in para-
a proposal affects a historical property of na- graph (b)(2) of this section. All other
tional significance, inquiries also may be facilities, operations and transmitters
made to the appropriate State Historic Pres- are categorically excluded from mak-
ervation Officer, see 16 U.S.C. 470a(b); 36 CFR ing such studies or preparing an EA,
parts 63 and 800.
except as indicated in paragraphs (c)
(5) Facilities that may affect Indian and (d) of this section. For purposes of
religious sites. table 1, building-mounted antennas
(6) Facilities to be located in a flood means antennas mounted in or on a
Plain (See Executive Order 11988.) building structure that is occupied as a
(7) Facilities whose construction will workplace or residence. The term power
involve significant change in surface in column 2 of table 1 refers to total
features (e.g., wetland fill, deforest- operating power of the transmitting
ation or water diversion). (In the case operation in question in terms of effec-
of wetlands on Federal property, see tive radiated power (ERP), equivalent
Executive Order 11990.) isotropically radiated power (EIRP), or
(8) Antenna towers and/or supporting peak envelope power (PEP), as defined
structures that are to be equipped with in § 2.1 of this chapter. For the case of
291
§ 1.1307 47 CFR Ch. I (10–1–02 Edition)
the Cellular Radiotelephone Service, criteria of table 1, radiation in all di-

subpart H of part 22 of this chapter; the rections should be considered. For the
Personal Communications Service, case of transmitting facilities using
part 24 of this chapter and the Special- sectorized transmitting antennas, ap-
ized Mobile Radio Service, part 90 of plicants and licensees should apply the
this chapter, the phrase total power of criteria to all transmitting channels in
all channels in column 2 of table 1 a given sector, noting that for a highly
means the sum of the ERP or EIRP of directional antenna there is relatively
all co-located simultaneously oper- little contribution to ERP or EIRP
ating transmitters owned and operated
summation for other directions.
by a single licensee. When applying the
292
TABLE 1—TRANSMITTERS, FACILITIES AND OPERATIONS SUBJECT TO ROUTINE ENVIRONMENTAL

EVALUATION
Service (title 47 CFR rule part) Evaluation required if
Experimental Radio Services (part 5) ................ Power > 100 W ERP (164 W EIRP)
Multipoint Distribution Service (subpart K of Non-building-mounted antennas: height above ground level to lowest point of
part 21). antenna < 10 m and power > 1640 W EIRP
Building-mounted antennas: power > 1640 W EIRP
MDS licensees are required to attach a label to subscriber transceiver or trans-
verter antennas that:
(1) provides adequate notice regarding potential radiofrequency safety haz-
ards, e.g., information regarding the safe minimum separation distance re-
quired between users and transceiver antennas; and
(2) references the applicable FCC-adopted limits for radiofrequency exposure
specified in § 1.1310.
Paging and Radiotelephone Service (subpart E Non-building-mounted antennas: height above ground level to lowest point of
of part 22). antenna < 10 m and power > 1000 W ERP (1640 W EIRP)
Building-mounted antennas: power > 1000 W ERP (1640 W EIRP)
Cellular Radiotelephone Service (subpart H of Non-building-mounted antennas: height above ground level to lowest point of
part 22). antenna < 10 m and total power of all channels > 1000 W ERP (1640 W
EIRP)
Building-mounted antennas: total power of all channels > 1000 W ERP (1640
W EIRP)
Personal Communications Services (part 24) ... (1) Narrowband PCS (subpart D): non-building-mounted antennas: height
above ground level to lowest point of antenna < 10 m and total power of all
channels > 1000 W ERP (1640 W EIRP)
W EIRP)
(2) Broadband PCS (subpart E): non-building-mounted antennas: height above
ground level to lowest point of antenna < 10 m and total power of all chan-
nels > 2000 W ERP (3280 W EIRP)
W EIRP)
Satellite Communications (part 25) ................... All included. In addition, for NGSO subscriber equipment, licensees are re-
quired to attach a label to subscriber transceiver antennas that:
specified in § 1.1310 of this chapter.
General Wireless Communications Service Total power of all channels > 1640 W EIRP
(part 26).
Wireless Communications Service (Part 27) ..... (1) For the 1390–1392 MHz, 1392–1395 MHz, 1432–1435 MHz 1670–1675
MHz and 2385–2390 MHz bands:
Non-building-mounted antennas: height above ground level to lowest point of
antenna <10m and total power of all channels > 2000 W ERP (3280 W
EIRP).
Building-mounted antennas: total power of all channels >2000 W ERP (3280
W EIRP).
(2) For the 746–764 MHz, 776–794 MHz, 2305–2320 MHz, and 2345–2360
MHz bands.
Total power of all channels >1000 W ERP (1640 W EIRP).
Radio Broadcast Services (part 73) .................. All included
Experimental, auxiliary, and special broadcast Subparts A, G, L: power > 100 W ERP
and other program distributional services Subpart I: non-building-mounted antennas: height above ground level to lowest
(part 74). point of antenna < 10 m and power > 1640 W EIRP
Building-mounted antennas: power > 1640 W EIRP
ITFS licensees are required to attach a label to subscriber transceiver or trans-
verter antennas that:
specified in § 1.1310.
Stations in the Maritime Services (part 80) ....... Ship earth stations only
Private Land Mobile Radio Services Paging Non-building-mounted antennas: height above ground level to lowest point of
Operations (part 90). antenna < 10 m and power > 1000 W ERP (1640 W EIRP)
Building-mounted antennas: power > 1000 W ERP (1640 W EIRP)
Private Land Mobile Radio Services Special- Non-building-mounted antennas: height above ground level to lowest point of
ized Mobile Radio (part 90). antenna < 10 m and total power of all channels > 1000 W ERP (1640 W
EIRP)
Building-mounted antennas:
Total power of all channels > 1000 W ERP (1640 W EIRP)
Amateur Radio Service (part 97) ....................... Transmitter output power > levels specified in § 97.13(c)(1) of this chapter
293
§ 1.1307 47 CFR Ch. I (10–1–02 Edition)
TABLE 1—TRANSMITTERS, FACILITIES AND OPERATIONS SUBJECT TO ROUTINE ENVIRONMENTAL

EVALUATION—Continued
Service (title 47 CFR rule part) Evaluation required if
Local Multipoint Distribution Service (subpart L Non-building-mounted antennas: height above ground level to lowest point of
of part 101) and 24 GHz (subpart G of part antenna <10 m and power>1640 W EIRP
101). Building-mounted antennas: power >1640 W EIRP LMDS and 24 GHz Service
licensees are required to attach a label to subscriber transceiver antennas
that:
(2) references the applicable FCC-adopted limits for radio-frequency exposure
specified in § 1.1310
(2) Mobile and portable transmitting devices are categorically excluded from
devices that operate in the Cellular Ra- routine environmental evaluation for
diotelephone Service, the Personal RF exposure under §§ 2.1091, 2.1093 of
Communications Services (PCS), the this chapter except as specified in
Satellite Communications Services, paragraphs (c) and (d) of this section.
the General Wireless Communications (3) In general, when the guidelines
Service, the Wireless Communications specified in § 1.1310 are exceeded in an
Service, the Maritime Services (ship accessible area due to the emissions
earth stations only) and the Special- from multiple fixed transmitters, ac-
ized Mobile Radio Service authorized tions necessary to bring the area into
under Subpart H of parts 22, 24, 25, 26, compliance are the shared responsi-
27, 80, and 90 of this chapter are subject bility of all licensees whose transmit-
to routine environmental evaluation ters produce, at the area in question,
for RF exposure prior to equipment au- power density levels that exceed 5% of
thorization or use, as specified in the power density exposure limit appli-
§§ 2.1091 and 2.1093 of this chapter. Unli- cable to their particular transmitter or
censed PCS, unlicensed NII and milli- field strength levels that, when
meter wave devices are also subject to
squared, exceed 5% of the square of the
routine environmental evaluation for
electric or magnetic field strength
RF exposure prior to equipment au-
limit applicable to their particular
thorization or use, as specified in
transmitter. Owners of transmitter
§§ 15.253(f), 15.255(g), 15.319(i), and
sites are expected to allow applicants
15.407(f) of this chapter. Portable trans-
mitting equipment for use in the Wire- and licensees to take reasonable steps
less Medical Telemetry Service to comply with the requirements con-
(WMTS) is subject to routine environ- tained in § 1.1307(b) and, where feasible,
ment evaluation as specified in §§ 2.1093 should encourage co-location of trans-
and 95.1125 of this chapter. Equipment mitters and common solutions for con-
authorized for use in the Medical Im- trolling access to areas where the RF
plant Communications Service (MICS) exposure limits contained in § 1.1310
as a medical implant transmitter (as might be exceeded.
defined in Appendix 1 to Subpart E of (i) Applicants for proposed (not oth-
part 95 of this chapter) is subject to erwise excluded) transmitters, facili-
routine environmental evaluation for ties or modifications that would cause
RF exposure prior to equipment au- non-compliance with the limits speci-
thorization, as specified in § 2.1093 of fied in § 1.1310 at an accessible area pre-
this chapter by finite difference time viously in compliance must submit an
domain computational modeling or EA if emissions from the applicant’s
laboratory measurement techniques. transmitter or facility would result, at
Where a showing is based on computa- the area in question, in a power density
tional modeling, the Commission re- that exceeds 5% of the power density
tains the discretion to request that exposure limit applicable to that trans-
specific absorption rate measurement mitter or facility or in a field strength
data be submitted. All other mobile, that, when squared, exceeds 5% of the
portable, and unlicensed transmitting square of the electric or magnetic field
294
strength limit applicable to that trans- quency Electromagnetic Fields, 300

mitter or facility. kHz to 100 GHz’’, (ANSI C95.1–1982),
(ii) Renewal applicants whose (not issued by the American National
otherwise excluded) transmitters or fa- Standards Institute (ANSI) and copy-
cilities contribute to the field strength right 1982 by the Institute of Electrical
or power density at an accessible area and Electronics Engineers, Inc., New
not in compliance with the limits spec- York, New York shall apply. With re-
ified in § 1.1310 must submit an EA if spect to subpart K of part 21 and sub-
emissions from the applicant’s trans- part I of part 74 of this chapter, these
mitter or facility results, at the area in requirements apply only to multipoint
question, in a power density that ex- distribution service and instructional
ceeds 5% of the power density exposure television fixed service stations trans-
limit applicable to that transmitter or mitting with an equivalent
facility or in a field strength that, isotropically radiated power (EIRP) in
when squared, exceeds 5% of the square excess of 200 watts. With respect to
of the electric or magnetic field subpart L of part 74 of this chapter,
strength limit applicable to that trans- these requirements apply only to FM
mitter of facility. booster and translator stations trans-
(4) Transition Provisions. Applications mitting with an effective radiated
filed with the Commission prior to Oc- power (ERP) in excess of 100 watts.
tober 15, 1997 (or January 1, 1998, for With respect to part 80 of this chapter,
the Amateur Radio Service only), for these requirements apply only to ship
construction permits, licenses to trans- earth stations.
mit or renewals thereof, modifications
(ii) For facilities and operations li-
in existing facilities or other author-
censed or authorized under part 24 of
izations or renewals thereof require the
this chapter, licensees and manufactur-
preparation of an Environmental As-
ers are required to ensure that their fa-
sessment if the particular facility, op-
cilities and equipment comply with
eration or transmitter would cause
IEEE C95.1–1991 (ANSI/IEEE C95.1–1992),
human exposure to levels of radio-
‘‘Safety Levels With Respect to Human
frequency radiation that are in excess
Exposure to Radio Frequency Electro-
of the requirements contained in para-
graphs (b)(4)(i) through (b)(4)(iii) of magnetic Fields, 3 kHz to 300 GHz.’’
this section. In accordance with Measurement methods are specified in
§ 1.1312, if no new application or Com- IEEE C95.3–1991, ‘‘Recommended Prac-
mission action is required for a li- tice for the Measurement of Poten-
censee to construct a new facility or tially Hazardous Electromagnetic
physically modify an existing facility, Fields—RF and Microwave.’’ Copies of
e.g., geographic area licensees, and these standards are available from
construction begins on or after October IEEE Standards Board, 445 Hoes Lane,
15, 1997, the licensee will be required to P.O. Box 1331, Piscataway, NJ 08855–
prepare an Environmental Assessment 1331. Telephone: 1–800–678–4333. The lim-
if construction or modification of the its for both ‘‘controlled’’ and
facility would not comply with the pro- ‘‘uncontrolled’’ environments, as de-
visions of paragraph (b)(1) of this sec- fined by IEEE C95.1–1991, will apply to
tion. These transition provisions do all PCS base and mobile stations, as
not apply to applications for equip- appropriate.
ment authorization or use for mobile, (iii) Applications for all other types
portable and unlicensed devices as of facilities and operations are cat-
specified in paragraph (b)(2) of this sec- egorically excluded from routine RF
tion. radiation evaluation except as provided
(i) For facilities and operations li- in paragraphs (c) and (d) of this sec-
censed or authorized under parts 5, 21 tion.
(subpart K), 25, 73, 74 (subparts A, G, I, (5) Existing transmitting facilities, de-
and L), and 80 of this chapter, the vices and operations: All existing trans-
‘‘Radio Frequency Protection Guides’’ mitting facilities, operations and de-
recommended in ‘‘American National vices regulated by the Commission
Standard Safety Levels with Respect must be in compliance with the re-
to Human Exposure to Radio Fre- quirements of paragraphs (b)(1)
295
§ 1.1308 47 CFR Ch. I (10–1–02 Edition)
through (b)(3) of this section by Sep- mean the provision of direct-to-home

tember 1, 2000, or, if not in compliance, satellite services; and
file an Environmental Assessment as (4) The term direct-to-home satellite
specified in § 1.1311. services means the distribution or
(c) If an interested person alleges broadcasting of programming or serv-
that a particular action, otherwise cat- ices by satellite directly to the sub-
egorically excluded, will have a signifi- scriber’s premises without the use of
cant environmental effect, the person ground receiving or distribution equip-
shall submit to the Bureau responsible ment, except at the subscriber’s prem-
for processing that action a written pe- ises or in the uplink process to the sat-
tition setting forth in detail the rea- ellite.
sons justifying or circumstances neces- [51 FR 15000, Apr. 22, 1986, as amended at 52
sitating environmental consideration FR 13241, Apr. 22, 1987; 53 FR 28224, July 27,
in the decision-making process. (See 1988; 53 FR 28393, July 28, 1988; 54 FR 30548,
§ 1.1313). The Bureau shall review the July 21, 1989; 55 FR 2381, Jan. 24, 1990; 55 FR
petition and consider the environ- 50692, Dec. 10, 1990; 61 FR 41014, Aug. 7, 1996;
mental concerns that have been raised. 62 FR 3240, Jan. 22, 1997; 62 FR 9654, Mar. 3,
1997; 62 FR 23162, Apr. 29, 1997; 62 FR 47965,
If the Bureau determines that the ac- Sept. 12, 1997; 62 FR 61448, Nov. 18, 1997; 63 FR
tion may have a significant environ- 65099, Nov. 25, 1998; 65 FR 44001, July 17, 2000;
mental impact, the Bureau will require 65 FR 59354, Oct. 5, 2000; 66 FR 10613, Feb. 16,
the applicant to prepare an EA (see 2001; 67 FR 41853, June 20, 2002]
§§ 1.1308 and 1.1311), which will serve as
the basis for the determination to pro- § 1.1308 Consideration of environ-
ceed with or terminate environmental mental assessments (EAs); findings
of no significant impact.
processing.
(d) If the Bureau responsible for proc- (a) Applicants shall prepare EAs for
essing a particular action, otherwise actions that may have a significant en-
categorically excluded, determines vironmental impact (see § 1.1307). An
that the proposal may have a signifi- EA is described in detail in § 1.1311 of
cant environmental impact, the Bu- this part of the Commission rules.
reau, on its own motion, shall require (b) The EA is a document which shall
the applicant to submit an EA. The Bu- explain the environmental con-
reau will review and consider the EA as sequences of the proposal and set forth
in paragraph (c) of this section. sufficient analysis for the Bureau or
(e) No State or local government or the Commission to reach a determina-
instrumentality thereof may regulate tion that the proposal will or will not
the placement, construction, and modi- have a significant environmental ef-
fication of personal wireless service fa- fect. To assist in making that deter-
cilities on the basis of the environ- mination, the Bureau or the Commis-
sion may request further information
mental effects of radio frequency emis-
from the applicant, interested persons,
sions to the extent that such facilities
and agencies and authorities which
comply with the regulations contained
have jurisdiction by law or which have
in this chapter concerning the environ-
relevant expertise.
mental effects of such emissions. For
purposes of this paragraph: NOTE: With respect to actions specified
(1) The term personal wireless service under § 1.1307 (a)(3) and (a)(4), the Commis-
means commercial mobile services, un- sion shall solicit and consider the comments
of the Department of Interior, and the State
licensed wireless services, and common Historic Preservation Officer and the Advi-
carrier wireless exchange access serv- sory Council on Historic Preservation, re-
ices; spectively, in accordance with their estab-
(2) The term personal wireless service lished procedures. See Interagency Coopera-
facilities means facilities for the provi- tion—Endangered Species Act of 1973, as
sion of personal wireless services; amended, 50 CFR part 402; Protection of His-
toric and Cultural Properties, 36 CFR part
(3) The term unlicensed wireless serv-
800. In addition, when an action interferes
ices means the offering of tele- with or adversely affects an American Indian
communications services using duly tribe’s religious site, the Commission shall
authorized devices which do not re- solicit the views of that American Indian
quire individual licenses, but does not tribe. See § 1.1307(a)(5).
296
(c) If the Bureau or the Commission application within thirty (30) days
determines, based on an independent after the Commission or the Bureau in-
review of the EA and any applicable forms the applicant that the proposal
mandatory consultation requirements will have a significant impact upon the
imposed upon Federal agencies (see quality of the human environment (see
note above), that the proposal will § 1.1308(c)). The period of thirty (30)
have a significant environmental im- days may be extended upon a showing
pact upon the quality of the human en- of good cause.
vironment, it will so inform the appli-
cant. The applicant will then have an § 1.1310 Radiofrequency radiation ex-
opportunity to amend its application posure limits.
so as to reduce, minimize, or eliminate The criteria listed in table 1 shall be
environmental problems. See § 1.1309. If used to evaluate the environmental im-
the environmental problem is not pact of human exposure to radio-
eliminated, the Bureau will publish in frequency (RF) radiation as specified in
the FEDERAL REGISTER a Notice of In- § 1.1307(b), except in the case of port-
tent (see § 1.1314) that EISs will be pre- able devices which shall be evaluated
pared (see §§ 1.1315 and 1.1317), or according to the provisions of § 2.1093 of
(d) If the Bureau or Commission de- this chapter. Further information on
termines, based on an independent re- evaluating compliance with these lim-
view of the EA, and any mandatory its can be found in the FCC’s OST/OET
consultation requirements imposed Bulletin Number 65, ‘‘Evaluating Com-
upon Federal agencies (see the note to pliance with FCC-Specified Guidelines
paragraph (b) of this section), that the for Human Exposure to Radiofrequency
proposal would not have a significant Radiation.’’
impact, it will make a finding of no
NOTE TO INTRODUCTORY PARAGRAPH: These
significant impact. Thereafter, the ap- limits are generally based on recommended
plication will be processed without fur- exposure guidelines published by the Na-
ther documentation of environmental tional Council on Radiation Protection and
effect. Pursuant to CEQ regulations, Measurements (NCRP) in ‘‘Biological Effects
see 40 CFR 1501.4 and 1501.6, the appli- and Exposure Criteria for Radiofrequency
cant must provide the community no- Electromagnetic Fields,’’ NCRP Report No.
tice of the Commission’s finding of no 86, Sections 17.4.1, 17.4.1.1, 17.4.2 and 17.4.3.
significant impact. Copyright NCRP, 1986, Bethesda, Maryland
20814. In the frequency range from 100 MHz to
[51 FR 15000, Apr. 22, 1986; 51 FR 18889, May 1500 MHz, exposure limits for field strength
23, 1986, as amended at 53 FR 28394, July 28, and power density are also generally based
1988] on guidelines recommended by the American
National Standards Institute (ANSI) in Sec-
§ 1.1309 Application amendments. tion 4.1 of ‘‘IEEE Standard for Safety Levels
with Respect to Human Exposure to Radio
Applicants are permitted to amend
Frequency Electromagnetic Fields, 3 kHz to
their applications to reduce, minimize 300 GHz,’’ ANSI/IEEE C95.1–1992, Copyright
or eliminate potential environmental 1992 by the Institute of Electrical and Elec-
problems. As a routine matter, an ap- tronics Engineers, Inc., New York, New York
plicant will be permitted to amend its 10017.
TABLE 1—LIMITS FOR MAXIMUM PERMISSIBLE EXPOSURE (MPE)
Electric field Magnetic field
Frequency range Power density Averaging time
strength strength
(MHz) (mW/cm2) (minutes)
(V/m) (A/m)
(A) Limits for Occupational/Controlled Exposures
0.3–3.0 .......................................................... 614 1.63 *(100) 6

3.0–30 ........................................................... 1842/f 4.89/f *(900/f2) 6
30–300 .......................................................... 61.4 0.163 1.0 6
300–1500 ...................................................... .............................. .............................. f/300 6
1500–100,000 ............................................... .............................. .............................. 5 6
(B) Limits for General Population/Uncontrolled Exposure
0.3–1.34 ........................................................ 614 1.63 *(100) 30

1.34–30 ......................................................... 824/f 2.19/f *(180/f2) 30
297
§ 1.1311 47 CFR Ch. I (10–1–02 Edition)
TABLE 1—LIMITS FOR MAXIMUM PERMISSIBLE EXPOSURE (MPE)—Continued

Electric field Magnetic field
Frequency range Power density Averaging time
strength strength
(MHz) (mW/cm2) (minutes)
(V/m) (A/m)
30–300 .......................................................... 27.5 0.073 0.2 30

300–1500 ...................................................... .............................. .............................. f/1500 30
1500–100,000 ............................................... .............................. .............................. 1.0 30
f = frequency in MHz
* = Plane-wave equivalent power density
NOTE 1 TO TABLE 1: Occupational/controlled limits apply in situations in which persons are exposed as a consequence of their
employment provided those persons are fully aware of the potential for exposure and can exercise control over their exposure.
Limits for occupational/controlled exposure also apply in situations when an individual is transient through a location where occu-
pational/controlled limits apply provided he or she is made aware of the potential for exposure.
NOTE 2 TO TABLE 1: General population/uncontrolled exposures apply in situations in which the general public may be ex-
posed, or in which persons that are exposed as a consequence of their employment may not be fully aware of the potential for
exposure or can not exercise control over their exposure.
[61 FR 41016, Aug. 7, 1996] (5) Any other information that may
be requested by the Bureau or Commis-
§ 1.1311 Environmental information to sion.
be included in the environmental (6) If endangered or threatened spe-
assessment (EA).
cies or their critical habitats may be
(a) The applicant shall submit an EA affected, the applicant’s analysis must
with each application that is subject to utilize the best scientific and commer-
environmental processing (see § 1.1307). cial data available, see 50 CFR 402.14(c).
The EA shall contain the following in- (b) The information submitted in the
formation: EA shall be factual (not argumentative
(1) For antenna towers and satellite or conclusory) and concise with suffi-
earth stations, a description of the fa- cient detail to explain the environ-
cilities as well as supporting structures mental consequences and to enable the
and appurtenances, and a description of Commission or Bureau, after an inde-
the site as well as the surrounding area pendent review of the EA, to reach a
and uses. If high intensity white light- determination concerning the pro-
ing is proposed or utilized within a res- posal’s environmental impact, if any.
idential area, the EA must also address The EA shall deal specifically with any
the impact of this lighting upon the feature of the site which has special en-
residents. vironmental significance (e.g., wilder-
(2) A statement as to the zoning clas- ness areas, wildlife preserves, natural
sification of the site, and communica- migration paths for birds and other
tions with, or proceedings before and wildlife, and sites of historic, architec-
determinations (if any) made by zon- tural, or archeological value). In the
ing, planning, environmental or other case of historically significant sites, it
shall specify the effect of the facilities
local, state or Federal authorities on
on any district, site, building, struc-
matters relating to environmental ef-
ture or object listed, or eligible for list-
fect.
ing, in the National Register of His-
(3) A statement as to whether con- toric Places. It shall also detail any
struction of the facilities has been a substantial change in the character of
source of controversy on environ- the land utilized (e.g., deforestation,
mental grounds in the local commu- water diversion, wetland fill, or other
nity. extensive change of surface features).
(4) A discussion of environmental and In the case of wilderness areas, wildlife
other considerations which led to the preserves, or other like areas, the
selection of the particular site and, if statement shall discuss the effect of
relevant, the particular facility; the any continuing pattern of human in-
nature and extent of any unavoidable trusion into the area (e.g., necessitated
adverse environmental effects, and any by the operation and maintenance of
alternative sites or facilities which the facilities).
have been or might reasonably be con- (c) The EA shall also be accompanied
sidered. with evidence of site approval which
298
has been obtained from local or Fed- part. The Commission shall rule on
eral land use authorities. that submission and complete further
(d) To the extent that such informa- environmental processing (if invoked),
tion is submitted in another part of the see § 1.1308 of this part, before such con-
application, it need not be duplicated struction is resumed.
in the EA, but adequate cross-reference (e) Paragraphs (a) through (d) of this
to such information shall be supplied. section shall not apply to the construc-
(e) An EA need not be submitted to tion of mobile stations.
the Commission if another agency of
the Federal Government has assumed [55 FR 20396, May 16, 1990, as amended at 56
responsibility for determining whether FR 13414, Apr. 2, 1991]
of the facilities in question will have a
significant effect on the quality of the § 1.1313 Objections.
human environment and, if it will, for (a) In the case of an application to
invoking the environmental impact which section 309(b) of the Communica-
statement process. tions Act applies, objections based on
[51 FR 15000, Apr. 22, 1986, as amended at 51 environmental considerations shall be
FR 18889, May 23, 1986; 53 FR 28394, July 28, filed as petitions to deny.
1988] (b) Informal objections which are
based on environmental considerations
§ 1.1312 Facilities for which no must be filed prior to grant of the con-
preconstruction authorization is re- struction permit, or prior to authoriza-
quired.
tion for facilities that do not require
(a) In the case of facilities for which construction permits, or pursuant to
no Commission authorization prior to the applicable rules governing services
construction is required by the Com- subject to lotteries.
mission’s rules and regulations the li-
censee or applicant shall initially as- § 1.1314 Environmental impact state-
certain whether the proposed facility ments (EISs).
may have a significant environmental
(a) Draft Environmental Impact
impact as defined in § 1.1307 of this part
Statements (DEISs) (§ 1.1315) and Final
or is categorically excluded from envi-
Environmental Impact Statements
ronmental processing under § 1.1306 of
(FEISs) (referred to collectively as
this part.
EISs) (§ 1.1317) shall be prepared by the
(b) If a facility covered by paragraph
(a) of this section may have a signifi- Bureau responsible for processing the
cant environmental impact, the infor- proposal when the Commission’s or the
mation required by § 1.1311 of this part Bureau’s analysis of the EA (§ 1.1308)
shall be submitted by the licensee or indicates that the proposal will have a
applicant and ruled on by the Commis- significant effect upon the environ-
sion, and environmental processing (if ment and the matter has not been re-
invoked) shall be completed, see § 1.1308 solved by an amendment.
of this part, prior to the initiation of (b) As soon as practically feasible,
construction of the facility. the Bureau will publish in the FEDERAL
(c) If a facility covered by paragraph REGISTER a Notice of Intent to prepare
(a) of this section is categorically ex- EISs. The Notice shall briefly identify
cluded from environmental processing, the proposal, concisely describe the en-
the licensee or applicant may proceed vironmental issues and concerns pre-
with construction and operation of the sented by the subject application, and
facility in accordance with the applica- generally invite participation from af-
ble licensing rules and procedures. fected or involved agencies, authorities
(d) If, following the initiation of con- and other interested persons.
struction under this section, the li- (c) The EISs shall not address non-
censee or applicant discovers that the environmental considerations. To safe-
proposed facility may have a signifi- guard against repetitive and unneces-
cant environmental effect, it shall im- sarily lengthy documents, the State-
mediately cease construction which ments, where feasible, shall incor-
may have that effect, and submit the porate by reference material set forth
information required by § 1.1311 of this in previous documents, with only a
299
§ 1.1315 47 CFR Ch. I (10–1–02 Edition)
brief summary of its content. In pre- lished in the FEDERAL REGISTER, which
paring the EISs, the Bureau will iden- time period may run concurrently, See
tify and address the significant envi- 40 CFR 1506.10(c); see also §§ 1.1315(b) and
ronmental issues and eliminate the in- 1.1317(b).
significant issues from analysis. (i) Guidance concerning preparation
(d) To assist in the preparation of the of the Draft and Final Environmental
EISs, the Bureau may request further Statements is set out in 40 CFR part
information from the applicant, inter- 1502.
ested persons and agencies and authori- [51 FR 15000, Apr. 22, 1986, as amended at 53
ties, which have jurisdiction by law or FR 28394, July 28, 1988]
which have relevant expertise. The Bu-
reau may direct that technical studies § 1.1315 The Draft Environmental Im-
be made by the applicant and that the pact Statement (DEIS); Comments.
applicant obtain expert opinion con- (a) The DEIS shall include:
cerning the potential environmental (1) A concise description of the pro-
problems and costs associated with the posal, the nature of the area affected,
proposed action, as well as comparative its uses, and any specific feature of the
analyses of alternatives. The Bureau area that has special environmental
may also consult experts in an effort to significance;
identify measures that could be taken (2) An analysis of the proposal, and
to minimize the adverse effects and al- reasonable alternatives exploring the
ternatives to the proposed facilities important consequent advantages and/
that are not, or are less, objectionable. or disadvantages of the action and indi-
The Bureau may also direct that objec- cating the direct and indirect effects
tions be raised with appropriate local, and their significance in terms of the
state or Federal land use agencies or short and long-term uses of the human
authorities (if their views have not environment.
been previously sought). (b) When a DEIS and supplements, if
(e) The Bureau responsible for proc- any, are prepared, the Commission
essing the particular application and, shall send five copies of the Statement,
thus, preparing the EISs shall draft or a summary, to the Office of Federal
supplements to Statements where sig- Activities, Environmental Protection
nificant new circumstances occur or in- Agency. Additional copies, or sum-
formation arises relevant to environ- maries, will be sent to the appropriate
mental concerns and bearing upon the regional office of the Environmental
application. Protection Agency. Public Notice of
(f) The Application, the EA, the the availability of the DEIS will be
DEIS, and the FEIS and all related published in the FEDERAL REGISTER by
documents, including the comments the Environmental Protection Agency.
filed by the public and any agency, (c) When copies or summaries of the
shall be part of the administrative DEIS are sent to the Environmental
record and will be routinely available Protection Agency, the copies or sum-
for public inspection. maries will be mailed with a request
(g) If EISs are to be prepared, the ap- for comment to Federal agencies hav-
plicant must provide the community ing jurisdiction by law or special ex-
with notice of the availability of envi- pertise, to the Council on Environ-
ronmental documents and the sched- mental Quality, to the applicant, to in-
uling of any Commission hearings in dividuals, groups and state and local
that action. agencies known to have an interest in
(h) The timing of agency action with the environmental consequences of a
respect to applications subject to EISs grant, and to any other person who has
is set forth in 40 CFR 1506.10. No deci- requested a copy.
sion shall be made until ninety (90) (d) Any person or agency may com-
days after the Notice of Availability of ment on the DEIS and the environ-
the Draft Environmental Impact State- mental effect of the proposal described
ment is published in the Federal Reg- therein within 45 days after notice of
ister, and thirty (30) days after the No- the availability of the statement is
tice of Availability of the Final Envi- published in the FEDERAL REGISTER. A
ronmental Impact Statement is pub- copy of those comments shall be
300
mailed to the applicant by the person sion shall contain an evaluation of the
who files them pursuant to 47 CFR 1.47. respective applications based on envi-
An original and one copy shall be filed ronmental and non-environmental pub-
with the Commission. If a person sub- lic interest factors.
mitting comments is especially quali- (2) Upon review of an initial decision,
fied in any way to comment on the en- the Commission will consider and as-
vironmental impact of the facilities, a sess all aspects of the FEIS and will
statement of his or her qualifications render its decision, giving due consid-
shall be set out in the comments. In eration to the environmental and non-
addition, comments submitted by an environmental issues.
agency shall identify the person(s) who (b) In all non-hearing matters, the
prepared them. Commission, as part of its decision-
(e) The applicant may file reply com- making process, will review the FEIS,
ments within 15 days after the time for along with other relevant issues, to en-
filing comments has expired. Reply sure that the environmental effects are
comments shall be filed with the Com-
specifically assessed and given com-
mission in the same manner as com-
prehensive consideration.
ments, and shall be served by the appli-
cant on persons or agencies which filed [51 FR 15000, Apr. 22, 1986, as amended at 62
comments. FR 4171, Jan. 29, 1997]
(f) The preparation of a DEIS and the
request for comments shall not open Subpart J—Pole Attachment
the application to attack on other Complaint Procedures
grounds.
§ 1.1317 The Final Environmental Im- SOURCE: 43 FR 36094, Aug. 15, 1978, unless
pact Statement (FEIS). otherwise noted.
(a) After receipt of comments and § 1.1401 Purpose.
reply comments, the Bureau will pre-
pare a FEIS, which shall include a The rules and regulations contained
summary of the comments, and a re- in subpart J of this part provide com-
sponse to the comments, and an anal- plaint and enforcement procedures to
ysis of the proposal in terms of its en- ensure that telecommunications car-
vironmental consequences, and any riers and cable system operators have
reasonable alternatives, and rec- nondiscriminatory access to utility
ommendations, if any, and shall cite poles, ducts, conduits, and rights-of-
the Commission’s internal appeal pro- way on rates, terms, and conditions
cedures (See 47 CFR 1.101–1.120). that are just and reasonable.
(b) The FEIS and any supplements
[61 FR 45618, Aug. 29, 1996]
will be distributed and published in the
same manner as specified in § 1.1315. § 1.1402 Definitions.
Copies of the comments and reply com-
ments, or summaries thereof where the (a) The term utility means any person
record is voluminous, shall be attached that is a local exchange carrier or an
to the FEIS. electric, gas, water, steam, or other
public utility, and who owns or con-
§ 1.1319 Consideration of the environ- trols poles, ducts, conduits, or rights-
mental impact statements. of-way used, in whole or in part, for
(a) If the action is subject to a hear- any wire communications. Such term
ing: does not include any railroad, any per-
(1) In rendering his initial decision, son that is cooperatively organized, or
the Administrative Law Judge shall any person owned by the Federal Gov-
utilize the FEIS in considering the en- ernment or any State.
vironmental issues, together with all (b) The term pole attachment means
other non-environmental issues. In a any attachment by a cable television
comparative context, the respective system or provider of telecommuni-
parties shall be afforded the oppor- cations service to a pole, duct, conduit,
tunity to comment on the FEIS, and or right-of-way owned or controlled by
the Administrative Law Judge’s deci- a utility.
301
§ 1.1403 47 CFR Ch. I (10–1–02 Edition)
(c) With respect to poles, the term gether with their supporting infra-
usable space means the space on a util- structure.
ity pole above the minimum grade (k) The term duct means a single en-
level which can be used for the attach- closed raceway for conductors, cable
ment of wires, cables, and associated and/or wire.
equipment, and which includes space (l) With respect to poles, the term
occupied by the utility. With respect to unusable space means the space on a
conduit, the term usable space means utility pole below the usable space, in-
capacity within a conduit system cluding the amount required to set the
which is available, or which could, with depth of the pole.
reasonable effort and expense, be made (m) The term attaching entity in-
available, for the purpose of installing cludes cable system operators, tele-
wires, cable and associated equipment communications carriers, incumbent
for telecommunications or cable serv- and other local exchange carriers, util-
ices, and which includes capacity occu- ities, governmental entities and other
pied by the utility. entities with a physical attachment to
the pole, duct, conduit or right of way.
(d) The term complaint means a filing
It does not include governmental enti-
by a cable television system operator,
ties with only seasonal attachments to
a cable television system association, a
the pole.
utility, an association of utilities, a
(n) The term inner-duct means a duct-
telecommunications carrier, or an as- like raceway smaller than a duct that
sociation of telecommunications car- is inserted into a duct so that the duct
riers alleging that it has been denied may carry multiple wires or cables.
access to a utility pole, duct, conduit,
or right-of-way in violation of this sub- [43 FR 36094, Aug. 15, 1978, as amended at 52
part and/or that a rate, term, or condi- FR 31770, Aug. 24, 1987; 61 FR 43024, Aug. 20,
1996; 61 FR 45618, Aug. 29, 1996; 63 FR 12024,
tion for a pole attachment is not just Mar. 12, 1998; 65 FR 31281, May 17, 2000; 66 FR
and reasonable. 34580, June 29, 2001]
(e) The term complainant means a
cable television system operator, a § 1.1403 Duty to provide access; modi-
cable television system association, a fications; notice of removal, in-
utility, an association of utilities, a crease or modification; petition for
temporary stay; and cable operator
telecommunications carrier, or an as- notice.
sociation of telecommunications car-
riers who files a complaint. (a) A utility shall provide a cable tel-
(f) The term respondent means a cable evision system or any telecommuni-
cations carrier with nondiscriminatory
television system operator, a utility,
access to any pole, duct, conduit, or
or a telecommunications carrier
right-of-way owned or controlled by it.
against whom a complaint is filed.
Notwithstanding this obligation, a
(g) The term State means any State, utility may deny a cable television sys-
territory, or possession of the United tem or any telecommunications carrier
States, the District of Columbia, or access to its poles, ducts, conduits, or
any political subdivision, agency, or in- rights-of-way, on a non-discriminatory
strumentality thereof. basis where there is insufficient capac-
(h) For purposes of this subpart, the ity or for reasons of safety, reliability
term telecommunications carrier means and generally applicable engineering
any provider of telecommunications purposes.
services, except that the term does not (b) Requests for access to a utility’s
include aggregators of telecommuni- poles, ducts, conduits or rights-of-way
cations services (as defined in 47 U.S.C. by a telecommunications carrier or
226) or incumbent local exchange car- cable operator must be in writing. If
riers (as defined in 47 U.S.C. 251(h)). access is not granted within 45 days of
(i) The term conduit means a struc- the request for access, the utility must
ture containing one or more ducts, usu- confirm the denial in writing by the
ally placed in the ground, in which ca- 45th day. The utility’s denial of access
bles or wires may be installed. shall be specific, shall include all rel-
(j) The term conduit system means a evant evidence and information sup-
collection of one or more conduits to- porting its denial, and shall explain
302
how such evidence and information re- § 1.1404 Complaint.

late to a denial of access for reasons of
(a) The complaint shall contain the
lack of capacity, safety, reliability or
name and address of the complainant,
engineering standards. name and address of the respondent,
(c) A utility shall provide a cable tel- and shall contain a verification (in the
evision system operator or tele- form in § 1.721(b)), signed by the com-
communications carrier no less than 60 plainant or officer thereof if complain-
days written notice prior to: ant is a corporation, showing com-
(1) Removal of facilities or termi- plainant’s direct interest in the matter
nation of any service to those facili- complained of. Counsel for the com-
ties, such removal or termination aris- plainant may sign the complaint. Com-
ing out of a rate, term or condition of plainants may join together to file a
the cable television system operator’s joint complaint. Complaints filed by
of telecommunications carrier’s pole associations shall specifically identify
attachment agreement; each utility, cable television system
(2) Any increase in pole attachment operator, or telecommunications car-
rates; or rier who is a party to the complaint
(3) Any modification of facilities and shall be accompanied by a docu-
other than routine maintenance or ment from each identified member cer-
modification in response to emer- tifying that the complaint is being
gencies. filed on its behalf.
(d) A cable television system oper- (b) The complaint shall be accom-
ator or telecommunications carrier panied by a certification of service on
may file a ‘‘Petition for Temporary the named respondent, and each of the
Federal, State, and local governmental
Stay’’ of the action contained in a no-
agencies that regulate any aspect of
tice received pursuant to paragraph (c)
the services provided by the complain-
of this section within 15 days of receipt
ant or respondent.
of such notice. Such submission shall
(c) In a case where it is claimed that
not be considered unless it includes, in
a rate, term, or condition is unjust or
concise terms, the relief sought, the unreasonable, the complaint shall con-
reasons for such relief, including a tain a statement that the State has not
showing of irreparable harm and likely certified to the Commission that it reg-
cessation of cable television service or ulates the rates, terms and conditions
telecommunication service, a copy of for pole attachments. The complaint
the notice, and certification of service shall include a statement that the util-
as required by § 1.1404(b). The named re- ity is not owned by any railroad, any
spondent may file an answer within 7 person who is cooperatively organized
days of the date the Petition for Tem- or any person owned by the Federal
porary Stay was filed. No further fil- Government or any State.
ings under this section will be consid- (d) The complaint shall be accom-
ered unless requested or authorized by panied by a copy of the pole attach-
the Commission and no extensions of ment agreement, if any, between the
time will be granted unless justified cable system operator or telecommuni-
pursuant to § 1.46.5. cations carrier and the utility. If there
(e) Cable operators must notify pole is no present pole attachment agree-
owners upon offering telecommuni- ment, the complaint shall contain:
cations services. (1) A statement that the utility uses
or controls poles, ducts, or conduits
FR 12025, Mar. 12, 1998] used or designated, in whole or in part,
for wire communication; and
EFFECTIVE DATE NOTE: At 63 FR 12025, Mar. (2) A statement that the cable tele-
12, 1998, § 1.1403 was amended by revising the
vision system operator or tele-
heading and adding new paragraph (e). The
added text contains information collection
communications carrier currently has
and recordkeeping requirements and will not attachments on the poles, ducts, con-
become effective until approval has been duits, or rights-of-way.
given by the Office of Management and (e) The complaint shall state with
Budget. specificity the pole attachment rate,
303
§ 1.1404 47 CFR Ch. I (10–1–02 Edition)
term or condition which is claimed to a copy of the latest decision of the

be unjust or unreasonable. state regulatory body or state court
(f) In any case, where it is claimed which determines the treatment of ac-
that a term or condition is unjust or cumulated deferred taxes if it is at
unreasonable, the claim shall specify issue in the proceeding and shall note
all information and argument relied the section which specifically deter-
upon to justify said claim. mines the treatment and amount of ac-
(g) For attachments to poles, where cumulated deferred taxes.
it is claimed that either a rate is un- (x) The rate of return authorized for
just or unreasonable, or a term or con- the utility for intrastate service. With
dition is unjust or unreasonable and its pleading, the utility shall file a
examination of such term or condition copy of the latest decision of the state
requires review of the associated rate, regulatory body or state court which
the complaint shall provide data and establishes this authorized rate of re-
information in support of said claim. turn if the rate of return is at issue in
(1) The data and information shall in- the proceeding and shall note the sec-
clude, where applicable: tion which specifically establishes this
(i) The gross investment by the util- authorized rate and whether the deci-
ity for pole lines; sion is subject to further proceedings
(ii) The investment in crossarms and before the state regulatory body or a
other items which do not reflect the court. In the absence of a state author-
cost of owning and maintaining poles, ized rate of return, the rate of return
if available; set by the Commission for local ex-
(iii) The depreciation reserve from change carriers shall be used as a de-
the gross pole line investment; fault rate of return;
(iv) The depreciation reserve from (xi) The average amount of usable
the investment in crossarms and other space per pole for those poles used for
items which do not reflect the cost of pole attachments (13.5 feet may be in
owning and maintaining poles, if avail- lieu of actual measurement, but may
able; be rebutted);
(v) The total number of poles: (xii) The average amount of unusable
(A) Owned; and space per pole for those poles used for
(B) Controlled or used by the utility. pole attachments (a 24 foot presump-
If any of these poles are jointly owned, tion may be used in lieu of actual
the complaint shall specify the number measurement, but the presumption
of such jointly owned poles and the may be rebutted); and
percentage of each joint pole or the (xiii) Reimbursements received from
number of equivalent poles owned by CATV operators and telecommuni-
the subject utility; cations carriers for non-recurring
(vi) The total number of poles which costs.
are the subject of the complaint; (2) Data and information should be
(vii) The number of poles included in based upon historical or original cost
paragraph (g)(1)(vi) of this section that methodology, insofar as possible. Data
are controlled or used by the utility should be derived from ARMIS, FERC
through lease between the utility and 1, or other reports filed with state or
other owner(s), and the annual federal regulatory agencies (identify
amounts paid by the utility for such source). Calculations made in connec-
rental; tion with these figures should be pro-
(viii) The number of poles included in vided to the complainant. The com-
paragraph (g)(1)(vi) of this section that plainant shall also specify any other
are owned by the utility and that are information and argument relied upon
leased to other users by the utility, to attempt to establish that a rate,
and the annual amounts paid to the term, or condition is not just and rea-
utility for such rental; sonable.
(ix) The annual carrying charges at- (h) With respect to attachments
tributable to the cost of owning a pole. within a duct or conduit system, where
These charges may be expressed as a it is claimed that either a rate is un-
percentage of the net pole investment. just or unreasonable, or a term or con-
With its pleading, the utility shall file dition is unjust or unreasonable and
304
examination of such term or condition 1, or other reports filed with state or

requires review of the associated rate, federal regulatory agencies (identify
the complaint shall provide data and source). Calculations made in connec-
information in support of said claim. tion with these figures should be pro-
(1) The data and information shall in- vided to the complainant. The com-
clude, where applicable: plainant shall also specify any other
(i) The gross investment by the util- information and argument relied upon
ity for conduit; to attempt to establish that a rate,
(ii) The accumulated depreciation term, or condition is not just and rea-
from the gross conduit investment; sonable.
(iii) The system duct length or sys- (i) With respect to rights-of-way,
tem conduit length and the method where it is claimed that either a rate is
used to determine it; unjust or unreasonable, or a term or
(iv) The length of the conduit subject condition is unjust or unreasonable and
to the complaint; examination of such term or condition
(v) The number of ducts in the con- requires review of the associated rate,
duit subject to the complaint; the complaint shall provide data and
(vi) The number of inner-ducts in the information in support of said claim.
duct occupied, if any. If there are no
The data and information shall in-
inner-ducts, the attachment is pre-
clude, where applicable, equivalent in-
sumed to occupy one-half duct.
formation as specified in paragraph (g)
(vii) The annual carrying charges at-
of this section.
tributable to the cost of owning con-
duit. These charges may be expressed (j) If any of the information and data
as a percentage of the net linear cost of required in paragraphs (g), (h) and (i) of
a conduit. With its pleading, the utility this section is not provided to the cable
shall file a copy of the latest decision television operator or telecommuni-
of the state regulatory body or state cations carrier by the utility upon rea-
court which determines the treatment sonable request, the cable television
of accumulated deferred taxes if it is at operator or telecommunications car-
issue in the proceeding and shall note rier shall include a statement indi-
the section which specifically deter- cating the steps taken to obtain the in-
mines the treatment and amount of ac- formation from the utility, including
cumulated deferred taxes. the dates of all requests. No complaint
(viii) The rate of return authorized filed by a cable television operator or
for the utility for intrastate service. telecommunications carrier shall be
With its pleading, the utility shall file dismissed where the utility has failed
a copy of the latest decision of the to provide the information required
state regulatory body or state court under paragraphs (g), (h) or (i) of this
which establishes this authorized rate section, as applicable, after such rea-
of return if the rate of return is at sonable request. A utility must supply
issue in the proceeding and shall note a cable television operator or tele-
the section which specifically estab- communications carrier the informa-
lishes this authorized rate and whether tion required in paragraph (g), (h) or (i)
the decision is subject to further proof this section, as applicable, along
ceedings before the state regulatory with the supporting pages from its
body or a court. In the absence of a ARMIS, FERC Form 1, or other report
state authorized rate of return, the to a regulatory body, within 30 days of
rate of return set by the Commission the request by the cable television op-
for local exchange carriers shall be erator or telecommunications carrier.
used as a default rate of return; and The cable television operator or tele-
(ix) Reimbursements received by communications carrier, in turn, shall
utilities from CATV operators and tele- submit these pages with its complaint.
communications carriers for non-recur- If the utility did not supply these pages
ring costs. to the cable television operator or tele-
(2) Data and information should be communications carrier in response to
based upon historical or original cost the information request, the utility
methodology, insofar as possible. Data shall supply this information in its re-
should be derived from ARMIS, FERC sponse to the complaint.
305
§ 1.1405 47 CFR Ch. I (10–1–02 Edition)
(k) The complaint shall include a EFFECTIVE DATE NOTE 2: At 65 FR 31282,

brief summary of all steps taken to re- May 17, 2000, § 1.1404 was amended by remov-
solve the problem prior to filing. If no ing paragraph (k), redesignating paragraphs
(l), (m), and (n) as (k), (l), and (m), respec-
such steps were taken, the complaint
tively, and revising paragraphs (g), (h), and
shall state the reason(s) why it be- the third sentence of paragraph (j). The re-
lieved such steps were fruitless. vised text contains information collection
(l) Factual allegations shall be sup- and recordkeeping requirements and will not
ported by affidavit of a person or per- become effective until approval has been
sons with actual knowledge of the given by the Office of Management and
facts, and exhibits shall be verified by Budget.
the person who prepares them.
(m) In a case where a cable television § 1.1405 File numbers.
system operator or telecommuni- Each complaint which appears to be
cations carrier claims that it has been essentially complete under § 1.1404 will
denied access to a pole, duct, conduit be accepted and assigned a file number.
or right-of-way despite a request made Such assignment is for administrative
pursuant to section 47 U.S.C. § 224(f), purposes only and does not necessarily
the complaint shall be filed within 30 mean that the complaint has been
days of such denial. In addition to found to be in full compliance with
meeting the other requirements of this other sections in this subpart. Peti-
section, the complaint shall include tions for temporary stay will also be
the data and information necessary to assigned a file number upon receipt.
support the claim, including:
(1) The reasons given for the denial of [44 FR 31650, June 1, 1979]
access to the utility’s poles, ducts, con-
§ 1.1406 Dismissal of complaints.
duits and rights-of-way;
(2) The basis for the complainant’s (a) The complaint shall be dismissed
claim that the denial of access is im- for lack of jurisdiction in any case
proper; where a suitable certificate has been
(3) The remedy sought by the com- filed by a State pursuant to § 1.1414 of
plainant; this subpart. Such certificate shall be
(4) A copy of the written request to conclusive proof of lack of jurisdiction
the utility for access to its poles, of this Commission. A complaint
ducts, conduits or rights-of-way; and against a utility shall also be dismissed
(5) A copy of the utility’s response to if the utility does not use or control
the written request including all infor- poles, ducts, or conduits used or des-
mation given by the utility to support ignated, in whole or in part, for wire
its denial of access. A complaint alleg- communication or if the utility does
ing improper denial of access will not not meet the criteria of § 1.1402(a) of
be dismissed if the complainant is un- this subpart.
able to obtain a utility’s written re- (b) If the complaint does not contain
sponse, or if the utility denies the com- substantially all the information re-
plainant any other information needed quired under § 1.1404 the Commission
to establish a prima facie case. may dismiss the complaint or may re-
[43 FR 36094, Aug. 15, 1978, as amended at 44 quire the complainant to file addi-
FR 31649, June 1, 1979; 45 FR 17014, Mar. 17, tional information. The complaint
1980; 52 FR 31770, Aug. 24, 1987; 61 FR 43025, shall not be dismissed if the informa-
Aug. 20, 1996; 61 FR 45619, Aug. 29, 1996; 63 FR tion is not available from public
12025, Mar. 12, 1998; 65 FR 31282, May 17, 2000; records or from the respondent utility
65 FR 34820, May 31, 2000] after reasonable request.
EFFECTIVE DATE NOTE 1: At 63 FR 12025, (c) Failure by the complainant to re-
Mar. 12, 1998, § 1.1404 was amended by redesig- spond to official correspondence or a
nating paragraphs (g)(12) and (h) through (k) request for additional information will
as (g)(13) and (k) through (n) and adding new be cause for dismissal.
paragraphs (g)(12) and (h) through (j). The
(d) Dismissal under provisions of
added text contains information collection
and recordkeeping requirements and will not paragraph (b) of this section above will
become effective until approval has been be with prejudice if the complaint has
given by the Office of Management and been dismissed previously. Such a com-
Budget. plaint may be refiled no earlier than
306
six months from the date it was so dis- have been conducted. The Commission
missed. may also request that one or more of
the parties make additional filings or
FR 31650, June 1, 1979] provide additional information. Where
one of the parties has failed to provide
§ 1.1407 Response and reply. information required to be provided by
(a) Respondent shall have 30 days these rules or requested by the Com-
from the date the complaint was filed mission, or where costs, values or
within which to file a response. Com- amounts are disputed, the Commission
plainant shall have 20 days from the may estimate such costs, values or
date the response was filed within amounts it considers reasonable, or
which to file a reply. Extensions of may decide adversely to a party who
time to file are not contemplated un- has failed to supply requested informa-
less justification is shown pursuant to tion which is readily available to it, or
§ 1.46. Except as otherwise provided in both.
§ 1.1403, no other filings and no motions (b) The complainant shall have the
other than for extension of time will be burden of establishing a prima facie
considered unless authorized by the case that the rate, term, or condition
Commission. The response should set is not just and reasonable or that the
forth justification for the rate, term, denial of access violates 47 U.S.C.
or condition alleged in the complaint § 224(f). If, however, a utility argues
not to be just and reasonable. Factual that the proposed rate is lower than its
allegations shall be supported by affi- incremental costs, the utility has the
davit of a person or persons with actual burden of establishing that such rate is
knowledge of the facts and exhibits below the statutory minimum just and
shall be verified by the person who pre- reasonable rate. In a case involving a
pares them. The response, reply, and denial of access, the utility shall have
other pleadings may be signed by coun- the burden of proving that the denial
sel. was lawful, once a prima facie case is
(b) The response shall be served on established by the complainant.
the complainant and all parties listed (c) The Commission shall determine
in complainant’s certificate of service. whether the rate, term or condition
(c) The reply shall be served on the complained of is just and reasonable.
respondent and all parties listed in re- For the purposes of this paragraph, a
spondent’s certificate of service. rate is just and reasonable if it assures
(d) Failure to respond may be deemed a utility the recovery of not less than
an admission of the material factual the additional costs of providing pole
allegations contained in the complaint. attachments, nor more than an amount
[44 FR 31650, June 1, 1979] determined by multiplying the per-
centage of the total usable space, or
§ 1.1408 Number of copies and form of the percentage of the total duct or con-
pleadings. duit capacity, which is occupied by the
(a) An original and three copies of pole attachment by the sum of the op-
the complaint, response, and reply erating expenses and actual capital
shall be filed with the Commission. costs of the utility attributable to the
(b) All papers filed in the complaint entire pole, duct, conduit, or right-of-
proceeding must be drawn in con- way.
formity with the requirements of (d) The Commission shall deny the
§§ 1.49, 1.50 and 1.52. complaint if it determines that the
complainant has not established a
§ 1.1409 Commission consideration of prima facie case, or that the rate, term
the complaint. or condition is just and reasonable, or
(a) In its consideration of the com- that the denial of access was lawful.
plaint, response, and reply, the Com- (e) When parties fail to resolve a dis-
mission may take notice of any infor- pute regarding charges for pole attach-
mation contained in publicly available ments and the Commission’s complaint
filings made by the parties and may ac- procedures under Section 1.1404 are in-
cept, subject to rebuttal, studies that voked, the Commission will apply the
307
§ 1.1409 47 CFR Ch. I (10–1–02 Edition)
following formulas for determining a to poles by any telecommunications

maximum just and reasonable rate: carrier (to the extent such carrier is
(1) The following formula shall apply not a party to a pole attachment agree-
to attachments to poles by cable opera- ment) or cable operator providing tele-
tors providing cable services. This for- communications services until Feb-
mula shall also apply to attachments ruary 8, 2001:
Maximum Net Cost of Carrying

Rate = Space Factor × a Bare Pole × Charge Rate
Where Space Occupied by Attachment
Space =
Factor Total Usable Space
(2) Subject to paragraph (f) of this section the following formula shall apply to
attachments to poles by any telecommunications carrier (to the extent such car-
rier is not a party to a pole attachment agreement) or cable operator providing
telecommunications services beginning February 8, 2001:
Carrying
Maximum Rate = Space Factor × Net Cost of a Bare Pole ×  Charge 
 Rate 
  Space   2 Unusable Space 

  Occupied +  × 
 3 No. of Attaching Entities 
Where Space Factor = 
 Pole Height 
 
 
(3) The following formula shall apply to attachments to conduit by cable opera-
tors and telecommunications carriers:
Carrying
 × No. of × Net Conduit Investment  × Charge
Maximum
Rate per = 
1 1 Duct
×   Ducts 
Linear ft./m.  Number of Ducts No. of Inner Ducts   System Duct Length (ft./m.)  Rate
(Percentage of Conduit Capacity) (Net Linear Cost of a Conduit)
simplified as:
Carrying
ER29JN01.015</MATH>
Maximum Rate 1 Duct Net Conduit Investment
Per Linear ft./m. = No. of Inner Ducts × System Duct Length (ft./m.) × Charge
Rate
ER29JN01.014</MATH>
If no inner-duct is installed the frac- ments. The five-year phase-in is to
tion, ‘‘1 Duct divided by the No. of apply to rate increases only. Rate re-
Inner-Ducts’’ is presumed to be 1⁄2. ductions are to be implemented imme-
(f) Paragraph (e)(2) of this section diately. The determination of any rate
shall become effective February 8, 2001 increase shall be based on data cur-
(i.e., five years after the effective date rently available at the time of the cal-
ER29JN01.013</MATH>
of the Telecommunications Act of culation of the rate increase.

1996). Any increase in the rates for pole [43 FR 36094, Aug. 15, 1978, as amended at 52
attachments that results from the FR 31770, Aug. 24, 1987; 61 FR 43025, Aug. 20,
adoption of such regulations shall be 1996; 61 FR 45619, Aug. 29, 1996; 63 FR 12025,
phased in over a period of five years be- Mar. 12, 1998; 65 FR 31282, May 17, 2000; 66 FR
ER29JN01.012</MATH>
ginning on the effective date of such 34580, June 29, 2001]

regulations in equal annual incre-
308
ER29JN01.011</MATH>
§ 1.1410 Remedies. criminal penalties under section 1001 of

If the Commission determines that Title 18 of the United States Code, im-
the rate, term, or condition complained pose a forfeiture pursuant to section
of is not just and reasonable, it may 503(b) of the Communications Act, 47
prescribe a just and reasonable rate, U.S.C. 503(b).
term, or condition and may: § 1.1414 State certification.
(a) Terminate the unjust and unrea-
sonable rate, term, or condition; (a) If the Commission does not re-
(b) Substitute in the pole attachment ceive certification from a state that:
agreement the just and reasonable (1) It regulates rates, terms and con-
rate, term, or condition established by ditions for pole attachments;
the Commission; and (2) In so regulating such rates, terms
(c) Order a refund, or payment, if ap- and conditions, the state has the au-
propriate. The refund or payment will thority to consider and does consider
normally be the difference between the the interests of the subscribers of cable
amount paid under the unjust and/or television services as well as the inter-
unreasonable rate, term, or condition ests of the consumers of the utility
and the amount that would have been services; and,
paid under the rate, term, or condition (3) It has issued and made effective
established by the Commission from rules and regulations implementing the
the date that the complaint, as accept- state’s regulatory authority over pole
able, was filed, plus interest. attachments (including a specific
methodology for such regulation which
[44 FR 31650, June 1, 1979] has been made publicly available in the
state), it will be rebuttably presumed
§ 1.1411 Meetings and hearings.
that the state is not regulating pole at-
The Commission may decide each tachments.
complaint upon the filings and infor- (b) Upon receipt of such certification,
mation before it, may require one or the Commission shall give public no-
more informal meetings with the par- tice. In addition, the Commission shall
ties to clarify the issues or to consider compile and publish from time to time,
settlement of the dispute, or may, in a listing of states which have provided
its discretion, order evidentiary proce- certification.
dures upon any issues it finds to have (c) Upon receipt of such certification,
been raised by the filings. the Commission shall forward any
pending case thereby affected to the
§ 1.1412 Enforcement. state regulatory authority, shall so no-
If the respondent fails to obey any tify the parties involved and shall give
order imposed under this subpart, the public notice thereof.
Commission on its own motion or by (d) Certification shall be by order of
motion of the complainant may order the state regulatory body or by a per-
the respondent to show cause why it son having lawful delegated authority
should not cease and desist from vio- under provisions of state law to submit
lating the Commission’s order. such certification. Said person shall
provide in writing a statement that he
§ 1.1413 Forfeiture. or she has such authority and shall cite
(a) If any person willfully fails to the law, regulation or other instru-
obey any order imposed under this sub- ment conferring such authority.
part, or any Commission rule, or (e) Notwithstanding any such certifi-
(b) If any person shall in any written cation, jurisdiction will revert to this
response to Commission correspond- Commission with respect to any indi-
ence or inquiry or in any application, vidual matter, unless the state takes
pleading, report, or any other written final action on a complaint regarding
statement submitted to the Commis- such matter:
sion pursuant to this subpart make any (1) Within 180 days after the com-
misrepresentation bearing on any mat- plaint is filed with the state, or
ter within the jurisdiction of the Com- (2) Within the applicable periods pre-
mission, the Commission may, in addi- scribed for such final action in such
tion to any other remedies, including rules and regulations of the state, if
309
§ 1.1415 47 CFR Ch. I (10–1–02 Edition)
the prescribed period does not extend § 1.1417 Allocation of Unusable Space
beyond 360 days after the filing of such Costs.
complaint.
(a) With respect to the formula ref-
[43 FR 36094, Aug. 15, 1978, as amended at 44 erenced in § 1.1409(e)(2), a utility shall
FR 31650, June 1, 1979; 50 FR 18659, May 5, apportion the cost of providing unus-
1985] able space on a pole so that such appor-
tionment equals two-thirds of the costs
§ 1.1415 Other orders.
of providing unusable space that would
The Commission may issue such be allocated to such entity under an
other orders and so conduct its pro- equal apportionment of such costs
ceedings as will best conduce to the among all attaching entities.
proper dispatch of business and the (b) All attaching entities attached to
ends of justice. the pole shall be counted for purposes
§ 1.1416 Imputation of rates; modifica- of apportioning the cost of unusable
tion costs. space.
(c) Utilities may use the following re-
(a) A utility that engages in the pro-
buttable presumptive averages when
vision of telecommunications services
calculating the number of attaching
or cable services shall impute to its
entities with respect to the formula
costs of providing such services (and
charge any affiliate, subsidiary, or as- referenced in § 1.1409(e)(2). For non-ur-
sociate company engaged in the provi- banized service areas (under 50,000 pop-
sion of such services) an equal amount ulation), a presumptive average num-
to the pole attachment rate for which ber of attaching entities of three (3).
such company would be liable under For urbanized service areas (50,000 or
this section. higher population), a presumptive av-
(b) The costs of modifying a facility erage number of attaching entities of
shall be borne by all parties that ob- five (5). If any part of the utility’s serv-
tain access to the facility as a result of ice area within the state has a designa-
the modification and by all parties tion of urbanized (50,000 or higher popu-
that directly benefit from the modi- lation) by the Bureau of Census, United
fication. Each party described in the States Department of Commerce, then
preceding sentence shall share propor- all of that service area shall be des-
tionately in the cost of the modifica- ignated as urbanized for purposes of de-
tion. A party with a preexisting at- termining the presumptive average
tachment to the modified facility shall number of attaching entities.
be deemed to directly benefit from a (d) A utility may establish its own
modification if, after receiving notifi- presumptive average number of attach-
cation of such modification as provided ing entities for its urbanized and non-
in subpart J of this part, it adds to or urbanized service area as follows:
modifies its attachment. Notwith- (1) Each utility shall, upon request,
standing the foregoing, a party with a provide all attaching entities and all
preexisting attachment to a pole, con- entities seeking access the method-
duit, duct or right-of-way shall not be ology and information upon which the
required to bear any of the costs of re- utilities presumptive average number
arranging or replacing its attachment of attachers is based.
if such rearrangement or replacement (2) Each utility is required to exer-
is necessitated solely as a result of an cise good faith in establishing and up-
additional attachment or the modifica- dating its presumptive average number
tion of an existing attachment sought of attachers.
by another party. If a party makes an (3) The presumptive average number
attachment to the facility after the of attachers may be challenged by an
completion of the modification, such attaching entity by submitting infor-
party shall share proportionately in mation demonstrating why the util-
the cost of the modification if such ity’s presumptive average is incorrect.
modification rendered possible the The attaching entity should also sub-
added attachment. mit what it believes should be the pre-
[61 FR 43025, Aug. 20, 1996; 61 FR 45619, Aug. sumptive average and the methodology
29, 1996] used. Where a complete inspection is
310
impractical, a statistically sound sur- Commission is substantially in excess

vey may be submitted. of the decision in the adversary adju-
(4) Upon successful challenge of the dication and is unreasonable when
existing presumptive average number compared with such decision, under the
of attachers, the resulting data deter- facts and circumstances of the case,
mined shall be used by the utility as unless the party has committed a will-
the presumptive number of attachers ful violation of law or otherwise acted
within the rate formula. in bad faith, or special circumstances
[63 FR 12026, Mar. 12, 1998, as amended at 66 make an award unjust. The rules in
FR 34581, June 29, 2001] this part describe the parties eligible
for awards and the proceedings that are
EFFECTIVE DATE NOTE: At 63 FR 12026, Mar.
12, 1998, § 1.1417 was added. The section con-
covered. They also explain how to
tains information collection and record- apply for awards, and the procedures
keeping requirements and will not become and standards that the Commission
effective until approval has been given by will use to make them.
the Office of Management and Budget.
FR 39898, July 31, 1996]
§ 1.1418 Use of presumptions in calcu-
lating the space factor.
§ 1.1502 When the EAJA applies.
With respect to the formulas ref-
The EAJA applies to any adversary
erenced in § 1.1409(e)(1) and § 1.1409(e)(2),
adjudication pending or commenced be-
the space occupied by an attachment is
fore the Commission on or after August
presumed to be one (1) foot. The
5, 1985. The provisions of § 1.1505(b)
amount of usable space is presumed to
apply to any adversary adjudications
be 13.5 feet. The amount of unusable
commenced on or after March 29, 1996.
space is presumed to be 24 feet. The
pole height is presumed to be 37.5 feet. [61 FR 39898, July 31, 1996]
These presumptions may be rebutted
by either party. § 1.1503 Proceedings covered.
[66 FR 34581, June 29, 2001] (a) The EAJA applies to adversary
adjudications conducted by the Com-
mission. These are adjudications under
Subpart K—Implementation of the 5 U.S.C. 554 in which the position of the
Equal Access to Justice Act Commission or any other agency of the
(EAJA) in Agency Pro- United States, or any component of an
ceedings agency, is presented by an attorney or
other representative who enters an ap-
AUTHORITY: Sec. 203(a)(1), Pub. L. 96–481, 94 pearance and participates in the pro-
Stat. 2325 (5 U.S.C. 504(c)(1)). ceeding. Any proceeding in which this
SOURCE: 47 FR 3786, Jan. 27, 1982, unless Agency may fix a lawful present or fu-
otherwise noted. ture rate is not covered by the EAJA.
Proceedings to grant or renew licenses
GENERAL PROVISIONS are also excluded, but proceedings to
modify, suspend, or revoke licenses are
§ 1.1501 Purpose of these rules. covered if they are otherwise
The Equal Access to Justice Act, 5 ‘‘adversary adjudications’’.
U.S.C. 504 (called the EAJA in this sub- (b) The Commission may designate a
part), provides for the award of attor- proceeding as an adversary adjudica-
ney’s fees and other expenses to eligi- tion for purposes of the EAJA by so
ble individuals and entities who are stating in an order initiating the pro-
parties to certain administrative proceeding or designating the matter for
ceedings (called adversary adjudications) hearing. The Commission’s failure to
before the Commission. An eligible designate a proceeding as an adversary
party may receive an award when it adjudication shall not preclude the fil-
prevails over the Commission, unless ing of an application by a party who
the Commission’s position in the pro- believes the proceeding is covered by
ceeding was substantially justified or the EAJA; whether the proceeding is
special circumstances make an award covered will then be an issue for resolu-
unjust, or when the demand of the tion in proceedings on the application.
311
§ 1.1504 47 CFR Ch. I (10–1–02 Edition)
(c) If a proceeding includes both mat- employees shall be included on a pro-

ters covered by the EAJA and matters portional basis.
specifically excluded from coverage, (f) The net worth and number of em-
any awards made will include only fees ployees of the applicant and all of its
and expenses related to covered issues. affiliates shall be aggregated to deter-
mine eligibility. Any individual, cor-
FR 11653, Apr. 10, 1987] poration or other entity that directly
or indirectly controls or owns a major-
§ 1.1504 Eligibility of applicants. ity of the voting shares or other inter-
(a) To be eligible for an award of at- est of the applicant, or any corporation
torney fees and other expenses under or other entity of which the applicant
the EAJA, the applicant must be a directly or indirectly owns or controls
party, as defined in 5 U.S.C. 551(3), to a majority of the voting shares or
the adversary adjudication for which it other interest, will be considered an af-
seeks an award. The applicant must filiate for purposes of this part, unless
show that it meets all conditions of eli- the Administrative Law Judge deter-
gibility set out in this paragraph and mines that such treatment would be
in paragraph (b) of this section. unjust and contrary to the purposes of
(b) The types of eligible applicants the EAJA in light of the actual rela-
are as follows: tionship between the affiliated enti-
(1) An individual with a net worth of ties. In addition, the Administrative
not more than $2 million; Law Judge may determine that finan-
(2) The sole owner of an unincor- cial relationships of the applicant
porated business who has a net worth other than those described in this para-
of not more than $7 million, including graph constitute special circumstances
both personal and business interests, that would make an award unjust.
and not more than 500 employees; (g) An applicant that participates in
(3) A charitable association as de- a proceeding primarily on behalf of one
fined in section 501(c)(3) of the Internal or more other persons or entities that
Revenue Code (26 U.S.C. 501(c)(3)) with would be ineligible is not itself eligible
not more than 500 employees; for an award.
(4) A cooperative association as de- [47 FR 3786, Jan. 27, 1982, as amended at 52
fined in section 15(a) of the Agricul- FR 11653, Apr. 10, 1987; 61 FR 39898, July 31,
tural Marketing Act (12 U.S.C. 1141j(a)) 1996]
with not more than 500 employees;
(5) Any other partnership, corpora- § 1.1505 Standards for awards.
tion, association, unit of local govern- (a) A prevailing party may receive an
ment, or organization with a net worth award for fees and expenses incurred in
of not more than $7 million and not connection either with an adversary
more than 500 employees; adjudication, or with a significant and
(6) For purposes of § 1.1505(b), a small discrete substantive portion of an ad-
entity as defined in 5 U.S.C. 601. versary adjudication in which the
(c) For the purpose of eligibility, the party has prevailed over the position of
net worth and number of employees of the Commission.
an applicant shall be determined as of (1) The position of the Commission
the date the proceeding was initiated. includes, in addition to the position
(d) An applicant who owns an unin- taken by the Commission in the adver-
corporated business will be considered sary adjudication, the action or failure
as an ‘‘individual’’ rather than a ‘‘sole to act by the agency upon which the
owner of an unincorporated business’’ adversary adjudication is based.
if the issues on which the applicant (2) An award will be reduced or de-
prevails are related primarily to per- nied if the Commission’s position was
sonal interests rather than to business substantially justified in law and fact,
interests. if special circumstances make an
(e) The number of employees of an award unjust, or if the prevailing party
applicant include all persons who regu- unduly or unreasonably protracted the
larly perform services for remunera- adversary adjudication.
tion for the applicant, under the appli- (b) If, in an adversary adjudication
cant’s direction and control. Part-time arising from a Commission action to
312
enforce a party’s compliance with a attorney, agent or witness ordinarily

statutory or regulatory requirement, performs services;
the demand of the Commission is sub- (3) The time actually spent in the
stantially in excess of the decision in representation of the applicant;
the adversary adjudication and is un- (4) The time reasonably spent in light
reasonable when compared with that of the difficulty or complexity of the
decision, under the facts and cir- issues in the proceeding; and
cumstances of the case, the party shall (5) Such other factors as may bear on
be awarded the fees and other expenses the value of the service provided.
related to defending against the exces- (d) The reasonable cost of any study,
sive demand, unless the party has com- analysis, engineering report, test,
mitted a willful violation of law or oth- project or similar matter prepared on
erwise acted in bad faith, or special cir- behalf of a party may be awarded, to
cumstances make an award unjust. The the extent that the charge for the serv-
‘‘demand’’ of the Commission means ice does not exceed the prevailing rate
the express demand which led to the for similar services, and the study or
adversary adjudication, but it does not other matter was necessary for prepa-
include a recitation by the Commission ration of the applicant’s case.
of the maximum statutory penalty in (e) Fees may be awarded only for
the administrative complaint, or else- work performed after designation of a
where when accompanied by an express proceeding or after issuance of a show
demand for a lesser amount. cause order.
(c) The burden of proof that an award [47 FR 3786, Jan. 27, 1982, as amended at 61
should not be made is on the appro- FR 39899, July 31, 1996]
priate Bureau (see § 1.21) whose rep-
resentative shall be called ‘‘Bureau § 1.1507 Rulemaking on maximum
counsel’’ in this subpart K. rates for attorney fees.
[61 FR 39899, July 31, 1996] (a) If warranted by an increase in the
cost of living or by special cir-
§ 1.1506 Allowable fees and expenses. cumstances (such as limited avail-
(a) Awards will be based on rates cus- ability of attorneys qualified to handle
tomarily charged by persons engaged certain types of proceedings), the Com-
in the business of acting as attorneys, mission may adopt regulations pro-
agents and expert witnesses. viding that attorney fees may be
(b) No award for the fee of an attor- awarded at a rate higher than $125.00
ney or agent under these rules may exper hour in some or all of the types of
ceed $75.00, or for adversary adjudica- proceedings covered by this part. The
tions commenced on or after March 29, Commission will conduct any rule-
1996, $125.00, per hour. No award to making proceedings for this purpose
compensate an expert witness may ex- under the informal rulemaking proce-
ceed the highest rate at which the dures of the Administrative Procedure
Commission pays expert witnesses. Act.
However, an award may also include (b) Any person may file with the
the reasonable expenses of the attor- Commission a petition for rulemaking
ney; agent, or witness as a separate to increase the maximum rate for at-
item, if the attorney, agent or witness torney fees, in accordance with subpart
ordinarily charges its clients sepa- C of this chapter. The petition should
rately for such expenses. identify the rate the petitioner be-
(c) In determining the reasonableness lieves this agency should establish and
of the fee sought for an attorney, agent the types of proceedings in which the
or expert witness, the Administrative rate should be used. It should also ex-
Law Judge shall consider the following: plain fully the reasons why the higher
(1) If the attorney, agent or witness rate is warranted. This agency will re-
is in private practice, his or her cus- spond to the petition by initiating a
tomary fee for similar services, or, if rulemaking proceeding, denying the
an employee of the applicant, the fully petition, or taking other appropriate
allocated cost of the services; action.
(2) The prevailing rate for similar [47 FR 3786, Jan. 27, 1982, as amended at 61
services in the community in which the FR 39899, July 31, 1996]
313
§ 1.1508 47 CFR Ch. I (10–1–02 Edition)
§ 1.1508 Awards against other agen- basis for the applicant’s belief that it
cies. qualifies under such section; or
If an applicant is entitled to an (2) It states that it is a cooperative
award because it prevails over another association as defined in section 15(a)
agency of the United States that par- of the Agricultural Marketing Act (12
ticipates in a proceeding before the U.S.C. 1141j(a)).
Commission and takes a position that (c) The application shall state the
is not substantially justified, the amount of fees and expenses for which
award or an appropriate portion of the an award is sought.
award shall be made against that agen- (d) The application may also include
cy. Counsel for that agency shall be any other matters that the applicant
treated as Bureau counsel for the pur- wishes the Commission to consider in
pose of this subpart. determining whether and in what
amount an award should be made.
FR 39899, July 31, 1996]
(e) The application shall be signed by
the applicant or an authorized officer
INFORMATION REQUIRED FROM or attorney of the applicant. It shall
APPLICANTS also contain or be accompanied by a
written verification under oath or
§ 1.1511 Contents of application. under penalty of perjury that the infor-
mation provided in the application is
(a) An application for an award of
true and correct.
fees and expenses under EAJA shall
dentify the applicant and the pro- [47 FR 3786, Jan. 27, 1982, as amended at 52
ceeding for which an award is sought. FR 11653, Apr. 10, 1987; 61 FR 39899, July 31,
Unless the applicant is an individual, 1996]
the application shall state the number
of employees of the applicant and de- § 1.1512 Net worth exhibit.
scribe briefly the type and purpose of (a) Each applicant except a qualified
its organization or business. The appli- tax-exempt organization or cooperative
cation shall also: association must provide with its ap-
(1) Show that the applicant has pre- plication a detailed exhibit showing
vailed and identify the position of an the net worth of the applicant and any
agency or agencies in the proceeding affiliates (as defined in § 1.1504(f) of this
that the applicant alleges was not subpart) at the time the proceeding was
stantially justified; or designated. The exhibit may be in any
(2) Show that the demand by the form convenient to the applicant that
agency or agencies in the proceeding provides full disclosure of the appli-
was substantially in excess of, and was cant’s and its affiliates’ assets and li-
unreasonable when compared with, the abilities and is sufficient to determine
decision in the proceeding. whether the applicant qualifies under
(b) The application shall also include the standards in this subpart. The Ad-
a declaration that the applicant is a ministrative Law Judge may require
small entity as defined in 5 U.S.C. 601 an applicant to file additional informa-
or a statement that the applicant’s net tion to determine its eligibility for an
worth does not exceed $2 million (if an award.
individual) or $7 million (for all other (b) Ordinarily, the net worth exhibit
applicants, including their affiliates). will be included in the public record of
However, an applicant may omit the the proceeding. However, an applicant
statement concerning its net worth if: that objects to public disclosure of in-
(1) It attaches a copy of a ruling by formation in any portion of the exhibit
the Internal Revenue Service that it and believes there are legal grounds for
qualifies as an organization described withholding it from disclosure may
in section 501(c)(3) of the Internal Rev- submit that portion of the exhibit di-
enue Code (26 U.S.C. 501(c)(3)) or, in the rectly to the Administrative Law
case of a tax-exempt organization not Judge in a sealed enevelope labeled
required to obtain a ruling from the In- ‘‘Confidential Financial Information’’,
ternal Revenue Service on its exempt accompanied by a motion to withhold
status, a statement that describes the the information from public disclosure.
314
The motion shall describe the informa- Commission is substantially in excess

tion sought to be withheld and explain, of the decision in the proceeding, but
in detail, why it falls within one or in no case later than 30 days after the
more of the specific exemptions from Commission’s final disposition of the
mandatory disclosure under the Free- proceeding.
dom of Information Act, 5 U.S.C. (b) If review or reconsideration is
552(b)(1)–(9), why public disclosue of the sought or taken of a decision as to
information would adversely affect the which an applicant believes it has pre-
applicant, and why disclosure is not re- vailed, proceedings for the award of
quired in the public interest. The mate- fees shall be stayed pending final dis-
rial in question shall be served on Bu- position of the underlying controversy.
reau counsel, but need not be served on (c) For purposes of this rule, final dis-
any other party to the proceeding. If position means the later of
the Administrative Law Judge finds (1) The date on which an initial deci-
that the information should not be sion or other recommended disposition
withheld from disclosure, it shall be of the merits of the proceeding by an
placed in the public record of the pro- Administrative Law Judge becomes ad-
ceeding. Otherwise, any request to in- ministratively final;
spect or copy the exhibit shall be dis- (2) Issuance of an order disposing of
posed of in accordance with the Com- any petitions for reconsideration of the
mission’s established procedures under Commission’s order in the proceeding;
the Freedom of Information Act, (3) If no petition for reconsideration
§§ 0.441 through 0.466 of this chapter. is filed, the last date on which such pe-
tition could have been filed;
§ 1.1513 Documentation of fees and ex- (4) Issuance of a final order by the
penses. Commission or any other final resolu-
The application shall be accompanied tion of a proceeding, such as settle-
by full documentation of the fees and ment or voluntary dismissal, which is
expenses, including the cost of any not subject to a petition for reconsider-
study, analysis, engineering report, ation, or to a petition for judicial re-
test, project or similar matter, for view; or
which an award is sought. A separate (5) Completion of judicial action on
itemized statement shall be submitted the underlying controversy and any
for each professional firm or individual subsequent Commission action pursu-
whose services are covered by the ap- ant to judicial mandate.
plication, showing hours spent in con-
nection with the proceeding by each in- FR 39899, July 31, 1996]
dividual, a description of the specific
services performed, the rate at which PROCEDURES FOR CONSIDERING
each fee has been computed, any ex- APPLICATIONS
penses for which reimbursement is
sought, the total amount claimed, and § 1.1521 Filing and service of docu-
the total amount paid or payable by ments.
the applicant or by any other person or Any application for an award or
entity for the services provided. The other pleading relating to an applica-
Administrative Law Judge may require tion shall be filed and served on all par-
the applicant to provide vouchers, re- ties to the proceeding in the same man-
ceipts, or other substantiation for any ner as other pleadings in the pro-
expenses claimed. ceeding, except as provided in § 1.1512(b)
[47 FR 3786, Jan. 27, 1982, as amended at 61 for confidential financial information.
FR 39899, July 31, 1996]
§ 1.1522 Answer to application.
§ 1.1514 When an application may be (a) Within 30 days after service of an
filed. application Bureau counsel may file an
(a) An application may be filed when- answer to the application. Unless Bu-
ever the applicant has prevailed in the reau counsel requests an extension of
proceeding or in a significant and dis- time for filing or files a statement of
crete substantive portion of the pro- intent to negotiate under paragraph (b)
ceeding, or when the demand of the of this section, failure to file an answer
315
§ 1.1523 47 CFR Ch. I (10–1–02 Edition)
within the 30-day period may be treat- on a proposed settlement of an award

ed as a consent to the award request. before an application has been filed,
(b) If Bureau counsel and the appli- the application shall be filed with the
cant believe that the issues in the fee proposed settlement. If the Adminis-
application can be settled, they may trative Law Judge approves the pro-
jointly file a statement of their intent posed settlement, it shall be forwarded
to negotiate a settlement. The filing of to the Commission for final approval.
this statement shall extend the time
for filing an answer for an additional 30 § 1.1526 Further proceedings.
days, and further extensions may be (a) Ordinarily, the determination of
granted by the Administrative Law an award will be made on the basis of
Judge upon request by Bureau counsel the written record. However, on re-
and the applicant. quest of either the applicant or Bureau
(c) The answer shall explain in detail counsel, or on his or her own initiative,
any objections to the award requested the Administrative Law Judge may
and identify the facts relied on in sup- order further proceedings, such as an
port of Bureau counsel’s position. If informal conference, oral argument,
the answer is based on any alleged additional written submissions or, as
facts not already in the record of the to issues other than excessive demand
proceeding, Bureau counsel shall in- or substantial justification, an evi-
clude with the answer either sup- dentiary hearing. Such further pro-
porting affidavits or a request for fur- ceedings shall be held only when nec-
ther proceedings under § 1.1526. essary for full and fair resolution of the
issues arising from the application, and
§ 1.1523 Reply. shall be conducted as promptly as pos-
Within 15 days after service of an an- sible. Whether or not the position of
swer, the applicant may file a reply. If the agency embodied an excessive de-
the reply is based on any alleged facts mand or was substantially justified
not already in the record of the pro- shall be determined on the basis of the
ceeding, the applicant shall include administrative record, as a whole,
with the reply either supporting affida- which is made in the adversary adju-
vits or a request for further pro- dication for which fees and other ex-
ceedings under § 1.1526. penses are sought.
(b) A request that the Administrative
§ 1.1524 Comments by other parties. Law Judge order further proceedings
Any party to a proceeding other than under this section shall specifically
the applicant and Bureau counsel may identify the information sought or the
file comments on an application within disputed issues and shall explain why
30 days after it is served or an answer the additional proceedings are nec-
within 15 days after it is served. A com- essary to resolve the issues.
menting party may not participate fur- [47 FR 3786, Jan. 27, 1982, as amended at 52
ther in proceedings on the application FR 11653, Apr. 10, 1987; 61 FR 39899, July 31,
unless the Administrative Law Judge 1996]
determines that the public interest re-
quires such participation in order to § 1.1527 Decision.
permit full exploration of matters The Administrative Law Judge shall
raised in the comments. issue an initial decision on the applica-
[47 FR 3786, Jan. 27, 1982, as amended at 61 tion as soon as possible after comple-
FR 39899, July 31, 1996] tion of proceedings on the application.
The decision shall include written find-
§ 1.1525 Settlement. ings and conclusions regarding the ap-
The applicant and Bureau counsel plicant’s eligibility and whether the
may agree on a proposed settlement of applicant was a prevailing party or
the award before final action on the ap- whether the demand by the agency or
plication, either in connection with a agencies in the proceeding was sub-
settlement of the underlying pro- stantially in excess of, and was unrea-
ceeding, or after the underlying pro- sonable when compared with, the deci-
ceeding has been concluded. If a pre- sion in the adversary adjudication, and
vailing party and Bureau counsel agree an explanation of the reasons for any
316
difference between the amount re- the applicant unless judicial review of
quested and the amount awarded. The the award or the underlying decision of
decision shall also include, if at issue, the adversary adjudication has been
findings on whether the Commission’s sought by the applicant or any other
position substantially justified, wheth- party to the proceeding.
er the applicant unduly protracted the
proceedings, committed a willful viola- Subpart L—Random Selection Pro-
tion of law, or otherwise acted in bad cedures for Mass Media Serv-
faith, or whether special circumstances
make an award unjust. If the applicant
ices
has sought an award against more than
one agency, the decision shall allocate AUTHORITY: 47 U.S.C. 309(i).
responsibility for payment of any SOURCE: 48 FR 27202, June 13, 1983, unless
award made among the agencies, and otherwise noted.
shall explain the reasons for the alloca-
tion made. GENERAL PROCEDURES
[61 FR 39900, July 31, 1996] § 1.1601 Scope.
§ 1.1528 Commission review. The provisions of this subpart, and
the provisions referenced herein, shall
Either the applicant or Bureau coun- apply to applications for initial li-
sel may seek Commission review of the censes or construction permits or for
initial decision on the application, or major changes in the facilities of au-
the Commission may decide to review thorized stations in the following serv-
the decision on its own initiative, in ices:
accordance with §§ 1.276 through 1.282 of (a)–(b) [Reserved]
this chapter. Except as provided in
§ 1.1525, if neither the applicant nor Bu- [48 FR 27202, June 13, 1983, as amended at 63
reau counsel seeks review and the Com- FR 48622, Sept. 11, 1998]
mission does not take review on its
own initiative, the initial decision on § 1.1602 Designation for random selec-
tion.
the application shall become a final de-
cision of the Commission 50 days after Applications in the services specified
it is issued. Whether to review a deci- in § 1.1601 shall be tendered, accepted or
sion is a matter within the discretion dismissed, filed, publicly noted and
of the Commission. If review is taken, subject to random selection and hear-
the Commission will issue a final deci- ing in accordance with any relevant
sion on the application or remand the rules. Competing applications for an
application to the Administrative Law initial license or construction permit
Judge for further proceedings. shall be designated for random selec-
tion and hearing in accordance with
the procedures set forth in §§ 1.1603
FR 39900, July 31, 1996]
through 1.1623 and § 73.3572 of this chap-
§ 1.1529 Judicial review. ter.
Judicial review of final agency deci- § 1.1603 Conduct of random selection.
sions on awards may be sought as pro-
vided in 5 U.S.C. 504(c)(2). The random selection probabilities
will be calculated in accordance with
§ 1.1530 Payment of award. the formula set out in rules §§ 1.1621
through 1.1623.
An applicant seeking payment of an
award from the Commission shall sub- [48 FR 27202, June 13, 1983, as amended at 48
mit to the General Counsel a copy of FR 43330, Sept. 23, 1983]
the Commission’s final decision grant-
ing the award, accompanied by a state- § 1.1604 Post-selection hearings.
ment that the applicant will not seek (a) Following the random selection,
review of the decision in the United the Commission shall announce the
States courts, or a copy of the court’s ‘‘tentative selectee’’ and, where per-
order directing payment. The Commis- mitted by § 73.3584 invite Petitions to
sion will pay the amount awarded to Deny its application.
317
§ 1.1621 47 CFR Ch. I (10–1–02 Edition)
(b) If, after such hearing as may be of a nonmembership association or cor-

necessary, the Commission determines poration, a director,
that the ‘‘tentative selectee’’ has met (5) If the applicant is a stock corpora-
the requirements of § 73.3591(a) it will tion, is the beneficial owner of voting
make the appropriate grant. If the shares.
Commission is unable to make such a NOTE 1: For purposes of applying the diver-
determination, it shall order that an- sity preference to such entities only the
other random selection be conducted other ownership interests of those with a 1%
from among the remaining mutually or more beneficial interest in the entity will
exclusive applicants, in accordance be cognizable.
with the provisions of this subpart. NOTE 2: For the purposes of this section, a
(c) If, on the basis of the papers be- daily newspaper is one which is published
fore it, the Commission determines four or more days per week, which is in the
English language, and which is circulated
that a substantial and material ques-
generally in the community of publication.
tion of fact exists, it shall designate A college newspaper is not considered as
that question for hearing. Hearings being circulated generally.
may be conducted by the Commission NOTE 3: For the purposes of applying the
or, in the case of a matter which re- diversity preference, the ownership interests
quires oral testimony for its resolu- of the spouse of an applicant’s principal will
tion, an Administrative Law Judge. not presumptively be attributed to the appli-
cant.
FR 48622, Sept. 11, 1998] [48 FR 27202, June 13, 1983, as amended at 50
FR 5992, Feb. 13, 1985]
§ 1.1622 Preferences.
(a) Medium of mass communications
means: (a) Any applicant desiring a
(1) A daily newspaper; perference in the random selection
(2) A cable television system; and shall so indicate as part of its applica-
(3) A license or construction permit tion. Such an applicant shall list any
for owner who owns all or part of a me-
(i) A television station, including low dium of mass communications or who
power TV or TV translator, is a member of a minority group, to-
(ii) A standard (AM) radio station, gether with a precise identification of
(iii) An FM radio station, the ownership interest held in such me-
(iv) A direct broadcast satellite dium of mass communications or name
transponder under the editorial control of the minority group, respectively.
of the licensee, and Such an applicant shall also state
(v) A Multipoint Distribution Service whether more than 50% of the owner-
station. ship interests in it are held by mem-
(b) Minority group means: bers of minority groups and the num-
(1) Blacks, ber of media of mass communications
(2) Hispanics more than 50% of whose ownership in-
(3) American Indians, terests are held by the applicant and/or
(4) Alaska Natives, its owners.
(5) Asians, and (b) Preference factors as incorporated
(6) Pacific Islanders. in the percentage calculations in
(c) Owner means the applicant and § 1.1623, shall be granted as follows:
any individual, partnership, trust, un- (1) Applicants, more than 50% of
incorporated association, or corpora- whose ownership interests are held by
tion which: members of minority groups—2:1.
(1) If the applicant is a proprietor- (2) Applicants whose owners in the
ship, is the proprietor, aggregate hold more than 50% of the
(2) If the applicant is a partnership, ownership interests in no other media
holds any partnership interest, of mass communications—2:1.
(3) If the applicant is a trust, is the (3) Applicants whose owners in the
beneficiary thereof, aggregate hold more than 50% of the
(4) If the applicant is an unincor- ownership interest in one, two or three
porated association or non-stock cor- other media of mass communications—
poration, is a member, or, in the case 1.5:1.
318
(c) Applicants may receive pref- (7) Multipoint Distribution Service—

erences pursuant to § 1.1622(b)(1) and ei- station service area, computed in ac-
ther § 1.1622 (b)(2) or (b)(3). cordance with § 21.902(d).
(d) Preferences will be determined on [48 FR 27202, June 13, 1983, as amended at 50
the basis of ownership interests as of FR 5992, Feb. 13, 1985; 50 FR 11161, Mar. 20,
the date of release of the latest Public 1985]
Notice announcing the acceptance of
the last-filed mutually exclusive appli- § 1.1623 Probability calculation.
cation. (a) All calculations shall be com-
(e) No preferences pursuant to § 1.1622 puted to no less than three significant
(b)(2) or (b)(3) shall be granted to any digits. Probabilities will be truncated
LPTV or MDS applicant whose owners, to the number of significant digits used
when aggregated, have an ownership in a particular lottery.
interest of more than 50 percent in the (b) Divide the total number of appli-
following media of mass communica- cants into 1.00 to determine pre-pref-
tions, if the service areas of those erence probabilities.
media as described herein wholly en- (c) Multiply each applicant’s pre-
compass or are encompassed by the preference probability by the applica-
protected predicted contour, computed ble preference from § 1.1622 (b)(2) or
in accordance with § 74.707(a), of the (b)(3).
low power TV or TV translator station
(d) Divide each applicant’s prob-
for which the license or permit is
ability pursuant to paragraph (c) of
sought, or computed in accordance
this section by the sum of such prob-
with § 21.902(d), of the MDS station for
abilities to determine intermediate
which the license or permit is sought.
probabilities.
(1) AM broadcast station—predicted
(e) Add the intermediate prob-
or measured 2 mV/m groundwave con-
abilities of all applicants who received
tour, computed in accordance with
a preference pursuant to § 1.1622 (b)(2)
§ 73.183 or § 73.186;
or (b)(3).
(2) FM broadcast station—predicted 1
(f)(1) If the sum pursuant to para-
mV/m contour, computed in accordance
graph (e) of this section is .40 or great-
with § 73.313;
er, proceed to paragraph (g) of this sec-
(3) TV broadcast station—Grade A tion.
contour, computed in accordance with
(2) If the sum pursuant to paragraph
§ 73.684;
(e) of this section is less than .40, then
(4) Low power TV or TV translator multiply each such intermediate prob-
station—protected predicted contour, ability by the ratio of .40 to such sum.
computed in accordance with § 74.707(a); Divide .60 by the number of applicants
(5) Cable television system franchise who did not receive a preference pursu-
area, nor will the diversity preference ant to § 1.1622 (b)(2) or (b)(3) to deter-
be available to applicants whose pro- mine their new intermediate prob-
posed transmitter site is located within abilities.
the franchise area of a cable system in (g) Multiply each applicant’s prob-
which its owners, in the aggregate, ability pursuant to paragraph (f) of
have an ownership interest of more this section by the applicable pref-
than 50 percent. erence ratio from § 1.1622(b)(1).
(6) Daily newspaper community of (h) Divide each applicant’s prob-
publication, nor will the diversity pref- ability pursuant to paragraph (g) of
erence be available to applicants whose this section by the sum of such prob-
proposed transmitter site is located abilities to determine the final selec-
within the community of publication of tion percentage.
a daily newspaper in which its owners,
in the aggregate, have an ownership in-
terest of more than 50 percent. Subpart M [Reserved]
319
§ 1.1801 47 CFR Ch. I (10–1–02 Edition)
Subpart N—Enforcement of Non- Complete complaint means a written

discrimination on the Basis of statement that contains the complain-
Handicap in Programs or Ac- ant’s name and address and describes
the Commission’s alleged discrimina-
tivities Conducted by the Fed- tory action in sufficient detail to in-
eral Communications Com- form the Commission of the nature and
mission date of the alleged violation of section
504. It shall be signed by the complain-
AUTHORITY: 29 U.S.C. 794. ant or by someone authorized to do so
SOURCE: 52 FR 16258, May 4, 1987, unless on his or her behalf. Complaints filed
otherwise noted. on behalf of classes or third parties
shall describe or identify (by name, if
§ 1.1801 Purpose. possible) the alleged victims of dis-
The purpose of this part is to effec- crimination.
tuate section 119 of the Rehabilitation, Facility means all or any portion of
Comprehensive Services, and Develop- buildings, structures, equipment,
mental Disabilities Amendments of roads, walks, parking lots, rolling
1978, which amended section 504 of the stock or other conveyances, or other
Rehabilitation Act of 1973 to prohibit real or personal property.
discrimination on the basis of handicap Individual with handicaps means any
in programs or activities conducted by individual who has a physical or men-
Executive agencies or the United tal impairment that substantially lim-
States Postal Service. its one or more major life activities,
has a record of such an impairment, or
§ 1.1802 Applications. is regarded as having such an impair-
This part applies to all programs or ment. As used in this definition, the
activities conducted by the Federal phrase:
Communications Commission. The pro- (1) Physical or mental impairment in-
grams or activities of entities that are cludes—
licensed or certified by the Federal (i) Any physiological disorder or con-
Communications Commission are not dition, cosmetic disfigurement, or ana-
covered by these regulations. tomical loss affecting one or more of
the following body systems: Neuro-
§ 1.1803 Definitions. logical; musculoskeletal; special sense
For purposes of this part, the term— organs; respiratory, including speech
Assistant Attorney General means the organs; cardiovascular; reproductive;
Assistant Attorney General, Civil digestive; genitourinary; hemic and
Rights Division, United States Depart- lymphatic; skin; and endocrine; or
ment of Justice. (ii) Any mental or psychological dis-
Auxiliary aids means services or de- order, such as mental retardation, or-
vices that enable persons with im- ganic brain syndrome, emotional or
paired sensory, manual, or speaking mental illness, and specific learning
skills to have an equal opportunity to disabilities. The term physical or mental
participate in, and enjoy the benefits impairment includes, but is not limited
of, programs or activities conducted by to, such diseases and conditions as or-
the Commission. For example, auxil- thopedic, visual, speech, and hearing
iary aids useful for persons with im- impairments, cerebral palsy, epilepsy,
paired vision include readers, Brailled muscular dystrophy, multiple sclerosis,
materials, audio recordings, and other cancer, heart disease, diabetes, mental
similar services and devices. Auxiliary retardation, emotional illness, and
aids useful for persons with impaired drug addiction and alcoholism.
hearing include telephone handset am- (2) Major life activities includes func-
plifiers, telephones compatible with tions such as caring for one’s self, per-
hearing aids, telecommunication de- forming manual tasks, walking, seeing,
vices for deaf persons (TDD’s), inter- hearing, speaking, breathing, learning,
preters, notetakers, written materials, and working.
and other similar services and devices. (3) Has a record of such an impairment
Commission means Federal Commu- means has a history of, or has been
nications Commission. misclassified as having, a mental or
320
physical impairment that substantially §§ 1.1804–1.1809 [Reserved]

limits one or more major life activi-
ties. § 1.1810 Self-evaluation.
(4) Is regarded as having an impairment (a) The Commission shall, within one
means— year of the effective date of this part,
(i) Has a physical or mental impair- evaluate its current policies and prac-
ment that does not substantially limit tices, and the effects thereof, that do
major life activities but is treated by not or may not meet the requirements
the Commission as constituting such a of this part, and, to the extent modi-
limitation; fication of any such policies and prac-
(ii) Has a physical or mental impair- tices is required, the Commission shall
ment that substantially limits major proceed to make the necessary modi-
life activities only as a result of the at- fications.
titudes of others toward such impair- (b) The Commission shall provide an
ment; or opportunity to interested persons, in-
(iii) Has none of the impairments de- cluding individuals with handicaps or
fined in paragraph (1) of this definition organizations representing individuals
but is treated by the Commission as with handicaps, to participate in the
having such an impairment. self-evaluation process by submitting
Qualified individual with handicaps comments (both oral and written).
means— (c) The Commission shall, until three
(1) With respect to any Commission years following completion of the self-
program or activity under which an in- evaluation, maintain on file and make
dividual is required to perform services available for public inspection—
or to achieve a level of accomplish- (1) A description of areas examined
ment, an individual with handicaps and any problems identified; and
who meets the essential eligibility re-
(2) A description of any modifications
quirements and who can achieve the
made.
purpose of the program or activity
without modifications in the program § 1.1811 Notice.
or activity that the Commission can
demonstrate would result in a funda- The Commission shall make avail-
mental alteration in its nature; and able to employees, applicants, partici-
(2) With respect to any other pro- pants, beneficiaries, and other inter-
gram or activity, an individual with ested persons such information regard-
handicaps who meets the essential eli- ing the provisions of this part and its
gibility requirements for participation applicability to the programs or activi-
in, or receipt of benefits from, that pro- ties conducted by the Commission, and
gram or activity; and make such information available to
(3) Qualified handicapped person as them in such manner as the Managing
that term is defined for purposes of em- Director finds necessary to apprise
ployment in 29 CFR 1613.702(f), which is such persons of the protections against
made applicable to this part by § 1.1840. discrimination assured them by section
Section 504 means section 504 of the 504 and these regulations.
Rehabilitation Act of 1973, Pub. L. 93–
112, 87 Stat. 394, 29 U.S.C. 794, as §§ 1.1812–1.1829 [Reserved]
amended by the Rehabilitation Act
§ 1.1830 General prohibitions against
Amendments of 1974, Pub. L. 93–516, 88 discrimination.
Stat. 1617, and the Rehabilitation,
Comprehensive Services, and Develop- (a) No qualified individual with
mental Disabilities Amendments of handicaps shall, on the basis of handi-
1978, Pub. L. 95–602, 92 Stat. 2955, and cap, be excluded from participation in,
the Rehabilitation Act Amendments of be denied the benefits of, or otherwise
1986, sec. 103(d), Pub. L. 99–506, 100 Stat. be subjected to discrimination under
1810. As used in this part, section 504 any program or activity conducted by
applies only to programs or activities the Commission.
conducted by Executive agencies and (b)(1) The Commission, in providing
not to federally assisted programs. any aid, benefit, or service, may not,
321
§§ 1.1831–1.1839 47 CFR Ch. I (10–1–02 Edition)
directly or through contractual, licens- cility, make selections the purpose or

ing, or other arrangements, on the effect of which would—
basis of handicap— (i) Exclude individuals with handi-
(i) Deny a qualified individual with caps from, deny them the benefits of,
handicaps the opportunity to partici- or otherwise subject them to discrimi-
pate in or benefit from the aid, benefit, nation under any program or activity
or service; conducted by the Commission; or
(ii) Afford a qualified individual with (ii) Defeat or substantially impair
handicaps an opportunity to partici- the accomplishment of the objectives
pate in or benefit from the aid, benefit, of a program or activity with respect
or service that is not equal to that af-
to individuals with handicaps.
forded others;
(5) The Commission, in the selection
(iii) Provide a qualified individual
with handicaps with an aid, benefit, or of procurement contractors, may not
service that is not as effective in af- use criteria that subject qualified indi-
fording equal opportunity to obtain the viduals with handicaps to discrimina-
same result, to gain the same benefit, tion on the basis of handicap.
or to reach the same level of achieve- (6) The Commission may not admin-
ment as that provided to others; ister a licensing or certification pro-
(iv) Provide different or separate aid, gram in a manner that subjects quali-
benefits, or services to individuals with fied individuals with handicaps to dis-
handicaps or to any class of individuals crimination on the basis of handicap,
with handicaps than is provided to oth- nor may the Commission establish re-
ers unless such action is necessary to quirements for the programs or activi-
provide qualified individuals with ties of licensees or certified entities
handicaps with aid, benefits, or serv- that subject qualified individuals with
ices that are as effective as those pro- handicaps to discrimination on the
vided to others; basis of handicap. However, the pro-
(v) Deny a qualified individual with grams or activities of entities that are
handicaps the opportunity to partici- licensed or certified by the Commission
pate as a member of planning or advi- are not, themselves, covered by this
sory boards; or part.
(vi) Otherwise limit a qualified indi- (c) The exclusion of nonhandicapped
vidual with handicaps in the enjoy-
persons from the benefits of a program
ment of any right, privilege, advan-
limited by Federal statute or Execu-
tage, or opportunity enjoyed by others
tive order to individuals with handi-
receiving the aid, benefit, or service.
(2) The Commission may not deny a caps or the exclusion of a specific class
qualified individual with handicaps the of individuals with handicaps from a
opportunity to participate in programs program limited by Federal statute or
or activities that are not separate or Executive order to a different class of
different, despite the existence of per- individuals with handicaps is not pro-
missibly separate or different programs hibited by this part.
or activities. (d) The Commission shall administer
(3) The Commission may not, directly programs and activities in the most in-
or through contractual or other ar- tegrated setting appropriate to the
rangements, utilize criteria or methods needs of qualified individuals with
of administration the purpose or effect handicaps.
of which would—
(i) Subject qualified individuals with §§ 1.1831–1.1839 [Reserved]
handicaps to discrimination on the
basis of handicap; or § 1.1840 Employment.
(ii) Defeat or substantially impair ac- No qualified individual with handi-
complishment of the objectives of a caps shall, on the basis of handicap, be
program or activity with respect to in- subjected to discrimination in employ-
dividuals with handicaps. ment under any program or activity
(4) The Commission may not, in de- conducted by the Commission. The
termining the site or location of a fa-
322
definitions, requirements and proce- dens must be made by the Managing

dures of section 501 of the Rehabilita- Director after considering all Commis-
tion Act of 1973, 29 U.S.C. 791, as estab- sion resources available for use in the
lished by the Equal Employment Op- funding and operation of the conducted
portunity Commission in 29 CFR part program or activity, and must be ac-
1613, as well as the procedures set forth companied by a written statement of
in the Basic Negotiations Agreement the reasons for reaching that conclu-
Between the Federal Communications sion. If an action would result in such
Commission and National Treasury an alteration or such burdens, the
Employees Union (effective June 22, Commission shall take any other ac-
1982) and Subchapter III of the Civil tion that would not result in such an
Service Reform Act of 1978, 5 U.S.C. alteration or such burdens but would
7121(d), shall apply to employment in nevertheless ensure that individuals
federally conducted programs or activi- with handicaps receive the benefits and
ties. services of the program or activity.
§§ 1.1841–1.1848 [Reserved] (b) Methods. The Commission may
comply with the requirements of this
§ 1.1849 Program accessibility: Dis- section through such means as redesign
crimination prohibited. of equipment, reassignment of services
to accessible buildings, assignment of
Except as otherwise provided in
aides to beneficiaries, home visits, de-
§ 1.1850, no qualified individual with
handicaps shall, because the Commis- livery of services at alternate acces-
sion’s facilities are inaccessible to or sible sites, alteration of existing facili-
unusable by individuals with handi- ties and construction of new facilities,
caps, be denied the benefits of, be ex- use of accessible rolling stock, or any
cluded from participation in, or other- other methods that result in making
wise be subjected to discrimination its programs or activities readily ac-
under any program or activity con- cessible to and usable by individuals
ducted by the Commission. with handicaps. The Commission is not
required to make structural changes in
§ 1.1850 Program accessibility: Exist- existing facilities where other methods
ing facilities. are effective in achieving compliance
(a) General. The Commission shall op- with this section. The Commission, in
erate each program or activity so that making alterations to existing build-
the program or activity, when viewed ings, shall meet accessibility require-
in its entirety, is readily accessible to ments to the extent compelled by the
and usable by individuals with handi- Architectural Barriers Act of 1968, as
caps. This paragraph does not— amended (42 U.S.C. 4151—4157), and any
(1) Necessarily require the Commis- regulations implementing it. In choos-
sion to make each of its existing facili- ing among available methods for meet-
ties accessible to and usable by individ- ing the requirements of this section,
uals with handicaps; the Commission shall give priority to
(2) Require the Commission to take those methods that offer programs and
any action that it can demonstrate activities to qualified individuals with
would result in a fundamental alter- handicaps in the most integrated set-
ation in the nature of a program or acting appropriate.
tivity or in undue financial and admin- (c) Time period for compliance. The
istrative burdens. In those cir- Commission shall comply with the ob-
cumstances where Commission per- ligations established under this section
sonnel believe that the proposed action within sixty (60) days of the effective
would fundamentally alter the program date of this part except that where
or activity or would result in undue fi- structural changes in facilities are un-
nancial and administrative burdens, dertaken, such changes shall be made
the Commission has the burden of within three (3) years of the effective
proving that compliance with § 1.1850(a) date of this part, but in any event as
would result in such alteration or bur- expeditiously as possible.
dens. The decision that compliance (d) Transition plan. In the event that
would result in such alteration or bur- structural changes to facilities will be
323
§ 1.1851 47 CFR Ch. I (10–1–02 Edition)
undertaken to achieve program acces- ticipate in, and enjoy the benefits of, a
sibility, the Commission shall develop, program or activity conducted by the
within six (6) months of the effective Commission.
date of this part, a transition plan set- (i) In determining what type of auxil-
ting forth the steps necessary to com- iary aid is necessary, the Commission
plete such changes. The Commission shall give primary consideration to the
shall provide an opportunity to inter- requests of the individual with handi-
ested persons, including individuals caps.
with handicaps or organizations rep- (ii) The Commission need not provide
resenting individuals with handicaps, individually prescribed devices, readers
to participate in the development of for personal use or study, or other de-
the transition plan by submitting com- vices, of a personal nature.
ments (both oral and written). A copy (2) Where the Commission commu-
of the transition plan shall be made nicates with applicants and bene-
available for public inspection. The ficiaries by telephone, telecommuni-
plan shall, at a minimum— cations devices for deaf persons
(1) Identify physical obstacles in the (TDD’s) or equally effective tele-
Commission’s facilities that limit the communications systems shall be used.
accessibility of its programs or activi- (b) The Commission shall ensure that
ties to individuals with handicaps; interested persons, including persons
(2) Describe in detail the methods with impaired vision or hearing, can
that will be used to make the facilities obtain information as to the existence
accessible; and location of accessible services, ac-
(3) Specify the schedule for taking tivities, and facilities.
the steps necessary to achieve compli- (c) The Commission shall provide
ance with this section and, if the time signage at a primary entrance to each
period of the transition plan is longer of its inaccessible facilities, directing
than one (1) year, identify steps that users to a location at which they can
will be taken during each year of the obtain information about accessible fa-
transition period; cilities. The international symbol for
(4) Indicate the official responsible accessibility shall be used at each pri-
for implementation of the plan. mary entrance of an accessible facility.
(d) This section does not require the
§ 1.1851 Program accessibility: New Commission to take any action that it
construction and alterations. can demonstrate would result in a fun-
Each building or part of a building damental alteration in the nature of a
that is constructed or altered by, on program or activity or in undue finan-
behalf of, or for the use of the Commis- cial and administrative burdens. In
sion shall be designed, constructed, or those circumstances where Commis-
altered so as to be readily accessible to sion personnel believe that the pro-
and usable by individuals with handi- posed action would fundamentally
caps. The definitions, requirements and alter the program or activity or would
standards of the Architectural Barriers result in undue financial and adminis-
Act, 42 U.S.C. 4151—4157, as established trative burdens, the Commission has
in 41 CFR 101–19.600 to 101–19.607, apply the burden of proving that compliance
to buildings covered by this section. with § 1.1860 would result in such alter-
ation or burdens. The decision that
§§ 1.1852–1.1859 [Reserved] compliance would result in such alter-
ation or burdens must be made by the
§ 1.1860 Communications. Managing Director after considering
(a) The Commission shall take appro- all Commission resources available for
priate steps to ensure effective commu- use in the funding and operation of the
nication with applicants, participants, conducted program or activity, and
personnel of other Federal entities, and must be accompanied by a written
members of the public. statement of the reasons for reaching
(1) The Commission shall furnish ap- that conclusion. If an action required
propriate auxiliary aids where nec- to comply with this section would re-
essary to afford an individual with sult in such an alteration or such bur-
handicaps an equal opportunity to par- dens, the Commission shall take any
324
other action that would not result in (f) The Commission shall notify the
such an alteration or such burdens but Architectural and Transportation Bar-
would nevertheless ensure that, to the riers Compliance Board upon receipt of
maximum extent possible, individuals any complaint alleging that a building
with handicaps receive the benefits and or facility that is subject to the Archi-
services of the program or activity. tectural Barriers Act of 1968, as amend-
ed, 42 U.S.C. 4151—4157, is not readily
§§ 1.1861–1.1869 [Reserved]
accessible to and usable by individuals
§ 1.1870 Compliance procedures. with handicaps.
(g) Within one-hundred eighty (180)
(a) Except as provided in paragraph
days of the receipt of a complete com-
(b) of this section, this section applies
to all allegations of discrimination on plaint for which it has jurisdiction, the
the basis of handicap in programs or Commission shall notify the complain-
activities conducted by the Commis- ant of the results of the investigation
sion. in a letter containing—
(b) The Commission shall process (1) Findings of fact and conclusions
complaints alleging violations of sec- of law;
tion 504 with respect to employment (2) A description of a remedy for each
according to the procedures established violation found; and
by the Equal Employment Opportunity (3) A notice of the right to appeal.
Commission in 29 CFR part 1613 pursu- (h) Appeals of the findings of fact and
ant to section 501 of the Rehabilitation conclusions of law or remedies must be
Act of 1973, 29 U.S.C. 791. filed by the complainant within ninety
(c) The Managing Director shall be (90) days of receipt from the Commis-
responsible for coordinating implemen- sion of the letter required by § 1.1870(g).
tation of this section. Complaints may The Commission may extend this time
be sent to the Handicapped Coordi- for good cause.
nator, Office of Managing Director,
(i) Timely appeals shall be accepted
Federal Communications Commission,
and processed by the Office of the Sec-
445 12th Street, SW., Room 1–A207,
Washington, DC 20554. retary, Federal Communications Com-
(d) Acceptance of complaint. (1) The mission, 445 12th Street, SW., Room
Commission shall accept and inves- TWB–204, Washington, DC 20554.
tigate all complete complaints for (j) The Commission shall notify the
which it has jurisdiction. All complete complainant of the results of the ap-
complaints must be filed within one- peal within sixty (60) days of the re-
hundred eighty (180) days of the alleged ceipt of the request. If the Commission
act of discrimination. The Commission determines that it needs additional in-
may extend this time period for good formation from the complainant, it
cause. shall have sixty (60) days from the date
(2) If the Commission receives a com- it receives the additional information
plaint that is not complete, the com- to make its determination on the ap-
plainant will be notified within thirty peal.
(30) days of receipt of the incomplete (k) The time limits cited in para-
complaint that additional information graphs (g) and (j) of this section may be
is needed. If the complainant fails to extended with the permission of the
complete the complaint within thirty Assistant Attorney General.
(30) days of receipt of this notice, the (l) The Commission may delegate its
Commission shall dismiss the com- authority for conducting complaint in-
plaint without prejudice.
vestigations to other Federal agencies,
(e) If the Commission receives a com-
except that the authority for making
plaint over which it does not have ju-
the final determination may not be
risdiction, it shall promptly notify the
delegated to another agency.
complainant and shall make reason-
able efforts to refer the complaint to [52 FR 16258, May 4, 1987, as amended at 65
the appropriate government entity. FR 58466, Sept. 29, 2000]
325
§§ 1.1871–1.1899 47 CFR Ch. I (10–1–02 Edition)
§§ 1.1871–1.1899 [Reserved] (f) The term creditor agency means

the agency to which the debt is owed.
Subpart O—Collection of Claims (g) The term delinquent means a
Owed the United States claim or debt which has not been paid
by the date specified in the agency’s
AUTHORITY: 31 U.S.C. 3701; 31 U.S.C. 3711 et written notification or applicable con-
seq.; 5 U.S.C. 5514; 4 CFR parts 101–105; 5 CFR tractual agreement, unless other satis-
part 550. factory payment arrangements have
SOURCE: 54 FR 403, Jan. 6, 1989, unless oth- been made by that date, or, at any
erwise noted. time thereafter, the debtor has failed
to satisfy an obligation under a pay-
GENERAL PROVISIONS ment agreement with the agency.
(h) The term disposable pay means
that part of current basic pay, special
(a) The term administrative offset pay, incentive pay, retired pay, re-
means withholding money payable by tainer pay, or in the case of an em-
the United States Government to, or ployee not entitled to basic pay, other
held by the Government for, a person authorized pay remaining after the de-
to satisfy a debt the person owes the duction of any amount required by law
Government. to be withheld. Agencies must exclude
(b) The term agency means the Fed-
deductions described in 5 CFR 581.105
eral Communications Commission
(b) through (f) to determine disposable
(Commission) or any other agency of
the U.S. Government as defined by sec- pay subject to salary offset.
tion 105 of title 5 U.S.C., the U.S. Post- (i) The term employee means a cur-
al Service, the U.S. Postal Rate Com- rent employee of the Commission or of
mission, a military department as de- another agency, including a current
fined by section 102 of title 5 U.S.C., an member of the Armed Forces or a Re-
agency or court of the judicial branch, serve of the Armed Forces (Reserve).
or and an agency of the legislative (j) The term FCCS means the Federal
branch, including the U.S. Senate and Claims Collection Standards jointly
the U.S. House of Representatives. published by the Justice Department
(c) The term agency head means the and the General Accounting Office at 4
Chairman of the Federal Communica- CFR parts 101–105.
tions Commission. (k) The term paying agency means
(d) The terms appropriate agency offi- the agency employing the individual
cial or designee means the Managing Di- and authorizing the payment of his or
rector of the Commission or such other her current pay.
official as may be named by the Man- (l) The term referral for litigation
aging Director. means referral to the Department of
(e) The terms claim and debt are Justice for appropriate legal pro-
deemed synonymous and interchange-
ceedings except where the Commission
able. They refer to an amount of
has the statutory authority to handle
money or property which has been de-
the litigation itself.
termined by an appropriate agency of-
ficial to be owed to the United States (m) The term salary offset means an
from any person, organization, or enti- administrative offset to collect a debt
ty, except another Federal agency. under 5 U.S.C. 5514 by deduction(s) at
They include amounts owing to the one or more officially established pay
United States on account of loans in- intervals from the current pay account
sured or guaranteed by the United of an employee without his or her con-
States and all other amounts due the sent.
United States from fees, leases, rents, (n) The term waiver means the can-
royalties, services, sales of real or per- cellation, remission, forgiveness, or
sonal property, overpayments, fines, non-recovery of a debt allegedly owed
penalties, damages, interest, taxes, and by an employee to an agency as per-
forfeitures (except those arising under mitted or required by 5 U.S.C. 5584, 10
the Uniform Code of Military Justice), U.S.C. 2774, or 32 U.S.C 710, 5 U.S.C.
and other similar sources. 8346(b), or any other law.
326
§ 1.1902 Exceptions. § 1.1904 Conformance to law and regu-

lations.
(a) Claims arising from the audit of
transportation accounts pursuant to 31 The requirements of applicable law
U.S.C. 3726 shall be determined, col- (31 U.S.C. 3701–3719, as amended by Pub.
lected, compromised, terminated or L. 97–365, 96 Stat. 1749) have been im-
settled in accordance with regulations plemented in government wide stand-
published under the authority of 31 ards:
U.S.C. 3726 (see 41 CFR part 101–41). (a) The Regulations of the Office of
(b) Claims arising out of acquisition Personnel Management (5 CFR part
contracts subject to the Federal Acqui- 550) and
sition Regulations (FAR) shall be de- (b) The Federal Claims Collection
termined, collected, compromised, ter- Standards issued jointly by the Gen-
minated, or settled in accordance with eral Accounting Office and the Depart-
those regulations. (See 48 CFR part 32). ment of Justice (4 CFR parts 101–105).
If not otherwise provided for in the Not every item in the above described
FAR system, contract claims that have standards has been incorporated or ref-
been the subject of a contracting offi- erenced in this regulation. To the ex-
cer’s final decision in accordance with tent, however, that circumstances
section 6(a) of the Contract Disputes arise which are not covered by the
Act of 1978 (41 U.S.C. 605(a)), may be de- terms stated in these regulations, the
termined, collected, compromised, ter- Commission will proceed in any ac-
minated or settled under the provisions tions taken in accordance with applica-
of this regulation, except that no addi- ble requirements found in the stand-
tional review of the debt shall be ards referred to in this section.
granted beyond that provided by the
contracting officer in accordance with § 1.1905 Other procedures; collection
the provisions of section 6 of the Con- of forfeiture penalties.
tract Disputes Act of 1978 (41 U.S.C. Nothing contained in these regula-
605), and the amount of any interest, tions is intended to require the Com-
administrative charge, or penalty mission to duplicate administrative or
charge shall be subject to the limita- other proceedings required by contract
tions, if any, contained in the contract or other laws or regulations, nor do
out of which the claim arose. these regulations supercede procedures
(c) Claims based in whole or in part required by other statutes or regula-
on conduct in violation of the antitrust tions. In particular, the assessment
laws, or in regard to which there is an and collection of monetary forfeiture
indication of fraud, the presentation of penalties imposed by the Commission
a false claim, or a misrepresentation will be governed initially by the proce-
on the part of the debtor or any other dures prescribed by 47 U.S.C. 503, 504
party having an interest in the claim, and 47 CFR 1.80. After compliance with
shall be referred to the Department of those procedures, the Commission may
Justice (DOJ) as only the DOJ has au- determine that the collection of a mon-
thority to compromise, suspend, or ter- etary forfeiture under the collection
minate collection action on such alternatives prescribed by this subpart
claims. is appropriate but need not duplicate
(d) Tax claims are also excluded from administrative or other proceedings.
the coverage of this regulation.
§ 1.1906 Informal action.
§ 1.1903 Use of procedures. Nothing contained in these regula-
Procedures authorized by this regulations is intended to preclude utiliza-
tion (including, but not limited to, dis- tion of informal administrative actions
closure to a consumer reporting agen- or remedies which may be available.
cy, contracting for collection services,
administrative offset and salary offset) § 1.1907 Return of property.
may be used singly or in combination, Nothing contained in this regulation
so long as the requirements of applica- is intended to deter the Commission
ble law and regulation are satisfied. from demanding the return of specific
327
§ 1.1908 47 CFR Ch. I (10–1–02 Edition)
property or from demanding, in the al- clude either in the initial demand let-
ternative, either the return of property ter or in subsequent letters, matters
or the payment of its value. relating to alternative methods of pay-
ment, policies with respect to use of
§ 1.1908 Omissions not a defense. consumer reporting agencies and col-
The failure of the Commission to lection services, the agency’s inten-
comply with any provision in this regu- tions with respect to referral of the
lation shall not serve as a defense to debt to the Department of Justice for
the debt. litigation, and, depending on applicable
statutory authority, the debtor’s enti-
ADMINISTRATIVE OFFSET—CONSUMER tlement to consideration of waiver.
REPORTING AGENCIES—CONTRACTING (d) The Commission will respond
FOR COLLECTION promptly to communications from the
debtor, within 30 days whenever fea-
§ 1.1911 Demand for payment. sible, and will advise debtors who dis-
(a) Written demands for payment pute the debt that they must furnish
shall be made promptly upon a debtor available evidence to support their
in terms which inform the debtor of contentions.
the consequences of failure to cooper- (e) If, either prior to the initiation of,
ate. A total of three progressively at any time during, or after completion
stronger written demands at not more of the demand cycle, the Commission
than 30-day intervals will normally be determines to pursue administrative
made unless a response to the first or offset, then the procedures specified in
second demand indicates that a further §§ 1.1912 and 1.1913 as applicable, will be
demand would be futile and the debt- followed. The availability of funds for
or’s response does not not require re- offset and the agency’s determination
buttal. In determining the timing of to pursue that remedy, release the
demand letters, the Commission will agency from the necessity of further
give due regard to the need to act compliance with paragraphs (a), (b) and
promptly so that, as a general rule, if (c) of this section. If the agency has
it becomes necessary to refer the debt not already sent the first demand let-
to the Department of Justice for litiga- ter, the agency’s written notification
tion, such referral can be made within of its intent to offset must give the
one year of the agency’s final deter- debtor the opportunity to make vol-
mination of the fact and the amount of untary payment, a requirement which
the debt. When necessary to protect will be satisfied by compliance with
the Government’s interest (for exam- the notice requirements of §§ 1.1912 and
ple, to prevent the statute of limita- 1.1913 as applicable.
tions, 28 U.S.C. 2415, from expiring),
written demand may be preceded by § 1.1912 Collection by administrative
other appropriate actions under this offset.
chapter, including immediate referral (a) Collection by administrative off-
for litigation. set will be undertaken in accordance
(b) The initial demand letter will in- with these regulations on all claims
form the debtor of: which are liquidated or certain in
(1) The basis for the indebtedness and amount, in every instance in which
the right of the debtor to request re- such collection is determined to be fea-
view within the agency; sible and not otherwise prohibited.
(2) The applicable standards for as- (1) Whether collection by administra-
sessing interest, penalties, and admin- tive offset is feasible is a determina-
istrative costs (§§ 1.1940 and 1.1941 of tion to be made by the agency on a
this subpart) and; case-by-case basis, in the exercise of
(3) The date by which payment is to sound discretion. The Commission will
be made, which normally should not be consider not only whether administra-
more than 30 days from the date that tive offset can be accomplished prac-
the initial demand letter was mailed or tically, but also whether offset is best
hand-delivered. suited to further and protect all of the
(c) As appropriate to the cir- Government’s interest. In appropriate
cumstances, the Commission may in- circumstances, the Commission may
328
give due consideration to the debtor’s after the Government’s right to collect
financial condition and is not required the debt first accrued, unless facts ma-
to use offset in every instance in which terial to the Government’s right to col-
there is an available source of funds. lect the debt were not known and could
The Commission may also consider not reasonably have been known by the
whether offset would tend to substan- official or officials of the Government
tially interfere with or defeat the pur- who were charged with the responsi-
poses of the program authorizing the bility to discover and collect such
payments against which offset is con- debts. When the debt first accrued is to
templated. For example, under a grant be determined according to existing
program in which payments are made law regarding the accrual of debts,
in advance of the grantee’s perform- such as under 28 U.S.C. 2415.
ance, offset will normally be inappro- (4) The Commission is not authorized
priate. This concept generally does not by 31 U.S.C. 3716 to use administrative
apply, however, where payment is in offset with respect to:
the form of reimbursement. (i) Debts owed by any State or local
(2) [Reserved] Government;
(b) Before the offset is made, a debtor (ii) Debts arising under or payments
shall be provided with the following: made under the Social Security Act,
Written notice of the nature and the Internal Revenue Code of 1954, or
amount of the debt, and the agency’s the tariff laws of the United States; or
intention to collect by offset; oppor- (iii) Any case in which collection of
tunity to inspect and copy agency the claim or type of claim by adminis-
records pertaining to the debt; oppor- trative offset is explicitly provided for
tunity to obtain review within the or prohibited by another statute.
agency of the determination of indebt- (5) The Commission may effect ad-
edness; and opportunity to enter into a ministrative offset against a payment
written agreement with the agency to to be made to a debtor prior to comple-
repay the debt. tion of the procedures required by
(1) The Commission will exercise paragraph (b) of this section if:
sound judgment in determining wheth- (i) Failure to take the offset would
er to accept a repayment agreement in substantially prejudice the Govern-
lieu of offset. The determination will ment’s ability to collect the debt, and
weigh the Government’s interest in
(ii) The time before the payment is to
collecting the debt against fairness to
be made does not reasonably permit
the debtor. If the debt is delinquent
the completion of those procedures.
and the debtor has not disputed its ex-
istence or amount, the Commission Such prior offset must be promptly fol-
will normally accept a repayment lowed by the completion of those pro-
agreeement in lieu of offset only if the cedures. Amounts recovered by offset
debtor is able to establish that offset but later found not to be owed to the
would result in undue financial hard- Government shall be promptly re-
ship or would be against equity and funded.
good conscience. (6) The Commission will obtain credit
(2) In cases where the procedural re- reports on delinquent accounts to iden-
quirements specified in paragraph (b) tify opportunities for administrative
of this section have previously been offset of amounts due to a delinquent
provided to the debtor in connection debtor when other collection tech-
with the same debt under some other niques have been unsuccessful.
statutory or regulatory authority, such (c) Type of hearing or review. (1) For
as pursuant to a notice of audit dis- purposes of this section, whenever the
allowance or pursuant to 47 U.S.C. 503, Commission is required to provide a
504 and 47 CFR 1.80, the agency is not hearing or review within the agency, it
required to duplicate those require- shall provide the debtor with a reason-
ments before taking administrative able opportunity for an oral hearing
offset. when:
(3) The Commission may not initiate (i) Any applicable statute authorizes
administrative offset to collect a debt or requires the agency to consider
under 31 U.S.C. 3716 more than 10 years waiver of the indebtedness involved,
329
§ 1.1913 47 CFR Ch. I (10–1–02 Edition)
the debtor requests waiver of the in- offset until it has been provided by the
debtedness, and the waiver determina- creditor agency with an appropriate
tion turns on an issue of credibility or written certification that the debtor
veracity; or owes a debt (including the amount) and
(ii) The debtor requests reconsider- full compliance with the provisions of
ation of the debt and the agency deter- this section has taken place.
mines that the question of the indebt- (g) When collecting multiple debts by
edness cannot be resolved by review of administrative offset, the Commission
the documentary evidence; for exam- will apply the recovered amounts to
ple, when the validity of the debt turns those debts in accordance with the best
on an issue of credibility or veracity. interest of the United States, as deter-
Unless otherwise required by law, an mined by the facts and circumstances
oral hearing under this section is not of the particular case, paying special
required to be a formal evidentiary- attention to applicable statutes of lim-
type hearing, although the Commission itation.
will carefully document all significant
matters discussed at the hearing. § 1.1913 Administrative offset against
(2) The section does not require an amounts payable from Civil Service
Retirement and Disability Fund.
oral hearing with respect to debt col-
lection systems in which determina- (a) Unless otherwise prohibited by
tions of indebtedness or waiver rarely law, the Commission may request that
involve issues of credibility or veracity moneys which are due and payable to a
and the agency has determined that re- debtor from the Civil Service Retire-
view of the written record is ordinarily ment and Disability Fund be adminis-
an adequate means to correct prior tratively offset in reasonable amounts
mistakes. In administering such a sys- in order to collect in one full payment,
tem, the agency is not required to sift or a minimal number of payments,
through all of the requests received in debts owned to the United States by
order to accord oral hearings in those the debtor. Such requests shall be
few cases which may involve issues of made to the appropriate officials of the
credibility or veracity. Office of Personnel Management in ac-
(3) In those cases where an oral hear- cordance with such regulations as may
ing is not required by this section, the be prescribed by the Director of that
agency will make its determination on Office.
the request for waiver or reconsider- (b) When making a request for ad-
ation based upon a ‘‘paper hearing,’’ ministrative offset under paragraph (a)
that is, a review of the written record. of this section, the Commission shall
(d) Appropriate use will be made of include written certification that:
the cooperative efforts of other agen- (1) The debtor owes the United States
cies in affecting collection by adminis- a debt, including the amount of the
trative offset. Generally, the Commis- debt;
sion will not refuse to comply with re- (2) The Commission has complied
quests from other agencies to initiate with the applicable statutes, regula-
administrative offset to collect debts tions and procedures of the Office of
owed to the United States unless the Personnel Management; and
requesting agency has not complied (3) The Commission has complied
with the applicable provisions of these with the requirements of § 1.1912 of this
standards or the offset otherwise con- subpart, including any required hear-
trary to law. ing or review.
(e) Collection by offset against a (c) Once the Commission decides to
judgment obtained by a debtor against request administrative offset under
the United States shall be accom- paragraph (a) of this section, it will
plished in accordance with 31 U.S.C. make the request as soon as practical
3728. after completion of the applicable pro-
(f) Whenever the creditor agency is cedures in order that the Office of Per-
not the agency which is responsible for sonnel Management may identify and
making the payment against which ad- ‘‘flag’’ the debtor’s account in anticipa-
ministrative offset is sought, the latter tion of the time when the debtor re-
agency shall not initiate the requested quests or becomes eligible to receive
330
payments from the Fund. This will sat- installment payments should be of suf-
isfy any requirement that offset be ini- ficient size and frequency to liquidate
tiated prior to expiration of the appli- the Government’s claim in not more
cable statute of limitations. At such than 3 years. Installment payments of
time as the debtor makes a claim for less than $50 per month will be accept-
payments from the Fund, if at least a ed only if justifiable on the grounds of
year has elapsed since the offset re- financial hardship or for some other
quest was originally made, the debtor reasonable cause.
should be permitted to offer a satisfac- (b) If the debtor owes more than one
tory payment plan in lieu of offset debt and designates how a voluntary
upon establishing that changed finan- installment is to be applied among
cial circumstances would render the those debts, that designation must be
offset unjust.
followed. If the debtor does not des-
(d) If the Commission collects part or
ignate the application of the payment,
all of the debt by other means before
deductions are made or completed pur- the Commission will apply payments to
suant to paragraph (a) of this section, various debts in accordance with the
it shall act promptly to modify or ter- best interests of the United States, as
minate its request for offset under determined by the facts and cir-
paragraph (a) of this section. cumstances of the particular case, pay-
(e) This section does not require or ing special attention to applicable
authorize the Office of Personnel Man- statutes of limitations.
agement to review the merits of the
Commission’s determination with re- § 1.1915 Exploration of compromise.
spect to the amount and validity of the The Commission may attempt to ef-
debt, its determination as to waiver fect compromise, preferably during the
under an applicable statute, or its de- course of personal interviews, in ac-
termination to provide or not provide cordance with the standards set forth
an oral hearing. in Part 103 of the Federal Claims Col-
lection Standards (4 CFR part 103).
§ 1.1914 Collection in installments.
(a) Whenever feasible, and except as § 1.1916 Suspending or terminating
otherwise provided by law, debts owed collection action.
to the United States, together with in- The suspension or termination of col-
terest, penalties, and administrative lection action shall be made in accord-
costs as required by this subpart ance with the standards set forth in
should be collected in full in one lump Part 104 of the Federal Claims Collec-
sum. This is true whether the debt is tion Standards (4 CFR part 104).
being collected by administrative off-
set or by another method, including § 1.1917 Referrals to the Department of
voluntary payment. However, if the Justice or the General Accounting
debtor is financially unable to pay the Office.
indebtedness in one lump sum, pay-
Referrals to the Department of Jus-
ment may be accepted in regular in-
stallments. The Commission will ob- tice or the General Accounting Office
tain financial statements from debtors shall be made in accordance with the
who represent that they are unable to standards set forth in Part 105 of the
pay the debt in one lump sum. If the Federal Claims Collection Standards (4
Commission agrees to accept payment CFR part 105).
in regular installments, it will obtain a
§ 1.1918 Use of consumer reporting
legally enforceable written agreement agencies.
from the debtor which specifies all of
the terms of the agreement and which (a) The term individual means a nat-
contains a provision accelerating the ural person, and the term consumer re-
debt in the event the debtor defaults. porting agency has the meaning pro-
The size and frequency of installment vided in the Federal Claims Collection
payments should bear a reasonable re- Act, as amended, at 31 U.S.C. 3701(a)(3)
lation to the size of the debtor and or the Fair Credit Reporting Act, at 15
debtor’s ability to pay. If possible, the U.S.C. 168a(f).
331
§ 1.1919 47 CFR Ch. I (10–1–02 Edition)
(b) The Commission may disclose to a (2) The amount, status, and history
consumer reporting agency, from a sys- of the claim; and
tem of records, information that an in- (3) The agency or program under
dividual is responsible for a claim if— which the claim arose.
(1) Notice required by section 5 (e) All accounts in excess of $100 that
U.S.C. 552a(e)(4) indicates that infor- have been delinquent more than 31
mation in the system may be disclosed days will normally be referred to a con-
to a consumer reporting agency; sumer reporting agency.
(2) The claim has been reviewed and (f) Before disclosing information to a
it is decided that the claim is valid and consumer reporting agency, the Com-
overdue; mission shall take reasonable action to
(3) The Commission has notified the locate an individual for whom the head
individual in writing— of the agency does not have a current
(i) That payment of the claim is over- address to send the notice.
due; (g) Before disclosing information to a
(ii) That, within not less than 60 days consumer reporting agency, the Com-
after sending the notice, the Commis- mission shall provide, on request of an
sion intends to disclose to a consumer individual alleged by the agency to be
reporting agency that the individual is responsible for the claim, for a review
responsible for that claim; of the obligation of the individual, in-
(iii) Of the specific information to be cluding an opportunity for reconsider-
disclosed to the consumer reporting ation of the initial decision on the
agency; and claim.
(iv) Of the rights the individual has
(h) Under the same provisions as de-
to a complete explanation of the claim,
scribed above, the Commission may
to dispute information in the records of
disclose to a credit reporting agency,
the agency about the claim, and to
information relating to a debtor other
adminstrative appeal or review of the
than a natural person. Such commer-
claim; and
cial debt accounts are not covered by
(4) The individual has not—
the Privacy Act.
(i) Repaid or agreed to repay the
claim under a written repayment plan § 1.1919 Contracting for collection
that the individual has signed and the services.
agency has agreed to; or
(ii) Filed for review of the claim (a) The Commission has authority to
under paragraph (g) of this section; contract for collection services to re-
(c) The Commission shall— cover delinquent debts, provided that
(1) Disclose promptly, to each con- the following conditions are satisfied:
sumer reporting agency to which the (1) The authority to resolve disputes,
original disclosure was made, a sub- compromise claims, suspend or termi-
stantial change in the condition or nate collection action, and refer the
amount of the claim; matter for litigation is retained by the
(2) Verify or correct promptly infor- agency;
mation about the claim, on request of (2) The contractor shall be subject to
a consumer reporting agency for the Privacy Act of 1974, as amended, to
verification of any or all information the extent specified in 5 U.S.C. 552a(m),
so disclosed; and and to applicable Federal and State
(3) Obtain satisfactory assurances laws and regulations pertaining to debt
from each consumer reporting agency collection practices, such as the Fair
that they are complying with all laws Debt Collection Practices Act, 15
of the United States relating to pro- U.S.C. 1692;
viding consumer credit information. (3) The contractor must be required
(d) The Commission shall ensure that to account strictly for all amounts col-
information disclosed to the consumer lected;
reporting agency is limited to— (4) The contractor must agree that
(1) Information necessary to estab- uncollectible accounts shall be re-
lish the identity of the individual, in- turned with appropriate documenta-
cluding name, address, and taxpayer tion to enable the Commission to de-
identification number; termine whether to pursue collection
332
through litigation or to terminate col- delinquent debt owed by a currently

lection efforts; and employed or retired Federal employee,
(5) The contractor must agree to pro- if collection by salary or annuity offset
vide any data contained in its files re- is available.
lating to paragraphs (a) (1), (2), and (3)
of § 105.2 of the Federal Claims Collec- SALARY OFFSET
tion Standards (4 CFR part 105) upon
§ 1.1925 Purpose.
returning an account to the Commis-
sion for subsequent referral to the De- This section provides the standards
partment of Justice for litigation. to be followed by FCC in implementing
(b) Funding of collection service con- 5 U.S.C. 5514 to recover a debt from the
tracts. (1) The Commission may fund a pay account of an FCC employee, and
collection service contract on a fixed- establishes procedural guidelines to re-
fee basis, that is, payment of a fixed fee cover debts when the employee’s cred-
determined without regard to the itor and paying agencies are not the
amount actually collected under the same.
contract. Payment of the fee under this
type of contract must be charged to § 1.1926 Scope.
available agency appropriations. (a) Coverage. This section applies to
(2) The Commission may also fund a agencies and employees as defined by
collection service contract on a contin- § 1.1901.
gent-fee basis, that is, by including a (b) Applicability. This section and 5
provision in the contract permitting U.S.C. 5514 apply in recovering certain
the contractor to deduct its fee from debts by offset, except where the em-
amounts collected under the contract. ployee consents to the recovery, from
The fee should be based on a percent- the current pay account of that em-
age of the amount collected, consistent ployee. Because it is an administrative
with prevailing commercial practice. offset, debt collection procedures for
(3) The Commission may enter into a salary offset which are not specified in
contract under paragraph (b)(1) of this 5 U.S.C. 5514 and these regulations
section only if and to the extent pro- should be consistent with the provi-
vided in advance appropriation acts or sions of the Federal Claims Collection
other legislation, except that this re- Standards (4 CFR parts 101–105).
quirement does not apply to the use of (1) Excluded debts or claims. The pro-
a revolving fund authorized by statute. cedures contained in this section do
(4) Except as authorized under para- not apply to debts or claims arising
graph (b)(2) of this section, or unless under the Internal Revenue Code of
the receipt qualifies as a refund to the 1954, as amended (26 U.S.C. 1 et seq.),
appropriation, or unless otherwise spe- the Social Security Act (42 U.S.C. 301 et
cifically provided by law, the Commis- seq.) or the tariff laws of the United
sion must deposit all amounts recov- States, or to any case where collection
ered under collection service contracts of a debt by salary offset is explicitly
(or by agency employees on behalf of provided for or prohibited by another
the agency) in the Treasury as mis- statute (e.g. travel advances in 5 U.S.C.
cellaneous receipts pursuant to 31 5705 and employee training expenses in
U.S.C. 3302. 5 U.S.C. 4108).
(c) The Commission will consider the (2) Waiver requests and claims to the
use of collection agencies at any time General Accounting Office. This sec-
after the account is 61 days past due. In tion does not preclude an employee
any case where an account is six from requesting waiver of a salary
months or more past due, the Commis- overpayment under 5 U.S.C. 5584, 10
sion may turn it over to a collection U.S.C. 2774, or 32 U.S.C. 716, or in any
agency unless referred for litigation or way questioning the amount or valid-
unless arrangements have been made ity of a debt by submitting a subse-
for a workout procedure or the Com- quent claim to the General Accounting
mission has exercised its authority to Office in accordance with procedures
write off the debt pursuant to § 1.1916. prescribed by the General Accounting
(d) The Commission will generally Office. Similarly, in the case of other
not use a collection agency to collect a types of debts, it does not preclude an
333
§ 1.1927 47 CFR Ch. I (10–1–02 Edition)
employee from requesting waiver, if cial not under the control of the head
waiver is available under any statutory of the agency) if a petition is filed as
provision pertaining to the particular prescribed by this subpart.
debt being collected. (8) The method and time period for
(c) Time Limit. Under 4 CFR 102.3(b)(3) petitioning for a hearing;
offset may not be initiated more than (9) That the timely filing of a peti-
10 years after the Government’s right tion for hearing will stay the com-
to collect the debt first accrued, unless mencement of collection proceedings;
an exception applies as stated in (10) That the final decision in the
§ 102.3(b)(3). hearing (if one is requested) will be
issued at the earliest practical date,
§ 1.1927 Notification. but not later than 60 days after the fil-
(a) Salary offset deductions shall not ing of the petition requesting the hear-
be made unless the Managing Director ing unless the employee requests and
of the Commission, or such other offi- the hearing official grants a delay in
cial as may be named in the future by the proceedings;
the Managing Director of the Commis- (11) That any knowingly false, mis-
sion, provides the employee at least 30 leading, or frivolous statements, rep-
days before any deduction written no- resentations, or evidence may subject
tice stating at a minimum: the employee to:
(1) The agency’s determination that a (i) Disciplinary procedures appro-
debt is owed, including the origin, na- priate under Chapter 75 of Title 5,
ture, and amount of the debt; United States Code, part 752 of title 5,
(2) The agency’s intention to collect Code of Federal Regulations, or any
the debt by means of deduction from other applicable statutes or regula-
the employee’s current disposable pay tions.
account; (ii) Penalties under the False Claims
(3) The amount, frequency, proposed Act sections 3729–3731 of Title 31,
beginning date, and duration of the in- United States Code, or any other appli-
tended deductions; cable statutory authority; or
(4) An explanation of the agency’s (iii) Criminal penalties under sec-
policy concerning interest, penalties, tions 286, 287, 1001, and 1002 of Title 18,
and administrative costs (§§ 1.1940 and United States Code, or any other appli-
1.1941 of this regulation), a statement cable statutory authority.
that such assessments must be made (12) Any other rights and remedies
unless excused in accordance with the available to the employee under stat-
FCCS; utes or regulations governing the pro-
(5) The employee’s right to inspect gram for which the collection is being
and copy Government records relating made; and
to the debt or, if the employee or his or (13) Unless there are applicable con-
her representative cannot personally tractual or statutory provisions to the
inspect the records, to request and re- contrary, that amounts paid on or de-
ceive a copy of such records. ducted for the debt which are later
(6) If not previously provided, the op- waived or found not owed to the United
portunity (under terms agreeable to States will be promptly refunded to the
the agency) to establish a schedule for employee.
the voluntary repayment of the debt or (b) Notifications under this section
to enter into a written agreement to shall be hand delivered with a record
establish a schedule for repayment of made of the date of delivery, or shall be
the debt in lieu of offset. The agree- mailed by certified mail return receipt
ment must be in writing, signed by requested.
both the employee and the Managing (c) No notification, hearing, written
Director (or designee) of the Commis- responses or final decisions under this
sion and documented in agency files (4 regulation are required by the Commis-
CFR 102.2(e)). sion for any adjustment to pay arising
(7) The employee’s right to a hearing out of an employee’s election of cov-
conducted by an official arranged by erage, or change in coverage, under a
the agency (an administrative law Federal benefit program requiring peri-
judge, or alternatively, a hearing offi- odic deductions from pay, if the
334
amount to be recovered was accumu- involving the presentation of evidence,

lated over four pay periods or less. arguments and written submissions.
(2) The employee may represent him-
§ 1.1928 Hearing. self or herself, or may be represented
(a) Petition for Hearing. (1) A hearing by an attorney.
may be requested by filing a written (3) The hearing official shall main-
petition with the Managing Director of tain a summary record of the hearing.
the Commission, or such other official (4) The decision of the hearing officer
as may be named by the Managing Di- shall be in writing, and shall state:
rector of the Commission, stating why (i) The facts purported to evidence
the employee believes the determina- the nature and origin of the alleged
tion of the agency concerning the ex- debt;
istence or the amount of the debt is in (ii) The hearing official’s analysis,
error. findings, and conclusions, in the light
(2) The employee’s petition must be of the hearing, as to—
signed by the employee and fully iden- (A) The employee’s and/or agency’s
tify and explain with reasonable speci-
grounds,
ficity all the facts, evidence and wit-
(B) The amount and validity of the
nesses, if any, which the employee be-
lieves support his or her position. alleged debt, and,
(3) The petition must be filed no later (C) The repayment schedule, if appli-
than fifteen (15) calendar days from the cable.
date that the notification was hand de- (5) The decision of the hearing offi-
livered or the date of delivery by cer- cial shall constitute the final adminis-
tified mail, return receipt requested. trative decision of the agency.
(4) If a petition is received after the
§ 1.1929 Deduction from pay.
fifteenth (15) calendar day deadline re-
ferred to above, the Commission will (a) Deduction by salary offset, from
nevertheless accept the petition if the an employee’s current disposable pay,
employee can show that the delay was shall be subject to the following condi-
due to circumstances beyond his or her tions:
control, or because of failure to receive (1) Ordinarily, debts to the United
notice of the time limit (unless other- States should be collected in full, in
wise aware of it). one lump sum. This will be done when
(5) If a petition is not filed within the funds are available for payment in one
time limit specified in paragraph (3) lump sum, or, if the amount of the debt
above, and is not accepted pursuant to exceeds 15 percent of disposable pay for
paragraph (a)(4) of this section, the em- an officially established pay interval,
ployee’s right to hearing will be consid- collection will normally be made in in-
ered waived, and salary offset will be stallments.
implemented by the Commission. (2) The installments shall not exceed
(b) Type of Hearing. (1) The form and 15 percent of the disposable pay from
content of the hearing will be deter- which the deduction is made, unless
mined by the hearing official who shall the employee has agreed in writing to
be a person outside the control or au- the deduction of a greater amount.
thority of the Commission except that
(3) Deduction will generally com-
nothing herein shall be construed to
prohibit the appointment of an admin- mence with the next full pay interval
istrative law judge by the Commission. (ordinarily the next biweekly pay pe-
In determining the type of hearing, the riod) following the date: of the employ-
hearing officer will consider the nature ee’s written consent to salary offset,
and complexity of the transaction giv- the waiver of hearing, or the decision
ing rise to the debt. The hearing may issued by the hearing officer.
be conducted as an informal conference (4) Installment deductions must be
or interview, in which the agency and made over a period not greater than
employee will be given a full oppor- the anticipated period of employment
tunity to present their respective posi- except as provided in § 1.1930.
tions, or as a more formal proceeding (b) [Reserved]
335
§ 1.1930 47 CFR Ch. I (10–1–02 Edition)
§ 1.1930 Liquidation from final check § 1.1934 Recovery when paying agency
or recovery from other payment. is not creditor agency.
(a) If the employee retires or resigns (a) Responsibilities of creditor agency.
or if his or her employment or period of Upon completion of the procedures es-
active duty ends before collection of tablished under 5 U.S.C. 5514, the cred-
the debt is completed, offset of the en- itor agency must do the following:
tire remaining balance of the debt may (1) The creditor agency must certify,
in writing, that the employee owes the
be made from a final payment of any
debt, the amount and basis of the debt,
nature, including, but not limited, to,
the date on which payment(s) is due,
final salary payment or lump-sum the date of the Government’s right to
leave due the employee as the date of collect the debt first accrued, and that
separation, to such extent as is nec- the creditor agency’s regulations im-
essary to liquidate the debt. plementing 5 U.S.C. 5514 have been ap-
(b) If the debt cannot be liquidated proved by OPM.
by offset from a final payment, offset (2) If the collection must be made in
may be made from later payments of installments, the creditor agency also
any kind due from the United States, must advise the paying agency of the
including, but not limited to, the Civil number of installments to be collected,
Service Retirement and Disability the amount of each installment, and
Fund, pursuant to § 1.1913 of this regu- the commencement date of the first in-
lation. stallment (if a date other than the next
officially established pay period is re-
§ 1.1931 Non-waiver of rights by pay- quired).
ments. (3) Unless the employee has con-
sented to the salary offset in writing or
An employee’s involuntary payment
signed a statement acknowledging re-
of all or any portion of a debt being
ceipt of the required procedures, and
collected under 5 U.S.C. 5514 shall not the written consent or statement is
be construed as a waiver of any rights forwarded to the paying agency, the
which the employee may have under 5 creditor agency also must advise the
U.S.C. 5514 or any other provision of paying agency of the action(s) taken
contract or law, unless statutory or under 5 U.S.C. 5514(b) and give the
contractual provisions provide to the date(s) the action(s) was taken.
contrary. (4) Except as otherwise provided in
this paragraph, the creditor agency
§ 1.1932 Refunds. must submit a debt claim containing
(a) Refunds shall promptly be made the information specified in paragraphs
when— (a) (1) through (3) of this section and an
(1) A debt is waived or otherwise installment agreement (or other in-
found not owing to the United States struction on the payment schedule), if
(unless expressly prohibited by statute applicable to the employee’s paying
or regulation); or agency.
(5) If the employee is in the process
(2) The employee’s paying agency is
of separating, the creditor agency must
directed by an administrative or judi- submit its claim to the employee’s
cial order to refund amounts deducted paying agency for collection pursuant
from his or her current pay. to § 1.1930. The paying agency must cer-
(b) Refunds do not bear interest un- tify the total amount of its collection
less required or permitted by law or and provide copies to the creditor agen-
contract. cy and the employee as stated in para-
graph (c)(1) of this section. If the pay-
§ 1.1933 Interest, penalties and admin- ing agency is aware that the employee
istrative costs. is entitled to payments from the Civil
The assessment of interest, penalties Service Retirement and Disability
and administrative costs shall be in ac- Fund, or other similar payments, it
cordance with §§ 1.1940 and 1.1941 of this must provide written notification to
regulation. the agency responsible for making such
payments that the debtor owes a debt
336
(including the amount) and that there must be furnished to the employee, an-
has been full compliance with the pro- other to the creditor agency along with
visions of this section. However, the notice of employee’s transfer. However,
creditor agency must submit a prop- the creditor agency must submit a
erly certified claim to the agency re- properly certified claim to the new
sponsible for making such payments paying agency before collection can be
before collection can be made. resumed.
(6) If the employee is already sepa- (2) When an employee transfers to an-
rated and all payments from his or her other paying agency, the creditor agen-
former paying agency have been paid, cy need not repeat the due process pro-
the creditor agency may request, un- cedures described by 5 U.S.C. 5514 and
less otherwise prohibited, that money this subpart to resume the collection.
due and payable to the employee from However, the creditor agency is respon-
the Civil Service Retirement and Dis- sible for reviewing the debt upon re-
ability Fund (5 CFR 831.1801 et seq.), or ceiving the former paying agency’s no-
other similar funds, be administra- tice of the employee’s transfer to make
tively offset to collect the debt. (31 sure the collection is resumed by the
U.S.C. 3716 and 4 CFR 102.4) new paying agency.
(b) Responsibilities of paying agency—
(1) Complete claim. When the paying § 1.1935 Obtaining the services of a
agency receives a properly certified hearing official.
debt claim from a creditor agency, de- (a) When the debtor does not work
ductions should be scheduled to begin for the creditor agency and the cred-
prospectively at the next officials es- itor agency cannot provide a prompt
tablished pay interval. The employee and appropriate hearing before an ad-
must receive written notice that the ministrative law judge or before a
paying agency has received a certified hearing official furnished pursuant to
debt claim from the creditor agency another lawful arrangement, the cred-
(including the amount) and written no- itor agency may contact an agent of
tice of the date deductions from salary the paying agency designated in appen-
will commence and of the amount of dix A of 5 CFR part 581 for a hearing of-
such deductions. ficial, and the paying agency must
(2) Incomplete claim. When the paying then cooperate as provided by 4 CFR
agency receives an incomplete debt 102.1 and provide a hearing official.
claim from a creditor agency, the pay- (b) When the debtor works for the
ing agency must return the debt claim creditor agency, the creditor agency
with a notice that procedures under 5 may contact any agent (of another
U.S.C. 5514 and this subpart must be agency) designated in appendix A of 5
provided, and a properly certified debt CFR part 581 to arrange for a hearing
claim received, before action will be official. Agencies must then cooperate
taken to collect from the employee’s as required by 4 CFR 102.1 and provide
current pay account. a hearing official.
(3) Review. The paying agency is not
required or authorized to review the INTEREST, PENALTIES, ADMINISTRATIVE
merits of the creditor agency’s deter- COSTS AND OTHER SANCTIONS
mination with respect to the amount
or validity of the debt certified by the § 1.1940 Assessment.
creditor agency. (a) Except as provided in paragraph
(c) Employees who transfer from one (h) of this section, or § 1.1941, the Com-
paying agency to another. (1) If, after mission shall assess interest, penalties
the creditor agency has submitted the and administrative costs on debts owed
debt claim to the employee’s paying to the United States pursuant to 31
agency, the employee transfers to a po- U.S.C. 3717. Before assessing these
sition served by a different paying charges, the Commission will mail or
agency before the debt is collected in hand-deliver a written notice to the
full, the paying agency from which the debtor explaining the agency’s require-
employee separates must certify the ments concerning these charges.
total amount of the collection made on (b) Interest shall accrue from the
the debt. One copy of the certification date on which notice of the debt and
337
§ 1.1940 47 CFR Ch. I (10–1–02 Edition)
the interest requirements is first credit report or in using a private debt

mailed or hand-delivered to the debtor, collector, to the extent they are attrib-
using the most current address that is utable to the delinquency.
available to the agency. If the Commis- (e) The Commission shall assess a
sion should use an ‘‘advance billing’’ penalty charge, not to exceed 6 percent
procedure—that is, if it mails a bill be- a year, on any portion of a debt that is
fore a debt is actually owed—it can in- delinquent for more than 90 days. This
clude the required interest notification charge need not be calculated until the
in the advance billing, but interest 91st day of delinquency, but shall ac-
may not start to accrue before the debt crue from the date that the debt be-
is actually owed. came delinquent.
(c) The rate of interest assessed shall (f) When a debt is paid in partial or
be the rate of the current value of installment payments, amounts re-
funds to the United States Treasury ceived by the agency shall be applied
(i.e., the Treasury Tax and loan ac- first to outstanding penalty and ad-
count rate), as prescribed and pub- ministrative cost charges, second to
lished by the Secretary of the Treasury accrued interest, and third to the out-
in the FEDERAL REGISTER and the standing principal.
Treasury Financial Manual Bulletins (g) The Commission will waive the
annually or quarterly, in accordance collection of interest on the debt or
with 31 U.S.C. 3717. The Commission any portion of the debt which is paid
may assess a higher rate of interest if within 30 days after the date on which
it reasonably determines that a higher interest began to accrue. It may extend
rate is necessary to protect the inter- this 30-day period, on a case-by-case
ests of the United States. The rate of basis, if it reasonably determines that
interest, as initially assessed, shall re- such action is appropriate. Also, the
main fixed for the duration of the in- Commission may waive, in whole or in
debtedness except that where a debtor part, the collection of interest, pen-
has defaulted on a repayment agree- alties, and/or administrative costs as-
ment and seeks to enter into a new sessed under this section under the cri-
agreement, the Commission may set a teria specified in part 103 of the Fed-
new interest rate which reflects the eral Claims Collection Standards (4
current value of funds to the Treasury CFR part 103) relating to the com-
at the time the new agreement is exe- promise of claims (without regard to
cuted. Interest will not be assessed on the amount of the debt), or if it deter-
accrued interest, penalties, or adminis- mines that collection of these charges
trative costs required by this section. would be against equity and good con-
However, if the debtor defaults on a science, or not in the best interest of
previous repayment agreement, the United States. Waiver under the
charges which accrued but were not first sentence of this paragraph (g) is
collected under the defaulted agree- mandatory. Under the second and third
ment shall be added to the principal to sentences, it may be exercised under
be paid under a new repayment sched- appropriate circumstances. Examples
ule. of appropriate circumstances include:
(d) The Commission shall assess (1) Waiver of interest pending the
against a debtor charges to cover ad- agency’s disposition of a request for re-
ministrative costs incurred as a result consideration, administrative review,
of a delinquent debt—that is, the addi- or waiver of the underlying debt under
tional costs incured in processing and a permissive statute, and
handling the debt because it became (2) Waiver of interest where the Com-
delinquent. Calculation of administra- mission has accepted an installment
tive costs shall be based upon actual plan under § 1.1914, and there is no indi-
costs incurred or upon costs analyses cation of fault or lack of good faith on
establishing an average of actual addi- the part of the debtor.
tional costs incurred by the agency in (h) Where a mandatory waiver or re-
processing and handling claims against view statute applies, interest and re-
other debtors in similar stages of delin- lated charges may not be assessed for
quency. Administrative costs may in- those periods during which collection
clude costs incurred in obtaining a action must be suspended under
338
§ 104.2(c)(1) of the Federal Claims Col- (c) The obligation is no longer col-
lection Standards (4 CFR part 104). lectible either because the time limit
in the applicable statute for enforcing
§ 1.1941 Exemptions. collection expired during the tax year,
(a) The provisions concerning inter- or because during the year a formal
est and penalty on claims contained in compromise agreement was reached in
31 U.S.C. 3717 do not apply: which the debtor was legally dis-
(1) To debts owed by any State or charged of all or a portion of the obli-
local government; gation.
(2) To debts arising under contracts
which were executed prior to, and were § 1.1951 Offset against tax refunds.
in effect on (i.e., were not completed as
of), October 25, 1982; The Commission will take action to
(3) To debts where an applicable stat- effect administrative offset against tax
ute, regulation required by statute, refunds due to debtors under 26 U.S.C.
loan agreement, or contract either pro- 6402, in accordance with the provisions
hibits such charges or explicitly fixes of 31 U.S.C. 3720A and Treasury Depart-
the charges that apply to the debts ment regulations.
arising under the Social Security Act,
the Internal Revenue Code of 1954, or GENERAL PROVISIONS CONCERNING
the tariff laws of the United States. INTERAGENCY REQUESTS
(b) However, the Commission is au-
thorized to assess interest and related § 1.1952 Interagency requests.
charges on debts which are not subject (a) Requests to the Commission by
to 31 U.S.C. 3717 to the extent author- other Federal agencies for administra-
ized under the common law or other tive or salary offset shall be in writing
applicable statutory authority. and forwarded to the Financial Oper-
§ 1.1942 Other sanctions. ations Center, FCC, 445 12th Street,
SW., Washington, DC 20554.
The remedies and sanctions available
(b) Requests by the Commission to
to the Commission in this subpart are
not exclusive. The Commission may other Federal agencies holding funds
impose other sanctions, where per- payable to the debtor will be in writing
mitted by law, for any inexcusable, and forwarded, certified return receipt,
prolonged, or repeated failure of a as specified by that agency in its regu-
debtor to pay such a claim. In such lations. If the agency’s rules governing
cases, the Commission will provide no- this matter are not readily available or
tice, as required by law, to the debtor identifiable, the request will be sub-
prior to imposition of any such sanc- mitted to that agency’s office of legal
tion. counsel with a request that it be proc-
essed in accordance with their internal
COOPERATION WITH THE INTERNAL procedures.
REVENUE SERVICE
(c) Requests to and from the Commis-
§ 1.1950 Reporting discharged debts to sion shall be accompanied by a certifi-
the Internal Revenue Service. cation that the debtor owes the debt
When the Commission discharges a (including the amount) and that the
debt for less than the full value of the procedures for administrative or salary
indebtedness, it will report the out- offset contained in this subpart, or
standing balance discharged, not in- comparable procedures prescribed by
cluding interest, to the Internal Rev- the requesting agency, have been fully
enue Service, using IRS Form 1099–G or complied with. The Commission will
any other form prescribed by the Serv- cooperate with other agencies in effect-
ice, when: ing collection.
(a) The principal amount of the debt (d) Requests to and from the Com-
not in dispute is $600 or more; and mission shall be processed within 30
(b) The obligation has not been dis- calendar days of receipt. If such proc-
charged in a bankruptcy proceeding; essing is impractical or not feasible,
and
339
§ 1.2001 47 CFR Ch. I (10–1–02 Edition)
notice to extend the time period for an- gible for the authorization for which it
other 30 calendar days will be for- applied, and will have 90 days from the
warded 10 calendar days prior to the filing of the application to comply with
expiration of the first 30-day period. this rule. If a section 5301 certification
[54 FR 403, Jan. 6, 1989, as amended at 65 FR has been incorporated into the FCC ap-
58466, Sept. 29, 2000] plication form, failure to respond to
the question concerning certification
Subpart P—Implementation of the shall result in dismissal of the applica-
tion pursuant to the relevant proc-
Anti-Drug Abuse Act of 1988 essing rules.
(b) A party to the application, as
SOURCE: 57 FR 187, Jan. 3, 1992, unless oth-
used in paragraph (a) of this section
erwise noted.
shall include:
§ 1.2001 Purpose. (1) If the applicant is an individual,
To determine eligibility for profes- that individual;
sional and/or commercial licenses (2) If the applicant is a corporation or
issued by the Commission with respect unincorporated association, all offi-
to any denials of Federal benefits im- cers, directors, or persons holding 5%
posed by Federal and/or state courts or more of the outstanding stock or
under authority granted in 21 U.S.C. shares (voting and/or non-voting) of the
862. applicant; and
(3) If the applicant is a partnership,
[60 FR 39269, Aug. 2, 1995]
all non-limited partners and any lim-
§ 1.2002 Applicants required to submit ited partners holding a 5% or more in-
information. terest in the partnership.
(a) In order to be eligible for any (c) The provisions of paragraphs (a)
new, modified, and/or renewed instru- and (b) of this section are not applica-
ment of authorization from the Com- ble to the Amateur Radio Service, the
mission, including but not limited to, Citizens Band Radio Service, the Radio
authorizations issued pursuant to sec- Control Radio Service, to users in the
tions 214, 301, 302, 303(1), 308, 310(d), 318, Public Mobile Services and the Private
319, 325(b), 351, 361(b), 362(b), 381, and 385 Radio Services that are not individ-
of the Communications Act of 1934, as ually licensed by the Commission, or to
amended, by whatever name that in- Federal, State or local governmental
strument may be designated, all appli- entities or subdivisions thereof.
cants shall certify that neither the ap- [57 FR 187, Jan. 3, 1992, as amended at 58 FR
plicant nor any party to the applica- 8701, Feb. 17, 1993; 60 FR 39269, Aug. 2, 1995]
tion is subject to a denial of Federal
benefits that includes FCC benefits § 1.2003 Applications affected.
pursuant to section 5301 of the Anti-
The certification required by § 1.2002
Drug Abuse Act of 1988. 21 U.S.C. 862. If
must be filed with the following appli-
a section 5301 certification has been in-
cations as well as any other requests
corporated into the FCC application
for authorization filed with the Com-
form being filed, the applicant need not
mission, regardless of whether a spe-
submit a separate certification. If a
cific form exists.
section 5301 certification has not been
incorporated into the FCC application FCC 301 Application for Construction Per-
form being filed, the applicant shall be mit for Commercial Broadcast Station;
deemed to have certified by signing the FCC 301–A Application for Authority to Op-
application, unless an exhibit is in- erate a Broadcast Station by Remote Con-
cluded stating that the signature does trol or to Make Changes in a Remote Con-
trol Authorization;
not constitute such a certification and
FCC 302 Application for New Broadcast Sta-
explaining why the applicant is unable tion License;
to certify. If no FCC application form FCC 302—FM Application for FM Broadcast
is involved, the applicant must attach Station License;
a certification to its written applica- FCC 303–S Application for Renewal of Li-
tion. If the applicant is unable to so cense for AM, FM, TV, Translator, or
certify, the applicant shall be ineli- LPTV Station;
340
FCC 307 Application for Extension of Broad- FCC 401 Application for New or Modified
cast Construction Permit or to Replace Ex- Common Carrier Radio Station Authoriza-
pired Construction Permit; tion Under part 22 of this chapter.
FCC 308 Application for Permit to Deliver FCC 402 Application for Station Authoriza-
Programs to Foreign Broadcast Stations; tion in the Private Operational Fixed
FCC 309 Application for Authority to Con- Microwave Radio Service;
struct or Make Changes in an Inter- FCC 402–R Renewal Notice and Certifi-
national or Experimental Broadcast Sta- cation in the Private Operational Fixed
tion; Microwave Radio Service;
FCC 310 Application for an International, FCC 403 Application for Radio Station Li-
Experimental Television, Experimental cense or Modification Thereof Under parts
Facsimile, or a Developmental Broadcast 23 or 25 of this chapter;
Station License; FCC 404 Application for Aircraft Radio Sta-
FCC 311 Application for Renewal of an tion License;
International or Experimental Broadcast FCC 405 Application for Renewal of Radio
License; Station License;
FCC 313 Application for Authorization in FCC 405–A Application for Renewal of Radio
the Auxiliary Radio Broadcast Services; Station License and/or Notification of
FCC 313–R Application for Renewal of Aux- Change to License Information;
iliary Broadcast License; FCC 405–B Ship/Aircraft License Expiration
FCC 314 Application for Consent to Assign- Notice and/or Renewal Application;
ment of Broadcast Station Construction FCC 406 Application for Ground Station Au-
Permit or License; thorization in the Aviation Services;
FCC 315 Application for Consent to Transfer FCC 407 Application for New or Modified
of Control of Corporation Holding Broad- Radio Station Construction Permit;
cast Station Construction Permit or Li- FCC 409 Airborne Mobile Radio Telephone
cense; License Application;
FCC 410 Registration of Canadian Radio
FCC 316 Application for Consent to Assign-
Station Licensee and Application for Per-
ment of Radio Broadcast Station Construc-
mit to Operate (Land Mobile);
tion Permit or License or Transfer of Con-
FCC 442 Application for New or Modified
trol of Corporation Holding Radio Broad-
Radio Station Authorization Under part 5
cast Station Construction Permit or Li-
of this chapter—Experimental Radio Serv-
cense;
ice (Other than Broadcast);
FCC 327 Application for Cable Television
FCC 490 Application for Assignment or
Relay Service Station Authorzation;
Transfer of Control Under part 22 of this
FCC 330 Application for Authorization to chapter;
Construct New or Make Changes in an In- FCC 493 Application for Earth Station Au-
structional Television Fixed and/or Re- thorization or Modification of Station Li-
sponse Station(s), or to Assign or Transfer cense (Proposed);
Such Stations;
FCC 494 Application for a New or Modified
FCC 330–L Application for Instructional Microwave Radio Station License Under
Television Fixed Station License; part 21 of this chapter;
FCC 330–R Application for Renewal of In- FCC 494–A Certification of Completion of
structional Television Fixed Station and/or Construction Under part 21 of this chapter;
Response Station(s) and Low Power Relay FCC 503 Application for Land Radio Station
Station(s) License; License in the Maritime Services;
FCC 340 Application for Construction Per- FCC 506 Application for Ship Radio Station
mit for Noncommercial Educational License;
Broadcast Station; FCC 574 Application for Private Land Mo-
FCC 345 Application for Transfer of Control bile and General Mobile Radio Services;
of a Corporate Licensee or Permittee, or FCC 574–R Application for Renewal of Radio
Assignment of License or Permit, for an Station License;
FM or TV Translator Station, or a Low FCC 601 FCC Application for Wireless Tele-
Power Television Station; communications Bureau Radio Service Au-
FCC 346 Application for Authority to Con- thorization;
struct or Make Changes in a Low Power FCC 602 FCC Ownership Disclosure Informa-
TV, TV Translator or TV Booster Station; tion for the Wireless Telecommunications
FCC 347 Application for a Low Power TV, Services;
TV Translator or TV Booster Station Li- FCC 603 FCC Wireless Telecommunications
cense; Bureau Application for Assignment of Au-
FCC 349 Application for Authority to Con- thorization and Transfer of Control;
struct or Make Changes in an FM Trans- FCC 605 Quick Form Application for Author-
lator or FM Booster Station; ization in the Ship, Aircraft, Amateur, Re-
FCC 350 Application for an FM Translator stricted and Commercial Operator, and
or FM Booster Station License; General Mobile Radio Services.
341
§ 1.2101 47 CFR Ch. I (10–1–02 Edition)
FCC 701 Application for Additional Time to cluding emergency road services pro-
Construct a Radio Station; vided by not-for-profit organizations,
FCC 702 Application for Consent to Assign-
that
ment of Radio Station Construction Per-
mit or License; (i) Are used to protect the safety of
FCC 703 Application for Consent to Transfer life, health, or property; and
Control of Corporation Holding Station Li- (ii) Are not commercially available
cense; to the public;
FCC 704 Application for Consent to Transfer
(2) Initial licenses or construction
of Control of Corporation Holding Common
Carrier Radio Station Construction Permit permits for digital television service
or License; given to existing terrestrial broadcast
FCC 730 Application for Registration of licensees to replace their analog tele-
Equipment to be Connected to the Tele- vision service licenses; or
phone Network; (3) Noncommercial educational and
FCC 731 Application for Equipment Author-
public broadcast stations described
ization;
FCC 753 Restricted Radiotelephone Oper- under 47 U.S.C. 397(6).
ator Permit Application; (c) Applications in the following
FCC 755 Application for Restricted Radio- services or classes of services are not
telephone Operator Permit—Limited Use; subject to competitive bidding:
FCC 756 Application for Commercial Radio
(1) Alaska-Private Fixed Stations (see
Operator License.
47 CFR part 80, subpart O);
[57 FR 187, Jan. 3, 1992, as amended at 57 FR (2) Broadcast radio (AM and FM) and
48333, Oct. 23, 1992; 59 FR 63051, Dec. 7, 1994;
broadcast television (VHF, UHF,
63 FR 68942, Dec. 14, 1998]
LPTV) under 47 CFR part 73;
(3) Broadcast Auxiliary and Cable
Subpart Q—Competitive Bidding Television Relay Services (see 47 CFR
Proceedings part 74, subparts D, E, F, G, H and L
and part 78, subpart B);
SOURCE: 59 FR 44293, Aug. 26, 1994, unless (4) Instructional Television Fixed
otherwise noted. Service (see 47 CFR part 74, subpart I);
GENERAL PROCEDURES (5) Maritime Support Stations (see 47
CFR part 80, subpart N);
§ 1.2101 Purpose. (6) Marine Operational Fixed Sta-
The provisions of this subpart imple- tions (see 47 CFR part 80, subpart L);
ment Section 309(j) of the Communica- (7) Marine Radiodetermination Sta-
tions Act of 1934, as added by the Omni- tions (see 47 CFR part 80, subpart M);
bus Budget Reconciliation Act of 1993 (8) Personal Radio Services (see 47
(Pub. L. 103–66) and the Balanced Budg- CFR part 95), except applications filed
et Act of 1997 (Pub. L. 105–33), author- after July 26, 1993, in the Interactive
izing the Commission to employ com- Video Data Service (see 47 CFR part 95,
petitive bidding procedures to choose subpart F);
from among two or more mutually ex- (9) Public Safety, Industrial/Land
clusive applications for certain initial Transportation, General and Business
licenses. Radio categories above 800 MHz, in-
[63 FR 2340, Jan. 15, 1998] cluding finder’s preference requests for
frequencies not allocated to the SMR
§ 1.2102 Eligibility of applications for service (see 47 CFR 90.173), and includ-
competitive bidding. ing, until further notice of the Com-
(a) Mutually exclusive initial appli- mission, the Automated Vehicle Moni-
cations are subject to competitive bid- toring Service (see 47 CFR 90.239);
ding. (10) Private Land Mobile Radio Serv-
(b) The following types of license ap- ices between 470–512 MHz (see 47 CFR
plications are not subject to competi- part 90, subparts B–F), including those
tive bidding procedures: based on finder’s preferences, (see 47
(1) Public safety radio services, in- CFR 90.173);
cluding private internal radio services (11) Private Land Mobile Radio Serv-
used by state and local governments ices below 470 MHz (see 47 CFR part 90,
and non-government entities and in- subparts B–F) except in the 220 MHz
342
band (see 47 CFR part 90, subpart T), in- (d) The Commission may use real
cluding those based on finder’s pref- time bidding in all electronic auction
erences (see 47 CFR § 90.173); and designs.
(12) Private Operational Fixed Serv- [59 FR 44293, Aug. 26, 1994, as amended at 62
ices (see 47 CFR part 94). FR 13542, Mar. 21, 1997; 63 FR 2341, Jan. 15,
1998]
NOTE TO § 1.2102: To determine the rules
that apply to competitive bidding, specific § 1.2104 Competitive bidding mecha-
service rules should also be consulted. nisms.
[59 FR 44293, Aug. 26, 1994, as amended at 60 (a) Sequencing. The Commission will
FR 40718, Aug. 9, 1995; 62 FR 23163, Apr. 29, establish the sequence in which mul-
1997; 63 FR 10780, Mar. 5, 1998] tiple licenses will be auctioned.
(b) Grouping. In the event the Com-
§ 1.2103 Competitive bidding design mission uses either a simultaneous
options.
multiple round competitive bidding de-
(a) The Commission will choose from sign or combinatorial bidding, the
one or more of the following types of Commission will determine which li-
auction designs for services or classes censes will be auctioned simulta-
of services subject to competitive bid- neously or in combination.
ding: (c) Reservation Price. The Commission
(1) Simultaneous multiple-round auc- may establish a reservation price, ei-
tions (using remote or on-site elec- ther disclosed or undisclosed, below
tronic bidding); which a license subject to auction will
(2) Sequential multiple round auc- not be awarded.
(d) Minimum Bid Increments, Minimum
tions (using either oral ascending or re-
Opening Bids and Maximum Bid Incre-
mote and/or on-site electronic bidding);
ments. The Commission may, by an-
(3) Sequential or simultaneous sin- nouncement before or during an auc-
gle-round auctions (using either sealed tion, require minimum bid increments
paper or remote and/or on-site elec- in dollar or percentage terms. The
tronic bidding); and Commission also may establish min-
(4) Combinatorial (package/contin- imum opening bids and maximum bid
gent) bidding auctions. increments on a service-specific basis.
(b) The Commission may use (e) Stopping Rules. The Commission
combinatorial bidding, which would may establish stopping rules before or
allow bidders to submit all or nothing during multiple round auctions in
bids on combinations of licenses or au- order to terminate the auctions within
thorizations, in addition to bids on in- a reasonable time.
dividual licenses or authorizations. The (f) Activity Rules. The Commission
Commission may require that to be de- may establish activity rules which re-
clared the high bid, a combinatorial quire a minimum amount of bidding
bid must exceed the sum of the indi- activity.
vidual bids by a specified amount. (g) Withdrawal, Default and Disquali-
Combinatorial bidding may be used fication Payment. As specified below,
when the Commission conducts an auc-
with any type of auction. The Commis-
tion pursuant to § 1.2103, the Commis-
sion may also allow bidders to submit
sion will impose payments on bidders
contingent bids on individual and/or who withdraw high bids during the
combinations of licenses. course of an auction, or who default on
(c) The Commission may use single payments due after an auction closes
combined auctions, which combine bid- or who are disqualified.
ding for two or more substitutable li- (1) Bid withdrawal prior to close of auc-
censes and award licenses to the high- tion. A bidder that withdraws a high
est bidders until the available licenses bid during the course of an auction is
are exhausted. This technique may be subject to a withdrawal payment equal
used in conjunction with any type of to the difference between the amount
auction. of the withdrawn bid and the amount
343
§ 1.2104 47 CFR Ch. I (10–1–02 Edition)
of the winning bid in the same or sub- to 3 percent of their withdrawn bids pending
sequent auction(s). In the event that a Commission assessment of a final with-
bidding credit applies to any of the drawal payment (Bidder A would owe 3% of
bids, the bid withdrawal payment is ei- $100, or $3, and Bidder B would owe 3% of $90,
or $2.70). At the end of the second auction,
ther the difference between the net
Bidder A would owe $5 ($100¥$95) less the $3
withdrawn bid and the subsequent net interim withdrawal payment for a total of
winning bid, or the difference between $2. Because Bidder C placed a subsequent bid
the gross withdrawn bid and the subse- that was higher than Bidder B’s $90 bid, Bid-
quent gross winning bid, whichever is der B would owe nothing. Bidder C would
less. No withdrawal payment will be owe $15 ($95¥$80).
assessed for a withdrawn bid if either
the subsequent winning bid or any of (2) Default or disqualification after
the intervening subsequent withdrawn close of auction. A bidder assumes a
bids equals or exceeds that withdrawn binding obligation to pay its full bid
bid. The withdrawal payment amount amount upon acceptance of the high
is deducted from any upfront payments bid at the close of an auction. If a high
or down payments that the with- bidder defaults or is disqualified after
drawing bidder has deposited with the the close of such an auction, the de-
Commission. In the case of multiple faulting bidder will be subject to the
bid withdrawals on a single license, the payment in paragraph (g)(1) of this sec-
payment for each bid withdrawal will tion plus an additional payment equal
be calculated based on the sequence of to 3 percent of the subsequent winning
bid withdrawals and the amounts with- bid. If the subsequent winning bid ex-
drawn in the same or subsequent auc- ceeds the defaulting bidder’s bid
tion(s). In the event that a license for amount, the 3 percent payment will be
which there have been withdrawn bids calculated based on the defaulting bid-
is not won in the same auction, those der’s bid amount. If either bid amount
bidders for which a final withdrawal is subject to a bidding credit, the 3 per-
payment cannot be calculated will be cent credit will be calculated using the
assessed an interim bid withdrawal same bid amounts and basis (net or
payment equal to 3 percent of the gross bids) as in the calculation of the
amount of their bid withdrawals. The 3 payment in paragraph (g)(1) of this sec-
percent interim payment will be ap- tion. Thus, for example, if gross bids
plied toward any final bid withdrawal are used to calculate the payment in
payment that will be assessed at the paragraph (g)(1) of this section, the 3
close of the subsequent auction of the percent will be applied to the gross
license. amount of the subsequent winning bid,
Example 1 to paragraph (g)(1): Bidder A or the gross amount of the defaulting
withdraws a bid of $100. Subsequently, Bidder bid, whichever is less.
B places a bid of $90 and withdraws. In that (h) The Commission will generally
same auction, Bidder C wins the license at a
release information concerning the
bid of $95. Withdrawal payments are assessed
as follows: Bidder A owes $5 ($100¥$95). Bid- identities of bidders before each auc-
der B owes nothing. tion but may choose, on an auction-by-
Example 2 to paragraph (g)(1): Bidder A auction basis, to withhold the identity
withdraws a bid of $100. Subsequently, Bidder of the bidders associated with bidder
B places a bid of $95 and withdraws. In that identification numbers.
same auction, Bidder C wins the license at a (i) The Commission may delay, sus-
bid of $90. Withdrawal payments are assessed
as follows: Bidder A owes $5 ($100¥$95). Bid-
pend, or cancel an auction in the event
der B owes $5 ($95¥$90). of a natural disaster, technical obsta-
Example 3 to paragraph (g)(1): Bidder A cle, evidence of security breach, unlaw-
withdraws a bid of $100. Subsequently, in ful bidding activity, administrative ne-
that same auction, Bidder B places a bid of cessity, or for any other reason that af-
$90 and withdraws. In a subsequent auction, fects the fair and efficient conduct of
Bidder C places a bid of $95 and withdraws. the competitive bidding. The Commis-
Bidder D wins the license in that auction at
a bid of $80. Withdrawal payments are as-
sion also has the authority, at its sole
sessed as follows: At the end of the first auc- discretion, to resume the competitive
tion, Bidder A and Bidder B are each as- bidding starting from the beginning of
sessed an interim withdrawal payment equal the current or some previous round or
344
cancel the competitive bidding in its statement to that effect and a declara-
entirety. tion, under penalty of perjury, that the
applicant is qualified as a designated
FR 2341, Jan. 15, 1998; 65 FR 52344, Aug. 29, entity under § 1.2110.
2000] (v) Certification that the applicant is
legally, technically, financially and
§ 1.2105 Bidding application and cer- otherwise qualified pursuant to section
tification procedures; prohibition of 308(b) of the Communications Act of
collusion. 1934, as amended. The Commission will
(a) Submission of Short-Form Applica- accept applications certifying that a
tion (FCC Form 175). In order to be eligi- request for waiver or other relief from
ble to bid, an applicant must timely the requirements of section 310 is pend-
submit a short-form application (FCC ing;
Form 175), together with any appro- (vi) Certification that the applicant
priate upfront payment set forth by is in compliance with the foreign own-
Public Notice. Beginning January 1, ership provisions of section 310 of the
1999, all short-form applications must Communications Act of 1934, as amend-
be filed electronically. ed;
(1) All short-form applications will be (vii) Certification that the applicant
due: is and will, during the pendency of its
(i) On the date(s) specified by public application(s), remain in compliance
notice; or with any service-specific qualifications
(ii) In the case of application filing applicable to the licenses on which the
dates which occur automatically by op- applicant intends to bid including, but
eration of law (see, e.g., 47 CFR 22.902), not limited to, financial qualifications.
on a date specified by public notice The Commission may require certifi-
after the Commission has reviewed the cation in certain services that the ap-
applications that have been filed on plicant will, following grant of a li-
those dates and determined that mu- cense, come into compliance with cer-
tual exclusivity exists. tain service-specific rules, including,
(2) The short-form application must but not limited to, ownership eligi-
contain the following information: bility limitations;
(i) Identification of each license on (viii) An exhibit, certified as truthful
which the applicant wishes to bid; under penalty of perjury, identifying
(ii)(A) The applicant’s name, if the all parties with whom the applicant
applicant is an individual. If the appli- has entered into partnerships, joint
cant is a corporation, then the short- ventures, consortia or other agree-
form application will require the name ments, arrangements or under-
and address of the corporate office and standings of any kind relating to the
the name and title of an officer or di- licenses being auctioned, including any
rector. If the applicant is a partner- such agreements relating to the post-
ship, then the application will require auction market structure.
the name, citizenship and address of all (ix) Certification under penalty of
general partners, and, if a partner is perjury that it has not entered and will
not a natural person, then the name not enter into any explicit or implicit
and title of a responsible person should agreements, arrangements or under-
be included as well. If the applicant is standings of any kind with any parties
a trust, then the name and address of other than those identified pursuant to
the trustee will be required. If the ap- paragraph (a)(2)(viii) regarding the
plicant is none of the above, then it amount of their bids, bidding strategies
must identify and describe itself and or the particular licenses on which
its principals or other responsible per- they will or will not bid.
sons; and (x) Certification that the applicant is
(B) Applicant ownership information, not in default on any Commission li-
as set forth in § 1.2112. censes and that it is not delinquent on
(iii) The identity of the person(s) au- any non-tax debt owed to any Federal
thorized to make or withdraw a bid; agency.
(iv) If the applicant applies as a des- (xi) An attached statement made
ignated entity pursuant to § 1.2110, a under penalty of perjury indicating
345
§ 1.2105 47 CFR Ch. I (10–1–02 Edition)
whether or not the applicant has ever will have their applications dismissed
been in default on any Commission li- with no opportunity for resubmission.
cense or has ever been delinquent on (c) Prohibition of collusion. (1) Except
any non-tax debt owed to any Federal as provided in paragraphs (c)(2), (c)(3),
agency. and (c)(4) of this section, after the
NOTE TO PARAGRAPH (a): The Commission short-form application filing deadline,
may also request applicants to submit addi- all applicants for licenses in any of the
tional information for informational pur- same geographic license areas are pro-
poses to aid in its preparation of required re- hibited from cooperating or collabo-
ports to Congress.
rating with respect to, discussing with
(b) Modification and Dismissal of Short- each other, or disclosing to each other
Form Application (FCC Form 175). (1) in any manner the substance of their
Any short-form application (FCC Form own, or each other’s, or any other com-
175) that does not contain all of the peting applicants’ bids or bidding strat-
certifications required pursuant to this egies, or discussing or negotiating set-
section is unacceptable for filing and tlement agreements, until after the
cannot be corrected subsequent to the down payment deadline, unless such
applicable filing deadline. The applica- applicants are members of a bidding
tion will be dismissed with prejudice consortium or other joint bidding ar-
and the upfront payment, if paid, will
rangement identified on the bidder’s
be returned.
short-form application pursuant to
(2) The Commission will provide bid-
ders a limited opportunity to cure de- § 1.2105(a)(2)(viii).
fects specified herein (except for failure (2) Applicants may modify their
to sign the application and to make short-form applications to reflect for-
certifications) and to resubmit a cor- mation of consortia or changes in own-
rected application. During the resub- ership at any time before or during an
mission period for curing defects, a auction, provided such changes do not
short-form application may be amend- result in a change in control of the ap-
ed or modified to cure defects identi- plicant, and provided that the parties
fied by the Commission or to make forming consortia or entering into
minor amendments or modifications. ownership agreements have not applied
After the resubmission period has for licenses in any of the same geo-
ended, a short-form application may be graphic license areas. Such changes
amended or modified to make minor will not be considered major modifica-
changes or correct minor errors in the tions of the application.
application. Major amendments cannot (3) After the filing of short-form ap-
be made to a short-form application plications, applicants may make agree-
after the initial filing deadline. Major ments to bid jointly for licenses, pro-
amendments include changes in owner- vided the parties to the agreement
ship of the applicant that would con-
have not applied for licenses in any of
stitute an assignment or transfer of
the same geographic license areas.
control, changes in an applicant’s size
which would affect eligibility for des- (4) After the filing of short-form ap-
ignated entity provisions, and changes plications, a holder of a non-control-
in the license service areas identified ling attributable interest in an entity
on the short-form application on which submitting a short-form application
the applicant intends to bid. Minor may acquire an ownership interest in,
amendments include, but are not lim- form a consortium with, or enter into a
ited to, the correction of typographical joint bidding arrangement with, other
errors and other minor defects not applicants for licenses in the same geo-
identified as major. An application will graphic license area, provided that:
be considered to be newly filed if it is (i) The attributable interest holder
amended by a major amendment and certifies to the Commission that it has
may not be resubmitted after applica- not communicated and will not com-
ble filing deadlines. municate with any party concerning
(3) Applicants who fail to correct de- the bids or bidding strategies of more
fects in their applications in a timely than one of the applicants in which it
manner as specified by public notice holds an attributable interest, or with
346
which it has a consortium or joint bid- applicant in area 1, area 2, and area 3. Com-
ding arrangement, and which have ap- pany C is an applicant in area 3. Without vio-
plied for licenses in the same geo- lating the Commission’s Rules, Company B
can enter into a consortium arrangement
graphic license area(s); and with Company D or acquire an ownership in-
(ii) The arrangements do not result terest in Company D if Company B certifies
in any change in control of an appli- either (1) that it has communicated with and
cant; or will communicate neither with Company A
(iii) When an applicant has with- or anyone else concerning Company A’s bids
drawn from the auction, is no longer or bidding strategy, nor with Company C or
placing bids and has no further eligi- anyone else concerning Company C’s bids or
bility, a holder of a non-controlling, at- bidding strategy, or (2) that it has not com-
municated with and will not communicate
tributable interest in such an applicant with Company D or anyone else concerning
may obtain an ownership interest in or Company D’s bids or bidding strategy.
enter into a consortium with another
applicant for a license in the same geo-
FR 29958, June 2, 1998; 63 FR 50799, Sept. 23,
graphic service area, provided that the 1998; 64 FR 59659, Nov. 3, 1999; 65 FR 52345,
attributable interest holder certifies to Aug. 29, 2000; 66 FR 54452, Oct. 29, 2001]
the Commission that it did not commu-
nicate with the new applicant prior to § 1.2106 Submission of upfront pay-
the date that the original applicant ments.
withdrew from the auction. (a) The Commission may require ap-
(5) Applicants must modify their plicants for licenses subject to com-
short-form applications to reflect any petitive bidding to submit an upfront
changes in ownership or in membership payment. In that event, the amount of
of consortia or joint bidding arrange- the upfront payment and the proce-
ments. dures for submitting it will be set forth
(6) Any applicant that makes or re- in a Public Notice. Any auction appli-
ceives a communication of bids or bid- cant that has previously been in de-
ding strategies prohibited under para- fault on any Commission license or has
graph (c)(1) of this section shall report previously been delinquent on any non-
such communication in writing to the tax debt owed to any Federal agency
Commission immediately, and in no must submit an upfront payment equal
case later than five business days after to 50 percent more than that set for
the communication occurs. Such re- each particular license. No interest
ports shall be filed with the Office of will be paid on upfront payments.
the Secretary, and a copy shall be sent (b) Upfront payments must be made
to the Chief of the Auctions and Indus- by wire transfer in U.S. dollars from a
try Analysis Division, Wireless Tele- financial institution whose deposits are
communications Bureau. insured by the Federal Deposit Insur-
(7) For purposes of this paragraph: ance Corporation and must be made
(i) The term applicant shall include payable to the Federal Communica-
all controlling interests in the entity tions Commission.
submitting a short-form application to (c) If an upfront payment is not in
participate in an auction (FCC Form compliance with the Commission’s
175), as well as all holders of partner- Rules, or if insufficient funds are ten-
ship and other ownership interests and dered to constitute a valid upfront pay-
any stock interest amounting to 10 per- ment, the applicant shall have a lim-
cent or more of the entity, or out- ited opportunity to correct its submis-
standing stock, or outstanding voting sion to bring it up to the minimum
stock of the entity submitting a short- valid upfront payment prior to the auc-
form application, and all officers and tion. If the applicant does not submit
directors of that entity; and at least the minimum upfront pay-
(ii) The term bids or bidding strategies ment, it will be ineligible to bid, its ap-
shall include capital calls or requests plication will be dismissed and any up-
for additional funds in support of bids front payment it has made will be re-
or bidding strategies. turned.
Example: Company A is an applicant in (d) The upfront payment(s) of a bid-
area 1. Company B and Company C each own der will be credited toward any down
10 percent of Company A. Company D is an payment required for licenses on which
347
§ 1.2107 47 CFR Ch. I (10–1–02 Edition)
the bidder is the high bidder. Where the ments. No interest on any down pay-
upfront payment amount exceeds the ment will be paid to the bidders.
required deposit of a winning bidder, (c) A high bidder that meets its down
the Commission may refund the excess payment obligations in a timely man-
amount after determining that no bid ner must, within ten (10) business days
withdrawal penalties are owed by that after being notified that it is a high
bidder. bidder, submit an additional applica-
(e) In accordance with the provisions tion (the ‘‘long-form application’’) pur-
of paragraph (d), in the event a penalty suant to the rules governing the serv-
is assessed pursuant to § 1.2104 for bid
ice in which the applicant is the high
withdrawal or default, upfront pay-
bidder. Notwithstanding any other pro-
ments or down payments on deposit
vision in title 47 of the Code of Federal
with the Commission will be used to
satisfy the bid withdrawal or default Regulations to the contrary, high bid-
penalty before being applied toward ders need not submit an additional ap-
any additional payment obligations plication filing fee with their long-
that the high bidder may have. form applications. Specific procedures
for filing applications will be set out by
[59 FR 44293, Aug. 26, 1994, as amended at 62 Public Notice. Ownership disclosure re-
FR 13543, Mar. 21, 1997; 65 FR 52345, Aug. 29,
2000]
quirements are set forth in § 1.2112. Be-
ginning January 1, 1999, all long-form
§ 1.2107 Submission of down payment applications must be filed electroni-
and filing of long-form applications. cally. An applicant that fails to submit
(a) After bidding has ended, the Com- the required long-form application
mission will identify and notify the under this paragraph and fails to estab-
high bidder and declare the bidding lish good cause for any late-filed sub-
closed. mission, shall be deemed to have de-
(b) Unless otherwise specified by pub- faulted and will be subject to the pay-
lic notice, within ten (10) business days ments set forth in § 1.2104.
after being notified that it is a high (d) As an exhibit to its long-form ap-
bidder on a particular license(s), a high plication, the applicant must provide a
bidder must submit to the Commis- detailed explanation of the terms and
sion’s lockbox bank such additional conditions and parties involved in any
funds (the ‘‘down payment’’) as are bidding consortia, joint venture, part-
necessary to bring its total deposits nership or other agreement or arrange-
(not including upfront payments ap- ment it had entered into relating to
plied to satisfy bid withdrawal or de- the competitive bidding process prior
fault payments) up to twenty (20) per- to the time bidding was completed.
cent of its high bid(s). (In single round Such agreements must have been en-
sealed bid auctions conducted under tered into prior to the filing of short-
§ 1.2103, however, bidders may be reform applications pursuant to § 1.2105.
quired to submit their down payments
(e) A winning bidder that seeks a bid-
with their bids.) Unless otherwise spec-
ding credit to serve a qualifying tribal
ified by public notice, this down pay-
ment must be made by wire transfer in land, as defined in § 1.2110(f)(3)(i), with-
U.S. dollars from a financial institu- in a particular market must indicate
tion whose deposits are insured by the on the long-form application (FCC
Federal Deposit Insurance Corporation Form 601) that it intends to serve a
and must be made payable to the Fed- qualifying tribal land within that mar-
eral Communications Commission. ket.
Down payments will be held by the (f) An applicant must also submit
Commission until the high bidder has FCC Form 602 (see § 1.919 of this chap-
been awarded the license and has paid ter) with its long form application
the remaining balance due on the li- (FCC Form 601).
cense or authorization, in which case it [59 FR 44293, Aug. 26, 1994, as amended at 61
will not be returned, or until the win- FR 49075, Sept. 18, 1996; 62 FR 13543, Mar. 21,
ning bidder is found unqualified to be a 1997; 63 FR 2342, Jan. 15, 1998; 63 FR 12659,
licensee or has defaulted, in which case Mar. 16, 1998; 63 FR 68942, Dec. 14, 1998; 65 FR
it will be returned, less applicable pay- 47354, Aug. 2, 2000; 67 FR 45365, July 9, 2002]
348
§ 1.2108 Procedures for filing petitions dentiary hearing and will deny the ap-
to deny against long-form applica- plication.
tions. (3) Substantial and material issues of
(a) Where petitions to deny are other- fact require a hearing, it will conduct a
wise provided for under the Act or the hearing. The Commission may permit
commission’s Rules, and unless other all or part of the evidence to be sub-
service-specific procedures for the fil- mitted in written form and may permit
ing of such petitions are provided for employees other than administrative
elsewhere in the Commission’s Rules, law judges to preside at the taking of
the procedures in this section shall written evidence. Such hearing will be
apply to the filing of petitions to deny conducted on an expedited basis.
the long-form applications of winning [59 FR 44293, Aug. 26, 1994, as amended at 63
bidders. FR 2343, Jan. 15, 1998; 65 FR 52345, Aug. 29,
(b) Within a period specified by Pub- 2000]
lic Notice and after the Commission by
Public Notice announces that long- § 1.2109 License grant, denial, default,
form applications have been accepted and disqualification.
for filing, petitions to deny such appli- (a) Unless otherwise specified by pub-
cations may be filed. The period for fil- lic notice, auction winners are required
ing petitions to deny shall be no more to pay the balance of their winning
than ten (10) days. The appropriate li- bids in a lump sum within ten (10) busi-
censing Bureau, within its discretion, ness days following the release of a
may, in exigent circumstances, reduce public notice establishing the payment
this period of time to no less than five deadline. If a winning bidder fails to
(5) days. Any such petitions must con- pay the balance of its winning bids in a
tain allegations of fact supported by af- lump sum by the applicable deadline as
fidavit of a person or persons with per- specified by the Commission, it will be
sonal knowledge thereof. allowed to make payment within ten
(c) An applicant may file an opposi- (10) business days after the payment
tion to any petition to deny, and the deadline, provided that it also pays a
petitioner a reply to such opposition. late fee equal to five percent of the
Allegations of fact or denials thereof amount due. When a winning bidder
must be supported by affidavit of a per- fails to pay the balance of its winning
son or persons with personal knowledge bid by the late payment deadline, it is
thereof. The time for filing such oppo- considered to be in default on its li-
sitions shall be at least five (5) days cense(s) and subject to the applicable
from the filing date for petitions to default payments. Licenses will be
deny, and the time for filing replies awarded upon the full and timely pay-
shall be at least five (5) days from the ment of winning bids and any applica-
filing date for oppositions. The Com- ble late fees.
mission may grant a license based on (b) If a winning bidder withdraws its
any long-form application that has bid after the Commission has declared
been accepted for filing. The Commis- competitive bidding closed or fails to
sion shall in no case grant licenses ear- remit the required down payment with-
lier than seven (7) days following in ten (10) business days after the Com-
issuance of a public notice announcing mission has declared competitive bid-
long-form applications have been ac- ding closed, the bidder will be deemed
cepted for filing. to have defaulted, its application will
(d) If the Commission determines be dismissed, and it will be liable for
that: the default payment specified in
(1) An applicant is qualified and there § 1.2104(g)(2). In such event, the Com-
is no substantial and material issue of mission, at its discretion, may either
fact concerning that determination, it re-auction the license to existing or
will grant the application. new applicants or offer it to the other
(2) An applicant is not qualified and highest bidders (in descending order) at
that there is no substantial issue of their final bids. The down payment ob-
fact concerning that determination, ligations set forth in § 1.2107(b) will
the Commission need not hold a evi- apply.
349
§ 1.2110 47 CFR Ch. I (10–1–02 Edition)
(c) A winning bidder who is found un- and long-form applications, separately
qualified to be a licensee, fails to remit and in the aggregate, the gross reve-
the balance of its winning bid in a nues of the applicant (or licensee), its
timely manner, or defaults or is dis- controlling interests and their affili-
qualified for any reason after having ates for each of the previous two years.
made the required down payment, will (2) Aggregation of affiliate interests.
be deemed to have defaulted and will Persons or entities that hold interests
be liable for the payment set forth in in an applicant (or licensee) that are
§ 1.2104(g)(2). In such event, the Com- affiliates of each other or have an iden-
mission may either re-auction the li- tity of interests identified in
cense to existing or new applicants or § 1.2110(c)(5)(iii) will be treated as
offer it to the other highest bidders (in though they were one person or entity
descending order) at their final bids. and their ownership interests aggre-
(d) Bidders who are found to have gated for purposes of determining an
violated the antitrust laws or the Com- applicant’s (or licensee’s) compliance
mission’s rules in connection with with the requirements of this section.
their participation in the competitive
bidding process may be subject, in ad- Example 1 to paragraph (b)(2): ABC Corp. is
owned by individuals, A, B and C, each hav-
dition to any other applicable sanc- ing an equal one-third voting interest in
tions, to forfeiture of their upfront ABC Corp. A and B together, with two-thirds
payment, down payment or full bid of the stock have the power to control ABC
amount, and may be prohibited from Corp. and have an identity of interest. If
participating in future auctions. A&B invest in DE Corp., a broadband PCS
applicant for block C, A and B’s separate in-
[59 FR 44293, Aug. 26, 1994, as amended at 62 terests in DE Corp. must be aggregated be-
FR 13544, Mar. 21, 1997; 63 FR 2343, Jan. 15, cause A and B are to be treated as one person
1998] or entity.
Example 2 to paragraph (b)(2): ABC Corp.
§ 1.2110 Designated entities. has subsidiary BC Corp., of which it holds a
(a) Designated entities are small controlling 51 percent of the stock. If ABC
businesses, businesses owned by mem- Corp. and BC Corp., both invest in DE Corp.,
bers of minority groups and/or women, their separate interests in DE Corp. must be
and rural telephone companies. aggregated because ABC Corp. and BC Corp.
are affiliates of each other.
(b) Eligibility for small business and
entrepreneur provisions. (1) Size attribu- (3) Exceptions. (i) Small business con-
tion. (i) The gross revenues of the appli- sortia. Where an applicant (or licensee)
cant (or licensee), its controlling inter- is a consortium of small businesses, the
ests and their affiliates shall be attrib- gross revenues of each small business
uted to the applicant and considered on consortium member shall not be aggre-
a cumulative basis and aggregated for gated. Each small business consortium
purposes of determining whether the member must constitute a separate
applicant (or licensee) is eligible for and distinct legal entity to qualify.
status as a small business. An appli- (ii) Applicants without identifiable
cant seeking status as a small business controlling interests. Where an appli-
must disclose on its short- and long- cant (or licensee) cannot identify con-
form applications, separately and in trolling interests under the standards
the aggregate, the gross revenues of set forth in this section, the gross reve-
the applicant (or licensee), its control- nues of all interest holders in the appli-
ling interests and their affiliates for cant, and their affiliates, will be at-
each of the previous three years. tributable.
(ii) If applicable, the total assets of (c) Definitions—(1) Small businesses.
the applicant (or licensee), its control- The Commission will establish the defi-
ling interests and their affiliates shall nition of a small business on a service-
be attributed to the applicant and con- specific basis, taking into consider-
sidered on a cumulative basis and agation the characteristics and capital
gregated for purposes of determining requirements of the particular service.
whether the applicant (or licensee) is (2) Controlling interests. (i) For pur-
eligible for status as an entrepreneur. poses of this section, controlling inter-
An applicant seeking status as an en- est includes individuals or entities
trepreneur must disclose on its short- with either de jure or de facto control of
350
the applicant. De jure control is evi- or shares the power to vote such stock,
denced by holdings of greater than 50 to any person who has the sole power
percent of the voting stock of a cor- to sell such stock, and to any person
poration, or in the case of a partner- who has the right to revoke the trust
ship, general partnership interests. De at will or to replace the trustee at will.
facto control is determined on a case- If the trustee has a familial, personal,
by-case basis. An entity must disclose or extra-trust business relationship to
its equity interest and demonstrate at the grantor or the beneficiary, the
least the following indicia of control to grantor or beneficiary, as appropriate,
establish that it retains de facto con- will be attributed with the stock inter-
trol of the applicant: ests held in trust.
(A) The entity constitutes or ap-
points more than 50 percent of the (D) Non-voting stock shall be attrib-
board of directors or management com- uted as an interest in the issuing enti-
mittee; ty.
(B) The entity has authority to ap- (E) Limited partnership interests
point, promote, demote, and fire senior shall be attributed to limited partners
executives that control the day-to-day and shall be calculated according to
activities of the licensee; and both the percentage of equity paid in
(C) The entity plays an integral role and the percentage of distribution of
in management decisions. profits and losses.
(ii) Calculation of certain interests. (F) Officers and directors of an entity
(A) Fully diluted requirement. (1) Ex- shall be considered to have a control-
cept as set forth in paragraph ling interest in the entity. The officers
(c)(2)(ii)(A)(2) of this section, owner- and directors of an entity that controls
ship interests shall be calculated on a a licensee or applicant shall be consid-
fully diluted basis; all agreements such ered to have a controlling interest in
as warrants, stock options and convert- the licensee or applicant.
ible debentures will generally be treat-
(G) Ownership interests that are held
ed as if the rights thereunder already
indirectly by any party through one or
have been fully exercised.
more intervening corporations will be
(2) Rights of first refusal and put op-
tions shall not be calculated on a fully determined by successive multiplica-
diluted basis for purposes of deter- tion of the ownership percentages for
mining de jure control; however, rights each link in the vertical ownership
of first refusal and put options shall be chain and application of the relevant
calculated on a fully diluted basis if attribution benchmark to the resulting
such ownership interests, in combina- product, except that if the ownership
tion with other terms to an agreement, percentage for an interest in any link
deprive an otherwise qualified appli- in the chain exceeds 50 percent or rep-
cant or licensee of de facto control. resents actual control, it shall be
NOTE TO PARAGRAPH (C)(2)(ii)(A): Mutually treated as if it were a 100 percent inter-
exclusive contingent ownership interests, est.
i.e., one or more ownership interests that, by (H) Any person who manages the op-
their terms, are mutually exclusive of one or erations of an applicant or licensee
more other ownership interests, shall be cal-
culated as having been fully exercised only pursuant to a management agreement
in the possible combinations in which they shall be considered to have a control-
can be exercised by their holder(s). A contin- ling interest in such applicant or li-
gent ownership interest is mutually exclu- censee if such person, or its affiliate,
sive of another only if contractual language has authority to make decisions or
specifies that both interests cannot be held otherwise engage in practices or activi-
simultaneously as present ownership inter-
ests.
ties that determine, or significantly in-
(B) Partnership and other ownership fluence:
interests and any stock interest eq- (1) The nature or types of services of-
uity, or outstanding stock, or out- fered by such an applicant or licensee;
standing voting stock shall be attrib- (2) The terms upon which such serv-
uted as specified. ices are offered; or
(C) Stock interests held in trust shall (3) The prices charged for such serv-
be attributed to any person who holds ices.
351
§ 1.2110 47 CFR Ch. I (10–1–02 Edition)
(I) Any licensee or its affiliate who Asian, and Native Hawaiian or Pacific
enters into a joint marketing arrange- Islander extraction.
ment with an applicant or licensee, or (4) Rural telephone companies. A rural
its affiliate, shall be considered to have telephone company is any local ex-
a controlling interest, if such applicant change carrier operating entity to the
or licensee, or its affiliate, has author- extent that such entity—
ity to make decisions or otherwise en- (i) Provides common carrier service
gage in practices or activities that de- to any local exchange carrier study
termine, or significantly influence: area that does not include either:
(1) The nature or types of services of- (A) Any incorporated place of 10,000
fered by such an applicant or licensee; inhabitants or more, or any part there-
(2) The terms upon which such serv- of, based on the most recently avail-
ices are offered; or able population statistics of the Bu-
(3) The prices charged for such serv- reau of the Census, or
ices. (B) Any territory, incorporated or
(3) Businesses owned by members of mi- unincorporated, included in an urban-
nority groups and/or women. Unless oth- ized area, as defined by the Bureau of
erwise provided in rules governing spe- the Census as of August 10, 1993;
cific services, a business owned by (ii) Provides telephone exchange
members of minority groups and/or service, including exchange access, to
women is one in which minorities and/ fewer than 50,000 access lines;
or women who are U.S. citizens control (iii) Provides telephone exchange
the applicant, have at least greater service to any local exchange carrier
than 50 percent equity ownership and, study area with fewer than 100,000 ac-
in the case of a corporate applicant, cess lines; or
have a greater than 50 percent voting (iv) Has less than 15 percent of its ac-
interest. For applicants that are part- cess lines in communities of more than
nerships, every general partner must 50,000 on the date of enactment of the
be either a minority and/or woman (or Telecommunications Act of 1996.
minorities and/or women) who are U.S. (5) Affiliate. (i) An individual or enti-
citizens and who individually or to- ty is an affiliate of an applicant or of a
gether own at least 50 percent of the person holding an attributable interest
partnership equity, or an entity that is in an applicant if such individual or en-
100 percent owned and controlled by tity—
minorities and/or women who are U.S. (A) Directly or indirectly controls or
citizens. The interests of minorities has the power to control the applicant,
and women are to be calculated on a or
fully diluted basis; agreements such as (B) Is directly or indirectly con-
stock options and convertible deben- trolled by the applicant, or
tures shall be considered to have a (C) Is directly or indirectly con-
present effect on the power to control trolled by a third party or parties that
an entity and shall be treated as if the also controls or has the power to con-
rights thereunder already have been trol the applicant, or
fully exercised. However, upon a dem- (D) Has an ‘‘identity of interest’’
onstration that options or conversion with the applicant.
rights held by non-controlling prin- (ii) Nature of control in determining
cipals will not deprive the minority affiliation.
and female principals of a substantial (A) Every business concern is consid-
financial stake in the venture or im- ered to have one or more parties who
pair their rights to control the des- directly or indirectly control or have
ignated entity, a designated entity the power to control it. Control may be
may seek a waiver of the requirement affirmative or negative and it is imma-
that the equity of the minority and fe- terial whether it is exercised so long as
male principals must be calculated on the power to control exists.
a fully-diluted basis. The term minor- Example. An applicant owning 50 percent of
ity includes individuals of Black or Af- the voting stock of another concern would
rican American, Hispanic or Latino, have negative power to control such concern
American Indian or Alaskan Native, since such party can block any action of the
352
other stockholders. Also, the bylaws of a cor- (A) Spousal affiliation. Both spouses
poration may permit a stockholder with less are deemed to own or control or have
than 50 percent of the voting stock to block the power to control interests owned or
any actions taken by the other stockholders
controlled by either of them, unless
in the other entity. Affiliation exists when
the applicant has the power to control a con- they are subject to a legal separation
cern while at the same time another person, recognized by a court of competent ju-
or persons, are in control of the concern at risdiction in the United States. In cal-
the will of the party or parties with the culating their net worth, investors who
power to control. are legally separated must include
(B) Control can arise through stock their share of interests in property
ownership; occupancy of director, offi- held jointly with a spouse.
cer or key employee positions; contrac- (B) Kinship affiliation. Immediate
tual or other business relations; or family members will be presumed to
combinations of these and other fac- own or control or have the power to
tors. A key employee is an employee control interests owned or controlled
who, because of his/her position in the by other immediate family members.
concern, has a critical influence in or In this context ‘‘immediate family
substantive control over the operations member’’ means father, mother, hus-
or management of the concern. band, wife, son, daughter, brother, sis-
(C) Control can arise through man- ter, father- or mother-in-law, son- or
agement positions where a concern’s daughter-in-law, brother- or sister-in-
voting stock is so widely distributed law, step-father or -mother, step-broth-
that no effective control can be estab- er or -sister, step-son or -daughter, half
lished. brother or sister. This presumption
may be rebutted by showing that the
Example. In a corporation where the offi- family members are estranged, the
cers and directors own various size blocks of family ties are remote, or the family
stock totaling 40 percent of the corporation’s
voting stock, but no officer or director has a
members are not closely involved with
block sufficient to give him or her control or each other in business matters.
the power to control and the remaining 60 Example. A owns a controlling interest in
percent is widely distributed with no indi- Corporation X. A’s sister-in-law, B, has an
vidual stockholder having a stock interest attributable interest in a PCS application.
greater than 10 percent, management has the Because A and B have a presumptive kinship
power to control. If persons with such man- affiliation, A’s interest in Corporation Y is
agement control of the other entity are per- attributable to B, and thus to the applicant,
sons with attributable interests in the appli- unless B rebuts the presumption with the
cant, the other entity will be deemed an af- necessary showing.
filiate of the applicant.
(iv) Affiliation through stock owner-
(iii) Identity of interest between and ship. (A) An applicant is presumed to
among persons. Affiliation can arise be- control or have the power to control a
tween or among two or more persons concern if he or she owns or controls or
with an identity of interest, such as has the power to control 50 percent or
members of the same family or persons more of its voting stock.
with common investments. In deter- (B) An applicant is presumed to con-
mining if the applicant controls or has trol or have the power to control a con-
the power to control a concern, persons cern even though he or she owns, con-
with an identity of interest will be trols or has the power to control less
treated as though they were one per- than 50 percent of the concern’s voting
son. stock, if the block of stock he or she
Example. Two shareholders in Corporation owns, controls or has the power to con-
Y each have attributable interests in the trol is large as compared with any
same PCS application. While neither share- other outstanding block of stock.
holder has enough shares to individually (C) If two or more persons each owns,
control Corporation Y, together they have controls or has the power to control
the power to control Corporation Y. The two
less than 50 percent of the voting stock
shareholders with these common invest-
ments (or identity in interest) are treated as of a concern, such minority holdings
though they are one person and Corporation are equal or approximately equal in
Y would be deemed an affiliate of the appli- size, and the aggregate of these minor-
cant. ity holdings is large as compared with
353
§ 1.2110 47 CFR Ch. I (10–1–02 Edition)
any other stock holding, the presump- can be exercised by their holder(s). A contin-
tion arises that each one of these per- gent ownership interest is mutually exclu-
sons individually controls or has the sive of another only if contractual language
power to control the concern; however, specifies that both interests cannot be held
simultaneously as present ownership inter-
such presumption may be rebutted by a
ests.
showing that such control or power to
control, in fact, does not exist. (vi) Affiliation under voting trusts. (A)
(v) Affiliation arising under stock op- Stock interests held in trust shall be
tions, convertible debentures, and deemed controlled by any person who
agreements to merge. Except as set holds or shares the power to vote such
forth in paragraph (c)(2)(ii)(A)(2) of this stock, to any person who has the sole
section, stock options, convertible de- power to sell such stock, and to any
bentures, and agreements to merge person who has the right to revoke the
(including agreements in principle) are trust at will or to replace the trustee
generally considered to have a present at will.
effect on the power to control the con- (B) If a trustee has a familial, per-
cern. Therefore, in making a size deter- sonal or extra-trust business relation-
mination, such options, debentures, ship to the grantor or the beneficiary,
and agreements are generally treated
the stock interests held in trust will be
as though the rights held thereunder
deemed controlled by the grantor or
had been exercised. However, an affil-
beneficiary, as appropriate.
iate cannot use such options and de-
bentures to appear to terminate its (C) If the primary purpose of a voting
control over another concern before it trust, or similar agreement, is to sepa-
actually does so. rate voting power from beneficial own-
ership of voting stock for the purpose
EXAMPLE 1 TO PARAGRAPH (C)(5)(v). If of shifting control of or the power to
company B holds an option to purchase control a concern in order that such
a controlling interest in company A, concern or another concern may meet
who holds an attributable interest in a the Commission’s size standards, such
PCS application, the situation is treat- voting trust shall not be considered
ed as though company B had exercised valid for this purpose regardless of
its rights and had become owner of a whether it is or is not recognized with-
controlling interest in company A. The in the appropriate jurisdiction.
gross revenues of company B must be
(vii) Affiliation through common man-
taken into account in determining the
size of the applicant. agement. Affiliation generally arises
Example 2. If a large company, BigCo, holds
where officers, directors, or key em-
70% (70 of 100 outstanding shares) of the vot- ployees serve as the majority or other-
ing stock of company A, who holds an attrib- wise as the controlling element of the
utable interest in a PCS application, and board of directors and/or the manage-
gives a third party, SmallCo, an option to ment of another entity.
purchase 50 of the 70 shares owned by BigCo, (viii) Affiliation through common facili-
BigCo will be deemed to be an affiliate of
company A, and thus the applicant, until
ties. Affiliation generally arises where
SmallCo actually exercises its option to pur- one concern shares office space and/or
chase such shares. In order to prevent BigCo employees and/or other facilities with
from circumventing the intent of the rule another concern, particularly where
which requires such options to be considered such concerns are in the same or re-
on a fully diluted basis, the option is not lated industry or field of operations, or
considered to have present effect in this where such concerns were formerly af-
case.
Example 3. If company A has entered into filiated, and through these sharing ar-
an agreement to merge with company B in rangements one concern has control, or
the future, the situation is treated as though potential control, of the other concern.
the merger has taken place. (ix) Affiliation through contractual re-
NOTE TO PARAGRAPH (C)(5)(V): Mutually ex- lationships. Affiliation generally arises
clusive contingent ownership interests, i.e.,
where one concern is dependent upon
one or more ownership interests that, by
their terms, are mutually exclusive of one or another concern for contracts and busi-
more other ownership interests, shall be cal- ness to such a degree that one concern
culated as having been fully exercised only has control, or potential control, of the
in the possible combinations in which they other concern.
354
(x) Affiliation under joint venture ar- designated entities, as specified by the
rangements. (A) A joint venture for size Commission, may bid.
determination purposes is an associa- (e) The Commission may permit par-
tion of concerns and/or individuals, titioning of service areas in particular
with interests in any degree or propor- services for eligible designated enti-
tion, formed by contract, express or ties.
implied, to engage in and carry out a (f) Bidding credits. (1) The Commis-
single, specific business venture for sion may award bidding credits (i.e.,
joint profit for which purpose they payment discounts) to eligible des-
combine their efforts, property, money, ignated entities. Competitive bidding
skill and knowledge, but not on a con- rules applicable to individual services
tinuing or permanent basis for con- will specify the designated entities eli-
ducting business generally. The deter- gible for bidding credits, the licenses
mination whether an entity is a joint for which bidding credits are available,
venture is based upon the facts of the the amounts of bidding credits and
business operation, regardless of how other procedures.
the business operation may be des- (2) Size of bidding credits. A winning
ignated by the parties involved. An bidder that qualifies as a small busi-
agreement to share profits/losses pro- ness or a consortium of small busi-
portionate to each party’s contribution nesses may use the following bidding
to the business operation is a signifi- credits corresponding to their respec-
cant factor in determining whether the tive average gross revenues for the pre-
business operation is a joint venture. ceding 3 years:
(B) The parties to a joint venture are (i) Businesses with average gross rev-
considered to be affiliated with each enues for the preceding years, 3 years
other. Nothing in this subsection shall not exceeding $3 million are eligible for
be construed to define a small business bidding credits of 35 percent;
consortium, for purposes of deter- (ii) Businesses with average gross
mining status as a designated entity, revenues for the preceding years, 3
as a joint venture under attribution years not exceeding $15 million are eli-
standards provided in this section. gible for bidding credits of 25 percent;
(xi) Exclusion from affiliation coverage. and
For purposes of this section, Indian (iii) Businesses with average gross
tribes or Alaska Regional or Village revenues for the preceding years, 3
Corporations organized pursuant to the years not exceeding $40 million are eli-
Alaska Native Claims Settlement Act gible for bidding credits of 15 percent.
(43 U.S.C. 1601 et seq.), or entities owned (3) Bidding credit for serving qualifying
and controlled by such tribes or cor- tribal land. A winning bidder for a mar-
porations, are not considered affiliates ket will be eligible to receive a bidding
of an applicant (or licensee) that is credit for serving a qualifying tribal
owned and controlled by such tribes, land within that market, provided that
corporations or entities, and that oth- it complies with § 1.2107(e). The fol-
erwise complies with the requirements lowing definition, terms, and condi-
of this section, except that gross reve- tions shall apply for the purposes of
nues derived from gaming activities this section and § 1.2107(e):
conducted by affiliate entities pursu- (i) Qualifying tribal land ‘‘means any
ant to the Indian Gaming Regulatory federally recognized Indian tribe’s res-
Act (25 U.S.C. 2701 et seq.) will be count- ervation, Pueblo, or Colony, including
ed in determining such applicant’s (or former reservations in Oklahoma, Alas-
licensee’s) compliance with the finan- ka Native regions established pursuant
cial requirements of this section, un- to the Alaska Native Claims Settle-
less such applicant establishes that it ment Act (85 Stat. 688), and Indian al-
will not receive a substantial unfair lotments,’’ (see 25 CFR 20.1(v)), that
competitive advantage because signifi- has a wireline telephone subscription
cant legal constraints restrict the ap- rate equal to or less than seventy (70)
plicant’s ability to access such gross percent based on the most recently
revenues. available U.S. Census Data.
(d) The Commission may set aside (ii)(A) Certification. Within ninety (90)
specific licenses for which only eligible days after the filing deadline for long-
355
§ 1.2110 47 CFR Ch. I (10–1–02 Edition)
form applications, the winning bidder mission, will be subtracted from the
must amend its long-form application final net bid amount. The bidding cred-
and attach a certification from the it will not affect calculation of the
tribal government stating the fol- down payment.
lowing: (vi) Post-construction certification.
(1) The tribal government authorizes Within fifteen (15) days of the third an-
the winning bidder to site facilities and niversary of the initial grant of its li-
provide service on its tribal land; cense, a recipient of a bidding credit
(2) The tribal area to be served by the under this section shall file a certifi-
winning bidder constitutes qualifying cation that the recipient has con-
tribal land; and structed and is operating a system ca-
(3) The tribal government has not pable of serving seventy-five (75) per-
and will not enter into an exclusive cent of the population of the qualifying
contract with the applicant precluding tribal land for which the credit was
entry by other carriers, and will not awarded.
unreasonably discriminate among (vii) Performance penalties. If a recipi-
wireless carriers seeking to provide ent of a bidding credit under this sec-
service on the qualifying tribal land. tion fails to provide the post-construc-
(B) In addition, within ninety (90) tion certification required by
days after the filing deadline for long- § 1.2110(f)(3)(vi), then it shall repay the
form applications, the winning bidder bidding credit amount in its entirety,
must amend its long-form application plus interest. The interest will be based
and file a certification that it will on the rate for ten-year U.S. Treasury
comply with the buildout requirements obligations applicable on the date the
set forth in § 1.2110(f)(vi) and consult license is granted. Such payment shall
with the tribal government regarding be made within thirty (30) days of the
the siting of facilities and deployment third anniversary of the initial grant of
of service on the tribal land. its license.
(iii) Bidding credit formula. Subject to (g) Installment payments. The Com-
the applicable bidding credit limit set mission may permit small businesses
forth in § 1.2110(f)(3)(iv), the bidding (including small businesses owned by
credit shall equal three hundred thou- women, minorities, or rural telephone
sand (300,000) dollars for the first two companies that qualify as small busi-
hundred (200) square miles (518 square nesses) and other entities determined
kilometers) of qualifying tribal land, to be eligible on a service-specific
and fifteen hundred (1500) dollars for basis, which are high bidders for li-
each additional square mile (2.590 censes specified by the Commission, to
square kilometers) of qualifying tribal pay the full amount of their high bids
land above two hundred (200) square in installments over the term of their
miles (518 square kilometers). licenses pursuant to the following:
(iv) Bidding credit limit. If the high bid (1) Unless otherwise specified by pub-
is equal to or less than one million lic notice, each eligible applicant pay-
(1,000,000) dollars, the maximum bid- ing for its license(s) on an installment
ding credit calculated pursuant to basis must deposit by wire transfer in
§ 1.2110(f)(3)(iii) shall not exceed fifty the manner specified in § 1.2107(b) suffi-
(50) percent of the high bid. If the high cient additional funds as are necessary
bid is greater than one million to bring its total deposits to ten (10)
(1,000,000) dollars, but equal to or less percent of its winning bid(s) within ten
than two million (2,000,000) dollars, the (10) days after the Commission has de-
maximum bidding credit calculated clared it the winning bidder and closed
pursuant to § 1.2110(f)(3)(iii) shall not the bidding. Failure to remit the re-
exceed five hundred thousand (500,000) quired payment will make the bidder
dollars. If the high bid is greater than liable to pay a default payment pursu-
two million (2,000,000) dollars, the max- ant to § 1.2104(g)(2).
imum bidding credit calculated pursu- (2) Within ten (10) days of the condi-
ant to § 1.2110(f)(3)(iii) shall not exceed tional grant of the license application
twenty-five (25) percent of the high bid. of a winning bidder eligible for install-
(v) Application of credit. The bidding ment payments, the licensee shall pay
credit amount, if approved by the Com- another ten (10) percent of the high bid,
356
thereby commencing the eligible li- five percent (5%) of the amount of the
censee’s installment payment plan. If a past due Required Installment Pay-
winning bidder eligible for installment ment. The late payment fee applies to
payments fails to submit this addi- the total Required Installment Pay-
tional ten (10) percent of its high bid by ment regardless of whether the licensee
the applicable deadline as specified by submitted a portion of its Required In-
the Commission, it will be allowed to stallment Payment in a timely man-
make payment within ten (10) business ner.
days after the payment deadline, pro- (ii) If any licensee fails to make the
vided that it also pays a late fee equal Required Installment Payment on or
to five percent of the amount due. before the last day of the first addi-
When a winning bidder eligible for in- tional quarter set forth in paragraph
stallment payments fails to submit (g)(4)(i) of this section, the licensee
this additional ten (10) percent of its may submit its Required Installment
winning bid, plus the late fee, by the Payment on or before the last day of
late payment deadline, it is considered the next quarter (the ‘‘second addi-
to be in default on its license(s) and tional quarter’’), except that no such
subject to the applicable default pay- additional time will be provided for the
ments. Licenses will be awarded upon July 31, 1998 suspension interest and in-
the full and timely payment of second stallment payments from C or F block
down payments and any applicable late licensees that are not made within 90
fees. days of the payment resumption date
(3) Upon grant of the license, the for those licensees, as explained in
Commission will notify each eligible li- Amendment of the Commission’s Rules
censee of the terms of its installment Regarding Installment Payment Fi-
payment plan and that it must execute nancing for Personal Communications
a promissory note and security agree- Services (PCS) Licensees, Order on Re-
ment as a condition of the installment consideration of the Second Report and
payment plan. Unless other terms are Order, WT Docket No. 97–82, 13 FCC Rcd
specified in the rules of particular serv- 8345 (1998). Any licensee making the
ices, such plans will: Required Installment Payment during
(i) Impose interest based on the rate the second additional quarter (the
of U.S. Treasury obligations (with ma- ‘‘second additional quarter grace pe-
turities closest to the duration of the riod’’) will be assessed a late payment
license term) at the time of licensing; fee equal to ten percent (10%) of the
(ii) Allow installment payments for amount of the past due Required In-
the full license term; stallment Payment. Licensees shall
(iii) Begin with interest-only pay- not be required to submit any form of
ments for the first two years; and request in order to take advantage of
(iv) Amortize principal and interest the first and second additional quarter
over the remaining term of the license. grace periods.
(4) A license granted to an eligible (iii) All licensees that avail them-
entity that elects installment pay- selves of these grace periods must pay
ments shall be conditioned upon the the associated late payment fee(s) and
full and timely performance of the li- the Required Installment Payment
censee’s payment obligations under the prior to the conclusion of the applica-
installment plan. ble additional quarter grace period(s).
(i) Any licensee that fails to submit Payments made at the close of any
its quarterly payment on an install- grace period(s) will first be applied to
ment payment obligation (the satisfy any lender advances as required
‘‘Required Installment Payment’’) may under each licensee’s ‘‘Note and Secu-
submit such payment on or before the rity Agreement,’’ with the remainder
last day of the next quarter (the ‘‘first of such payments applied in the fol-
additional quarter’’) without being lowing order: late payment fees, inter-
considered delinquent. Any licensee est charges, installment payments for
making its Required Installment Pay- the most back-due quarterly install-
ment during this period (the ‘‘first ad- ment payment.
ditional quarter grace period’’) will be (iv) If an eligible entity obligated to
assessed a late payment fee equal to make installment payments fails to
357
§ 1.2110 47 CFR Ch. I (10–1–02 Edition)
pay the total Required Installment tion for audit may be random, on infor-
Payment, interest and any late pay- mation, or on the basis of other fac-
ment fees associated with the Required tors.
Installment Payment within two quar- (2) Consent to such audits is part of
ters (6 months) of the Required Install- the certification included in the short-
ment Payment due date, it shall be in form application (FCC Form 175). Such
default, its license shall automatically consent shall include consent to the
cancel, and it will be subject to debt audit of the applicant’s or licensee’s
collection procedures. A licensee in the books, documents and other material
PCS C or F blocks shall be in default, (including accounting procedures and
its license shall automatically cancel, practices) regardless of form or type,
and it will be subject to debt collection sufficient to confirm that such appli-
procedures, if the payment due on the cant’s or licensee’s representations are,
payment resumption date, referenced and remain, accurate. Such consent
in paragraph (g)(4)(ii) of this section, is shall include inspection at all reason-
more than ninety (90) days delinquent. able times of the facilities, or parts
(h) The Commission may establish thereof, engaged in providing and
different upfront payment require- transacting business, or keeping
ments for categories of designated en- records regarding FCC-licensed service
tities in competitive bidding rules of and shall also include consent to the
particular auctionable services. interview of principals, employees, cus-
(i) The Commission may offer des- tomers and suppliers of the applicant
ignated entities a combination of the or licensee.
available preferences or additional (n) Gross revenues. Gross revenues
preferences. shall mean all income received by an
(j) Designated entities must describe entity, whether earned or passive, be-
on their long-form applications how fore any deductions are made for costs
they satisfy the requirements for eligi- of doing business (e.g., cost of goods
bility for designated entity status, and sold), as evidenced by audited financial
must list and summarize on their long- statements for the relevant number of
form applications all agreements that most recently completed calendar
affect designated entity status such as years or, if audited financial state-
partnership agreements, shareholder ments were not prepared on a calendar-
agreements, management agreements year basis, for the most recently com-
and other agreements, including oral pleted fiscal years preceding the filing
agreements, establishing, as applica- of the applicant’s short-form (FCC
ble, de facto or de jure control of the en- Form 175). If an entity was not in exist-
tity. Such information must be main- ence for all or part of the relevant pe-
tained at the licensees’ facilities or by riod, gross revenues shall be evidenced
their designated agents for the term of by the audited financial statements of
the license in order to enable the Com- the entity’s predecessor-in-interest or,
mission to audit designated entity eli- if there is no identifiable predecessor-
gibility on an ongoing basis. in-interest, unaudited financial state-
(k) The Commission may, on a serv- ments certified by the applicant as ac-
ice-specific basis, permit consortia, curate. When an applicant does not
each member of which individually otherwise use audited financial state-
meets the eligibility requirements, to ments, its gross revenues may be cer-
qualify for any designated entity provi- tified by its chief financial officer or
sions. its equivalent and must be prepared in
(l) The Commission may, on a serv- accordance with Generally Accepted
ice-specific basis, permit publicly-trad- Accounting Principles.
ed companies that are owned by mem- (o) Total assets. Total assets shall
bers of minority groups or women to mean the book value (except where
qualify for any designated entity provi- generally accepted accounting prin-
sions. ciples (GAAP) require market valu-
(m) Audits. (1) Applicants and licens- ation) of all property owned by an enti-
ees claiming eligibility shall be subject ty, whether real or personal, tangible
to audits by the Commission, using in- or intangible, as evidenced by the most
house and contract resources. Selec- recently audited financial statements
358
or certified by the applicant’s chief fi- mated value of the set-aside benefit,
nancial offer or its equivalent if the ap- which will be calculated as the dif-
plicant does not otherwise use audited ference between the amount paid by
financial statements. the designated entity for the license
[63 FR 2343, Jan. 15, 1998; 63 FR 12659, Mar. 16,
and the value of comparable non-set-
1998, as amended at 63 FR 17122, Apr. 8, 1998; aside license in the free market at the
65 FR 47355, Aug. 2, 2000; 65 FR 52345, Aug. 29, time of the auction. The Commission
2000; 65 FR 68924, Nov. 15, 2000; 67 FR 16650, will establish the amount of the Pay-
Apr. 8, 2002; 67 FR 45365, July 9, 2002] ment and the burden will be on the ap-
plicants to disprove this amount. No
§ 1.2111 Assignment or transfer of con- payment will be required if:
trol: unjust enrichment.
(1) The license is transferred or as-
(a) Reporting requirement. An appli- signed more than five years after its
cant seeking approval for a transfer of initial issuance, unless otherwise speci-
control or assignment (otherwise per- fied; or
mitted under the Commission’s Rules) (2) The proposed transferee or as-
of a license within three years of re- signee is an eligible designated entity
ceiving a new license through a com- under § 1.2110(c) or the service-specific
petitive bidding procedure must, to- competitive bidding rules of the par-
gether with its application for transfer ticular service, and so certifies.
of control or assignment, file with the
(c) Unjust enrichment payment: install-
Commission’s statement indicating
ment financing. (1) If a licensee that uti-
that its license was obtained through
lizes installment financing under this
competitive bidding. Such applicant
section seeks to assign or transfer con-
must also file with the Commission the
trol of its license to an entity not
associated contracts for sale, option
meeting the eligibility standards for
agreements, management agreements,
installment payments, the licensee
or other documents disclosing the local
must make full payment of the remain-
consideration that the applicant would
ing unpaid principal and any unpaid in-
receive in return for the transfer or as-
terest accrued through the date of as-
signment of its license (see § 1.948 of
this chapter). This information should signment or transfer as a condition of
include not only a monetary purchase approval.
price, but also any future, contingent, (2) If a licensee that utilizes install-
in-kind, or other consideration (e.g., ment financing under this section
management or consulting contracts seeks to make any change in ownership
either with or without an option to structure that would result in the li-
purchase; below market financing). censee losing eligibility for installment
(b) Unjust enrichment payment: set- payments, the licensee shall first seek
aside. As specified in this paragraph an Commission approval and must make
applicant seeking approval for a trans- full payment of the remaining unpaid
fer of control or assignment (otherwise principal and any unpaid interest ac-
permitted under the Commission’s crued through the date of such change
Rules) of a license acquired by the as a condition of approval. A licensee’s
transferor or assignor pursuant to a (or other attributable entity’s) in-
set-aside for eligible designated enti- creased gross revenues or increased
ties under § 1.2110(c), or who proposes to total assets due to nonattributable eq-
take any other action relating to own- uity investments, debt financing, rev-
ership or control that will result in enue from operations or other invest-
loss of status as an eligible designated ments, business development or ex-
entity, must seek Commission approval panded service shall not be considered
and may be required to make an unjust to result in the licensee losing eligi-
enrichment payment (Payment) to the bility for installment payments.
Commission by cashier’s check or wire (3) If a licensee seeks to make any
transfer before consent will be granted. change in ownership that would result
The Payment will be based upon a in the licensee qualifying for a less fa-
schedule that will take account of the vorable installment plan under this
term of the license, any applicable con- section, the licensee shall seek Com-
struction benchmarks, and the esti- mission approval and must adjust its
359
§ 1.2111 47 CFR Ch. I (10–1–02 Edition)
payment plan to reflect its new eligi- ference between the bidding credit re-
bility status. A licensee may not ceived by the former and the bidding
switch its payment plan to a more fa- credit for which the latter is eligible);
vorable plan. (B) A transfer in year 3 of the license
(d) Unjust enrichment payment: bidding term will result in a forfeiture of 75
credits. (1) A licensee that utilizes a percent of the value of the bidding
bidding credit, and that during the ini- credit;
tial term seeks to assign or transfer (C) A transfer in year 4 of the license
control of a license to an entity that term will result in a forfeiture of 50
does not meet the eligibility criteria
percent of the value of the bidding
for a bidding credit, will be required to
credit;
reimburse the U.S. Government for the
amount of the bidding credit, plus in- (D) A transfer in year 5 of the license
terest based on the rate for ten year term will result in a forfeiture of 25
U.S. Treasury obligations applicable on percent of the value of the bidding
the date the license was granted, as a credit; and
condition of Commission approval of (E) for a transfer in year 6 or there-
the assignment or transfer. If, within after, there will be no payment.
the initial term of the license, a li- (ii) These payments will have to be
censee that utilizes a bidding credit paid to the United States Treasury as a
seeks to assign or transfer control of a condition of approval of the assign-
license to an entity that is eligible for ment, transfer, or ownership change.
a lower bidding credit, the difference (e) Unjust enrichment: partitioning and
between the bidding credit obtained by disaggregation—(1) Installment payments.
the assigning party and the bidding Licensees making installment pay-
credit for which the acquiring party ments, that partition their licenses or
would qualify, plus interest based on disaggregate their spectrum to entities
the rate for ten year U.S. treasury obli- not meeting the eligibility standards
gations applicable on the date the li-
for installment payments, will be sub-
cense is granted, must be paid to the
ject to the provisions concerning un-
U.S. Government as a condition of
Commission approval of the assign- just enrichment as set forth in this sec-
ment or transfer. If, within the initial tion.
term of the license, a licensee that uti- (2) Bidding credits. Licensees that re-
lizes a bidding credit seeks to make ceived a bidding credit that partition
any ownership change that would re- their licenses or disaggregate their
sult in the licensee losing eligibility spectrum to entities not meeting the
for a bidding credit (or qualifying for a eligibility standards for such a bidding
lower bidding credit), the amount of credit, will be subject to the provisions
the bidding credit (or the difference be- concerning unjust enrichment as set
tween the bidding credit originally ob- forth in this section.
tained and the bidding credit for which (3) Apportioning unjust enrichment
the restructured licensee would qual- payments. Unjust enrichment payments
ify), plus interest based on the rate for for partitioned license areas shall be
ten year U.S. treasury obligations ap- calculated based upon the ratio of the
plicable on the date the license is population of the partitioned license
granted, must be paid to the U.S. Gov- area to the overall population of the li-
ernment as a condition of Commission cense area and by utilizing the most re-
approval of the assignment or transfer. cent census data. Unjust enrichment
(2) Payment schedule. (i) The amount payments for disaggregated spectrum
of payments made pursuant to para-
shall be calculated based upon the
graph (d)(1) of this section will be re-
ratio of the amount of spectrum
duced over time as follows:
(A) A transfer in the first two years disaggregated to the amount of spec-
of the license term will result in a for- trum held by the licensee.
feiture of 100 percent of the value of [59 FR 44293, Aug. 26, 1994, as amended at 63
the bidding credit (or in the case of FR 2346, Jan. 15, 1998; 63 FR 68942, Dec. 14,
very small businesses transferring to 1998]
small businesses, 100 percent of the dif-
360
§ 1.2112 Ownership disclosure require- on Company B’s application, where C is

ments for short- and long-form ap- an FCC licensee and/or license appli-
plications. cant);
(a) Each application to participate in (b) Designated Entity Status: In addi-
competitive bidding (i.e., short-form tion to the information required under
application (see 47 CFR 1.2105)), or for a paragraph (a) of this section, each ap-
license, authorization, assignment, or plicant claiming eligibility for small
transfer of control shall disclose fully business provisions shall disclose the
the real party or parties in interest and following:
must list the following information: (1) On its application to participate
(1) The name, address, and citizen- in competitive bidding (i.e., short-form
ship of any party holding 10 percent or application (see 47 CFR 1.2105)),
more of stock in the applicant, whether
(i) List the names, addresses, and
voting or nonvoting, common or pre-
citizenship of all officers, directors,
ferred, including the specific amount of
and other controlling interests of the
the interest or percentage held.
(2) In the case of a limited partner- applicant, as described in § 1.2110;
ship, the name, address and citizenship (ii) List any FCC-licensed entity or
of each limited partner whose interest applicant for an FCC license, in which
in the applicant is 10 percent or greater any controlling interest of the appli-
(as calculated according to the per- cant owns a 10 percent or greater inter-
centage of equity paid in or the per- est or a total of 10 percent or more of
centage of distribution of profits and any class of stock, warrants, options or
losses); debt securities. This list must include
(3) In the case of a general partner- a description of each such entity’s
ship, the name, address and citizenship principal business and a description of
of each partner, and the share or inter- each such entity’s relationship to the
est participation in the partnership; applicant;
(4) In the case of a limited liability (iii) List separately and in the aggre-
company, the name, address and citi- gate the gross revenues, computed in
zenship of each of its members whose accordance with § 1.2110, for each of the
interest in the applicant is 10 percent following: the applicant, its affiliates,
or greater. its controlling interests, and affiliates
(5) All parties holding indirect owner- of its controlling interests; and if a
ship interests in the applicant as deter- consortium of small businesses, the
mined by successive multiplication of members comprising the consortium;
the ownership percentages for each (2) As an exhibit to its long-form ap-
link in the vertical ownership chain, plication (i.e., see 47 CFR 1.2107):
that equals 10 percent or more of the
(i) List and summarize all agree-
applicant, except that if the ownership
ments or instruments (with appro-
percentage for an interest in any link
priate references to specific provisions
in the chain exceeds 50 percent or rep-
in the text of such agreements and in-
resents actual control, it shall be
treated and reported as if it were a 100 struments) that support the applicant’s
percent interest. eligibility as a small business under
(6) Any FCC-regulated entity or ap- the applicable designated entity provi-
plicant for an FCC license, in which the sions, including the establishment of de
applicant or any of the parties identi- facto or de jure control; such agree-
fied in paragraphs (a)(1) through (5) of ments and instruments include articles
this section, owns 10 percent or more of of incorporation and bylaws, share-
stock, whether voting or nonvoting, holder agreements, voting or other
common or preferred. This list must in- trust agreements, franchise agree-
clude a description of each such enti- ments, and any other relevant agree-
ty’s principal business and a descrip- ments (including letters of intent), oral
tion of each such entity’s relationship or written; and
to the applicant (e.g., Company A owns (ii) List and summarize any investor
10 percent of Company B (the appli- protection agreements, including
cant) and 10 percent of Company C, rights of first refusal, supermajority
then Companies A and C must be listed clauses, options, veto rights, and rights
361
§ 1.2113 47 CFR Ch. I (10–1–02 Edition)
to hire and fire employees and to ap- (d) Conditions. Except as indicated,
point members to boards of directors or all pre-grant construction is subject to
management committees. the following conditions:
(iii) List separately and in the aggre- (1) The application does not include a
gate the gross revenues, computed in request for a waiver of one or more
accordance with § 1.2110, for each of the FCC rules;
following: the applicant, its affiliates, (2) For any construction or alter-
its controlling interests, and affiliates ation that would exceed the require-
of its controlling interests; and if a ments of § 17.7 of this chapter, the li-
consortium of small businesses, the censee has notified the appropriate Re-
members comprising the consortium. gional Office of the Federal Aviation
Administration (FAA Form 7460–1),
FR 70807, Nov. 28, 2000] filed a request for antenna height
clearance and obstruction marking and
§ 1.2113 Construction prior to grant of lighting specifications (FCC Form 854)
application. with the FCC, PRB, Support Services
Branch, Gettysburg, PA 17325;
Subject to the provisions of this sec-
tion, applicants for licenses awarded by (3) The applicant has indicated in the
competitive bidding may construct fa- application that the proposed facility
cilities to provide service prior to would not have a significant environ-
grant of their applications, but must mental effect, in accordance with
not operate such facilities until the §§ 1.1301 through 1.1319;
FCC grants an authorization. If the (4) Under applicable international
conditions stated in this section are agreements and rules in this part, indi-
not met, applicants must not begin to vidual coordination of the proposed
construct facilities for licenses subject channel assignment(s) with a foreign
to competitive bidding. administration is not required; and
(a) When applicants may begin con- (5) Any service-specific restrictions
struction. An applicant may begin con- not listed herein.
struction of a facility upon release of [63 FR 2348, Jan. 15, 1998]
the Public Notice listing the post-auc-
tion long-form application for that fa- Subpart R—Implementation of
cility as acceptable for filing.
Section 4(g)(3) of the Com-
(b) Notification to stop. If the FCC for
any reason determines that construc-
munications Act: Procedures
tion should not be started or should be Governing Acceptance of
stopped while an application is pend- Unconditional Gifts, Donations
ing, and so notifies the applicant, oral- and Bequests
ly (followed by written confirmation)
or in writing, the applicant must not SOURCE: 59 FR 38128, July 27, 1994, unless
begin construction or, if construction otherwise noted.
has begun, must stop construction im-
mediately. § 1.3000 Purpose and scope.
(c) Assumption of risk. Applicants that The purpose of this subpart is to im-
begin construction pursuant to this plement the Telecommunications Au-
section before receiving an authoriza- thorization Act of 1992 which amended
tion do so at their own risk and have the Communications Act by creating
no recourse against the United States section 4(g)(3), 47 U.S.C. 154(g)(3). The
for any losses resulting from: provisions of this subpart shall apply
(1) Applications that are not granted; to gifts, donations and bequests made
(2) Errors or delays in issuing public to the Commission itself. Travel reim-
notices; bursement for attendance at, or par-
(3) Having to alter, relocate or dis- ticipation in, government-sponsored
mantle the facility; or meetings or events required to carry
(4) Incurring whatever costs may be out the Commission’s statutory or reg-
necessary to bring the facility into ulatory functions may also be accepted
compliance with applicable laws, or under this subpart. The acceptance of
FCC rules and orders. gifts by Commission employees, most
362
notably gifts of food, drink and enter- would create a conflict of interest or
tainment, is governed by the govern- the appearance of a conflict of interest.
ment-wide standards of employee con- Agency ethics officials may also advise
duct established at 5 CFR part 2635. potential donors and their representa-
Travel, subsistence and related ex- tives of the types of equipment, prop-
penses for non-government-sponsored erty or services that may be of use to
meetings or events will continue to be the Commission and the procedures for
accepted pursuant to the Government effectuating gifts set forth in this sub-
Employees Training Act, 41 U.S.C. 4111 part. The Commission may, in its dis-
or 31 U.S.C. 1353, and its General Serv- cretion, afford public notice before ac-
ices Administration’s implementing cepting any gift under authority of this
regulations, 41 CFR 304–1.8, as applica- subpart.
ble.
§ 1.3003 Mandatory factors for evalu-
§ 1.3001 Definitions. ating conflicts of interest.
For purposes of this subpart: No gift shall be accepted under this
(a) The term agency means the Fed- subpart unless a determination is made
eral Communications Commission. that its acceptance would not create a
(b) The term gift means any uncondi- conflict of interest or the appearance
tional gift, donation or bequest of real, of a conflict of interest. In making con-
personal and other property (including flict of interest determinations, des-
voluntary and uncompensated services ignated agency ethics officials shall
as authorized under 5 U.S.C. 3109). consider the following factors:
(c) The terms agency ethics official, (a) Whether the benefits of the in-
designated agency ethics official, em- tended gift will accrue to an individual
ployee, market value, person, and employee and, if so—
prohibited source, have the same mean- (1) Whether the employee is respon-
ing as found in 5 CFR 2635.102, 2635.203. sible for matters affecting the poten-
tial donor that are currently before the
§ 1.3002 Structural rules and prohibi- agency; and
tions.
(2) The significance of the employee’s
(a) General prohibitions. An employee role in any such matters;
shall not: (b) The nature and sensitivity of any
(1) Directly or indirectly, solicit or matters pending at the Commission af-
coerce the offering of a gift, donation fecting the intended donor;
or bequest to the Commission from a
(c) The timing of the intended gift;
regulated entity or other prohibited
(d) The market value of the intended
source; or
gift;
(2) Accept gifts of cash pursuant to
this subpart. (e) The frequency of other gifts made
(b) Referral of offers to designated by the same donor; and
agency ethics official. Any person who (f) The reason underlying the in-
seeks to offer any gift to the Commis- tended gift given in a written state-
sion under the provisions of this sub- ment from the proposed donor.
part shall make such offer to the Com-
§ 1.3004 Public disclosure and report-
mission’s designated agency ethics offi- ing requirements.
cial. In addition, any Commission em-
ployee who is contacted by a potential (a) Public disclosure of gifts accepted
donor or the representative thereof for from prohibited sources. The Commis-
the purpose of discussing the possi- sion’s Security Operations Office, Of-
bility of making a gift, donation or be- fice of the Managing Director, shall
quest to the Commission shall imme- maintain a written record of gifts ac-
diately refer such person or persons to cepted from prohibited sources by the
the Commission’s designated agency Commission pursuant to section 4(g)(3)
ethics official. The designated agency authority, which will include:
ethics official shall, in consultation (1) The identity of the prohibited
with other agency ethics officials, source;
make a determination concerning (2) A description of the gift;
whether acceptance of such offers (3) The market value of the gift;
363
§ 1.4000 47 CFR Ch. I (10–1–02 Edition)
(4) Documentation concerning the (A) Used to receive video program-

prohibited source’s reason for the gift ming services via multipoint distribu-
as required in § 1.3003(f); tion services, including multichannel
(5) A signed statement of verification multipoint distribution services, in-
from the prohibited source that the structional television fixed services,
gift is unconditional and is not contin- and local multipoint distribution serv-
gent on any promise or expectation ices, or to receive or transmit fixed
that the Commission’s receipt of the wireless signals other than via sat-
gift will benefit the proposed donor in ellite, and
any regulatory matter; and (B) That is one meter or less in di-
(6) The date the gift is accepted by ameter or diagonal measurement;
the Commission. (iii) An antenna that is used to re-
(b) Reporting Requirements for all gifts. ceive television broadcast signals; or
The Commission shall file a semi-an- (iv) A mast supporting an antenna
nual report to Congress listing the gift, described in paragraphs (a)(1)(i),
donor and value of all gifts accepted (a)(1)(ii), or (a)(1)(iii) of this section; is
from any donor under this subpart. prohibited to the extent it so impairs,
subject to paragraph (b) of this section.
(2) For purposes of this section,
Subpart S—Preemption of Restric- ‘‘fixed wireless signals’’ means any
tions That ‘‘Impair’’ the Ability commercial non-broadcast communica-
to Receive Television Broad- tions signals transmitted via wireless
cast Signals, Direct Broadcast technology to and/or from a fixed cus-
Satellite Services, or Multi- tomer location. Fixed wireless signals
channel Multipoint Distribution do not include, among other things,
Services or the Ability To Re- AM radio, FM radio, amateur (‘‘HAM’’)
radio, Citizen’s Band (CB) radio, and
ceive or Transmit Fixed Wire- Digital Audio Radio Service (DARS)
less Communications Signals signals.
(3) For purposes of this section, a
SOURCE: 66 FR 2333, Jan. 11, 2001, unless law, regulation, or restriction impairs
otherwise noted. installation, maintenance, or use of an
antenna if it:
§ 1.4000 Restrictions impairing recep- (i) Unreasonably delays or prevents
tion of television broadcast signals,
direct broadcast satellite services installation, maintenance, or use;
or multichannel multipoint dis- (ii) Unreasonably increases the cost
tribution services. of installation, maintenance, or use; or
(iii) Precludes reception or trans-
(a)(1) Any restriction, including but mission of an acceptable quality sig-
not limited to any state or local law or nal.
regulation, including zoning, land-use, (4) Any fee or cost imposed on a user
or building regulations, or any private by a rule, law, regulation or restriction
covenant, contract provision, lease pro- must be reasonable in light of the cost
vision, homeowners’ association rule or of the equipment or services and the
similar restriction, on property within rule, law, regulation or restriction’s
the exclusive use or control of the an- treatment of comparable devices. No
tenna user where the user has a direct civil, criminal, administrative, or
or indirect ownership or leasehold in- other legal action of any kind shall be
terest in the property that impairs the taken to enforce any restriction or reg-
installation, maintenance, or use of: ulation prohibited by this section ex-
(i) An antenna that is: cept pursuant to paragraph (d) or (e) of
(A) Used to receive direct broadcast this section. In addition, except with
satellite service, including direct-to- respect to restrictions pertaining to
home satellite service, or to receive or safety and historic preservation as de-
transmit fixed wireless signals via sat- scribed in paragraph (b) of this section,
ellite, and if a proceeding is initiated pursuant to
(B) One meter or less in diameter or paragraph (d) or (e) of this section, the
is located in Alaska; entity seeking to enforce the antenna
(ii) An antenna that is: restrictions in question must suspend
364
all enforcement efforts pending com- apply only if a label is affixed to the
pletion of review. No attorney’s fees antenna that:
shall be collected or assessed and no (1) Provides adequate notice regard-
fine or other penalties shall accrue ing potential radiofrequency safety
against an antenna user while a pro- hazards, e.g., information regarding
ceeding is pending to determine the va- the safe minimum separation distance
lidity of any restriction. If a ruling is required between users and transceiver
issued adverse to a user, the user shall antennas; and
be granted at least a 21-day grace pe- (2) References the applicable FCC-
riod in which to comply with the ad- adopted limits for radiofrequency expo-
verse ruling; and neither a fine nor a sure specified in § 1.1310 of this chapter.
penalty may be collected from the user (d) Local governments or associa-
if the user complies with the adverse tions may apply to the Commission for
ruling during this grace period, unless a waiver of this section under § 1.3 of
the proponent of the restriction dem- this chapter. Waiver requests must
onstrates, in the same proceeding comply with the procedures in para-
which resulted in the adverse ruling, graphs (f) and (h) of this section and
that the user’s claim in the proceeding will be put on public notice. The Com-
was frivolous. mission may grant a waiver upon a
(b) Any restriction otherwise prohib- showing by the applicant of local con-
ited by paragraph (a) of this section is cerns of a highly specialized or unusual
permitted if: nature. No petition for waiver shall be
(1) It is necessary to accomplish a considered unless it specifies the re-
clearly defined, legitimate safety ob- striction at issue. Waivers granted in
jective that is either stated in the text, accordance with this section shall not
preamble, or legislative history of the apply to restrictions amended or en-
restriction or described as applying to acted after the waiver is granted. Any
that restriction in a document that is responsive pleadings must be served on
readily available to antenna users, and all parties and filed within 30 days
would be applied to the extent prac- after release of a public notice that
ticable in a non-discriminatory manner such petition has been filed. Any re-
to other appurtenances, devices, or fix- plies must be filed within 15 days
tures that are comparable in size and thereafter.
weight and pose a similar or greater (e) Parties may petition the Commis-
safety risk as these antennas and to sion for a declaratory ruling under § 1.2
which local regulation would normally of this chapter, or a court of competent
apply; or jurisdiction, to determine whether a
(2) It is necessary to preserve a pre- particular restriction is permissible or
historic or historic district, site, build- prohibited under this section. Petitions
ing, structure or object included in, or to the Commission must comply with
eligible for inclusion on, the National the procedures in paragraphs (f) and (h)
Register of Historic Places, as set forth of this section and will be put on public
in the National Historic Preservation notice. Any responsive pleadings in a
Act of 1966, as amended, 16 U.S.C. 470, Commission proceeding must be served
and imposes no greater restrictions on on all parties and filed within 30 days
antennas covered by this rule than are after release of a public notice that
imposed on the installation, mainte- such petition has been filed. Any re-
nance, or use of other modern appur- plies in a Commission proceeding must
tenances, devices, or fixtures that are be served on all parties and filed within
comparable in size, weight, and appear- 15 days thereafter.
ance to these antennas; and (f) Copies of petitions for declaratory
(3) It is no more burdensome to af- rulings and waivers must be served on
fected antenna users than is necessary interested parties, including parties
to achieve the objectives described in against whom the petitioner seeks to
paragraphs (b)(1) or (b)(2) of this sec- enforce the restriction or parties whose
tion. restrictions the petitioner seeks to pro-
(c) In the case of an antenna that is hibit. A certificate of service stating
used to transmit fixed wireless signals, on whom the petition was served must
the provisions of this section shall be filed with the petition. In addition,
365
§ 1.5000 47 CFR Ch. I (10–1–02 Edition)
in a Commission proceeding brought by Subpart T—Exempt

an association or a local government, Telecommunications Companies
constructive notice of the proceeding
must be given to members of the asso- § 1.5000 Purpose.
ciation or to the citizens under the The purpose of part 1, subpart S, is to
local government’s jurisdiction. In a implement Section 34(a) of the Public
court proceeding brought by an asso- Utility Holding Company Act of 1935, 15
ciation, an association must give con- U.S.C. § 79 et seq., as added by Section
structive notice of the proceeding to 103 of the Telecommunications Act of
its members. Where constructive no- 1996, Public Law No. 104–104, 110 Stat.
tice is required, the petitioner or plain- 56 (1996).
tiff must file with the Commission or
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6,
the court overseeing the proceeding a 1996]
copy of the constructive notice with a
statement explaining where the notice § 1.5001 Definitions.
was placed and why such placement
(a) For the purpose of this part, the
was reasonable. terms telecommunications services and
(g) In any proceeding regarding the information services shall have the same
scope or interpretation of any provi- meanings as provided in the Commu-
sion of this section, the burden of dem- nications Act of 1934, as amended;
onstrating that a particular govern- (b) Commission shall be defined as
mental or nongovernmental restriction the Federal Communications Commis-
complies with this section and does not sion; and
impair the installation, maintenance, (c) ETC shall be defined as an exempt
or use of devices used for over-the-air telecommunications company.
reception of video programming serv-
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6,
ices or devices used to receive or trans- 1996]
mit fixed wireless signals shall be on
the party that seeks to impose or § 1.5002 Contents of application and
maintain the restriction. procedure for filing.
(h) All allegations of fact contained (a) A person seeking status as an ex-
in petitions and related pleadings be- empt telecommunications company
fore the Commission must be supported (applicant) must file with the Commis-
by affidavit of a person or persons with sion with respect to the company or
actual knowledge thereof. An original companies which are eligible compa-
and two copies of all petitions and nies owned or operated by the appli-
pleadings should be addressed to the cant, and serve on the Securities and
Secretary, Federal Communications Exchange Commission and any affected
Commission, 445 12th Street, SW, State commission, the following:
Washington, DC 20554. Copies of the pe- (1) A brief description of the planned
titions and related pleadings will be activities of the company or companies
available for public inspection in the which are or will be eligible companies
Reference Information Center, Con- owned and/or operated by the appli-
sumer and Governmental Affairs Bu- cant;
reau, Federal Communications Com- (2) A sworn statement, by a rep-
mission, 445 12th Street, SW, Wash- resentative legally authorized to bind
ington, DC 20554. Copies will be avail- the applicant, attesting to any facts or
able for purchase from the Commis- representations presented to dem-
sion’s contract copy center, and the onstrate eligibility for ETC status, in-
cluding a representation that the appli-
Commission decisions will be available
cant is engaged directly, or indirectly,
on the Internet.
wherever located, through one or more
[66 FR 2333, Jan. 11, 2001, as amended at 67 affiliates (as defined in Section
FR 13224, Mar. 21, 2002] 2(a)(11)(B) of the Public Utility Holding
366
Company Act of 1935), and exclusively § 1.5006 Procedure for notifying Com-
in the business of providing: mission of material change in facts.
(i) Telecommunications services; If there is any material change in
(ii) Information services; facts that may affect an ETC’s eligi-
(iii) Other services or products sub- bility for ETC status under Section
ject to the jurisdiction of the Commis- 34(a)(1) of the Public Utility Holding
sion; or Company Act of 1935, the ETC must,
(iv) Products or services that are re- within 30 days of the change in fact, ei-
lated or incidental to the provision of a ther:
product or service described in para- (a) Apply to the Commission for a
graph (a)(1)(i), (a)(1)(ii), or (a)(1)(iii); new determination of ETC status;
and (b) File a written explanation with
(3) A sworn statement, by a rep- the Commission of why the material
resentative legally authorized to bind change in facts does not affect the
the applicant, certifying that the appli- ETC’s status; or
cant satisfies part 1, subpart P, of the (c) Notify the Commission that it no
Commission’s regulations, 47 CFR longer seeks to maintain ETC status.
1.2001 through 1.2003, regarding imple-
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6,
mentation of the Anti-Drug Abuse Act
1996]
of 1988, 21 U.S.C. 862.
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, § 1.5007 Comments.
1996] (a) Any person wishing to be heard
concerning an application for ETC sta-
§ 1.5003 Effect of filing.
tus may file comments with the Com-
A person applying in good faith for a mission within fifteen (15) days from
Commission determination of exempt the release date of a public notice re-
telecommunications company status garding the application, or such other
will be deemed to be an exempt tele- period of time set by the Commission.
communications company from the Any comments must be limited to the
date of receipt of the application until adequacy or accuracy of the applica-
the date of Commission action pursu- tion.
ant to § 1.5004. (b) Any person who files comments
with the Commission must also serve
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6,
1996] copies of all comments on the appli-
cant.
§ 1.5004 Commission action. (c) An applicant has seven (7) days to
reply to any comments filed regarding
If the Commission has not issued an
the adequacy and accuracy of its appli-
order granting or denying an applica-
cation, or such other period of time as
tion within 60 days of receipt of the ap-
set by the Commission. Such reply
plication, the application will be shall be served on the commenters.
deemed to have been granted as a mat-
ter of law. [61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6,
1996]
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6,
1996]
Subpart U—Implementation of
§ 1.5005 Notification of Commission ac- Section 325(e) of the Commu-
tion to the Securities and Exchange nications Act: Procedures
Commission. Governing Complaints Filed
The Secretary of the Commission by Television Broadcast Sta-
will notify the Securities and Exchange tions Against Satellite Carriers
Commission whenever a person is de- for Retransmission Without
termined to be an exempt tele- Consent
communications company.
[61 FR 52899, Oct. 9, 1996; 61 FR 57335, Nov. 6, SOURCE: 65 FR 10720, Feb. 29, 2000, unless
1996] otherwise noted.
367
§ 1.6000 47 CFR Ch. I (10–1–02 Edition)
§ 1.6000 Purpose. (b) A complaint lacking any of the

foregoing information shall be dis-
The purpose of part 1, Subpart U, is
missed by the FCC without prejudice to
to implement Section 325(e) of the
the complaining station.
Communications Act of 1934, as amend- (c) Additional information may be
ed, 47 U.S.C. 325(e), et seq., as added by provided, and, where applicable, should
section 1009 of the Satellite Home conform to the requirements set forth
Viewer Improvement Act of 1999, Pub- in §§ 1.48 through 1.52 of the Commis-
lic Law 106–113, section 1000(9), 113 Stat. sion’s rules.
1501, Appendix I (1999). The procedures
set forth in this subpart supersede 47 § 1.6003 Service requirements.
U.S.C. 312. (a) General. Pursuant to 47 U.S.C.
325(e), for purposes of any proceeding
§ 1.6001 Retransmission consent com-
plaint procedures. under this subsection, any satellite
carrier that retransmits the signal of
By whom. If a television broadcast any broadcast station shall be deemed
station believes that a satellite carrier to designate the Secretary of the Com-
has retransmitted its broadcast sta- mission as its agent for service of proc-
tion’s signal to any person in the local ess.
market of such station in violation of (b) Specific. (1) A television broadcast
47 U.S.C. 325 (b)(1), the station may file station shall serve a satellite carrier
a complaint with the Commission with a complaint concerning an alleged
under this section. violation of 47 U.S.C. 325(b)(1) by filing
the original and two copies of the com-
§ 1.6002 Form and content. plaint on the Secretary of the Commis-
(a) The following format shall be sion and serving a copy of the com-
used for complaints of this type: plaint by means of two commonly used
overnight delivery services, each ad-
Before the Federal Communications dressed to the chief executive officer of
Commission the satellite carrier at its principal
place of business and each marked
Washington, D.C. 20554 ‘‘URGENT LITIGATION MATTER’’ on
In the Matter of Complainant, the outer packaging. Service shall be
v. deemed complete one business day
Defendant after a copy of the complaint is pro-
File No. (to be inserted by the staff) vided to the delivery services for over-
night delivery. On receipt of a com-
Complaint plaint filed by a television broadcast
To: The Commission. station under this subsection, the Sec-
The complainant (here insert the name, ad- retary of the Commission shall send
dress, and call letters of the complaining tel- the original complaint by United
evision broadcast station) avers that: On States mail, postage prepaid, receipt
(here insert the dates upon which the alleged requested, addressed to the chief execu-
transmission occurred), retransmission of tive officer of the satellite carrier at
the broadcast television station’s signal was
its principal place of business.
made by (insert here name and address of the
satellite carrier) to (here insert the street (2) Satellite carriers shall provide the
address of at least one person in the local name, address, and telephone number
market of the station to whom the alleged (including area code) of their chief ex-
retransmission was made). The complainant ecutive officers to the Secretary of the
avers that (here insert a statement that the Commission, no later than April 15,
retransmission was not expressly authorized 2000. Satellite carriers shall update this
by the television broadcast station), and re- information, as necessary, in the event
quests that the appropriate relief be granted
that the identity or the address of
by the Commission, as provided by the perti-
nent provisions of the Communications Act their respective chief executive officers
of 1934, as amended, and the Commission’s changes. These updates shall be made
Rules. by United States mail within seven (7)
Date: days of such changes. Complaints sent
(here insert the name and address of counsel to the last known address shall be
for the complaining station). deemed served if the satellite carrier
368
fails to notify the Secretary of the § 1.6006 Counting of violations.

Commission in accordance with this
Each day of retransmission without
provision.
consent of a particular television
§ 1.6004 Answers. broadcast station to one or more per-
sons in the local market of the station
Within five (5) business days after the shall be considered a separate violation
date of service, without regard to § 1.4 of 47 U.S.C. 325(b)(1).
of this part, the satellite carrier shall
file its answer with the Commission, § 1.6007 Burden of proof.
and shall contemporaneously serve the With respect to each alleged viola-
answer upon counsel designated in the tion, the burden of proof shall be on a
complaint, at the address listed for television broadcast station to estab-
such counsel in the complaint. Service lish that the satellite carrier retrans-
of the answer shall be made by use of mitted the station to at least one per-
one commonly used overnight delivery son in the local market of the station
service and by the United States mail. on the day in question. The burden of
proof shall be on the satellite carrier
§ 1.6005 Exclusive defenses.
with respect to all defenses other than
(a) The defenses listed in paragraphs the defense under § 1.6005(a)(1).
(a)(1) through (a)(4) of this section, are
the only defenses available to a sat- § 1.6008 Determinations.
ellite carrier against which a com- (a) In General. Within forty five (45)
plaint under this section is filed. days after the filing of a complaint, the
(1) The satellite carrier did not re- Commission shall issue a final deter-
transmit the television broadcast sta- mination in any proceeding brought
tion’s signal to any person in the under this subsection. The Commis-
‘‘local market’’ of the television broad- sion’s final determination shall specify
cast station, as that term is defined in the number of violations committed by
17 U.S.C. 122(j) (Designated Market the satellite carrier. The Commission
Area as determined by Nielsen Media shall hear witnesses only if it clearly
Research and county containing the appears, based on the written filings by
station’s community of license), during the parties, that there is a genuine dis-
the time period specified in the compute about material facts. Except as
plaint; provided in the preceding sentence, the
(2) The television broadcast station Commission may issue a final ruling
had, in a writing signed by an officer of based on the written filings by the par-
the television broadcast station, ex- ties.
pressly authorized the retransmission (b) Discovery. The Commission may
of the station by the satellite carrier direct the parties to exchange perti-
to each person in the ‘‘local market’’ of nent documents, and if necessary, to
the television broadcast station, as take prehearing depositions, on such
that term is defined in 17 U.S.C. 122(j), schedule as the Commission may ap-
to which the satellite carrier made prove, but only if the Commission first
such retransmissions for the entire determines that such discovery is nec-
time period during which it is alleged essary to resolve a genuine dispute
that a violation of 47 U.S.C. 325 (b)(1) about material facts, consistent with
has occurred; the obligation to make a final deter-
(3) The retransmission was made mination within forty five (45) days. In
after January 1, 2002, and the television this connection, the Commission may
broadcast station had elected to assert utilize the discovery or other evi-
the right to carriage under 47 U.S.C. 338 dentiary procedures set forth in §§ 1.311
as against the satellite carrier for the through 1.364 of the Commission’s
relevant period; or rules.
(4) The television broadcast station
whose signal is being retransmitted is § 1.6009 Relief.
a noncommercial television broadcast If the Commission determines that a
station. satellite carrier has retransmitted the
(b) [Reserved] television broadcast station to at least
369
§ 1.6010 47 CFR Ch. I (10–1–02 Edition)
one person in the local market of such the cease-and-desist order, the satellite
station and has failed to meet its bur- carrier shall notify the Secretary of
den of proving one of the defenses the Commission of steps taken to com-
under § 1.6005 (a)(2) through (a)(4) with ply with the statute by written submis-
respect to such retransmission, the sion. The submission certified by the
Commission shall: satellite carrier’s chief executive offi-
(a) Make a finding that the satellite cer shall also contain a copy of the per-
carrier violated 47 U.S.C. 325(b)(1) with tinent cease-and-desist order, and shall
respect to that station; and be delivered to the Secretary of the
(b) Issue an order, within forty-five Commission by means of one com-
(45) days after the filing of the commonly used overnight delivery service,
plaint, containing— in addition to a copy delivered by
(1) A cease-and-desist order directing United States mail.
the satellite carrier immediately to
stop making any further retrans- EFFECTIVE DATE NOTE: At 65 FR 10721, Feb.
missions of the television broadcast 29, 2000, § 1.6010 was added. This section con-
station to any person within the local tains information collection and record-
market of such station until such time keeping requirements and will not become
as the Commission determines that the effective until approval has been given by
satellite carrier is in compliance with
47 U.S.C. 325(b)(1) with respect to such § 1.6011 Effective date.
station;
(2) If the satellite carrier is found to The rules in section 1.6000 through
have violated 47 U.S.C. 325(b)(1) with section 1.6009 shall become effective
respect to more than two television May 30, 2000. Section 1.6010 contains in-
broadcast stations, a cease-and-desist formation collection requirements that
order directing the satellite carrier to are not effective until approved by the
stop making any further retrans- Office of Management and Budget. The
mission of any television broadcast effective date for this section will be
station to any person within the local announced by the Commission in the
market of the stations identified in the FEDERAL REGISTER.
cease-and-desist order, until such time
as the Commission, after giving notice § 1.6012 Sunset provisions.
to the station, determines that the sat- No complaint may be filed under this
ellite carrier is in compliance with 47 rule section after December 31, 2001.
U.S.C. 325(b)(1) with respect to such This rule subpart shall continue to
stations; and apply to any complaint filed on or be-
(3) An award to the complainant of fore such date. See 47 U.S.C. 325 (e)(12).
that complainant’s costs and reason-
able attorney’s fees. Such award shall
be made only after the complainant Subpart V—Implementation of
submits appropriate documentation in Section 706 of the Tele-
support of its request. communications Act of 1996;
(c) Any cease-and-desist order issued Commission Collection of Ad-
hereunder shall include a statement of vanced Telecommunications
findings and the grounds therefor, shall Capability Data
specify the effective date of the order,
and shall be served by the Commission
upon the satellite carrier to which such SOURCE: 65 FR 19684, Apr. 12, 2000; 65 FR
24654, Apr. 27, 2000, unless otherwise noted.
order is directed.
§ 1.6010 Reporting of remedial meas- § 1.7000 Purpose.

ures. The purpose of this subpart is to set
Any satellite carrier found to have out the terms by which certain com-
violated Section 47 U.S.C. 325(b)(1) mercial and government-controlled en-
shall, upon receipt of the cease-and-de- tities report data to the Commission
sist order, immediately take all nec- concerning the deployment of advanced
essary steps to comply with the stat- telecommunications capability, defined
ute. Within two (2) days of receipt of pursuant to 47 U.S.C. 157 as ‘‘high-
370
speed, switched, broadband tele- (c) Respondents identified in para-

communications capability that en- graph (b) of this section shall file the
ables users to originate and receive FCC Form 477 on diskette or via e-
high-quality voice, data, graphics, and mail, as directed in the instructions to
video telecommunications using any the FCC Form 477. Upon submission of
technology,’’ and the deployment of each report, an original certification
services that are competitive with ad- letter (as contained in the instructions
vanced telecommunications capability. to FCC Form 477) signed by the respon-
sible official shall be mailed to the
§ 1.7001 Scope and content of filed re- Commission.
ports. (d) Respondents may make requests
(a) Definitions. Terms used in this for Commission non-disclosure of pro-
subpart have the following meanings: vider-specific data contained in FCC
(1) Facilities-based providers. Those en- Form 477 under § 0.459 of this chapter
tities that provide broadband services by so indicating on Form 477 at the
over their own facilities or over time that the subject data are sub-
Unbundled Network Elements (UNEs), mitted. The Commission shall make all
special access lines, and other leased decisions regarding non-disclosure or
lines and wireless channels that the en- provider-specific information, except
tity obtains from a communications that the Chief of the Wireline Competi-
service provider and equips as tion Bureau may release provider-spe-
broadband. cific information to a state commis-
(2) Full broadband lines or wireless sion provided that the state commis-
channels. Lines or wireless channels sion has protections in place that
with information carrying capability would preclude disclosure of any con-
in excess of 200 Kbps in both directions fidential information.
simultaneously. (e) Respondents identified in para-
(3) One-way broadband lines or wireless graph (b) of this section shall file a re-
channels. Lines or wireless channels vised version of FCC Form 477 if and
with information carrying capability when they discover a significant error
in excess of 200 Kbps in at least one di- in their filed FCC Form 477. For
rection, but not both. counts, a difference amounting to 5
(4) Own facilities. Lines and wireless percent of the filed number is consid-
channels the entity actually owns and ered significant. For percentages, a dif-
facilities that it obtained the right to ference of 5 percentage points is con-
use from other entities as dark fiber or sidered significant.
satellite transponder capacity. (f) Failure to file the FCC Form 477
(b) All commercial and government- in accordance with the Commission’s
controlled entities, including but not rules and the instructions to the Form
limited to common carriers and their 477 may lead to enforcement action
affiliates (as defined in 47 U.S.C. 153 pursuant to the Act and any other ap-
(1)), cable television companies, Multi- plicable law.
channel Multipoint Distribution Serv- [65 FR 19684, Apr. 12, 2000; 65 FR 24654, Apr.
ice (MMDS/MDS) ‘‘wireless cable’’ car- 27, 2000, as amended at 67 FR 13224, Mar. 21,
riers, other fixed wireless providers, 2002]
terrestrial and satellite mobile wire-
less providers, utilities and others, § 1.7002 Frequency of reports.
which are facilities-based providers and Entities subject to the provisions of
are providing at least 250 full or one- § 1.7001 shall file reports semi-annually.
way broadband lines or wireless chan- Reports shall be filed each year on or
nels in a given state, or provide full or before March 1st (reporting data about
one-way broadband service to at least the status of their broadband deploy-
250 end-user consumers in a given ment as of December 31 of the prior
state, shall file with the Commission a year) and September 1st (reporting
completed FCC Form 477, in accord- data about the status of their
ance with the Commission’s rules and broadband deployment as of June 31 of
the instructions to the FCC Form 477, the current year). Entities becoming
for each state in which they exceed subject to the provisions of § 1.7001 for
this threshold. the first time within a calendar year
371
§ 1.8001 47 CFR Ch. I (10–1–02 Edition)
shall file data for the reporting period Form 161 (CORES Update/Change
in which they become eligible and Form).
semi-annually thereafter. Entities sub- (c) A business may obtain as many
ject to the provisions of § 1.7001 shall FRNs as it deems appropriate for its
make an initial filing of the FCC Form business operations. Each subsidiary
477 on May 15, 2000 (reporting data with a different TIN must obtain a sep-
about the status of their broadband de- arate FRN. Multiple FRNs shall not be
ployment as of December 31, 1999). obtained to evade payment of fees or
[65 FR 19684, Apr. 12, 2000; 65 FR 24654, Apr. other regulatory responsibilities.
27, 2000] (d) An FRN may be assigned by the
Commission, which will promptly no-
Subpart W—FCC Registration tify the entity of the assigned FRN.
Number [66 FR 47895, Sept. 14, 2001, as amended at 67
FR 36818, May 28, 2002]
SOURCE: 66 FR 47895, Sept. 14, 2001, unless
otherwise noted. § 1.8003 Providing the FRN in Commis-
sion Filings.
§ 1.8001 FCC Registration Number The FRN must be provided with any
(FRN).
filings requiring the payment of statu-
(a) The FCC Registration Number tory charges under subpart G of this
(FRN) is a 10-digit unique identifying part, anyone applying for a license, in-
number that is assigned to entities cluding someone who is exempt from
doing business with the Commission. paying statutory charges under subpart
(b) The FRN is obtained through the G of this part, anyone participating in
Commission Registration System a spectrum auction, making up-front
(CORES) over the Internet at the payments or deposits in a spectrum
CORES link at <www.fcc.gov> or by fil- auction, anyone making a payment on
ing FCC Form 160. an auction loan, anyone making a con-
§ 1.8002 Obtaining an FRN. tribution to the Universal Service
Fund, and anyone paying a or other
(a) The FRN must be obtained by payment. A list of applications and
anyone doing business with the Com- other instances where the FRN is re-
mission, see 31 U.S.C. 7701(c)(2), includ- quired will be posted on our Internet
ing but not limited to: site and linked to the CORES page.
(1) Anyone required to pay statutory
charges under subpart G of this part; § 1.8004 Penalty for Failure to Provide
(2) Anyone applying for a license, in- the FRN.
cluding someone who is exempt from
paying statutory charges under subpart (a) Electronic filing systems for fil-
G of this part, see §§ 1.1114 and 1.1162; ings that require the FRN will not ac-
(3) Anyone participating in a spec- cept a filing without the appropriate
trum auction; FRN. If a party seeks to make an elec-
(4) Anyone holding or obtaining a tronic filing and does not have an FRN,
spectrum auction license or loan; and the system will direct the party to the
(5) Anyone paying statutory charges CORES website to obtain an FRN.
on behalf of another entity or person. (b) Except as provided in paragraph
(b)(1) When registering for an FRN (d) of this section or in other Commis-
through the CORES, an entity’s name, sion rules, filings subject to the FRN
entity type, contact name and title, requirement and submitted without an
address, and taxpayer identifying num- FRN will be returned or dismissed.
ber (TIN) must be provided. For indi- (c) Where the Commission has not es-
viduals, the TIN is the social security tablished a filing deadline for an appli-
number (SSN). cation, a missing or invalid FRN on
(2) Information provided when reg- such an application may be corrected
istering for an FRN must be kept cur- and the application resubmitted. Ex-
rent by registrants either by updating cept as provided in paragraph (d) of
the information on-line at the CORES this section or in other Commission
link at <www.fcc.gov> or by filing FCC rules, the date that the resubmitted
372
Federal Communications Commission Pt. 1, App. A
application is received by the Commis- suggest cooperation with respect to any pro-
sion with a valid FRN will be consid- ceedings or matter affecting any carrier sub-
ered the official filing date. ject to the jurisdiction of said Federal Com-
mission and of a State commission, and con-
(d) Except for the filing of tariff pub-
cerning which it is believed that cooperation
lications (see 47 CFR 61.1(b)) or as pro- will be in the public interest.
vided in other Commission rules, where To enable this to be done, whenever a pro-
the Commission has established a fil- ceeding shall be instituted before any com-
ing deadline for an application and mission, Federal or State, in which another
that application may be filed on paper, commission is believed to be interested, no-
a missing or invalid FRN on such an tice should be promptly given each such in-
application may be corrected with ten terested commission by the commission be-
(10) business days of notification to the fore which the proceeding has been insti-
filer by the Commission staff and, in tuted. Inasmuch, however, as failure to give
notice as contemplated by the provisions of
the event of such timely correction, this plan will sometimes occur purely
the original date of filing will be re- through inadvertence, any such failure
tained as the official filing date. should not operate to deter any commission
[66 FR 47895, Sept. 14, 2001, as amended at 67 from suggesting that any such proceeding be
FR 36818, May 28, 2002] made the subject matter of cooperative ac-
tion, if cooperation therein is deemed desir-
APPENDIX A TO PART 1—A PLAN OF CO- able.
OPERATIVE PROCEDURE IN MATTERS It is understood that each commission
whether or not represented in the National
AND CASES UNDER THE PROVISIONS
Association of Railroad and Utilities Com-
OF SECTION 410 OF THE COMMUNICA- missioners, must determine its own course of
TIONS ACT OF 1934 action with respect to any proceeding in the
light of the law under which, at any given
(Approved by the Federal Communications
time, it is called upon to act, and must be
Commission October 25, 1938, and approved
by the National Association of Railroad and guided by its own views of public policy; and
Utilities Commissioners on November 17, that no action taken by such Association
1938.) can in any respect prejudice such freedom of
action. The approval by the Association of
PRELIMINARY STATEMENT CONCERNING THE this plan of cooperative procedure, which
PURPOSE AND EFFECT OF THE PLAN was jointly prepared by the Association’s
standing Committee on Cooperation between
Section 410 of the Communications Act of Federal and State commissions and said Fed-
1934 authorizes cooperation between the Fed- eral Commission, is accordingly rec-
eral Communications Commission, herein- ommendatory only; but such plan is designed
after called the Federal Commission, and the
to be, and it is believed that it will be, a
State commissions of the several States, in
helpful step in the promotion of cooperative
the administration of said Act. Subsection
relations between the State commissions and
(a) authorizes the reference of any matter
said Federal Commission.
arising in the administration of said Act to
a board to be composed of a member or mem- NOTICE OF INSTITUTION OF PROCEEDING
bers from each of the States in which the
wire, or radio communication affected by or Whenever there shall be instituted before
involved in the proceeding takes place, or is the Federal Commission any proceeding in-
proposed. Subsection (b) authorizes con- volving the rates of any telephone or tele-
ferences by the Federal Commission with graph carrier, the State commissions of the
State commissions regarding the relation- States affected thereby will be notified im-
ship between rate structures, accounts, mediately thereof by the Federal Commis-
charges, practices, classifications, and regu- sion, and each notice given a State commis-
lations of carriers subject to the jurisdiction sion will advise such commission that, if it
of such State commissions and of said Fed- deems the proceeding one which should be
eral Commission and joint hearings with considered under the cooperative provisions
State commissions in connection with any of the Act, it should either directly or
matter with respect to which the Federal through the National Association of Rail-
Commission is authorized to act. road and Utilities Commissioners, notify the
Obviously, it is impossible to determine in Federal Commission as to the nature of its
advance what matters should be the subject interest in said matter and request a con-
of a conference, what matters should be reference, the creation of a joint board, or a
ferred to a board, and what matters should joint hearing as may be desired, indicating
be heard at a joint hearing of State commis- its preference and the reasons therefor. Upon
sions and the Federal Commission. It is un- receipt of such request the Federal Commis-
derstood, therefore, that the Federal Com- sion will consider the same and may confer
mission or any State commission will freely with the commission making the request and
373
Pt. 1, App. A 47 CFR Ch. I (10–1–02 Edition)
with other interested commission, or with PROCEDURE GOVERNING JOINT HEARINGS
representatives of the National Association
Whenever the Federal Commission, either
of Railroad and Utilities Commissioners, in
upon its own motion or upon suggestions
such manner as may be most suitable; and if
made by or on behalf of any interested State
cooperation shall appear to be practicable
commission or commissions, shall determine
and desirable, shall so advise each interested
that a joint hearing under said sec. 410(b) is
State commission, directly, when such co-
desirable in connection with any matter
operation will be by joint conference or by
pending before said Federal Commission, the
reference to a joint board appointed under
procedure shall be as follows:
said sec. 410 (a), and, as hereinafter provided,
(a) The Federal Commission will notify the
when such cooperation will be by a joint
general solicitor of the National Association
hearing under said sec. 410(b).
of Railroad and Utilities Commissioners that
Each State commission should in like
said Association, or, if not more than eight
manner notify the Federal Commission of
States are within the territory affected by
any proceeding instituted before it involving
the proceeding, the State commissions inter-
the toll telephone rates or the telegraph
ested, are invited to name Cooperating Com-
rates of any carrier subject to the jurisdic-
missioners to sit with the Federal Commis-
tion of the Federal Commission.
sion for the hearing and consideration of said
PROCEDURE GOVERNING JOINT CONFERENCES proceeding.
(b) Upon receipt of any notice from said
The Federal Commission, in accordance Federal Commission inviting cooperation, if
with the indicated procedure, will confer not more than eight States are involved, the
with any State commission regarding any general solicitor shall at once advise the
matter relating to the regulation of public State commissions of said States, they being
utilities subject to the jurisdiction of either represented in the membership of the asso-
commission. The commission desiring a con- ciation, of the receipt of such notice, and
ference upon any such matter should notify shall request each such commission to give
the other without delay, and thereupon the advice to him in writing, before a date to be
Federal Commission will promptly arrange indicated by him in his communication re-
for a conference in which all interested State questing such advice (1) whether such com-
commissions will be invited to be present. mission will cooperate in said proceeding, (2)
if it will, by what commissioner it will be
PROCEDURE GOVERNING MATTERS REFERRED TO
represented therein.
A BOARD
(c) Upon the basis of replies received, the
Whenever the Federal Commission, either general solicitor shall advise the Federal
upon its own motion or upon the suggestion Commission what States, if any, are desirous
of a State commission, or at the request of of making the proceeding cooperative and by
any interested party, shall determine that it what commissioners they will be rep-
is desirable to refer a matter arising in the resented, and he shall give like advice to
administration of the Communications Act each State commission interested therein.
of 1934 to a board to be composed of a mem- (d) If more than eight States are interested
ber or members from the State or States af- in the proceeding, because within territory
fected or to be affected by such matter, the for which rates will be under consideration
procedure shall be as follows: therein, the general solicitor shall advise the
The Federal Commission will send a re- president of the association that the associa-
quest to each interested State commission to tion is invited to name a cooperating com-
nominate a specified number of members to mittee of State commissioners representing
serve on such board. the States interested in said proceeding.
The representation of each State con- The president of the association shall
cerned shall be equal, unless one or more of thereupon advise the general solicitor in
the States affected chooses to waive such writing (1) whether the invitation is accept-
right of equal representation. When the ed on behalf of the association, and (2) the
member or members of any board have been names of commissioners selected to sit as a
nominated and appointed, in accordance cooperating committee. The president of the
with the provisions of the Communications association shall have the authority to ac-
Act of 1934, the Federal Commission will cept or to decline said invitation for the as-
make an order referring the particular mat- sociation, and to determine the number of
ter to such board, and such order shall fix commissioners who shall be named on the
the time and place of hearing, define the cooperating committee, provided that his ac-
force and effect the action of the board shall tion shall be concurred in by the chairman of
have, and the manner in which its pro- the association’s executive committee. In
ceedings shall be conducted. The rules of the event of any failure of the president of
practice and procedure, as from time to time the association and chairman of its execu-
adopted or prescribed by the Federal Com- tive committee to agree, the second vice
mission, shall govern such board, as far as president of the association (or the chairman
applicable. of its committee on cooperation between
374
Federal Communications Commission Pt. 1, App. A
State and Federal commissions, if there the cooperative conferences, which may be
shall be no second vice president) shall be held following the submission of the pro-
consulted, and the majority opinion of the ceeding, to an extent that will reasonably
three shall prevail. Consultations and ex- enable him to be informed upon the issues in
pressions of opinion may be by mail or tele- the proceeding and to form a reasonable
graph. judgment in the matters to be determined.
(e) If any proceeding, involving more than
eight States, is pending before the Federal TENURE OF COOPERATORS
Commission, in which cooperation has not (a) No State commissioner shall sit in a co-
been invited by that Commission, which the operative proceeding under this plan except
association’s president and the first and sec- a commissioner who has been selected by his
ond vice presidents, or any two of them, con- commission to represent it in a proceeding
sider should be made a cooperating pro- involving eight States or less, or has been se-
ceeding, they may instruct the general solic- lected by the president of the association to
itor to suggest to the Federal Commission sit in a case involving more than eight
that the proceeding be made a cooperative States, in the manner hereinbefore provided.
proceeding; and any State commission con-
(b) A commissioner who has been selected,
sidering that said proceeding should be made
as hereinbefore provided, to serve as a mem-
cooperative may request the president of the
ber of a cooperating committee in any pro-
association or the chairman of its executive
ceeding, shall without further appointment,
committee to make such suggestion after
and without regard to the duration of time
consideration with the executive officers
involved, continue to serve in said pro-
above named. If said Federal Commission
ceeding until the final disposition thereof,
shall assent to the suggestion, made as
including hearings and conferences after any
aforesaid, the president of the association
order or reopening, provided that he shall
shall have the same authority to proceed,
continue to be a State commissioner.
and shall proceed in the appointment of a co-
operating committee, as is provided in other (c) No member of a cooperating committee
cases involving more than eight States, shall have any right or authority to des-
wherein the Federal Commission has invited ignate another commissioner to serve in his
cooperation, and the invitation has been ac- place at any hearing or conference in any
cepted. proceeding in which he has been appointed to
(f) Whenever any case is pending before the serve.
Federal Commission involving eight States (d) Should a vacancy occur upon any co-
or less, which a commission of any of said operating committee, in a proceeding involv-
States considers should be made cooperative, ing more than eight States, by reason of the
such commission, either directly or through death of any cooperating commissioner, or of
the general solicitor of the association, may his ceasing to be a State commissioner, or of
suggest to the Federal Commission that the other inability to serve, it shall be the duty
proceeding be made cooperative. If said Fed- of the president of the association to fill the
eral Commission accedes to such suggestion, vacancy by appointment, if, after commu-
it will notify the general solicitor of the as- nication with the chairman of the cooper-
sociation to that effect and thereupon the ating committee, it be deemed necessary to
general solicitor shall proceed as is provided fill such vacancy.
in such case when the invitation has been (e) In the event of any such vacancy occur-
made by the Federal Commission without ring upon a cooperating committee involving
State commission suggestion. not more than eight States, the vacancy
shall be filled by the commission from which
APPOINTMENT OF COOPERATING COMMISSIONERS the vacancy occurs.
BY THE PRESIDENT
COOPERATING COMMITTEE TO DETERMINE RE-
In the appointment of any cooperating SPECTING ANY REPORT OF STATEMENT OF ITS
committee, the president of the association ATTITUDE
shall make appointments only from commis-
sions of the States interested in the par- (a) Whenever a cooperating committee
ticular proceeding in which the committee is shall have concluded its work, or shall deem
to serve. He shall exercise his best judgment such course advisable, the committee shall
to select cooperating commissioners who are consider whether it is necessary and desir-
especially qualified to serve upon cooper- able to make a report to the interested State
ating committees by reason of their ability commissions, and, if it shall determine to
and fitness; and in no case shall he appoint make a report, it shall cause the same to be
a commissioner upon a cooperating com- distributed through the secretary of the as-
mittee until he shall have been advised by sociation, or through the general solicitor to
such commissioner that it will be prac- all interested commissions.
ticable for him to attend the hearings in the (b) If a report of the Federal Commission
proceeding in which the committee is to will accompany any order to be made in said
serve, including the arguments therein, and proceeding, the Federal Commission will
375
state therein the concurrence or nonconcur- Subpart E—Distress, Disaster, and
rence of said cooperating committee in the Emergency Communications
decision or order of said Federal Commis-
sion. 2.401 Distress messages.
2.402 Control of distress traffic.
CONSTRUCTION HEREOF IN CERTAIN RESPECTS 2.403 Retransmission of distress message.
EXPRESSLY PROVIDED 2.404 Resumption of operation after dis-
It is understood and provided that no State tress.
or States shall be deprived of the right of 2.405 Operation during emergency.
participation and cooperation as herein- 2.406 National defense; free service.
before provided because of nonmembership in 2.407 National defense; emergency author-
the association. With respect to any such ization.
State or States, all negotiations herein spec-
ified to be carried on between the Federal Subparts F–G [Reserved]
Commission and any officer of such associa-
tion shall be conducted by the Federal Com- Subpart H—Prohibition Against
mission directly with the chairman of the Eavesdropping
commission of such State or States.
2.701 Prohibition against use of a radio de-
[28 FR 12462, Nov. 22, 1963, as amended at 29 vice for eavesdropping.
FR 4801, Apr. 4, 1964]
Subpart I—Marketing of Radiofrequency
PART 2—FREQUENCY ALLOCA- Devices
TIONS AND RADIO TREATY MAT- 2.801 Radiofrequency device defined.
TERS; GENERAL RULES AND REG- 2.803 Marketing of radio frequency devices
ULATIONS prior to equipment authorization.
2.807 Statutory exceptions.
2.811 Transmitters operated under part 73 of
Subpart A—Terminology
this chapter.
Sec. 2.813 Transmitters operated in the Instruc-
2.1 Terms and definitions. tional Television Fixed Service.
2.815 External radio frequency power ampli-
Subpart B—Allocation, Assignment, and fiers.
Use of Radio Frequencies
Subpart J—Equipment Authorization
2.100 International regulations in force. Procedures
2.101 Nomenclature of frequencies.
GENERAL PROVISIONS
2.102 Assignment of frequencies.
2.103 Government use of non-Government 2.901 Basis and purpose.
frequencies. 2.902 Verification.
2.104 International Table of Frequency Allo- 2.906 Declaration of Conformity.
cations. 2.907 Certification.
2.105 United States Table of Frequency Al- 2.908 Identical defined.
locations. 2.909 Responsible party.
2.106 Table of Frequency Allocations.
APPLICATION PROCEDURES FOR EQUIPMENT
2.107 Radio astronomy station notification.
AUTHORIZATIONS
2.108 Policy regarding the use of the fixed-
satellite allocations in the 3.6–3.7, 4.5–4.8, 2.911 Written application required.
and 5.85–5.925 GHz bands. 2.913 Submittal of equipment authorization
application or information to the Com-
Subpart C—Emissions mission.
2.915 Grant of application.
2.201 Emission, modulation, and trans- 2.917 Dismissal of application.
mission characteristics. 2.919 Denial of application.
2.202 Bandwidths. 2.921 Hearing on application.
2.923 Petition for reconsideration; applica-
Subpart D—Call Signs and Other Forms of tion for review.
Identifying Radio Transmissions 2.924 Marketing of electrically identical
equipment having multiple trade names
2.301 Station identification requirement. and models or type numbers under the
2.302 Call signs. same FCC Identifier.
2.303 Other forms of identification of sta- 2.925 Identification of equipment.
tions. 2.926 FCC identifier.
376
CONDITIONS ATTENDANT TO AN EQUIPMENT 2.1065 Identification and changes in equip-
AUTHORIZATION ment information filed for application
reference.
2.927 Limitations on grants.
2.929 Changes in name, address, ownership DECLARATION OF CONFORMITY
or control of grantee.
2.931 Responsibility of the grantee. 2.1071 Cross reference.
2.932 Modification of equipment. 2.1072 Limitation on Declaration of Con-
2.933 Change in identification of equipment. formity.
2.936 FCC inspection. 2.1073 Responsibilities.
2.937 Equipment defect and/or design 2.1074 Identification.
change. 2.1075 Retention of records.
2.938 Retention of records. 2.1076 FCC inspection and submission of
2.939 Revocation or withdrawal of equip- equipment for testing.
ment authorization. 2.1077 Compliance information.
2.941 Availability of information relating to
RADIOFREQUENCY RADIATION EXPOSURE
grants.
2.943 Submission of equipment for testing. 2.1091 Radiofrequency radiation exposure
2.944 Submission of radio software. evaluation: mobile devices.
2.945 Sampling tests of equipment compli- 2.1093 Radiofrequency radiation exposure
ance. evaluation: portable devices.
2.946 Penalty for failure to provide test
samples and data. Subpart K—Importation of Devices
2.947 Measurement procedure. Capable of Causing Harmful Interference
2.948 Description of measurement facilities.
2.1201 Purpose.
VERIFICATION 2.1202 Exclusions.
2.951 Cross reference. 2.1203 General requirement for entry into
2.952 Limitation on verification. the U.S.A.
2.953 Responsibility for compliance. 2.1204 Import conditions.
2.954 Identification. 2.1205 Filing of required declaration.
2.955 Retention of records. 2.1207 Examination of imported equipment.
2.956 FCC inspection and submission of
equipment for testing. Subpart L [Reserved]
2.960 Designation of Telecommunication
Certification Bodies (TCBs). Subpart M—Advance Approval of
2.962 Requirements for Telecommunication Subscription TV Transmission Systems
Certification Bodies.
ADVANCE APPROVAL PROCEDURE
CERTIFICATION 2.1400 Application for advance approval
2.1031 Cross reference. under part 73.
2.1033 Application for certification.
2.1035 [Reserved] Subpart N—FCC Procedure for Testing
2.1041 Measurement procedure. Class A, B and S Emergency Position
2.1043 Changes in certificated equipment. Indicating Radiobeacons (EPIRBs)
2.1046 Measurements required: RF power
output. GENERAL
2.1047 Measurements required: Modulation 2.1501 Introduction.
characteristics. 2.1503 Test environment.
2.1049 Measurements required: Occupied 2.1505 Test instrumentation and equipment.
bandwidth.
2.1051 Measurements required: Spurious ENVIRONMENTAL AND OPERATIONAL TEST
emissions at antenna terminals. PROCEDURES
2.1053 Measurements required: Field
strength of spurious radiation. 2.1507 Test frequencies.
2.1509 Environmental and duration tests.
2.1055 Measurements required: Frequency
2.1511 Measurements of radiated emissions.
stability.
2.1513 Measurements of modulation charac-
2.1057 Frequency spectrum to be inves-
teristics.
tigated.
2.1515 Spectral measurements.
2.1060 Equipment for use in the amateur
radio service. DATA RECORDING/REPORTING REQUIREMENTS
FILING FOR APPLICATION REFERENCE 2.1517 Data recording/reporting require-
ments.
2.1061 Submission of technical information
for application reference. FIGURES
2.1063 Disclaimer re technical information
filed for application reference. FIGURE 1—MEASUREMENT SITE
377
§ 2.1 47 CFR Ch. I (10–1–02 Edition)
FIGURE 2—TYPICAL AUDIO WAVEFORM specified fixed point on land to provide
FIGURE 3—EXAMPLE OF IDEAL EPIRB SPEC- a feeder link for the aeronautical mo-
TRUM
bile-satellite service. (RR)
FIGURE 4—EXAMPLE OF EPIRB CARRIER COM-
PONENT Aeronautical Fixed Service. A radio-
communication service between speci-
AUTHORITY: 47 U.S.C. 154, 302a, 303, and 336,
unless otherwise noted.
fied fixed points provided primarily for
the safety of air navigation and for the
SOURCE: 28 FR 12465, Nov. 22, 1963, unless regular, efficient and economical oper-
otherwise noted.
ation of air transport. (RR)
EDITORIAL NOTE: Nomenclature changes to Aeronautical Fixed Station. A station
part 2 appear at 63 FR 54077, Oct. 8, 1998. in the aeronautical fixed service. (RR)
Aeronautical Mobile Off-Route (OR)
Subpart A—Terminology Service. An aeronautical mobile service
intended for communications, includ-
§ 2.1 Terms and definitions.
ing those relating to flight coordina-
(a) Where a term or definition ap- tion, primarily outside national or
pears in this part of the Commission’s international civil air routes. (RR)
Rules, it shall be the definitive term or Aeronautical Mobile Route (R) Service.
definition and shall prevail throughout An aeronautical mobile service re-
the Commission’s Rules. served for communications relating to
(b) The source of each definition is safety and regularity of flight, pri-
indicated as follows: marily along national or international
CONV—International Telecommunication Con- civil air routes. (RR)
vention, Malaga-Torremolinos, 1973. Aeronautical Mobile-Satellite Off-Route
RR—Radio Regulations, Geneva, 1982. (OR) Service. An aeronautical mobile-
FCC—Federal Communications Commission. satellite service intended for commu-
(c) The following terms and defini- nications, including those relating to
tions are issued: flight coordination, primarily outside
Accepted Interference. 1 Interference at national and international civil air
a higher level than defined as permis- routes. (RR)
sible interference and which has been Aeronautical Mobile-Satellite Route (R)
agreed upon between two or more ad- Service. An aeronautical mobile-sat-
ministrations without prejudice to ellite service reserved for communica-
other administrations. (RR) tions relating to safety and regularity
Active Satellite. A satellite carrying a of flights, primarily along national or
station intended to transmit or re- international civil air routes. (RR)
transmit radiocommunication signals. Aeronautical Mobile-Satellite Service. A
(RR) mobile-satellite service in which mo-
Active Sensor. A measuring instru- bile earth stations are located on board
ment in the earth exploration-satellite aircraft; survival craft stations and
service or in the space research service emergency position-indicating radio-
by means of which information is ob- beacon stations may also participate in
tained by transmission and reception this service. (RR)
of radio waves. (RR)
Aeronautical Mobile Service. A mobile
Administration. Any governmental de-
service between aeronautical stations
partment or service responsible for dis-
and aircraft stations, or between air-
charging the obligations undertaken in
craft stations, in which survival craft
the Convention of the International
stations may participate; emergency
Telecommunication Union and the
position-indicating radiobeacon sta-
Regulations. (CONV)
tions may also participate in this serv-
Aeronautical Earth Station. An Earth
station in the fixed-satellite service, ice on designated distress and emer-
or, in some cases, in the aeronautical gency frequencies. (RR)
mobile-satellite service, located at a Aeronautical Radionavigation-Satellite
Service. A radionavigation-satellite
1 The service in which earth stations are lo-
terms permissible interference and
accepted interference are used in the coordina- cated on board aircraft. (RR)
tion of frequency assignments between ad- Aeronautical Radionavigation Service.
ministrations. A radio-navigation service intended for
378
the benefit and for the safe operation of a station is authorized; the width of
of aircraft. (RR) the band equals the necessary band-
Aeronautical Station. A land station in width plus twice the absolute value of
the aeronautical mobile service. the frequency tolerance. Where space
NOTE: In certain instances, an aeronautical stations are concerned, the assigned
station may be located, for example, on frequency band includes twice the max-
board ship or on a platform at sea. (RR) imum Doppler shift that may occur in
Aircraft Earth Station. A mobile earth relation to any point of the Earth’s
station in the aeronautical mobile-sat- surface. (RR)
ellite service located on board an air- Assignment (of a radio frequency or
craft. (RR) radio frequency channel). Authorization
Aircraft Station. A mobile station in given by an administration for a radio
the aeronautical mobile service, other station to use a radio frequency or
than a survival craft station, located radio frequency channel under speci-
on board an aircraft. (RR) fied conditions. (RR)
Allocation (of a frequency band). Entry Base Earth Station. An earth station
in the Table of Frequency Allocations in the fixed-satellite service or, in
of a given frequency band for the pur- some cases, in the land mobile-satellite
pose of its use by one or more terres- service, located at a specified fixed
trial or space radiocommunication point or within a specified area on land
services or the radio astronomy service to provide a feeder link for the land
under specified conditions. This term mobile-satellite service. (RR)
shall also be applied to the frequency Base Station. A land station in the
band concerned. (RR) land mobile service. (RR)
Allotment (of a radio frequency or radio
Broadcasting-Satellite Service. A radio-
frequency channel). Entry of a des-
communication service in which sig-
ignated frequency channel in an agreed
nals transmitted or retransmitted by
plan, adopted by a competent con-
ference, for use by one or more admin- space stations are intended for direct
istrations for a terrestrial or space reception by the general public.
radiocommunication service in one or NOTE: In the broadcasting-satellite service,
more identified countries or geo- the term direct reception shall encompass
graphical area and under specified con- both individual reception and community re-
ditions. (RR) ception. (RR)
Altitude of the Apogee or Perigee. The
Broadcasting Service. A radio-
altitude of the apogee or perigee above
communication service in which the
a specified reference surface serving to
transmissions are intended for direct
represent the surface of the Earth.
(RR) reception by the general public. This
Amateur-Satellite Service. A radio- service may include sound trans-
communication service using space missions, television transmissions or
stations on earth satellites for the other types of transmission. (CONV)
same purposes as those of the amateur Broadcasting Station. A station in the
service. (RR) broadcasting service. (RR)
Amateur Service. A radio- Carrier Power (of a radio transmitter).
communication service for the purpose The average power supplied to the an-
of self-training, intercommunication tenna transmission line by a trans-
and technical investigations carried mitter during one radio frequency
out by amateurs, that is, by duly au- cycle taken under the condition of no
thorized persons interested in radio modulation. (RR)
technique solely with a personal aim Characteristic Frequency. A frequency
and without pecuniary interest. (RR) which can be easily identified and
Amateur Station. A station in the measured in a given emission.
amateur service. (RR)
Assigned Frequency. The centre of the NOTE: A carrier frequency may, for exam-
ple, be designated as the characteristic fre-
frequency band assigned to a station. quency. (RR)
(RR)
Assigned Frequency Band. The fre- Class of Emission. The set of charac-
quency band within which the emission teristics of an emission, designated by
379
§ 2.1 47 CFR Ch. I (10–1–02 Edition)
standard symbols, e.g., type of modula- dominates the ‘‘modulating function’’

tion, modulating signal, type of infor- and is the direct cause of the wide
mation to be transmitted, and also if spreading of the transmitted signal.
appropriate, any additional signal Duplex Operation. Operating method
characteristics. (RR) in which transmission is possible si-
Coast Earth Station. An earth station multaneously in both directions of a
in the fixed-satellite service or, in telecommunication channel. 3 (RR)
some cases, in the maritime mobile- Earth Exploration-Satellite Service. A
satellite service, located at a specified radiocommunication service between
fixed point on land to provide a feeder earth stations and one or more space
link for the maritime mobile-satellite stations, which may include links be-
service. (RR) tween space stations in which:
Coast Station. A land station in the (1) Information relating to the char-
maritime mobile service. (RR) acteristics of the Earth and its natural
Community Reception (in the broad- phenomena is obtained from active
casting-satellite service). The reception sensors or passive sensors on earth sat-
of emissions from a space station in ellites;
the broadcasting-satellite service by (2) Similar information is collected
receiving equipment, which in some from air-borne or earth-based plat-
cases may be complex and have anten- forms;
nae larger than those for individual re- (3) Such information may be distrib-
ception, and intended for use: (1) by a uted to earth stations within the sys-
group of the general public at one loca- tem concerned;
tion; or (2) through a distribution sys- (4) Platform interrogation may be in-
tem covering a limited area. (RR) cluded.
Coordinated Universal Time (UTC).
Time scale, based on the second (SI), as NOTE: This service may also include feeder
defined and recommended by the links necesary for its operation. (RR)
CCIR, 2 and maintained by the Bureau Earth Station. A station located ei-
International de l’Heure (BIH). ther on the earth’s surface or within
NOTE: For most practical purposes associ- the major portion of earth’s atmos-
ated with the Radio Regulations, UTC is phere and intended for communication:
equivalent to mean solar time at the prime (1) With one or more space stations;
meridian (0 degrees longitude), formerly ex- or
pressed in GMT. (RR) (2) With one or more stations of the
Coordination Area. The area associ- same kind by means of one or more re-
ated with an earth station outside of flecting satellites or other objects in
which a terrestrial station sharing the space. (RR)
same frequency band neither causes Effective Radiated Power (e.r.p) (in a
nor is subject to interfering emissions given direction). The product of the
greater than a permissible level. (RR) power supplied to the antenna and its
Coordination Contour. The line enclos- gain relative to a half-wave dipole in a
ing the coordination area. (RR) given direction. (RR)
Coordination Distance. Distance on a Emergency Position-Indicating Radio-
given azimuth from an earth station beacon Station. A station in the mobile
beyond which a terrestrial causes nor service the emissions of which are in-
is subject to interfering emissions tended to facilitate search and rescue
greater than a permissible level. (RR) operations. (RR)
Deep Space. Space at distance from Emission. Radiation produced, or the
the Earth equal to, or greater than, production of radiation, by a radio
2×106 kilometers. (RR) transmitting station.
Direct Sequence Systems. A spread NOTE: For example, the energy radiated by
spectrum system in which the carrier the local oscillator of a radio receiver would
has been modulated by a high speed not be an emission but a radiation. (RR)
spreading code and an information data
stream. The high speed code sequence 3 In general, duplex operation and semi-du-
plex operation require two frequencies in

2 The full definition is contained in CCIR radiocommunication; simplex operation may
Recommendation 460–2. use either one or two.
380
Equivalent Isotropically Radiated Fixed Service. A radiocommunication

Power (e.i.r.p.). The product of the service between specified fixed points.
power suppled to the antenna and the (RR)
antenna gain in a given direction rel- Fixed Station. A station in the fixed
ative to an isotropic antenna. (RR) service. (RR)
Equivalent Monopole Radiated Power Frequency Hopping Systems. A spread
(e.m.r.p.) (in a given direction). The prod- spectrum system in which the carrier
uct of the power supplied to the anis modulated with the coded informa-
tenna and its gain relative to a short
tion in a conventional manner causing
vertical antenna in a given direction.
a conventional spreading of the RF en-
(RR)
Equivalent Satellite Link Noise Tem- ergy about the frequency carrier. The
perature. The noise temperature re- frequency of the carrier is not fixed but
ferred to the output of the receiving changes at fixed intervals under the di-
antenna of the earth station correction of a coded sequence. The wide
responding to the radio-frequency noise RF bandwidth needed by such a system
power which produces the total ob- is not required by spreading of the RF
served noise at the output of the sat- energy about the carrier but rather to
ellite link excluding the noise due to accommodate the range of frequencies
interference coming from satellite to which the carrier frequency can hop.
links using other satellites and from The test of a frequency hopping system
terrestrial systems. (RR) is that the near term distribution of
Experimental Station. A station uti- hops appears random, the long term
lizing radio waves in experiments with distribution appears evenly distributed
a view to the development of science or over the hop set, and sequential hops
technique. are randomly distributed in both direc-
NOTE: This definition does not include tion and magnitude of change in the
amateur stations. (RR) hop set.
Facsimile. A form of telegraphy for Frequency-Shift Telegraphy. Teleg-
the transmission of fixed images, with raphy by frequency modulation in
or without half-tones, with a view to which the telegraph signal shifts the
their reproduction in a permanent frequency of the carrier between pre-
form. determined values. (RR)
Frequency Tolerance. The maximum
NOTE: In this definition the term telegraphy
has the same general meaning as defined in
permissible departure by the centre
the Convention. (RR) frequency of the frequency band occu-
pied by an emission from the assigned
Feeder Link. A radio link from an frequency or, by the characteristic fre-
earth station at a given location to a quency of an emission from the ref-
space station, or vice versa, conveying
erence frequency.
information for a space radio-
communication service other than for NOTE: The frequency tolerance is expressed
the fixed-satellite service. The given in parts in 106 or in hertz. (RR)
location may be at a specified fixed
Full Carrier Single-Sideband Emission.
point, or at any fixed point within
A single-sideband emission without
specified areas. (RR)
suppression of the carrier. (RR)
Fixed-Satellite Service. A radio-
communication service between earth Gain of an Antenna. The ratio, usu-
stations at given positions, when one ally expressed in decibels, of the power
or more satellites are used; the given required at the input of a loss free ref-
position may be a specified fixed point erence antenna to the power supplied
or any fixed point within specified to the input of the given antenna to
areas; in some cases this service in- produce, in a given direction, the same
cludes satellite-to-satellite links, field strength or the same power flux-
which may also be operated in the density at the same distance. When not
inter-satellite service; the fixed-sat- specified otherwise, the gain refers to
ellite service may also include feeder the direction of maximum radiation.
links for other space radio- The gain may be considered for a speci-
communication services. (RR) fied polarization.
381
§ 2.1 47 CFR Ch. I (10–1–02 Edition)
NOTE: Depending on the choice of the ref- of emissions from a space station in
erence antenna a distinction is made be- the broadcasting-satellite service by
tween:
(1) Absolute or isotropic gain (Gi), when
simple domestic installations and in
the reference antenna is an isotropic an- particular those possessing small an-
tenna isolated in space; tennae. (RR)
(2) Gain relative to a half-wave dipole (Gd), Industrial, Scientific and Medical (ISM)
when the reference antenna is a half-wave (of radio frequency energy) Applications.
dipole isolated in space whose equatorial
plane contains the given direction;
Operation of equipment or appliances
(3) Gain relative to a short vertical an- designed to generate and use locally
tenna (Gv), when the reference antenna is a radio-frequency energy for industrial,
linear conductor, much shorter than one scientific, medical, domestic or similar
quarter of the wavelength, normal to the purposes, excluding applications in the
surface of a perfectly conducting plane
field of telecommunications. (RR)
which contains the given direction. (RR)
Instrument Landing System (ILS). A
General Purpose Mobile Service. A mo- radionavigation system which provides
bile service that includes all mobile aircraft with horizontal and vertical
communications uses including those guidance just before and during landing
within the Aeronautical Mobile, Land and, at certain fixed points, indicates
Mobile, or the Maritime Mobile Serv- the distance to the reference point of
ices. landing. (RR)
Geostationary Satellite. A geosynchro-
nous satellite whose circular and direct Instrument Landing System Glide Path.
orbit lies in the plane of the Earth’s A system of vertical guidance em-
equator and which thus remains fixed bodied in the instrument landing sys-
relative to the Earth; by extension, a tem which indicates the vertical devi-
satellite which remains approximately ation of the aircraft from its optimum
fixed relative to the Earth. (RR) path of descent. (RR)
Geostationary Satellite Orbit. The orbit Instrument Landing System Localizer.
in which a satellite must be placed to A system of horizontal guidance em-
be a geostationary satellite. (RR) bodied in the instrument landing sys-
Geosynchronous Satellite. An Earth tem which indicates the horizontal de-
satellite whose period of revolution is viation of the aircraft from its opti-
equal to the period of rotation of the mum path of descent along the axis of
Earth about its axis. (RR) the runway. (RR)
Harmful Interference 4. Interference Interference. The effect of unwanted
which endangers the functioning of a energy due to one or a combination of
radionavigation service or of other emissions, radiations, or inductions
safety services or seriously degrades, upon reception in a radio-
obstructs, or repeatedly interrupts a communication system, manifested by
radiocommunication service operating any performance degradation, mis-
in accordance with these interpretation, or loss of information
[international] Radio Regulations. which could be extracted in the ab-
(RR)
sence of such unwanted energy. (RR)
Hybrid Spread Spectrum Systems. Hy-
brid spread spectrum systems are those Inter-Satellite Service. A
which use combinations of two or more radiocommunication service providing
types of direct sequence, frequency links between artificial satellites. (RR)
hopping, time hopping and pulsed FM Ionospheric Scatter. The propagation
modulation in order to achieve their of radio waves by scattering as a result
wide occupied bandwidths. of irregularities or discontinuities in
Inclination of an Orbit (of an earth sat- the ionization of the ionosphere. (RR)
ellite). The angle determined by the Land Earth Station. An earth station
plane containing the orbit and the in the fixed-satellite service or, in
plane of the Earth’s equator. (RR) some cases, in the mobile-satellite
Individual Reception (in the broad- service, located at a specified fixed
casting-satellite service). The reception point or within a specified area on land
to provide a feeder link for the mobile-
4 See Resolution 68 of the Radio Regulations. satellite service. (RR)
382
Land Mobile Earth Station. A mobile of Liverpool, N.S., at which point it

earth station in the land mobile-sat- terminates. (FCC)
ellite service capable of surface move- Line C. Begins at the intersection of
ment within the geographical limits of 70° N., 144° W., thence by great circle
a country or continent. (RR) arc to the intersection of 60° N., 143°
Land Mobile-Satellite Service. A mo- W., thence by great circle arc so as to
bile-satellite service in which mobile include all of the Alaskan Panhandle.
earth stations are located on land. (FCC)
(RR) Line D. Begins at the intersection of
Land Mobile Service. A mobile service 70° N., 138° W., thence by great circle
between base stations and land mobile arc to the intersection of 61°20′ N., 139°
stations, or between land mobile sta-
W. (Burwash Landing), thence by great
tions. (RR)
circle arc to the intersection of 60°45′
Land Mobile Station. A mobile station
N., 135° W., thence by great circle arc
in the land mobile service capable of
surface movement within the geo- to the intersection of 56° N., 128° W.,
graphical limits of a country or con- thence south along 128° meridian to
tinent. Lat. 55° N., thence by great circle arc
Land Station. A station in the mobile to the intersection of 54° N., 130° W.,
service not intended to be used while in thence by great circle arc to Port
motion. (RR) Clements, thence to the Pacific Ocean
Left-Hand (or Anti-Clockwise) Polarized where it ends. (FCC)
Wave. An elliptically or circularly-po- Maritime Mobile-Satellite Service. A
larized wave, in fixed plane, normal to mobile-satellite service in which mo-
the direction of propagation, whilst bile earth stations are located on board
looking in the direction of propagation, ships; survival craft stations and emer-
rotates with time in a left hand or gency position-indicating radiobeacon
anti-clockwise direction. (RR) stations may also participate in this
Line A. Begins at Aberdeen, Wash- service. (RR)
ington running by great circle arc to Maritime Mobile Service. A mobile
the intersection of 48° N., 120° W., service between coast stations and ship
thence along parallel 48° N., to the stations, or between ship stations, or
intersection of 95° W., thence by great between associated on-board commu-
circle arc through the southernmost nication stations; survival craft sta-
point of Duluth, Minn., thence by great tions and emergency position-indi-
circle arc to 45° N., 85° W., thence cating radiobeacon stations may also
southward along meridian 85° W., to its participate in this service. (RR)
intersection with parallel 41° N., thence Maritime Radionavigation-Satellite
along parallel 41° N., to its intersection Service. A radionavigation-satellite
with meridian 82° W., thence by great service in which earth stations are lo-
circle arc through the southernmost cated on board ships. (RR)
point of Bangor, Maine, thence by
Maritime Radionavigation Service. A
great circle arc through the southern-
radionavigation service intended for
most point of Searsport, Maine, at
the benefit and for the safe operation
which point it terminates. (FCC)
Line B. Begins at Tofino, B.C., run- of ships. (RR)
ning by great circle arc to the intersec- Marker Beacon. A transmitter in the
tion of 50° N., 125° W., thence along par- aeronautical radionavigation service
allel 50° N., to the intersection of 90° which radiates vertically a distinctive
W., thence by great circle arc to the pattern for providing position informa-
intersection of 45° N., 79°30′ W., thence tion to aircraft. (RR)
by great circle arc through the north- Mean Power (of a radio transmitter).
ernmost point of Drummondville, Que- The average power supplied to the an-
bec (Lat. 45°52′ N., Long 72°30′ W.), tenna transmission line by a trans-
thence by great circle arc to 48°30′ N., mitter during an interval of time suffi-
70° W., thence by great circle arc ciently long compared with the lowest
through the northernmost point of frequency encountered in the modula-
Compbellton, N.B., thence by great cir- tion taken under normal operating
cle are through the northernmost point conditions. (RR)
383
§ 2.1 47 CFR Ch. I (10–1–02 Edition)
Meteorological Aids Service. A radio- NOTE: Unless otherwise specified by the

communication service used for mete- CCIR for the appropriate class of emission,
orological, including hydrological, ob- the value of Beta/2 should be taken as 0.5%.
(RR)
servation and exploration. (RR)
Meteorological-Satellite Service. An On-Board Communication Station. A
earth exploration-satellite service for low-powered mobile station in the mar-
meteorological purposes. (RR) itime mobile service intended for use
Mobile Earth Station. An earth station for internal communications on board
in the mobile-satellite service intended a ship, or between a ship and its life-
to be used while in motion or during boats and life-rafts during lifeboat
halts at unspecified points. (RR) drills or operations, or for communica-
Mobile-Satellite Service. A radio- tion within a group of vessels being
communication service: towed or pushed, as well as for line
(1) Between mobile earth stations handling and mooring instructions.
and one or more space stations, or be- (RR)
tween space stations used by this serv- Orbit. The path, relative to a speci-
ice; or fied frame of reference, described by
(2) Between mobile earth stations by the centre of mass of a satellite or
means of one or more space stations. other object in space subjected pri-
marily to natural forces, mainly the
NOTE: This service may also include feeder
links necessary for its operation. (RR)
force of gravity. (RR)
Out-of-band Emission. Emission on a
Mobile Service. A radiocommunication frequency or frequencies immediately
service between mobile and land sta- outside the necessary bandwidth which
tions, or between mobile stations. results from the modulation process,
(CONV) but excluding spurious emissions. (RR)
Mobile Station. A station in the mo- Passive Sensor. A measuring instru-
bile service intended to be used while ment in the earth exploration-satellite
in motion or during halts at unspec- service or in the space research service
ified points. (RR) by means of which information is ob-
Multi-Satellite Link. A radio link be- tained by reception of radio waves of
tween a transmitting earth station and natural origin. (RR)
a receiving earth station through two Peak Envelope Power (of a radio trans-
or more satellites, without any inter- mitter). The average power supplied to
mediate earth station. the antenna transmission line by a
NOTE: A multisatellite link comprises one transmitter during one radio frequency
up-link, one or more satellite-to-satellite cycle at the crest of the modulation en-
links and one down-link. (RR) velope taken under normal operating
conditions. (RR)
Necessary Bandwidth. For a given
Period (of a satellite). The time elaps-
class of emission, the width of the fre-
ing between two consecutive passages
quency band which is just sufficient to
of a satellite through a characteristic
ensure the transmission of information
point on its orbit. (RR)
at the rate and with the quality re-
Permissible Interference. Observed or
quired under specified conditions. (RR)
predicted interference which complies
Non-Voice, Non-Geostationary Mobile- with quantitative interference and
Satellite Service. A mobile-satellite serv- sharing criteria contained in these
ice reserved for use by non-geo- [international Radio] Regulations or in
stationary satellites in the provision of CCIR Recommendations or in special
non-voice communications which may agreements as provided for in these
include satellite links between land Regulations. (RR)
earth stations at fixed locations. Port Operations Service. A maritime
Occupied Bandwidth. The width of a mobile service in or near a port, be-
frequency band such that, below the tween coast stations and ship stations,
lower and above the upper frequency or between ship stations, in which mes-
limits, the mean powers emitted are sages are restricted to those relating to
each equal to a specified percentage the operational handling, the move-
Beta/2 of the total mean power of a ment and the safty of ships and, in
given emission. emergency, to the safety of persons.
384
NOTE: Messages which are of a public cor- retrainsmitted, from the position to be
respondence nature shall be excluded from determined. (RR)
this service. (RR) Radar Beacon (RACON). A trans-
Port Station. A coast station in the mitter-receiver associated with a fixed
port operations service. (RR) navigational mark which, when trig-
Power. Whenever the power of a radio gered by a radar, automatically re-
transmitter, etc. is referred to it shall turns a distinctive signal which can ap-
be expressed in one of the following pear on the display of the triggering
forms, according to the class of emis- radar, providing range, bearing and
sion, using the arbitrary symbols indi- identification information. (RR)
cated: Radiation. The outward flow of en-
(1) Peak envelope power (PX or pX); ergy from any source in the form of
(2) Mean power (PY or pY); radio waves. (RR)
(3) Carrier power (PZ or pZ). Radio. A general term applied to the
use of radio waves. (CONV)
NOTE 1: For different classes of emission,
the relationships between peak envelope Radio Altimeter. Radionavigation
power, mean power and carrier power, under equipment, on board an aircraft or
the conditions of normal operation and of no spacecraft or the spacecraft above the
modulation, are contained in CCIR Rec- Earth’s surface or another surface.
ommendations which may be used as a guide. (RR)
NOTE 2: For use in formulae, the symbol Radio Astronomy. Astronomy based on
‘‘p’’ denotes power expressed in watts and
the reception of radio waves of cosmic
the symbol ‘‘P’’ denotes power expressed in
decibels relative to a reference level. (RR) origin. (RR)
Radio Astronomy Service. A service in-
Primary Radar. A radiodetermination volving the use of radio astronomy.
system based on the comparison of ref- (RR)
erence signals with radio signals re- Radio Astronomy Station. A station in
flected from the position to be deter- the radio astronomy service. (RR)
mined. (RR) Radiobeacon Station. A station in the
Protection Ratio. The minimum value radionavigation service the emissions
of the wanted-to-unwanted signal of which are intended to enable a mo-
ratio, usually expressed in decibels, at bile station to determine its bearing or
the receiver input determined under direction in relation to radiobeacon
specified conditions such that a speci- station. (RR)
fied reception quality of the wanted Radiocommunication. Telecommuni-
signal is achieved at the receiver out- cation by means of radio waves.
put. (RR) (CONV)
Public Correspondence. Any tele- Radiocommunication Service. A service
communication which the offices and as defined in this Section involving the
stations must, by reason of their being transmission, emission and/or recep-
at the disposal of the public, accept for tion of radio waves for specific tele-
transmission. (CONV) communication purposes.
Pulsed FM Systems. A pulsed FM sys-
tem is a spread spectrum system in NOTE: In these [international] Radio Regu-
which a RF carrier is modulated with a lations, unless otherwise stated, any radio-
communication service relates to terrestrial
fixed period and fixed duty cycle se-
radiocommunication. (RR)
quence. At the beginning of each trans-
mitted pulse, the carrier frequency is Radiodetermination. The determina-
frequency modulated causing an addition of the position, velocity and/or
tional spreading of the carrier. The other characteristics of an object, or
pattern of the frequency modulation the obtaining of information relating
will depend upon the spreading func- to these parameters, by means of the
tion which is chosen. In some systems propagation properties of radio waves.
the spreading function is a linear FM (RR)
chirp sweep, sweeping either up or Radiodetermination-Satellite Service. A
down in frequency. radiocommunication service for the
Radar. A radiodetermination system purpose of radiodetermination involv-
based on the comparison of reference ing the use or one of more space sta-
signals with radio signals reflected, or tions. This service may also include
385
§ 2.1 47 CFR Ch. I (10–1–02 Edition)
feeder links necessary for its own oper- the radiocommunication channels of
ation. (RR) the mobile service or of the mobile-sat-
Radiodetermination Service. A radio- ellite service. (RR)
communication service for the purpose Radiotelemetry. Telemetry by means
of radiodetermination. (RR) of radio waves. (RR)
Radiodetermination Station. A station Radiotelephone Call. A telephone call,
in the radiodetermination serviice. originating in or intended for a mobile
(RR) station or a mobile earth station,
Radio Direction-Finding. Radio- transmitted on all or part of its route
determination using the reception of over the radiocommunication channels
radio waves for the purpose of deter- of the mobile service or of the mobile-
mining the direction of a station or ob- satellite service. (RR)
ject. (RR) Radiotelex Call. A telex call, origi-
Radio Direction-Finding Station. A nating in or intended for a mobile sta-
radiodetermination station using radio tion or a mobile earth station, trans-
direction-finding. (RR) mitted on all or part of its route over
Radiolocation. Radiodetermination the radiocommunication channels of
used for purposes other than those of the mobile service or the mobile-sat-
radionavigation. (RR) ellite service. (RR)
Radiolocation Land Station. A station Radio Waves or Hertzian Waves. Elec-
in the radiolocation service not in- tromagnetic waves of frequencies arbi-
tended to be used while in motion. (RR) trarily lower than 3,000 GHz, propa-
Radiolocation Mobil Station. A station gated in space without aritificial
in the radiolocation service intended to guide. (RR)
be used while in motion or during halts Reduced Carrier Single-Sideband Emis-
at unspecified points. (RR) sion. A single-sideband emission in
Radiolocation Service. A radio- which the degree of carrier suppession
determination service for the purpose enables the carrier to be reconstrituted
of radiolocation. (RR) and to be used for demodulation. (RR)
Radionavigation. Radiodetermination Reference Frequency. A frequency hav-
used for the purposes of navigation, in- ing a fixed and specified position with
cluding obstruction warning. respect to the assigned frequency. The
Radionavigation Land Station. A sta- displacement of this frequency with re-
tion in the radionavigation service not spect to the assigned frequency has the
intended to be used while in motion. same absolute value and sign that the
(RR) displacement of the characteristic fre-
Radionavigation Mobile Station. A sta- quency has with respect to the centre
tion in the radionavigation service in- of the frequency band occupied by the
tended to be used while in motion or emission. (RR)
during halts at unspecified points. (RR) Reflecting Satellite. A satellite in-
Radionavigation-Satellite Service. A tended to reflect radiocommunication
radiodetermination-satellite service signals. (RR)
used for the purpose of radio- Right-Hand (or Clockwise) Polarized
navigation. This service may also in- Wave. An Elliptically or circularly-po-
clude feeder links necessary for its op- larized wave, in which the electric field
eration. (RR) vector, observed in any fixed plane,
Radionavigation Service. A radiod- normal to the direction of propagation,
etermination service for the purpose of whilst looking in the direction of prop-
radionavigation. (RR) agation, rotates with time in a right-
Radiosonde. An automatic radio hand or clockwise direction. (RR)
transmitter in the meteorological aids Safety Service. Any radio-
service usually carried on an aircraft, communication service used perma-
free ballon, kite or parachute, and nently or temporarily for the safe-
which transmits meteorological data. guarding of human life and property.
(RR) (CONV)
Radiotelegram. A telegram, origi- Satellite. A body which revolves
nating in or intended for a mobile sta- around another body of preponderant
tion or a mobile earth station trans- mass and which has a motion primarily
mitted on all or part of its route over and permanently determined by the
386
force of attraction of that other body. modulation type or maximum output

(RR) power (either radiated or conducted)
Satellite Link. A radio link between a can be altered by making a change in
transmitting earth station and a re- software without making any changes
ceiving earth station through one sat- to hardware components that affect
ellite. A satellite link comprises one the radio frequency emissions.
up-link and one down-link. (RR) Spacecraft. A man-made vehicle
Satellite Network. A satellite system which is intended to go beyond the
or a part of a satellite system, con- major portion of the Earth’s atmos-
sisting of only one satellite and the co- phere. (RR)
operating earth stations. (RR) Space Operation Service. A radio-
Satellite System. A space system using communication service concerned ex-
one or more artificial earth satellites. clusively with the operation of space-
(RR) craft, in particular space tracking,
Secondary Radar. A radiodetermin- space telemetry, and space tele-
ation system based on the comparison command.
of reference signals with radio signals
retransmitted from the position to be NOTE: These functions will normally be
provided within the service in which the
determined. (RR) space station is operating. (RR)
Semi-Duplex Operation. A method
which is simplex operation at one end Space Radiocommunication. Any radio-
of the circuit and duplex operation at communication involving the use of
the other.3 (RR) one or more space stations or the use
Ship Earth Station. A mobile earth of one or more reflecting satellites or
station in the maritime mobile-sat- other objects in space. (RR)
ellite service located on board ship. Space Research Service. A radio-
(RR) communication service in which space-
Ship Movement Service. A safety serv- craft or other objects in space are used
ice in the maritime mobile service for scientific or technological research
other than a port operations service, purposes. (RR)
between coast stations and ship sta- Space Station. A station located on an
tions, or between ship stations, in object which is beyond, is intended to
which messages are restricted to those go beyond, or has been beyond, the
relating to the movement of ships. major portion of the Earth’s atmos-
Messages which are of a public cor- phere. (RR)
respondence nature shall be excluded Space System. Any group of cooper-
from this service. (RR) ating Earth stations and/or space sta-
Ship’s Emergency Transmitter. A ship’s tions employing space radio-
transmitter to be used exclusively on a communication for specific purposes.
distress frequency for distress, urgency (RR)
or safety purposes. (RR) Space Telecommand. The use of radio-
Ship Station. A mobile station in the communication for the transmission of
maritime mobile service located on signals to a space station to initiate,
board a vessel which is not perma- modify or terminate functions of
nently moored, other than a survival equipment on a space object, incuding
craft station. (RR) the space station. (RR)
Simplex Operation. Operating method Space Telemetry. The use of telemetry
in which transmission is made possible for transmission for a space station of
alternatively in each direction of a results of measurements made in a
telecommunication channel, for exam- spacecraft, including those relating to
ple, by means of manual control. 5 (RR) the functioning of the spacecraft. (RR)
Single-Sideband Emission. An ampli- Space Tracking. Determination of the
tude modulated emission with one side- orbit, velocity or instanteneous posi-
band only. (RR) tion of an object in space by means of
Software defined radio. A radio that radiodetermination, excluding primary
includes a transmitter in which the op- radar, for the purpose of following the
erating parameters of frequency range, movement of the object. (RR)
Special Service. A radio-
5 (See footnote under Duplex Operations.) communication service, not otherwise
387
§ 2.1 47 CFR Ch. I (10–1–02 Edition)
defined in this Section, carried on ex- Suppressed Carrier Single-Sideband

clusively for specific needs of general Emission. A single-sideband emission in
utility, and not open to public cor- which the carrier is virtually sup-
respondence. (RR) pressed and not intended to be used for
Spread Spectrum Systems. A spread demodulation. (RR)
spectrum system is an information Survival Craft Station. A mobile sta-
bearing communications system in tion in the maritime mobile service or
which: (1) Information is conveyed by the aeronautical mobile service in-
modulation of a carrier by some con- tended solely for survival purposes and
ventional means, (2) the bandwidth is located on any lifeboat, life-raft or
deliberately widened by means of a other survival equipment. (RR)
spreading function over that which Telecommand. The use of tele-
would be needed to transmit the infor- communication for the transmission of
mation alone. (In some spread spec- signals to initiate, modify or terminate
trum systems, a portion of the infor- functions of equipment at a distance.
mation being conveyed by the system (RR)
Telecommunication. Any transmission,
may be contained in the spreading
emission or reception of signs, signals,
function.)
writing, images and sounds or intel-
Spurious Emission. Emission on a fre- ligence of any nature by wire, radio,
quency or frequencies which are out- optical or other electromagnetic sys-
side the necessary bandwidth and the tems. (CONV)
level of which may be reduced without Telegram. Written matter intended to
affecting the corresponding trans- be transmitted by telegraphy for deliv-
mission of information. Spurious emis- ery to the addressee. This term also in-
sions include harmonic emissions, cludes radiotelegrams unless otherwise
parasitic emissions, intermodulation specified.
products and frequency conversion
products, but exclude out-of-band emis- NOTE: In this definition the term telegraphy
has the same general meaning as defined in
sions. (RR) the Convention. (CONV)
Standard Frequency and Time Signal-
Satellite Service. A radiocommunication Telegraphy. A form of telecommuni-
service using space stations on earth cation which is concerned in any proc-
satellites for the same purposes as ess providing transmission and repro-
those of the standard frequency and duction at a distance of documentary
time signal service. matter, such as written or printed mat-
ter or fixed images, or the reproduction
NOTE: This service may also include feeder at a distance of any kind of informa-
links necessary for its operation. (RR) tion in such a form. For the purposes of
Standard Frequency and Time Signal the [international] Radio Regulations,
Service. A radiocommunication service unless otherwise specified therein, te-
for scientific, technical and other pur- legraphy shall mean a form of tele-
poses, providing the transmission of communication for the transmission of
specified frequencies, time signals, or written matter by the use of a signal
both, of stated high precision, intended code. 6 (RR)
for general reception. (RR) Telemetry. The use of telecommuni-
cation for automatical indicating or
Standard Frequency and Time Signal
recording measurements at a distance
Station. A station in the standard fre-
from the measuring instrument. (RR)
quency and time signal service. (RR) Telephony. A form of telecommuni-
Station. One or more transmitters or cation set up for the transmission of
receivers or a combination of transmit- speech or, in some cases, other
ters and receivers, including the acces- sounds. 7 (RR)
sory equipment, necessary at one loca- Television. A form of telecommuni-
tion for carrying on a radio- cation for the transmission of tran-
communication service, or the radio sient images of fixed or moving ob-
astronomy service. jects. (RR)
NOTE: Each station shall be classified by
the service in which it operates permanently 6 (See footnote under Harmful Interference)
or temporarily. (RR) 7 (See footnote under Harmful Interference)
388
Terrestrial Radiocommunication. Any § 2.101 Nomenclature of frequencies.

radiocommunication other than space
Band No. Frequency subdivision Frequency range
radiocommunication or radio astron-
omy. (RR) 4 ............ VLF (very low fre- Below 30 kHz.
Terrestrial Station. A station effecting quency).
5 ............ LF (low frequency) ....... 30 to 300 kHz.
terrestrial radiocommunication. 6 ............ MF (medium frequency) 300 to 3000 kHz.
7 ............ HF (high frequency) ..... 3 to 30 MHz.
NOTE: In these [international Radio] Regu-
8 ............ VHF (very high fre- 30 to 300 MHz.
lations, unless otherwise stated, any station quency).
is a terrestrial station. (RR) 9 ............ UHF (ultra high fre- 300 to 3000 MHz.
quency).
Time Hopping Systems. A time hopping 10 .......... SHF (super high fre- 3 to 30 GHz.
system is a spread spectrum system in quency).
which the period and duty cycle of a 11 .......... EHF (extremely high 30 to 300 GHz
frequency).
pulsed RF carrier are varied in a 12 .......... ...................................... 300 to 3000 GHz.
pseudorandom manner under the con-
trol of a coded sequence. Time hopping
§ 2.102 Assignment of frequencies.
is often used effectively with frequency
hopping to form a hybrid time-division, (a) Except as otherwise provided in
multiple-access (TDMA) spread spec- this section, the assignment of fre-
trum system. quencies and bands of frequencies to all
Transponder. A transmitter-receiver stations and classes of stations and the
facility the function of which is to licensing and authorizing of the use of
transmit signals automatically when all such frequencies between 9 kHz and
the proper interrogation is received. 400 GHz, and the actual use of such fre-
(FCC) quencies for radiocommunication or
Tropospheric Scatter. The propagation for any other purpose, including the
of radio waves by scattering as a result transfer of energy by radio, shall be in
of irregularities or discontinuities in accordance with the Table of Fre-
the physical properties of the tropo- quency Allocations in § 2.106.
sphere. (RR) (b) On the condition that harmful in-
terference will not be caused to serv-
Unwanted Emissions. Consist of spu-
ices operating in accordance with the
rious emissions and out-of-band emis-
Table of Frequency Allocations the fol-
sions. (RR)
lowing exceptions to paragraph (a) of
[49 FR 2368, Jan. 19, 1984, as amended at 50 this section may be authorized:
FR 25239, June 18, 1985; 51 FR 37399, Oct. 22, (1) In individual cases the Commis-
1986; 52 FR 7417, Mar. 11, 1987; 54 FR 49980, sion may, without rule making pro-
Dec. 4, 1990; 55 FR 28761, July 13, 1990; 56 FR ceedings, authorize on a temporary
42703, Aug. 29, 1991; 58 FR 68058, Dec. 23, 1993; basis only, the use of frequencies not in
62 FR 26242, May 13, 1997; 65 FR 60109, Oct. 10,
accordance with the Table of Fre-
2000; 66 FR 50840, Oct. 5, 2001]
quency Allocations for projects of
short duration or emergencies where
Subpart B—Allocation, Assign- the Commission finds that important
ment, and Use of Radio Fre- or exceptional circumstances require
quencies such utilization. Such authorizations
are not intended to develop a service to
SOURCE: 49 FR 2373, Jan. 19, 1984, unless be operated on frequencies other than
otherwise noted. those allocated such service.
(2) A station for the development of
§ 2.100 International regulations in techniques or equipment to be em-
force. ployed by services set forth in column
The International 5 of the Table of Frequency Allocations
may be authorized the use of fre-
Radiocommunication Union Radio Reg-
quencies allocated to those services or
ulations, Edition of 2001, became effec-
classes of stations.
tive internationally on January 1, 2002,
(3) Experimental stations pursuant to
except as provided in the references in
part 5, may be authorized the use of
Article 59.
any frequency or frequency band not
[67 FR 59601, Sept. 23, 2002] exclusively allocated to the passive
389
§ 2.102 47 CFR Ch. I (10–1–02 Edition)
services (including the Radio Astron- area in which interference is likely to

omy Service). be caused. In particular, aircraft sta-
(4) In the event a band is reallocated tions operating in Region 1 should not
so as to delete its availability for use use frequencies in the bands above 30
by a particular service, the Commis- MHz allocated to the maritime mobile
sion may provide for the further in- service by virtue of any agreement be-
terim use of the band by stations in tween administrations in that Region.
that service for a temporary, specific (e) Non-Government services oper-
period of time. ating on frequencies in the band 25–50
(c) Non-Government stations may be MHz must recognize that it is shared
authorized to use Government fre- with various services of other coun-
quencies in the bands above 25 MHz if tries; that harmful interference may be
the Commission finds, after consulta- caused by skywave signals received
tions with the appropriate Government from distant stations of all services of
agency or agencies, that such use is the United States and other countries
necessary for coordination of Govern- radiating power on frequencies in this
ment and non-Government activities: band; and that no protection from such
Provided, however, that: harmful interference generally can be
(1) Non-Government operation on expected. Persons desiring to avoid
Government frequencies shall conform such harmful interference should con-
with the conditions agreed upon by the sider operation on available fre-
Commission and the National Tele- quencies higher in the radio spectrum
communications and Information Ad- not generally subject to this type of
ministration (NTIA) (the more impor- difficulty.
tant of which are contained in para- (f) The stations of a service shall use
graphs (c) (2), (3), and (4) of this sec- frequencies so separated from the lim-
tion); its of a band allocated to that service
(2) Such operations shall be in ac- as not to cause harmful interference to
cordance with NTIA rules governing allocated services in immediately ad-
the service to which the frequencies in- joining frequency bands.
volved are allocated;
(g) In the bands above 25 MHz which
(3) Such operations shall not cause
are allocated to the non-Government
harmful interference to Government
land mobile service, fixed stations may
stations and, should harmful inter-
be authorized on the following condi-
ference result, that the interfering
tions:
non-Government operation shall imme-
(1) That such stations are authorized
diately terminate; and
in the service shown in Column 5 of the
(4) Non-Government operation has
Table of Frequency Allocations in the
been certified as necessary by the Gov-
band in question;
ernment agency involved and this cer-
tification has been furnished, in writ- (2) That harmful interference will not
ing, to the non-Government licensee be caused to services operating in ac-
with which communication is required. cordance with the Table of Frequency
(d) Aircraft stations may commu- Allocations.
nicate with stations of the maritime (h) Special provisions regarding the
mobile service. They shall then con- use of spectrum allocated to the fixed
form to those provisions of the inter- and land mobile services below 25 MHz
national Radio Regulations which relate by non-Government stations.
to the maritime mobile service. For (1) Only in the following cir-
this purpose aircraft stations should cumstances will authority be extended
use the frequencies allocated to the to stations in the fixed service to oper-
maritime mobile service. However, ate on frequencies below 25 MHz.
having regard to interference which (i) With respect to aeronautical fixed
may be caused by aircraft stations at stations, only when a showing can be
high altitudes, maritime mobile fre- made that more suitable facilities are
quencies in the bands above 30 MHz not available.
shall not be used by aircraft stations in (ii) With respect to fixed stations, ex-
any specific area without the prior cept aeronautical fixed stations, only
agreement of all administrations of the to:
390
(A) Provide communication circuits from a foreign source, the offending

in emergency and/or disaster situa- circuit(s) must cease operation on the
tions, where safety of life and property particular frequency concerned.
are concerned; (iii) In order to accommodate the sit-
(B) Provide standby and/or backup fa- uations described in paragraphs (h)(3)
cilities to satellite and cable circuits (i) and (ii) of this section, equipments
used for international public cor- shall be capable of transmitting and re-
respondence; ceiving on any frequency in the bands
(C) Provide standby and/or backup assigned to the particular operation
communications circuits to regular do- and capable of immediate change
mestic communication circuits which among the frequencies.
have been disrupted by disasters and/or
emergencies; § 2.103 Government use of non-Govern-
(D) Provide communication circuits ment frequencies.
wholly within the State of Alaska and (a) Government stations may be au-
the United States insular areas in the thorized to use non-Government fre-
Pacific; and quencies in the bands above 25 MHz
(E) Provide communication circuits (except the 764–776 MHz and 794–806
to support operations which are highly MHz public safety bands) if the Com-
important to the national interest and mission finds that such use is nec-
where other means of telecommuni- essary for coordination of Government
cation are unavailable. and non-Government activities: Pro-
(2) Only in the following cir- vided, however, that:
cumstances will authority be extended (1) Government operation on non-
to stations in the land mobile service Government frequencies shall conform
to operate below 25 MHz. with the conditions agreed upon by the
(i) Provide communication circuits Commission and the National Tele-
in emergency and/or disaster situa- communications and Information Ad-
tions, where safety of life and property ministration (the more important of
are concerned; which are contained in paragraphs
(ii) Provide standby and/or backup (a)(2), (a)(3) and (a)(4) of this section);
communications circuits to regular do- (2) Such operations shall be in ac-
mestic communication circuits which cordance with Commission rules gov-
have been disrupted by disasters and/or erning the service to which the fre-
emergencies; quencies involved are allocated;
(iii) Provide communication circuits (3) Such operations shall not cause
wholly within the State of Alaska and harmful interference to non-Govern-
the United States insular areas in the ment stations and, should harmful in-
Pacific; and terference result, that the interfering
(iv) Provide communication circuits Government operation shall imme-
to support operations which are highly diately terminate; and
important to the national interest and (4) Government operation has been
where other means of telecommuni- certified as necessary by the non-Gov-
cation are unavailable. ernment licensees involved and this
(3) Except in the State of Alaska and certification has been furnished, in
the United States Pacific insular areas, writing, to the Government agency
the Commission does not intend to with which communication is required.
seek international protection for as- (b) Government stations may be au-
signments made pursuant to para- thorized to use channels in the 764–776
graphs (h) (1)(ii) and (2) of this section; MHz and 794–806 MHz public safety
this results in the following con- bands with non-Government entities if
straints upon the circuits/assignments. the Commission finds such use nec-
(i) The Commission will not accept essary; where:
responsibility for protection of the cir- (1) The stations are used for inter-
cuits from harmful interference caused operability or part of a Government/
by foreign operations. non-Government shared or joint-use
(ii) In the event that a complaint of system;
harmful interference resulting from op- (2) The Government entity obtains
eration of these circuits is received the approval of the non-Government
391
§ 2.104 47 CFR Ch. I (10–1–02 Edition)
(State/local government) licensee(s) or on the west by line A, except any of the

applicant(s) involved; territory of Armenia, Azerbaijan, Rus-
(3) Government operation is in ac- sian Federation, Georgia, Kazakstan,
cordance with the Commission’s Rules Mongolia, Uzbekistan, Kyrgyzstan,
governing operation of this band and Tajikistan, Turkmenistan, Turkey and
conforms with any conditions agreed Ukraine and the area to the north of
upon by the Commission and the Na- Russian Federation. It also includes
tional Telecommunications and Infor- that part of the territory of the Islamic
mation Administration; and Republic of Iran lying outside of those
(4) Interoperability, shared or joint- limits.
use systems are the subject of a mutual (4) The lines A, B and C are defined as
agreement between the Government follows:
and non-Government entities. This sec- (i) Line A. Line A extends from the
tion does not preclude other arrange- North Pole along meridian 40° East of
ments or agreements as permitted Greenwich to parallel 40° North; thence
under part 90 of the rules. See 47 CFR by great circle arc to the intersection
90.179 and 90.421 of this chapter. of meridian 60° East and the Tropic of
[63 FR 58650, Nov. 2, 1998] Cancer; thence along the meridian 60°
East to the South Pole.
§ 2.104 International Table of Fre- (ii) Line B. Line B extends from the
quency Allocations. North Pole along meridian 10° West of
(a) The International Table of Fre- Greenwich to its intersection with par-
quency Allocations is subdivided into allel 72° North; thence by great circle
the Region 1 Table (column 1 of § 2.106), arc to the intersection of meridian 50°
the Region 2 Table (column 2 of § 2.106), West and parallel 40° North; thence by
and the Region 3 Table (column 3 of great circle arc to the intersection of
§ 2.106). The International Table is in- meridian 20° West and parallel 10°
cluded for informational purposes only. South; thence along meridian 20° West
(b) Regions. For the allocation of fre- to the South Pole.
quencies the International Tele- (iii) Line C. Line C extends from the
communication Union (ITU) has di- North Pole by great circle arc to the
vided the world into three Regions 1 as intersection of parallel 65° 30′ North
shown in Figure 1 of this section and with the international boundary in
described as follows: Bering Strait; thence by great circle
(1) Region 1. Region 1 includes the arc to the intersection of meridian 165°
area limited on the east by line A East of Greenwich and parallel 50°
(lines A, B and C are defined below) and North; thence by great circle arc to the
on the west by line B, excluding any of intersection of meridian 170° West and
the territory of the Islamic Republic of parallel 10° North; thence along par-
Iran which lies between these limits. It allel 10° North to its intersection with
also includes the whole of the territory meridian 120° West; thence along me-
of Armenia, Azerbaijan, Russian Fed- ridian 120° West to the South Pole.
eration, Georgia, Kazakstan, Mongolia, (c) Areas. To further assist in the
Uzbekistan, Kyrgyzstan, Tajikistan, international allocation of the radio
Turkmenistan, Turkey and Ukraine spectrum, the ITU has established five
and the area to the north of Russian special geographical areas and they are
Federation which lies between lines A defined as follows:
and C. (1) The term ‘‘African Broadcasting
(2) Region 2. Region 2 includes the Area’’ means:
area limited on the east by line B and (i) African countries, parts of coun-
on the west by line C. tries, territories and groups of terri-
(3) Region 3. Region 3 includes the tories situated between the parallels
area limited on the east by line C and 40° South and 30° North;
(ii) Islands in the Indian Ocean west
1 It should be noted that where the words of meridian 60° East of Greenwich, situ-
‘‘regions’’ or ‘‘regional’’ are without a cap- ated between the parallel 40° South and
ital ‘‘R,’’ they do not relate to the three Re- the great circle arc joining the points
gions here defined for purposes of frequency 45° East, 11° 30′ North and 60° East, 15°
allocation. North; and
392
(iii) Islands in the Atlantic Ocean (5) A sub-Region is an area consisting

east of line B, situated between the of two or more countries in the same
parallels 40° South and 30° North. Region.
(2) The ‘‘European Broadcasting (d) Categories of services and alloca-
Area’’ is bounded on the west by the tions. (1) Primary and secondary serv-
western boundary of Region 1, on the ices. Where, in a box of the Inter-
east by the meridian 40° East of Green- national Table in § 2.106, a band is indi-
wich and on the south by the parallel cated as allocated to more than one
30° North so as to include the northern service, either on a worldwide or Re-
part of Saudi Arabia and that part of gional basis, such services are listed in
those countries bordering the Medi- the following order:
terranean within these limits. In addi- (i) Services the names of which are
tion, Iraq, Jordan and that part of the printed in ‘‘capitals’’ (example:
territory of Syria, Turkey and Ukraine FIXED); these are called ‘‘primary’’
lying outside the above limits are in- services; and
cluded in the European Broadcasting (ii) Services the names of which are
Area. printed in ‘‘normal characters’’
(3) The ‘‘European Maritime Area’’ is (example: Mobile); these are called
bounded to the north by a line extend- ‘‘secondary’’ services (see paragraph
ing along parallel 72° North from its (d)(3) of this section).
intersection with meridian 55° East of (2) Additional remarks shall be print-
Greenwich to its intersection with me- ed in normal characters (example: MO-
ridian 5° West, then along meridian 5° BILE except aeronautical mobile).
West to its intersection with parallel
(3) Stations of a secondary service:
67° North, thence along parallel 67°
(i) Shall not cause harmful inter-
North to its intersection with meridian
ference to stations of primary services
32° West; to the west by a line extend-
to which frequencies are already as-
ing along meridian 32° West to its
signed or to which frequencies may be
intersection with parallel 30° North; to
assigned at a later date;
the south by a line extending along
parallel 30° North to its intersection (ii) Cannot claim protection from
with meridian 43° East; to the east by harmful interference from stations of a
a line extending along meridian 43° primary service to which frequencies
East to its intersection with parallel are already assigned or may be as-
60° North, thence along parallel 60° signed at a later date; and
North to its intersection with meridian (iii) Can claim protection, however,
55° East and thence along meridian 55° from harmful interference from sta-
East to its intersection with parallel tions of the same or other secondary
72° North. service(s) to which frequencies may be
(4) The ‘‘Tropical Zone’’ (see Figure 1 assigned at a later date.
of this section) is defined as: (4) Where a band is indicated in a
(i) The whole of that area in Region footnote of the International Table as
2 between the Tropics of Cancer and allocated to a service ‘‘on a secondary
Capricorn. basis’’ in an area smaller than a Re-
(ii) The whole of that area in Regions gion, or in a particular country, this is
1 and 3 contained between the parallels a secondary service (see paragraph
30° North and 35° South with the addi- (d)(3) of this section).
tion of: (5) Where a band is indicated in a
(A) The area contained between the footnote of the International Table as
meridians 40° East and 80° East of allocated to a service ‘‘on a primary
Greenwich and the parallels 30° North basis’’, in an area smaller than a Re-
and 40° North; and gion, or in a particular country, this is
(B) That part of Libya north of par- a primary service only in that area or
allel 30° North. country.
(iii) In Region 2, the Tropical Zone (e) Additional allocations. (1) Where a
may be extended to parallel 33° North, band is indicated in a footnote of the
subject to special agreements between International Table as ‘‘also allocated’’
the countries concerned in that Re- to a service in an area smaller than a
gion. Region, or in a particular country, this
393
§ 2.104 47 CFR Ch. I (10–1–02 Edition)
is an ‘‘additional’’ allocation, i.e. an al- not claim protection from harmful in-
location which is added in this area or terference caused by other services to
in this country to the service or serv- which the band is allocated under
ices which are indicated in the Inter- Chapter SII of the international Radio
national Table. Regulations.
(2) If the footnote does not include (2) Except if otherwise specified in a
any restriction on the service or serv- footnote, the term ‘‘fixed service’’,
ices concerned apart from the restric- where appearing in the International
tion to operate only in a particular Table, does not include systems using
area or country, stations of this service ionospheric scatter propagation.
or these services shall have equality of (h) Description of the International
right to operate with stations of the Table of Frequency Allocations. (1) The
other primary service or services indi- heading of the International Table in-
cated in the International Table. cludes three columns, each of which
(3) If restrictions are imposed on an corresponds to one of the Regions (see
additional allocation in addition to the paragraph (b) of this section). Where an
restriction to operate only in a par- allocation occupies the whole of the
ticular area or country, this is indi- width of the Table or only one or two
cated in the footnote of the Inter- of the three columns, this is a world-
national Table. wide allocation or a Regional alloca-
(f) Alternative allocations. (1) Where a tion, respectively.
band is indicated in a footnote of the
(2) The frequency band referred to in
International Table as ‘‘allocated’’ to
each allocation is indicated in the left-
one or more services in an area smaller
hand top corner of the part of the
than a Region, or in a particular coun-
Table concerned.
try, this is an ‘‘alternative’’ allocation,
i.e. an allocation which replaces, in (3) Within each of the categories
this area or in this country, the alloca- specified in paragraph (d)(1) of this sec-
tion indicated in the Table. tion, services are listed in alphabetical
(2) If the footnote does not include order according to the French lan-
any restriction on stations of the serv- guage. The order of listing does not in-
ice or services concerned, apart from dicate relative priority within each
the restriction to operate only in a par- category.
ticular area or country, these stations (4) In the case where there is a par-
of such a service or services shall have enthetical addition to an allocation in
an equality of right to operate with the International Table, that service
stations of the primary service or serv- allocation is restricted to the type of
ices, indicated in the International operation so indicated.
Table, to which the band is allocated in (5) The footnote references which ap-
other areas or countries. pear in the International Table below
(3) If restrictions are imposed on sta- the allocated service or services apply
tions of a service to which an alter- to the whole of the allocation con-
native allocation is made, in addition cerned.
to the restriction to operate only in a (6) The footnote references which ap-
particular country or area, this is indi- pear to the right of the name of a serv-
cated in the footnote. ice are applicable only to that par-
(g) Miscellaneous provisions. (1) Where ticular service.
it is indicated that a service may oper- (7) In certain cases, the names of
ate in a specific frequency band subject countries appearing in the footnotes
to not causing harmful interference, have been simplified in order to short-
this means also that this service can- en the text.
394
FIGURE 1 TO § 2.104—MAP
[65 FR 4636, Jan. 31, 2000]
395
ER31JA00.000</GPH>
§ 2.105 47 CFR Ch. I (10–1–02 Edition)
§ 2.105 United States Table of Fre- Telecommunication Union (ITU) in the

quency Allocations. international Radio Regulations.
(a) The United States Table of Fre- (c) Category of services. (1) Any seg-
quency Allocations (United States ment of the radio spectrum may be al-
Table) is subdivided into the Federal located to the Federal government and/
Government Table of Frequency Allo- or non-Federal government sectors ei-
cations (Federal Government Table, ther on an exclusive or shared basis for
column 4 of § 2.106) and the Non-Federal use by one or more radio services. In
Government Table of Frequency Allo- the case where an allocation has been
cations (Non-Federal Government made to more than one service, such
Table, column 5 of § 2.106). The United services are listed in the following
States Table is based on the Region 2 order:
Table because the relevant area of ju- (i) Services, the names of which are
risdiction is located primarily in Re- printed in ‘‘capitals’’ [example:
gion 2 1 (i.e., the 50 States, the District FIXED]; these are called ‘‘primary’’
of Columbia, the Caribbean insular services;
areas 2 and some of the Pacific insular (ii) Services, the names of which are
areas).3, 4 The Federal Government printed in ‘‘normal characters’’
Table is administered by the National [example: Mobile]; these are called
Telecommunications and Information ‘‘secondary’’ services.
Administration (NTIA) 5, whereas the (2) Stations of a secondary service:
Non-Federal Government Table is ad- (i) Shall not cause harmful inter-
ministered by the Federal Communica- ference to stations of primary services
tions Commission (FCC).6 to which frequencies are already as-
(b) In the United States, radio spec- signed or to which frequencies may be
trum may be allocated to either Fed- assigned at a later date;
eral government or non-Federal gov- (ii) Cannot claim protection from
ernment use exclusively, or for shared harmful interference from stations of a
use. In the case of shared use, the type primary service to which frequencies
of service(s) permitted need not be the are already assigned or may be as-
same [e.g., Federal government FIXED, signed at a later date; and
non-Federal government MOBILE]. (iii) Can claim protection, however,
The terms used to designate categories from harmful interference from sta-
of services and allocations 7 in columns tions of the same or other secondary
4 and 5 of § 2.106 correspond to the service(s) to which frequencies may be
terms employed by the International assigned at a later date.
(d) Format of the United States Table
1 See§ 2.104(a)(1) for definition of Region 2. and the Rule Part Cross Reference Col-
2 The Caribbean insular areas are: The umn. (1) The frequency band referred to
Commonwealth of Puerto Rico; the unincor- in each allocation, column 4 for Fed-
porated territory of the United States Virgin eral government and column 5 for non-
Islands; and Navassa Island.
3 The Pacific insular areas located in Re- Federal government, is indicated in the
gion 2 are: Johnston Atoll and Midway Atoll. left-hand top corner of the column. If
4 The operation of stations in the Pacific there is no service or footnote indi-
insular areas located in Region 3 are gen- cated for a band of frequencies in ei-
erally governed by the International plan for ther column 4 or 5, then the Federal
Region 3 (i.e., column 3 of § 2.106). The Pacific government or the non-Federal govern-
insular areas located in Region 3 are: the ment sector, respectively, has no ac-
Commonwealth of the Northern Mariana Is-
lands; the unincorporated territory of Amer- cess to that band except as provided for
ican Samoa; the unincorporated territory of by § 2.102.
Guam; and Baker Island, Howland Island, (2) When the Federal Government
Jarvis Island, Kingman Reef, Palmyra Island and Non-Federal Government Tables
and Wake Island. are exactly the same for a shared band,
5 Section 305(a) of the Communications Act
the line between columns 4 and 5 is de-
of 1934, as amended. See Pub. Law 102–538, 106 leted and the allocations are shown
Stat. 3533 (1992).
6 The Communications Act of 1934, as once.
amended. (3) The Federal Government Table,
7 Definitions of the various radio services given in column 4, is included for infor-
used are contained in § 2.1. mational purposes only.
396
(4) In the case where there is a par- its, e.g., NG2, denotes a stipulation ap-
enthetical addition to an allocation in plicable only to the Non-Federal Gov-
the United States Table [example: ernment Table (column 5).
FIXED-SATELLITE (space-to-earth)], (iv) Any footnote consisting of the
that service allocation is restricted to letter G following by one or more dig-
the type of operation so indicated. its, e.g., G2, denotes a stipulation appli-
(5) The following symbols are used to cable only to the Federal Government
designate footnotes in the United Table (column 4).
States Table: (6) If a frequency or frequency band
(i) Any footnote consisting of ‘‘S5.’’ has been allocated to a
followed by one or more digits, e.g., radiocommunication service in the
S5.53, or any footnote not prefixed by a Non-Federal Government Table, then a
letter, e.g., 459, denotes an inter- cross reference may be added for the
national footnote. Where an inter- pertinent FCC Rule part (column 6 of
national footnote is applicable, with- § 2.106). For example, the 849–851 MHz
out modification, to the United States band is allocated to the non-Federal
Table, the footnote appears in the government aeronautical mobile serv-
United States Table (columns 4 and 5) ice, rules for the use of the 849–851 MHz
and denotes a stipulation affecting band have been added to Part 22—Pub-
both the Federal Government Table lic Mobile Services (47 CFR part 22),
and the Non-Federal Government and a cross reference, Public Mobile
Table. If, however, an international (22), has been added in Column 6 of the
footnote pertains to a service allocated Table. The exact use that can be made
only for Federal government or non- of any given frequency or frequency
Federal government use, the inter- band (e.g., channelling plans, allowable
national footnote will be placed only in emissions, etc.) is given in the FCC
the affected Table. For example, Rule part(s) so indicated. The FCC
‘‘AMATEUR S5.142’’ shall be shown Rule parts in this column are not allo-
only in the Non-Federal Government cations and are provided for informa-
Table. tional purposes only. This column also
(ii) Any footnote consisting of the may contain explanatory notes for in-
letters US followed by one or more dig- formational purposes only.
its, e.g., US7, denotes a stipulation af-
[65 FR 4640, Jan. 31, 2000]
fecting both the Federal Government
Table and the Non-Federal Government § 2.106 Table of Frequency Allocations.
Table.
(iii) Any footnote consisting of the EDITORIAL NOTE: The text of § 2.106 begins
letters NG followed by one or more dig- on the following page.
397
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
398
ER23SE02.000</GPH>
399
ER23SE02.001</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
400
ER23SE02.002</GPH>
401
ER23SE02.003</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
402
ER23SE02.004</GPH>
403
ER23SE02.005</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
404
ER23SE02.006</GPH>
405
ER23SE02.007</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
406
ER23SE02.008</GPH>
407
ER23SE02.009</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
408
ER23SE02.010</GPH>
409
ER23SE02.011</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
410
ER23SE02.012</GPH>
411
ER23SE02.013</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
412
ER23SE02.014</GPH>
413
ER23SE02.015</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
414
ER23SE02.016</GPH>
415
ER23SE02.017</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
416
ER23SE02.018</GPH>
417
ER23SE02.019</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
418
ER23SE02.020</GPH>
419
ER23SE02.021</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
420
ER23SE02.022</GPH>
421
ER23SE02.023</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
422
ER23SE02.024</GPH>
423
ER23SE02.025</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
424
ER23SE02.026</GPH>
425
ER23SE02.027</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
426
ER23SE02.028</GPH>
427
ER23SE02.029</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
428
ER23SE02.030</GPH>
429
ER23SE02.031</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
430
ER23SE02.032</GPH>
431
ER23SE02.033</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
432
ER23SE02.034</GPH>
433
ER23SE02.035</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
434
ER23SE02.036</GPH>
435
ER23SE02.037</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
436
ER23SE02.038</GPH>
437
ER23SE02.039</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
438
ER23SE02.040</GPH>
439
ER23SE02.041</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
440
ER23SE02.042</GPH>
441
ER23SE02.043</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
442
ER23SE02.044</GPH>
443
ER23SE02.045</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
444
ER23SE02.046</GPH>
445
ER23SE02.047</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
446
ER23SE02.048</GPH>
447
ER23SE02.049</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
448
ER23SE02.050</GPH>
449
ER23SE02.051</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
450
ER23SE02.052</GPH>
451
ER23SE02.053</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
452
ER23SE02.054</GPH>
453
ER23SE02.055</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
454
ER23SE02.056</GPH>
455
ER23SE02.057</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
456
ER23SE02.058</GPH>
457
ER23SE02.059</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
458
ER23SE02.060</GPH>
459
ER23SE02.061</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
460
ER23SE02.062</GPH>
461
ER23SE02.063</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
462
ER23SE02.064</GPH>
463
ER23SE02.065</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
464
ER23SE02.066</GPH>
465
ER23SE02.067</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
466
ER23SE02.068</GPH>
467
ER23SE02.069</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
468
ER23SE02.070</GPH>
469
ER23SE02.071</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
470
ER23SE02.072</GPH>
471
ER23SE02.073</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
472
ER23SE02.074</GPH>
473
ER23SE02.075</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
474
ER23SE02.076</GPH>
475
ER23SE02.077</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
476
ER23SE02.078</GPH>
477
ER23SE02.079</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
478
ER23SE02.080</GPH>
479
ER23SE02.081</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
480
ER23SE02.082</GPH>
481
ER23SE02.083</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
482
ER23SE02.084</GPH>
483
ER23SE02.085</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
484
ER23SE02.086</GPH>
485
ER23SE02.087</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
486
ER23SE02.088</GPH>
INTERNATIONAL FOOTNOTES has substantively revised the text of certain

of these international footnotes. These inter-
NOTE: The International Telecommuni-
national footnotes shall be listed imme-
cation Union has re-numbered international
diately below this note in I. Until such time
footnotes using a new numbering scheme and
487
ER23SE02.089</GPH>
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
as the Commission has considered the sub- navigation service in the bands 70–90 kHz and
stantively revised international footnotes 110–130 kHz shall be subject to agreement ob-
that have previously been adopted domesti- tained under No. 9.21 with administrations
cally, certain of the old international foot- whose services, operating in accordance with
notes shall apply in the United States. These the Table, may be affected. However, sta-
footnotes appear immediately after footnote tions of the fixed, maritime mobile and
5.565 in II. radiolocation services shall not cause harm-
ful interference to stations in the maritime
I. New Numbering Scheme
radionavigation service established under
5.53 Administrations authorizing the use such agreements.
of frequencies below 9 kHz shall ensure that 5.62 Administrations which operate sta-
no harmful interference is caused thereby to tions in the radionavigation service in the
the services to which the bands above 9 kHz band 90–110 kHz are urged to coordinate tech-
are allocated. nical and operating characteristics in such a
5.54 Administrations conducting sci- way as to avoid harmful interference to the
entific research using frequencies below 9 services provided by these stations.
kHz are urged to advise other administra- 5.64 Only classes A1A or F1B, A2C, A3C,
tions that may be concerned in order that F1C or F3C emissions are authorized for sta-
such research may be afforded all practicable tions of the fixed service in the bands allo-
protection from harmful interference. cated to this service between 90 kHz and 160
5.55 Additional allocation: in Armenia,
kHz (148.5 kHz in Region 1) and for stations
Azerbaijan, Bulgaria, Georgia, Kyrgyzstan,
of the maritime mobile service in the bands
the Russian Federation, Tajikistan and
allocated to this service between 110 kHz and
Turkmenistan, the band 14–17 kHz is also al-
160 kHz (148.5 kHz in Region 1). Exception-
located to the radionavigation service on a
primary basis. ally, class J2B or J7B emissions are also au-
5.56 The stations of services to which the thorized in the bands between 110 kHz and
bands 14–19.95 kHz and 20.05–70 kHz and in 160 kHz (148.5 kHz in Region 1) for stations of
Region 1 also the bands 72–84 kHz and 86–90 the maritime mobile service.
kHz are allocated may transmit standard 5.65 Different category of service: in Ban-
frequency and time signals. Such stations gladesh, the allocation of the bands 112–117.6
shall be afforded protection from harmful in- kHz and 126–129 kHz to the fixed and mari-
terference. In Armenia, Azerbaijan, Belarus, time mobile services is on a primary basis
Bulgaria, Georgia, Kazakstan, Mongolia, (see No. 5.33).
Uzbekistan, Kyrgyzstan, Slovakia, the Czech 5.66 Different category of service: in Ger-
Rep., Russian Federation, Tajikistan, many, the allocation of the band 115–117.6
Turkmenistan and Ukraine, the frequencies kHz to the fixed and maritime mobile serv-
25 kHz and 50 kHz will be used for this pur- ices is on a primary basis (see No. 5.33) and
pose under the same conditions. to the radionavigation service on a sec-
5.57 The use of the bands 14–19.95 kHz, ondary basis (see No. 5.32).
20.05–70 kHz and 70–90 kHz (72–84 kHz and 86– 5.67 Additional allocation: in Azerbaijan,
90 kHz in Region 1) by the maritime mobile Bulgaria, Mongolia, Kyrgyzstan, Romania
service is limited to coast radiotelegraph and Turkmenistan, the band 130–148.5 kHz is
stations (A1A and F1B only). Exceptionally, also allocated to the radionavigation service
the use of class J2B or J7B emissions is au- on a secondary basis. Within and between
thorized subject to the necessary bandwidth these countries this service shall have an
not exceeding that normally used for class equal right to operate.
A1A or F1B emissions in the band concerned.
5.68 Alternative allocation: in Angola, Bot-
swana, Burundi, the Congo, Malawi, Dem.
Azerbaijan, Georgia, Kazakstan, Kyrgyzstan,
the Russian Federation, Tajikistan and Rep. of the Congo, Rwanda and South Africa,
Turkmenistan, the band 67–70 kHz is also al- the band 160–200 kHz is allocated to the fixed
located to the radionavigation service on a service on a primary basis.
primary basis. 5.69 Additional allocation: in Somalia, the
5.59 Different category of service: in Ban- band 200–255 kHz is also allocated to the
gladesh and Pakistan, the allocation of the aeronautical radionavigation service on a
bands 70–72 kHz and 84–86 kHz to the fixed primary basis.
and maritime mobile services is on a pri- 5.70 Alternative allocation: in Angola, Bot-
mary basis (see No. 5.33). swana, Burundi, Cameroon, the Central Afri-
5.60 In the bands 70–90 kHz (70–86 kHz in can Rep., the Congo, Ethiopia, Kenya, Leso-
Region 1) and 110–130 kHz (112–130 kHz in Re- tho, Madagascar, Malawi, Mozambique, Na-
gion 1), pulsed radionavigation systems may mibia, Nigeria, Oman, Dem. Rep. of the
be used on condition that they do not cause Congo, Rwanda, South Africa, Swaziland,
harmful interference to other services to Tanzania, Chad, Zambia and Zimbabwe, the
which these bands are allocated. band 200–283.5 kHz is allocated to the aero-
5.61 In Region 2, the establishment and nautical radionavigation service on a pri-
operation of stations in the maritime radio- mary basis.
488
5.71 Alternative allocation: in Tunisia, the 5.79A When establishing coast stations in
band 255–283.5 kHz is allocated to the broad- the NAVTEX service on the frequencies 490
casting service on a primary basis. kHz, 518 kHz and 4 209.5 kHz, administrations
5.72 Norwegian stations of the fixed serv- are strongly recommended to coordinate the
ice situated in northern areas (north of 60° operating characteristics in accordance with
N) subject to auroral disturbances are al- the procedures of the International Maritime
lowed to continue operation on four fre- Organization (IMO) (see Resolution 339
quencies in the bands 283.5–490 kHz and 510– (Rev.WRC–97)).
526.5 kHz. 5.80 In Region 2, the use of the band 435–
5.73 The band 285–325 kHz (283.5–325 kHz in 495 kHz by the aeronautical radionavigation
Region 1) in the maritime radionavigation service is limited to non-directional beacons
service may be used to transmit supple- not employing voice transmission.
mentary navigational information using nar- 5.82 In the maritime mobile service, the
row-band techniques, on condition that no frequency 490 kHz is, from the date of full
harmful interference is caused to radio- implementation of the GMDSS (see Resolu-
beacon stations operating in the radio- tion 331 (Rev.WRC–97)), to be used exclu-
navigation service. sively for the transmission by coast stations
5.74 Additional Allocation: in Region 1, the of navigational and meteorological warnings
frequency band 285.3–285.7 kHz is also allo- and urgent information to ships, by means of
cated to the maritime radionavigation serv- narrow-band direct-printing telegraphy. The
ice (other than radiobeacons) on a primary conditions for use of the frequency 490 kHz
basis. are prescribed in Articles 31 and 52. In using
5.75 Different category of service: in Arme- the band 415–495 kHz for the aeronautical
nia, Azerbaijan, Belarus, Georgia, Moldova, radionavigation service, administrations are
Kyrgyzstan, the Russian Federation, requested to ensure that no harmful inter-
Tajikistan, Turkmenistan, Ukraine and the ference is caused to the frequency 490 kHz.
Black Sea areas of Bulgaria and Romania, 5.83 The frequency 500 kHz is an inter-
the allocation of the band 315–325 kHz to the national distress and calling frequency for
maritime radionavigation service is on a pri- Morse radiotelegraphy. The conditions for
mary basis under the condition that in the its use are prescribed in Articles 31 and 52,
Baltic Sea area, the assignment of fre- and in Appendix 13.
quencies in this band to new stations in the
5.84 The conditions for the use of the fre-
maritime or aeronautical radionavigation
quency 518 kHz by the maritime mobile serv-
services shall be subject to prior consulta-
ice are prescribed in Articles 31 and 52 and in
tion between the administrations concerned.
Appendix 13.
5.76 The frequency 410 kHz is designated
for radio direction-finding in the maritime 5.86 In Region 2, in the band 525–535 kHz
radionavigation service. The other radio- the carrier power of broadcasting stations
navigation services to which the band 405–415 shall not exceed 1 kW during the day and 250
kHz is allocated shall not cause harmful in- W at night.
terference to radio direction-finding in the 5.87 Additional allocation: in Angola, Bot-
band 406.5–413.5 kHz. swana, Lesotho, Malawi, Mozambique, Na-
5.77 Different category of service: in Aus- mibia, South Africa, Swaziland, Zambia and
tralia, China, the French Overseas Terri- Zimbabwe, the band 526.5–535 kHz is also al-
tories of Region 3, India, Indonesia (until 1 located to the mobile service on a secondary
January 2005), Iran (Islamic Republic of), basis.
Japan, Pakistan, Papua New Guinea and Sri 5.87A Additional allocation: in Uzbekistan,
Lanka, the allocation of the band 415–495 kHz the band 526.5–1606.5 kHz is also allocated to
to the aeronautical radionavigation service the radionavigation service on a primary
is on a primary basis. Administrations in basis. Such use is subject to agreement ob-
these countries shall take all practical steps tained under No. 9.21 with administrations
necessary to ensure that aeronautical radio- concerned and limited to ground-based
navigation stations in the band 435–495 kHz radiobeacons in operation on 27 October 1997
do not cause interference to reception by until the end of their lifetime.
coast stations of ship stations transmitting 5.88 Additional allocation: in China, the
on frequencies designated for ship stations band 526.5–535 kHz is also allocated to the
on a worldwide basis (see No. 52.39). aeronautical radionavigation service on a
5.78 Different category of service: in Cuba, secondary basis.
the United States of America and Mexico, 5.89 In Region 2, the use of the band 1605–
the allocation of the band 415–435 kHz to the 1705 kHz by stations of the broadcasting
aeronautical radionavigation service is on a service is subject to the Plan established by
primary basis. the Regional Administrative Radio Con-
5.79 The use of the bands 415–495 kHz and ference (Rio de Janeiro, 1988).
505–526.5 kHz (505–510 kHz in Region 2) by the The examination of frequency assignments
maritime mobile service is limited to radio- to stations of the fixed and mobile services
telegraphy. in the band 1625–1705 kHz shall take account
489
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
of the allotments appearing in the Plan es- Kyrgyzstan, the Russian Federation, Soma-
tablished by the Regional Administrative lia, Tajikistan, Tunisia, Turkmenistan, Tur-
Radio Conference (Rio de Janeiro, 1988). key and Ukraine, the band 1810–1830 kHz is
5.90 In the band 1605–1705 kHz, in cases allocated to the fixed and mobile, except
where a broadcasting station of Region 2 is aeronautical mobile, services on a primary
concerned, the service area of the maritime basis.
mobile stations in Region 1 shall be limited 5.99 Additional allocation: in Saudi Arabia,
to that provided by ground-wave propaga- Austria, Bosnia and Herzegovina, Iraq,
tion. Libya, Uzbekistan, Slovakia, the Czech Rep.,
5.91 Additional allocation: in the Phil- Romania, Slovenia, Chad, Togo and Yugo-
ippines and Sri Lanka, the band 1606.5–1705 slavia, the band 1810–1830 kHz is also allo-
kHz is also allocated to the broadcasting cated to the fixed and mobile, except aero-
service on a secondary basis. nautical mobile, services on a primary basis.
5.92 Some countries of Region 1 use radio-
5.100 In Region 1, the authorization to use
determination systems in the bands 1606.5–
1625 kHz, 1635–1800 kHz, 1850–2160 kHz, 2194– the band 1810–1830 kHz by the amateur serv-
2300 kHz, 2502–2850 kHz and 3500–3800 kHz, ice in countries situated totally or partially
subject to agreement obtained under No. north of 40° N shall be given only after con-
9.21. The radiated mean power of these sta- sultation with the countries mentioned in
tions shall not exceed 50 W. Nos. 5.98 and 5.99 to define the necessary
5.93 Additional allocation: in Angola, Ar- steps to be taken to prevent harmful inter-
menia, Azerbaijan, Belarus, Georgia, Hun- ference between amateur stations and sta-
gary, Kazakstan, Latvia, Lithuania, tions of other services operating in accord-
Moldova, Mongolia, Nigeria, Uzbekistan, Po- ance with Nos. 5.98 and 5.99.
land, Kyrgyzstan, Slovakia, the Czech Rep., 5.101 Alternative allocation: in Burundi and
the Russian Federation, Tajikistan, Chad, Lesotho, the band 1810–1850 kHz is allocated
Turkmenistan and Ukraine, the bands 1625– to the fixed and mobile, except aeronautical
1635 kHz, 1800–1810 kHz and 2160–2170 kHz and, mobile, services on a primary basis.
in Bulgaria, the bands 1625–1635 kHz and 1800– 5.102 Alternative allocation: in Argentina,
1810 kHz, are also allocated to the fixed and Bolivia, Chile, Mexico, Paraguay, Peru, Uru-
land mobile services on a primary basis, sub- guay and Venezuela, the band 1850–2000 kHz
ject to agreement obtained under No. 9.21. is allocated to the fixed, mobile except aero-
5.96 In Germany, Armenia, Austria, Azer- nautical mobile, radiolocation and radio-
baijan, Belarus, Denmark, Estonia, Finland, navigation services on a primary basis.
Georgia, Hungary, Ireland, Israel, Jordan, 5.103 In Region 1, in making assignments
Kazakstan, Latvia, Liechtenstein, Lith- to stations in the fixed and mobile services
uania, Malta, Moldova, Norway, Uzbekistan, in the bands 1850–2045 kHz, 2194–2498 kHz,
Poland, Kyrgyzstan, Slovakia, the Czech 2502–2625 kHz and 2650–2850 kHz, administra-
Rep., the United Kingdom, the Russian Fed- tions should bear in mind the special re-
eration, Sweden, Switzerland, Tajikistan,
quirements of the maritime mobile service.
Turkmenistan and Ukraine, administrations
may allocate up to 200 kHz to their amateur 5.104 In Region 1, the use of the band 2025–
service in the bands 1715–1800 kHz and 1850– 2045 kHz by the meteorological aids service
2000 kHz. However, when allocating the is limited to oceanographic buoy stations.
bands within this range to their amateur 5.105 In Region 2, except in Greenland,
service, administrations shall, after prior coast stations and ship stations using
consultation with administrations of radiotelephony in the band 2065–2107 kHz
neighbouring countries, take such steps as shall be limited to class J3E emissions and
may be necessary to prevent harmful inter- to a peak envelope power not exceeding 1
ference from their amateur service to the kW. Preferably, the following carrier fre-
fixed and mobile services of other countries. quencies should be used: 2065.0 kHz, 2079.0
The mean power of any amateur station kHz, 2082.5 kHz, 2086.0 kHz, 2093.0 kHz, 2096.5
shall not exceed 10 W. kHz, 2100.0 kHz and 2103.5 kHz. In Argentina
5.97 In Region 3, the Loran system oper- and Uruguay, the carrier frequencies 2068.5
ates either on 1850 kHz or 1950 kHz, the bands kHz and 2075.5 kHz are also used for this pur-
occupied being 1825–1875 kHz and 1925–1975 pose, while the frequencies within the band
kHz respectively. Other services to which the 2072–2075.5 kHz are used as provided in No.
band 1800–2000 kHz is allocated may use any 52.165.
frequency therein on condition that no 5.106 In Regions 2 and 3, provided no
harmful interference is caused to the Loran harmful interference is caused to the mari-
system operating on 1850 kHz or 1950 kHz. time mobile service, the frequencies between
5.98 Alternative allocation: in Angola, Ar- 2065 kHz and 2107 kHz may be used by sta-
menia, Azerbaijan, Belarus, Belgium, Bul- tions of the fixed service communicating
garia, Cameroon, the Congo, Denmark, only within national borders and whose
Egypt, Eritrea, Spain, Ethiopia, Georgia, mean power does not exceed 50 W. In noti-
Greece, Italy, Kazakstan, Lebanon, Lith- fying the frequencies, the attention of the
uania, Moldova, the Netherlands, Syria, Bureau should be drawn to these provisions.
490
5.107 Additional allocation: in Saudi Ara- channels for these devices may be assigned
bia, Botswana, Eritrea, Ethiopia, Iraq, Leso- by administrations in the bands between 3155
tho, Libya, Somalia and Swaziland, the band kHz and 3400 kHz to suit local needs.
2160–2170 kHz is also allocated to the fixed It should be noted that frequencies in the
and mobile, except aeronautical mobile (R), range 3000 kHz to 4000 kHz are suitable for
services on a primary basis. The mean power hearing aid devices which are designed to op-
of stations in these services shall not exceed erate over short distances within the induc-
50 W. tion field.
5.108 The carrier frequency 2182 kHz is an 5.117 Alternative allocation: in Bosnia and
international distress and calling frequency Herzegovina, Cyprus, Côte d’Ivoire, Den-
for radiotelephony. The conditions for the mark, Egypt, Greece, Iceland, Liberia,
use of the band 2173.5–2190.5 kHz are pre- Malta, Sri Lanka, Togo and Yugoslavia, the
scribed in Articles 31 and 52 and in Appendix band 3155–3200 kHz is allocated to the fixed
13. and mobile, except aeronautical mobile,
5.109 The frequencies 2187.5 kHz, 4207.5 services on a primary basis.
kHz, 6312 kHz, 8414.5 kHz, 12577 kHz and 5.118 Additional allocation: in the United
16804.5 kHz are international distress fre- States, Japan, Mexico, Peru and Uruguay,
quencies for digital selective calling. The the band 3230–3400 kHz is also allocated to
conditions for the use of these frequencies the radiolocation service on a secondary
are prescribed in Article 31. basis.
5.110 The frequencies 2174.5 kHz, 4177.5 5.119 Additional allocation: in Honduras,
kHz, 6268 kHz, 8376.5 kHz, 12520 kHz and 16695 Mexico, Peru and Venezuela, the band 3500–
kHz are international distress frequencies 3750 kHz is also allocated to the fixed and
for narrow-band direct-printing telegraphy. mobile services on a primary basis.
The conditions for the use of these fre- 5.120 For the use of the bands allocated to
quencies are prescribed in Article 31. the amateur service at 3.5 MHz, 7.0 MHz, 10.1
5.111 The carrier frequencies 2182 kHz, MHz, 14.0 MHz, 18.068 MHz, 21.0 MHz, 24.89
3023 kHz, 5680 kHz, 8364 kHz and the fre- MHz and 144 MHz in the event of natural dis-
quencies 121.5 MHz, 156.8 MHz and 243 MHz asters, see Resolution 640.1(SUP–WRC–2000)
may also be used, in accordance with the 5.122 Alternative allocation: in Argentina,
procedures in force for terrestrial Bolivia, Chile, Ecuador, Paraguay, Peru and
radiocommunication services, for search and Uruguay, the band 3750–4000 kHz is allocated
rescue operations concerning manned space
to the fixed and mobile, except aeronautical
vehicles. The conditions for the use of the
mobile, services on a primary basis.
frequencies are prescribed in Article 31 and
5.123 Additional allocation: in Botswana,
in Appendix 13.
Lesotho, Malawi, Mozambique, Namibia,
The same applies to the frequencies 10003
South Africa, Swaziland, Zambia and
kHz, 14993 kHz and 19993 kHz, but in each of
Zimbabwe, the band 3900–3950 kHz is also al-
these cases emissions must be confined in a
located to the broadcasting service on a pri-
band of ± 3 kHz about the frequency.
mary basis, subject to agreement obtained
5.112 Alternative allocation: in Bosnia and
under No. 9.21.
Herzegovina, Cyprus, Denmark, Greece, Ice-
5.125 Additional allocation: in Greenland,
land, Malta, Sri Lanka and Yugoslavia, the
the band 3950–4000 kHz is also allocated to
band 2194–2300 kHz is allocated to the fixed
the broadcasting service on a primary basis.
and mobile, except aeronautical mobile,
The power of the broadcasting stations oper-
services on a primary basis.
ating in this band shall not exceed that nec-
5.113 For the conditions for the use of the
essary for a national service and shall in no
bands 2300–2495 kHz (2498 kHz in Region 1),
case exceed 5 kW.
3200–3400 kHz, 4750–4995 kHz and 5005–5060 kHz
5.126 In Region 3, the stations of those
by the broadcasting service, see Nos. 5.16 to
services to which the band 3995–4005 kHz is
5.20, 5.21 and 23.3 to 23.10.
5.114 Alternative allocation: in Bosnia and allocated may transmit standard frequency
Herzegovina, Cyprus, Denmark, Greece, Iraq, and time signals.
Malta, and Yugoslavia, the band 2502–2625 5.127 The use of the band 4000–4063 kHz by
kHz is allocated to the fixed and mobile, ex- the maritime mobile service is limited to
cept aeronautical mobile, services on a pri- ship stations using radiotelephony (see No.
mary basis. 52.220 and Appendix 17).
5.115 The carrier (reference) frequencies 5.128 In Afghanistan, Argentina, Armenia,
3023 kHz and 5680 kHz may also be used, in Azerbaijan, Belarus, Botswana, Burkina
accordance with Article 31 and Appendix 13 Faso, the Central African Rep., China, Geor-
by stations of the maritime mobile service gia, India, Kazakstan, Mali, Niger,
engaged in coordinated search and rescue op- Kyrgyzstan, Russian Federation, Tajikistan,
erations. Chad, Turkmenistan and Ukraine, in the
5.116 Administrations are urged to au- bands 4063–4123 kHz, 4130–4133 kHz and 4408–
thorize the use of the band 3155–3195 kHz to
provide a common worldwide channel for low 1 This Resolution was abrogated by WRC–
power wireless hearing aids. Additional 97.
491
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
4438 kHz, stations of limited power in the power required and to take account of the
fixed service which are situated at least 600 seasonal use of frequencies by the broad-
km from the coast may operate on condition casting service published in accordance with
that harmful interference is not caused to the Radio Regulations.
the maritime mobile service. 5.137 On condition that harmful inter-
5.129 On condition that harmful interference is not caused to the maritime mobile
ference is not caused to the maritime mobile service, the bands 6200–6213.5 kHz and 6220.5–
service, the frequencies in the bands 4063– 6525 kHz may be used exceptionally by sta-
4123 kHz and 4130–4438 kHz may be used ex- tions in the fixed service, communicating
ceptionally by stations in the fixed service only within the boundary of the country in
communicating only within the boundary of which they are located, with a mean power
the country in which they are located with a not exceeding 50 W. At the time of notifica-
mean power not exceeding 50 W. tion of these frequencies, the attention of
5.130 The conditions for the use of the car- the Bureau will be drawn to the above condi-
rier frequencies 4125 kHz and 6215 kHz are tions.
prescribed in Articles 31 and 52 and in Appen- 5.138 The following bands:
dix 13.
6765–6795 kHz (centre frequency 6780 kHz),
5.131 The frequency 4209.5 kHz is used ex-
433.05–434.79 MHz (centre frequency 433.92
clusively for the transmission by coast sta-
MHz) in Region 1 except in the countries
tions of meteorological and navigational
mentioned in No. 5.280,
warnings and urgent information to ships by
61–61.5 GHz (centre frequency 61.25 GHz),
means of narrow-band direct-printing tech-
122–123 GHz (centre frequency 122.5 GHz), and
niques.
244–246 GHz (centre frequency 245 GHz)
5.132 The frequencies 4210 kHz, 6314 kHz,
8416.5 kHz, 12579 kHz, 16806.5 kHz, 19680.5 kHz, are designated for industrial, scientific and
22376 kHz and 26100.5 kHz are the inter- medical (ISM) applications. The use of these
national frequencies for the transmission of frequency bands for ISM applications shall
maritime safety information (MSI) (see Ap- be subject to special authorization by the ad-
pendix 17). ministration concerned, in agreement with
5.133 Different category of service: in Arme- other administrations whose
nia, Azerbaijan, Belarus, Georgia, radiocommunication services might be af-
Kazakstan, Latvia, Lithuania, Moldova, fected. In applying this provision, adminis-
Uzbekistan, Kyrgyzstan, Russian Federation, trations shall have due regard to the latest
Tajikistan, Turkmenistan and Ukraine, the relevant ITU–R Recommendations.
allocation of the band 5130–5250 kHz to the 5.139 Different category of service: in Arme-
mobile, except aeronautical mobile, service nia, Azerbaijan, Belarus, Georgia,
is on a primary basis (see No. 5.33). Kazakstan, Latvia, Lithuania, Moldova,
5.134 The use of the bands 5900–5950 kHz, Mongolia, Uzbekistan, Kyrgyzstan, Russian
7300–7350 kHz, 9400–9500 kHz, 11600–11650 kHz, Federation, Tajikistan, Turkmenistan and
12050–12100 kHz, 13570–13600 kHz, 13800–13870 Ukraine, the allocation of the band 6765–7000
kHz, 15600–15800 kHz, 17480–17550 kHz and kHz to the land mobile service is on a pri-
18900–19020 kHz by the broadcasting service is mary basis (see No. 5.33).
limited to single-sideband emissions with 5.140 Additional allocation: in Angola, Iraq,
the characteristics specified in Appendix 11 Rwanda, Somalia and Togo, the band 7000–
or to any other spectrum-efficient modula- 7050 kHz is also allocated to the fixed service
tion techniques recommended by ITU–R. Ac- on a primary basis.
cess to these bands shall be subject to the de- 5.141 Alternative allocation: in Egypt, Eri-
cisions of a competent conference. trea, Ethiopia, Guinea, Libya and Mada-
5.136 The band 5900–5950 kHz is allocated, gascar, the band 7000–7050 kHz is allocated to
until 1 April 2007, to the fixed service on a the fixed service on a primary basis.
primary basis, as well as to the following 5.142 The use of the band 7100–7300 kHz in
services: in Region 1 to the land mobile serv- Region 2 by the amateur service shall not
ice on a primary basis, in Region 2 to the impose constraints on the broadcasting serv-
mobile except aeronautical mobile (R) service intended for use within Region 1 and Re-
ice on a primary basis, and in Region 3 to the gion 3.
mobile except aeronautical mobile (R) serv- 5.143 The band 7300–7350 kHz is allocated,
ice on a secondary basis, subject to applica- until 1 April 2007, to the fixed service on a
tion of the procedure referred to in Resolu- primary basis and to the land mobile service
tion 21 (Rev.WRC–95). After 1 April 2007, fre- on a secondary basis, subject to application
quencies in this band may be used by sta- of the procedure referred to in Resolution 21
tions in the above-mentioned services, com- (Rev.WRC–95). After 1 April 2007, frequencies
municating only within the boundary of the in this band may be used by stations in the
country in which they are located, on the above-mentioned services, communicating
condition that harmful interference is not only within the boundary of the country in
caused to the broadcasting service. When which they are located, on condition that
using frequencies for these services, adminis- harmful interference is not caused to the
trations are urged to use the minimum broadcasting service. When using frequencies
492
for these services, administrations are urged service, frequencies in the bands 9775–9900
to use the minimum power required and to kHz, 11650–11700 kHz and 11975–12050 kHz may
take account of the seasonal use of fre- be used by stations in the fixed service com-
quencies by the broadcasting service pub- municating only within the boundary of the
lished in accordance with the Radio Regula- country in which they are located, each sta-
tions. tion using a total radiated power not exceed-
5.144 In Region 3, the stations of those ing 24 dBW.
services to which the band 7995–8005 kHz is
5.148 The bands 9775–9900 kHz, 11650–11700
allocated may transmit standard frequency
and time signals. kHz, 11975–12050 kHz, 13600–13800 kHz, 15450–
5.145 The conditions for the use of the car- 15600 kHz, 17550–17700 kHz and 21750–21850 kHz
rier frequencies 8291 kHz, 12290 kHz and 16420 are allocated to the fixed service on a pri-
kHz are prescribed in Articles 31 and 52 and mary basis subject to the procedure de-
in Appendix 13. scribed in Resolution 8. The use of these
5.146 The bands 9400–9500 kHz, 11600–11650 bands by the broadcasting service shall be
kHz, 12050–12100 kHz, 15600–15800 kHz, 17480– subject to provisions to be established by the
17550 kHz and 18900–19020 kHz are allocated to world administrative radio conference for
the fixed service on a primary basis until 1 the planning of HF bands allocated to the
April 2007, subject to application of the pro- broadcasting service (see Resolution 508).
cedure referred to in Resolution 21 Within these bands, the date of commence-
(Rev.WRC–95). After 1 April 2007, frequencies ment of operations in the broadcasting
in these bands may be used by stations in the servive on a planned channel shall not be
fixed service, communicating only within earlier than the date of completion of satis-
the boundary of the country in which they
factory transfer, according to the procedures
are located, on condition that harmful inter-
described in Resolution 8, of all assignments
ference is not caused to the broadcasting
service. When using frequencies in the fixed to stations in the fixed service operating in
service, administrations are urged to use the accordance with the Table and other provi-
minimum power required and to take ac- sions of the Radio Regulations, which are re-
count of the seasonal use of frequencies by corded in the Master Register and which
the broadcasting service published in accord- may be affected by boadcating operations on
ance with the Radio Regulations. that channel. (SUP—WRC–97)
5.147 On condition that harmful inter- 5.149 In making assignments to stations
ference is not caused to the broadcasting of other services to which the bands:
13360–13410 kHz, 4990–5000 MHz, 94.1–100 GHz,

25550–25670 kHz, 6650–6675.2 MHz, 102–109.5 GHz,
37.5–38.25 MHz, 10.6–10.68 GHz, 111.8–114.25 GHz,
73–74.6 MHz in Regions 1 14.47–14.5 GHz, 128.33–128.59 GHz,
and 3,
150.05–153 MHz in Region 22.01–22.21 GHz, 129.23–129.49 GHz,
1,
322–328.6 MHz, 22.21–22.5 GHz, 130–134 GHz,
406.1–410 MHz, 22.81–22.86 GHz, 136–148.5 GHz,
608–614 MHz in Regions 1 23.07–23.12 GHz, 151.5–158.5 GHz,
and 3,
1330–1400 MHz, 31.2–31.3 GHz, 168.59–168.93 GHz,
1610.6–1613.8 MHz, 31.5–31.8 GHz in Regions 1 171.11–171.45 GHz,
and 3,
1660–1670 MHz, 36.43–36.5 GHz, 172.31–172.65 GHz,
1718.8–1722.2 MHz, 42.5–43.5 GHz, 173.52–173.85 GHz,
2655–2690 MHz, 42.77–42.87 GHz, 195.75–196.15 GHz,
3260–3267 MHz, 43.07–43.17 GHz, 209–226 GHz,
3332–3339 MHz, 43.37–43.47 GHz, 241–250 GHz,
3345.8–3352.5 MHz, 48.94–49.04 GHz, 252–275 GHz
4825–4835 MHz, 76–86 GHz,
4950–4990 MHz, 92–94 GHz,
are allocated, administrations are urged to borne stations can be particularly serious
take all practicable steps to protect the sources of interference to the radio astron-
radio astronomy service from harmful inter- omy service (see Nos. 4.5 and 4.6 and Article
ference. Emissions from spaceborne or air- 29).
493
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
5.150 The following bands: nautical mobile (R) services on a primary
13553–13567 kHz (centre frequency 13560 kHz), basis.
26957–27283 kHz (centre frequency 27120 kHz), 5.155A In Armenia, Azerbaijan, Belarus,
40.66–40.70 MHz (centre frequency 40.68 MHz), Bulgaria, Georgia, Kazakstan, Moldova,
Mongolia, Uzbekistan, Kyrgyzstan, Slovakia,
902–928 MHz in Region 2 (centre frequency 915
the Czech Rep., the Russian Federation,
MHz),
Tajikistan, Turkmenistan and Ukraine, the
2400–2500 MHz (centre frequency 2450 MHz), use of the band 21850–21870 kHz by the fixed
5725–5875 MHz (centre frequency 5800 MHz), service is limited to provision of services re-
and lated to aircraft flight safety.
24–24.25 GHz (centre frequency 24.125 GHz) 5.155B The band 21870–21924 kHz is used by
are also designated for industrial, scientific the fixed service for provision of services re-
and medical (ISM) applications. lated to aircraft flight safety.
Radiocommunication services operating 5.156 Additional allocation: in Nigeria, the
within these bands must accept harmful in- band 22720–23200 kHz is also allocated to the
terference which may be caused by these ap- meteorological aids service (radiosondes) on
plications. ISM equipment operating in these a primary basis.
bands is subject to the provisions of No. 5.156A The use of the band 23200–23350 kHz
15.13. by the fixed service is limited to provision of
5.151 The bands 13570–13600 kHz and 13800– services related to aircraft flight safety.
13870 kHz are allocated, until 1 April 2007, to 5.157 The use of the band 23350–24000 kHz
the fixed service on a primary basis and to by the maritime mobile service is limited to
the mobile except aeronautical mobile (R) inter-ship radiotelegraphy.
service on a secondary basis, subject to ap- 5.160 Additional allocation: in Botswana,
plication of the procedure referred to in Res- Burundi, Lesotho, Malawi, Dem. Rep. of the
olution 21 (Rev.WRC–95). After 1 April 2007, Congo, Rwanda and Swaziland, the band 41–
frequencies in these bands may be used by 44 MHz is also allocated to the aeronautical
stations in the above-mentioned services, radionavigation service on a primary basis.
communicating only within the boundary of 5.161 Additional allocation: in Iran (Islamic
the country in which they are located, on Republic of) and Japan, the band 41–44 MHz
the condition that harmful interference is is also allocated to the radiolocation service
not caused to the broadcasting service. When on a secondary basis.
using frequencies in these services, adminis- 5.162 Additional allocation: in Australia
trations are urged to use the minimum and New Zealand, the band 44–47 MHz is also
power required and to take account of the allocated to the broadcasting service on a
seasonal use of frequencies by the broad- primary basis.
casting service published in accordance with 5.162A Additional allocation: in Germany,
the Radio Regulations. Austria, Belgium, Bosnia and Herzegovina,
5.152 Additional allocation: in Armenia, China, Vatican, Denmark, Spain, Estonia,
Azerbaijan, China, Côte d’Ivoire, Georgia, Finland, France, Ireland, Iceland, Italy, Lat-
Iran (Islamic Republic of), Kazakstan, via, The Former Yugoslav Republic of Mac-
Moldova, Kyrgyzstan, the Russian Federa- edonia, Liechtenstein, Lithuania, Luxem-
tion, Tajikistan, Turkmenistan and Ukraine, bourg, Moldova, Monaco, Norway, the Neth-
the band 14250–14350 kHz is also allocated to erlands, Poland, Portugal, Slovakia, the
the fixed service on a primary basis. Stations Czech Rep., the United Kingdom, the Russian
of the fixed service shall not use a radiated Federation, Sweden and Switzerland the
power exceeding 24 dBW. band 46–68 MHz is also allocated to the radio-
5.153 In Region 3, the stations of those location service on a secondary basis. This
services to which the band 15995–16005 kHz is use is limited to the operation of wind pro-
allocated may transmit standard frequency filer radars in accordance with Resolution
and time signals. 217 (WRC–97).
5.154 Additional allocation: in Armenia, 5.163 Additional allocation: in Armenia,
Azerbaijan, Georgia, Kazakstan, Moldova, Azerbaijan, Belarus, Estonia, Georgia, Hun-
Kyrgyzstan, the Russian Federation, gary, Kazakstan, Latvia, Lithuania,
Tajikistan, Turkmenistan and Ukraine, the Moldova, Mongolia, Uzbekistan, Kyrgyzstan,
band 18068–18168 kHz is also allocated to the Slovakia, the Czech Rep., Russian Federa-
fixed service on a primary basis for use with- tion, Tajikistan, Turkmenistan and Ukraine,
in their boundaries, with a peak envelope the bands 47–48.5 MHz and 56.5–58 MHz are
power not exceeding 1 kW. also allocated to the fixed and land mobile
5.155 Additional allocation: in Armenia, services on a secondary basis.
Azerbaijan, Belarus, Bulgaria, Georgia, Hun- 5.164 Additional allocation: in Albania, Ger-
gary, Kazakstan, Moldova, Mongolia, many, Austria, Belgium, Bosnia and
Uzbekistan, Kyrgyzstan, Slovakia, the Czech Herzegovina, Bulgaria, C‘‘te d’Ivoire, Den-
Rep., Russian Federation, Tajikistan, mark, Spain, Finland, France, Gabon,
Turkmenistan and Ukraine, the band 21850– Greece, Ireland, Israel, Italy, Jordan, Leb-
21870 kHz is also allocated to the aero- anon, Libya, Liechtenstein, Luxembourg,
494
Madagascar, Mali, Malta, Morocco, Mauri- 73 MHz is allocated to the broadcasting serv-
tania, Monaco, Nigeria, Norway, the Nether- ice on a primary basis and used in accord-
lands, Poland, Syria, the United Kingdom, ance with the decisions in the Final Acts of
Senegal, Slovenia, Sweden, Switzerland, the Special Regional Conference (Geneva,
Swaziland, Togo, Tunisia, Turkey and Yugo- 1960).
slavia the band 47–68 MHz, in Romania the 5.175 Alternative allocation: in Armenia,
band 47–58 MHz and in the Czech Rep. the Azerbaijan, Belarus, Georgia, Kazakstan,
band 66–68 MHz, are also allocated to the Latvia, Lithuania, Moldova, Mongolia,
land mobile service on a primary basis. How- Uzbekistan, Kyrgyzstan, the Russian Federa-
ever, stations of the land mobile service in tion, Tajikistan, Turkmenistan and Ukraine,
the countries mentioned in connection with the bands 68–73 MHz and 76–87.5 MHz are allo-
each band referred to in this footnote shall cated to the broadcasting service on a pri-
not cause harmful interference to, or claim mary basis. The services to which these
protection from, existing or planned broad- bands are allocated in other countries and
casting stations of countries other than the broadcasting service in the countries
those mentioned in connection with the listed above are subject to agreements with
band. the neighbouring countries concerned.
5.165 Additional allocation: in Angola, 5.176 Additional allocation: in Australia,
Cameroon, the Congo, Madagascar, Mozam- China, Korea (Rep. of), Estonia (subject to
bique, Somalia, Sudan, Tanzania and Chad, agreement obtained under No. 9.21), the Phil-
the band 47–68 MHz is also allocated to the ippines, the Dem. People’s Rep. of Korea and
fixed and mobile, except aeronautical mo- Samoa, the band 68–74 MHz is also allocated
bile, services on a primary basis. to the broadcasting service on a primary
5.166 Alternative allocation: in New Zea- basis.
land, the band 50–51 MHz is allocated to the 5.177 Additional allocation: in Armenia,
fixed, mobile and broadcasting services on a Azerbaijan, Belarus, Bulgaria, Georgia,
primary basis; the band 53–54 MHz is allo- Kazakstan, Latvia, Moldova, Uzbekistan, Po-
cated to the fixed and mobile services on a land, Kyrgyzstan, the Russian Federation,
primary basis. Tajikistan, Turkmenistan and Ukraine, the
5.167 Alternative allocation: in Bangladesh, band 73–74 MHz is also allocated to the
Brunei Darussalam, India, Indonesia, Iran broadcasting service on a primary basis, sub-
(Islamic Republic of), Malaysia, Pakistan, ject to agreement obtained under No. 9.21.
Singapore and Thailand, the band 50–54 MHz 5.178 Additional allocation: in Colombia,
is allocated to the fixed, mobile and broad- Costa Rica, Cuba, El Salvador, Guatemala,
casting services on a primary basis. Guyana, Honduras and Nicaragua, the band
5.168 Additional allocation: in Australia, 73–74.6 MHz is also allocated to the fixed and
China and the Dem. People’s Rep. of Korea, mobile services on a secondary basis.
the band 50–54 MHz is also allocated to the 5.179 Additional allocation: in Armenia,
broadcasting service on a primary basis. Azerbaijan, Belarus, Bulgaria, China, Geor-
5.169 Alternative allocation: in Botswana, gia, Kazakstan, Latvia, Lithuania, Moldova,
Burundi, Lesotho, Malawi, Namibia, Dem. Mongolia, Kyrgyzstan, Slovakia, the Czech
Rep. of the Congo, Rwanda, South Africa, Rep., Russian Federation, Tajikistan,
Swaziland, Zambia and Zimbabwe, the band Turkmenistan and Ukraine, the bands 74.6–
50–54 MHz is allocated to the amateur service 74.8 MHz and 75.2–75.4 MHz are also allocated
on a primary basis. to the aeronautical radionavigation service,
5.170 Additional allocation: in New Zealand, on a primary basis, for ground-based trans-
the band 51–53 MHz is also allocated to the mitters only.
fixed and mobile services on a primary basis. 5.180 The frequency 75 MHz is assigned to
5.171 Additional allocation: in Botswana, marker beacons. Administrations shall re-
Burundi, Lesotho, Malawi, Mali, Namibia, frain from assigning frequencies close to the
Dem. Rep. of the Congo, Rwanda, South Afri- limits of the guardband to stations of other
ca, Swaziland and Zimbabwe, the band 54–68 services which, because of their power or
MHz is also allocated to the fixed and mo- geographical position, might cause harmful
bile, except aeronautical mobile, services on interference or otherwise place a constraint
a primary basis. on marker beacons.
5.172 Different category of service: in the Every effort should be made to improve
French Overseas Departments in Region 2, further the characteristics of airborne re-
Guyana, Jamaica and Mexico, the allocation ceivers and to limit the power of transmit-
of the band 54–68 MHz to the fixed and mobile ting stations close to the limits 74.8 MHz and
services is on a primary basis (see No. 5.33). 75.2 MHz.
5.173 Different category of service: in the 5.181 Additional allocation: in Egypt,
French Overseas Departments in Region 2, Israel, Japan, and Syria, the band 74.8–75.2
Guyana, Jamaica and Mexico, the allocation MHz is also allocated to the mobile service
of the band 68–72 MHz to the fixed and mobile on a secondary basis, subject to agreement
services is on a primary basis (see No. 5.33). obtained under No. 9.21. In order to ensure
5.174 Alternative allocation: in Bulgaria, that harmful interference is not caused to
Hungary, Poland and Romania, the band 68– stations of the aeronautical radionavigation
495
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
service, stations of the mobile service shall nautical mobile-satellite (R) service on a
not be introduced in the band until it is no secondary basis, subject to agreement ob-
longer required for the aeronautical radio- tained under No. 9.21.
navigation service by any administration 5.199 The bands 121.45–121.55 MHz and
which may be identified in the application of 242.95–243.05 MHz are also allocated to the
the procedure invoked under No. 9.21. mobile-satellite service for the reception on
5.182 Additional allocation: in Western board satellites of emissions from emergency
Samoa, the band 75.4–87 MHz is also allo- position-indicating radiobeacons transmit-
cated to the broadcasting service on a pri- ting at 121.5 MHz and 243 MHz (see Appendix
mary basis. 13).
5.183 Additional allocation: in China, Korea 5.200 In the band 117.975–136 MHz, the fre-
(Rep. of), Japan, the Philippines and the quency 121.5 MHz is the aeronautical emer-
Dem. People’s Rep. of Korea, the band 76–87 gency frequency and, where required, the fre-
MHz is also allocated to the broadcasting quency 123.1 MHz is the aeronautical fre-
service on a primary basis. quency auxiliary to 121.5 MHz. Mobile sta-
5.184 Additional allocation: in Bulgaria and tions of the maritime mobile service may
Romania, the band 76–87.5 MHz is also allo- communicate on these frequencies under the
cated to the broadcasting service on a pri- conditions laid down in Article 31 and Appen-
mary basis and used in accordance with the dix 13 for distress and safety purposes with
decisions contained in the Final Acts of the stations of the aeronautical mobile service.
Special Regional Conference (Geneva, 1960). 5.201 Additional allocation: in Angola, Ar-
5.185 Different category of service: in the menia, Azerbaijan, Belarus, Bulgaria, Esto-
United States, the French Overseas Depart- nia, Georgia, Hungary, Iran (Islamic Repub-
ments in Region 2, Guyana, Jamaica, Mexico lic of), Iraq, Japan, Kazakstan, Latvia,
and Paraguay, the allocation of the band 76– Moldova, Mongolia, Mozambique,
88 MHz to the fixed and mobile services is on Uzbekistan, Papua New Guinea, Poland,
a primary basis (see No. 5.33). Kyrgyzstan, Slovakia, the Czech Rep., Roma-
5.187 Alternative allocation: in Albania, the nia, Russian Federation, Tajikistan,
band 81–87.5 MHz is allocated to the broad- Turkmenistan and Ukraine, the band 132–136
casting service on a primary basis and used MHz is also allocated to the aeronautical
in accordance with the decisions contained mobile (OR) service on a primary basis. In
in the Final Acts of the Special Regional assigning frequencies to stations of the aero-
Conference (Geneva, 1960). nautical mobile (OR) service, the adminis-
5.188 Additional allocation: in Australia, tration shall take account of the frequencies
the band 85–87 MHz is also allocated to the assigned to stations in the aeronautical mo-
broadcasting service on a primary basis. The bile (R) service.
introduction of the broadcasting service in 5.202 Additional allocation: in Saudi Ara-
Australia is subject to special agreements bia, Armenia, Azerbaijan, Belarus, Bulgaria,
between the administrations concerned. the United Arab Emirates, Georgia, Iran
5.190 Additional allocation: in Monaco, the (Islamic Republic of), Jordan, Latvia,
band 87.5–88 MHz is also allocated to the land Moldova, Oman, Uzbekistan, Poland, Syria,
mobile service on a primary basis, subject to Kyrgyzstan, Slovakia, the Czech Rep., Roma-
agreement obtained under No. 9.21. nia, the Russian Federation, Tajikistan,
5.192 Additional allocation: in China and Turkmenistan and Ukraine, the band 136–137
Korea (Rep. of), the band 100–108 MHz is also MHz is also allocated to the aeronautical
allocated to the fixed and mobile services on mobile (OR) service on a primary basis. In
a primary basis. assigning frequencies to stations of the aero-
5.194 Additional allocation: in Azerbaijan, nautical mobile (OR) service, the adminis-
Lebanon, Syria, Kyrgyzstan, Somalia and tration shall take account of the frequencies
Turkmenistan, the band 104–108 MHz is also assigned to stations in the aeronautical mo-
allocated to the mobile, except aeronautical bile (R) service.
mobile (R), service on a secondary basis. 5.203 In the band 136–137 MHz, existing
5.197 Additional allocation: in Japan, Paki- operational meteorological satellites may
stan and Syria, the band 108–111.975 MHz is continue to operate, under the conditions de-
also allocated to the mobile service on a sec- fined in No. 4.4 with respect to the aero-
ondary basis, subject to agreement obtained nautical mobile service, until 1 January 2002.
under No. 9.21. In order to ensure that harm- Administrations shall not authorize new fre-
ful interference is not caused to stations of quency assignments in this band to stations
the aeronautical radionavigation service, in the meteorological-satellite service.
stations of the mobile service shall not be in- 5.203A Additional allocation: in Israel,
troduced in the band until it is no longer re- Mauritania, Qatar and Zimbabwe, the band
quired for the aeronautical radionavigation 136–137 MHz is also allocated to the fixed and
service by any administration which may be mobile, except aeronautical mobile (R), serv-
identified in the application of the proce- ices on a secondary basis until 1 January
dures invoked under No. 9.21. 2005.
5.198 Additional allocation: the band 5.203B Additional allocation: in Saudi Ara-
117.975–136 MHz is also allocated to the aero- bia, United Arab Emirates, Jordan, Oman
496
and Syria, the band 136–137 MHz is also allo- Liechtenstein, Luxembourg, Mali, Malta,
cated to the fixed and mobile, except aero- Norway, the Netherlands, Qatar, the United
nautical mobile, services on a secondary Kingdom, Somalia, Sweden, Switzerland,
basis until 1 January 2005. Tanzania, Tunisia, Turkey and Yugoslavia,
5.204 Different category of service: in Af- the band 138–144 MHz is also allocated to the
ghanistan, Saudi Arabia, Bahrain, Ban- maritime mobile and land mobile services on
gladesh, Bosnia and Herzegovina, Brunei a primary basis.
Darussalam, China, Cuba, the United Arab 5.212 Alternative allocation: in Angola, Bot-
Emirates, India, Indonesia, Iran (Islamic Re- swana, Burundi, Cameroon, the Central Afri-
public of), Iraq, Malaysia, Oman, Pakistan, can Rep., the Congo, Gabon, Gambia, Ghana,
Philippines, Qatar, Singapore, Sri Lanka, Guinea, Iraq, Jordan, Lesotho, Liberia,
Thailand, Yemen and Yugoslavia, the band Libya, Malawi, Mozambique, Namibia, Nige-
137–138 MHz is allocated to the fixed and mo- ria, Oman, Dem. Rep. of the Congo, Rwanda,
bile, except aeronautical mobile (R), services Sierra Leone, South Africa, Swaziland, Chad,
on a primary basis (see No. 5.33). Togo, Zambia and Zimbabwe, the band 138–
5.205 Different category of service: in Israel 144 MHz is allocated to the fixed and mobile
and Jordan, the allocation of the band 137– services on a primary basis.
138 MHz to the fixed and mobile, except aero- 5.213 Additional allocation: in China, the
nautical mobile, services is on a primary band 138–144 MHz is also allocated to the
basis (see No. 5.33). radiolocation service on a primary basis.
5.206 Different category of service: in Arme- 5.214 Additional allocation: in Bosnia and
nia, Azerbaijan, Belarus, Bulgaria, Egypt, Herzegovina, Croatia, Eritrea, Ethiopia,
Finland, France, Georgia, Greece, Kenya, The Former Yugoslav Republic of
Kazakstan, Lebanon, Moldova, Mongolia, Macedonia, Malta, Somalia, Sudan, Tanzania
Uzbekistan, Poland, Kyrgyzstan, Syria, Slo- and Yugoslavia, the band 138–144 MHz is also
vakia, the Czech Rep., Romania, the Russian allocated to the fixed service on a primary
Federation, Tajikistan, Turkmenistan and basis.
Ukraine, the allocation of the band 137–138 5.216 Additional allocation: in China, the
MHz to the aeronautical mobile (OR) service band 144–146 MHz is also allocated to the
is on a primary basis (see No. 5.33). aeronautical mobile (OR) service on a sec-
5.207 Additional allocation: in Australia, ondary basis.
the band 137–144 MHz is also allocated to the 5.217 Alternative allocation: in Afghanistan,
broadcasting service on a primary basis until Bangladesh, Cuba, Guyana and India, the
that service can be accommodated within re- band 146–148 MHz is allocated to the fixed
gional broadcasting allocations. and mobile services on a primary basis.
5.208 The use of the band 137–138 MHz by 5.218 Additional allocation: the band 148–
the mobile-satellite service is subject to co- 149.9 MHz is also allocated to the space oper-
ordination under No. 9.11A. ation service (Earth-to-space) on a primary
5.208A In making assignments to space basis, subject to agreement obtained under
stations in the mobile-satellite service in the No. 9.21. The bandwidth of any individual
bands 137–138 MHz, 387–390 MHz and 400.15–401 transmission shall not exceed ± 25 kHz.
MHz, administrations shall take all prac- 5.219 The use of the band 148–149.9 MHz by
ticable steps to protect the radio astronomy the mobile-satellite service is subject to co-
service in the bands 150.05–153 MHz, 322–328.6 ordination under No. 9.11A. The mobile-sat-
MHz, 406.1–410 MHz and 608–614 MHz from ellite service shall not constrain the develop-
harmful interference from unwanted emis- ment and use of the fixed, mobile and space
sions. The threshold levels of interference operation services in the band 148–149.9 MHz.
detrimental to the radio astronomy service 5.220 The use of the bands 149.9–150.05 MHz
are shown in Table 1 of Recommendation and 399.9–400.05 MHz by the mobile-satellite
ITU–R RA.769–1. service is subject to coordination under No.
5.209 The use of the bands 137–138 MHz, 9.11A. The mobile-satellite service shall not
148–150.05 MHz, 399.9–400.05 MHz, 400.15–401 constrain the development and use of the
MHz, 454–456 MHz and 459–460 MHz by the mo- radionavigation-satellite service in the
bile-satellite service is limited to non-geo- bands 149.9–150.05 MHz and 399.9–400.05 MHz.
stationary-satellite systems. 5.221 Stations of the mobile-satellite serv-
5.210 Additional allocation: in France, ice in the band 148–149.9 MHz shall not cause
Italy, Liechtenstein, Slovakia, the Czech harmful interference to, or claim protection
Rep., the United Kingdom and Switzerland, from, stations of the fixed or mobile services
the bands 138–143.6 MHz and 143.65–144 MHz operating in accordance with the Table of
are also allocated to the space research serv- Frequency Allocations in the following coun-
ice (space-to-Earth) on a secondary basis. tries: Albania, Algeria, Germany, Saudi Ara-
5.211 Additional allocation: in Germany, bia, Australia, Austria, Bahrain, Bangladesh,
Saudi Arabia, Austria, Bahrain, Belgium, Barbados, Belarus, Belgium, Benin, Bosnia
Bosnia and Herzegovina, Denmark, the and Herzegovina, Brunei Darussalam, Bul-
United Arab Emirates, Spain, Finland, garia, Cameroon, China, Cyprus, Congo,
Greece, Ireland, Israel, Kenya, Kuwait, The Korea (Rep. of), Croatia, Cuba, Denmark,
Former Yugoslav Republic of Macedonia, Egypt, the United Arab Emirates, Eritrea,
497
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
Spain, Estonia, Ethiopia, Finland, France, However, the frequency 156.8 MHz and the
Gabon, Ghana, Greece, Guinea, Guinea frequency bands in which priority is given to
Bissau, Hungary, India, Iran (Islamic Repub- the maritime mobile service may be used for
lic of), Ireland, Iceland, Israel, Italy, Ja- radiocommunications on inland waterways
maica, Japan, Jordan, Kazakstan, Kenya, subject to agreement between interested and
Kuwait, Latvia, The Former Yugoslav Re- affected administrations and taking into ac-
public of Macedonia, Lebanon, Libya, Liech- count current frequency usage and existing
tenstein, Lithuania, Luxembourg, Malaysia, agreements.
Mali, Malta, Mauritania, Moldova, Mongolia, 5.227 In the maritime mobile VHF service
Mozambique, Namibia, Norway, New Zea- the frequency 156.525 MHz is to be used exclu-
land, Oman, Uganda, Uzbekistan, Pakistan, sively for digital selective calling for dis-
Panama, Papua New Guinea, Paraguay, the tress, safety and calling. The conditions for
Netherlands, the Philippines, Poland, Por- the use of this frequency are prescribed in
tugal, Qatar, Syria, Kyrgyzstan, Slovakia, Articles 31 and 52, and Appendices 13 and 18.
Romania, the United Kingdom, the Russian 5.229 Alternative allocation: in Morocco,
Federation, Senegal, Sierra Leone, Singa- the band 162–174 MHz is allocated to the
pore, Slovenia, Sri Lanka, South Africa, broadcasting service on a primary basis. The
Sweden, Switzerland, Swaziland, Tanzania, use of this band shall be subject to agree-
Chad, Thailand, Togo, Tonga, Trinidad and ment with administrations having services,
Tobago, Tunisia, Turkey, Ukraine, Viet operating or planned, in accordance with the
Nam, Yemen, Yugoslavia, Zambia, and Table which are likely to be affected. Sta-
Zimbabwe. tions in existence on 1 January 1981, with
5.222 Emissions of the radionavigation- their technical characteristics as of that
satellite service in the bands 149.9–150.05 MHz date, are not affected by such agreement.
and 399.9–400.05 MHz may also be used by re- 5.230 Additional allocation: in China, the
ceiving earth stations of the space research band 163–167 MHz is also allocated to the
service. space operation service (space-to-Earth) on a
primary basis, subject to agreement obtained
5.223 Recognizing that the use of the band
under No. 9.21.
149.9–150.05 MHz by the fixed and mobile serv-
5.231 Additional allocation: in Afghanistan,
ices may cause harmful interference to the
China and Pakistan, the band 167–174 MHz is
radionavigation-satellite service, adminis-
also allocated to the broadcasting service on
trations are urged not to authorize such use
a primary basis. The introduction of the
in application of No. 4.4.
broadcasting service into this band shall be
5.224A The use of the bands 149.9–150.05 subject to agreement with the neighbouring
MHz and 399.9–400.05 MHz by the mobile-sat- countries in Region 3 whose services are
ellite service (Earth-to-space) is limited to likely to be affected.
the land mobile-satellite service (Earth-to- 5.232 Additional allocation: in Japan, the
space) until 1 January 2015. band 170–174 MHz is also allocated to the
5.224B The allocation of the bands 149.9– broadcasting service on a primary basis.
150.05 MHz and 399.9–400.05 MHz to the radio- 5.233 Additional allocation: in China, the
navigation-satellite service shall be effective band 174–184 MHz is also allocated to the
until 1 January 2015. space research (space-to-Earth) and the
5.225 Additional allocation: in Australia space operation (space-to-Earth) services on
and India, the band 150.05–153 MHz is also al- a primary basis, subject to agreement ob-
located to the radio astronomy service on a tained under No. 9.21. These services shall
primary basis. not cause harmful interference to, or claim
5.226 The frequency 156.8 MHz is the inter- protection from, existing or planned broad-
national distress, safety and calling fre- casting stations.
quency for the maritime mobile VHF radio- 5.234 Different category of service: in Mex-
telephone service. The conditions for the use ico, the allocation of the band 174–216 MHz to
of this frequency are contained in Article 31 the fixed and mobile services is on a primary
and Appendix 13. basis (see No. 5.33).
In the bands 156–156.7625 MHz, 156.8375– 5.235 Additional allocation: in Germany,
157.45 MHz, 160.6–160.975 MHz and 161.475– Austria, Belgium, Denmark, Spain, Finland,
162.05 MHz, each administration shall give France, Israel, Italy, Liechtenstein, Malta,
priority to the maritime mobile service on Monaco, Norway, the Netherlands, the
only such frequencies as are assigned to sta- United Kingdom, Sweden and Switzerland,
tions of the maritime mobile service by the the band 174–223 MHz is also allocated to the
administration (see Articles 31 and 52, and land mobile service on a primary basis. How-
Appendix 13). ever, the stations of the land mobile service
Any use of frequencies in these bands by shall not cause harmful interference to, or
stations of other services to which they are claim protection from, broadcasting sta-
allocated should be avoided in areas where tions, existing or planned, in countries other
such use might cause harmful interference to than those listed in this footnote.
the maritime mobile VHF 5.237 Additional allocation: in the Congo,
radiocommunication service. Eritrea, Ethiopia, Gambia, Guinea, Libya,
498
Malawi, Mali, Senegal, Sierra Leone, Soma- ice on a primary basis, subject to agreement
lia, Tanzania and Zimbabwe, the band 174–223 obtained under No. 9.21.
MHz is also allocated to the fixed and mobile 5.254 The bands 235–322 MHz and 335.4–399.9
services on a secondary basis. MHz may be used by the mobile-satellite
5.238 Additional allocation: in Bangladesh, service, subject to agreement obtained under
India, Pakistan and the Philippines, the No. 9.21, on condition that stations in this
band 200–216 MHz is also allocated to the service do not cause harmful interference to
aeronautical radionavigation service on a those of other services operating or planned
primary basis. to be operated in accordance with the Table
5.240 Additional allocation: in China and of Frequency Allocations.
India, the band 216–223 MHz is also allocated 5.255 The bands 312–315 MHz (Earth-to-
to the aeronautical radionavigation service space) and 387–390 MHz (space-to-Earth) in
on a primary basis and to the radiolocation the mobile-satellite service may also be used
service on a secondary basis. by non-geostationary-satellite systems. Such
5.241 In Region 2, no new stations in the use is subject to coordination under No.
radiolocation service may be authorized in 9.11A.
the band 216–225 MHz. Stations authorized 5.256 The frequency 243 MHz is the fre-
prior to 1 January 1990 may continue to oper- quency in this band for use by survival craft
ate on a secondary basis. stations and equipment used for survival
5.242 Additional allocation: in Canada, the purposes (see Appendix 13).
5.257 The band 267–272 MHz may be used
band 216–220 MHz is also allocated to the
by administrations for space telemetry in
land mobile service on a primary basis.
their countries on a primary basis, subject to
5.243 Additional allocation: in Somalia, the
agreement obtained under No. 9.21.
band 216–225 MHz is also allocated to the
5.258 The use of the band 328.6–335.4 MHz
aeronautical radionavigation service on a
by the aeronautical radionavigation service
primary basis, subject to not causing harm- is limited to Instrument Landing Systems
ful interference to existing or planned broad- (glide path).
casting services in other countries. 5.259 Additional allocation: in Egypt,
5.245 Additional allocation: in Japan, the Israel, Japan, and Syria, the band 328.6–335.4
band 222–223 MHz is also allocated to the MHz is also allocated to the mobile service
aeronautical radionavigation service on a on a secondary basis, subject to agreement
primary basis and to the radiolocation serv- obtained under No. 9.21. In order to ensure
ice on a secondary basis. that harmful interference is not caused to
5.246 Alternative allocation: in Spain, stations of the aeronautical radionavigation
France, Israel and Monaco, the band 223–230 service, stations of the mobile service shall
MHz is allocated to the broadcasting and not be introduced in the band until it is no
land mobile services on a primary basis (see longer required for the aeronautical radio-
No. 5.33) on the basis that, in the preparation navigation service by any administration
of frequency plans, the broadcasting service which may be identified in the application of
shall have prior choice of frequencies; and al- the procedure invoked under No. 9.21.
located to the fixed and mobile, except land 5.260 Recognizing that the use of the band
mobile, services on a secondary basis. How- 399.9–400.05 MHz by the fixed and mobile serv-
ever, the stations of the land mobile service ices may cause harmful interference to the
shall not cause harmful interference to, or radionavigation satellite service, adminis-
claim protection from, existing or planned trations are urged not to authorize such use
broadcasting stations in Morocco and Alge- in application of No. 4.4.
ria. 5.261 Emissions shall be confined in a
5.247 Additional allocation: in Saudi Ara- band of ±25 kHz about the standard frequency
bia, Bahrain, the United Arab Emirates, Jor- 400.1 MHz.
dan, Oman, Qatar and Syria, the band 223–235 5.262 Additional allocation: in Saudi Ara-
MHz is also allocated to the aeronautical bia, Armenia, Azerbaijan, Bahrain, Belarus,
radionavigation service on a primary basis. Bosnia and Herzegovina, Bulgaria, Colombia,
5.250 Additional allocation: in China, the Costa Rica, Cuba, Egypt, the United Arab
band 225–235 MHz is also allocated to the Emirates, Ecuador, Georgia, Hungary, Iran
radio astronomy service on a secondary (Islamic Republic of), Iraq, Israel, Jordan,
basis. Kazakstan, Kuwait, Liberia, Malaysia,
5.251 Additional allocation: in Nigeria, the Moldova, Nigeria, Uzbekistan, Pakistan, the
band 230–235 MHz is also allocated to the Philippines, Qatar, Syria, Kyrgyzstan, Slo-
aeronautical radionavigation service on a vakia, Romania, the Russian Federation,
primary basis, subject to agreement obtained Singapore, Somalia, Tajikistan,
under No. 9.21. Turkmenistan, Ukraine and Yugoslavia, the
5.252 Alternative allocation: in Botswana, band 400.05–401 MHz is also allocated to the
Lesotho, Malawi, Mozambique, Namibia, fixed and mobile services on a primary basis.
South Africa, Swaziland, Zambia and 5.263 The band 400.15–401 MHz is also allo-
Zimbabwe, the bands 230–238 MHz and 246–254 cated to the space research service in the
MHz are allocated to the broadcasting serv- space-to-space direction for communications
499
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
with manned space vehicles. In this applica- 5.275 Additional allocation: in Bosnia and
tion, the space research service will not be Herzegovina, Croatia, Estonia, Finland, Lat-
regarded as a safety service. via, The Former Yugoslav Republic of Mac-
5.264 The use of the band 400.15–401 MHz edonia, Libya, Slovenia and Yugoslavia, the
by the mobile-satellite service is subject to bands 430–432 MHz and 438–440 MHz are also
coordination under No. 9.11A. The power allocated to the fixed and mobile, except
flux-density limit indicated in Annex 1 of aeronautical mobile, services on a primary
Appendix 5 shall apply until such time as a basis.]
competent world radiocommunication con- 5.276 Additional allocation: in Afghanistan,
ference revises it. Algeria, Saudi Arabia, Bahrain, Bangladesh,
5.266 The use of the band 406–406.1 MHz by Brunei Darussalam, Burkina Faso, Burundi,
the mobile-satellite service is limited to low Egypt, the United Arab Emirates, Ecuador,
power satellite emergency position-indi- Eritrea, Ethiopia, Greece, Guinea, India, In-
cating radiobeacons (see also Article 31 and donesia, Iran (Islamic Republic of), Iraq,
Appendix 13). Israel, Italy, Jordan, Kenya, Kuwait, Leb-
5.267 Any emission capable of causing anon, Libya, Liechtenstein, Malaysia, Malta,
harmful interference to the authorized uses Nigeria, Oman, Pakistan, the Philippines,
of the band 406–406.1 MHz is prohibited. Qatar, Syria, the Dem. People’s Rep. of
5.268 Use of the band 410–420 MHz by the Korea, Singapore, Somalia, Switzerland,
space research service is limited to commu- Tanzania, Thailand, Togo, Turkey and
nications within 5 km of an orbiting, manned Yemen, the band 430–440 MHz is also allo-
space vehicle. The power flux-density at the cated to the fixed service on a primary basis
surface of the Earth produced by emissions and the bands 430–435 MHz and 438–440 MHz
from extra-vehicular activities shall not ex- are also allocated to the mobile, except aero-
ceed ¥153 dB(W/m2) for 0° ≤ d ≤ 5°, ¥153 + nautical mobile, service on a primary basis.
0.077 (d ¥5) dB(W/m2) for 5° ≤ d ≤ 70° and ¥148
5.277 Additional allocation: in Angola, Ar-
dB(W/m2) for 70° ≤ d ≤ 90°, where d is the angle
menia, Azerbaijan, Belarus, Cameroon,
of arrival of the radio-frequency wave and
Congo, Djibouti, Georgia, Hungary, Israel,
the reference bandwidth is 4 kHz. No. 4.10
Kazakstan, Latvia, Mali, Moldova, Mongolia,
does not apply to extra-vehicular activities.
Uzbekistan, Poland, Kyrgyzstan, Slovakia,
In this frequency band the space research
the Czech Rep., Romania, the Russian Fed-
(space-to-space) service shall not claim pro-
eration, Rwanda, Tajikistan, Chad,
tection from, nor constrain the use and de-
Turkmenistan and Ukraine, the band 430–440
velopment of, stations of the fixed and mo-
bile services. MHz is also allocated to the fixed service on
a primary basis.
5.269 Different category of service: in Aus-
tralia, the United States, India, Japan and 5.278 Different category of service: in Argen-
the United Kingdom, the allocation of the tina, Colombia, Costa Rica, Cuba, Guyana,
bands 420–430 MHz and 440–450 MHz to the Honduras, Panama and Venezuela, the allo-
radiolocation service is on a primary basis cation of the band 430–440 MHz to the ama-
(see No. 5.33). teur service is on a primary basis (see No.
5.270 Additional allocation: in Australia, 5.33).
the United States, Jamaica and the Phil- 5.279 Additional allocation: in Mexico, the
ippines, the bands 420–430 MHz and 440–450 bands 430–435 MHz and 438–440 MHz are also
MHz are also allocated to the amateur serv- allocated on a primary basis to the land mo-
ice on a secondary basis. bile service, subject to agreement obtained
5.271 Additional allocation: in Azerbaijan, under No. 9.21. 5.280 In Germany, Austria,
Belarus, China, Estonia, India, Latvia, Lith- Bosnia and Herzegovina, Croatia, The
uania, Kyrgyzstan and Turkmenistan, the Former Yugoslav Republic of Macedonia,
band 420–460 MHz is also allocated to the Liechtenstein, Portugal, Slovenia, Switzer-
aeronautical radionavigation service (radio land and Yugoslavia, the band 433.05–434.79
altimeters) on a secondary basis. MHz (centre frequency 433.92 MHz) is des-
5.272 Different category of service: in ignated for industrial, scientific and medical
France, the allocation of the band 430–434 (ISM) applications. Radiocommunication
MHz to the amateur service is on a sec- services of these countries operating within
ondary basis (see No. 5.32). this band must accept harmful interference
5.273 Different category of service: in Den- which may be caused by these applications.
mark, Libya and Norway, the allocation of ISM equipment operating in this band is sub-
the bands 430–432 MHz and 438–440 MHz to the ject to the provisions of No. 15.13.
radiolocation service is on a secondary basis 5.281 Additional allocation: in the French
(see No. 5.32). Overseas Departments in Region 2 and India,
5.274 Alternative allocation: in Denmark, the band 433.75–434.25 MHz is also allocated
Norway and Sweden, the bands 430–432 MHz to the space operation service (Earth-to-
and 438–440 MHz are allocated to the fixed space) on a primary basis. In France and in
and mobile, except aeronautical mobile, Brazil, the band is allocated to the same
services on a primary basis. service on a secondary basis.
500
5.282 In the bands 435–438 MHz, 1260–1270 MHz, 467.525 MHz, 467.550 MHz and 467.575
MHz, 2400–2450 MHz, 3400–3410 MHz (in Re- MHz may be used by on-board communica-
gions 2 and 3 only) and 5650–5670 MHz, the tion stations. Where needed, equipment de-
amateur-satellite service may operate sub- signed for 12.5 kHz channel spacing using
ject to not causing harmful interference to also the additional frequencies 457.5375 MHz,
other services operating in accordance with 457.5625 MHz, 467.5375 MHz and 467.5625 MHz
the Table (see No. 5.43). Administrations au- may be introduced for on-board communica-
thorizing such use shall ensure that any tions. The use of these frequencies in terri-
harmful interference caused by emissions torial waters may be subject to the national
from a station in the amateur-satellite serv- regulations of the administration concerned.
ice is immediately eliminated in accordance The characteristics of the equipment used
with the provisions of No. 25.11. The use of shall conform to those specified in Rec-
the bands 1260–1270 MHz and 5650–5670 MHz by ommendation ITU–R M.1174 (see Resolution
the amateur-satellite service is limited to 341 (WRC–97)).
the Earth-to-space direction. 5.288 In the territorial waters of the
5.283 Additional allocation: in Austria, the United States and the Philippines, the pre-
band 438–440 MHz is also allocated to the ferred frequencies for use by on-board com-
fixed and mobile, except aeronautical mo- munication stations shall be 457.525 MHz,
bile, services on a primary basis. 457.550 MHz, 457.575 MHz and 457.600 MHz
5.284 Additional allocation: in Canada, the paired, respectively, with 467.750 MHz, 467.775
band 440–450 MHz is also allocated to the MHz, 467.800 MHz and 467.825 MHz. The char-
amateur service on a secondary basis. acteristics of the equipment used shall con-
5.285 Different category of service: in Can- form to those specified in Recommendation
ada, the allocation of the band 440–450 MHz ITU–R M.1174.
to the radiolocation service is on a primary 5.289 Earth exploration-satellite service
basis (see No. 5.33). applications, other than the meteorological-
5.286 The band 449.75–450.25 MHz may be satellite service, may also be used in the
used for the space operation service (Earth- bands 460–470 MHz and 1690–1710 MHz for
to-space) and the space research service space-to-Earth transmissions subject to not
(Earth-to-space), subject to agreement ob- causing harmful interference to stations op-
tained under No. 9.21. erating in accordance with the Table.
5.286A The use of the bands 454–456 MHz 5.290 Different category of service: in Af-
and 459–460 MHz by the mobile-satellite serv- ghanistan, Azerbaijan, Belarus, China,
ice is subject to coordination under No. Japan, Mongolia, Uzbekistan, Kyrgyzstan,
9.11A. Slovakia, the Russian Federation,
5.286B The use of the band 454–455 MHz in Tajikistan, Turkmenistan and Ukraine, the
the countries listed in No. 5.286D, 455–456 allocation of the band 460–470 MHz to the me-
MHz and 459–460 MHz in Region 2, and 454–456 teorological-satellite service (space-to-
MHz and 459–460 MHz in the countries listed Earth) is on a primary basis (see No. 5.33),
in No. 5.286E, by stations in the mobile-sat- subject to agreement obtained under No.
ellite service, shall not cause harmful inter- 9.21.
ference to, or claim protection from, stations 5.291 Additional allocation: in China, the
of the fixed or mobile services operating in band 470–485 MHz is also allocated to the
accordance with the Table of Frequency Al- space research (space-to-Earth) and the
locations. space operation (space-to-Earth) services on
5.286C The use of the band 454–455 MHz in a primary basis subject to agreement ob-
the countries listed in No. 5.286D, 455–456 tained under No. 9.21 and subject to not caus-
MHz and 459–460 MHz in Region 2, and 454–456 ing harmful interference to existing and
MHz and 459–460 MHz in the countries listed planned broadcasting stations.
in No. 5.286E, by stations in the mobile-sat- 5.291A Additional allocation: in Germany,
ellite service, shall not constrain the devel- Austria, Denmark, Estonia, Finland, Liech-
opment and use of the fixed and mobile serv- tenstein, Norway, Netherlands, the Czech
ices operating in accordance with the Table Rep. and Switzerland, the band 470–494 MHz
of Frequency Allocations. is also allocated to the radiolocation service
5.286D Additional allocation: in Canada, the on a secondary basis. This use is limited to
United States, Mexico and Panama, the band the operation of wind profiler radars in ac-
454–455 MHz is also allocated to the mobile- cordance with Resolution 217 (WRC–97).
satellite service (Earth-to-space) on a pri- 5.292 Different category of service: in Mex-
mary basis. ico and Venezuela, the allocation of the band
5.286E Additional allocation: in Cape Verde, 470–512 MHz to the fixed and mobile services,
Indonesia, Nepal, Nigeria and Papua New and in Argentina and Uruguay to the mobile
Guinea, the bands 454–456 MHz and 459–460 service, is on a primary basis (see No. 5.33),
MHz are also allocated to the mobile-sat- subject to agreement obtained under No.
ellite (Earth-to-space) service on a primary 9.21.
basis. 5.293 Different category of service: in Can-
5.287 In the maritime mobile service, the ada, Chile, Colombia, Cuba, the United
frequencies 457.525 MHz, 457.550 MHz, 457.575 States, Guyana, Honduras, Jamaica, Mexico,
501
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
Panama and Peru, the allocation of the 5.306 Additional allocation: in Region 1, ex-
bands 470–512 MHz and 614–806 MHz to the cept in the African Broadcasting Area (see
fixed and mobile services is on a primary Nos. 5.10 to 5.13), and in Region 3, the band
basis (see No. 5.33), subject to agreement ob- 608–614 MHz is also allocated to the radio as-
tained under No. 9.21. In Argentina and Ecua- tronomy service on a secondary basis.
dor, the allocation of the band 470–512 MHz 5.307 Additional allocation: in India, the
to the fixed and mobile services is on a pri- band 608–614 MHz is also allocated to the
mary basis (see No. 5.33), subject to agree- radio astronomy service on a primary basis.
ment obtained under No. 9.21. 5.309 Different category of service: in Costa
5.294 Additional allocation: in Burundi, Rica, El Salvador and Honduras, the alloca-
Cameroon, the Congo, Ethiopia, Israel, tion of the band 614–806 MHz to the fixed
Kenya, Lebanon, Libya, Malawi, Senegal, service is on a primary basis (see No. 5.33),
Sudan, Syria, and Yemen, the band 470–582 subject to agreement obtained under No.
MHz is also allocated to the fixed service on 9.21.
a secondary basis. 5.311 Within the frequency band 620–790
5.296 Additional allocation: in Germany, MHz, assignments may be made to television
Austria, Belgium, Cyprus, Denmark, Spain, stations using frequency modulation in the
Finland, France, Ireland, Israel, Italy, Libya, broadcasting-satellite service subject to
Lithuania, Malta, Morocco, Monaco, Nor- agreement between the administrations con-
way, the Netherlands, Portugal, Syria, the cerned and those having services, operating
United Kingdom, Sweden, Switzerland, Swa- in accordance with the Table, which may be
ziland and Tunisia, the band 470–790 MHz is affected (see Resolutions 33 (Rev.WRC–97)
also allocated on a secondary basis to the and 507). Such stations shall not produce a
land mobile service, intended for applica- power flux-density in excess of the value
tions ancillary to broadcasting. Stations of ¥129 dB(W/m2) for angles of arrival less than
20° (see Recommendation 705) within the ter-
the land mobile service in the countries list-
ritories of other countries without the con-
ed in this footnote shall not cause harmful
sent of the administrations of those coun-
interference to existing or planned stations
tries.
operating in accordance with the Table in
countries other than those listed in this
Azerbaijan, Belarus, Bulgaria, Georgia, Hun-
footnote.
gary, Kazakstan, Latvia, Moldova, Mongolia,
5.297 Additional allocation: in Costa Rica, Uzbekistan, Poland, Kyrgyzstan, Slovakia,
Cuba, El Salvador, the United States, Guate- the Czech Rep., Romania, Russian Federa-
mala, Guyana, Honduras, Jamaica and Mex- tion, Tajikistan, Turkmenistan and Ukraine,
ico, the band 512–608 MHz is also allocated to the band 645–862 MHz is also allocated to the
the fixed and mobile services on a primary aeronautical radionavigation service on a
basis, subject to agreement obtained under primary basis.
No. 9.21. 5.314 Additional allocation: in Austria,
5.298 Additional allocation: in India, the Italy, Moldova, Uzbekistan, the United King-
band 549.75–550.25 MHz is also allocated to dom and Swaziland, the band 790–862 MHz is
the space operation service (space-to-Earth) also allocated to the land mobile service on
on a secondary basis. a secondary basis.
5.300 Additional allocation: in Israel, Libya, 5.315 Alternative allocation: in Greece,
Syria and Sudan, the band 582–790 MHz is Italy and Tunisia, the band 790–838 MHz is al-
also allocated to the fixed and mobile, except located to the broadcasting service on a pri-
aeronautical mobile, services on a secondary mary basis.
basis. 5.316 Additional allocation: in Germany,
5.302 Additional allocation: in the United Saudi Arabia, Bosnia and Herzegovina,
Kingdom, the band 590–598 MHz is also allo- Burkina Faso, Cameroon, C‘‘te d’Ivoire, Cro-
cated to the aeronautical radionavigation atia, Denmark, Egypt, Finland, Israel,
service on a primary basis. All new assign- Kenya, The Former Yugoslav Republic of
ments to stations in the aeronautical radio- Macedonia, Libya, Liechtenstein, Monaco,
navigation service, including those trans- Norway, the Netherlands, Portugal, Syria,
ferred from the adjacent bands, shall be sub- Sweden, Switzerland and Yugoslavia, the
ject to coordination with the Administra- band 790–830 MHz, and in these same coun-
tions of the following countries: Germany, tries and in Spain, France, Gabon and Malta,
Belgium, Denmark, Spain, France, Ireland, the band 830–862 MHz, are also allocated to
Luxembourg, Morocco, Norway and the the mobile, except aeronautical mobile, serv-
Netherlands. ice on a primary basis. However, stations of
5.304 Additional allocation: in the African the mobile service in the countries men-
Broadcasting Area (see Nos. 5.10 to 5.13), the tioned in connection with each band referred
band 606–614 MHz is also allocated to the to in this footnote shall not cause harmful
radio astronomy service on a primary basis. interference to, or claim protection from,
5.305 Additional allocation: in China, the stations of services operating in accordance
band 606–614 MHz is also allocated to the with the Table in countries other than those
radio astronomy service on a primary basis. mentioned in connection with the band.
502
5.317 Additional allocation: in Region 2 Uzbekistan, Poland, Kyrgyzstan, Slovakia,
(except Brazil and the United States), the the Czech Rep., Romania, Russian Federa-
band 806–890 MHz is also allocated to the motion, Tajikistan, Turkmenistan and Ukraine,
bile-satellite service on a primary basis, sub- the band 862–960 MHz is also allocated to the
ject to agreement obtained under No. 9.21. aeronautical radionavigation service on a
The use of this service is intended for oper- primary basis. Such use is subject to agree-
ation within national boundaries. ment obtained under No. 9.21 with adminis-
5.317A Administrations wishing to imple- trations concerned and limited to ground-
ment International Mobile Telecommuni- based radiobeacons in operation on 27 Octo-
cations-2000 (IMT–2000) may use those parts
ber 1997 until the end of their lifetime.
of the band 806–960 MHz which are allocated
to the mobile service on a primary basis and 5.325 Different category of service: in the
are used or planned to be used for mobile United States, the allocation of the band 890–
systems (see Resolution 224 (WRC–2000)). 942 MHz to the radiolocation service is on a
This identification does not preclude the use primary basis (see No. 5.33), subject to agree-
of these bands by any application of the serv- ment obtained under No. 9.21.
ices to which they are allocated and does not 5.325A Different category of service: in
establish priority in the Radio Regulations. Cuba, the allocation of the band 902–915 MHz
5.318 Additional allocation: in Canada, the to the land mobile service is on a primary
United States and Mexico, the ands 849–851 basis.
MHz and 894–896 MHz are also allocated to 5.326 Different category of service: in Chile,
the aeronautical mobile service on a primary the band 903–905 MHz is allocated to the mo-
basis, for public correspondence with air- bile, except aeronautical mobile, service on a
craft. The use of the band 849–851 MHz is lim- primary basis, subject to agreement obtained
ited to transmissions from aeronautical sta- under No. 9.21.
tions and the use of the band 894–896 MHz is
5.327 Different category of service: in Aus-
limited to transmissions from aircraft sta-
tralia, the allocation of the band 915–928 MHz
tions.
to the radiolocation service is on a primary
5.319 Additional allocation: in Belarus, Rus-
sian Federation and Ukraine, the bands 806– basis (see No. 5.33).
840 MHz (Earth-to-space) and 856–890 MHz 5.328 The use of the band 960–1215 MHz by
(space-to-Earth) are also allocated to the the aeronautical radionavigation service is
mobile-satellite, except aeronautical mobile- reserved on a worldwide basis for the oper-
satellite (R), service. The use of these bands ation and development of airborne electronic
by this service shall not cause harmful inter- aids to air navigation and any directly asso-
ference to, or claim protection from, services ciated ground-based facilities.
in other countries operating in accordance 5.328A Additional allocation: the band 1164–
with the Table of Frequency Allocations and 1215 MHz is also allocated to the radio-
is subject to special agreements between the navigation-satellite service (space-to-Earth)
administrations concerned. (space-to-space) on a primary basis. The ag-
5.320 Additional allocation: in Region 3, the gregate power flux-density produced by all
bands 806–890 MHz and 942–960 MHz are also the space stations of all radionavigation-sat-
allocated to the mobile-satellite, except ellite systems at the Earth’s surface shall
aeronautical mobile-satellite (R), service on not exceed the provisional value of ¥115
a primary basis, subject to agreement ob- dB(W/m2) in any 1 MHz band for all angles of
tained under No. 9.21. The use of this service arrival. Stations in the radionavigation-sat-
is limited to operation within national ellite service shall not cause harmful inter-
boundaries. In seeking such agreement, ap- ference to, nor claim protection from, sta-
propriate protection shall be afforded to tions of the aeronautical-radionavigation
services operating in accordance with the service. The provisions of Resolution 605
Table, to ensure that no harmful inter- (WRC–2000) apply.
ference is caused to such services.
5.329 Use of the radionavigation-satellite
5.321 Alternative allocation: in Italy, the
service in the band 1215–1300 MHz shall be
band 838–854 MHz is allocated to the broad-
casting service on a primary basis as from 1 subject to the condition that no harmful in-
January 1995. terference is caused to, and no protection is
5.322 In Region 1, in the band 862–960 MHz, claimed from, the radionavigation service
stations of the broadcasting service shall be authorized under No. 5.331. See also Resolu-
operated only in the African Broadcasting tion 606 (WRC–2000).
Area (see Nos. 5.10 to 5.13) excluding Algeria, 5.329A Use of systems in the radio-
Egypt, Spain, Libya, Morocco, Namibia, Ni- navigation-satellite service (space-to-space)
geria, South Africa, Tanzania, Zimbabwe and operating in the bands 1215–1300 MHz and
Zambia, subject to agreement obtained 1559–1610 MHz is not intended to provide safe-
under No. 9.21. ty service applications, and shall not impose
5.323 Additional allocation: in Armenia, any additional constraints on other systems
Azerbaijan, Belarus, Bulgaria, Hungary, or services operating in accordance with the
Kazakstan, Latvia, Moldova, Mongolia, Table.
503
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
5.330 Additional allocation: in Angola, borne transponders which transmit only on
Saudi Arabia, Bahrain, Bangladesh, Cam- frequencies in these bands and only when ac-
eroon, China, the United Arab Emirates, Eri- tuated by radars operating in the same band.
trea, Ethiopia, Guyana, India, Indonesia, 5.337A The use of the band 1300–1350 MHz
Iran (Islamic Republic of), Iraq, Israel, by earth stations in the radionavigation-sat-
Japan, Jordan, Kuwait, Lebanon, Libya, Mo- ellite service and by stations in the radio-
rocco, Mozambique, Nepal, Nigeria, Paki- location service shall not cause harmful in-
stan, the Philippines, Qatar, Syria, Somalia, terference to, nor constrain the operation
Sudan, Sri Lanka, Chad, Togo and Yemen, and development of, the aeronautical-radio-
the band 1215–1300 MHz is also allocated to navigation service.
the fixed and mobile services on a primary 5.338 In Azerbaijan, Bulgaria, Mongolia,
basis. Kyrgyzstan, Slovakia, the Czech Rep., Roma-
5.331 Additional allocation: in Algeria, Ger- nia and Turkmenistan, existing installations
many, Austria, Bahrain, Belgium, Benin, of the radionavigation service may continue
Bosnia and Herzegovina, Burundi, Cameroon, to operate in the band 1350–1400 MHz.
China, Croatia, Denmark, the United Arab 5.339 The bands 1370–1400 MHz, 2640–2655
Emirates, France, Greece, India, Iran MHz, 4950–4990 MHz and 15.20–15.35 GHz are
(Islamic Republic of), Iraq, Kenya, The also allocated to the space research (passive)
Former Yugoslav Republic of Macedonia, and earth exploration-satellite (passive)
Liechtenstein, Luxembourg, Mali, Mauri- services on a secondary basis.
tania, Norway, Oman, the Netherlands, Por- 5.340 All emissions are prohibited in the
tugal, Qatar, Senegal, Slovenia, Somalia, following bands:
Sudan, Sri Lanka, Sweden, Switzerland, Tur- 1400–1427 MHz,
key and Yugoslavia, the band 1215–1300 MHz 2690–2700 MHz, except those provided for by
is also allocated to the radionavigation serv- Nos. 5.421 and 5.422,
ice on a primary basis. 10.68–10.7 GHz, except those provided for by
5.332 In the band 1215–1260 MHz, active No. 5.483,
spaceborne sensors in the Earth exploration- 15.35–15.4 GHz, except those provided for by
satellite and space research services shall No. 5.511,
not cause harmful interference to, claim pro- 23.6–24 GHz,
tection from, or otherwise impose con- 31.3–31.5 GHz,
straints on operation or development of the 31.5–31.8 GHz, in Region 2,
radiolocation service, the radionavigation- 48.94–49.04 GHz,from airborne stations,
satellite service and other services allocated 50.2–50.4 GHz,2 except those provided for by
on a primary basis. No. 5.555A,
5.333 In the bands 1215–1300 MHz, 3100–3300 52.6–54.25 GHz,
MHz, 5250–5350 MHz, 8550–8650 MHz, 9500–9800 86–92 GHz,
MHz and 13.4–14.0 GHz, radiolocation stations 100–102 GHz,
installed on spacecraft may also be employed 109.5–111.8 GHz,
for the earth exploration-satellite and space 114.25–116 GHz,
research services on a secondary basis. 148.5–151.5 GHz,
(SUP–WRC–97) 164–167 GHz,
5.334 Additional allocation: in Canada and 182–185 GHz, except those provided for by No.
the United States, the bands 1240–1300 MHz 5.563,
and 1350–1370 MHz are also allocated to the 190–191.8 GHz,
aeronautical radionavigation service on a 200–209 GHz,
primary basis. 226–231.5 GHz,
5.335 In Canada and the United States in 250–252 GHz.
the band 1240–1300 MHz, active spaceborne
5.341 In the bands 1400–1727 MHz, 101–120
sensors in the earth exploration-satellite and
GHz and 197–220 GHz, passive research is
space research services shall not cause inter-
being conducted by some countries in a pro-
ference to, claim protection from, or other-
gramme for the search for intentional emis-
wise impose constraints on operation or de-
sions of extraterrestrial origin.
velopment of the aeronautical radio-
navigation service.
Azerbaijan, Belarus, Bulgaria, Uzbekistan,
5.335A In the band 1260–1300 MHz, active
Kyrgystan, the Russian Federation and
spaceborne sensors in the Earth exploration-
Ukraine, the band 1429–1535 MHz is also allo-
satellite and space research services shall
cated to the aeronautical mobile service on a
not cause harmful interference to, claim pro-
tection from, or otherwise impose con-
straints on operation or development of the 2 5.340.1 The allocation to the earth explo-
radiolocation service and other services allo- ration-satellite service (passive) and the
cated by footnotes on a primary basis. space research service (passive) in the band
5.337 The use of the bands 1300–1350 MHz, 50.2–50.4 GHz should not impose undue con-
2700–2900 MHz and 9000–9200 MHz by the aero- straints on the use of the adjacent bands by
nautical radionavigation service is restricted the primary allocated services in those
to ground-based radars and to associated air- bands.
504
primary basis exclusively for the purposes of 5.350 Additional allocation: in Azerbaijan,
aeronautical telemetry within the national Kyrgyzstan and Turkmenistan, the band
territory. As of 1 April 2007, the use of the 1525–1530 MHz is also allocated to the aero-
band 1452–1492 MHz is subject to agreement nautical mobile service on a primary basis.
between the administrations concerned. 5.351 The bands 1525–1544 MHz, 1545–1559
5.343 In Region 2, the use of the band 1435– MHz, 1626.5–1645.5 MHz and 1646.5–1660.5 MHz
1535 MHz by the aeronautical mobile service shall not be used for feeder links of any serv-
for telemetry has priority over other uses by ice. In exceptional circumstances, however,
the mobile service. an earth station at a specified fixed point in
5.344 Alternative allocation: in the United any of the mobile-satellite services may be
States, the band 1452–1525 MHz is allocated authorized by an administration to commu-
to the fixed and mobile services on a primary nicate via space stations using these bands.
basis (see also No. 5.343). 5.351A For the use of the bands 1525–1544
5.345 Use of the band 1452–1492 MHz by the MHz, 1545–1559 MHz, 1610–1626.5 MHz, 1626.5–
broadcasting-satellite service, and by the 1645.5 MHz, 1646.5–1660.5 MHz, 1980–2010 MHz,
broadcasting service, is limited to digital 2170–2200 MHz, 2483.5–2500 MHz, 2500–2520 MHz
audio broadcasting and is subject to the pro- and 2670–2690 MHz by the mobile-satellite
visions of Resolution 528 (WARC–92). service, see Resolutions 212 (Rev.WRC–97)
and 225 (WRC–2000).
5.347 Different category of service: in Ban-
5.352A In the band 1525–1530 MHz, stations
gladesh, Bosnia and Herzegovina, Botswana,
in the mobile-satellite service, except sta-
Bulgaria, Burkina Faso, Cuba, Denmark,
tions in the maritime mobile-satellite serv-
Egypt, Greece, Ireland, Italy, Kenya, Mozam-
ice, shall not cause harmful interference to,
bique, Portugal, Sri Lanka, Swaziland,
or claim protection from, stations of the
Yemen, Yugoslavia and Zimbabwe, the allo-
fixed service in France and French overseas
cation of the band 1452–1492 MHz to the territories in Region 3, Algeria, Saudi Ara-
broadcasting-satellite service and the broad- bia, Egypt, Guinea, India, Israel, Italy, Jor-
casting service is on a secondary basis until dan, Kuwait, Mali, Malta, Morocco, Mauri-
1 April 2007. tania, Nigeria, Oman, Pakistan, Philippines,
5.348 The use of the band 1492–1525 MHz by Qatar, Syria, Tanzania, Viet Nam and
the mobile-satellite service is subject to co- Yemen notified prior to 1 April 1998.
ordination under No. 9.11A. However, no co- 5.353A In applying the procedures of Sec-
ordination threshold in Article 21 for space tion II of Article 9 to the mobile-satellite
stations of the mobile-satellite service with service in the bands 1530–1544 MHz and 1626.5–
respect to terrestrial services shall apply to 1645.5 MHz, priority shall be given to accom-
the situation referred to in No. 5.343. With modating the spectrum requirements for dis-
respect to the situation referred to in No. tress, urgency and safety communications of
5.343, the requirement for coordination in the the Global Maritime Distress and Safety
band 1492–1525 MHz will be determined by System (GMDSS). Maritime mobile-satellite
band overlap. distress, urgency and safety communications
5.348A In the band 1492–1525 MHz, the co- shall have priority access and immediate
ordination threshold in terms of the power availability over all other mobile satellite
flux-density levels at the surface of the communications operating within a network.
Earth in application of No. 9.11A for space Mobile-satellite systems shall not cause un-
stations in the mobile-satellite (space-to- acceptable interference to, or claim protec-
Earth) service, with respect to the land motion from, distress, urgency and safety com-
bile service use for specialized mobile radios munications of the GMDSS. Account shall be
or used in conjunction with public switched taken of the priority of safety-related com-
telecommunication networks (PSTN) oper- munications in the other mobile-satellite
ating within the territory of Japan, shall be services. (The provisions of Resolution 222
-150 dB(W/m2) in any 4 kHz band for all an- (WRC–2000) shall apply.)
gles of arrival, instead of those given in 5.354 The use of the bands 1525–1559 MHz
Table 5–2 of Appendix 5. The above threshold and 1626.5–1660.5 MHz by the mobile-satellite
level of the power flux-density shall apply services is subject to coordination under No.
until it is changed by a competent world 9.11A.
radiocommunication conference. 5.355 Additional allocation: in Bahrain,
5.349 Different category of service: in Saudi Bangladesh, Congo, Egypt, Eritrea, Iraq,
Arabia, Azerbaijan, Bahrain, Bosnia and Israel, Jordan, Kuwait, Lebanon, Malta, Mo-
Herzegovina, Cameroon, Egypt, France, Iran rocco, Qatar, Syria, Somalia, Sudan, Chad,
(Islamic Republic of), Iraq, Israel, Togo and Yemen, the bands 1540–1559 MHz,
Kazakstan, Kuwait, The Former Yugoslav 1610–1645.5 MHz and 1646.5–1660 MHz are also
Republic of Macedonia, Lebanon, Morocco, allocated to the fixed service on a secondary
Qatar, Syria, Kyrgyzstan, Romania, basis.
Turkmenistan, Yemen and Yugoslavia, the 5.356 The use of the band 1544–1545 MHz by
allocation of the band 1525–1530 MHz to the the mobile-satellite service (space-to-Earth)
mobile, except aeronautical mobile, service is limited to distress and safety communica-
is on a primary basis (see No. 5.33). tions (see Article 31).
505
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
5.357 Transmissions in the band 1545–1555 Spain, France, Gabon, Georgia, Greece,
MHz from terrestrial aeronautical stations Guinea, Guinea-Bissau, Hungary, Kazakstan,
directly to aircraft stations, or between air- Latvia, Lithuania, Moldova, Mongolia, Nige-
craft stations, in the aeronautical mobile (R) ria, Uganda, Uzbekistan, Pakistan, Poland,
service are also authorized when such trans- Kyrgyzstan, the Dem. People’s Rep. of
missions are used to extend or supplement Korea, Romania, the Russian Federation,
the satellite-to-aircraft links. Senegal, Swaziland, Tajikistan, Tanzania,
5.357A In applying the procedures of Sec- Turkmenistan and Ukraine, and until 1 Jan-
tion II of Article 9 to the mobile-satellite uary 2010 in Saudi Arabia, Cameroon, Jor-
service in the bands 1545–1555 MHz and 1646.5– dan, Kuwait, Lebanon, Libya, Mali, Morocco,
1656.5 MHz, priority shall be given to accom- Mauritania, Syria and Tunisia. After these
modating the spectrum requirements of the dates, the fixed service may continue to op-
aeronautical mobile-satellite (R) service pro- erate on a secondary basis until 1 January
viding transmission of messages with pri- 2015, at which time this allocation shall no
ority 1 to 6 in Article 44. Aeronautical mo- longer be valid. Administrations are urged to
bile-satellite (R) service communications take all practicable steps to protect the
with priority 1 to 6 in Article 44 shall have radionavigation-satellite service and the
priority access and immediate availability, aeronautical radionavigation service and not
by pre-emption if necessary, over all other authorize new frequency assignments to
mobile-satellite communications operating fixed-service systems in this band.
within a network. Mobile-satellite systems 5.362C Additional allocation: in Bahrain,
shall not cause unacceptable interference to, Bangladesh, Congo, Egypt, Eritrea, Iraq,
or claim protection from, aeronautical mo- Israel, Jordan, Kuwait, Lebanon, Malta, Mo-
bile-satellite (R) service communications rocco, Qatar, Syria, Somalia, Sudan, Chad,
with priority 1 to 6 in Article 44. Account Togo and Yemen, the band 1559–1610 MHz is
shall be taken of the priority of safety-re- also allocated to the fixed service on a sec-
lated communications in the other mobile-
ondary basis until 1 January 2015, at which
satellite services. (The provisions of Resolu-
time this allocation shall no longer be valid.
tion 222 (WRC–2000) shall apply.)
Administrations are urged to take all prac-
5.359 Additional allocation: in Germany,
ticable steps to protect the radionavigation-
Saudi Arabia, Armenia, Austria, Azerbaijan,
satellite service and not authorize new fre-
Belarus, Benin, Bosnia and Herzegovina, Bul-
quency assignments to fixed-service systems
garia, Cameroon, Spain, France, Gabon,
in this band.
Georgia, Greece, Guinea, Guinea-Bissau,
Hungary, Jordan, Kazakstan, Kuwait, Lat- 5.363 Alternative allocation: in Sweden, the
via, Lebanon, Libya, Lithuania, Mali, Mo- band 1590–1626.5 MHz is allocated to the aero-
rocco, Mauritania, Moldova, Mongolia, Nige- nautical radionavigation service on a pri-
ria, Uganda, Uzbekistan, Pakistan, Poland, mary basis.
Syria, Kyrgyzstan, the Dem. People’s Rep. of 5.364 The use of the band 1610–1626.5 MHz
Korea, Romania, the Russian Federation, by the mobile-satellite service (Earth-to-
Senegal, Swaziland, Tajikistan, Tanzania, space) and by the radiodetermination-sat-
Tunisia, Turkmenistan and Ukraine, the ellite service (Earth-to-space) is subject to
bands 1550–1559 MHz, 1610–1645.5 MHz and coordination under No. 9.11A. A mobile earth
1646.5–1660 MHz are also allocated to the station operating in either of the services in
fixed service on a primary basis. Administra- this band shall not produce a peak e.i.r.p.
tions are urged to make all practicable ef- density in excess of ¥15 dB(W/4 kHz) in the
forts to avoid the implementation of new part of the band used by systems operating
fixed-service stations in these bands. in accordance with the provisions of No. 5.366
5.362A In the United States, in the bands (to which No. 4.10 applies), unless otherwise
1555–1559 MHz and 1656.5–1660.5 MHz, the aero- agreed by the affected administrations. In
nautical mobile-satellite (R) service shall the part of the band where such systems are
have priority access and immediate avail- not operating, the mean e.i.r.p. density of a
ability, by pre-emption if necessary, over all mobile earth station shall not exceed ¥3
other mobile-satellite communications oper- dB(W/4 kHz). Stations of the mobile-satellite
ating within a network. Mobile-satellite sys- service shall not claim protection from sta-
tems shall not cause unacceptable inter- tions in the aeronautical radionavigation
ference to, or claim protection from, aero- service, stations operating in accordance
nautical mobile-satellite (R) service commu- with the provisions of No. 5.366 and stations
nications with priority 1 to 6 in Article 44. in the fixed service operating in accordance
Account shall be taken of the priority of with the provisions of No. 5.359. Administra-
safety-related communications in the other tions responsible for the coordination of mo-
mobile-satellite services. bile-satellite networks shall make all prac-
5.362B Additional allocation: The band 1559– ticable efforts to ensure protection of sta-
1610 MHz is also allocated to the fixed service tions operating in accordance with the provi-
on a primary basis until 1 January 2005 in sions of No. 5.366.
Germany, Armenia, Azerbaijan, Belarus, 5.365 The use of the band 1613.8–1626.5 MHz
Benin, Bosnia and Herzegovina, Bulgaria, by the mobile-satellite service (space-to-
506
Earth) is subject to coordination under No. 5.376A Mobile earth stations operating in
9.11A. the band 1660–1660.5 MHz shall not cause
5.366 The band 1610–1626.5 MHz is reserved harmful interference to stations in the radio
on a worldwide basis for the use and develop- astronomy service.
ment of airborne electronic aids to air navi- 5.377 In the band 1675–1710 MHz, stations
gation and any directly associated ground- in the mobile-satellite service shall not
based or satellite-borne facilities. Such sat- cause harmful interference to, nor constrain
ellite use is subject to agreement obtained the development of, the meteorological-sat-
under No. 9.21. ellite and meteorological aids services (see
5.367 Additional allocation: The bands 1610– Resolution 213 (Rev.WRC–95) 3) and the use of
1626.5 MHz and 5000–5150 MHz are also allo- this band shall be subject to coordination
cated to the aeronautical mobile-satellite under No. 9.11A.
(R) service on a primary basis, subject to 5.379 Additional allocation: in Bangladesh,
agreement obtained under No. 9.21. India, Indonesia, Nigeria and Pakistan, the
5.368 With respect to the radiodetermin- band 1660.5–1668.4 MHz is also allocated to
ation-satellite and mobile-satellite services the meteorological aids service on a sec-
the provisions of No. 4.10 do not apply in the ondary basis.
band 1610–1626.5 MHz, with the exception of 5.379A Administrations are urged to give
the aeronautical radionavigation-satellite all practicable protection in the band 1660.5–
service. 1668.4 MHz for future research in radio as-
5.369 Different category of service: in An- tronomy, particularly by eliminating air-to-
gola, Australia, Burundi, China, Côte ground transmissions in the meteorological
d’Ivoire, Eritrea, Ethiopia, India, Iran aids service in the band 1664.4–1668.4 MHz as
(Islamic Republic of), Israel, Jordan, Leb- soon as practicable.
anon, Liberia, Libya, Madagascar, Mali, 5.380 The bands 1670–1675 MHz and 1800–
Pakistan, Papua New Guinea, Dem. Rep. of 1805 MHz are intended for use, on a world-
the Congo, Syria, Senegal, Sudan, Swaziland, wide basis, by administrations wishing to
Togo and Zambia, the allocation of the band implement aeronautical public correspond-
1610–1626.5 MHz to the radiodetermination- ence. The use of the band 1670–1675 MHz by
satellite service (Earth-to-space) is on a pri- stations in the systems for public cor-
mary basis (see No. 5.33), subject to agree- respondence with aircraft is limited to trans-
ment obtained under No. 9.21 from countries
missions from aeronautical stations and the
not listed in this provision.
use of the band 1800–1805 MHz is limited to
5.370 Different category of service: in Ven-
transmissions from aircraft stations.
ezuela, the allocation to the radiodetermin-
5.381 Additional allocation: in Afghanistan,
ation-satellite service in the band 1610–1626.5
Costa Rica, Cuba, India, Iran (Islamic Repub-
MHz (Earth-to-space) is on a secondary basis.
lic of), Malaysia, Pakistan and Sri Lanka,
5.371 Additional allocation: in Region 1, the
the band 1690–1700 MHz is also allocated to
bands 1610–1626.5 MHz (Earth-to-space) and
the fixed and mobile, except aeronautical
2483.5–2500 MHz (space-to-Earth) are also al-
mobile, services on a primary basis.
located to the radiodetermination-satellite
5.382 Different category of service: in Saudi
service on a secondary basis, subject to
Arabia, Armenia, Austria, Azerbaijan, Bah-
agreement obtained under No. 9.21.
rain, Belarus, Bosnia and Herzegovina, Bul-
5.372 Harmful interference shall not be
garia, the Congo, Egypt, the United Arab
caused to stations of the radio astronomy
Emirates, Eritrea, Ethiopia, Guinea, Hun-
service using the band 1610.6–1613.8 MHz by
gary, Iraq, Israel, Jordan, Kazakstan, Ku-
stations of the radiodetermination-satellite
wait, the Former Yugoslav Republic of Mac-
and mobile-satellite services (No. 29.13 ap-
edonia, Lebanon, Mauritania, Moldova, Mon-
plies).
5.374 Mobile earth stations in the mobile- golia, Oman, Uzbekistan, Poland, Qatar,
satellite service operating in the bands Syria, Kyrgyzstan, Romania, Russian Fed-
1631.5–1634.5 MHz and 1656.5–1660 MHz shall eration, Somalia, Tajikistan, Tanzania,
not cause harmful interference to stations in Turkmenistan, Ukraine, Yemen and Yugo-
the fixed service operating in the countries slavia, the allocation of the band 1690–1700
listed in No. 5.359. MHz to the fixed and mobile, except aero-
5.375 The use of the band 1645.5–1646.5 MHz nautical mobile, services is on a primary
by the mobile-satellite service (Earth-to- basis (see No. 5.33), and in the Dem. People’s
space) and for inter-satellite links is limited Rep. of Korea, the allocation of the band
to distress and safety communications (see 1690–1700 MHz to the fixed service is on a pri-
Article 31). mary basis (see No. 5.33) and to the mobile,
5.376 Transmissions in the band 1646.5– except aeronautical mobile, service on a sec-
1656.5 MHz from aircraft stations in the aero- ondary basis.
nautical mobile (R) service directly to ter- 5.384 Additional allocation: in India, Indo-
restrial aeronautical stations, or between nesia and Japan, the band 1700–1710 MHz is
aircraft stations, are also authorized when
such transmissions are used to extend or 3 Note by the Secretariat: This Resolution
supplement the aircraft-to-satellite links. was abrogated by WRC–2000.
507
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
also allocated to the space research service 5.389B The use of the band 1980–1990 MHz
(space-to-Earth) on a primary basis. by the mobile-satellite service shall not
5.384A The bands, or portions of the cause harmful interference to or constrain
bands, 1710–1885 MHz and 2500–2690 MHz, are the development of the fixed and mobile
identified for use by administrations wishing services in Argentina, Brazil, Canada, Chile,
to implement International Mobile Tele- Ecuador, the United States, Honduras, Ja-
communications-2000 (IMT–2000) in accord- maica, Mexico, Peru, Suriname, Trinidad
ance with Resolution 223 (WRC–2000). This and Tobago, Uruguay and Venezuela.
identification does not preclude the use of 5.389C The use of the bands 2010–2025 MHz
these bands by any application of the serv- and 2160–2170 MHz in Region 2 by the mobile-
ices to which they are allocated and does not satellite service shall not commence before 1
establish priority in the Radio Regulations. January 2002 and is subject to coordination
5.385 Additional allocation: the band 1718.8– under No. 9.11A and to the provisions of Res-
1722.2 MHz is also allocated to the radio as- olution 716 (WRC–95) 4.
tronomy service on a secondary basis for 5.389D In Canada and the United States
spectral line observations. the use of the bands 2010–2025 MHz and 2160–
5.386 Additional allocation: the band 1750– 2170 MHz by the mobile-satellite service
1850 MHz is also allocated to the space oper- shall not commence before 1 January 2000.
ation (Earth-to-space) and space research 5.389E The use of the bands 2010–2025 MHz
(Earth-to-space) services in Region 2, in Aus- and 2160–2170 MHz by the mobile-satellite
tralia, India, Indonesia and Japan on a pri- service in Region 2 shall not cause harmful
mary basis, subject to agreement obtained interference to or constrain the development
under No. 9.21, having particular regard to of the fixed and mobile services in Regions 1
troposcatter systems. and 3.
5.387 Additional allocation: in Azerbaijan,
5.389F In Algeria, Benin, Cape Verde,
Belarus, Georgia, Kazakstan, Mali, Mon-
Egypt, Iran (Islamic Republic of), Mali,
golia, Kyrgyzstan, Slovakia, Romania,
Syria and Tunisia, the use of the bands 1980–
Tajikistan and Turkmenistan, the band 1770–
2010 MHz and 2170–2200 MHz by the mobile-
1790 MHz is also allocated to the meteorolog-
satellite service shall neither cause harmful
ical-satellite service on a primary basis, sub-
interference to the fixed and mobile services,
ject to agreement obtained under No. 9.21.
nor hamper the development of those serv-
5.388 The bands 1885–2025 MHz and 2110–
ices prior to 1 January 2005, nor shall the
2200 MHz are intended for use, on a world-
former service request protection from the
wide basis, by administrations wishing to
latter services.
implement International Mobile Tele-
5.390 In Argentina, Brazil, Chile, Colom-
communications-2000 (IMT–2000). Such use
bia, Cuba, Ecuador, Suriname and Uruguay,
does not preclude the use of these bands by
the use of the bands 2010–2025 MHz and 2160–
other services to which they are allocated.
2170 MHz by the mobile-satellite services
The bands should be made available for IMT–
shall not cause harmful interference to sta-
2000 in accordance with Resolution 212
tions in the fixed and mobile services before
(Rev.WRC–97). (See also Resolution 223
1 January 2005. After this date, the use of
(WRC–2000).)
these bands is subject to coordination under
5.388A In Regions 1 and 3, the bands 1885–
No. 9.11A and to the provisions of Resolution
1980 MHz, 2010–2025 MHz and 2110–2170 MHz
716 (WRC–95).5
and, in Region 2, the bands 1885–1980 MHz and
2110–2160 MHz may be used by high altitude 5.391 In making assignments to the mo-
platform stations as base stations to provide bile service in the bands 2025–2110 MHz and
International Mobile Telecommunications- 2200–2290 MHz, administrations shall not in-
2000 (IMT–2000), in accordance with Resolu- troduce high-density mobile systems, as de-
tion 221 (WRC–2000). The use by IMT–2000 ap- scribed in Recommendation ITU–R SA.1154,
plications using high altitude platform sta- and shall take that Recommendation into
tions as base stations does not preclude the account for the introduction of any other
use of these bands by any station in the serv- type of mobile system.
ices to which they are allocated and does not 5.392 Administrations are urged to take
establish priority in the Radio Regulations. all practicable measures to ensure that
5.389A The use of the bands 1980–2010 MHz space-to-space transmissions between two or
and 2170–2200 MHz by the mobile-satellite more non-geostationary satellites, in the
service is subject to coordination under No. space research, space operations and Earth
9.11A and to the provisions of Resolution 716 exploration-satellite services in the bands
(WRC–95) 4. The use of these bands shall not 2025–2110 MHz and 2200–2290 MHz, shall not
commence before 1 January 2000; however impose any constraints on Earth-to-space,
the use of the band 1980–1990 MHz in Region space-to-Earth and other space-to-space
2 shall not commence before 1 January 2005. transmissions of those services and in those
4 Note by the Secretariat: This Resolution 5 Note by the Secretariat: This Resolution
was revised by WRC–2000. was revised by WRC–2000.
508
bands between geostationary and non-geo- Guinea, Dem. Rep. of the Congo, Syria,
stationary satellites. Sudan, Swaziland, Togo and Zambia, the al-
5.392A Additional allocation: in Russian location of the band 2483.5–2500 MHz to the
Federation, the band 2160–2200 MHz is also al- radiodetermination-satellite service (space-
located to the space research service (space- to-Earth) is on a primary basis (see No. 5.33),
to-Earth) on a primary basis until 1 January subject to agreement obtained under No. 9.21
2005. Stations in the space research service from countries not listed in this provision.
shall not cause harmful interference to, or 5.402 The use of the band 2483.5–2500 MHz
claim protection from, stations in the fixed by the mobile-satellite and the radio-
and mobile services operating in this fre- determination-satellite services is subject to
quency band. the coordination under No. 9.11A. Adminis-
5.393 Additional allocation: in the United trations are urged to take all practicable
States, India and Mexico, the band 2310–2360 steps to prevent harmful interference to the
MHz is also allocated to the broadcasting- radio astronomy service from emissions in
satellite service (sound) and complementary the 2483.5–2500 MHz band, especially those
terrestrial sound broadcasting service on a caused by second-harmonic radiation that
primary basis. Such use is limited to digital would fall into the 4990–5000 MHz band allo-
audio broadcasting and is subject to the pro- cated to the radio astronomy service world-
visions of Resolution 528 (WARC–92), with wide.
the exception of resolves 3 in regard to the 5.403 Subject to agreement obtained under
limitation on broadcasting-satellite systems No. 9.21, the band 2520–2535 MHz (until 1 Jan-
in the upper 25 MHz. uary 2005 the band 2500–2535 MHz) may also
5.394 In the United States, the use of the be used for the mobile-satellite (space-to-
band 2300–2390 MHz by the aeronautical mo- Earth), except aeronautical mobile-satellite,
bile service for telemetry has priority over service for operation limited to within na-
other uses by the mobile services. In Canada, tional boundaries. The provisions of No.
the use of the band 2300–2483.5 MHz by the 9.11A apply.
aeronautical mobile service for telemetry 5.404 Additional allocation: in India and
has priority over other uses by the mobile Iran (Islamic Republic of), the band 2500–
services. 2516.5 MHz may also be used for the radio-
5.395 In France, the use of the band 2310– determination-satellite service (space-to-
2360 MHz by the aeronautical mobile service Earth) for operation limited to within na-
for telemetry has priority over other uses by tional boundaries, subject to agreement ob-
the mobile service. tained under No. 9.21.
5.396 Space stations of the broadcasting- 5.405 Additional allocation: in France, the
satellite service in the band 2310–2360 MHz band 2500–2550 MHz is also allocated to the
operating in accordance with No. 5.393 that radiolocation service on a primary basis.
may affect the services to which this band is Such use is subject to agreement with the
allocated in other countries shall be coordi- administrations having services operating or
nated and notified in accordance with Reso- planned to operate in accordance with the
lution 33 (Rev.WRC–97). Complementary ter- Table which may be affected.
restrial broadcasting stations shall be sub- 5.407 In the band 2500–2520 MHz, the power
ject to bilateral coordination with flux-density at the surface of the Earth from
neighbouring countries prior to their bring- space stations operating in the mobile-sat-
ing into use. ellite (space-to-Earth) service shall not ex-
5.397 Different category of service: in ceed ¥152 dB(W/(m2 4 kHz)) in Argentina, un-
France, the band 2450–2500 MHz is allocated less otherwise agreed by the administrations
on a primary basis to the radiolocation serv- concerned.
ice (see No. 5.33). Such use is subject to 5.409 Administrations shall make all prac-
agreement with administrations having serv- ticable efforts to avoid developing new tro-
ices operating or planned to operate in ac- pospheric scatter systems in the band 2500–
cordance with the Table of Frequency Allo- 2690 MHz.
cations which may be affected. 5.410 The band 2500–2690 MHz may be used
5.398 In respect of the radiodetermin- for tropospheric scatter systems in Region 1,
ation-satellite service in the band 2483.5–2500 subject to agreement obtained under No.
MHz, the provisions of No. 4.10 do not apply. 9.21.
5.399 In Region 1, in countries other than 5.411 When planning new tropospheric
those listed in No. 5.400, harmful interference scatter radio-relay links in the band 2500–
shall not be caused to, or protection shall 2690 MHz, all possible measures shall be
not be claimed from, stations of the radio- taken to avoid directing the antennae of
location service by stations of the radio- these links towards the geostationary-sat-
determination satellite service. ellite orbit.
5.400 Different category of service: in An- 5.412 Alternative allocation: in Azerbaijan,
gola, Australia, Bangladesh, Burundi, China, Bulgaria, Kyrgyzstan and Turkmenistan, the
Eritrea, Ethiopia, India, Iran (Islamic Re- band 2500–2690 MHz is allocated to the fixed
public of), Jordan, Lebanon, Liberia, Libya, and mobile, except aeronautical mobile,
Madagascar, Mali, Pakistan, Papua New services on a primary basis.
509
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
5.413 In the design of systems in the considered to have been received before 3
broadcasting-satellite service in the bands June 2000. Use of the band by non-geo-
between 2500 MHz and 2690 MHz, administra- stationary-satellite systems in the broad-
tions are urged to take all necessary steps to casting-satellite service (sound) is subject to
protect the radio astronomy service in the the provisions of Resolution 539 (WRC–2000),
band 2690–2700 MHz. and such systems shall be in accordance with
5.414 The allocation of the frequency band Resolution 528 (WARC–92).
2500–2520 MHz to the mobile-satellite service 5.418B Use of the band 2630–2655 MHz by
(space-to-Earth) shall be effective on 1 Janu- non-geostationary-satellite systems for
ary 2005 and is subject to coordination under which complete Appendix 4 coordination in-
No. 9.11A. formation, or notification information, has
5.415 The use of the bands 2500–2690 MHz been received after 2 June 2000, is subject to
in Region 2 and 2500–2535 MHz and 2655–2690 the application of the provisions of No. 9.12.
MHz in Region 3 by the fixed-satellite serv- Resolution 539 (WRC–2000) applies.
ice is limited to national and regional sys- 5.418C Use of the band 2630–2655 MHz by
tems, subject to agreement obtained under geostationary-satellite networks for which
No. 9.21, giving particular attention to the complete Appendix 4 coordination informa-
broadcasting-satellite service in Region 1. In tion, or notification information, has been
the direction space-to-Earth, the power flux- received after 2 June 2000 is subject to the
density at the Earth’s surface shall not ex- application of the provisions of No. 9.13 with
ceed the values given in Article 21, Table 21– respect to non-geostationary-satellite sys-
4. tems in the broadcasting-satellite service
5.415A Additional allocation: in India and
(sound), and No. 22.2 does not apply. Resolu-
Japan, subject to agreement obtained under
tion 539 (WRC–2000) applies.
No. 9.21, the band 2515–2535 MHz may also be
5.419 The allocation of the frequency band
used for the aeronautical mobile-satellite
2670–2690 MHz to the mobile-satellite service
service (space-to-Earth) for operation lim-
shall be effective from 1 January 2005. When
ited to within their national boundaries.
5.416 The use of the band 2520–2670 MHz by introducing systems of the mobile-satellite
the broadcasting-satellite service is limited service in this band, administrations shall
to national and regional systems for commu- take all necessary steps to protect the sat-
nity reception, subject to agreement ob- ellite systems operating in this band prior to
tained under No. 9.21. The power flux-density 3 March 1992. The coordination of mobile-sat-
at the Earth’s surface shall not exceed the ellite systems in the band shall be in accord-
values given in Article 21, Table 21–4. ance with No. 9.11A.
5.418 Additional allocation: in Bangladesh, 5.420 The band 2655–2670 MHz (until 1 Jan-
Belarus, Korea (Rep. of), India, Japan, Paki- uary 2005 the band 2655–2690 MHz) may also
stan, Singapore, Sri Lanka and Thailand, the be used for the mobile-satellite (Earth-to-
band 2535–2655 MHz is also allocated to the space), except aeronautical mobile-satellite,
broadcasting-satellite service (sound) and service for operation limited to within na-
complementary terrestrial broadcasting tional boundaries, subject to agreement ob-
service on a primary basis. Such use is lim- tained under No. 9.21. The coordination
ited to digital audio broadcasting and is sub- under No. 9.11A applies.
ject to the provisions of Resolution 528 5.420A Additional allocation: in India and
(WARC–92). The provisions of No. 5.416 and Japan, subject to agreement obtained under
Table 21–4 of Article 21, do not apply to this No. 9.21, the band 2670–2690 MHz may also be
additional allocation. Use of non-geo- used for the aeronautical mobile-satellite
stationary-satellite systems in the broad- service (Earth-to-space) for operation lim-
casting-satellite service (sound) is subject to ited to within their national boundaries.
Resolution 539 (WRC–2000). 5.421 Additional allocation: in Germany and
5.418A In certain Region 3 countries listed Austria, the band 2690–2695 MHz is also allo-
in No. 5.418, use of the band 2630–2655 MHz by cated to the fixed service on a primary basis.
non-geostationary-satellite systems in the Such use is limited to equipment in oper-
broadcasting-satellite service (sound) for ation by 1 January 1985.
which complete Appendix 4 coordination in- 5.422 Additional allocation: in Saudi Ara-
formation, or notification information, has bia, Armenia, Azerbaijan, Bahrain, Belarus,
been received after 2 June 2000, is subject to Bosnia and Herzegovina, Brunei Darussalam,
the application of the provisions of No. 9.12A, Congo, Cote d’Ivoire, Cuba, Egypt, the
in respect of geostationary-satellite net- United Arab Emirates, Eritrea, Ethiopia,
works for which complete Appendix 4 coordi- Gabon, Georgia, Guinea, Guinea-Bissau, Iran
nation information, or notification informa- (Islamic Republic of), Iraq, Israel, Jordan,
tion, is considered to have been received Lebanon, Malaysia, Mali, Mauritania,
after 2 June 2000, and No. 22.2 does not apply. Moldova, Mongolia, Nigeria, Oman,
No. 22.2 shall continue to apply with respect Uzbekistan, Pakistan, the Philippines,
to geostationary-satellite networks for Qatar, Syria, Kyrgyzstan, the Dem. Rep. of
which complete Appendix 4 coordination in- the Congo, Romania, the Russian Federa-
formation, or notification information, is tion, Somalia, Tajikistan, Tunisia,
510
Turkmenistan, Ukraine, Yemen and Yugo- ations by 1985. Thereafter, administrations
slavia, the band 2690–2700 MHz is also allo- shall take all practicable steps to protect the
cated to the fixed and mobile, except aero- fixed-satellite service and coordination re-
nautical mobile, services on a primary basis. quirements shall not be imposed on the
Such use is limited to equipment in oper- fixed-satellite service.
ation by 1 January 1985. 5.435 In Japan, in the band 3620–3700 MHz,
5.423 In the band 2700–2900 MHz, ground- the radiolocation service is excluded.
based radars used for meteorological pur- 5.438 Use of the band 4200–4400 MHz by the
poses are authorized to operate on a basis of
aeronautical radionavigation service is re-
equality with stations of the aeronautical
served exclusively for radio altimeters in-
radionavigation service.
5.424 Additional allocation: in Canada, the stalled on board aircraft and for the associ-
band 2850–2900 MHz is also allocated to the ated transponders on the ground. However,
maritime radionavigation service, on a pri- passive sensing in the earth exploration-sat-
mary basis, for use by shore-based radars. ellite and space research services may be au-
5.425 In the band 2900–3100 MHz, the use of thorized in this band on a secondary basis
the shipborne interrogator-transponder sys- (no protection is provided by the radio altim-
tem (SIT) shall be confined to the sub-band eters).
2930–2950 MHz. 5.439 Additional allocation: in Iran (Islamic
5.426 The use of the band 2900–3100 MHz by Republic of) and Libya, the band 4200–4400
the aeronautical radionavigation service is MHz is also allocated to the fixed service on
limited to ground-based radars. a secondary basis.
5.427 In the bands 2900–3100 MHz and 9300– 5.440 The standard frequency and time
9500 MHz, the response from radar tran- signal-satellite service may be authorized to
sponders shall not be capable of being con- use the frequency 4202 MHz for space-to-
fused with the response from radar beacons Earth transmissions and the frequency 6427
(racons) and shall not cause interference to MHz for Earth-to-space transmissions. Such
ship or aeronautical radars in the radio- transmissions shall be confined within the
navigation service, having regard, however, limits of ± 2 MHz of these frequencies, sub-
to No. 4.9. ject to agreement obtained under No. 9.21.
5.428 Additional allocation: in Azerbaijan, 5.441 The use of the bands 4500–4800 MHz
Bulgaria, Cuba, Mongolia, Kyrgyzstan, Ro- (space-to-Earth), 6725–7025 MHz (Earth-to-
mania and Turkmenistan, the band 3100–3300
space) by the fixed-satellite service shall be
MHz is also allocated to the radionavigation
in accordance with the provisions of Appen-
service on a primary basis.
dix 30B. The use of the bands 10.7–10.95 GHz
5.429 Additional allocation: in Saudi Ara-
(space-to-Earth), 11.2–11.45 GHz (space-to-
bia, Bahrain, Bangladesh, Brunei
Earth) and 12.75–13.25 GHz (Earth-to-space)
Darussalam, China, the Congo, Korea (Rep.
by geostationary-satellite systems in the
of), the United Arab Emirates, India, Indo-
fixed-satellite service shall be in accordance
nesia, Iran (Islamic Republic of), Iraq, Israel,
Japan, Jordan, Kuwait, Lebanon, Libya, Ma- with the provisions of Appendix 30B. The use
laysia, Oman, Pakistan, Qatar, Syria, Dem. of the bands 10.7–10.95 GHz (space-to Earth),
People’s Rep. of Korea and Yemen, the band 11.2–11.45 GHz (space-to-Earth) and 12.75–13.25
3300–3400 MHz is also allocated to the fixed GHz (Earth-to-space) by a non-geo-
and mobile services on a primary basis. The stationary-satellite system in the fixed-sat-
countries bordering the Mediterranean shall ellite service is subject to application of the
not claim protection for their fixed and mo- provisions of No. 9.12 for coordination with
bile services from the radiolocation service. other non-geostationary-satellite systems in
5.430 Additional allocation: in Azerbaijan, the fixed-satellite service. Non-geo-
Bulgaria, Cuba, Mongolia, Kyrgyzstan, Ro- stationary-satellite systems in the fixed-sat-
mania and Turkmenistan, the band 3300–3400 ellite service shall not claim protection from
MHz is also allocated to the radionavigation geostationary-satellite networks in the
service on a primary basis. fixed-satellite service operating in accord-
5.431 Additional allocation: in Germany, ance with the Radio Regulations, irrespec-
Israel, Nigeria and the United Kingdom, the tive of the dates of receipt by the Bureau of
band 3400–3475 MHz is also allocated to the the complete coordination or notification in-
amateur service on a secondary basis. formation, as appropriate, for the non-geo-
5.432 Different category of service: in Korea stationary-satellite systems in the fixed-sat-
(Rep. of), Japan and Pakistan, the allocation ellite service and of the complete coordina-
of the band 3400–3500 MHz to the mobile, ex- tion or notification information, as appro-
cept aeronautical mobile, service is on a pri- priate, for the geostationary-satellite net-
mary basis (see No. 5.33). works, and No. 5.43A does not apply. Non-
5.433 In Regions 2 and 3, in the band 3400– geostationary-satellite systems in the fixed-
3600 MHz the radiolocation service is allo- satellite service in the above bands shall be
cated on a primary basis. However, all ad- operated in such a way that any unaccept-
ministrations operating radiolocation sys- able interference that may occur during
tems in this band are urged to cease oper- their operation shall be rapidly eliminated.
511
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
5.442 In the bands 4825–4835 MHz and 4950– met in the 5000–5091 MHz band, shall take
4990 MHz, the allocation to the mobile serv- precedence over other uses of this band;
ice is restricted to the mobile, except aero- —After 1 January 2008, no new assignments
nautical mobile, service. shall be made to stations providing feeder
5.443 Different category of service: in Argen- links of non-geostationary mobile-satellite
tina, Australia and Canada, the allocation of systems;
the bands 4825–4835 MHz and 4950–4990 MHz to —After 1 January 2010, the fixed-satellite
the radio astronomy service is on a primary service will become secondary to the aero-
basis (see No. 5.33). nautical radionavigation service.
5.443A Additional allocation: The band 5000– 5.446 Additional allocation: in the countries
5010 MHz is also allocated to the radio- listed in Nos. 5.369 and 5.400, the band 5150–
navigation-satellite service (Earth-to-space) 5216 MHz is also allocated to the radio-
on a primary basis. See Resolution 603 determination-satellite service (space-to-
(WRC–2000). Earth) on a primary basis, subject to agree-
5.443B Additional allocation: The band 5010– ment obtained under No. 9.21. In Region 2,
5030 MHz is also allocated to the radio- the band is also allocated to the radio-
navigation-satellite service (space-to-Earth) determination-satellite service (space-to-
(space-to-space) on a primary basis. In order Earth) on a primary basis. In Regions 1 and
not to cause harmful interference to the 3, except those countries listed in Nos. 5.369
microwave landing system operating above and 5.400, the band is also allocated to the
5030 MHz, the aggregate power flux-density radiodetermination-satellite service (space-
produced at the Earth’s surface in the band to-Earth) on a secondary basis. The use by
5030–5150 MHz by all the space stations with- the radiodetermination-satellite service is
limited to feeder links in conjunction with
in any radionavigation-satellite service sys-
the radiodetermination-satellite service op-
tem (space-to-Earth) operating in the band
erating in the bands 1610–1626.5 MHz and/or
5010–5030 MHz shall not exceed ‘‘124.5 dB(W/
2483.5–2500 MHz. The total power flux-density
m2) in a 150 kHz band. In order not to cause
at the Earth’s surface shall in no case exceed
harmful interference to the radio astronomy
¥159 dB(W/m2) in any 4 kHz band for all an-
service in the band 4990–5000 MHz, the aggre-
gles of arrival.
gate power flux-density produced in the 4990–
5.447 Additional allocation: in Germany,
5000 MHz band by all the space stations with- Austria, Belgium, Denmark, Spain, Estonia,
in any radionavigation-satellite service Finland, France, Greece, Israel, Italy, Japan,
(space-to-Earth) system operating in the Jordan, Lebanon, Liechtenstein, Lithuania,
5010–5030 MHz band shall not exceed the pro- Luxembourg, Malta, Norway, Pakistan, the
visional value of ¥171 dB(W/m2) in a 10 MHz Netherlands, Portugal, Syria, the United
band at any radio astronomy observatory Kingdom, Sweden, Switzerland and Tunisia,
site for more than 2% of the time. For the the band 5150–5250 MHz is also allocated to
use of this band, Resolution 604 (WRC–2000) the mobile service, on a primary basis, sub-
applies. ject to agreement obtained under No. 9.21.
5.444 The band 5030–5150 MHz is to be used 5.447A The allocation to the fixed-sat-
for the operation of the international stand- ellite service (Earth-to-space) is limited to
ard system (microwave landing system) for feeder links of non-geostationary-satellite
precision approach and landing. The require- systems in the mobile-satellite service and is
ments of this system shall take precedence subject to coordination under No. 9.11A.
over other uses of this band. For the use of 5.447B Additional allocation: the band 5150–
this band, No. 5.444A and Resolution 114 5216 MHz is also allocated to the fixed-sat-
(WRC–95) apply. ellite service (space-to-Earth) on a primary
5.444A Additional allocation: the band 5091– basis. This allocation is limited to feeder
5150 MHz is also allocated to the fixed-sat- links of non-geostationary-satellite systems
ellite service (Earth-to-space) on a primary in the mobile-satellite service and is subject
basis. This allocation is limited to feeder to provisions of No. 9.11A. The power flux-
links of non-geostationary mobile-satellite density at the Earth’s surface produced by
systems and is subject to coordination under space stations of the fixed-satellite service
No. 9.11A. operating in the space-to-Earth direction in
In the band 5091–5150 MHz, the following the band 5150–5216 MHz shall in no case ex-
ceed ¥164 dB(W/m2) in any 4 kHz band for all
conditions also apply:
angles of arrival.
—Prior to 1 January 2010, the use of the band 5.447C Administrations responsible for
5091–5150 MHz by feeder links of non-geo- fixed-satellite service networks in the band
stationary-satellite systems in the mobile- 5150–5250 MHz operated under Nos. 5.447A and
satellite service shall be made in accord- 5.447B shall coordinate on an equal basis in
ance with Resolution 114 (WRC–95); accordance with No. 9.11A with administra-
—Prior to 1 January 2010, the requirements tions responsible for non-geostationary-sat-
of existing and planned international ellite networks operated under No. 5.446 and
standard systems for the aeronautical brought into use prior to 17 November 1995.
radionavigation service which cannot be Satellite networks operated under No. 5.446
512
brought into use after 17 November 1995 shall the space research service is on a primary
not claim protection from, and shall not basis (see No. 5.33).
cause harmful interference to, stations of 5.455 Additional allocation: in Armenia,
the fixed-satellite service operated under Azerbaijan, Belarus, Bulgaria, Cuba, Geor-
Nos. 5.447A and 5.447B. gia, Hungary, Kazakstan, Latvia, Moldova,
5.447D The allocation of the band 5250–5255 Mongolia, Uzbekistan, Poland, Kyrgyzstan,
MHz to the space research service on a pri- Slovakia, Russian Federation, Tajikistan,
mary basis is limited to active spaceborne Turkmenistan and Ukraine, the band 5670–
sensors. Other uses of the band by the space 5850 MHz is also allocated to the fixed service
research service are on a secondary basis. on a primary basis.
5.448 Additional allocation: in Austria, 5.456 Additional allocation: in Germany and
Azerbaijan, Bulgaria, Libya, Mongolia, in Cameroon, the band 5755–5850 MHz is also
Kyrgyzstan, Slovakia, the Czech Rep., Roma- allocated to the fixed service on a primary
nia and Turkmenistan, the band 5250–5350 basis.
MHz is also allocated to the radionavigation 5.458 In the band 6425–7075 MHz, passive
service on a primary basis. microwave sensor measurements are carried
5.448A The use of the frequency band 5250– out over the oceans. In the band 7075–7250
5350 MHz by the earth exploration-satellite MHz, passive microwave sensor measure-
(active) and space research (active) services ments are carried out. Administrations
shall not constrain the future development should bear in mind the needs of the Earth
and deployment of the radiolocation service. exploration-satellite (passive) and space re-
5.448B The earth exploration-satellite search (passive) services in their future plan-
(active) service operating in the band 5350– ning of the bands 6425–7025 MHz and 7075–7250
5460 MHz shall not cause harmful inter- MHz.
ference to, or constrain the use and develop- 5.458A In making assignments in the band
ment of, the aeronautical radionavigation 6700–7075 MHz to space stations of the fixed-
service. satellite service, administrations are urged
5.449 The use of the band 5350–5470 MHz by to take all practicable steps to protect spec-
the aeronautical radionavigation service is tral line observations of the radio astronomy
limited to airborne radars and associated service in the band 6650–6675.2 MHz from
airborne beacons. harmful interference from unwanted emis-
5.450 Additional allocation: in Austria, sions.
Azerbaijan, Bulgaria, Iran (Islamic Republic 5.458B The space-to-Earth allocation to
of), Mongolia, Kyrgyzstan, Slovakia, the the fixed-satellite service in the band 6700–
Czech Rep., Romania, Turkmenistan and 7075 MHz is limited to feeder links for non-
Ukraine, the band 5470–5650 MHz is also allo- geostationary satellite systems of the mo-
cated to the aeronautical radionavigation bile-satellite service and is subject to coordi-
service on a primary basis. nation under No. 9.11A. The use of the band
5.451 Additional allocation: in the United 6700–7075 MHz (space-to-Earth) by feeder
Kingdom, the band 5470–5850 MHz is also allo- links for non-geostationary satellite systems
cated to the land mobile service on a sec- in the mobile-satellite service is not subject
ondary basis. The power limits specified in to No. 22.2.
Nos. 21.2, 21.3, 21.4 and 21.5 shall apply in the 5.458C Administrations making submis-
band 5725–5850 MHz. sions in the band 7025–7075 MHz (Earth-to-
5.452 Between 5600 MHz and 5650 MHz, space) for geostationary-satellite systems in
ground-based radars used for meteorological the fixed-satellite service after 17 November
purposes are authorized to operate on a basis 1995 shall consult on the basis of relevant
of equality with stations of the maritime ITU–R Recommendations with the adminis-
radionavigation service. trations that have notified and brought into
5.453 Additional allocation: in Saudi Ara- use non-geostationary-satellite systems in
bia, Bahrain, Bangladesh, Brunei this frequency band before 18 November 1995
Darussalam, Cameroon, China, Congo, Korea upon request of the latter administrations.
(Rep. of), Egypt, the United Arab Emirates, This consultation shall be with a view to fa-
Gabon, Guinea, India, Indonesia, Iran cilitating shared operation of both geo-
(Islamic Republic of), Iraq, Israel, Japan, stationary-satellite systems in the fixed-sat-
Jordan, Kuwait, Lebanon, Libya, Mada- ellite service and non-geostationary-satellite
gascar, Malaysia, Nigeria, Oman, Pakistan, systems in this band.
the Philippines, Qatar, Syria, the Dem. Peo- 5.459 Additional allocation: in Russian Fed-
ple’s Rep. of Korea, Singapore, Swaziland, eration, the frequency bands 7100–7155 MHz
Tanzania, Chad and Yemen, the band 5650– and 7190–7235 MHz are also allocated to the
5850 MHz is also allocated to the fixed and space operation service (Earth-to-space) on a
mobile services on a primary basis. primary basis, subject to agreement obtained
5.454 Different category of service: in Azer- under No. 9.21.
baijan, Belarus, Georgia, Mongolia, 5.460 Additional allocation: the band 7145–
Uzbekistan, Kyrgyzstan, the Russian Federa- 7235 MHz is also allocated to the space re-
tion, Tajikistan, Turkmenistan and Ukraine, search (Earth-to-space) service on a primary
the allocation of the band 5670–5725 MHz to basis, subject to agreement obtained under
513
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
No. 9.21. The use of the band 7145–7190 MHz is cated to the fixed and mobile services on a
restricted to deep space; no emissions to primary basis.
deep space shall be effected in the band 7190– 5.469 Additional allocation: in Armenia,
7235 MHz. Azerbaijan, Belarus, Bulgaria, Georgia, Hun-
5.461 Additional allocation: the bands 7250– gary, Lithuania, Moldova, Mongolia,
7375 MHz (space-to-Earth) and 7900–8025 MHz Uzbekistan, Poland, Kyrgyzstan, Slovakia,
(Earth-to-space) are also allocated to the the Czech Rep., Romania, the Russian Fed-
mobile-satellite service on a primary basis, eration, Tajikistan, Turkmenistan and
subject to agreement obtained under No. Ukraine, the band 8500–8750 MHz is also allo-
9.21. cated to the land mobile and radionavigation
5.461A The use of the band 7450–7550 MHz services on a primary basis.
by the meteorological-satellite service 5.469A In the band 8550–8650 MHz, stations
(space-to-Earth) is limited to geostationary- in the earth exploration-satellite service
satellite systems. Non-geostationary mete- (active) and space research service (active)
orological-satellite systems in this band no- shall not cause harmful interference to, or
tified before 30 November 1997 may continue constrain the use and development of, sta-
to operate on a primary basis until the end tions of the radiolocation service.
of their lifetime. 5.470 The use of the band 8750–8850 MHz by
5.461B The use of the band 7750–7850 MHz the aeronautical radionavigation service is
by the meteorological-satellite service limited to airborne Doppler navigation aids
(space-to-Earth) is limited to non-geo- on a centre frequency of 8800 MHz.
stationary satellite systems. 5.471 Additional allocation: in Algeria, Ger-
5.462A In Regions 1 and 3 (except for many, Bahrain, Belgium, China, the United
Japan), in the band 8025–8400 MHz, the earth Arab Emirates, France, Greece, Indonesia,
Iran (Islamic Republic of), Libya, the Neth-
exploration-satellite service using geo-
erlands, Qatar and Sudan, the bands 8825–8850
stationary satellites shall not produce a
MHz and 9000–9200 MHz are also allocated to
power flux-density in excess of the following
the maritime radionavigation service, on a
provisional values for angles of arrival (q),
primary basis, for use by shore-based radars
without the consent of the affected adminis-
only.
tration:
5.472 In the bands 8850–9000 MHz and 9200–
¥174 dB(W/m2) in a 4 kHz band for 0≤ q< 5° 9225 MHz, the maritime radionavigation
¥174 + 0.5 (q ¥ 5) dB(W/m2) in a 4 kHz band service is limited to shore-based radars.
for 5≤ < 25° 5.473 Additional allocation: in Armenia,
¥164 dB(W/m2) in a 4 kHz band for 25≤ q ≤ 90° Austria, Azerbaijan, Belarus, Bulgaria, Cuba,
These values are subject to study under Georgia, Hungary, Moldova, Mongolia,
Resolution 124 (WRC–97).6 Uzbekistan, Poland, Kyrgyzstan, Slovakia,
5.463 Aircraft stations are not permitted the Czech Rep., Romania, the Russian Fed-
to transmit in the band 8025–8400 MHz. eration, Tajikistan, Turkmenistan and
5.465 In the space research service, the use Ukraine, the bands 8850–9000 MHz and 9200–
of the band 8400–8450 MHz is limited to deep 9300 MHz are also allocated to the radio-
space. navigation service on a primary basis.
5.466 Different category of service: in Israel, 5.474 In the band 9200–9500 MHz, search
Malaysia, Singapore and Sri Lanka, the allo- and rescue transponders (SART) may be
cation of the band 8400–8500 MHz to the space used, having due regard to the appropriate
research service is on a secondary basis (see ITU–R Recommendation (see also Article 31).
No. 5.32). 5.475 The use of the band 9300–9500 MHz by
5.467 Alternative allocation: in the United the aeronautical radionavigation service is
Kingdom, the band 8400–8500 MHz is allocated limited to airborne weather radars and
to the radiolocation and space research serv- ground-based radars. In addition, ground-
ices on a primary basis. based radar beacons in the aeronautical
5.468 Additional allocation: in Saudi Ara- radionavigation service are permitted in the
bia, Bahrain, Bangladesh, Brunei band 9300–9320 MHz on condition that harm-
Darussalam, Burundi, Cameroon, China, the ful interference is not caused to the mari-
Congo, Costa Rica, Egypt, the United Arab time radionavigation service. In the band
Emirates, Gabon, Guyana, Indonesia, Iran 9300–9500 MHz, ground-based radars used for
(Islamic Republic of), Iraq, Jamaica, Jordan, meteorological purposes have priority over
Kuwait, Lebanon, Libya, Malaysia, Mali, Mo- other radiolocation devices.
rocco, Mauritania, Nepal, Nigeria, Oman, 5.476 In the band 9300–9320 MHz in the
Pakistan, Qatar, Syria, Dem. People’s Rep. radionavigation service, the use of shipborne
of Korea, Senegal, Singapore, Somalia, Swa- radars, other than those existing on 1 Janu-
ziland, Tanzania, Chad, Togo, Tunisia and ary 1976, is not permitted until 1 January
Yemen, the band 8500–8750 MHz is also allo- 2001.
5.476A In the band 9500–9800 MHz, stations
in the earth exploration-satellite service
6 Note by the Secretariat: This Resolution (active) and space research service (active)
was revised by WRC–2000. shall not cause harmful interference to, or
514
constrain the use and development of, sta- Moldova, Mongolia, Uzbekistan, Qatar,
tions of the radionavigation and radio- Kyrgyzstan, the Dem. People’s Rep. of
location services. Korea, Romania, the Russian Federation,
5.477 Different category of service: in Alge- Tajikistan, Turkmenistan, Ukraine, Yemen
ria, Saudi Arabia, Austria, Bahrain, Ban- and Yugoslavia, the band 10.68–10.7 GHz is
gladesh, Brunei Darussalam, Cameroon, also allocated to the fixed and mobile, except
Egypt, the United Arab Emirates, Eritrea, aeronautical mobile, services on a primary
Ethiopia, Guyana, India, Indonesia, Iran basis. Such use is limited to equipment in
(Islamic Republic of), Iraq, Jamaica, Japan, operation by 1 January 1985.
Jordan, Kuwait, Lebanon, Liberia, Malaysia, 5.484 In Region 1, the use of the band 10.7–
Nigeria, Oman, Pakistan, Qatar, the Dem. 11.7 GHz by the fixed-satellite service (Earth-
People’s Rep. of Korea, Singapore, Somalia, to-space) is limited to feeder links for the
Sudan, Sweden, Trinidad and Tobago, and broadcasting-satellite service.
Yemen, the allocation of the band 9800–10000 5.484A The use of the bands 10.95–11.2 GHz
MHz to the fixed service is on a primary (space-to-Earth), 11.45–11.7 GHz (space-to-
basis (see No. 5.33). Earth), 11.7–12.2 GHz (space-to-Earth) in Re-
5.478 Additional allocation: in Azerbaijan, gion 2, 12.2–12.75 GHz (space-to-Earth) in Re-
Bulgaria, Mongolia, Kyrgyzstan, Slovakia, gion 3, 12.5–12.75 GHz (space-to-Earth) in Re-
the Czech Rep., Romania, Turkmenistan and gion 1, 13.75–14.5 GHz (Earth-to-space), 17.8–
Ukraine, the band 9800–10000 MHz is also allo- 18.6 GHz (space-to-Earth), 19.7–20.2 GHz
cated to the radionavigation service on a pri- (space-to-Earth), 27.5–28.6 GHz (Earth-to-
mary basis.
space), 29.5–30 GHz (Earth-to-space) by a non-
5.479 The band 9975–10025 MHz is also allo-
geostationary-satellite system in the fixed-
cated to the meteorological-satellite service
satellite service is subject to application of
on a secondary basis for use by weather ra-
the provisions of No. 9.12 for coordination
dars.
with other non-geostationary-satellite sys-
5.480 Additional allocation: in Argentina,
tems in the fixed-satellite service. Non-geo-
Brazil, Chile, Costa Rica, Cuba, El Salvador,
stationary-satellite systems in the fixed-sat-
Ecuador, Guatemala, Honduras, Mexico,
Paraguay, Peru, Uruguay and Venezuela, the ellite service shall not claim protection from
band 10–10.45 GHz is also allocated to the geostationary-satellite networks in the
fixed and mobile services on a primary basis. fixed-satellite service operating in accord-
5.481 Additional allocation: in Germany, ance with the Radio Regulations, irrespec-
Angola, Brazil, China, Costa Rica, El Sal- tive of the dates of receipt by the Bureau of
vador, Ecuador, Spain, Guatemala, Japan, the complete coordination or notification in-
Morocco, Nigeria, Oman, Uzbekistan, Para- formation, as appropriate, for the non-geo-
guay, Peru, the Dem. People’s Rep. of Korea, stationary-satellite systems in the fixed-sat-
Sweden, Tanzania, Thailand and Uruguay, ellite service and of the complete coordina-
the band 10.45–10.5 GHz is also allocated to tion or notification information, as appro-
the fixed and mobile services on a primary priate, for the geostationary-satellite net-
basis. works, and No. 5.43A does not apply. Non-
5.482 In the band 10.6–10.68 GHz, stations geostationary-satellite systems in the fixed-
of the fixed and mobile, except aeronautical satellite service in the above bands shall be
mobile, services shall be limited to a max- operated in such a way that any unaccept-
imum equivalent isotropically radiated able interference that may occur during
power of 40 dBW and the power delivered to their operation shall be rapidly eliminated.
the antenna shall not exceed ¥3 dBW. These 5.485 In Region 2, in the band 11.7–12.2
limits may be exceeded subject to agreement GHz, transponders on space stations in the
obtained under No. 9.21. However, in Saudi fixed-satellite service may be used addition-
Arabia, Armenia, Azerbaijan, Bahrain, Ban- ally for transmissions in the broadcasting-
gladesh, Belarus, China, the United Arab satellite service, provided that such trans-
Emirates, Georgia, India, Indonesia, Iran missions do not have a maximum e.i.r.p.
(Islamic Republic of), Iraq, Japan, greater than 53 dBW per television channel
Kazakstan, Kuwait, Latvia, Lebanon, and do not cause greater interference or re-
Moldova, Nigeria, Uzbekistan, Pakistan, the quire more protection from interference
Philippines, Qatar, Syria, Kyrgyzstan, Rus- than the coordinated fixed-satellite service
sian Federation, Tajikistan, Turkmenistan frequency assignments. With respect to the
and Ukraine, the restrictions on the fixed space services, this band shall be used prin-
and mobile, except aeronautical mobile, cipally for the fixed-satellite service.
services are not applicable. 5.486 Different category of service: in Mex-
5.483 Additional allocation: in Saudi Ara- ico and the United States, the allocation of
bia, Armenia, Azerbaijan, Bahrain, Belarus, the band 11.7–12.1 GHz to the fixed service is
Bosnia and Herzegovina, China, Colombia, on a secondary basis (see No. 5.32).
Korea (Rep. of), Costa Rica, Egypt, the 5.487 In the band 11.7–12.5 GHz in Regions
United Arab Emirates, Georgia, Iran (Islamic 1 and 3, the fixed, fixed-satellite, mobile, ex-
Republic of), Iraq, Israel, Japan, Jordan, cept aeronautical mobile, and broadcasting
Kazakstan, Kuwait, Latvia, Lebanon, services, in accordance with their respective
515
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
allocations, shall not cause harmful inter- to-Earth), provided that such transmissions
ference to, or claim protection from, broad- do not cause more interference, or require
casting-satellite stations operating in ac- more protection from interference, than the
cordance with the provisions of the Regions broadcasting-satellite service transmissions
1 and 3 Plan in Appendix 30. operating in conformity with the Plan or the
5.487A Additional allocation: in Region 1, List, as appropriate.
the band 11.7–12.5 GHz, in Region 2, the band 5.493 The broadcasting-satellite service in
12.2–12.7 GHz and, in Region 3, the band 11.7– the band 12.5–12.75 GHz in Region 3 is limited
12.2 GHz, are also allocated to the fixed-sat- to a power flux-density not exceeding ¥111
ellite service (space-to-Earth) on a primary dB(W/(m2 · 27 MHz)) for all conditions and for
basis, limited to non-geostationary systems all methods of modulation at the edge of the
and subject to application of the provisions service area.
of No. 9.12 for coordination with other non- 5.494 Additional allocation: in Algeria, An-
geostationary-satellite systems in the fixed- gola, Saudi Arabia, Bahrain, Cameroon, the
satellite service. Non-geostationary-satellite Central African Rep., the Congo, Côte
systems in the fixed-satellite service shall d’Ivoire, Egypt, the United Arab Emirates,
not claim protection from geostationary-sat- Eritrea, Ethiopia, Gabon, Ghana, Guinea,
ellite networks in the broadcasting-satellite Iraq, Israel, Jordan, Kuwait, Lebanon, Libya,
service operating in accordance with the Madagascar, Mali, Morocco, Mongolia, Nige-
Radio Regulations, irrespective of the dates ria, Qatar, Dem. Rep. of the Congo, Syria,
of receipt by the Bureau of the complete co- Senegal, Somalia, Sudan, Chad, Togo and
ordination or notification information, as Yemen, the band 12.5–12.75 GHz is also allo-
appropriate, for the non-geostationary-sat- cated to the fixed and mobile, except aero-
ellite systems in the fixed-satellite service nautical mobile, services on a primary basis.
and of the complete coordination or notifica- 5.495 Additional allocation: in Bosnia and
tion information, as appropriate, for the Herzegovina, Croatia, Denmark, France,
geosationary-satellite networks, and No. Greece, Liechtenstein, Monaco, Uganda, Por-
5.43A does not apply. Non-geostationary-sat- tugal, Romania, Slovenia, Switzerland, Tan-
ellite systems in the fixed-satellite service in zania, Tunisia and Yugoslavia, the band 12.5–
the above bands shall be operated in such a 12.75 GHz is also allocated to the fixed and
way that any unacceptable interference that mobile, except aeronautical mobile, services
may occur during their operation shall be on a secondary basis.
rapidly eliminated. 5.496 Additional allocation: in Austria,
5.488 The use of the band 11.7–12.2 GHz by Azerbaijan, Kyrgyzstan and Turkmenistan,
geostationary-satellite networks in the the band 12.5–12.75 GHz is also allocated to
fixed-satellite service in Region 2 is subject the fixed service and the mobile, except aero-
to the provisions of Resolution 77 (WRC– nautical mobile, service on a primary basis.
2000). For the use of the band 12.2–12.7 GHz by However, stations in these services shall not
the broadcasting-satellite service in Region cause harmful interference to fixed-satellite
2, see Appendix 30. service earth stations of countries in Region
5.489 Additional allocation: in Peru, the 1 other than those listed in this footnote. Co-
band 12.1–12.2 GHz is also allocated to the ordination of these earth stations is not re-
fixed service on a primary basis. quired with stations of the fixed and mobile
5.490 In Region 2, in the band 12.2–12.7 services of the countries listed in this foot-
GHz, existing and future terrestrial note. The power flux-density limit at the
radiocommunication services shall not cause Earth’s surface given in Table 21–4 of Article
harmful interference to the space services 21, for the fixed-satellite service shall apply
operating in conformity with the broad- on the territory of the countries listed in
casting-satellite Plan for Region 2 contained this footnote.
in Appendix 30. 5.497 The use of the band 13.25–13.4 GHz by
5.491 Additional allocation: in Region 3, the the aeronautical radionavigation service is
band 12.2–12.5 GHz is also allocated to the limited to Doppler navigation aids.
fixed-satellite service (space-to-Earth) on a 5.498A The Earth exploration-satellite
primary basis. The power flux-density limits (active) and space research (active) services
in Table 21–4 of Article 21 shall apply to this operating in the band 13.25–13.4 GHz shall not
frequency band. The introduction of the cause harmful interference to, or constrain
service in relation to the broadcasting-sat- the use and development of, the aeronautical
ellite service in Region 1 shall follow the radionavigation service.
procedures specified in Article 7 of Appendix 5.499 Additional allocation: in Bangladesh,
30, with the applicable frequency band ex- India and Pakistan, the band 13.25–14 GHz is
tended to cover 12.2–12.5 GHz. also allocated to the fixed service on a pri-
5.492 Assignments to stations of the mary basis.
broadcasting-satellite service which are in 5.500 Additional allocation: in Algeria, An-
conformity with the appropriate regional gola, Saudi Arabia, Bahrain, Brunei
Plan or included in the Regions 1 and 3 List Darussalam, Cameroon, Egypt, the United
in Appendix 30 may also be used for trans- Arab Emirates, Gabon, Indonesia, Iran
missions in the fixed-satellite service (space- (Islamic Republic of), Iraq, Israel, Jordan,
516
Kuwait, Lebanon, Madagascar, Malaysia, Automatic power control may be used to
Mali, Malta, Morocco, Mauritania, Nigeria, increase the e.i.r.p. density in the 6 MHz
Pakistan, Qatar, Syria, Senegal, Singapore, band in this frequency range to compensate
Sudan, Chad and Tunisia, the band 13.4–14 for rain attenuation, to the extent that the
GHz is also allocated to the fixed and mobile power flux-density at the fixed-satellite serv-
services on a primary basis. ice space station does not exceed the value
5.501 Additional allocation: in Austria, resulting from use by an earth station of an
Azerbaijan, Hungary, Japan, Mongolia, e.i.r.p. of 71 dBW or 51 dBW, as appropriate,
Kyrgyzstan, Romania, the United Kingdom in the 6 MHz band in clear-sky conditions.
and Turkmenistan, the band 13.4–14 GHz is 5.503A Until 1 January 2000, stations in
also allocated to the radionavigation service the fixed-satellite service shall not cause
on a primary basis. harmful interference to non-geostationary
5.501A The allocation of the band 13.4– space stations in the space research and
13.75 GHz to the space research service on a Earth exploration-satellite services. After
primary basis is limited to active spaceborne that date, these non-geostationary space sta-
sensors. Other uses of the band by the space tions will operate on a secondary basis in re-
research service are on a secondary basis. lation to the fixed-satellite service. Addi-
5.501B In the band 13.4–13.75 GHz, the tionally, when planning earth stations in the
Earth exploration-satellite (active) and fixed-satellite service to be brought into
space research (active) services shall not service between 1 January 2000 and 1 January
cause harmful interference to, or constrain 2001, in order to accommodate the needs of
the use and development of, the radio- spaceborne precipitation radars operating in
location service. the band 13.793–13.805 GHz, advantage should
5.502 In the band 13.75–14 GHz, an earth be taken of the consultation process and the
station in the fixed-satellite service shall information given in Recommendation ITU–
have a minimum antenna diameter of 4.5 m R SA.1071.
and the e.i.r.p. of any emission should be at
5.504 The use of the band 14–14.3 GHz by
least 68 dBW and should not exceed 85 dBW.
the radionavigation service shall be such as
In addition the e.i.r.p., averaged over one
to provide sufficient protection to space sta-
second, radiated by a station in the radio-
tions of the fixed-satellite service.
location or radionavigation services shall
not exceed 59 dBW. The protection of assign- 5.505 Additional allocation: in Algeria, An-
ments to receiving space stations in the gola, Saudi Arabia, Bahrain, Bangladesh,
fixed-satellite service operating with earth Botswana, Brunei Darussalam, Cameroon,
stations that, individually, have an e.i.r.p. of China, Congo, Korea (Rep. of), Egypt, the
less than 68 dBW shall not impose con- United Arab Emirates, Gabon, Guatemala,
straints on the operation of the radio- Guinea, India, Indonesia, Iran (Islamic Re-
location and radionavigation stations oper- public of), Iraq, Israel, Japan, Jordan, Ku-
ating in accordance with the Radio Regula- wait, Lesotho, Lebanon, Malaysia, Mali, Mo-
tions. No. 5.43A does not apply. See Resolu- rocco, Mauritania, Oman, Pakistan, the
tion 733 (WRC–2000). Philippines, Qatar, Syria, the Dem. People’s
5.503 In the band 13.75–14 GHz, geo- Rep. of Korea, Senegal, Singapore, Somalia,
stationary space stations in the space re- Sudan, Swaziland, Tanzania, Chad and
search service for which information for ad- Yemen, the band 14–14.3 GHz is also allocated
vance publication has been received by the to the fixed service on a primary basis.
Bureau prior to 31 January 1992 shall operate 5.506 The band 14–14.5 GHz may be used,
on an equal basis with stations in the fixed- within the fixed-satellite service (Earth-to-
satellite service; after that date, new geo- space), for feeder links for the broadcasting-
stationary space stations in the space re- satellite service, subject to coordination
search service will operate on a secondary with other networks in the fixed-satellite
basis. Until those geostationary space sta- service. Such use of feeder links is reserved
tions in the space research service for which for countries outside Europe.
information for advance publication has 5.508 Additional allocation: in Germany,
been received by the Bureau prior to 31 Janu- Bosnia and Herzegovina, France, Greece, Ire-
ary 1992 cease to operate in this band: land, Iceland, Italy, The Former Yugoslav
—The e.i.r.p. density of emissions from any Republic of Macedonia, Libya, Liech-
earth station in the fixed-satellite service tenstein, Portugal, the United Kingdom, Slo-
operating with a space station in geo- venia, Switzerland and Yugoslavia, the band
stationary-satellite orbit shall not exceed 14.25–14.3 GHz is also allocated to the fixed
71 dBW in the 6 MHz band from 13.772 to service on a primary basis.
13.778 GHz; 5.509 Additional allocation: in Japan the
—The e.i.r.p. density of emissions from any band 14.25–14.3 GHz is also allocated to the
earth station in the fixed-satellite service mobile, except aeronautical mobile, service
operating with a space station in non-geo- on a primary basis.
stationary-satellite orbit shall not exceed 5.510 The use of the band 14.5–14.8 GHz by
51 dBW in the 6 MHz band from 13.772 to the fixed-satellite service (Earth-to-space) is
13.778 GHz. limited to feeder links for the broadcasting-
517
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
satellite service. This use is reserved for 15.65 GHz, where an administration plans
countries outside Europe. emissions from a non-geostationary space
5.511 Additional allocation: in Saudi Ara- station that exceed ¥146 dB(W/(m2 · MHz))
bia, Bahrain, Bosnia and Herzegovina, Cam- for any angle of arrival, it shall coordinate
eroon, Egypt, the United Arab Emirates, under No. 9.11A with the affected administra-
Guinea, Iran (Islamic Republic of), Iraq, tions. Stations in the fixed-satellite service
Israel, Kuwait, Lebanon, Libya, Pakistan, operating in the band 15.63–15.65 GHz in the
Qatar, Syria, Slovenia, Somalia and Yugo- Earth-to-space direction shall not cause
slavia, the band 15.35–15.4 GHz is also allo- harmful interference to stations in the aero-
cated to the fixed and mobile services on a nautical radionavigation service (No. 4.10 ap-
secondary basis. plies).
5.511A The band 15.43–15.63 GHz is also al- 5.512 Additional allocation: in Algeria, An-
located to the fixed-satellite service (space- gola, Saudi Arabia, Austria, Bahrain, Ban-
to-Earth) on a primary basis. Use of the band gladesh, Bosnia and Herzegovina, Brunei
15.43–15.63 GHz by the fixed-satellite service Darussalam, Cameroon, the Congo, Costa
(space-to-Earth and Earth-to-space) is lim- Rica, Egypt, El Salvador, the United Arab
ited to feeder links of non-geostationary sys- Emirates, Finland, Guatemala, India, Indo-
tems in the mobile-satellite service, subject nesia, Iran (Islamic Republic of), Jordan, Ku-
to coordination under No. 9.11A. The use of wait, Libya, Malaysia, Morocco, Mozam-
the frequency band 15.43–15.63 GHz by the bique, Nepal, Nicaragua, Oman, Pakistan,
fixed-satellite service (space-to-Earth) is Qatar, Singapore, Slovenia, Somalia, Sudan,
limited to feeder links of non-geostationary Swaziland, Tanzania, Chad, Yemen and
systems in the mobile-satellite service for Yugoslavia, the band 15.7–17.3 GHz is also al-
which advance publication information has located to the fixed and mobile services on a
been received by the Bureau prior to 2 June primary basis.
2000. In the space-to-Earth direction, the 5.513 Additional allocation: in Israel, the
minimum earth station elevation angle band 15.7–17.3 GHz is also allocated to the
above and gain towards the local horizontal fixed and mobile services on a primary basis.
plane and the minimum coordination dis- These services shall not claim protection
tances to protect an earth station from from or cause harmful interference to serv-
harmful interference shall be in accordance ices operating in accordance with the Table
with Recommendation ITU–R S.1341. In order in countries other than those included in No.
to protect the radio astronomy service in the 5.512.
band 15.35–15.4 GHz, the aggregate power 5.513A Spaceborne active sensors oper-
flux-density radiated in the 15.35–15.4 GHz ating in the band 17.2–17.3 GHz shall not
band by all the space stations within any cause harmful interference to, or constrain
feeder-link of a non-geostationary system in the development of, the radiolocation and
the mobile-satellite service (space-to-Earth) other services allocated on a primary basis.
operating in the 15.43–15.63 GHz band shall 5.514 Additional allocation: in Algeria, Ger-
not exceed the level of -156 dB(W/m2) in a 50 many, Angola, Saudi Arabia, Austria, Bah-
MHz bandwidth, into any radio astronomy rain, Bangladesh, Bosnia and Herzegovina,
observatory site for more than 2% of the Cameroon, Costa Rica, El Salvador, the
time. United Arab Emirates, Finland, Guatemala,
5.511C Stations operating in the aero- Honduras, India, Iran (Islamic Republic of),
nautical radionavigation service shall limit Iraq, Israel, Japan, Jordan, Kuwait, Libya,
the effective e.i.r.p. in accordance with Rec- Nepal, Nicaragua, Oman, Pakistan, Qatar,
ommendation ITU–R S.1340. The minimum Slovenia, Sudan and Yugoslavia, the band
coordination distance required to protect the 17.3–17.7 GHz is also allocated to the fixed
aeronautical radionavigation stations (No. and mobile services on a secondary basis.
4.10 applies) from harmful interference from The power limits given in Nos. 21.3 and 21.5
feeder-link earth stations and the maximum shall apply.
e.i.r.p. transmitted towards the local hori- 5.515 In the band 17.3–17.8 GHz, sharing be-
zontal plane by a feeder-link earth station tween the fixed-satellite service (Earth-to-
shall be in accordance with Recommendation space) and the broadcasting-satellite service
ITU–R S.1340. shall also be in accordance with the provi-
5.511D Fixed-satellite service systems for sions of § 1 of Annex 4 of Appendix 30A.
which complete information for advance 5.516 The use of the band 17.3–18.1 GHz by
publication has been received by the Bureau geostationary-satellite systems in the fixed-
by 21 November 1997 may operate in the satellite service (Earth-to-space) is limited
bands 15.4–15.43 GHz and 15.63–15.7 GHz in the to feeder links for the broadcasting-satellite
space-to-Earth direction and 15.63–15.65 GHz service. The use of the band 17.3–17.8 GHz in
in the Earth-to-space direction. In the bands Region 2 by systems in the fixed-satellite
15.4–15.43 GHz and 15.65–15.7 GHz, emissions service (Earth-to-space) is limited to geo-
from a non-geostationary space station shall stationary satellites. For the use of the band
not exceed the power flux-density limits at 17.3–17.8 GHz in Region 2 by feeder links for
the Earth’s surface of ¥146 dB(W/(m2 · MHz)) the broadcasting-satellite service in the
for any angle of arrival. In the band 15.63– band 12.2–12.7 GHz, see Article 11. The use of
518
the bands 17.3–18.1 GHz (Earth-to-space) in 5.522C In the band 18.6–18.8 GHz, in Alge-
Regions 1 and 3 and 17.8–18.1 GHz (Earth-to- ria, Saudi Arabia, Bahrain, Egypt, the
space) in Region 2 by non-geostationary-sat- United Arab Emirates, Jordan, Lebanon,
ellite systems in the fixed-satellite service is Libya, Morocco, Oman, Qatar, Syria, Tunisia
subject to application of the provisions of and Yemen, fixed-service systems in oper-
No. 9.12 for coordination with other non-geo- ation at the date of entry into force of the
stationary-satellite systems in the fixed-sat- Final Acts of WRC–2000 are not subject to
ellite service. Non-geostationary-satellite the limits of No. 21.5A.
systems in the fixed-satellite service shall 5.523A The use of the bands 18.8–19.3 GHz
not claim protection from geostationary-sat- (space-to-Earth) and 28.6–29.1 GHz (Earth-to-
ellite networks in the fixed-satellite service
space) by geostationary and non-geo-
operating in accordance with the Radio Reg-
stationary fixed-satellite service networks is
ulations, irrespective of the dates of receipt
subject to the application of the provisions
by the Bureau of the complete coordination
of No. 9.11A and No. 22.2 does not apply. Ad-
or notification information, as appropriate,
for the non-geostationary-satellite systems ministrations having geostationary-satellite
in the fixed-satellite service and of the com- networks under coordination prior to 18 No-
plete coordination or notification informa- vember 1995 shall cooperate to the maximum
tion, as appropriate, for the geostationary- extent possible to coordinate pursuant to No.
satellite networks, and No. 5.43A does not 9.11A with non-geostationary-satellite net-
apply. Non-geostationary-satellite systems works for which notification information has
in the fixed-satellite service in the above been received by the Bureau prior to that
bands shall be operated in such a way that date, with a view to reaching results accept-
any unacceptable interference that may able to all the parties concerned. Non-geo-
occur during their operation shall be rapidly stationary-satellite networks shall not cause
eliminated. unacceptable interference to geostationary
5.517 In Region 2, the allocation to the fixed-satellite service networks for which
broadcasting-satellite service in the band complete Appendix 4 notification informa-
17.3–17.8 GHz shall come into effect on 1 April tion is considered as having been received by
2007. After that date, use of the fixed-sat- the Bureau prior to 18 November 1995.
ellite (space-to-Earth) service in the band 5.523B The use of the band 19.3–19.6 GHz
17.7–17.8 GHz shall not claim protection from (Earth-to-space) by the fixed-satellite serv-
and shall not cause harmful interference to ice is limited to feeder links for non-geo-
operating systems in the broadcasting-sat- stationary-satellite systems in the mobile-
ellite service. satellite service. Such use is subject to the
5.518 Different category of service: in Region application of the provisions of No. 9.11A,
2, the allocation of the band 17.7–17.8 GHz to and No. 22.2 does not apply.
the mobile service is on a primary basis until 5.523C No. 22.2 shall continue to apply in
31 March 2007.
the bands 19.3–19.6 GHz and 29.1–29.4 GHz, be-
5.519 Additional allocation: the band 18.1– tween feeder links of non-geostationary mo-
18.3 GHz is also allocated to the meteorolog-
bile-satellite service networks and those
ical-satellite service (space-to-Earth) on a
fixed-satellite service networks for which
primary basis. Its use is limited to geo-
complete Appendix 4 coordination informa-
stationary satellites and shall be in accord-
tion, or notification information, is consid-
ance with the provisions of Article 21, Table
ered as having been received by the Bureau
21–4.
prior to 18 November 1995.
5.520 The use of the band 18.1–18.4 GHz by
the fixed-satellite service (Earth-to-space) is 5.523D The use of the band 19.3–19.7 GHz
limited to feeder links of geostationary-sat- (space-to-Earth) by geostationary fixed-sat-
ellite systems in the broadcasting-satellite ellite service systems and by feeder links for
service. non-geostationary-satellite systems in the
5.521 Alternative allocation: in Germany, mobile-satellite service is subject to the ap-
Denmark, the United Arab Emirates, Greece plication of the provisions of No. 9.11A, but
and Slovakia, the band 18.1–18.4 GHz is allo- not subject to the provisions of No. 22.2. The
cated to the fixed, fixed-satellite (space-to- use of this band for other non-geostationary
Earth) and mobile services on a primary fixed-satellite service systems, or for the
basis (see No. 5.33). The provisions of No. cases indicated in Nos. 5.523C and 5.523E, is
5.519 also apply. not subject to the provisions of No. 9.11A and
5.522A The emissions of the fixed service shall continue to be subject to Articles 9
and the fixed-satellite service in the band (except No. 9.11A) and 11 procedures, and to
18.6–18.8 GHz are limited to the values given the provisions of No. 22.2.
in Nos. 21.5A and 21.16.2, respectively. 5.523E No. 22.2 shall continue to apply in
5.522B The use of the band 18.6–18.8 GHz the bands 19.6–19.7 GHz and 29.4–29.5 GHz, be-
by the fixed-satellite service is limited to tween feeder links of non-geostationary mo-
geostationary systems and systems with an bile-satellite service networks and those
orbit of apogee greater than 20 000 km. fixed-satellite service networks for which
519
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
complete Appendix 4 coordination informa- band 21.4–22 GHz shall come into effect on 1
tion, or notification information, is consid- April 2007. The use of this band by the broad-
ered as having been received by the Bureau casting-satellite service after that date and
by 21 November 1997. on an interim basis prior to that date is sub-
5.524 Additional allocation: in Afghanistan, ject to the provisions of Resolution 525
Algeria, Angola, Saudi Arabia, Bahrain, Ban- (WARC–92).
gladesh, Brunei Darussalam, Cameroon, 5.531 Additional allocation: in Japan, the
China, the Congo, Costa Rica, Egypt, the band 21.4–22 GHz is also allocated to the
United Arab Emirates, Gabon, Guatemala, broadcasting service on a primary basis.
Guinea, India, Iran (Islamic Republic of), 5.532 The use of the band 22.21–22.5 GHz by
Iraq, Israel, Japan, Jordan, Kuwait, Leb- the Earth exploration-satellite (passive) and
anon, Malaysia, Mali, Morocco, Mauritania, space research (passive) services shall not
Nepal, Nigeria, Oman, Pakistan, the Phil- impose constraints upon the fixed and mo-
ippines, Qatar, the Dem. Rep. of the Congo, bile, except aeronautical mobile, services.
Syria, the Dem. People’s Rep. of Korea, 5.533 The inter-satellite service shall not
Singapore, Somalia, Sudan, Tanzania, Chad, claim protection from harmful interference
Togo and Tunisia, the band 19.7–21.2 GHz is from airport surface detection equipment
also allocated to the fixed and mobile serv- stations of the radionavigation service.
ices on a primary basis. This additional use 5.534 Additional allocation: in Japan, the
shall not impose any limitation on the power band 24.65–25.25 GHz is also allocated to the
flux-density of space stations in the fixed- radionavigation service on a primary basis
satellite service in the band 19.7–21.2 GHz and until 2008.
of space stations in the mobile-satellite serv- 5.535 In the band 24.75–25.25 GHz, feeder
ice in the band 19.7–20.2 GHz where the allo- links to stations of the broadcasting-sat-
cation to the mobile-satellite service is on a ellite service shall have priority over other
primary basis in the latter band. uses in the fixed-satellite service (Earth-to-
5.525 In order to facilitate interregional space). Such other uses shall protect and
coordination between networks in the mo- shall not claim protection from existing and
bile-satellite and fixed-satellite services, future operating feeder-link networks to
carriers in the mobile-satellite service that such broadcasting satellite stations.
are most susceptible to interference shall, to 5.535A The use of the band 29.1–29.5 GHz
the extent practicable, be located in the (Earth-to-space) by the fixed-satellite serv-
higher parts of the bands 19.7–20.2 GHz and ice is limited to geostationary-satellite sys-
29.5–30 GHz. tems and feeder links to non-geostationary-
5.526 In the bands 19.7–20.2 GHz and 29.5–30 satellite systems in the mobile-satellite
GHz in Region 2, and in the bands 20.1–20.2 service. Such use is subject to the applica-
GHz and 29.9–30 GHz in Regions 1 and 3, net- tion of the provisions of No. 9.11A, but not
works which are both in the fixed-satellite subject to the provisions of No. 22.2, except
service and in the mobile-satellite service as indicated in Nos. 5.523C and 5.523E where
may include links between earth stations at such use is not subject to the provisions of
specified or unspecified points or while in No. 9.11A and shall continue to be subject to
motion, through one or more satellites for Articles 9 (except No. 9.11A) and 11 proce-
point-to-point and point-to-multipoint com- dures, and to the provisions of No. 22.2.
munications. 5.536 Use of the 25.25–27.5 GHz band by the
5.527 In the bands 19.7–20.2 GHz and 29.5–30 inter-satellite service is limited to space re-
GHz, the provisions of No. 4.10 do not apply search and Earth exploration-satellite appli-
with respect to the mobile-satellite service. cations, and also transmissions of data origi-
5.528 The allocation to the mobile-sat- nating from industrial and medical activities
ellite service is intended for use by networks in space.
which use narrow spot-beam antennas and 5.536A Administrations installing Earth
other advanced technology at the space sta- exploration-satellite service earth stations
tions. Administrations operating systems in cannot claim protection from stations in the
the mobile-satellite service in the band 19.7– fixed and mobile services operated by
20.1 GHz in Region 2 and in the band 20.1–20.2 neighbouring administrations. In addition,
GHz shall take all practicable steps to en- earth stations operating in the Earth explo-
sure the continued availability of these ration-satellite service should take into ac-
bands for administrations operating fixed count Recommendation ITU–R SA.1278.
and mobile systems in accordance with the 5.536B In Germany, Saudi Arabia, Austria,
provisions of No. 5.524. Belgium, Brazil, Bulgaria, China, Korea
5.529 The use of the bands 19.7–20.1 GHz (Rep. of), Denmark, Egypt, United Arab
and 29.5–29.9 GHz by the mobile-satellite Emirates, Spain, Estonia, Finland, France,
service in Region 2 is limited to satellite Hungary, India, Iran (Islamic Republic of),
networks which are both in the fixed-sat- Ireland, Israel, Italy, Jordan, Kenya, Kuwait,
ellite service and in the mobile-satellite Lebanon, Libya, Liechtenstein, Lithuania,
service as described in No. 5.526. Moldova, Norway, Oman, Uganda, Pakistan,
5.530 In Regions 1 and 3, the allocation to the Philippines, Poland, Portugal, Syria,
the broadcasting-satellite service in the Slovakia, the Czech Rep., Romania, the
520
United Kingdom, Singapore, Sweden, Swit- Bureau after 17 May 1996 and until they are
zerland, Tanzania, Turkey, Viet Nam and changed by a future competent world
Zimbabwe, earth stations operating in the radiocommunication conference. Adminis-
Earth exploration-satellite service in the trations submitting Appendix 4 information
band 25.5–27 GHz shall not claim protection for coordination before this date are encour-
from, or constrain the use and deployment aged to utilize these techniques to the extent
of, stations of the fixed and mobile services. practicable.
5.537 Space services using non-geo- 5.542 Additional allocation: in Algeria,
stationary satellites operating in the inter- Saudi Arabia, Bahrain, Bangladesh, Brunei
satellite service in the band 27–27.5 GHz are Darussalam, Cameroon, China, Congo,
exempt from the provisions of No. 22.2. Egypt, the United Arab Emirates, Eritrea,
5.537A In Bhutan, Indonesia, Iran (Islamic Ethiopia, Guinea, India, Iran (Islamic Repub-
Republic of), Japan, Maldives, Mongolia, lic of), Iraq, Japan, Jordan, Kuwait, Leb-
Myanmar, Pakistan, the Dem. People’s Rep. anon, Malaysia, Mali, Morocco, Mauritania,
of Korea, Sri Lanka, Thailand and Viet Nam, Nepal, Pakistan, the Philippines, Qatar,
the allocation to the fixed service in the Syria, the Dem. People’s Rep. of Korea, So-
band 27.5–28.35 GHz may also be used by high malia, Sudan, Sri Lanka and Chad, the band
altitude platform stations (HAPS). The use 29.5–31 GHz is also allocated to the fixed and
of the band 27.5–28.35 GHz by HAPS is limited mobile services on a secondary basis. The
to operation in the HAPS-to-ground direc- power limits specified in Nos. 21.3 and 21.5
tion and shall not cause harmful interference shall apply.
to, nor claim protection from, other types of 5.543 The band 29.95–30 GHz may be used
fixed-service systems or other co-primary for space-to-space links in the Earth explo-
services. ration-satellite service for telemetry, track-
5.538 Additional allocation: the bands ing, and control purposes, on a secondary
27.500–27.501 GHz and 29.999–30.000 GHz are basis.
also allocated to the fixed-satellite service 5.543A In Bhutan, Indonesia, Iran (Islamic
(space-to-Earth) on a primary basis for the Republic of), Japan, Maldives, Mongolia,
beacon transmissions intended for up-link Myanmar, Pakistan, the Dem. People’s Rep.
power control. Such space-to-Earth trans- of Korea, Sri Lanka, Thailand and Viet Nam,
missions shall not exceed an equivalent the allocation to the fixed service in the
isotropically radiated power (e.i.r.p.) of 10 band 31–31.3 GHz may also be used by high al-
dBW in the direction of adjacent satellites titude platform stations (HAPS) in the
on the geostationary-satellite orbit. In the ground-to-HAPS direction. The use of the
band 27.500–27.501 GHz, such space-to-Earth band 31–31.3 GHz by systems using HAPS
transmissions shall not produce a power shall not cause harmful interference to, nor
flux-density in excess of the values specified claim protection from, other types of fixed-
in Article 21, Table 21–4 on the Earth’s sur- service systems or other co-primary services,
face. taking into account No. 5.545. The use of
5.539 The band 27.5–30 GHz may be used by HAPS in the band 31–31.3 GHz shall not cause
the fixed-satellite service (Earth-to-space) harmful interference to the passive services
for the provision of feeder links for the having a primary allocation in the band 31.3–
broadcasting-satellite service. 31.8 GHz, taking into account the inter-
5.540 Additional allocation: the band 27.501– ference criteria given in Recommendations
29.999 GHz is also allocated to the fixed-sat- ITU–R SA.1029 and ITU–R RA.769. The ad-
ellite service (space-to-Earth) on a secondary ministrations of the countries listed above
basis for beacon transmissions intended for are urged to limit the deployment of HAPS
up-link power control. in the band 31–31.3 GHz to the lower half of
5.541 In the band 28.5–30 GHz, the earth ex- this band (31–31.15 GHz) until WRC–03.
ploration-satellite service is limited to the 5.544 In the band 31–31.3 GHz the power
transfer of data between stations and not to flux-density limits specified in Article 21,
the primary collection of information by Table 21–4 shall apply to the space research
means of active or passive sensors. service.
5.541A Feeder links of non-geostationary 5.545 Different category of service: in Arme-
networks in the mobile-satellite service and nia, Azerbaijan, Belarus, Georgia, Mongolia,
geostationary networks in the fixed-satellite Kyrgyzstan, the Russian Federation,
service operating in the band 29.1–29.5 GHz Tajikistan, Turkmenistan and Ukraine, the
(Earth-to-space) shall employ uplink adapt- allocation of the band 31–31.3 GHz to the
ive power control or other methods of fade space research service is on a primary basis
compensation, such that the earth station (see No. 5.33).
transmissions shall be conducted at the 5.546 Different category of service: in Saudi
power level required to meet the desired link Arabia, Armenia, Azerbaijan, Belarus,
performance while reducing the level of mu- Egypt, the United Arab Emirates, Spain, Es-
tual interference between both networks. tonia, Finland, Georgia, Hungary, Iran
These methods shall apply to networks for (Islamic Republic of), Israel, Jordan, Latvia,
which Appendix 4 coordination information Lebanon, Moldova, Mongolia, Uzbekistan,
is considered as having been received by the Poland, Syria, Kyrgyzstan, Romania, the
521
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
United Kingdom, the Russian Federation, 5.550 Different category of service: in Arme-
Tajikistan, Turkmenistan, Turkey and nia, Azerbaijan, Belarus, Georgia, Mongolia,
Ukraine, the allocation of the band 31.5–31.8 Uzbekistan, Kyrgyzstan, the Russian Federa-
GHz to the fixed and mobile, except aero- tion, Tajikistan, Turkmenistan and Ukraine,
nautical mobile, services is on a primary the allocation of the band 34.7–35.2 GHz to
basis (see No. 5.33). the space research service is on a primary
5.547 The bands 31.8–33.4 GHz, 37–40 GHz, basis (see No. 5.33).
40.5–43.5 GHz, 51.4–52.6 GHz, 55.78–59 GHz and 5.551 Radars located on spacecraft may be
64–66 GHz are available for high-density ap- operated on a primary basis in the band 35.5–
plications in the fixed service (see Resolu- 35.6 GHz. (SUP—WRC–97)
tions 75 (WRC–2000) and 79 (WRC–2000)). Ad- 5.551A In the band 35.5–36.0 GHz, active
ministrations should take this into account spaceborne sensors in the earth exploration-
when considering regulatory provisions in satellite and space research services shall
relation to these bands. Because of the po- not cause harmful interference to, claim pro-
tential deployment of high-density applica- tection from, or otherwise impose con-
tions in the fixed-satellite service in the straints on operation or development of the
bands 39.5–40 GHz and 40.5–42 GHz, adminis- radiolocation service, the meteorological
trations should further take into account po- aids service and other services allocated on a
tential constraints to high-density applica- primary basis.
tions in the fixed service, as appropriate (see 5.551AA In the bands 37.5–40 GHz and 42–
Resolution 84 (WRC–2000)). 42.5 GHz, non-geostationary-satellite sys-
5.547A Administrations should take prac- tems in the fixed-satellite service should em-
tical measures to minimize the potential in- ploy power control or other methods of
terference between stations in the fixed serv- downlink fade compensation of the order of
ice and airborne stations in the radio- 10 dB, such that the satellite transmissions
navigation service in the 31.8–33.4 GHz band, are at power levels required to meet the de-
taking into account the operational needs of sired link performance while reducing the
the airborne radar systems. level of interference to the fixed service. The
5.547B Alternative allocation: in the United use of downlink fade compensation methods
States, the band 31.8–32 GHz is allocated to are under study by the ITU–R (see Resolu-
the radionavigation and space research (deep tion 84 (WRC–2000)).
space) (space-to-Earth) services on a primary 5.551F Different category of service: in
basis. Japan, the allocation of the band 41.5–42.5
5.547C Alternative allocation: in the United GHz to the mobile service is on a primary
States, the band 32–32.3 GHz is allocated to basis (see No. 5.33).
the inter-satellite, radionavigation and 5.551G In order to protect the radio as-
space research (deep space) (space-to-Earth) tronomy service in the band 42.5–43.5 GHz,
services on a primary basis. the aggregate power flux-density in the 42.5–
5.547D Alternative allocation: in the United 43.5 GHz band produced by all the space sta-
States, the band 32.3–33 GHz is allocated to tions in any non-geostationary-satellite sys-
the inter-satellite and radionavigation serv- tem in the fixed-satellite service (space-to-
ices on a primary basis. Earth) or in the broadcasting-satellite serv-
5.547E Alternative allocation: in the United ice (space-to-Earth) system operating in the
States, the band 33–33.4 GHz is allocated to 41.5–42.5 GHz band shall not exceed—167
the radionavigation service on a primary dB(W/m2) in any 1 MHz band at the site of a
basis. radio astronomy station for more that 2% of
5.548 In designing systems for the inter- the time. The power flux-density in the band
satellite and radionavigation services in the 42.5–43.5 GHz produced by any geostationary
band 32–33 GHz, and for the space research station in the fixed-satellite service (space-
service (deep space) in the band 31.8–32.3 GHz, to-Earth) or in the broadcasting-satellite
administrations shall take all necessary service (space-to-Earth) operating in the
measures to prevent harmful interference be- band 42–42.5 GHz shall not exceed—167 dB(W/
tween these services, bearing in mind the m2) in any 1 MHz band at the site of a radio
safety aspects of the radionavigation service astronomy station. These limits are provi-
(see Recommendation 707). sional and will be reviewed in accordance
5.549 Additional allocation: in Saudi Ara- with Resolution 128 (Rev.WRC–2000).
bia, Bahrain, Bangladesh, Egypt, the United 5.552 The allocation of the spectrum for
Arab Emirates, Gabon, Indonesia, Iran the fixed-satellite service in the bands 42.5–
(Islamic Republic of), Iraq, Israel, Jordan, 43.5 GHz and 47.2–50.2 GHz for Earth-to-space
Kuwait, Lebanon, Libya, Malaysia, Mali, transmission is greater than that in the band
Malta, Morocco, Mauritania, Nepal, Nigeria, 37.5–39.5 GHz for space-to-Earth transmission
Oman, Pakistan, the Philippines, Qatar, in order to accommodate feeder links to
Dem. Rep. of the Congo, Syria, Senegal, broadcasting satellites. Administrations are
Singapore, Somalia, Sudan, Sri Lanka, Togo, urged to take all practicable steps to reserve
Tunisia and Yemen, the band 33.4–36 GHz is the band 47.2–49.2 GHz for feeder links for the
also allocated to the fixed and mobile serv- broadcasting-satellite service operating in
ices on a primary basis. the band 40.5–42.5 GHz.
522
5.552A The allocation to the fixed service orbit and to transmissions from non-geo-
in the bands 47.2–47.5 GHz and 47.9–48.2 GHz is stationary satellites in high-Earth orbit to
designated for use by high altitude platform those in low-Earth orbit. For links between
stations. The use of the bands 47.2–47.5 GHz satellites in the geostationary-satellite
and 47.9–48.2 GHz is subject to the provisions orbit, the single entry power flux-density at
of Resolution 122 (WRC–97) 7 all altitudes from 0 km to 1000 km above the
5.553 In the bands 43.5–47 GHz and 66–71 Earth’s surface, for all conditions and for all
GHz, stations in the land mobile service may methods of modulation, shall not exceed
be operated subject to not causing harmful ¥147 dB(W/(m2 · 100 MHz)) for all angles of
interference to the space arrival.
radiocommunication services to which these 5.559 In the band 59–64 GHz, airborne ra-
bands are allocated (see No. 5.43). dars in the radiolocation service may be op-
5.554 In the bands 43.5–47 GHz, 66–71 GHz, erated subject to not causing harmful inter-
95–100 GHz, 123–130 GHz, 191.8–200 GHz and ference to the inter-satellite service (see No.
252–265 GHz, satellite links connecting land 5.43).
stations at specified fixed points are also au- 5.559A The band 75.5–76 GHz is also allo-
thorized when used in conjunction with the cated to the amateur and amateur-satellite
mobile-satellite service or the radio- services on a primary basis until the year
navigation-satellite service. 2006.
5.555 Additional allocation: the band 48.94– 5.560 In the band 78–79 GHz radars located
49.04 GHz is also allocated to the radio as- on space stations may be operated on a pri-
tronomy service on a primary basis. mary basis in the Earth exploration-satellite
5.555A The band 50.2–50.4 GHz is also allo- service and in the space research service.
cated, on a primary basis, to the fixed and 5.561 In the band 74–76 GHz, stations in
mobile services until 1 July 2000. the fixed, mobile and broadcasting services
5.556 In the bands 51.4–54.25 GHz, 58.2–59 shall not cause harmful interference to sta-
GHz and 64–65 GHz, radio astronomy observations of the fixed-satellite service or stations
tions may be carried out under national ar- of the broadcasting-satellite service oper-
rangements. ating in accordance with the decisions of the
5.556A Use of the bands 54.25–56.9 GHz, 57– appropriate frequency assignment planning
58.2 GHz and 59–59.3 GHz by the inter-sat- conference for the broadcasting-satellite
service.
ellite service is limited to satellites in the
5.561A The 81–81.5 GHz band is also allo-
geostationary-satellite orbit. The single-
cated to the amateur and amateur-satellite
entry power flux-density at all altitudes
services on a secondary basis.
from 0 km to 1000 km above the Earth’s sur-
5.561B In Japan, use of the band 84–86
face produced by a station in the inter-sat-
GHz, by the fixed-satellite service (Earth-to-
ellite service, for all conditions and for all
space) is limited to feeder links in the broad-
methods of modulation, shall not exceed
casting-satellite service using the geo-
¥147 dB(W/(m2 · 100 MHz)) for all angles of
stationary-satellite orbit.
arrival.
5.562 The use of the band 94–94.1 GHz by
5.556B Additional allocation: in Japan, the
the Earth exploration-satellite (active) and
band 54.25–55.78 GHz is also allocated to the
space research (active) services is limited to
mobile service on a primary basis for low-
spaceborne cloud radars.
density use. 5.562A In the bands 94–94.1 GHz and 130–134
5.557 Additional allocation: in Japan, the GHz, transmissions from space stations of
band 55.78–58.2 GHz is also allocated to the the Earth exploration-satellite service
radiolocation service on a primary basis. (active) that are directed into the main
5.557A In the band 55.78–56.26 GHz, in beam of a radio astronomy antenna have the
order to protect stations in the Earth explo- potential to damage some radio astronomy
ration-satellite service (passive), the max- receivers. Space agencies operating the
imum power density delivered by a trans- transmitters and the radio astronomy sta-
mitter to the antenna of a fixed service stations concerned should mutually plan their
tion is limited to ¥26 dB(W/MHz). operations so as to avoid such occurrences to
5.558 In the bands 55.78–58.2 GHz, 59–64 the maximum extent possible.
GHz, 66–71 GHz, 122.25–123 GHz, 130–134 GHz, 5.562B In the bands 105–109.5 GHz, 111.8–
167–174.8 GHz and 191.8–200 GHz, stations in 114.25 GHz, 155.5–158.5 GHz and 217–226 GHz,
the aeronautical mobile service may be oper- the use of this allocation is limited to space-
ated subject to not causing harmful inter- based radio astronomy only.
ference to the inter-satellite service (see No. 5.562C Use of the band 116–122.25 GHz by
5.43). the inter-satellite service is limited to sat-
5.558A Use of the band 56.9–57 GHz by ellites in the geostationary-satellite orbit.
inter-satellite systems is limited to links be- The single-entry power flux-density produced
tween satellites in geostationary-satellite by a station in the inter-satellite service, for
all conditions and for all methods of modula-
7 Note by the Secretariat: This Resolution tion, at all altitudes from 0 km to 1000 km
was revised by WRC–2000. above the Earth’s surface and in the vicinity
523
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
of all geostationary orbital positions occu- passive services. Administrations are urged
pied by passive sensors, shall not exceed to take all practicable steps to protect these
¥148 dB(W/(m2 · MHz)) for all angles of ar- passive services from harmful interference
rival. until the date when the allocation Table is
5.562D Additional allocation: In Korea (Rep. established in the above-mentioned fre-
of), the bands 128–130 GHz, 171–171.6 GHz, quency band.
172.2–172.8 GHz and 173.3–174 GHz are also al-
located to the radio astronomy service on a II. Old Numbering Scheme
primary basis until 2015. 459 In the Region 2 polar areas (north of
5.562E The allocation to the Earth explo- 60°N and south of 60°S), which are subject to
ration-satellite service (active) is limited to auroral disturbances, the aeronautical fixed
the band 133.5–134 GHz. service is the primary service in the band
5.562F In the band 155.5–158.5 GHz, the al- 160–190 kHz.
location to the Earth exploration-satellite 471 The bands 490–495 kHz and 505–510 kHz
(passive) and space research (passive) serv- shall be subject to the provisions of No. 3018
ices shall terminate on 1 January 2018. until the entry into force of the reduced
5.562G The date of entry into force of the guardband in accordance with Resolution 210
allocation to the fixed and mobile services in (Mob–87).
the band 155.5–158.5 GHz shall be 1 January 472 The frequency 500 kHz is the inter-
2018. national distress and calling frequency for
5.562H Use of the bands 174.8–182 GHz and Morse radiotelegraphy. The conditions for
185–190 GHz by the inter-satellite service is its use are prescribed in Articles 37, 38, N 38
limited to satellites in the geostationary- and 60.
satellite orbit. The single-entry power flux- 472A In the maritime mobile service, the
density produced by a station in the inter- frequency 490 kHz is, from the date of full
satellite service, for all conditions and for implementation of the GMDSS (see Resolu-
all methods of modulation, at all altitudes tion 331 (Mob–87)), to be used exclusively for
from 0 to 1000 km above the Earth’s surface the transmission by coast stations of naviga-
and in the vicinity of all geostationary or- tional and meteorological warnings and ur-
bital positions occupied by passive sensors, gent information to ships, by means of
shall not exceed ¥144 dB(W/(m2 · MHz)) for narrowband direct-printing telegraphy. The
all angles of arrival. conditions for use of the frequency 490 kHz
5.563 Additional allocation: in the United are prescribed in Articles N 38 and 60, and
Kingdom, the band 182–185 GHz is also allo- Resolution 329 (Mob–87). In using the band
cated to the fixed and mobile services on a 415–495 kHz for the aeronautical radio-
primary basis. navigation service, administrations are re-
5.563A In the bands 200–209 GHz, 235–238 quested to ensure that no harmful inter-
GHz, 250–252 GHz and 265–275 GHz, ground- ference is caused to the frequency 490 kHz.
based passive atmospheric sensing is carried 474 The conditions for the use of frequency
out to monitor atmospheric constituents. 518 kHz by the maritime mobile service are
5.563B The band 237.9–238 GHz is also allo- prescribed in Articles 38, N38 and 60 (see Res-
cated to the Earth exploration-satellite serv- olution 324 (Mob–87) and Article 14A).
ice (active) and the space research service
480 In Region 2, the use of the band 1605–
(active) for spaceborne cloud radars only.
1705 kHz by stations of the broadcasting
5.565 The frequency band 275–1000 GHz
service is subject to the plan established by
may be used by administrations for experi-
the Regional Administrative Radio Con-
mentation with, and development of, various
ference (Rio de Janeiro, 1988.)
active and passive services. In this band a
In Region 2, in the band 1625–1705 kHz, the
need has been identified for the following
relationship between the broadcasting, fixed
spectral line measurements for passive serv-
and mobile services is shown in No. 419. How-
ices:
ever, the examination of frequency assign-
—Radio astronomy service: 275–323 GHz, 327– ments to stations of the fixed and mobile
371 GHz, 388–424 GHz, 426–442 GHz, 453–510 services in the band 1625–1705 kHz under No.
GHz, 623–711 GHz, 795–909 GHz and 926–945 1241 shall take account of the allotments ap-
GHz; pearing in the Plan established by the Re-
—Earth exploration-satellite service gional Administrative Radio Conference (Rio
(passive) and space research service de Janeiro, 1988).
(passive): 275–277 GHz, 294–306 GHz, 316–334 591 Subject to agreement obtained under
GHz, 342–349 GHz, 363–365 GHz, 371–389 GHz, the procedure set forth in Article 14, the
416–434 GHz, 442–444 GHz, 496–506 GHz, 546– band 117.975–137 MHz is also allocated to the
568 GHz, 624–629 GHz, 634–654 GHz, 659–661 aeronautical mobile-satellite (R) service on a
GHz, 684–692 GHz, 730–732 GHz, 851–853 GHz secondary basis and on the condition that
and 951–956 GHz. harmful interference is not caused to the
Future research in this largely unexplored aeronautical mobile (R) service.
spectral region may yield additional spectral 599A The use of the band 137–138 MHz by
lines and continuum bands of interest to the the mobile-satellite service is subject to the
524
application of the coordination and notifica- 669 In the maritime mobile service, the
tion procedures set forth in Resolution 46. frequencies 457.525 MHz, 457.550 MHz, 457.575
However, coordination of a space station of MHz, 467.525 MHz, 467.550 MHz and 467.575
the mobile-satellite service with respect to MHz may be used by onboard communication
terrestrial services is required only if the stations. The use of these frequencies in ter-
power flux-density produced by the station ritorial waters may be subject to the na-
exceeds—125 dB(W/m22/4 kHz) at the Earth’s tional regulations of the administration con-
surface. The above power flux-density limit cerned. The characteristics of the equipment
shall apply until such time as a competent used shall conform to those specified in Ap-
world administrative radio conference re- pendix 20.
vises it. In making assignments to the space 792A The use of the bands 4500–4800 MHz,
stations in the mobile-satellite service in the 6725–7025 MHz, 10.7–10.95 GHz, 11.2–11.45 GHz
above band, administrations shall take all and 12.75–13.25 GHz by the fixed-satellite
practicable steps to protect the radio astron- service shall be in accordance with the provi-
omy service in the 150.05–153 MHz band from sions of Appendix 30B.
harmful interference from unwanted emis- 917 In the bands 140.69–140.98 GHz all emis-
sions. sions from airborne stations, and from space
599B The use of the bands 137–138 MHz, 148– stations in the space-to-Earth direction, are
149.9 MHz and 400.15–401 MHz by the mobile- prohibited.
satellite service and the band 149.9–150.05
MHz by the land mobile-satellite service is UNITED STATES (US) FOOTNOTES
limited to non-geostationary-satellite sys-
tems. (These footnotes, each consisting of the
608A The use of the band 148–149.9 MHz by letters US followed by one or more digits, de-
the mobile-satellite service is subject to the note stipulations applicable to both Govern-
application of the coordination and notifica- ment and non-Government stations.)
tion procedures set forth in Resolution 46 US7 In the band 420–450 MHz and within
(WARC–92). The mobile-satellite service the following areas, the peak envelope power
shall not constrain the development and use output of a transmitter employed in the
of fixed, mobile and space operation services amateur service shall not exceed 50 watts,
in the band 148–149.9 MHz. Mobile earth sta- unless expressly authorized by the Commis-
tions in the mobile-satellite service shall not sion after mutual agreement, on a case-by-
produce a power flux-density in excess of case basis, between the Federal Communica-
¥150 dB(W/m2/4 kHz) outside national bound- tions Commission Engineer in Charge at the
aries. applicable district office and the military
608B The use of the band 149.9–150.05 MHz area frequency coordinator at the applicable
by the land mobile-satellite service is sub- military base. For areas (e) through (j), the
ject to the application of the coordination appropriate military coordinator is located
and notification procedures set forth in Res- at Peterson AFB, CO.
olution 46 (WARC–92). The land mobile-sat- (a) Those portions of Texas and New Mex-
ellite service shall not constrain the develop- ico bounded on the south by latitude 31° 45′
ment and use of the radionavigation-sat- North, on the east by longitude 104° 00′ West,
ellite service in the band 149.9–150.05 MHz. on the north by latitude 34°30′ North, and on
Land mobile earth stations of the land mo- the west by longitude 107° 30′ West;
bile-satellite service shall not produce power (b) The entire State of Florida including
flux-density in excess of ¥150 dB(W/m2/4 kHz) the Key West area and the areas enclosed
outside national boundaries. within a 322-kilometer (200-mile) radius of
647B The use of the band 400.15–401 MHz by Patrick Air Force Base, Florida (latitude
the mobile-satellite service is subject to the 28°21′ North, longitude 80° 43′ West), and
application of the coordination and notifica- within a 322-kilometer (200-mile) radius of
tion procedures set forth in Resolution 46. Eglin Air Force Base, Florida (latitude 30° 30′
However, coordination of a space station of North, longitude 86° 30′ West);
the mobile-satellite service with respect to (c) The entire State of Arizona;
terrestrial services is required only if the (d) Those portions of California and Nevada
power flux-density produced by the station south of latitude 37° 10′ North, and the areas
exceeds ¥125 dB(W/m2/4 kHz) at the Earth’s enclosed within a 322-kilometer (200-mile) ra-
surface. The above power flux-density limit dius of the Pacific Missile Test Center, Point
shall apply until such time as a competent Mugu, California (latitude 34° 09′ North, lon-
world administrative radio conference re- gitude 119° 11′ West).
vises it. In making assignments to the space (e) In the State of Massachusetts within a
stations in the mobile-satellite service in the 160-kilometer (100-mile) radius around loca-
above band, administrations shall take all tions at Otis Air Force Base, Massachusetts
practicable steps to protect the radio astron- (latitude 41° 45′ North, longitude 70° 32′
omy service in the band 406.1–410 MHz from West).
harmful interference from unwanted emis- (f) In the State of California within a 240-
sions. kilometer (150-mile) radius around locations
525
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
at Beale Air Force Base, California (latitude New York City; and use of these frequencies
39° 08′ North, longitude 121° 26′ West). by the public safety radio services will not
(g) In the State of Alaska within a 160-kilo- be authorized except for locations within 150
meter (100-mile) radius of Clear, Alaska miles of New York City.
(latitude 64° 17′ North, longitude 149° 10′ US13 For the specific purpose of transmit-
West). ting hydrological and meteorological data in
(h) In the State of North Dakota within a co-operation with agencies of the Federal
160-kilometer (100-mile) radius of Concrete, Government, the following frequencies may
North Dakota (latitude 48° 43′ North, lon- be authorized to non-Government fixed sta-
gitude 97° 54′ West). tions on the condition that harmful inter-
(i) In the States of Alabama, Georgia and ference will not be caused to Government
South Carolina within a 200-kilometer (124- stations.
mile) radius of Warner Robins Air Force
Base, Georgia (latitude 32° 38′ North, lon- MHZ
gitude 83° 35′ West).
(j) In the State of Texas within a 200-kilo- 169.425 171.125
meter (124-mile) radius of Goodfellow Air 169.450 171.825
Force Base, Texas (latitude 31° 25′ North, lon- 169.475 171.850
gitude 100° 24′ West). 169.500 171.875
US8 The use of the frequencies 170.475, 169.525 171.900
171.425, 171.575, and 172.275 MHz east of the 170.225 171.925
Mississippi River, and 170.425, 170.575, 171.475, 170.250 406.125
172.225 and 172.375 MHz west of the Mis- 170.275 406.175
sissippi River may be authorized to fixed, 170.300 409.675
land and mobile stations operated by non- 170.325 409.725
Federal forest firefighting agencies. In addi- 171.025 412.625
tion, land stations and mobile stations oper- 171.050 412.675
ated by non-Federal conservation agencies, 171.075 412.725
for mobile relay operation only, may be au- 171.100 412.775
thorized to use the frequency 172.275 MHz Licensees holding a valid authorization on
east of the Mississippi River and the fre- June 11, 1962, to operate on the frequencies
quency 171.475 MHz west of the Mississippi 169.575, 170.375 or 171.975 MHz may continue
River. The use of any of the foregoing nine to be authorized for such operations on the
frequencies shall be on the condition that no condition that harmful interference will not
harmful interference will be caused to Gov- be caused to Government stations.
ernment stations.
US14 When 500 kHz is being used for dis-
US10 The use of the frequencies 26.62,
tress purposes, ship and coast stations using
143.75, 143.90 and 148.15 MHz may be author-
morse telegraph may use 512 kHz for calling.
ized to Civil Air Patrol land stations and
Civil Air Patrol mobile stations. US18 Navigation aids in the US and pos-
US11 The use of the frequencies 166.250 sessions in the bands 9–14 kHz, 90–110 kHz,
and 170.150 MHz may be authorized to non- 190–415 kHz, 510–535 kHz, 2700–2900 MHz are
Government remote pickup broadcast base normally operated by the U.S. Government.
and land mobile stations and to non-Govern- However, authorizations may be made by the
ment base, fixed and land mobile stations in FCC for non-Government operation in these
the public safety radio services (the sum of bands subject to the conclusion of appro-
the bandwidth of emission and tolerance is priate arrangements between the FCC and
not to exceed 25 kHz, except that authoriza- the Government agencies concerned and
tions in existence as of December 20, 1974, upon special showing of need for service
using a larger bandwidth are permitted to which the Government is not yet prepared to
continue in operation until December 20, render.
1979) in the continental United States US25 The use of frequencies in the band
(excluding Alaska) only, except within the 25.85–26.1 MHz may be authorized in any area
area bounded on the west by the Mississippi to non-Government remote pickup broadcast
River, on the north by the parallel of lati- base and mobile stations on the condition
tude 37°30′ N., and on the east and south by that harmful interference is not caused to
that arc of the circle with center at Spring- stations in the broadcasting service.
field, Illinois, and radius equal to the airline US26 The bands 117.975–121.4125 MHz,
distance between Springfield, Illinois, and 123.5875–128.8125 MHz and 132.0125–136.0 MHz
Montgomery, Alabama, subtended between are for air traffic control communications.
the foregoing west and north boundaries, on US28 The band 121.5875–121.9375 MHz is for
the condition that harmful interference will use by aeronautical utility land and mobile
not be caused to Government stations stations, and for air traffic control commu-
persent or future in the Government band nications.
162–174 MHz. The use of these frequencies by US30 The band 121.9375–123.0875 MHz is
remote pickup broadcast stations will not be available to FAA aircraft for communica-
authorized for locations within 150 miles of tions pursuant to flight inspection functions
526
in accordance with the Federal Aviation Act US49 The non-Government radiolocation
of 1958. service may be authorized in the band 5460–
US31 Except as provided below the band 5470 MHz on the condition that it does not
121.9375–123.0875 MHz is for use by private air- cause harmful interference to the aero-
craft stations. nautical or maritime radionavigation serv-
The frequencies 122.700, 122.725, 122.750, ices or to the Government radiolocation
122.800, 122.950, 122.975, 123.000, 123.050 and service.
123.075 MHz may be assigned to aeronautical US50 The non-Government radiolocation
advisory stations. In addition, at landing service may be authorized in the band 5470–
areas having a part-time or no airdrome con- 5600 MHz on the condition that it does not
trol tower or FAA flight service station, cause harmful interference to the maritime
these frequencies may be assigned on a sec- radionavigation service or to the Govern-
ondary non-interference basis to aero- ment radiolocation service.
nautical utility mobile stations, and may be US51 In the band 5600–5650 MHz and 9300–
used by FAA ground vehicles for safety re- 9500 MHz, the non-Government radiolocation
lated communications during inspections service shall not cause harmful interference
conducted at such landing areas. to the Government radiolocation service.
The frequencies 122.850, 122.900 and 122.925 US53 In view of the fact that the band
MHz may be assigned to aeronautical 13.25–13.4 GHz is allocated to doppler naviga-
multicom stations. In addition, 122.850 MHz tion aids, Government, and non-Government
may be assigned on a secondary noninter- airborne doppler radars in the aeronautical
ference basis to aeronautical utility mobile radionavigation service are permitted in the
stations. In case of 122.925 MHz, US213 ap- band 8750–8850 MHz only on the condition
plies.
that they must accept any interference that
Air carrier aircraft stations may use may be experienced from stations in the
122.000 and 122.050 MHz for communication radiolocation service in the band 8500–10000
with aeronautical stations of the Federal
MHz.
Aviation Administration and 122.700, 122.800,
US54 Temporarily, and until certain oper-
122.900 and 123.000 MHz for communications
ations of the radiolocation service in the
with aeronautical stations pertaining to
safety of flight with and in the vicinity of band 9000–9200 MHz can be transferred to
landing areas not served by a control tower. other appropriate frequency bands, the aero-
nautical radionavigation service may, in cer-
Frequencies in the band 121.9375–122.6875
MHz may be used by aeronautical stations of tain geographical areas, be subject to receiv-
the Federal Aviation Administration for ing some degree of interference from the
communication with private aircraft sta- radiolocation service.
tions only, except that 122.000 and 122.050 US58 In the band 10000–10500 MHz, pulsed
MHz may also be used for communication emissions are prohibited, except for weather
with air carrier aircraft stations concerning radars on board meteorological satellites in
weather information. the band 10000–10025 MHz. The amateur serv-
US32 Except for the frequencies 123.3 and ice and the non-Government radiolocation
123.5 MHz, which are not authorized for Gov- service, which shall not cause harmful inter-
ernment use, the band 123.1125–123.5875 MHz ference to the Government radiolocation
is available for FAA communications inci- service, are the only non-Government serv-
dent to flight test and inspection activities ices permitted in this band. The non-Govern-
pertinent to aircraft and facility certifi- ment radiolocation service is limited to sur-
cation on a secondary noninterference basis. vey operations as specified in footnote
US33 The band 123.1125–123.5875 MHz is for US108.
use by flight test and aviation instructional US59 The band 10.5–10.55 GHz is restricted
stations. The frequency 121.950 MHz is avail- to systems using type NON (AO) emission
able for aviation instructional stations. with a power not to exceed 40 watts into the
US41 The Government radiolocation serv- antenna.
ice is permitted in the band 2450–2500 MHz on US65 The use of the band 5460–5650 MHz by
condition that harmful interference is not the maritime radionavigation service is lim-
caused to non-Government services. ited to shipborne radars.
US44 The non-Government radiolocation US66 The use of the band 9300–9500 MHz by
service may be authorized in the band 2900– the aeronautical radionavigation service is
3100 MHz on the condition that no harmful limited to airborne radars and associated
interference is caused to Government serv- airborne beacons. In addition, ground-based
ices. radar beacons in the aeronautical radio-
US48 The non-Government radiolocation navigation service are permitted in the band
service may be authorized in the bands 5350– 9300–9320 MHz on the condition that harmful
5460 MHz and 9000–9200 MHz on the condition interference is not caused to the maritime
that it does not cause harmful interference radionavigation service.
to the aeronautical radionavigation service US67 The use of the band 9300–9500 MHz by
or to the Government radiolocation service. the meteorological aids service is limited to
527
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
ground-based radars. Radiolocation installa- US80 Government stations may use the
tions will be coordinated with the meteoro- frequency 122.9 MHz subject to the following
logical aids service and, insofar as prac- conditions:
ticable, will be adjusted to meet the require- (a) All operations by Government stations
ments of the meteorological aids service. shall be restricted to the purpose for which
US69 In the band 31.8–33.4 GHz, ground- the frequency is authorized to non-Govern-
based radionavigation aids are not permitted ment stations, and shall be in accordance
except where they operate in cooperation with the appropriate provisions of the Com-
with airborne or shipborne radionavigation mission’s Rules and Regulations, Part 87,
devices. Aviation Services;
(b) Use of the frequency is required for co-
US70 The meteorological aids service al-
ordination of activities with Commission li-
location in the band 400.15–406.0 MHz does
censees operating on this frequency; and
not preclude the operation therein of associ-
(c) Government stations will not be au-
ated ground transmitters.
thorized for operation at fixed locations.
US71 In the band 9300–9320 MHz, low-pow- US81 The band 38.0–38.25 MHz is used by
ered maritime radionavigation stations shall both Government and non-Government radio
be protected from harmful interference astronomy observatories. No new fixed or
caused by the operation of land-based equip- mobile assignments are to be made and Gov-
ment. ernment stations in the band 38.0–38.25 MHz
US74 In the bands 25.55–25.67, 73.0–74.6, will be moved to other bands on a case-by-
406.1–410.0, 608–614, 1400–1427, 1660.5–1670.0, case basis, as required, to protect radio as-
2690–2700 and 4990–5000 MHz and in the bands tronomy observations from harmful inter-
10.68–10.7, 15.35–15.4, 23.6–24.0, 31.3–31.5, 86–92, ference. As an exception, however, low pow-
105–116 and 217–231 GHz, the radio astronomy ered military transportable and mobile sta-
service shall be protected from extraband ra- tions used for tactical and training purposes
diation only to the extent that such radi- will continue to use the band. To the extent
ation exceeds the level which would be practicable, the latter operations will be ad-
present if the offending station were oper- justed to relieve such interference as may be
ating in compliance with the technical caused to radio astronomy observations. In
standards or criteria applicable to the serv- the event of harmful interference from such
ice in which it operates. Radio astronomy local operations, radio astronomy observ-
observations in these bands are performed at atories may contact local military com-
the locations listed in US311. mands directly, with a view to effecting re-
US77 Government stations may also be lief. A list of military commands, areas of
authorized: coordination, and points of contact for pur-
(a) Port operations use on a simplex basis poses of relieving interference may be ob-
by coast and ship stations of the frequencies tained upon request from the Office of the
156.6 and 156.7 MHz; Chief Engineer, Federal Communications
Commission, Washington, D.C. 20554.
(b) Duplex port operations use of the fre-
US82 Until July 1, 1991, the assignable fre-
quency 157.0 MHz for ship stations and 161.6
quencies in the bands 4143.6–4146.6 kHz,
MHz for coast stations;
6218.6–6224.6 kHz, 8291.1–8297.3 kHz, 12429.2–
(c) Inter-ship use of 156.3 MHz on a simplex 12439.5 kHz, 16587.1–16596.4 kHz and 22124–
basis; and 22139.5 kHz may be authorized on a shared
(d) Vessel traffic services under the control nonpriority basis to Government and non-
of the U.S. Coast Guard on a simplex basis by Government ship and coast stations (SSB te-
coast and ship stations on the frequencies lephony, with peak envelope power not to ex-
156.25, 156.55, 156.6 and 156.7 MHz. ceed 1 kW). Effective July 1, 1991, the assign-
(e) Navigational bridge-to-bridge and navi- able frequencies in the bands 4146–4152 kHz,
gational communications on a simplex basis 6224–6233 kHz, 8294–8300 kHz, 12353–12368 kHz,
by coast and ship stations on the frequencies 16528–16549 kHz, 18825–18846 kHz, 22159–22180
156.375 and 156.65 MHz. kHz, and 25100–25121 kHz may be authorized
US78 In the mobile service, the fre- on a shared non-priority basis to Govern-
quencies between 1435 and 1535 MHz will be ment and non-Government ship and coast
assigned for aeronautical telemetry and as- stations (SSB telephony, with peak envelope
sociated telecommand operations for flight power not to exceed 1 kW).
testing of manned or unmanned aircraft and US87 The frequency 450 MHz, with max-
missiles, or their major components. Permis- imum emission bandwidth of 500 kHz, may be
sible usage includes telemetry associated used by Government and non-Government
with launching and reentry into the earth’s stations for space telecommand at specific
atmosphere as well as any incidental orbit- locations, subject to such conditions as may
ing prior to reentry of manned objects under- be applied on a case-by-case basis.
going flight tests. The following frequencies US90 In the band 2025–2110 MHz, the power
are shared with flight telemetry mobile sta- flux-density at the Earth’s surface produced
tions: 1444.5, 1453.5, 1501.5, 1515.5, 1524.5 and by emissions from a space station in the
1525.5 MHz. space operation, Earth exploration-satellite,
528
or space research services that is transmit- the Government is not yet prepared to
ting in the space-to-space direction, for all render by way of the radionavigation service.
conditions and all methods of modulation, US106 The frequency 156.75 MHz is avail-
shall not exceed the following values in any able for assignment to non-Government and
4 kHz sub-band: Government stations for environmental com-
(a) ¥154 dBW/m2 for angles of arrival above munications in accordance with an agreed
the horizontal plane (d) of 0° to 5°, plan.
(b) ¥154 + 0.5(d¥5) dBW/m2 for d of 5° to 25°, US107 The frequency 156.8 MHz is the na-
and tional distress, safety and calling frequency
(c) ¥144 dBW/m2 for d of 25° to 90°. for the maritime mobile VHF radiotelephone
US93 In the conterminous United States, service for use by Government and non-Gov-
the frequency 108.0 MHz may be authorized ernment ship and coast stations. Guard
for use by VOR test facilities, the operation bands of 156.7625–156.7875 and 156.8125–156.8375
of which is not essential for the safety of life MHz are maintained.
or property, subject to the condition that no US108 Within the bands 3300–3500 MHz and
10000–10500 MHz, survey operations, using
interference is caused to the reception of FM
transmitters with a peak power not to ex-
broadcasting stations operating in the band
ceed five watts into the antenna, may be au-
88–108 MHz. In the event that such inter-
thorized for Government and non-Govern-
ference does occur, the licensee or other
ment use on a secondary basis to other Gov-
agency authorized to operate the facility
ernment radiolocation operations.
shall discontinue operation on 108 MHz and
US110 In the bands 3100–3300 MHz, 3500–
shall not resume operation until the inter-
3650 MHz, 5250–5350 MHz, 8500–9000 MHz, 9200–
ference has been eliminated or the complaint
9300 MHz, 9500–10000 MHz, 13.4–14.0 GHz, 15.7–
otherwise satisfied. VOR test facilities oper- 17.3 GHz, 24.05–24.25 GHz and 33.4–36.0 GHz,
ating on 108 MHz will not be protected the non-Government radiolocation service
against interference caused by FM broad- shall be secondary to the Government radio-
casting stations operating in the band 88–108 location service and to airborne doppler ra-
MHz not shall the authorization of a VOR dars at 8800 MHz, and shall provide protec-
test facility on 108 MHz preclude the Com- tion to airport surface detection equipment
mission from authorizing additional FM (ASDE) operating between 15.7–16.2 GHz.
broadcasting stations. US112 The frequency 123.1 MHz is for
US99 In the band 1668.4–1670.0 MHz, the search and rescue communications. This fre-
meteorological aids service (radiosonde) will quency may be assigned for air traffic con-
avoid operations to the maximum extent trol communications at special aeronautical
practicable. Whenever it is necessary to op- events on the condition that no harmful in-
erate radiosondes in the band 1668.4–1670 MHz terference is caused to search and rescue
within the United States, notification of the communications during any period of search
operations shall be sent as far in advance as and rescue operations in the licale involved.
possible to the Electromagnetic Manage- US116 In the bands 890–902 MHz and 935–
ment Unit, National Science Foundation, 941 MHz, no new assignments are to be made
Washington, D.C. 20550. to Government radio stations after July 10,
US102 In Alaska only, the frequency 122.1 1970 except on case-by-case basis, to experi-
MHz may also be used for air carrier air traf- mental stations and to additional stations of
fic control purposes at locations where other existing networks in Alaska. Government as-
frequencies are not available to air carrier signments existing prior to July 10 1970 to
aircraft stations for air traffic control. stations in Alaska may be continued. All
US104 The LORAN Radionavigation Sys- other existing Government assignments
tem has priority in band 90–110 kHz in the shall be on a secondary basis to stations in
United States and possessions. Radiolocation the non-Government land mobile service and
land stations making use of LORAN type shall be subject to adjustment or removal
equipment may be authorized to both Gov- from the bands 890–902 MHz, 928–932 MHz and
ernment and non-Government on a sec- 935–941 MHz at the request of the FCC.
ondary service basis for offshore radio- US117 In the band 406.1–410 MHz, all new
location activities only at specific locations authorizations will be limited to a maximum
and subject to such technical and oper- 7 watts per kHz of necessary bandwidth; ex-
ational conditions (e.g., power, emission, isting authorizations as of November 30, 1970
pulse rate and phase code, hours of oper- exceeding this power are permitted to con-
ation), including on-the-air testing, as may tinue in use.
be required on a case-by-case basis to ensure New authorizations in this band stations,
protection of the LORAN radionavigation other than mobile stations, within the fol-
system from harmful interference and to en- lowing areas are subject to prior coordina-
sure mutual compability among radio- tion by the applicant through the Electro-
location operators. Such authorizations to magnetic Spectrum Management Unit, Na-
stations in the radiolocation service are fur- tional Science Foundation, Washington, D.C.
ther subject to showing of need for service 20550, (202–357–9696):
which is not currently provided and which Arecibo Observatory:
529
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
Rectangle between latitudes 17°30′N. and US205 Tropospheric scatter systems are
19°00′N. and between longitudes 65°10′ W. and prohibited in the band 2500–2690 MHz.
68°00′W. US208 Planning and use of the band 1559–
Owens Valley Radio Observatory: 1626.5 MHz necessitate the development of
Two contiguous rectangles, one between technical and/or operational sharing criteria
latitudes 36°N. and 37°N. and longitudes to ensure the maximum degree of electro-
117°40′W. and 118°30′W. and the second be- magnetic compatibility with existing and
tween latitudes 37°N. and 38°N. and lon- planned systems within the band.
gitudes 118°W. and 118°50′W. US209 The use of frequencies 460.6625,
Sagamore Hill Radio Observatory: 460.6875, 460.7125, 460.7375, 460.7625, 460.7875,
Rectangle between latitudes 42°10′N. and 460.8125, 460.8375, 460.8625, 465.6625, 465.6875,
43°00′N. and longitudes 70°31′W. and 71°31′W. 465.7125, 465.7375, 465.7625, 465.7875, 465.8125,
Table Mountain Solar Observatory 465.8375, and 465.8625 MHz may be authorized,
(NOAA), Boulder, Colorado (407–409 MHz with 100 mW or less output power, to Govern-
only): ment and non-Government radio stations for
Rectangle between latitudes 39°30′N. and one-way, non-voice bio-medical telemetry
40°30′N. and longitudes 104°30′W. and 106°00′W. operations in hospitals, or medical or con-
or the Continental Divide whichever is far- valescent centers.
ther east. US210 In the sub-band 40.66–40.7 MHz and
The non-Government use of this band is 216–220 MHz, frequencies may be authorized
limited to the radio astronomy service and to Government and non-Government sta-
as provided by footnote US13. tions on a secondary basis for the tracking
US201 In the band 460–470 MHz, space sta- of, and telemetering of scientific data from,
tions in the earth exploration-satellite serv- ocean buoys and wildlife. Operation in these
ice may be authorized for space-to-earth bands is subject to the technical standards
transmissions on a secondary basis with re- specified in: (a) Section 8.2.42 of the NTIA
spect to the fixed and mobile services. When Manual for Government use, or (b) 47 CFR
operating in the meteorological-satellite 90.248 for non-Government use. After Janu-
service, such stations shall be protected from ary 1, 2002, no new assignments shall be au-
harmful interference from other applications thorized in the band 216–217 MHz.
of the earth exploration-satellite service. US211 In the bands 1670–1690, 5000–5250
The power flux produced at the earth’s sur- MHz and 10.7–11.7, 15.1365–15.35, 15.4–15.7, 22.5–
face by any space station in this band shall 22.55, 24–24.05, 31.0–31.3, 31.8–32.0, 40.5–42.5, 84–
not exceed ¥152 dBW/m2⁄4 kHz. 86, 102–105, 116–126, 151–164, 176.5–182, 185–190,
US203 Radio astronomy observations of 231–235, 252–265 GHz, applicants for airborne
the formaldehyde line frequencies 4825–4835 or space station assignments are urged to
MHz and 14.470–14.500 GHz may be made at take all practicable steps to protect radio as-
certain radio astronomy observatories as in- tronomy observations in the adjacent lands
dicated below: from harmful interference; however, US74
applies.
BANDS TO BE OBSERVED US212 In the State of Alaska, the carrier
frequency 5167.5 kHz (assigned frequency
4 GHz 14 Observatory
5168.9 kHz) is designated for emergency com-
GHz munications. This frequency may also be
used in the Alaska-Private Fixed Service for
X ......... ............ National Astronomy and Ionosphere Cen-
ter, Arecibo, Puerto Rico.
calling and listening, but only for estab-
X ......... X ........ National Radio Astronomy Observatory, lishing communications before switching to
Green Bank, W. Va. another frequency. The maximum power is
X ......... X ........ National Radio Astronomy Observatory, limited to 150 watts peak envelope power
Socorro, New Mexico. (PEP).
X ......... X ........ Hat Creek Observatory (U of Calif.), Hat US213 The frequency 122.925 MHz is for
Creek, Cal. use only for communications with or be-
X ......... X ........ Haystack Radio Observatory (MIT-Lincoln tween aircraft when coordinating natural re-
Lab), Tyngsboro, Mass.
X ......... X ........ Owens Vally Radio Observatory (Cal.
sources programs of Federal or State natural
Tech.), Big Pine, Cal. resources, agencies, including forestry man-
............ X ........ Five College Radio Astronomy Observ- agement and fire suppression, fish and game
atory Quabbin Reservoir (near Am- management and protection and environ-
herst), Massachusetts. mental monitoring and protection.
US214 The frequency 157.1 MHz is the pri-
Every practicable effort will be made to mary frequency for liaison communications
avoid the assignment of frequencies to sta- between ship stations and stations of the
tions in the fixed or mobile services in these United States Coast Guard.
bands. Should such assignments result in US215 Emissions from microwave ovens
harmful interference to these observations, manufactured on and after January 1, 1980,
the situation will be remedied to the extent for operation on the frequency 915 MHz must
practicable. be confined within the band 902–928 MHz.
530
Emissions from microwave ovens manufac- US223 Within 75 miles of the United
tured prior to January 1, 1980, for operation States/Canada border on the Great Lakes,
on the frequency 915 MHz must be confined the St. Lawrence Seaway, and the Puget
within the band 902–940 MHz. Sound and the Strait of Juan de Fuca and its
Radiocommunications services operating in approaches, use of coast transmit frequency
the band 928–940 MHz must accept any harm- 162.025 MHz and ship station transmit fre-
ful interference from the operation of micro- quency 157.425 MHz (VHF maritime mobile
wave ovens manufactured before January 1, service Channel 88) may be authorized for
1980. use by the maritime service for public cor-
US216 The frequencies 150.775 and 150,790, respondence.
and the bands 152–152.0150, 163.2375–163.2625, US224 Government systems utilizing
462.9375–463.1875 and 467.9375–468.1875 MHz are spread spectrum techniques for terrestrial
authorized for Governmelt/non-Governmelt communication, navigation and identifica-
operations in medical radio commulications tion may be authorized to operate in the
band 960–1215 MHz on the condition that
systems.
harmful interference will not be caused to
US217 Pulse-ranging radimlocation sys- the aeronautical radionavigation service.
tems may be authorized for Governmelt and These systems will be handled on a case-by-
non-Government use in the 420–450 MHz band case basis. Such systems shall be subject to
along the shorelines of Alaska and the con- a review at the national level for operational
tiguous 48 states. Spread spectrum radio- requirements and electromagnetic compat-
location systems may be authorized in the ibility prior to development, procurement or
420–435 MHz portion of the band for operation modification.
within the contiguous 48 States and Alaska. US225 In addition to its present Govern-
Authorizations will be eranted on a case-by- ment use, the frequency band 510–525 kHz is
case basis; howeter, operations proposed to available to Government and non-Govern-
be located within the zones set forth in ment aeronautical radionavigation stations
US228 should not expect tm be accommo- inland of the Territorial Base Line as coordi-
dated. All stations operating in accordance nated with the military services. In addition,
with this provision will be secondary to sta- the frequency 510 kHz is available for non-
tions operating in accordance with the Table Government ship-helicopter operations when
of Frequency Allocations. beyond 100 nautical miles from shore and re-
US218 The band 902–928 MHz is available quired for aeronautical radionavigation.
for Location and Monitoring Service (LMS) US226 In the State of Hawaii, stations in
systems subject to not causing harmful in- the aeronautical radionavigation service
terference to the operation of all Govern- shall not cause harmful interference to U.S.
ment stations authorized in these bands. Navy reception from its station at Honolulu
These systems must tolerate interference on 198 kHz.
from the operation of industrial, scientific, US228 Applicants for operation in the
and medical (ISM) devices and the operation band 420 to 450 MHz under the provisions of
of Government stations authorized in these US217 should not expect to be accommodated
bands. if their area of service is within the fol-
US220 The frequencies 36.25 and 41.71 MHz lowing geographic areas:
may be authorized to Government stations (a) Those portions of Texas and New Mex-
and non-Government stations in the petro- ico bounded on the south by latitude 31°45°
leum radio service, for oil spill containment North, on the east by longitude 104°00 West,
and cleanup operations. The use of these fre- on the north by latitude 34°30° North, and on
quencies for oil spill containment or cleanup the West by longitude 107°30 West.
operations is limited to the inland and coast- (b) In the State of Massachusetts within a
al waterway regions. 160 kilometers (100 miles) radius around the
US221 Use of the mobile service in the locations of Otis Air Force Base, Massachu-
bands 525–535 kHz and 1605–1615 kHz is lim- setts (latitude 41°45′ North, longitude 70°32′
ited to distribution of public service infor- West).
mation from Travelers Information stations (c) In the State of California within a 240
operating on 530 kHz and 1610 kHz. kilometer (150 mile) radius of Beale Air
US222 In the band 2025–2035 MHz geo- Force Base, California (latitude 39°08′ North,
stationary operational environmental sat- longitude 121°26′ West).
ellite Earth stations in the space research (d) In the State of Alaska, within a 160 kil-
and Earth exploration-satellite services may ometer (100 mile) radius of Clear, Alaska
be authorized on a coequal basis for Earth- (latitude 64°17′ North, longitude 149°10′ West).
to-space transmissions for tracking, telem- (e) In the State of North Dakota, within a
etry, and telecommand at the sites listed 160 kilometer (100 mile) radius of Concrete,
below: North Dakota (latitude 48°43′ North, lon-
gitude 97°54′ West).
Wallops Is., Va. 37°50′48″ N., 75°27′33″ W. (f) Those portions of Texas and New Mexico
Seattle, Wash. 47°34′15″ N., 122°33′10″ W. bounded on the south by latitude 31°45′
Honolulu, Hawaii 21°21′12″N., 157°52′36″W. North, on the east by longitude 104°100′ West,
531
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
on the north by latitude 34°30′ North, and on Force Base, Texas (latitude 31°25 North, lon-
the West by longitude 107°30′ West. gitude 100°24 West).
(g) In the state of Alaska within a 160 kilo- US229 In the band 216–220 MHz, the fixed,
meter (100 mile) radius of Clear, Alaska aeronautical mobile, land mobile, and radio-
(latitude 64 degrees 17 north, longitude 149 location services are allocated on a sec-
degrees 10 west). ondary basis for Government operations. The
(h) In the state of North Dakota within a
use of the fixed, aeronautical mobile, and
160 kilometer (100 mile) radius of Concrete,
land mobile services shall be limited to tele-
North Dakota (latitude 48 degrees 43 north,
longitude 97 degrees 54 west). metering and associated telecommand oper-
(i) In the States of Alabama, Florida, Geor- ations. After January 1, 2002, no new assign-
gia and South Carolina within a 200 kilo- ments shall be authorized in the band 216–217
meter (124 mile) radius of Warner Robins Air MHz. Further, Government and non-Govern-
Force Base, Georgia (latitude 32°38 North, ment assignments in the sub-band 216.88–
longitude 83°35 West). 217.08 MHz shall protect the Navy’s SPASUR
(j) In the State of Texas within a 200 kilo- system, which operates on a primary basis at
meter (124 mile) radius of Goodfellow Air the following sites:
Transmit frequency of 216.98 MHz Receive frequencies of 216.965–216.995 MHz
North latitude/west Protection North latitude/west Protection

Location Location
longitude radius longitude radius
Lake Kickapoo, TX ........ 33° 32′/098° 45′ 250 km San Diego, CA ............. 32° 34′/116° 58′ 50 km
Jordan Lake, AL ............ 32° 39′/086° 15′ 150 km Elephant Butte, NM ..... 33° 26′/106° 59′ 50 km
Gila River, AZ ................ 33° 06′/112° 01′ 150 km Red River, AR .............. 33° 19′/093° 33′ 50 km
Silver Lake, MO ........... 33° 08′/091° 01′ 50 km
Hawkinsville, GA .......... 32° 17′/083° 32′ 50 km
Fort Stewart, GA .......... 31° 58′/081° 30′ 50 km
US230 Non-government land mobile serv- until July 1, 1991, when these bands are to be
ice is allocated on a primary basis in the allocated exclusively to the maritime mobile
bands 422.1875–425.4875 and 427.1875–429.9875 service.
MHz within 50 statute miles of Detroit, MI, US236 Until implementation procedures
and Cleveland, OH, and in the bands 423.8125– and schedules are determined by future con-
425.4875 and 428.8125–429.9875 MHz within 50 ferences of the International Telecommuni-
statute miles of Buffalo, NY. cations Union (See Resolution 319), the bands
US231 When an assignment cannot be ob- 4000–4063 and 8100–8195 kHz are also allocated
tained in the bands between 200 and 525 kHz, on a primary basis to the fixed service.
which are allocated to aeronautical radio- US238 The 1605–1705 kHz band is allocated
navigation, assignments may be made to to the radiolocation service on a secondary
aeronautical radiobeacons in the maritime basis.
mobile band 435–490 kHz, on a secondary US239 Aeronautical radionavigation sta-
basis, subject to the coordination and agree- tions (radiobeacons) may be authorized, pri-
ment of those agencies having assignments marily for off-shore use, in the band 525–535
within the maritime mobile band which may kHz on a non-interference basis to travelers
be affected. Assignments to aeronautical information stations.
radionavigation radiobeacons in the band US240 The bands 1715–1725 and 1740–1750
435–490 kHz shall not be a bar to any required kHz are allocated on a primary basis and the
changes to the maritime mobile radio serv- bands 1705–1715 kHz and 1725–1740 kHz on a
ice and shall be limited to Government not secondary basis to the aeronautical radio-
employing voice emissions. navigation service, (radiobeacons).
US235 Until implementation procedures US244 The band 136.000–137.000 MHz is al-
and schedules are determined by future con- located to the non-Federal Government aero-
ferences of the International Telecommuni- nautical mobile (R) service on a primary
cations Union, the bands 9775–9900 kHz, 11650– basis, and is subject to pertinent inter-
11700 kHz, 11975–12050 kHz, 13600–13800 kHz, national treaties and agreements. The fre-
15450–15600 kHz, 17550–17700 kHz, and 21750– quencies 136.000, 136.025, 136.050, 136.075,
21850 kHz to be implemented by the broad- 136.100, 136.125, 136.150, 136.175, 136.200, 136.225,
casting service are allocated as an alter- 136.250, 136.275, 136.300, 136.325, 136.350, 136.375,
native allocation to the fixed service. The 136.400, 136.425, 136.450, and 136.475 MHz are
bands 12230–12330 kHz, 16360–16460 kHz, 17360– available on a shared basis to the Federal
17410 kHz, 18780–18900 kHz, 19680–19800 kHz, Aviation Administration for air traffic con-
22720–22855 kHz, 25110–25210 kHz, and 26100– trol purposes, such as automatic weather ob-
26175 kHz to be implemented by the mari- servation stations (AWOS), automatic ter-
time mobile service are also allocated as an minal information services (ATIS), flight in-
alternative allocation to the fixed service formation services-broadcast (FIS–B), and
532
airport control tower communications. Ex- mize potential interference to the observa-
isting operational meteorological satellites tions insofar as it is practicable.
in the band 136–137 MHz may continue to op-
erate on a not-to-interfere basis to aero-
nautical mobile (R) stations, until January
1, 2002. No new assignments will be made to
stations in the meteorological-satellite serv- Hat Creek Observ- Rectangle between latitudes 40° 00′ N
ice. atory, Hat Creek, and 42° 00′ N and between latitudes
US245 The fixed-satellite service is lim- California. 120° 15′ W and 122° 15′ W.
ited to international inter-continental sys- Owens Valley Radio Two contiguous rectangles, one be-
tems and subject to case-by-case electro- Observatory, Big tween 36° 00′ N and 37°00′ N and
magnetic compatibility analysis. Pine, California. between longitudes 117° 40′ W and
118° 30′ W and the second between
US246 No station shall be authorized to latitudes 37° 00′ N and 30° 00′ N
transmit in the following bands: and between longitudes 118° 00′ W
608–614 MHz, except for medical telemetry and 118° 50′ W.
equipment 1, 1400–1427 MHz, 1660.5–1668.4 MHz, Haystack Radio Ob- Rectangle between latitudes 41° 00′ N
2690–2700 MHz, 4990–5000 MHz, 10.68–10.7 GHz, servatory, and 43° 00′ N and between lon-
15.35–15.4 GHz, 23.6–24 GHz, 31.3–31.8 GHz, 50.2– Tyngsboro, Mas- gitudes 71° 00′ W and 73° 00′ W.
50.4 GHz, 52.6–54.25 GHz, 86–92 GHz, 100–102 sachusetts.
National Astronomy Rectangle between latitudes 17° 30′ N
GHz, 105–116 GHz, 164–168 GHz, 182–185 GHz, and Ionosphere and 19° 00′ N and between lon-
217–231 GHz. Center, Arecibo, gitudes 65° 10′ W and 68° 00′ W.
US247 The band 10100–10150 kHz is allo- Puerto Rico.
cated to the fixed service on a primary basis National Radio As- Rectangle between latitudes 37° 30′ N
outside the United States and possessions. tronomy Observ- and 39° 15′ N and between lon-
Transmissions of stations in the amateur atory, Green gitudes 78° 30′ W and 80° 30′ W.
Bank, West Vir-
service shall not cause harmful interference
ginia.
to this fixed service use and stations in the
amateur service shall make all necessary ad-
US258 In the band 8025–8400 MHz, the non-
justments (including termination of trans-
Government earth exploration-satellite serv-
mission) if harmful interference is caused.
ice (space-to-earth) is allocated on a primary
US251 The band 12.75–13.25 GHz is also al-
basis. Authorizations are subject to a case-
located to the space research, (deep space)
by-case electromagnetic compatibility anal-
(space-to-earth) service for reception only at
ysis.
Goldstone, California. 35°18 N. 116°54¥W. US259 Stations in the radiolocation serv-
US252 The bands 2110–2120 MHz, 7145–7190 ice in the band 17.3–17.7 GHz, shall be re-
MHz, and 34.2–34.7 GHz are also allocated for stricted to operating powers of less than 51
Earth-to-space transmissions in the space re- dBW eirp after feeder link stations for the
search service, limited to deep space commu- broadcasting-satellite service are authorized
nications at Goldstone, California. and brought into use.
US254 In the band 18.6–18.8 GHz the fixed US260 Aeronautical mobile communica-
and mobile services shall be limited to a tions which are an integral part of aero-
maximum equivalent isotropically radiated nautical radionavigation systems may be
power of +35 dBW and the power delivered to satisfied in the bands 1559–1626.5 MHz, 5000–
the antenna shall not exceed ¥3 dBW. 5250 MHz and 15.4–15.7 GHz.
US255 In addition to any other applicable US261 The use of the band 4200–4400 MHz
limits, the power flux-density across the 200 by the aeronautical radionavigation service
MHz band 18.6–18.8 GHz produced at the sur- is reserved exclusively for airborne radio al-
face of the Earth by emissions from a space timeters. Experimental stations will not be
station under assumed free-space propaga- authorized to develop equipment for oper-
tion conditions shall not exceed ¥95 dB(W/ ational use in this band other than equip-
m 2) for all angles of arrival. This limit may ment related to altimeter stations. However,
be exceeded by up to 3 dB for no more than passive sensing in the earth-exploration sat-
5% of the time. ellite and space research services may be au-
US256 Radio astronomy observations may thorized in this band on a secondary basis
be made in the band 1718.8–1722.2 MHz on an (no protection is provided from the radio al-
unprotected basis. Agencies providing other timeters).
services in this band in the geographic areas US262 The use of the band 31.8–32.3 GHz by
listed below should bear in mind that their the space research service (deep space)
operations may affect those observations, (space-to-Earth) is limited to Goldstone,
and those agencies are encouraged to mini- California.
US263 In the bands 21.2–21.4 GHz, 22.21–22.5
1 Medical telemetry equipment shall not GHz, 36–37 GHz, 56.26–58.2 GHz, 116–126 GHz,
cause harmful interference to radio astron- 150–151 GHz, 174.5–176.5 GHz, 200–202 GHz, and
omy operations in the band 608–614 MHz and 235–238 GHz, the space research and the
shall be coordinated under the requirements Earth exploration-satellite services shall not
found in 47 CFR 95.1119. receive protection from the fixed and mobile
533
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
services operating in accordance with the stations authorized in this band. Further,
Table of Frequency Allocations. the Amateur Service is prohibited in those
US264 In the band 48.94–49.04 GHz, air- portions of Texas and New Mexico bounded
borne stations shall not be authorized. on the south by latitude 31°41′ North, on the
US265 In the band 10.6–10.68 GHz, the fixed east by longitude 104°11′ West, and on the
service shall be limited to a maximum equiv- north by latitude 34°30′ North, and on the
alent isotropically radiated power of 40 dBW west by longitude 107°30′ West; in addition,
and the power delivered to the antenna shall outside this area but within 150 miles of
not exceed ¥3dBW per 250 kHz. these boundaries of White Sands Missile
US266 Licensees in the public safety radio
Range the service is restricted to a max-
services holding a valid authorization on
imum transmitter peak envelope power out-
June 30, 1958, to operate in the frequency
band 156.27–157.47 MHz or on the frequencies put of 50 watts.
161.85, 161.91 or 161.97 MHz may, upon proper US276 Except as otherwise provided for in
application, continue to be authorized for this note, use of the bands 2320–2345 MHz and
such operation, including expansion of exist- 2360–2385 MHz by the mobile service is lim-
ing systems, until such time as harmful in- ited to aeronautical telemetering and associ-
terference is caused to the operation of any ated telecommand operations for flight test-
authorized station other than those licensed ing of manned or unmanned aircraft, mis-
in the public safety radio service. siles or major components thereof. The fol-
US267 In the band 902–928 MHz, amateur lowing four frequencies are shared on a co-
radio stations shall not operate within the equal basis by Government and non-Govern-
States of Colorado and Wyoming, bounded by ment stations for telemetering and associ-
the area of: latitude 39°N. to 42°N. and lon- ated telecommand operations of expendable
gitude 103°W. to 108°W. and reusable launch vehicles whether or not
US268 The bands 890–902 MHz and 928–942 such operations involve flight testing: 2332.5
MHz are also allocated to the radiolocation MHz, 2364.5 MHz, 2370.5 MHz, and 2382.5 MHz.
service for Government ship stations (off-
All other mobile telemetering uses shall be
shore ocean areas) on the condition that
secondary to the uses listed elsewhere in this
harmful interference is not caused to non-
note.
Government land mobile stations. The provi-
sions of footnote US116 apply. US277 The band 10.6–10.68 GHz is also allo-
US269 In the band 2500–2690 MHz, appli- cated on a primary basis to the radio astron-
cants for space station assignments are omy service. However, the radio astronomy
urged to take all practicable steps to protect service shall not receive protection from sta-
radio astronomy observations in the adja- tions in the fixed service which are licensed
cent band, 2690–2700 MHz, from harmful in- to operate in the one hundred most populous
terference. Further, all applicants are urged urbanized areas as defined by the U.S. Cen-
to coordinate their proposed system through sus Bureau. The following radio astronomy
the Electromagnetic Management Unit, Na- sites have been coordinated for observations
tional Science Foundation, Washington, D.C. in this band: National Radio Astronomy Ob-
20550, prior to system development. servatory, Green Bank, West Virginia;
US270 The band 72.77–72.91 GHz is also al- (38°26′08″N.; 79°49′42″W.) National Radio As-
located to the radio astronomy service. Ap- tronomy Observatory, Socorro, New Mexico;
plicants for frequency assignments in this (34°04′43″N.; 107°37′04″W.), Harvard Radio As-
band are urged to take all practicable steps tronomy Station, Fort Davis, Texas;
to protect radio astronomy observations (30°38′08″N.; 103°56′42″W.), Hat Creek Observ-
from harmful interference. atory, Hat Creek, California; (40°49′03″N.;
US271 The use of the band 17.3–17.8 GHz by 121°28′24″W.), Owens Valley Radio Observ-
the fixed-satellite service (earth-to-space) is atory, Big Pine, California; (37°13′54″N.;
limited to feeder links for broadcasting-sat- 118°17′36″W.), Naval Research Laboratory,
ellite service. Maryland Point, Maryland (38°22′26″N.;
US273 In the 74.6–74.8 MHz and 75.2–75.4 77°14′00″W.).
MHz bands stations in the fixed and mobile
US278 In the 22.55–23.55 and 32–33 GHz
services are limited to a maximum power of
bands non-geostationary intersatellite links
1 watt from the transmitter into the antenna
transmission line. may operate on a secondary basis to geo-
US275 The band 902–928 MHz is allocated stationary intersatellite links.
on a secondary basis to the amateur service US279 The frequency 2182 kHz may be au-
subject to not causing harmful interference thorized to fixed stations associated with the
to the operations of Government stations au- maritime mobile service for the sole purpose
thorized in this band or to Location and of transmitting distress calls and distress
Monitoring Service (LMS) systems. Stations traffic, and urgency and safety signals and
in the Amateur service must tolerate any in- messages.
terference from the operations of industrial, US281 In the band 25.07–25.11 MHz non-
scientific, and medical (ISM) devices, LMS Government stations in the industrial radio
systems, and the operations of Government services shall not cause harmful interference
534
to, and must accept interference from, sta- transmission systems, the following assign-
tions in the maritime mobile service operable frequencies are available to non-Federal
ating in accordance with the International government stations on a shared basis with
Table of Frequency Allocations. Federal government stations: 2070.5, 2072.5,
US282 In the band 4650–4700 kHz fre- 2074.5, 2076.5, 4154.5, 4169.5, 6235.5, 6259.5,
quencies may be authorized for non-Govern- 8302.5, 8338.5, 12370.5, 12418.5, 16551.5, 16614.5,
ment communication with helicopters in 18847.5, 18868.5, 22181.5, 22238.5, 25123.5, and
support of off-shore drilling operations on 25159.5 kHz.
the condition that harmful interference will US297 The bands 47.2–49.2 GHz and 74.0–
not be caused to services operating in ac- 75.5 GHz are also available for feeder links
cordance with the Table of Frequency Allo- for the broadcasting-satellite service.
cations. US298 Channels 27555, 27615, 27635, 27655,
US283 In the bands 2850–3025 kHz, 3400–3500 27765, and 27860 kHz are available to eligibles
kHz, 4650–4700 kHz, 5450–5680 kHz, 6525–6685 in the Forest Products Radio Service on a
kHz, 10005–10100 kHz, 11275–11400 kHz, 13260– secondary basis to Government operations
13360 kHz and 17900–17970 kHz frequencies in including experimental stations. Operations
these bands may be authorized for non-Gov- in the Forest Products Radio Service on
ernment flight test purposes on the condi- these channels will not exceed 150 watts and
tion that harmful interference will not be are limited to the states of Washington, Or-
caused to services operating in accordance egon, Maine, North Carolina, South Caro-
with the Table of Frequency Allocations. lina, Tennessee, Georgia, Florida, Alabama,
US285 Under exceptional circumstances, Mississippi, Louisiana, and Texas (eastern
the carrier frequency 2635, 2638, and 2738 kHz portion).
may be authorized to coast stations. US299 The 1615–1705 kHz band in Alaska is
US290 In the band 1900–2000 kHz amateur also allocated to the maritime mobile serv-
stations may continue to operate on a sec- ices and the Alaska fixed service on a sec-
ondary basis to the radiolocation service, ondary basis to Region 2 broadcast oper-
pending a decision as to their disposition ations.
through a future rule making proceeding in US300 The frequencies 169.445, 169.505,
conjunction with the implementation of the 170.245, 170.305, 171.045, 171.105, 171.845 and
standard broadcasting service in the 1625– 171.905 MHz are available for wireless micro-
1705 kHz band. phone operations on a secondary basis to
US291 Television pickup stations in the Government and non-Government oper-
mobile service may be authorized to use fre- ations.
quencies in the band 38.6–40 GHz on a sec- US301 Except as provided in US302, broad-
ondary basis to stations operating in accord- cast auxiliary stations licensed as of Novem-
ance with the Table of Frequency Alloca- ber 21, 1984, to operate in the band 942–944
tions. MHz may continue to operate on a co-equal
US292 In the band 14.0–14.2 GHz stations primary basis to other stations and services
in the radionavigation service shall operate operating in the band in accordance with the
on a secondary basis to the fixed-satellite Table of Frequency Allocations.
service. US302 The band 942–944 MHz in Puerto Rico
US294 In the spectrum below 490 kHz elec- is allocated as an alternative allocation to
tric utilities operate Power Line Carrier the fixed service for broadcast auxiliary sta-
(PLC) systems on power transmission lines tions only.
for communications important to the reli- US303 In the band 2285–2290 MHz, non-Fed-
ability and security of electric service to the eral government space stations in the space
public. These PLC systems operate under the research, space operations and earth explo-
provisions of Part 15 of the Federal Commu- ration-satellite services may be authorized
nications Commission’s Rules and Regula- to transmit to the Tracking and Data Relay
tions or Chapter 7 of the National Tele- Satellite System subject to such conditions
communications and Information Adminis- as may be applied on a case-by-case basis.
tration’s Manual of Regulations and Proce- Such transmissions shall not cause harmful
dures for Federal Radio Frequency Manage- interference to authorized Federal govern-
ment, on an unprotected and noninterference ment stations. The power flux density at the
basis with respect to authorized radio users. Earth’s surface from such non-Federal gov-
Notification of intent to place new or revised ernment stations shall not exceed ¥144 to
radio frequency assignments or PLC fre- ¥154 dBW/m2/4 kHz, depending on angle of
quency uses in the bands below 490 kHz is to arrival, in accordance with ITU Radio Regu-
be made in accordance with the Rules and lation S21.16.
Regulations of the FCC and NTIA, and users US307 The sub-band 5150–5216 MHz is also
are urged to minimize potential interference allocated for space-to-Earth transmissions in
to the degree practicable. This footnote does the fixed satellite service for feeder links in
not provide any allocation status to PLC conjunction with the radiodetermination
radio frequency uses. satellite service operating in the bands 1610–
US296 In the bands designated for ship 1626.5 MHz and 2483.5–2500 MHz. The total
wide-band telegraphy, facsimile and special power flux density at the earth’s surface
535
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
shall in no case exceed ¥159 dBW/m per 4 mobile (R) service directly to terrestrial
kHz for all angles of arrival. aeronautical stations, or between aircraft
US308 In the frequency bands 1549.5–1558.5 stations, are also authorized when such
MHz and 1651–1660 MHz, the Aeronautical- transmissions are used to extend or supple-
Mobile-Satellite (R) requirements that can- ment the aircraft-to-satellite links.
not be accommodated in the 1545–1549.5 MHz, US310 In the band 14.896–15.121 GHz, non-
1558.5–1559 MHz, 1646.5–1651 MHz and 1660– Government space stations in the space re-
1660.5 MHz bands shall have priority access search service may be authorized on a sec-
with real-time preemptive capability for ondary basis to transmit to Tracking and
communications in the mobile satelite serv- Data Relay Satellites subject to such condi-
ice. Systems not interoperable with the aero-
tions as may be applied on a case-by-case
nautical mobile-satellite (R) service shall op-
basis. Such transmissions shall not cause
erate on a secondary basis. Account shall be
harmful interference to authorized Govern-
taken of the priority of safety-related com-
munications in the mobile-satellite service. ment stations. The power flux density at the
US309 Transmissions in the bands 1545– earth’s surface from such non-Government
1559 MHz from terrestrial aeronautical sta- stations shall not exceed ¥138 to ¥148 dBW/
tions directly to aircraft stations, or be- m2/kHz, depending on the angle of arrival, in
tween aircraft stations, in the aeronautical accordance with CCIR Recommendation 510–
mobile (R) service are also authorized when 1.
such transmissions are used to extend or US311 Radio astronomy observations may
supplement the satellite-to-aircraft links. be made in the bands 1350–1400 MHz and 4950–
Transmissions in the band 1646.5–1660.5 MHz 4990 MHz on an unprotected basis at the fol-
from aircraft stations in the aeronautical lowing radio astronomy observatories:
Allen Telescope Array, Hat Creek, California .. Rectangle between latitudes 40° 00′ N and 42°
00′ N and between longitudes 120° 15′ W and
122° 15′ W.
NASA Goldstone Deep Space Communica- 80 kilometers (50 mile) radius
tions Complex, Goldstone, California. centered on latitude 35° 18′ N, longitude 116°
54′ W.
National Astronomy and Ionosphere Center, Rectangle between latitudes 17° 30′ N and 19°
Arecibo, Puerto Rico. 00′ N and between longitudes 65° 10′ W and
68° 00′ W.
National Radio Astronomy Observatory, Rectangle between latitudes 32° 30′ N and 35°
Socorro, New Mexico. 30′ N and between longitudes 106° 00′ W and
109° 00′ W.
National Radio Astronomy Observatory, Rectangle between latitudes 37° 30′ N and 39°
Green Bank, West Virginia. 15′ N and between longitudes 78° 30′ W and
80° 30′ W.
National Radio Astronomy Observatory, Very 80 kilometers (50 mile) radius

centered on:
Long Baseline Array Stations Latitude (North) Longitude (West)
Brewster, WA ................................................... 48° 08′ 119° 41′

Fort Davis, TX .................................................. 30° 38′ 103° 57′
Hancock, NH .................................................... 42° 56′ 71° 59′
Kitt Peak, AZ .................................................... 31° 57′ 111° 37′
Los Alamos, NM .............................................. 35° 47′ 106° 15′
Mauna Kea, HI ................................................. 19° 48′ 155° 27′
North Liberty, IA ............................................... 41° 46′ 91° 34′
Owens Valley, CA ............................................ 37° 14′ 118° 17′
Pie Town, NM .................................................. 34° 18′ 108° 07′
536
Saint Croix, VI .................................................. 17° 46′ 64° 35′
Owens Valley Radio Observatory, Big Pine, Two contiguous rectangles, one between lati-
California tudes 36° 00′ N and 37° 00′ N and between
longitudes 117° 40′ W and 118° 30′ W and
the second between latitudes 37° 00′ N and
38° 00′ N and between longitudes 118° 00′
W and 118° 50′ W.
Every practicable effort will be made to to earth stations operating with non-Federal
avoid the assignment of frequencies in the government space stations.
bands 1350–1400 MHz and 4950–4990 MHz to US320 Use of the 137–138, 148–149.9, and
stations in the fixed and mobile services that 400.15–401 MHz bands by the mobile-satellite
could interfere with radio astronomy obser- service is limited to non-voice, non-geo-
vations within the geographic areas given stationary satellite systems and may include
above. In addition, every practicable effort satellite links between land earth stations at
will be made to avoid assignment of fre- fixed locations.
quencies in these bands to stations in the US321 The 535–1705 kHz band is also allo-
aeronautical mobile service which operate cated to the mobile service on a secondary
outside of those geographic areas, but which basis for the distribution of public service in-
may cause harmful interference to the listed formation from non-government Travelers
observatories. Should such assignments re- Information Stations operating in the Local
sult in harmful interference to these observ- Government Radio Service on 10 kHz spaced
atories, the situation will be remedied to the channels from 540 to 1700 kHz.
extent practicable. US322 Use of the bands 149.9–150.5 MHz
US312 The frequency 173.075 MHz may and 399.9–400.05 MHz by the mobile-satellite
also be authorized on a primary basis to non- service (Earth-to-space) is limited to non-
Government stations in the Police Radio voice, non-geostationary satellite systems,
Service (with a maximum authorized band- including satellite links between land earth
width of 20 kHz) for stolen vehicle recovery stations.
systems. US323 In the 148–149.9 MHz band, no indi-
US315 In the frequency bands 1530–1544 vidual mobile earth station shall transmit,
MHz and 1626.5–1645.5 MHz maritime mobile- on the same frequency being actively used by
satellite distress and safety communica- fixed and mobile stations and shall transmit
tions, e.g., GMDSS, shall have priority ac- no more than 1% of the time during any 15
cess with real-time preemptive capability in minute period; except, individual mobile
the mobile-satellite service. Communica- earth stations in this band that do not avoid
tions of mobile-satellite system stations not frequencies actively being used by the fixed
participating in the GMDSS shall operate on and mobile services shall not exceed a power
a secondary basis to distress and safety com- density of ¥16 dBW/4kHz and shall transmit
munications of stations operating in the no more than 0.25% of the time during any 15
GMDSS. Account shall be taken of the pri- minute period. Any single transmission from
ority of safety-related communications in any individual mobile earth station oper-
the mobile-satellite service. ating in this band shall not exceed 450 ms in
US316 The band 2900–3100 MHz is also allo- duration and consecutive transmissions from
cated on a primary basis to the Meteorolog- a single mobile earth station on the same
ical Aids Service. Operations in this service frequency shall be separated by at least 15
are limited to Government Next Generation seconds. Land earth stations in this band
Weather Radar (NEXRAD) systems where ac- shall be subject to electromagnetic compat-
commodation in the 2700–2900 MHz band is ibility analysis and coordination with terres-
not technically practical and are subject to trial fixed and mobile stations.
coordination with existing authorized sta- US324 Government and non-Government
tions.’’ satellite systems in the 400.15–401 MHz band
US318 Until January 1, 2000, the use of the shall be subject to electromagnetic compat-
137–138 MHz band by the mobile-satellite ibility analysis and coordination.
service will be secondary to Government sat- US325 In the band 148–149.9 MHz fixed and
ellite operations in the subbands: 137.333– mobile stations shall not claim protection
137.367, 137.485–137.515, 137.605–137.635 and from land earth stations in the mobile-sat-
137.753–137.787 MHz. ellite service that have been previously co-
US319 In the bands 137–138 MHz, 148–149.9 ordinated; Government fixed and mobile sta-
MHz, 149.9–150.05 MHz, 399.9–400.05 MHz, tions exceeding 27 dBW EIRP, or an emission
400.15–401 MHz, 1610–1626.5 MHz, and 2483.5– bandwidth greater than 38 kHz, will be co-
2500 MHz, Federal government stations in ordinated with existing mobile-satellite
the mobile-satellite service shall be limited service space stations.
537
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
US327 The band 2310–2360 MHz is allocated US335 The primary Government and non-
to the broadcasting-satellite service (sound) Government allocations for the various seg-
and complementary terrestrial broadcasting ments of the 220–222 MHz band are divided as
service on a primary basis. Such use is lim- follows: (1) the 220.0–220.55/221.0–221.55, 220.6–
ited to digital audio broadcasting and is sub- 220.8/221.6–221.8, 220.85–220.90/221.85–221.90 and
ject to the provisions of Resolution 528. 220.925–221.0/221.925–222.0 MHz bands
US328 In the band 2320–2345 MHz, the mo- (Channels 1–110, 121–160, 171–180 and 186–200,
bile and radiolocation services are allocated respectively) are available for exclusive non-
on a primary basis until a broadcasting-sat- Government use; (2) the 220.55–220.60/221.55–
ellite (sound) service has been brought into 221.60 MHz bands (Channels 111–120) are avail-
use in such a manner as to affect or be af- able for exclusive Government use; and (3)
fected by the mobile and radiolocation serv- the 220.80–220.85/221.80–221.85 and 220.900–
ices in those service areas. The broadcasting- 220.925/221.900–221.925 MHz bands (Channels
satellite (sound) service during implementa- 161–170 and 181–185, respectively) are avail-
tion should also take cognizance of the ex- able for shared Government and non-Govern-
pendable and reusable launch vehicle fre- ment use. The exclusive non-Government
quency 2332.5 MHz, to minimize the impact band segments are also available for tem-
on this mobile service use to the extent pos- porary fixed geophysical telemetry oper-
sible. ations on a secondary basis to the fixed and
US334 In the band 17.8–20.2 GHz, Govern- mobile services.
ment space stations in both geostationary US337 In the band 13.75–13.80 GHz, earth
(GSO) and non-geostationary satellite orbits stations in the fixed-satellite service shall be
(NGSO) and associated earth stations in the coordinated on a case-by-case basis through
fixed-satellite service (space-to-Earth) may the frequency assignment subcommittee in
be authorized on a primary basis. For a Gov- order to minimize harmful interference to
ernment geostationary satellite network to the Tracking and Data Relay Satellite Sys-
operate on a primary basis, the space station tem’s forward space-to-space link (TDRSS
shall be located outside the arc, measured forward link-to-LEO).
US338 In the 2305–2310 MHz band, space-to-
from east to west, 70 West Longitude to 120
Earth operations are prohibited. Addition-
West Longitude. Coordination between Gov-
ally, in the 2305–2320 MHz band, all Wireless
ernment fixed-satellite systems and non-
Communications Service (WCS) operations
Government space and terrestrial systems
within 50 kilometers of 35° 20″ North Lati-
operating in accordance with the United
tude and 116° 53″ West Longitude shall be co-
States Table of Frequency Allocations is re-
ordinated through the Frequency Assign-
quired.
ment Subcommittee of the Interdepartment
(a) In the sub-band 17.8–19.7 GHz, the power Radio Advisory Committee in order to mini-
flux-density at the surface of the Earth pro- mize harmful interference to NASA’s
duced by emissions from a Government GSO Goldstone Deep Space facility.
space station or from a Government space US339 The bands 2310–2320 and 2345–2360
station in a NGSO constellation of 50 or MHz are also available for aeronautical tele-
fewer satellites, for all conditions and for all metering and associated telecommand oper-
methods of modulation, shall not exceed the ations for flight testing of manned or un-
following values in any 1 MHz band: manned aircraft, missiles or major compo-
(1) ¥115 dB(W/m 2) for angles of arrival nents thereof on a secondary basis to the
above the horizontal plane (d) between 0° and Wireless Communications Service. The fol-
5°, lowing two frequencies are shared on a co-
(2) ¥115 + 0.5 (d¥5) dB(W/m 2) for d between equal basis by Government and non-Govern-
5° and 25°, and ment stations for telemetering and associ-
(3) ¥105 dB(W/m 2) for d between 25° and 90°. ated telecommand operations of expendable
(b) In the sub-band 17.8–19.3 GHz, the power and re-usable launch vehicles whether or not
flux-density at the surface of the Earth pro- such operations involve flight testing: 2312.5
duced by emissions from a Government space and 2352.5 MHz. Other mobile telemetering
station in an NGSO constellation of 51 or uses may be provided on a non-interference
more satellites, for all conditions and for all basis to the above uses. The broadcasting-
methods of modulation, shall not exceed the satellite (sound) service during implementa-
following values in any 1 MHz band: tion should also take cognizance of the ex-
(1) ¥115 ¥X dB(W/m 2) for d between 0° and pendable and reusable launch vehicle fre-
5°, quencies 2312.5 and 2352.5 MHz, to minimize
(2) ¥115 ¥X + ((10 + X)/20) (d¥5) dB(W/m 2) the impact on this mobile service use to the
for d between 5° and 25°, and extent possible.
(3) ¥105 dB(W/m 2) for d between 25° and 90°; US340 The 2–30 MHz band is available on a
where X is defined as a function of the num- secondary noninterference basis to Govern-
ber of satellites, n, in an NGSO constellation ment and non-Government maritime and
as follows: aeronautical stations for the purposes of
For n ≤ 288, X = (5/119) (n¥50) dB; and measuring the quality of reception on radio
For n > 288, X = (1/69) (n+ 402) dB. channels. See 47 C.F.R. § 87.149 for the list of
538
protected frequencies and bands within this US342 In making assignments to stations
frequency range. Actual communications of other services to which the following
shall be limited to those frequencies specifi- bands:
cally allocated to the maritime mobile and
aeronautical mobile services.
13360–13410 kHz, 22.81–22.86 GHz*, 174.42–175.02 GHz*,

37.5–38.25 MHz, 23.07–23.12 GHz*, 177–177.4 GHz*,
322–328.6 MHz*, 31.2–31.3 GHz, 178.2–178.6 GHz*,
1330–1400 MHz*, 36.43–36.5 GHz*, 181–181.46 GHz*,
1610.6–1613.8 MHz*, 42.5–43.5 GHz, 186.2–186.6 GHz*,
1660–1670 MHz, 48.94–49.04 GHz*, 250–251 GHz*,
3260–3267 MHz*, 93.07–93.27 GHz*, 257.5–258 GHz*,
3332–3339 MHz*, 97.88–98.08 GHz*, 261–265 GHz,
3345.8–3352.5 MHz*, 140.69–140.98 GHz*, 262.24–262.76 GHz*,
4825–4835 MHz*, 144.68–144.98 GHz*, 265–275 GHz,
14.47–14.5 GHz*, 145.45–145.75 GHz*, 265.64–266.16 GHz*,
22.01–22.21 GHz*, 146.82–147.12 GHz*, 267.34–267.86 GHz*,
22.21–22.5 GHz, 150–151 GHz*, 271.74–272.26 GHz*
are allocated (* indicates radio astronomy Relay Service, or the Local Television
use for spectral line observations), all prac- Transmission Service. To facilitate compat-
ticable steps shall be taken to protect the ible operations between non-Government
radio astronomy service from harmful inter- terrestrial receiving stations at fixed sites
ference. Emissions from spaceborne or air- and Government earth station transmitters,
borne stations can be particularly serious coordination is required. To facilitate com-
sources of interference to the radio astron- patible operations between non-government
omy service (see Nos. 4.5 and 4.6 and Article terrestrial transmitting stations and Gov-
29 of the ITU Radio Regulations). ernment spacecraft receivers, the terrestrial
US344 In the band 5091–5250 MHz, non-Gov- transmitters shall not be high-density sys-
ernment earth stations in the fixed-satellite tems (see Recommendations ITU–R SA.1154
service (Earth-to-space) shall be coordinated and ITU–R F.1247).
through the Frequency Assignment Sub- US347 In the band 2025–2110 MHz, non-
committee (see Recommendation ITU–R Government Earth-to-space and space-to-
S.1342). In order to better protect the oper- space transmissions may be authorized in
ation of the international standard system the space research and Earth exploration-
(microwave landing system) in the band 5000–
satellite services subject to such conditions
5091 MHz, non-Government tracking and
as may be applied on a case-by-case basis.
telecommand operations should be con-
Such transmissions shall not cause harmful
ducted in the band 5150–5250 MHz.
interference to Government and non-Govern-
US345 In the band 402–405 MHz, the mo-
ment stations operating in accordance with
bile, except mobile aeronautical, service is
the Table of Frequency Allocations.
allocated on a secondary basis and is limited
to, with the exception of military tactical US348 The band 3650–3700 MHz is also allo-
mobile stations, Medical Implant Commu- cated to the Government radiolocation serv-
nications Service (MICS) operations. MICS ice on a primary basis at the following sites:
stations are authorized by rule on the condi- St. Inigoes, MD (38° 10′ N., 76° 23′ W.);
tion that harmful interference is not caused Pascagoula, MS (30° 22′ N., 88° 29′ W.); and
to stations in the meteorological aids, mete- Pensacola, FL (30° 21′ 28′ N., 87° 16′ 26′ W.). All
orological-satellite, and earth exploration- fixed and fixed satellite operations within 80
satellite services, and that MICS stations ac- kilometers of these sites shall be coordi-
cept interference from stations in the mete- nated through the Frequency Assignment
orological aids, meteorological-satellite, and Subcommittee of the Interdepartmental
earth exploration-satellite services. Radio Advisory Committee on a case-by-case
US346 Except as provided by footnote basis.
US222, the use of the band 2025–2110 MHz by US349 The band 3650–3700 MHz is also allo-
the Government space operation service cated to the Government radiolocation serv-
(Earth-to-space), Earth exploration-satellite ice on a non-interference basis for use by
service (Earth-to-space), and space research ship stations located at least 44 nautical
service (Earth-to-space) shall not constrain miles in off-shore ocean areas on the condi-
the deployment of the Television Broadcast tion that harmful interference is not caused
Auxiliary Service, the Cable Television to non-Government operations.
539
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
US350 In the bands 608–614 MHz and 1395– erations. Availability and use of medical te-
1400 MHz the Government and non-Govern- lemetry and telecommand and non-medical
ment land mobile service is limited to med- telemetry and telecommand in the band
ical telemetry and medical telecommand op- 1427–1432 MHz are described further:
Location 1427–1429 MHz

(see §§ 90.259(b)(4) and 95.630(b) of this 1429–1431.5 MHz
1431.5–1432 MHz
chapter for a detailed description)
Austin/Georgetown, Texas ....................... Non-Government land mobile service is Government and non-Government land
Battle Creek, Michigan ............................. limited to telemetry and telecommand mobile service is limited to medical te-
Detroit, Michigan ...................................... operations. lemetry and telecommand operations.
Pittsburgh, Pennsylvania ..........................
Richmond/Norfolk, Virginia .......................
Spokane, Washington ..............................
Washington, DC metropolitan area .......... .................................................................. Non-Government telemetry and tele-
command use is permitted on a sec-
ondary basis.
Rest of U.S ............................................... Government and non-Government land Non-Government land mobile service is
mobile service is limited to medical te- limited to telemetry and telecommand
lemetry and telecommand operations. operations.
Non-Government telemetry and tele-
command use is permitted on a sec-
ondary basis.
US351 In the band 1390–1400 MHz, Govern- Government operations. However, Govern-
ment operations, except for medical telem- ment operations authorized as of March 22,
etry operations in the sub-band 1395–1400 1995 at 17 sites identified below will be con-
MHz, are on a non-interference basis to au- tinued on a fully protected basis until Janu-
thorized non-Government operations and ary 1, 2009.
shall not hinder implementation of any non-
Radius Radius
Sites Lat/Long Sites Lat/Long
(km) (km)
Eglin AFB, FL ........................... 30°28′N/086°31′W 80 Ft. Greely, AK .......................... 63°47′N/145°52′W 80

Dugway PG, UT ....................... 40°11′N/112°53′W 80 Ft. Rucker, AL .......................... 31°13′N/085°49′W 80
China Lake, CA ........................ 35°41′N/117°41′W 80 Redstone, AL ........................... 34°35′N/086°35′W 80
Ft. Huachuca, AZ ..................... 31°33′N/110°18′W 80 Utah Test Range, UT .............. 40°57′N/113°05′W 80
Cherry Point, NC ...................... 34°57′N/076°56′W 80 WSM Range, NM ..................... 32°10′N/106°21′W 80
Patuxent River, MD .................. 38°17′N/076°25′W 80 Holloman AFB, NM .................. 33°29′N/106°50′W 80
Aberdeen PG, MD .................... 39°29′N/076°08′W 80 Yuma, AZ ................................. 32°29′N/114°20′W 80
Wright-Patterson AFB, OH ....... 39°50′N/084°03′W 80 Pacific Missile Range, CA ....... 34°07′N/119°30′W 80
Edwards AFB, CA .................... 34°54′N/117°53′W 80
US352 In the band 1427–1432 MHz, Govern- ernment operations. However, Government
ment operations, except for medical telem- operations authorized as of March 22, 1995 at
etry and medical telecommand operations, the 14 sites identified in the following table
are on a non-interference basis to authorized may continue on a fully protected basis until
non-Government operations and shall not January 1, 2004:
hinder the implementation of any non-Gov-
North latitude/west Operating North latitude/west Operating

Location Location
longitude radius longitude radius
Patuxent River, MD ........... 38° 17′ / 076° 25′ 70 km Mountain Home AFB, ID .. 43° 01′ / 115° 50′ 160 km
NAS Oceana, VA ............... 36° 49′ / 076° 02′ 100 km NAS Fallon, NV ................ 39° 24’ / 118° 43′ 100 km
MCAS Cherry Point, NC .... 34° 54′ / 076° 52′ 100 km Nellis AFB, NV .................. 36° 14′ / 115° 02′ 100 km
Beaufort MCAS, SC .......... 32° 26′ / 080° 40′ 160 km NAS Lemore, CA .............. 36° 18′ / 119° 47′ 120 km
NAS Cecil Field, FL ........... 30° 13′ / 081° 52′ 160 km Yuma MCAS, AZ .............. 32° 39′ / 114° 35′ 160 km
NAS Whidbey IS., WA ....... 48° 19′ / 122° 24′ 70 km China Lake, CA ................ 35° 29′ / 117° 16′ 80 km
Yakima Firing Ctr AAF, WA 46° 40′ / 120° 15′ 70 km MCAS Twenty Nine 34° 15′ / 116° 03′ 80 km
Palms, CA.
US353 In the sub-bands 56.24–56.29 GHz, 59.616 GHz, 60.281–60.331 GHz, 60.41–60.46 GHz,
58.422–58.472 GHz, 59.139–59.189 GHz, 59.566–
540
and 62.461–62.511 GHz, space-based radio as- fixed-satellite service (space-to-Earth), prior
tronomy observations may be made on an to commencing operations, shall coordinate
unprotected basis. with the following radio astronomy observ-
US354 In the sub-band 58.422–58.472 GHz, atories to achieve a mutually acceptable
airborne stations and space stations in the agreement regarding the protection of the
space-to-Earth direction shall not be author- radio telescope facilities operating in the
ized. band 10.6–10.7 GHz:
US355 In the band 10.7–11.7 GHz, non-geo-
stationary satellite orbit licensees in the
Observatory West longitude North latitude Elevation
Arecibo Obs ..................................................................................... 66°45′11″ 18°20′46″ 496 m

Green Bank Telescope (GBT) ........................................................ 79°50′24″ 38°25′59″ 825 m
Very Large Array (VLA) ................................................................... 107°37′04″ 34°04′44″ 2126 m
Very Long Baseline Array (VLBA) Stations:
Pie Town, NM .......................................................................... 108°07′07″ 34°18′04″ 2371 m
Kitt Peak, AZ ............................................................................ 111°36′42″ 31°57′22″ 1916 m
Los Alamos, NM ....................................................................... 106°14′42″ 35°46′30″ 1967 m
Ft. Davis, TX ............................................................................ 103°56′39″ 30°38′06″ 1615 m
N. Liberty, IA ............................................................................ 91°34′26″ 41°46′17″ 241 m
Brewster, WA ........................................................................... 119°40′55″ 48°07′53″ 255 m
Owens Valley, CA .................................................................... 118°16′34″ 37°13′54″ 1207 m
St. Croix, VI .............................................................................. 64°35′03″ 17°45′31″ 16 m
Hancock, NH ............................................................................ 71°59′12″ 42°56′01″ 309 m
Mauna Kea, HI ......................................................................... 155°27′29″ 19°48′16″ 3720 m
US356 In the band 13.75–14 GHz, an earth 51 dBW in any 6 MHz band from 13.77 to 13.78
station in the fixed-satellite service shall GHz.
have a minimum antenna diameter of 4.5 m Automatic power control may be used to
and the e.i.r.p. of any emission should be at increase the e.i.r.p. density in any 6 MHz
least 68 dBW and should not exceed 85 dBW. band in these frequency ranges to com-
In addition the e.i.r.p., averaged over one pensate for rain attenuation, to the extent
second, radiated by a station in the radio- that the power flux-density at the fixed-sat-
location service towards the geostationary- ellite service space station does not exceed
satellite orbit shall not exceed 59 dBW. Re- the value resulting from use by an earth sta-
ceiving space stations in the fixed-satellite tion of an e.i.r.p. of 71 dBW or 51 dBW, as ap-
service shall not claim protection from propriate, in any 6 MHz band in clear-sky
radiolocation transmitting stations oper- conditions.
ating in accordance with the United States
US359 In the band 15.43–15.63 GHz, use of
Table of Frequency Allocations. ITU Radio
the fixed-satellite service (Earth-to-space) is
Regulation No. 5.43A does not apply.
limited to non-Government feeder links of
US357 In the band 13.75–14 GHz, geo-
non-geostationary systems in the mobile-
stationary space stations in the space re-
satellite service. These non-Government
search service for which information for ad-
earth stations shall be coordinated through
vance publication has been received by the
the Frequency Assignment Subcommittee
ITU Radiocommunication Bureau (Bureau)
prior to 31 January 1992 shall operate on an (see Annex 3 of Recommendation ITU–R
equal basis with stations in the fixed-sat- S.1340).
ellite service; after that date, new geo- US360 In the band 33–36 GHz, the Govern-
stationary space stations in the space re- ment fixed-satellite service (space-to-Earth)
search service will operate on a secondary is also allocated on a primary basis. Coordi-
basis. Until those geostationary space sta- nation between Government fixed-satellite
tions in the space research service for which service systems and non-Government sys-
information for advance publication has tems operating in accordance with the
been received by the Bureau prior to 31 Janu- United States Table of Frequency Alloca-
ary 1992 cease to operate in this band: tions is required.
a. The e.i.r.p. density of emissions from US361 In the band 1432–1435 MHz, Govern-
any earth station in the fixed-satellite serv- ment stations in the fixed and mobile serv-
ice operating with a space station in geo- ices may operate indefinitely on a primary
stationary-satellite orbit shall not exceed 71 basis at the 23 sites listed in the following
dBW in any 6 MHz band from 13.77 to 13.78 table. All other Government stations in the
GHz; fixed and mobile services shall operate in the
b. The e.i.r.p. density of emissions from band 1432–1435 MHz on a primary basis until
any earth station in the fixed-satellite serv- re-accommodated in accordance with the Na-
ice operating with a space station in non- tional Defense Authorization Act of 1999. The
geostationary-satellite orbit shall not exceed table follows:
541
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
North Latitude/West Operating North Latitude/West Operating

Location Location
Longitude Radius Longitude Radius
China Lake/Edwards AFB, 35° 29′ / 117° 16′ 100 km AUTEC .............................. 24° 30′ / 078° 00′ 80 km
CA.
White Sands Missile 32° 11′ / 106° 20′ 160 km Beaufort MCAS, SC ......... 32° 26′ / 080° 40′ 160 km
Range/Holloman AFB,
NM.
Utah Test and Training 40° 57′ / 113° 05′ 160 km MCAS Cherry Point, NC ... 34° 54′ / 076° 53′ 100 km
Range/Dugway Proving
Ground, Hill AFB, UT.
Patuxent River, MD ........... 38° 17′ / 076° 24′ 70 km NAS Cecil Field, FL .......... 30° 13′ / 081° 52′ 160 km
Nellis AFB, NV ................... 37° 29′ / 114° 14′ 130 km NAS Fallon, NV ................ 39° 30′ / 118° 46′ 100 km
Fort Huachuca, AZ ............ 31° 33′ / 110° 18′ 80 km NAS Oceana, VA .............. 36° 49′ / 076° 01′ 100 km
Eglin AFB/Gulfport ANG 30° 28′ / 086° 31′ 140 km NAS Whidbey Island, WA 48° 21′ / 122° 39′ 70 km
Range, MS/Fort Rucker,
AL.
Yuma Proving Ground, AZ 32° 29′ / 114° 20′ 160 km NCTAMS, GUM ................ 1 13° 35′ / 144° 51′ 80 km
Fort Greely, AK .................. 63° 47′ / 145° 52′ 80 km Lemoore, CA .................... 36° 20′ / 119° 57′ 120 km
Redstone Arsenal, AL ....... 34° 35′ / 086° 35′ 80 km Savannah River, SC ......... 33° 15′ / 081° 39′ 3 km
Alpene Range, MI .............. 44° 23′ / 083° 20′ 80 km Naval Space Operations 44° 24′ / 068° 01′ 80 km
Center, ME.
Camp Shelby, MS ............. 31° 20′ / 089° 18′ 80 km ........................................... ................................ ..................
1 East.
US362 The band 1670–1675 MHz is allocated mary basis and to the Government fixed
to the meteorological-satellite service service on a secondary basis. Use of the mo-
(space-to-Earth) on a primary basis for Gov- bile service is limited to aeronautical telem-
ernment use. Earth station use of this allo- etry and associated telecommand operations
cation is limited to Wallops Island, VA for flight testing of manned or unmanned
(37°56′47′ N, 75°27′37′ W), Fairbanks, AK aircraft, missiles or major components
(64°58′36′ N, 147°31′03′ W), and Greenbelt, MD thereof. Use of the radiolocation service is
(39°00′02′ N, 76°50′31′ W). Applicants for non- limited to the military services.
Government stations within 100 kilometers (b) After January 1, 2005, Government sta-
of the Wallops Island or Fairbanks coordi- tions in the mobile and radiolocation serv-
nates and within 65 kilometers of the Green- ices shall continue to operate on a primary
belt coordinates shall notify NOAA in ac- basis until re-accommodated in accordance
cordance with the procedures specified in 47 with the National Defense Authorization Act
CFR 1.924. of 1999, except at the sites identified in the
US363 (a) Until January 1, 2005, the band following table where Government stations
2385–2390 MHz is allocated to the Government may not be re-accommodated until January
mobile and radiolocation services on a pri- 1, 2007:
North Latitude/West North Latitude/West

Location Location
Longitude Longitude
Protection Radius for Each of the Following Sites is 160 km:

Barking Sands, HI ............................. 22° 07′ / 159° 40′ Roswell, NM ........................................... 33° 18′ / 104° 32′
Cape Canaveral, FL .......................... 28° 33′ / 080° 34′ Seattle, WA ............................................ 47° 32′ / 122° 18′
China Lake, CA ................................. 35° 40′ / 117° 41′ St. Louis, MO ......................................... 38° 45′ / 090° 22′
Eglin AFB, FL .................................... 30° 30′ / 086° 30′ Utah Test Range, UT ............................. 40° 12′ / 112° 54′
Glasgow, MT ..................................... 48° 25′ / 106° 32′ White Sands Missile Range, NM ........... 32° 58′ / 106° 23′
Nellis AFB, NV .................................. 37° 48′ / 116° 28′ Witchita, KS ............................................ 37° 40′ / 097° 26′
Palm Beach County, FL .................... 26° 54′ / 080° 19′ Yuma Proving Ground, AZ ..................... 32° 54′ / 114° 20′
Roosevelt Roads, PR ....................... 18° 14′ / 065° 38′ ................................................................. ................................
Edwards AFB, CA ............................. 34° 54′ / 117° 53′ Patuxent River, MD ................................ 38° 17′ / 076° 25′
(c) In addition, non-Government flight test fied in the following table on a primary basis
operations may continue at the sites identi- until January 1, 2007:

Location Location
Longitude Longitude

Alammosa, CO ......................... 37° 26′ 04′ / 105° 52′ 03′ Thermal, CA .................................... 33° 37′ 35′ / 116° 09′ 36′
Albuquerque, NM ..................... 35° 11′ 03′ / 106° 34′ 30′ Phoenix, AZ .................................... 33° 18′ 28′ / 111° 39′ 19′
Amarillo, TX .............................. 35° 12′ 49′ / 101° 42′ 31′ Marietta, GA .................................... 33° 54′ 24′ / 084° 31′ 09′
Arlington, TX ............................ 32° 40′ 00′ / 097° 05′ 53′ Greenville, TX ................................. 33° 04′ 01′ / 096° 03′ 09′
542

Location Location
Longitude Longitude
Leadville, CO ............................ 39° 13′ 13′ / 106° 19′ 03′
US368 The band 1390–1392 MHz is also allo- mobile-satellite service or the radio-
cated to the fixed-satellite service (Earth-to- navigation-satellite service.
space) on a primary basis and the band 1430– US372 Additional allocation: the bands
1432 MHz is also allocated to the fixed-sat- 140.69–140.98 GHz, 144.68–144.98 GHz, 145.45–
ellite service (space-to-Earth) on a primary 145.75 GHz, 146.82–147.12 GHz, 250–251 GHz and
basis, limited to feeder links for the Non- 262.24–262.76 GHz are also allocated to the
Voice Non-Geostationary Mobile-Satellite radio astronomy service on a primary basis.
Service, and contingent on (1) the comple- US373 In the bands 116–134 GHz, 174.8–182
tion of sharing studies including the meas- GHz and 185–190 GHz, stations in the aero-
urement of emissions from equipment that nautical mobile service may be operated sub-
would be employed in operational systems ject to not causing harmful interference to
and demonstrations to validate the studies the inter-satellite service (see ITU Radio
as called for in Resolution 127 (WRC–2000), (2) Regulation No. 5.43).
the adoption of worldwide feeder link alloca- US374 In the band 126–134 GHz, airborne
tions at the 2003 World Radiocommunication radars in the radiolocation service may be
Conference (WRC–03), and (3) compliance operated subject to not causing harmful in-
with any technical and operational require- terference to the inter-satellite service (see
ments that may be imposed at WRC–03 to ITU Radio Regulation No. 5.43).
protect passive services in the 1400–1427 MHz US375 The frequency band 275–400 GHz
band from unwanted emissions associated may be used by administrations for experi-
with such allocations. These allocations be- mentation with, and development of, various
come effective upon adoption of worldwide active and passive services. In this band a
allocations at WRC–03. If no such allocations need has been identified for the following
are adopted by WRC–03, these allocations spectral line measurements for passive serv-
shall be considered null and void, with no ices:
grandfathering of rights. Individual assign- —Radio astronomy service: 278–280 GHz and
ments shall be coordinated with the Inter- 343–348 GHz;
departmental Radio Advisory Committee’s —Earth exploration-satellite service
(IRAC) Frequency Assignment Sub- (passive) and space research service
committee (FAS) (see, for example, Rec- (passive): 275–277 GHz, 300–302 GHz, 324–326
ommendations ITU–R RA.769–1 and ITU R GHz, 345–347 GHz, 363–365 GHz and 379–381
SA.1029–1) to ensure the protection of passive GHz.
services in the 1400–1427 MHz band. Coordina- Future research in this largely unexplored
tion shall not be completed until the feeder spectral region may yield additional spectral
downlink system is tested and certified to be lines and continuum bands of interest to the
in conformance with the technical and oper- passive services. Administrations are urged
ational requirements for the protection of to take all practicable steps to protect these
passive services in the 1400–1427 MHz band. passive services from harmful interference
Certification and all supporting documenta- until the next competent world
tion shall be submitted to the Commission radiocommunication conference.
and FAS prior to launch. US376 In the bands 95–100 GHz, 134–142
US369 Additional allocation: the bands 150– GHz, 190–200 GHz and 252–265 GHz, stations in
151 GHz, 174.42–175.02 GHz, 177–177.4 GHz, the land mobile service may be operated sub-
178.2–178.6 GHz, 181–181.46 GHz, 186.2–186.6 GHz ject to not causing harmful interference to
and 257.5–258 GHz are also allocated to the the space radiocommunication services to
radio astronomy service on a secondary basis which these bands are allocated (see No.
for spectral line observations. 5.43).
US370 The band 5000–5150 MHz is to be US377 In the band 84–86 GHz, stations in
used for the operation of the international the fixed, mobile and broadcasting services
standard system (microwave landing system) shall not cause harmful interference to
for precision approach and landing. The re- broadcasting-satellite stations operating in
quirements of this system shall take prece- accordance with the decisions of the appro-
dence over other uses of this band. For the priate frequency assignment planning con-
use of this band, ITU Radio Regulation No. ference for the broadcasting-satellite serv-
5.444A and Resolution 114 (WRC–95) apply. ice.
US371 In the bands 134–142 GHz and 190–
NON-FEDERAL GOVERNMENT (NG) FOOTNOTES
191.8 GHz, satellite links connecting land
stations at specified fixed points are also au- (These footnotes, each consisting of the
thorized when used in conjunction with the letters ‘‘NG’’ followed by one or more digits,
543
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
denote stipulations applicable only to the NG28 The frequency band 160.86–161.40
non-Federal Government.) MHz is available for assignment to remote
NG2 Facsimile broadcasting stations may pickup base and remote pickup mobile sta-
be authorized in the band 88–108 MHz. tions in Puerto Rico and the Virgin Islands
NG3 Control stations in the domestic pub- only on a shared basis with the land trans-
lic mobile radio service may be authorized portation radio service.
frequencies in the band 72–73 and 75.4–76 MHz NG31 Stations in the Rural Radio Service
on the condition that harmful interference licensed for Basic Exchange Telecommuni-
will not be caused to operational fixed sta- cations Radio Service may be authorized to
tions. use some frequencies in the bands 816–820
NG4 The use of the frequencies in the MHz (fixed subscriber) and 861–865 MHz
band 152.84–153.38 MHz may be authorized, in (central office or base), on a co-primary basis
any area, to remote pickup broadcast base with private land mobile radio licensees,
and mobile stations on the condition that pursuant to part 22 subpart H.
harmful interference will not be caused to NG41 Frequencies in the bands 3700–4200
stations operating in accordance with the MHz, 5925–6425 MHz, and 10.7–11.7 GHz may
Table of Frequency Allocations. also be assigned to stations in the inter-
NG6 Stations in the public safety radio national fixed public and international con-
services authorized as of June 30, 1958, to use trol services located in U.S. Possessions in
frequencies in the band 159.51–161.79 MHz in the Caribbean area.
areas other than Puerto Rico and the Virgin NG42 Non-Government stations in the
Islands may continue such operation, includ- radiolocation service shall not cause harmful
ing expansion of existing systems, on the interference to the amateur service.
condition that harmful interference will not NG47 In Alaska, frequencies within the
be caused to stations in the services to which band 2655–2690 MHz are not available for as-
these bands are allocated. In Puerto Rico signment to terrestrial stations.
and the Virgin Islands this authority is lim- NG49 The following frequencies may be
ited to frequencies in the band 160.05–161.37 authorized for mobile operations in the Man-
MHz. No new public radio service system will ufacturers Radio Service subject to the con-
be authorized to operate on these fre- dition that no interference is caused to the
quencies. reception of television stations operating on
NG12 Frequencies in the bands 454.40–455 channels 4 and 5 and that their use is limited
MHz and 459.40–460 MHz may be assigned to to a manufacturing facility:
domestic public land and mobile stations to
provide a two-way air-ground public radio- MHZ
telephone service. 72.02 72.22
NG17 Stations in the land transportation 72.04 72.24
radio services authorized as of May 15, 1958 72.06 72.26
to operate on the frequency 161.61 MHz may, 72.08 72.28
upon proper application, continue to be au- 72.10 72.30
thorized for such operation, including expan- 72.12 72.32
sion of existing systems, on the condition 72.14 72.34
that harmful interference will not be caused 72.16 72.36
to the operation of any authorized station in 72.18 72.38
the maritime mobile service. No new land 72.20 72.40
transportation radio service system will be
Further, the following frequencies may be
authorized to operate on 161.61 MHz.
authorized for mobile operations in the Spe-
NG19 Fixed stations associated with the
cial Industrial Radio Service, Manufacturers
maritime mobile service may be authorized,
Radio Service, Railroad Radio Service and
for purposes of communication with coast
Forest Products Radio Service subject to the
stations, to use frequencies assignable to
condition that no interference is caused to
ship stations in this band on the condition
the reception of television stations operating
that harmful interference will not be caused
on channels 4 and 5; and that their use is
to services operating in accordance with the
limited to a railroad yard, manufacturing
Table of Frequency Allocations.
plant, logging site, mill, or similar indus-
NG23 Frequencies in the band 2100–2200 trial facility.
MHz may also be assigned to stations in the
International Fixed Public MHZ
Radiocommunication Services located south
of 25° 30′ North Latitude in the State of Flor- 72.44 75.44
ida and in U.S. insular areas in the Carib- 72.48 75.48
bean, except that no new assignments in the 72.52 75.52
band 2150–2162 MHz will be made to such sta- 72.56 75.56
tions after February 25, 1974 and no new as- 72.60 75.60
signments in the band 2165–2200 MHz will be NG51 In Puerto Rico and the Virgin Is-
made to such stations after June 27, 2000. lands only, the bands 150.8–150.98 MHz and
544
150.98–151.49 MHz are allocated exclusively to TV chan-
Urbanized area
the business radio service. nel
NG53 In the band 12.7–13.15 GHz, tele-
Houston, TX ........................................................... 17
vision pickup stations and CARS pickup sta-
Dallas, TX .............................................................. 16
tions shall be assigned channels on a co-
equal basis and shall operate on a secondary
NG70 In Puerto Rico and the Virgin Is-
basis to fixed stations operating in accord-
lands only, the bands 159.240–159.435 and
ance with the Table of Frequency Alloca-
160.410–160.620 MHz are also available for as-
tions. In the 13.15–13.20 GHz band television
signment to base stations and mobile sta-
pickup stations and CARS pickup stations
shall be assigned on an exclusive basis in the tions in the special industrial radio service.
top one hundred markets, as set out in Sec- NG101 The use of the band 2500–2690 MHz
tion 76.51. by the broadcasting-satellite service is lim-
NG56 In the bands 72.0–73.0 and 75.4–76.0 ited to domestic and regional systems for
MHz, the use of mobile radio remote control community reception of educational tele-
of models is on a secondary basis to all other vision programming and public service infor-
fixed and mobile operations. Such operations mation. Such use is subject to agreement
are subject to the condition that inter- among administrations concerned and those
ference will not be caused to common carrier having services operating in accordance with
domestic public stations, to remote control the table, which may be affected. Unless
of industrial equipment operating in the 72– such agreement includes the use of higher
76 MHz band, or to the reception of television values, the power flux density at the earth’s
signal on channels 4 (66–72 MHz) or 5 (76–82 surface produced by emissions from a space
MHz). Television interference shall be con- station in this service shall not exceed those
sidered to occur whenever reception of regu- values set forth in Part 73 of the rules for
larly used television signals is impaired or this frequency band.
destroyed, regardless of the strength of the NG102 Use of the fixed-satellite service in
television signal or the distance to the tele- the bands 2500–2655 MHz (space-to-Earth) and
vision station. 2655–2690 MHz (Earth-to-space) is limited as
NG59 The frequencies 37.60 and 37.85 MHz follows:
may be authorized only for use by base, mo- (a) For common carrier use in Alaska, for
bile, and operational fixed stations partici- intra-Alaska service only, and in the mid-
pating in an interconnected or coordinated and western-Pacific areas, including Amer-
power service utility system. ican Samoa, Guam, the Northern Mariana Is-
NG63 Television Broadcast translator sta- lands, and Hawaii, and under the Compacts
tions holding valid licenses on November 15, of Free Association with the Federated
1971, to operate in the frequency band 806–890 States of Micronesia and the Republic of the
MHz (channels 70–83), may continue to oper- Marshall Islands.
ate in this band, pursuant to periodic license (b) For educational use in the contiguous
renewals, on a secondary basis to the land United States, Alaska, and the mid- and
mobile radio service. western-Pacific areas, including American
NG66 The frequency band 470–512 MHz is Samoa, Guam, the Northern Mariana Is-
allocated for use in the broadcasting and lands, and Hawaii.
land mobile radio services. In the land mo- Such use is subject to agreement with ad-
bile services, it is available for assignment ministrations having services operating in
in the domestic public, public safety, indus- accordance with the Table, which may be af-
trial, and land transportation radio services fected. In the band 2500–2655 MHz, unless
at, or in the vicinity of 11 urbanized areas of such agreement includes the use of higher
the United States, as set forth in the fol- values, the power flux density at the Earth’s
lowing table. Additionally, in the land mo- surface produced by emissions from a space
bile services, TV channel 16 is available for station in this service shall not exceed the
assignment in the public safety radio serv- values set forth in Part 25 of the Rules for
ices at, or in the vicinity of, Los Angeles. this frequency band.
Such use in the land mobile services is sub- NG104 The use of the bands 10.7–11.7 GHz
ject to the conditions set forth in parts 22 (space-to-Earth) and 12.75–13.25 GHz (Earth-
and 90 of this chapter. to-space) by the fixed-satellite service in the
geostationary-satellite orbit shall be limited
TV chan- to international systems, i.e., other than do-
Urbanized area nel
mestic systems.
New York, NY-Northeastern New Jersey .............. 14, 15 NG111 The band 157.4375–157.4625 MHz may
Los Angeles, CA .................................................... 14, 20 be used for one way paging operations in the
Chicago, IL-Northwestern Indiana ......................... 14, 15 special emergency radio service.
Philadelphia, PA-New Jersey ................................ 19, 20 NG112 The frequencies 25.04, 25.08, 150.980,
San Francisco-Oakland, CA .................................. 16, 17
154.585, 158.445, 159.480, 454.000 and 459.000 MHz
Boston, MA ............................................................ 14, 16
Washington, D.C.-Maryland-Virginia ..................... 17, 18 may be authorized to stations in the petro-
Pittsburgh, PA ........................................................ 14, 18 leum radio service for use primarily in oil
Miami, FL ............................................................... 14 spill containment and cleanup operations
545
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
and secondarily in regular land mobile com- NG134 In the band 10.45–10.5 GHz non-Gov-
munication. ernment stations in the radiolocation service
NG114 In the Gulf of Mexico offshore from shall not cause harmful interference to the
the Louisiana-Texas coast, the frequency amateur and amateur-satellite services.
band 476–494 MHz (TV channels 15, 16 and 17) NG135 In the 420–430 MHz band the ama-
is allocated to the Domestic Public and Pri- teur service is not allocated north of line A
vate Land Mobile Radio Services in accord- (def. § 2.1).
ance with the regulations set forth in parts NG141 The frequencies 42.40 MHz and 44.10
22 and 90 respectively. MHz are authorized on a primary basis in the
NG115 In the 174 to 216 MHz band wireless State of Alaska for meteor burst commu-
microphones may be authorized to operate nications by fixed stations in the Rural
on a secondary, non-interfering basis, sub- Radio Service operating under the provisions
ject to terms and conditions set forth in part of part 22 of this chapter. The frequencies
74 of these Rules and Regulations. 44.20 MHz and 45.90 MHz are authorized on a
NG117 The frequency 156.050 and 156.175 primary basis in Alaska for meteor burst
MHz may be assigned to stations in the mar- communications by fixed private radio sta-
itime mobile service for commercial and port tions operating under the provisions of part
operations in the New Orleans Vessel Traffic 90 of the chapter. The private radio station
Service (VTS) area and the frequency 156.250 frequencies may be used by Common Carrier
MHz may be assigned to stations in the mar- stations on a secondary, noninterference
itime mobile service for port operating in basis and the Common Carrier frequencies
the New Orleans and Houston VTS areas. may be used by private radio stations for
NG118 In the bands 2025–2110 MHz, 6875–
meteor burst communications on a sec-
7125 MHz, and 12.7–13.25 GHz, television
ondary, noninterference basis. Users shall
translator relay stations may be authorized
cooperate to the extent practical to mini-
to use frequencies on a secondary basis to
mize potential interference. Stations uti-
other stations in the Television Broadcast
lizing meteor burst communications shall
Auxiliary Service that are operating in ac-
not cause harmful interference to stations of
cordance with the Table of Frequency Allo-
other radio services operating in accordance
cations.
NG120 Frequencies in the band 928–960 with the Table of Frequency Allocations.
MHz may be assigned for multiple address NG142 TV broadcast stations authorized to
systems and mobile operations on a primary operate in the bands 54–72, 76–88, 174–216, 470–
basis as specified in 47 CFR part 101. 512, and 512–806 MHz may use a portion of the
NG124 Within designated segments of the television vertical blanking interval for the
bands that comprise 30.85–47.41 MHz, 150.8– transmission of telecommunications signals,
159.465 MHz, and 453.0125–467.9875 MHz, police on the condition that harmful intereference
licensees are authorized to operate low will not be caused to the reception of pri-
power radio transmitters on a secondary, mary services, and that such telecommuni-
non-interference basis in accordance with cations services must accept any inter-
the provisions of 47 CFR 2.803 and 90.20(e)(5). ference caused by primary services operating
NG127 In Hawaii, the frequency band 488– in these bands.
494 MHz is allocated exclusively to the fixed NG143 In the band 11.7–12.2 GHz, protec-
service for use by common carrier control tion from harmful interference shall be af-
and repeater stations for point-to-point forded to transmissions from space stations
inter-island communications only. not in conformance with ITU Radio Regula-
NG128 In the band 535–1705 kHz, AM tion 5.488 only if the operations of such space
broadcast licensees or permittees may use stations impose no unacceptable constraints
their AM carrier on a secondary basis to on operations or orbit locations of space sta-
transmit signals intended for both broadcast tions in conformance with 5.488.
and non-broadcast purposes. In the band 88– NG144 Stations authorized as of Sep-
108 MHz, FM broadcast licensees or permit- tember 9, 1983 to use frequencies in the bands
tees are permitted to use subcarriers on a 17.7–18.58 GHz and 19.3–19.7 GHz may, upon
secondary basis to transmit signals intended proper application, continue operations.
for both broadcast and non-broadcast pur- Fixed stations authorized in the band 18.58–
poses. In the bands 54–72, 76–88, 174–216, 470– 19.3 GHz that remain co-primary under the
608 and 614–806 MHz, TV broadcast licensees provisions of §§ 21.901(e), 74.502(c), 74.602(g),
or permittees are permitted to use subcar- 78.18(a)(4), and 101.174(r) of this chapter may
riers on a secondary basis for both broadcast continue operations consistent with the pro-
and non-broadcast purposes. visions of those sections.
NG129 In Alaska, the bands 76–88 MHz and NG145 In the band 11.7–12.2 GHz, tran-
88–100 MHz are also allocated to the Fixed sponders on space stations in the fixed-sat-
service on a secondary basis. Broadcast sta- ellite service may be used additionally for
tions operating in these bands shall not transmissions in the broadcasting-satellite
cause interference to non-Government fixed service, provided that such transmissions do
operations authorized prior to January 1, not have a maximum e.i.r.p. greater than 53
1982. dBW per television channel and do not cause
546
greater interference or require more protec- the DTV transition period. Low power tele-
tion from interference than the coordinated vision and television translators in the band
fixed-satellite service frequency assign- 746–806 MHz must cease operations in the
ments. With respect to the space services, band at the end of the DTV transition period.
this band shall be used principally for the Low power television and television trans-
fixed-satellite service. lators in the band 698–746 MHz are secondary
NG147 Stations in the broadcast auxiliary to all other operations in the band 698–746
service and private radio services licensed as MHz.
of July 25, 1985, or on a subsequent date fol- NG160 In the 5850–5925 MHz band, the use
lowing as a result of submitting an applica- of the non-Federal government mobile serv-
tion for license on or before July 25, 1985, ice is limited to Dedicated Short Range
may continue to operate on a primary basis Communications operating in the Intelligent
with the mobile-satellite service and the Transportation System radio service.
radiodetermination satellite service. NG163 The allocation to the broadcasting-
NG148 The frequencies 154.585 MHz, 159.480 satellite service in the band 17.3–17.7 GHz
MHz, 160.725 MHz, 160.785 MHz, 454.000 MHz shall come into effect on 1 April 2007.
and 459.000 MHz may be authorized to mari- NG164 The use of the band 18.3–18.8 GHz
time mobile stations for offshore radio- by the fixed-satellite service (space-to-
location and associated telecommand oper- Earth) is limited to systems in the geo-
ations. stationary-satellite orbit.
NG149 The frequency bands 54–72 MHz, 76–
NG165 The use of the band 18.8–19.3 GHz
88 MHz, 174–216 MHz, 470–512 MHz, 512–608
by the fixed-satellite service (space-to-
MHz, and 614–698 MHz are also allocated to
Earth) is limited to systems in non-geo-
the fixed service to permit subscription tele-
stationary-satellite orbits.
vision operations in accordance with part 73
of the rules. NG166 The use of the band 19.3–19.7 GHz
NG151 In the frequency bands 824–849 MHz by the fixed-satellite service (space-to-
and 869–894 MHz, cellular land mobile licens- Earth) is limited to feeder links for the mo-
ees are permitted to offer auxiliary services bile-satellite service.
on a secondary basis subject to the provi- NG167 The use of the fixed-satellite serv-
sions of part 22. ice (Earth-to-space) in the band 24.75–25.25
NG152 The band 219–220 MHz is also allo- GHz is limited to feeder links for the broad-
cated to the amateur service on a secondary casting-satellite service operating in the
basis for stations participating, as for- band 17.3–17.7 GHz. The allocation to the
warding stations, in point-to-point fixed dig- fixed-satellite service (Earth-to-space) in the
ital message forwarding systems, including band 24.75–25.25 shall come into effect on 1
intercity packet backbone networks. April 2007.
NG153 The bands 2110–2150 MHz and 2160– NG168 The band 2165–2200 MHz is also allo-
2165 MHz are reserved for future emerging cated to the fixed and mobile services on a
technologies on a co-primary basis with the primary basis for facilities where the receipt
fixed and mobile services. Allocations to spe- date of the initial application was prior to
cific services will be made in future pro- January 16, 1992, and on a secondary basis for
ceedings. all other initial applications. Not later than
NG155 The bands 159.500–159.675 MHz and September 6, 2010, the band 2165–2200 MHz is
161.375–161.550 MHz are allocated to the mari- allocated to the fixed and mobile services on
time service as described in Part 80 of this a secondary basis.
chapter. Additionally, the frequencies NG169 After December 1, 2000, operations
159.550, 159.575 and 159.600 MHz are available on a primary basis by the fixed-satellite
for low-power intership communications. service (space-to-Earth) in the band 3650–3700
NG156 The band 1990–2025 MHz is also allo- MHz shall be limited to grandfathered earth
cated to the fixed and mobile services on a stations. All other fixed-satellite service
primary basis for facilities where the receipt earth station operations in the band 3650–3700
date of the initial application was prior to MHz shall be on a secondary basis. Grand-
June 27, 2000, and on a secondary basis for all fathered earth stations are those authorized
other initial applications. Not later than prior to December 1, 2000, or granted as a re-
September 6, 2010, the band 1990–2025 MHz is sult of an application filed prior to December
allocated to the fixed and mobile services on 1, 2000, and constructed within 12 months of
a secondary basis. initial authorization. license applications for
NG158 The frequency bands 764–776 MHz primary operations for new earth stations,
and 794–806 MHz are available for assignment major amendments to pending earth station
exclusively to the public safety services, to applications, or applications for major modi-
be defined in Docket No. WT 96–86. fications to earth station facilities filed on
NG159 Full power analog television sta- or after December 18, 1998, and prior to De-
tions licensed and new digital television cember 1, 2000, shall not be accepted unless
(DTV) broadcasting operations in the band the proposed facilities are in the vicinity
698–806 MHz shall be entitled to protection (i.e., within 10 miles) of an authorized pri-
from harmful interference until the end of mary earth station operating in the band
547
§ 2.106 47 CFR Ch. I (10–1–02 Edition)
3650–3700 MHz. License applications for pri- ations are subject to local coordination to
mary operations by new earth stations, ensure that harmful interference will not be
major amendments to pending earth station caused to the services to which the bands are
applications, and applications for major allocated.
modifications to earth station facilities, G8 Low power Government radio control
filed after December 1, 2000, shall not be ac- operations are permitted in the band 420–450
cepted, except for changes in polarization, MHz.
antenna orientation or ownership of a grand- G11 Government fixed and mobile radio
fathered earth station. services, including low power radio control
NG170 In the band 3650–3700 MHz, the mo- operations, are permitted in the band 902–928
bile except aeronautical mobile service is MHz on a secondary basis.
limited to base station operations. These G15 Use of the band 2700–2900 MHz by the
base stations are subject to the same coordi- military fixed and shipborne air defense
nation procedures as fixed service operations radiolocation installations will be fully co-
in the band 3650–3700 MHz. ordinated with the meteorological aids and
NG171 In the band 6875–7125 MHz, the fol- aeronautical radionavigation services. The
lowing two channels should be used for air- military air defense installations will be
borne TV pickup stations, wherever possible: moved from the band 2700–2900 MHz at the
7075–7100 MHz and 7100–7125 MHz. earliest practicable date. Until such time as
NG172 In the band 7025–7075 MHz, the fixed- military air defense installations can be ac-
satellite service (space-to-Earth) is allocated commodated satisfactorily elsewhere in the
on a primary basis, but the use of this allo- spectrum, such operations will, insofar as
cation shall be limited to two grandfathered practicable, be adjusted to meet the require-
satellite systems. Associated earth stations ments of the aeronautical radionavigation
located within 300 meters of the following lo- service.
cations shall be grandfathered: (1) in the G19 Use of the band 9000–9200 MHz by mili-
band 7025–7075 MHz, Brewster, Washington tary fixed and shipborne air defense radio-
(48°08′46.7′ N, 119°42′8.0′ W); and, (2) in the location installations will be fully coordi-
band 7025–7055 MHz, Clifton, Texas (31°47′58.5′ nated with the aeronautical radionavigation
N, 97°36′46.7′ W) and Finca Pascual, Puerto service, recognizing fully the safety aspects
Rico (17°58′41.8′ N, 67°8′12.6′ W). All coordi- of the latter. Military air defense installa-
nates are specified in terms of the North tions will be accommodated ultimately out-
American Datum of 1983. side this band. Until such time as military
NG173 In the band 216–220 MHz, secondary defense installations can be accommodated
telemetry operations are permitted subject satisfactorily elsewhere in the spectrum
to the requirements of § 90.259 of this chap- such operations will, insofar as practicable,
ter. After January 1, 2002, no new assign- be adjusted to meet the requirements of the
ments shall be authorized in the band 216–217 aeronautical radionavigation services.
MHz. G27 In the bands 255–328.6 MHz, 335.4–399.9
NG174 In Puerto Rico, frequencies within MHz, and 1350–1390 MHz, the fixed and mobile
the band 2385–2390 MHz are not available for services are limited to the military services.
assignment to stations in the aeronautical G30 In the bands 138–144 MHz, 148–149.9
mobile service. MHz, and 150.05–150.8 MHz, the fixed and mo-
bile services are limited primarily to oper-
FEDERAL GOVERNMENT (G) FOOTNOTES ations by the military services.
(These footnotes, each consisting of the G31 In the 3300–3500 MHz, the Government
letter ‘‘G’’ followed by one or more digits, radiolocation is limited to the military serv-
denote stipulations applicable only to the ices, except as provided by footnote.
Federal Government.) G32 Except for weather radars on mete-
G2 In the bands 216–225 MHz, 420–450 MHz orological satellites in the band 9975–10025
(except as provided by US217), 890–902 MHz, MHz and for Government survey operations
928–942 MHz, 1300–1390 MHz, 2310–2385 MHz, (see footnote US108), Government radio-
2417–2450 MHz, 2700–2900 MHz, 5650–5925 MHz, location in the band 10000–10500 MHz is lim-
and 9000–9200 MHz, the Government radio- ited to the military services.
location service is limited to the military G34 In the band 34.4–34.5 GHz, weather ra-
services. dars on board meteorological satellites for
G5 In the bands 162.0125–173.2, 173.4–174, cloud detection are authorized to operate on
406.1–410 and 410–420 MHz, the fixed and mo- the basis of equality with military radio-
bile services are all allocated on a primary location devices. All other non-military
basis to the Government non-military agen- radiolocation in the band 33.4–36.0 GHz shall
cies. be secondary to the military services.
G6 Military tactical fixed and mobile op- G42 Space command, control, range and
erations may be conducted nationally on a range rate systems for earth station trans-
secondary basis: (1) To the meteorological mission only (including installations on cer-
aids service in the band 403–406 MHz; and (2) tain Navy ships) may be accommodated on a
to the radio astronomy service in the band co-equal basis with the fixed and mobile
406.1–410 MHz. Such fixed and mobile oper- services in the band 1761–1842 MHz. Specific
548
frequencies required to be used at any loca- side the conterminous United States. Within
tion will be satisfied on a coordinated case- the conterminous United States, assign-
by-case basis. ments in the fixed service are permitted, and
G56 Government radiolocation in the will be protected for national defense pur-
bands 1215–1300, 2900–3100, 5350–5650 and 9300– poses or, if they are to be used only in an
9500 MHz is primarily for the military serv- emergency jeopardizing life, public safety, or
ices; however, limited secondary use is per- important property under conditions calling
mitted by other Government agencies in sup- for immediate communication where other
port of experimentation and research pro- means of communication do not exist.
grams. In addition, limited secondary use is G116 The band 7125–7155 MHz is also allo-
permitted for survey operations in the band cated for earth-to-space transmissions in the
2900–3100 MHz. Space Operations Service at a limited num-
G59 In the bands 902–928 MHz, 3100–3300 ber of sites (not to exceed two), subject to es-
MHz, 3500–3650 MHz, 5250–5350 MHz, 8500–9000
tablished coordination procedures.
MHz, 9200–9300 MHz, 13.4–14.0 GHz, 15.7–17.7
GHz and 24.05–24.25 GHz, all Government non- G117 In the bands 7.25–7.75 GHz, 7.9–8.4 GHz,
military radiolocation shall be secondary to 17.8–21.2 GHz, 30–31 GHz, 33–36 GHz, 39.5–40.5
military radiolocation, except in the sub- GHz, 43.5–45.5 GHz, and 50.4–51.4 GHz, the
band 15.7–16.2 GHz airport surface detection Government fixed-satellite and mobile-sat-
equipment (ASDE) is permitted on a co- ellite services are limited to military sys-
equal basis subject to coordination with the tems.
military departments. G118 Government fixed stations may be
G100 The bands 235–322 MHz and 335.4–399.9 authorized in the band 1700–1710 MHz only if
MHz are also allocated on a primary basis to spectrum is not available in the band 1710–
the mobile-satellite service, limited to mili- 1850 MHz.
tary operations. G120 Development of airborne primary ra-
G104 In the bands 7450–7550 and 8175–8215 dars in the band 2310–2385 MHz with peak
MHz, it is agreed that although the military transmitter power in excess of 250 watts for
space radio communication systems, which use in the United States is not permitted.
include earth stations near the proposed me- G122 In the bands 2390–2400 MHz, 2402–2417
teorological-satellite installations will pre- MHz, and 4940–4990 MHz, Government oper-
cede the meteorological-satellite installa- ations may be authorized on a non-inter-
tions, engineering adjustments to either the ference basis to authorized non-Government
military or the meteorological-satellite sys- operations, but shall not hinder the imple-
tems or both will be made as mutually re- mentation of any non-Government oper-
quired to assure compatible operations of the ations.
systems concerned.
G123 The bands 2300–2310 and 2400–2402
G106 The bands 2501–2502 kHz, 5003–5005
MHz were identified for reallocation, effec-
kHz, 10003–10005 kHz, 15005–15010 kHz, 19990–
tive August 10, 1995, for exclusive non-Gov-
19995 kHz, 20005–20010 kHz and 25005–25010 kHz
ernment use under Title VI of the Omnibus
are also allocated, on a secondary basis, to
Budget Reconciliation Act of 1993. Effective
the space research service. The space re-
August 10, 1995, any Government operations
search transmissions are subject to imme-
in these bands are on a non-interference
diate temporary or permanent shutdown in
the event of interference to the reception of basis to authorized non-Government oper-
the standard frequency and time broadcasts. ations and shall not hinder the implementa-
G109 All assignments in the band 157.0375– tion of any non-Government operations.
157.1875 MHz are subject to adjustment to G124 The band 2417–2450 MHz was identi-
other frequencies in this band as long term fied for reallocation, effective August 10,
U.S. maritime VHF planning develops, par- 1995, for mixed Government and non-Govern-
ticularly that planning incident to support ment use under Title VI of the Omnibus
of the National VHF–FM Radiotelephone Budget Reconciliation Act of 1993.
Safety and Distress System (See Doc. 15624/1– G128 Use of the band 56.9–57 GHz by inter-
1.9.111/1.9.125). satellite systems is limited to transmissions
G110 Government ground-based stations between satellites in geostationary orbit, to
in the aeronautical radionavigation service transmissions between satellites in geo-
may be authorized between 3500–3650 MHz stationary satellite orbit and those in high-
when accommodation in the band 2700–2900 Earth orbit, to transmissions from satellites
MHz is not technically and/or economically in geostationary satellite orbit to those in
feasible. low-Earth orbit, and to transmissions from
G114 The band 1369.05–1390 MHz is also allo- non-geostationary satellites in high-Earth
cated to the fixed-satellite service (space-to- orbit to those in low-Earth orbit. For links
Earth) and to the mobile-satellite service between satellites in the geostationary sat-
(space-to-Earth) on a primary basis for the ellite orbit, the single entry power flux-den-
relay of nuclear burst data. sity at all altitudes from 0 km to 1000 km
G115 In the band 13360–13410 kHz, the fixed above the Earth’s surface, for all conditions
service is allocated on a primary basis out- and for all methods of modulation, shall not
549
§ 2.107 47 CFR Ch. I (10–1–02 Edition)
exceed –147 dB (W/m2/100 MHz) for all angles (c) Observations being conducted on
of arrival. frequencies or frequency bands not al-
[49 FR 2373, Jan. 19, 1984] located to the radio astronomy service
should be reported as in paragraph (a)
EDITORIAL NOTE 1: For FEDERAL REGISTER
of this section for information pur-
citations affecting § 2.106, see the List of CFR
Sections Affected, which appears in the poses. Information in this category will
Finding Aids section of the printed volume not be submitted for entry in the Mas-
and on GPO Access. ter International Frequency Register
and protection from interference will
§ 2.107 Radio astronomy station notifi- not be afforded such operations by sta-
cation. tions in other services.
(a) Pursuant to No. 1492 of Article 13
§ 2.108 Policy regarding the use of the
and Section F of Appendix 3 to the fixed-satellite allocations in the 3.6–
international Radio Regulations 3.7, 4.5–4.8, and 5.85–5.925 GHz
(Geneva, 1982), operators of radio as- bands.
tronomy stations desiring inter- The use of the fixed-satellite alloca-
national recognition of their use of spe- tions in the United States in the above
cific radio astronomy frequencies or bands will be governed by footnote
bands of frequencies for reception, US245. Use of the fixed-satellite service
should file the following information allocations in these bands is for the
with the Commission for inclusion in international fixed-satellite service,
the Master International Frequency that is, for international inter-conti-
Register: nental communications. Case-by-case
(1) The center of the frequency band electromagnetic compatibility analysis
observed, in kilohertz up to 28,000 kHz is required with all users of the bands.
inclusive, in megahertz above 28,000 It is anticipated that one earth station
kHz to 10,500 MHz inclusive and in on each coast can be successfully co-
gigahertz above 10,500 MHz. ordinated. Specific locations of these
(2) The date (actual or foreseen, as earth stations depend upon service re-
appropriate) when reception of the fre- quirements and case-by-case EMC anal-
quency band begins. yses that demonstrate compatible op-
(3) The name and location of the sta- erations.
tion, including geographical coordi-
nates in degrees and minutes. Subpart C—Emissions
(4) The width of the frequency band
(in kHz) observed by the station. § 2.201 Emission, modulation, and
(5) The antenna type and dimensions, transmission characteristics.
effective area and angular coverage in The following system of designating
azimuth and elevation. emission, modulation, and trans-
(6) The regular hours of reception (in mission characteristics shall be em-
UTC) of the observed frequency. ployed.
(7) The overall receiving system (a) Emissions are designated accord-
noise temperature (in kelvins) referred ing to their classification and their
to the output of the receiving antenna. necessary bandwidth.
(8) The class of observations to be (b) A minimum of three symbols are
taken. Class A observations are those used to describe the basic characteris-
in which the sensitivity of the equip- tics of radio waves. Emissions are clas-
ment is not a primary factor. Class B sified and symbolized according to the
observations are those of such a nature following characteristics:
that they can be made only with ad- (1) First symbol—type of modulation
vanced low-noise receivers using the of the main character;
best techniques. (2) Second symbol—nature of sig-
(9) The name and mailing address of nal(s) modulating the main carrier;
the operator. (3) Third symbol—type of informa-
(b) The permanent discontinuance of tion to be transmitted.
observations, or any change to the in- NOTE: A fourth and fifth symbol are pro-
formation above, should also be filed vided for additional information and are
with the Commission. shown in Appendix 6, part A of the ITU Radio
550
Regulations. Use of the fourth and fifth sym- (d) Second Symbol—nature of sig
bol is optional. Therefore, the symbols may nal(s) modulating the main carrier:
be used as described in Appendix 6, but are
not required by the Commission. (1) No modulating signal ............. 0
(2) A single channel containing
(c) First Symbol—types of modula- quantized or digital information
tion of the main carrier: without the use of a modulating
(1) Emission of an unmodulated sub-carrier, excluding time-divi-
carrier ......................................... N sion muliplex ............................... 1
(2) Emission in which the main (3) A single channel containing
carrier is amplitude-modulated quantized or digital information
(including cases where sub-car- with the use of a modulating sub-
riers are angle-modulated):. carrier, excluding time-division
—Double-sideband ....................... A multiplex ..................................... 2
—Single-sideband, full carrier ..... H (4) A single channel containing
—Single-sideband, reduced or analogue information .................. 3
variable level carrier ................ R (5) Two or more channels con-
—Single-sideband, suppressed taining quantized or digital in-
carrier ...................................... J formation .................................... 7
—Independent sidebands .............. B (6) Two or more channels con-
—Vestigial sideband .................... C taining analogue information ..... 8
(7) Composite system with one or
(3) Emission in which the main
more channels containing quan-
carrier is angle-modulated:.
tized or digital information, to-
—Frequency modulation ............. F
gether with one or more channels
—Phase modulation ..................... G
containing analogue information 9
NOTE: Whenever frequency modulation ‘‘F’’ (8) Cases not otherwise covered ... X
is indicated, Phase modulation ‘‘G’’ is also
acceptable. (e) Third Symbol—type of informa-
tion to be transmitted:2
(4) Emission in which the main
carrier is amplitude and angle- (1) No information transmitted ... N
modulated either simultaneously (2) Telegraphy—for aural recep-
or in a pre-established sequence .. D tion .............................................. A
(5) Emission of pulses:1. (3) Telegraphy—for automatic re-
—Sequence of unmodulated ception ........................................ B
pulses ........................................ P (4) Facsimile ................................ C
—A sequence of pulses: (5) Data transmission, telemetry,
telecommand ............................... D
—Modulated in amplitude ........ K
(6) Telephony (including sound
—Modulated in width/duration L
broadcasting) ............................... E
—Modulated in position/phase .. M
(7) Television (video) ................... F
—In which the carrier is angle- (8) Combination of the above ....... W
modulated during the period (9) Cases not otherwise covered ... X
of the pulse ............................ Q
—Which is a combination of the (f) Type B emission: As an exception
foregoing or is produced by to the above principles, damped waves
other means ........................... V are symbolized in the Commission’s
(6) Cases not covered above, in rules and regulations as type B emis-
which an emission consists of the sion. The use of type B emissions is for-
main carrier modulated, either bidden.
simultaneously or in a pre-estab- (g) Whenever the full designation of
lished sequence, in a combination an emission is necessary, the symbol
of two or more of the following for that emission, as given above, shall
modes: amplitude, angle, pulse ... W
(7) Cases not otherwise covered ... X modulation) should be designated under (2)
or (3).
2 In this context the word ‘‘information’’
does not include information of a constant,

1 Emissions where the main carrier is di- unvarying nature such as is provided by
rectly modulated by a signal which has been standard frequency emissions, continuous
coded into quantized form (e.g. pulse code wave and pulse radars, etc.
551
§ 2.202 47 CFR Ch. I (10–1–02 Edition)
be preceded by the necessary band- (c) The necessary bandwidth may be

width of the emission as indicated in determined by one of the following
§ 2.202(b)(1). methods:
(1) Use of the formulas included in
[49 FR 48697, Dec. 14, 1984]
the table, in paragraph (g) of this sec-
§ 2.202 Bandwidths. tion, which also gives examples of nec-
essary bandwidths and designation of
(a) Occupied bandwidth. The fre- corresponding emissions;
quency bandwidth such that, below its (2) For frequency modulated radio
lower and above its upper frequency systems which have a substantially lin-
limits, the mean powers radiated are ear relationship between the value of
each equal to 0.5 percent of the total input voltage to the modulator and the
mean power radiated by a given emis- resulting frequency deviation of the
sion. In some cases, for example multi- carrier and which carry either single
channel frequency-division systems, sideband suppressed carrier frequency
the percentage of 0.5 percent may lead division multiplex speech channels or
to certain difficulties in the practical television, computation in accordance
application of the definitions of occu- with provisions of paragraph (f) of this
pied and necessary bandwidth; in such section and formulas and methods indi-
cases a different percentage may prove cated in the table, in paragraph (g) of
useful. this section;
(b) Necessary bandwidth. For a given (3) Computation in accordance with
Recommendations of the International
class of emission, the minimum value
Radio Consultative Committee
of the occupied bandwidth sufficient to
(C.C.I.R.);
ensure the transmission of information
(4) Measurement in cases not covered
at the rate and with the quality re-
by paragraph (c) (1), (2), or (3) of this
quired for the system employed, under section.
specified conditions. Emissions useful (d) The value so determined should be
for the good functioning of the receiv- used when the full designation of an
ing equipment as, for example, the emission is required. However, the nec-
emission corresponding to the carrier essary bandwidth so determined is not
of reduced carrier systems, shall be in- the only characteristic of an emission
cluded in the necessary bandwidth. to be considered in evaluating the in-
(1) The necessary bandwidth shall be terference that may be caused by that
expressed by three numerals and one emission.
letter. The letter occupies the position (e) In the formulation of the table in
of the decimal point and represents the paragraph (g) of this section, the fol-
unit of bandwidth. The first character lowing terms are employed:
shall be neither zero nor K, M or G.
Bn = Necessary bandwidth in hertz
(2) Necessary bandwidths: B = Modulation rate in bauds
between 0.001 and 999 Hz shall be expressed in N = Maximum possible number of black plus
Hz (letter H); white elements to be transmitted per sec-
ond, in facsimile
between 1.00 and 999 kHz shall be expressed
M = Maximum modulation frequency in
in kHz (letter K);
hertz
between 1.00 and 999 MHz shall be expressed
C = Sub-carrier frequency in hertz
in MHz (letter M);
D = Peak frequency deviation, i.e., half the
between 1.00 and 999 GHz shall be expressed difference between the maximum and min-
in GHz (letter G). imum values of the instantaneous fre-
(3) Examples: quency. The instantaneous frequency in
hertz is the time rate of change in phase in
0.002 Hz—H002 180.5 kHz—181K radians divided by 2
0.1 Hz—H100 180.7 kHz—181K t = Pulse duration in seconds at half-ampli-
25.3 Hz—25H3 1.25 MHz—1M25 tude
400 Hz—400H 2 MHz—2M00 tr = Pulse rise time in seconds between 10%
2.4 kHz—2K40 10 MHz—10M0 and 90% of maximum amplitude
6 kHz—6K00 K = An overall numerical factor which varies
202 MHz—202M
12.5 kHz—12K5 according to the emission and which de-
5.65 GHz—5G65
180.4 kHz—180K pends upon the allowable signal distortion.
552
Nc = Number of baseband telephone channels (i) The rms value of the per-channel
in radio systems employing multichannel deviation for the system shall be speci-
multiplexing
fied. (In the case of systems employing
P = Continuity pilot sub-carrier frequency
(Hz) (continuous signal utilized to verify preemphasis or phase modulation, this
performance of frequency-division multi- value of per-channel deviation shall be
plex systems). specified at the characteristic
(f) Determination of values of D and baseband frequency.)
Bn for systems specified in paragraph (ii) The value of D is then calculated
(c)(2) of this section: by multiplying the rms value of the
(1) Determination of D in systems for per-channel deviation by the appro-
multichannel telephony: priate factors, as follows:
Number of message circuits Multiplying factors Limits of X (Pavg (dBmO))
More than 3, but less than 12 ...................... 4.47 × [a factor specified by the equipment manu-
facturer or station licensee, subject to Com-
mission approval].
3.76 antilog (X+2 log10 Nc)

At least 12, but less than 60 ........................ ————————————— X: ¥2 to +2.6.
20

At least 60, but less than 240 ...................... ————————————— X: ¥5.6 to ¥1.0.
20

240 or more .................................................. ————————————— X: ¥19.6 to ¥15.0.
20
Where X represents the average power in a message circuit in dBmO; Nc is the number of circuits in the multiplexed message
load; 3.76 corresponds to a peak load factor of 11.5 dB.
(2) The necessary bandwidth (Bn) nor- merically equal to 2P or 2M+2DK,

mally is considered to be numerically whichever is greater, provided the fol-
equal to: lowing conditions are met:
(i) 2M+2DK, for systems having no (i) The modulation index of the main
continuity pilot subcarrier or having a carrier due to the continuity pilot sub-
continuity pilot subcarrier whose fre- carrier does not exceed 0.25, and
quency is not the highest modulating (ii) In a radio system of multichannel
the main carrier; telephony, the rms frequency deviation
(ii) 2P+2DK, for systems having a of the main carrier due to the con-
continuity pilot subcarrier whose fre- tinuity pilot subcarrier does not exceed
quency exceeds that of any other signal 70 percent of the rms value of the per-
modulating the main carrier, unless channel deviation, or, in a radio sys-
the conditions set forth in paragraph tem for television, the rms deviation of
(f)(3) of this section are met. the main carrier due to the pilot does
(3) As an exception to paragraph not exceed 3.55 percent of the peak de-
(f)(2)(ii) of this section, the necessary viation of the main carrier.
bandwidth (Bn) for such systems is nu- (g) Table of necessary bandwidths:
Necessary bandwidth Designation of
Description of emission emission
Formula Sample calculation
I. NO MODULATING SIGNAL
Continuous wave emis- N0N (zero)

sion.
II. AMPLITUDE MODULATION

1. Signal With Quantized or Digital Information
Continuous wave teleg- Bn=BK, K=5 for fading circuits, 25 words per minute; B=20, K=5, Bandwidth: 100HA1A
raphy. K=3 for non-fading circuits 100 Hz
553
§ 2.202 47 CFR Ch. I (10–1–02 Edition)

Telegraphy by on-off Bn=BK+2M, K=5 for fading circuits, 25 words per minute; B=20, M=1000, K=5, 2K10A2A
keying of a tone mod- K=3 for non-fading circuits Bandwidth: 2100 Hz=2.1 kHz
ulated carrier.
Selective calling signal, Bn=M Maximum code frequency is: 2110 Hz, 2K11H2B
single-sideband full M=2110, Bandwidth: 2110 Hz=2.11 kHz
carrier.
Direct-printing teleg- Bn=2M+2DK, M=B÷2 B=50, D=35 Hz (70 Hz shift), K=1.2, Band- 134HJ2B
raphy using a fre- width: 134 Hz
quency shifted modu-
lating sub-carrier sin-
gle-sideband sup-
pressed carrier.
Telegraphy, single side- Bn=central frequency+M+DK, 15 channels; highest central frequency is: 2K89R7B
band reduced carrier. M=B÷2 2805 Hz, B=100, D=42.5 Hz (85 Hz shift),
K=0.7 Bandwidth: 2.885 Hz=2.885 kHz
2. Telephony (Commercial Quality)
Telephony double-side- Bn=2M M=3000, Bandwidth=6000 Hz=6 kHz 6K00A3E

band.
Telephony, single-side- Bn=2M M=3000, Bandwidth: 3000 Hz=3 kHz 3K00H3E
band, full carrier.
Telephony, single-side- Bn=M¥lowest modulation fre- M=3000, lowest modulation frequency is 3000 2K70J3E
band suppressed car- quency Hz, 2700 Hz Bandwidth: 2700Hz=2.7 kHz
rier.
Telephony with separate Bn=M Maximum control frequency is 2990 Hz, 2K99R3E
frequency modulated M=2990, Bandwidth: 2990 Hz=2.99 kHz
signal to control the
level of demodulated
speech signal, single-
sideband, reduced
carrier.
Telephony with privacy, Bn=Nc M¥lowest modulation fre- Nc=2, M=3000 lowest modulation frequency is 5K75J8E
single-sideband, sup- quency in the lowest channel 250 Hz, Bandwidth: 5750 Hz=5.75 kHz
pressed carrier (two or
more channels).
Telephony, independent Bn=sum of M for each sideband 2 channels, M=3000, Bandwidth: 6000 Hz=6 6K00B8E
sideband (two or more kHz
channels).
3. Sound Broadcasting
Sound broadcasting, Bn=2M, M may vary between 4000 Speech and music, M=4000, Bandwidth: 8000 8K00A3E
double-sideband. and 10000 depending on the Hz= 8 kHz
quality desired
Sound broadcasting, sin- Bn=M, M may vary between 4000 Speech and music, M=4000, Bandwidth: 4000 4K00R3E
gle-sideband reduced and 10000 depending on the Hz= 4 kHz
carrier (single chan- quality desired
nel).
Sound broadcasting, sin- Bn=M¥lowest modulation fre- Speech and music, M=4500, lowest modula- 4K45J3E
gle-sideband, sup- quency tion frequency=50 Hz, Bandwidth: 4450
pressed carrier. Hz=4.45 kHz
4. Television
Television, vision and Refer to CCIR documents for the Number of lines=525; Nominal video band- 5M75C3F
sound. bandwidths of the commonly width: 4.2 MHz, Sound carrier relative to
used television systems video carrier=4.5 MHz
Total vision bandwidth: 5.75 MHz; FM aural 250KF3E
bandwidth including guardbands: 250,000
Hz
Total bandwidth: 6 MHz 6M25C3F
554

5. Facsimile
Analogue facsimile by Bn=C–N÷2+DK, K=1.1 (typically) N=1100, corresponding to an index of co- 2K89R3C
sub-carrier frequency operation of 352 and a cycler rotation
modulation of a sin- speed of 60 rpm. Index of cooperation is
gle-sideband emission the product of the drum diameter and num-
with reduced carrier. ber of lines per unit length C=1900, D=400
Hz, Bandwidth=2.890 Hz=2.89 kHz
Analogue facsimile; fre- Bn=2M+2DK, M=N/2, K=1.1 N=1100, D=400 Hz, Bandwidth: 1980 Hz=1.98 1K98J3C
quency modulation of (typically) kHz
an audio frequency
sub-carrier which
modulates the main
carrier, single-side-
band suppressed car-
rier.
6. Composite Emissions
Double-sideband, tele- Bn=2C+2M+2D Video limited to 5 MHz, audio on 6.5 MHz fre- 13M2A8W
vision relay. quency modulated subcarrier deviation=50
kHz: C=6.5×106 D=50×103 Hz, M=15,000,
Bandwidth: 13.13×106 Hz=13.13 MHz
Double-sideband radio Bn=2M 10 voice channels occupying baseband be- 328KA8E
relay system. tween 1 kHz and 164 kHz; M=164,000
bandwith=328,000 Hz=328 kHz
Double-sideband emis- Bn=2Cmax+2M+2DK, K=1 The main carrier is modulated by: —a 30 Hz 20K9A9W
sion of VOR with (typically) sub-carrier—a carrier resulting from a 9960
voice (VOR=VHF Hz tone frequency modulated by a 30 Hz
omnidirectional radio tone—a telephone channel—a 1020 Hz
range). keyed tone for continual Morse identifica-
tion. Cmax=9960, M=30, D=480 Hz, Band-
width: 20,940 Hz=20.94 kHz
Independent sidebands; Bn=sum of M for each sideband Normally composite systems are operated in 12K0B9W
several telegraph accordance with standardized channel ar-
channels together with rangements, (e.g. CCIR Rec. 348–2) 3 tele-
several telephone phone channels and 15 telegraphy chan-
channels. nels require the bandwidth 12,000 Hz=12
kHz
III–A. FREQUENCY MODULATION

1. Signal With Quantized or Digital Information
Telegraphy without Bn=2M+2DK, M=B÷2, K=1.2 B=100, D=85 Hz (170 Hz shift), Bandwidth: 304HF1B
error-correction (single (typically) 304 Hz
channel).
Four-frequency duplex Bn2M+2DK, B=Modulation rate in Spacing between adjacent frequencies=400 1K42F7B
telegraphy. bands of the faster channel. If Hz; Synchronized channels; B=100, M=50,
the channels are synchronized: D=600 Hz, Bandwidth: 1420 Hz=1.42 kHz
M=B÷2, otherwise M=2B, K=1.1
(typically)
2. Telephony (Commercial Quality)
Commercial telephony ... Bn=2M+2DK, K=1 (typically, but For an average case of commercial teleph- 16K0F3E
under conditions a higher value ony, M=3,000, Bandwidth: 16,000 Hz=16
may be necessary kHz
3. Sound Broadcasting
Sound broadcasting ...... Bn=2M+2DK, K=1 (typically) Monaural, D=75,000 Hz, M=15,000, Band- 180KF3E
width: 18,000 Hz=180 kHz
555
§ 2.202 47 CFR Ch. I (10–1–02 Edition)

4. Facsimile
Facsimile by direct fre- Bn=2M+2DK, M=N÷2, K=1.1 N=1100 elements/sec; D=400 Hz, Bandwidth: 1K98F1C
quency modulation of (typically) 1980 Hz=1.98 kHZ
the carrier; black and
white.
Analogue facsimile ........ Bn=2M+2DK, M=N÷2, K=1.1 N=1100 elements/sec; D=400 Hz, Bandwidth: 1K98F3C
(typically) 1980 Hz=1.98 kHz
5. Composite Emissions (See Table III–B)
Radio-relay system, fre- Bn=2P+2DK, K=1 Microwave radio relay system specifications: 2M45F8E
quency division multi- 60 telephone channels occupying baseband
plex. between 60 and 300 kHz; rms per-channel
deviation 200 kHz; pilot at 331 kHz pro-
duces 200 kHz rms deviation of main car-
rier. Computation of
Bn : D=(200×1033×3.76×1.19),
Hz=0.895×106, P=0.331×106 Hz; Bandwidth:
2.452×106 Hz
Radio-relay system fre- Bn=2M+2DK, K=1 Microwave radio relay relay systems speci- 16M6F8E
quency division mul- fications: 1200 telephone channels occu-
tiple. pying baseband between 60 and 5564 kHz;
rms per channel deviation 200 kHz;
continunity pilot at 6199 kHz produces 140
kHz rms deviation of main carrier. Computa-
tion of Bn : D=(200×103×
3.76×3.63)=2.73×106; M=5.64×106 Hz;
P=6.2×106 Hz; (2M+2DK<2P; Bandwidth
16.59×10 Hz
6
Radio-relay system, fre- Bn=2P Microwave radio relay system specifications: 17M0F8E
quency division multi- Multiplex 600 telephone channels occupying
plex. baseband between 60 and 2540 kHz; con-
tinuity pilot at 8500 kHz produces 140 kHz
rms deviation of main carrier. Computation
of Bn : D=(200×103×3.76 × 2.565)=1.93×106
Hz; M=2.54×106 Hz; 2DK)≤2P Bandwidth:
17×106 Hz
Unmodulated pulse Bn=2K÷t, K depends upon the Primary Radar Range resolution: 150 m, 3M00P0N
emission. ratio of pulse rise time. Its value K=1.5 (triangular pulse where tùtr, only
usually falls between 1 and 10 components down to 27 dB from the strong-
and in many cases it does not est are considered) Then t=2× range resolu-
need to exceed 6 tion÷velocity of light=2×150÷3×108=1×10¥6
seconds, Bandwidth: 3×106 Hz=3 MHz
6. Composite Emissions
Radio-relay system ........ Bn=2K÷t, K=1.6 Pulse position modulated by 36 voice channel 8M00M7E
baseband; pulse width at half amplitude=0.4
us, Bandwidth: 8×106 Hz=8 MHz
(Bandwidth independent of the number of
voice channels)
[28 FR 12465, Nov. 22, 1963, as amended at 37 FR 8883, May 2, 1972; 37 FR 9996, May 18, 1972;
48 FR 16492, Apr. 18, 1983; 49 FR 48698, Dec. 14, 1984]
556
Subpart D—Call Signs and Other § 2.302 Call signs.

Forms of Identifying Radio The table which follows indicates the
Transmissions composition and blocks of inter-
national call signs available for assign-
AUTHORITY: Secs. 4, 5, 303, 48 Stat., as ment when such call signs are required
amended, 1066, 1068, 1082; 47 U.S.C. 154, 155, by the rules pertaining to particular
303. classes of stations. When stations oper-
§ 2.301 Station identification require- ating in two or more classes are au-
ment. thorized to the same licensee for the
Each station using radio frequencies same location, the Commission may
shall identify its transmissions accord- elect to assign a separate call sign to
ing to the procedures prescribed by the each station in a different class. (In ad-
rules governing the class of station to dition to the U.S. call sign allocations
which it belongs with a view to the listed below, call sign blocks AAA
elimination of harmful interference through AEZ and ALA through ALZ
and the general enforcement of appli- have been assigned to the Department
cable radio treaties, conventions, regu- of the Army; call sign block AFA
lations, arrangements, and agreements through AKZ has been assigned to the
in force, and the enforcement of the Department of the Air Force; and call
Communications Act of 1934, as amend- sign block NAA through NZZ has been
ed, and the Commission’s rules. assigned jointly to the Department of
[34 FR 5104, Mar. 12, 1969] the Navy and the U.S. Coast. Guard.
Class of station Composition of call sign Call sign blocks
Coast (Class I) except for coast telephone in 3 letters ................................................. KAA through KZZ.
Alaska. WAA through WZZ.
Coast (Classes II and III) and maritime radio- 3 letters, 3 digits ................................... KAA200 through KZZ999.
determination. WAA200 through WZZ999.
Coast telephone in Alaska ............................. 3 letters, 2 digits.
3 letters, 3 digits (for stations assigned KAA20 through KZZ99.
frequencies above 30 MHz). WAA20 through WZZ99.
WZZ200 through WZZ999.
Fixed ............................................................... 3 letters, 2 digits ................................... KAA20 through KZZ99.
3 letters, 3 digits (for stations assigned WAA20 through WZZ99.
frequencies above 30 MHz). WAA200 through WZZ999.
Marine receiver test ....................................... 3 letters, 3 digits (plus general geo- KAA200 through KZZ999.
graphic location when required). WAA200 through WZZ999.
Ship telegraph ................................................ 4 letters 1 ............................................... KAAA through KZZZ.
WAAA through WZZZ.
Ship telephone ............................................... 2 letters, 4 digits, or 3 letters, 4 digits 1 WA2000 through WZ9999, through
WZZ9999.
Ship telegraph plus telephone ....................... 4 letters ................................................. KAAA through KZZZ.
WAAA through WZZZ.
Ship radar ....................................................... Same as ship telephone and/or tele- WA2000 through WZ9999, through
graph call sign, or, if ship has no WZZ9999.
telephone or telegraph: 2 letters, 4
digits, or 3 letters, 4 digits.
Ship survival craft ........................................... Call sign of the parent ship followed by KAAA20 through KZZZ99.
2 digits. WAAA20 through WZZZ99.
Cable-repair ship marker buoy ....................... Call sign of the parent ship followed by
the letters ‘‘BT’’ and the identifying
number of the buoy.
Marine utility ................................................... 2 letters, 4 digits ................................... KA2000 through KZ9999.
Shipyard mobile .............................................. 2 letters, 4 digits ................................... KA2000 through KZ9999.
Aircraft telegraph ............................................ 5 letters ................................................. KAAAA through KZZZZ.
WAAAA through WZZZZ.
Aircraft telegraph and telephone .................... 5 letters 2 ............................................... KAAAA through KZZZZ.
WAAAA through WZZZZ.
Aircraft telephone ........................................... 5 letters 2 (whenever a call sign is as- KAAAA through KZZZZ.
signed). WAAAA through WZZZZ.
Aircraft survival craft ...................................... Whenever a call sign 2 is assigned, call
sign of the parent aircraft followed by
a single digit other than 0 or 1.
Aeronautical ................................................... 3 letters, 1 digit 2 ................................... KAA2 through KZZ9.
WAA2 through WZZ9.
Land mobile (base) ........................................ 3 letters, 3 digits ................................... KAA200 through KZZ999.
WAA200 through WZZ999
557
§ 2.303 47 CFR Ch. I (10–1–02 Edition)
Class of station Composition of call sign Call sign blocks
Land mobile (mobile telegraph) ..................... 4 letters, 1 digit ..................................... KAAA2 through KZZZ9.
WAAA2 through WZZZ9.
Land mobile (mobile telephone) ..................... 2 letters, 4 digits ................................... KA2000 through KZ9999.
WA2000 through WZ9999
Broadcasting (standard) ................................. 4 letters 3 (plus location of station) ....... KAAA through KZZZ.
WAAA through WZZZ.
Broadcasting (FM) .......................................... 4 letters (plus location of station) ......... KAAA through KZZZ.
WAAA through WZZZ.
Broadcasting with suffix ‘‘FM’’ ........................ 6 letters 3 (plus location of station) ....... KAAA–FM through KZZZ-–FM.
WAAA–FM through WZZZ–FM.
Broadcasting (television) ................................ 4 letters (plus location of station) ......... KAAA through KZZZ.
WAAA through WZZZ.
Broadcasting with suffix ‘‘TV’’ ........................ 6 letters 3 (plus location of station) ....... KAAA–TV through KZZZ–TV.
WAAA–TV through WZZ–TV.
Television broadcast translator ...................... 1 letter—output channel number—2 let- K02AA through K83ZZ.
ters. W02AA through W83ZZ.
Disaster station, except U.S. Government ..... 4 letters, 1 digit ..................................... KAAA2 through KZZZ9.
WAAA2 through WZZZ9.
Experimental (letter ‘‘X’’ follows the digit) ...... 2 letters, 1 digit, 3 letters ...................... KA2XAA through KZ9XZZ.
WA2XAA through WZ9XZZ.
Amateur (letter ‘‘X’’ may not follow digit) ....... 1 letter, 1 digit, 1 letter 4 ....................... K1A through K0Z.
N1A through N0Z.
W1A through W0Z.
Amateur .......................................................... 1 letter, 1 digit, 2 letters 4 ...................... K1AA through K0ZZ.
N1AA through N0ZZ.
W1AA through W0ZZ.
Do ............................................................ 1 letter, 1 digit, 3 letters 4 ...................... K1AAA through K0ZZZ.
N1AAA through N0ZZZ.
W1AAA through W0ZZZ.
Do ............................................................ 2 letters, 1 digit, 1 letter 4 ...................... AA1A through AI0Z.
KA1A through KZ0Z.
NA1A through NZ0Z.
WA1A through WZ0Z.
Do ............................................................ 2 letters, 1 digit, 2 letters 4 .................... AA1AA through AL0ZZ.
KA1AA through KZ0ZZ.
NA1AA through NZ0ZZ.
WA1AA through WZ0ZZ.
Amateur (letter ‘‘X’’ may not follow digit) ....... 2 letters, 1 digit, 3 letters 4 .................... AA1AAA through AL0ZZZ.
KA1AAA through KZ0ZZZ.
NA1AAA through NZ0ZZZ.
WA1AAA through WZ0ZZZ.
Standard frequency ........................................ ............................................................... WWV, WWVB through WWVI, WWVL,
WWVS.
Personal radio ................................................ 3 letters, 4 digits, or 4 letters, 4 digits. KAA0001 through KZZ9999,
WAA0001 through WPZ9999,
KAAA0001 through KZZZ9999.
Personal radio, temporary permit .................. 3 letters, 5 digits ................................... KAA00000 through KZZ99999.
Personal radio in trust territories. ................... 1 letter, 4 digits ..................................... K0001 through K9999.
Business radio temporary permit ................... 2 letters, 7 digits ................................... WT plus local telephone number.
Part 90 temporary permit ............................... 2 letters, 7 digits ................................... WT plus local telephone number.
Part 90 conditional permit .............................. 2 letters, 7 digits ................................... WT plus local telephone number.
General Mobile Radio Service, temporary 2 letters, 7 digits ................................... WT plus business or residence tele-
permit. phone number.
NOTE: The symbol 0 indicates the digit zero.
1 Ships with transmitter-equipped survival craft shall be assigned four letter call signs.
2 See § 2.303.
3 A 3 letter call sign now authorized for and in continuous use by a licensee of a standard broadcasting station may continue to
be used by that station. The same exception applies also to frequency modulation and television broadcasting stations using 5
letter call signs consisting of 3 letters with the suffix ‘‘FM’’ or ‘‘TV’’.
4 Plus other identifying data as may be specified.
[34 FR 5104, Mar. 12, 1969; as amended at 54 50239, Dec. 5, 1989]

EDITORIAL NOTE: For FEDERAL REGISTER citations affecting § 2.302, see the List of CFR Sec-
tions Affected in the Finding Aids section of this volume.
§ 2.303 Other forms of identification of used in lieu of call signs by the speci-
stations. fied classes of stations. Such recog-
(a) The following table indicates nized means of identification may be
forms of identification which may be one or more of the following: name of
station, location of station, operating
558
agency, official registration mark, guishing form of identification readily

flight identification number, selective recognized internationally. Reference
call number or signal, selective call should be made to the appropriate part
identification number or signal, char- of the rules for complete information
acteristic signal, characteristic of on identification procedures for each
emission or other clearly distin- service.
Class of station Identification, other than assigned call sign
Aircraft (U.S. registry) telephone ..................... Registration number preceded by the type of the aircraft, or the radiotelephony
designator of the aircraft operating agency followed by the flight identification
number.
Aircraft (foreign registry) telephone ................. Foreign registry identification consisting of five characters. This may be pre-
ceded by the radiotelephony designator of the aircraft operating agency or it
may be preceded by the type of the aircraft.
Aeronautical ..................................................... Name of the city, area, or airdrome served together with such additional identi-
fication as may be required.
Aircraft survival craft ........................................ Appropriate reference to parent aircraft, e.g., the air carrier parent aircraft flight
number or identification, the aircraft registration number, the name of the air-
craft manufacturer, the name of the aircraft owner, or any other pertinent in-
formation.
Ship telegraph .................................................. When an official call sign is not yet assigned: Complete name of the ship and
name of licensee. On 156.65 MHz: Name of ship. Digital selective call.
Ship telegraph .................................................. Digital selective call.
Public coast (radiotelephone) and Limited The approximate geographic location in a format approved by the Commission.
Coast (Radiotelephone).
Coast station identification number.
Public coast (radiotelegraph) ........................... Coast station identification number.
Fixed ................................................................ Geographic location. When an approved method of superimposed identification
is used, QTT DE (abbreviated name of company or station).
Fixed: Rural subscriber service ....................... Assigned telephone number.
Land mobile: Public safety, forestry conserva- Name of station licensee (in abbreviated form if practicable), or location of sta-
tion, highway maintenance, local govern- tion, or name of city, area, or facility served. Individual stations may be identi-
ment, shipyard, land transportation, and fied by additional digits following the more general identification.
aviation services.
Land mobile: Industrial service ........................ Mobile unit cochannel with its base station: Unit identifier on file in the base sta-
tion records. Mobile unit not cochannel with its base station: Unit identifier on
file in the base station records and the assigned call sign of either the mobile
or base station. Temporary base station: Unit designator in addition to base
station identification.
Land mobile: Domestic public and rural radio Special mobile unit designation assigned by licensee or by assigned telephone
number.
Land mobile: Railroad radio service ................ Name of railroad, train number, caboose number, engine number, or name of
fixed wayside station or such other number or name as may be specified for
use of railroad employees to identify a specific fixed point or mobile unit. A
railroad’s abbreviated name or initial letters may be used where such are in
general usage. Unit designators may be used in addition to the station identi-
fication to identify an individual unit or transmitter of a base station.
Land mobile: Broadcasting (remote pickup) .... Identification of associated broadcasting station.
Broadcasting (Emergency Broadcast System) State and operational area identification.
Broadcasting (aural STL and intercity relay) ... Call sign of the broadcasting station with which it is associated.
Broadcasting (television auxiliary) ................... Call sign of the TV broadcasting station with which it is licensed as an auxiliary,
or call sign of the TV broadcasting station whose signals are being relayed, or
by network identification.
Broadcasting (television booster). ................... Retransmission of the call sign of the primary station.
Disaster station ................................................ By radiotelephony: Name, location, or other designation of station when same
as that of an associated station in some other service. Two or more separate
units of a station operated at different locations are separately identified by
the addition of a unit name, number, or other designation at the end of its au-
thorized means of identification.
(b) Digital selective calls will be au- (2) Ship station selective call num-
thorized by the Commission and will be ber: 5 digits.
formed by groups of numbers (0 (3) Predetermined group of ship sta-
through 9), however, the first digit tions: 5 digits.
must be other than 0, as follows: (c) Ship stations operating under a
(1) Coast station identification num- temporary operating authority shall
ber: 4 digits. identify by a call sign consisting of the
559
§ 2.401 47 CFR Ch. I (10–1–02 Edition)
letter ‘‘K’’ followed by the vessel’s Fed- vehicles carrying the station which in-
eral or State registration number, or a tervenes believes that further help is
call sign consisting of the letters necessary.
‘‘KUS’’ followed by the vessel’s docu- (c) In the case of other stations, when
mentation number. However, if the ves- directed to do so by the station in con-
sel has no registration number or docu- trol of distress traffic or when it has
mentation number, the call sign shall reason to believe that a distress call
consist of the name of the vessel and which it has intercepted has not been
the name of the licensee as they appear received by any station in a position to
on the station application form. render aid.
FR 57675, Dec. 11, 1975; 41 FR 44042, Oct. 6, § 2.404 Resumption of operation after
1976; 42 FR 31008, June 17, 1977; 44 FR 62284, distress.
Oct. 30, 1979]
No station having been notified to
cease operation shall resume operation
Subpart E—Distress, Disaster, and on frequency or frequencies which may
Emergency Communications cause interference until notified by the
station issuing the original notice that
§ 2.401 Distress messages. the station involved will not interfere
Each station licensee shall give abso- with distress traffic as it is then being
lute priority to radiocommunications routed or until the receipt of a general
or signals relating to ships or aircraft notice that the need for handling dis-
in distress; shall cease all sending on tress traffic no longer exists.
frequencies which will interfere with
hearing a radiocommunication or sig- § 2.405 Operation during emergency.
nal of distress and except when en- The licensee of any station (except
gaged in answering or aiding the ship amateur, standard broadcast, FM
or aircraft in distress, shall refrain broadcast, noncommercial educational
from sending any radio- FM broadcast, or television broadcast)
communications or signals until there may, during a period of emergency in
is assurance that no interference will which normal communication facilities
be caused with the radio-
are disrupted as a result of hurricane,
communications or signals relating
flood, earthquake, or similar disaster,
thereto; and shall assist the ship or air-
utilize such station for emergency
craft in distress, so far as possible, by
communication service in commu-
complying with its instructions.
nicating in a manner other than that
§ 2.402 Control of distress traffic. specified in the instrument of author-
ization: Provided:
The control of distress traffic is the
(a) That as soon as possible after the
responsibility of the mobile station in
beginning of such emergency use, no-
distress or of the mobile station which,
tice be sent to the Commission at
by the application of the provisions of
§ 2.403, has sent the distress call. These Washington, D.C., and to the Engineer
stations may, however, delegate the in Charge of the district in which the
control of the distress traffic to an- station is located, stating the nature of
other station. the emergency and the use to which
the station is being put, and
§ 2.403 Retransmission of distress mes- (b) That the emergency use of the
sage. station shall be discontinued as soon as
Any station which becomes aware substantially normal communication
that a mobile station is in distress may facilities are again available, and
transmit the distress message in the (c) That the Commission at Wash-
following cases: ington, D.C., and the Engineer in
(a) When the station in distress is not Charge shall be notified immediately
itself in a position to transmit the when such special use of the station is
message. terminated: Provided further,
(b) In the case of mobile stations, (d) That in no event shall any station
when the master or the person in engage in emergency transmission on
charge of the ship, aircraft, or other frequencies other than, or with power
560
in excess of, that specified in the in- Subpart H—Prohibition Against

strument of authorization or as other- Eavesdropping
wise expressly provided by the Com-
mission, or by law: And provided fur- § 2.701 Prohibition against use of a
ther, radio device for eavesdropping.
(e) That any such emergency commu- (a) No person shall use, either di-
nication undertaken under this section rectly or indirectly, a device required
shall terminate upon order of the Com- to be licensed by section 301 of the
mission. Communications Act of 1934, as amend-
NOTE: Part 73 of this chapter contains pro- ed, for the purpose of overhearing or
visions governing emergency operation of recording the private conversations of
standard, FM, noncommercial educational others unless such use is authorized by
FM, and television broadcast stations. Part all of the parties engaging in the con-
97 of this chapter contains such provisions versation.
for amateur stations. (b) Paragraph (a) of this section shall
[28 FR 13785, Dec. 18, 1963] not apply to operations of any law en-
forcement officers conducted under
§ 2.406 National defense; free service. lawful authority.
Any common carrier subject to the [31 FR 3400, Mar. 4, 1966]
Communications Act may render to
any agency of the United States Gov- Subpart I—Marketing of Radio-
ernment free service in connection frequency Devices
with the preparation for the national
defense. Every such carrier rendering SOURCE: 35 FR 7898, May 22, 1970, unless
any such free service shall make and otherwise noted.
file, in duplicate, with the Commission,
on or before the 31st day of July and on § 2.801 Radiofrequency device defined.
or before the 31st day of January in As used in this part, a radiofrequency
each year, reports covering the periods device is any device which in its oper-
of 6 months ending on the 30th day of ation is capable of emitting radio-
June and the 31st day of December, re- frequency energy by radiation, conduc-
spectively, next prior to said dates. tion, or other means. Radiofrequency
These reports shall show the names of devices include, but are not limited to:
the agencies to which free service was (a) The various types of radio com-
rendered pursuant to this rule, the gen- munication transmitting devices de-
eral character of the communications scribed throughout this chapter.
handled for each agency, and the (b) The incidental, unintentional and
charges in dollars which would have ac- intentional radiators defined in part 15
crued to the carrier for such service of this chapter.
rendered to each agency if charges for (c) The industrial, scientific, and
all such communications had been col- medical equipment described in part 18
lected at the published tariff rates. of this chapter.
(d) Any part or component thereof
§ 2.407 National defense; emergency
which in use emits radiofrequency en-
authorization.
ergy by radiation, conduction, or other
The Federal Communications Com- means.
mission may authorize the licensee of
any radio station during a period of na-
FR 17711, Apr. 25, 1989]
tional emergency to operate its facili-
ties upon such frequencies, with such § 2.803 Marketing of radio frequency
power and points of communication, devices prior to equipment author-
and in such a manner beyond that spec- ization.
ified in the station license as may be (a) Except as provided elsewhere in
requested by the Army, Navy, or Air this section, no person shall sell or
Force. lease, or offer for sale or lease
(including advertising for sale or
Subparts F–G [Reserved] lease), or import, ship, or distribute for
561
§ 2.803 47 CFR Ch. I (10–1–02 Edition)
the purpose of selling or leasing or of- the notice stated in paragraph (c) in-
fering for sale or lease, any radio fre- troductory text of this section:
quency device unless:
Prototype. Not for sale.
(1) In the case of a device subject to
certification, such device has been au- (2) Except as provided elsewhere in
thorized by the Commission in accord- this chapter, devices displayed under
ance with the rules in this chapter and the provisions of paragraphs (c) intro-
is properly identified and labelled as ductory text, and (c)(1) of this section
required by § 2.925 and other relevant may not be activated or operated.
sections in this chapter; or (d) Notwithstanding the provisions of
(2) In the case of a device that is not
paragraph (a) of this section, the offer
required to have a grant of equipment
for sale solely to business, commercial,
authorization issued by the Commis-
sion, but which must comply with the industrial, scientific or medical users
specified technical standards prior to (but not an offer for sale to other par-
use, such device also complies with all ties or to end users located in a resi-
applicable administrative (including dential environment) of a radio fre-
verification of the equipment or au- quency device that is in the concep-
thorization under a Declaration of Con- tual, developmental, design or pre-pro-
formity, where required), technical, la- duction stage is permitted prior to
belling and identification requirements equipment authorization or, for devices
specified in this chapter. not subject to the equipment author-
(b) The provisions of paragraph (a) of ization requirements, prior to a deter-
this section do not prohibit conditional mination of compliance with the appli-
sales contracts between manufacturers cable technical requirements provided
and wholesalers or retailers where de- that the prospective buyer is advised in
livery is contingent upon compliance writing at the time of the offer for sale
with the applicable equipment author- that the equipment is subject to the
ization and technical requirements, nor FCC rules and that the equipment will
do they prohibit agreements between comply with the appropriate rules be-
such parties to produce new products, fore delivery to the buyer or to centers
manufactured in accordance with des- of distribution. If a product is mar-
ignated specifications. keted in compliance with the provi-
(c) Notwithstanding the provisions of sions of this paragraph, the product
paragraphs (a), (b), (d) and (f) of this does not need to be labelled with the
section, a radio frequency device may
statement in paragraph (c) of this sec-
be advertised or displayed, e.g., at a
tion.
trade show or exhibition, prior to
equipment authorization or, for devices (e)(1) Notwithstanding the provisions
not subject to the equipment author- of paragraph (a) of this section, prior
ization requirements, prior to a deter- to equipment authorization or deter-
mination of compliance with the appli- mination of compliance with the appli-
cable technical requirements provided cable technical requirements any radio
that the advertising contains, and the frequency device may be operated, but
display is accompanied by, a con- not marketed, for the following pur-
spicuous notice worded as follows: poses and under the following condi-
tions:
This device has not been authorized as re-
quired by the rules of the Federal Commu-
(i) Compliance testing;
nications Commission. This device is not, (ii) Demonstrations at a trade show
and may not be, offered for sale or lease, or provided the notice contained in para-
sold or leased, until authorization is ob- graph (c) of this section is displayed in
tained. a conspicuous location on, or imme-
(1) If the product being displayed is a diately adjacent to, the device;
prototype of a product that has been (iii) Demonstrations at an exhibition
properly authorized and the prototype, conducted at a business, commercial,
itself, is not authorized due to dif- industrial, scientific, or medical loca-
ferences between the prototype and the tion, but excluding locations in a resi-
authorized product, the following dis- dential environment, provided the no-
claimer notice may be used in lieu of tice contained in paragraphs (c) or (d)
562
of this section, as appropriate, is dis- licensee continues to remain respon-

played in a conspicuous location on, or sible for complying with all of the op-
immediately adjacent to, the device; erating conditions and requirements
(iv) Evaluation of product perform- associated with its license.
ance and determination of customer (4) Marketing, as used in this section,
acceptability, provided such operation includes sale or lease, or offering for
takes place at the manufacturer’s fa- sale or lease, including advertising for
cilities during developmental, design, sale or lease, or importation, shipment,
or pre-production states; or or distribution for the purpose of sell-
(v) Evaluation of product performing or leasing or offering for sale or
ance and determination of customer lease.
acceptability where customer accept- (5) Products operating under the pro-
ability of a radio frequency device can- visions of this paragraph (e) shall not
not be determined at the manufactur- be recognized to have any vested or
er’s facilities because of size or unique recognizable right to continued use of
capability of the device, provided the any frequency. Operation is subject to
device is operated at a business, com- the conditions that no harmful inter-
mercial, industrial, scientific, or med- ference is caused and that any inter-
ical user’s site, but not at a residential ference received must be accepted. Op-
site, during the development, design or eration shall be required to cease upon
pre-production stages. A product oper- notification by a Commission rep-
ated under this provision shall be resentative that the device is causing
labelled, in a conspicuous location, harmful interference and shall not re-
with the notice in paragraph (c) of this sume until the condition causing the
section. harmful interference is corrected.
(2) For the purpose of paragraphs (f) For radio frequency devices sub-
(e)(1)(iv) and (e)(1)(v) of this section, ject to verification and sold solely to
the term manufacturer’s facilities in- business, commercial, industrial, sci-
cludes the facilities of the party re- entific, and medical users (excluding
sponsible for compliance with the regu- products sold to other parties or for op-
lations and the manufacturer’s prem- eration in a residential environment),
ises, as well as the facilities of other parties responsible for verification of
entities working under the authoriza- the devices shall have the option of en-
tion of the responsible party in connec- suring compliance with the applicable
tion with the development and manu- technical specifications of this chapter
facture, but not marketing, of the at each end user’s location after instal-
equipment. lation, provided that the purchase or
(e)(3) The provisions of paragraphs lease agreement includes a proviso that
(e)(1)(i), (e)(1)(ii), (e)(1)(iii), (e)(1)(iv), such a determination of compliance be
and (e)(1)(v) of this section do not made and is the responsibility of the
eliminate any requirements for station party responsible for verification of the
licenses for products that normally re- equipment. If the purchase or lease
quire a license to operate, as specified agreement contains this proviso and
elsewhere in this chapter. the responsible party has the product
(i) Manufacturers should note that measured to ensure compliance at the
station licenses are not required for end user’s location, the product does
some products, e.g., products operating not need to be labelled with the state-
under part 15 of this chapter and cer- ment in paragraph (c) of this section.
tain products operating under part 95 (g) The provisions in paragraphs (b)
of this chapter. through (f) of this section apply only to
(ii) Instead of obtaining a special devices that are designed to comply
temporary authorization or an experi- with, and to the best of the responsible
mental license, a manufacturer may party’s knowledge will, upon testing,
operate its product for demonstration comply with all applicable require-
or evaluation purposes under the au- ments in this chapter. The provisions
thority of a local FCC licensed service in paragraphs (b) through (f) of this
provider. However, the licensee must section do not apply to radio frequency
grant permission to the manufacturer devices that could not be authorized or
to operate in this manner. Further, the legally operated under the current
563
§ 2.807 47 CFR Ch. I (10–1–02 Edition)
rules. Such devices shall not be oper- Service regulated under part 74 of this
ated, advertised, displayed, offered for chapter, provided the conditions in
sale or lease, sold or leased, or other- § 74.952 of this chapter for the accept-
wise marketed absent a license issued ability of such transmitter for licens-
under part 5 of this chapter or a special ing are met.
temporary authorization issued by the
[62 FR 10470, Mar. 7, 1997]
Commission.
(h) The provisions in subpart K of § 2.815 External radio frequency
this part continue to apply to imported power amplifiers.
radio frequency devices.
(a) As used in this part, an external
[62 FR 10468, Mar. 7, 1997, as amended at 63 radio frequency power amplifier is any
FR 31646, June 10, 1998; 63 FR 36597, July 7,
1998]
device which, (1) when used in conjunc-
tion with a radio transmitter as a sig-
§ 2.807 Statutory exceptions. nal source is capable of amplification
of that signal, and (2) is not an integral
As provided by Section 302(c) of the
part of a radio transmitter as manufac-
Communications Act of 1934, as amend-
tured.
ed, § 2.803 shall not be applicable to:
(a) Carriers transporting radio- (b) After April 27, 1978, no person
frequency devices without trading in shall manufacture, sell or lease, offer
them. for sale or lease (including advertising
(b) Radiofrequency devices manufac- for sale or lease), or import, ship, or
tured solely for export. distribute for the purpose of selling or
(c) The manufacture, assembly, or in- leasing or offering for sale or lease, any
stallation of radiofrequency devices for external radio frequency power ampli-
its own use by a public utility engaged fier or amplifier kit capable of oper-
in providing electric service: Provided, ation on any frequency or frequencies
however, That no such device shall be between 24 and 35 MHz.
operated if it causes harmful inter- NOTE: For purposes of this part, the ampli-
ference to radio communications. fier will be deemed incapable of operation be-
(d) Radiofrequency devices for use by tween 24 and 35 MHz if:
the Government of the United States (1) The amplifier has no more than 6 deci-
or any agency thereof: Provided, how- bels of gain between 24 and 26 MHz and be-
ever, That this exception shall not be tween 28 and 35 MHz. (This gain is deter-
mined by the ratio of the input RF driving
applicable to any device after it has
signal (mean power measurement) to the
been disposed of by such Government mean RF output power of the amplifier.);
or agency. and
[35 FR 7898, May 22, 1970, as amended at 62 (2) The amplifier exhibits no amplification
FR 10470, Mar. 7, 1997] (0 decibels of gain) between 26 and 28 MHz.
(c) No person shall manufacture, sell
§ 2.811 Transmitters operated under
part 73 of this chapter. or lease, offer for sale or lease
(including advertising for sale or lease)
Section 2.803(a) through (d) shall not or import, ship or distribute for the
be applicable to a transmitter operated purpose of selling or leasing or offering
in any of the Radio Broadcast Services for sale or lease, any external radio fre-
regulated under part 73 of this chapter, quency power amplifier or amplifier
provided the conditions set out in part kit capable of operation on any fre-
73 of this chapter for the acceptability quency or frequencies below 144 MHz
of such transmitter for use under li- unless the amplifier has received a
censing are met. grant of type acceptance in accordance
[62 FR 10470, Mar. 7, 1997] with subpart J of this part and subpart
C of part 97 or other relevant parts of
§ 2.813 Transmitters operated in the this chapter. No more than 10 external
Instructional Television Fixed Serv- radio frequency power amplifiers or
ice. amplifier kits may be constructed for
Section 2.803 (a) through (d) shall not evaluation purposes in preparation for
be applicable to a transmitter operated the submission of an application for a
in the Instructional Television Fixed grant of type acceptance.
564
NOTE: For the purposes of this part, an am- technical standards for radio frequency
plifier will be deemed incapable of operation equipment and parts or components
below 144 MHz if the amplifier is not capable thereof. The technical standards appli-
of being easily modified to increase its am-
plification characteristics below 120 MHz,
cable to individual types of equipment
and either: are found in that part of the rules gov-
(1) The mean output power of the amplifier erning the service wherein the equip-
decreases, as frequency decreases from 144 ment is to be operated. In addition to
MHz, to a point where 0 decibels or less gain the technical standards provided, the
is exhibited at 120 MHz and below 120 MHz; or rules governing the service may re-
(2) The amplifier is not capable of even quire that such equipment be verified
short periods of operation below 120 MHz
without sustaining permanent damage to its
by the manufacturer or importer, be
amplification circuitry. authorized under a Declaration of Con-
formity, or receive an equipment au-
(d) The proscription in paragraph (b) thorization from the Commission by
of this section shall not apply to the one of the following procedures: certifi-
marketing, as defined in paragraph (b) cation or registration.
of this section, by a licensed amateur (b) The following sections describe
radio operator to another licensed the verification procedure, the proce-
amateur radio operator of an external dure for a Declaration of Conformity,
radio frequency power amplifier fab- and the procedures to be followed in
ricated in not more than one unit of obtaining certification from the Com-
the same model in a calendar year by mission and the conditions attendant
that operator provided the amplifier is to such a grant.
for the amateur operator’s personal use
at his licensed amateur radio station [61 FR 31045, June 19, 1996, as amended at 62
FR 10470, Mar. 7, 1997; 63 FR 36597, July 7,
and the requirements of §§ 97.315 and
1998]
97.317 of this chapter are met.
(e) The proscription in paragraph (c) § 2.902 Verification.
of this section shall not apply in the
marketing, as defined in paragraph (c) (a) Verification is a procedure where
of this section, by a licensed amateur the manufacturer makes measure-
radio operator to another licensed ments or takes the necessary steps to
amateur radio operator of an external insure that the equipment complies
radio frequency power amplifier if the with the appropriate technical stand-
amplifier is for the amateur operator’s ards. Submittal of a sample unit or
personal use at his licensed amateur representative data to the Commission
radio station and the requirements of demonstrating compliance is not re-
§§ 97.315 and 97.317 of this chapter are quired unless specifically requested by
met. the Commission pursuant to § 2.957, of
this part.
[40 FR 1246, Jan. 7, 1975; 40 FR 6474, Feb. 12, (b) Verification attaches to all items
1975, as amended at 43 FR 12687, Mar. 27, 1978; subsequently marketed by the manu-
43 FR 33725, Aug. 1, 1978; 46 FR 18981, Mar. 27, facturer or importer which are iden-
1981; 62 FR 10470, Mar. 7, 1997]
tical as defined in § 2.908 to the sample
tested and found acceptable by the
Subpart J—Equipment manufacturer.
Authorization Procedures
1082, 1083; 47 U.S.C. 154, 303, 307)
SOURCE: 39 FR 5919, Feb. 15, 1974, unless
otherwise noted. [46 FR 23249, Apr. 24, 1981]
GENERAL PROVISIONS § 2.906 Declaration of Conformity.

(a) A Declaration of Conformity is a
§ 2.901 Basis and purpose. procedure where the responsible party,
(a) In order to carry out its respon- as defined in § 2.909, makes measure-
sibilities under the Communications ments or takes other necessary steps
Act and the various treaties and inter- to ensure that the equipment complies
national regulations, and in order to with the appropriate technical stand-
promote efficient use of the radio spec- ards. Submittal of a sample unit or
trum, the Commission has developed representative data to the Commission
565
§ 2.907 47 CFR Ch. I (10–1–02 Edition)
demonstrating compliance is not re- procedure, the manufacturer or, in the

quired unless specifically requested case of imported equipment, the im-
pursuant to § 2.1076. porter. If subsequent to manufacture
(b) The Declaration of Conformity at- and importation, the radio frequency
taches to all items subsequently mar- equipment is modified by any party not
keted by the responsible party which working under the authority of the re-
are identical, as defined in § 2.908, to sponsible party, the party performing
the sample tested and found acceptable the modification becomes the new re-
by the responsible party.
sponsible party.
[61 FR 31045, June 19, 1996] (c) In the case of equipment subject
to authorization under the Declaration
§ 2.907 Certification.
of Conformity procedure:
(a) Certification is an equipment au- (1) The manufacturer or, if the equip-
thorization issued by the Commission, ment is assembled from individual
based on representations and test data component parts and the resulting sys-
submitted by the applicant. tem is subject to authorization under a
(b) Certification attaches to all units
Declaration of Conformity, the assem-
subsequently marketed by the grantee
bler.
which are identical (see § 2.908) to the
sample tested except for permissive (2) If the equipment, by itself, is sub-
changes or other variations authorized ject to a Declaration of Conformity and
by the Commission pursuant to § 2.1043. that equipment is imported, the im-
porter.
FR 27802, Aug. 1, 1974; 63 FR 36597, July 7,
(3) Retailers or original equipment
1998] manufacturers may enter into an
agreement with the responsible party
§ 2.908 Identical defined. designated in paragraph (c)(1) or (c)(2)
As used in this subpart, the term of this section to assume the respon-
identical means identical within the sibilities to ensure compliance of
variation that can be expected to arise equipment and become the new respon-
as a result of quantity production tech- sible party.
niques. (4) If the radio frequency equipment
(Secs. 4, 303, 307, 48 Stat., as amended, 1066, is modified by any party not working
1082, 1083; 47 U.S.C. 154, 303, 307) under the authority of the responsible
[46 FR 23249, Apr. 24, 1981]
party, the party performing the modi-
fications, if located within the U.S., or
§ 2.909 Responsible party. the importer, if the equipment is im-
The following parties are responsible ported subsequent to the modifica-
for the compliance of radio frequency tions, becomes the new responsible
equipment with the applicable stand- party.
ards: (d) If, because of modifications per-
(a) In the case of equipment which re- formed subsequent to authorization, a
quires the issuance by the Commission new party becomes responsible for en-
of a grant of equipment authorization, suring that a product complies with
the party to whom that grant of au- the technical standards and the new
thorization is issued (the grantee) If party does not obtain a new equipment
the radio frequency equipment is modi- authorization, the equipment shall be
fied by any party other than the grant- labelled, following the specifications in
ee and that party is not working under § 2.925(d), with the following: ‘‘This
the authorization of the grantee pursu- product has been modified by [insert
ant to § 2.929(b), the party performing
name, address and telephone number of
the modification is responsible for
the party performing the modifica-
compliance of the product with the ap-
plicable administrative and technical tions].’’
provisions in this chapter. [54 FR 17712, Apr. 25, 1989, as amended at 61
(b) In the case of equipment subject FR 31045, June 19, 1996; 62 FR 10470, Mar. 7,
to authorization under the verification 1997; 62 FR 41880, Aug. 4, 1997]
566
APPLICATION PROCEDURES FOR cluding symbols formed by computer-

EQUIPMENT AUTHORIZATIONS generated electronic impulses.
§ 2.911 Written application required. [39 FR 5919, Feb. 15, 1974, as amended at 39
FR 27802, Aug. 1, 1974; 52 FR 5294, Feb. 20,
(a) An application for equipment au- 1987. Redesignated at 54 FR 17712, Apr. 25,
thorization shall be filed on a form pre- 1989; 63 FR 36598, July 7, 1998]
scribed by the Commission.
(b) Each application shall be accom- § 2.913 Submittal of equipment author-
ization application or information
panied by all information required by to the Commission.
this subpart and by those parts of the
rules governing operation of the equip- (a) Unless otherwise directed, appli-
ment, and by requisite test data, dia- cations with fees attached for the
grams, etc., as specified in this subpart equipment authorization, pursuant to
and in those sections of rules § 1.1103 of this chapter, must be sub-
whereunder the equipment is to be op- mitted following the procedures de-
scribed in § 0.401(b) of this chapter. The
erated.
address for applications submitted by
(c) Each application including mail is: Federal Communications Com-
amendments thereto, and related state- mission, Equipment Approval Services,
ments of fact required by the Commis- P. O. Box 358315, Pittsburgh, PA 15251–
sion, shall be personally signed by the 5315. If the applicant chooses to make
applicant if the applicant is an indi- use of an air courier/package delivery
vidual; by one of the partners if the ap- service, the following address must ap-
plicant is a partnership; by an officer, pear on the outside of the package/en-
if the applicant is a corporation; or by velope: Federal Communications Com-
a member who is an officer, if the ap- mission, c/o Mellon Bank, Three Mel-
plicant is an unincorporated associa- lon Bank Center, 525 William Penn
tion: Provided, however, That the appli- Way, 27th floor, Room 153–2713, Pitts-
cation may be signed by the applicant’s burgh, Pennsylvania 15259–0001, Atten-
authorized representative who shall in- tion: Wholesale Lockbox Supervisor.
dicate his title, such as plant manager, (b) Any information or equipment
project engineer, etc. samples requested by the Commission
(d) Technical test data shall be pursuant to the provisions of subpart J
signed by the person who performed or of this part shall, unless otherwise di-
supervised the tests. The person sign- rected, be submitted to the Federal
ing the test data shall attest to the ac- Communications Commission, Equip-
curacy of such data. The Commission ment Authorization Division, 7435 Oak-
may require such person to submit a land Mills Road, Columbia, Maryland
statement showing that he is qualified 21046.
to make or supervise the required (c) Effective October 5, 1999, all appli-
measurements. cations for equipment authorization
(e) The signatures of the applicant must be filed electronically. The Com-
and the person certifying the test data mission will be amenable to consider-
shall be made personally by those per- ation of waiver requests from small
sons on the original application; copies businesses that find it a hardship to
of such documents may be conformed. file applications electronically. Infor-
Signatures and certifications need not mation on the procedures for electroni-
be made under oath. cally filing equipment authorization
(f) Each application shall be accom- applications can be obtained from the
panied by the processing fee prescribed address in paragraph (b) of this section.
in subpart G of part 1 of this chapter. [61 FR 31045, June 19, 1996, as amended at 62
(g) Signed, as used in this section, FR 10470, Mar. 7, 1997; 63 FR 36598, July 7,
means an original handwritten signa- 1998]
ture; however, the Office of Engineer-
ing and Technology may allow signa- § 2.915 Grant of application.
ture by any symbol executed or adopt- (a) The Commission will grant an ap-
ed by the applicant with the intent plication for certification if it finds
that such symbol be a signature, in- from an examination of the application
567
§ 2.917 47 CFR Ch. I (10–1–02 Edition)
and supporting data, or other matter as set out in subpart B of part 1 of this
which it may officially notice, that: chapter.
(1) The equipment is capable of com-
plying with pertinent technical stand- § 2.923 Petition for reconsideration;
ards of the rule part(s) under which it application for review.
is to be operated; and, Persons aggrieved by virtue of an
(2) A grant of the application would equipment authorization action may
serve the public interest, convenience file with the Commission a petition for
and necessity. reconsideration or an application for
(b) Grants will be made in writing review. Rules governing the filing of
showing the effective date of the grant petitions for reconsideration and appli-
and any special condition(s) attaching cations for review are set forth in
to the grant. §§ 1.106 and 1.115, respectively, of this
(c) Certification shall not attach to chapter.
any equipment, nor shall any equip-
ment authorization be deemed effec- § 2.924 Marketing of electrically iden-
tive, until the application has been tical equipment having multiple
granted. trade names and models or type
numbers under the same FCC Iden-
[39 FR 5919, Feb. 15, 1974, as amended at 48 tifier.
FR 3621, Jan. 26, 1983; 62 FR 10470, Mar. 7,
1997; 63 FR 36598, July 7, 1998] The grantee of an equipment author-
ization may market devices having dif-
§ 2.917 Dismissal of application. ferent model/type numbers or trade
names without additional authoriza-
(a) An application which is not in ac-
tion from the Commission, provided
cordance with the provisions of this
that such devices are electrically iden-
subpart may be dismissed.
tical and the equipment bears an FCC
(b) Any application, upon written re-
Identifier validated by a grant of
quest signed by the applicant or his at-
equipment authorization. A device will
torney, may be dismissed prior to a de-
be considered to be electrically iden-
termination granting or denying the
tical if no changes are made to the de-
authorization requested.
vice authorized by the Commission, or
(c) If an applicant is requested by the
if the changes made to the device
Commission to file additional docu-
would be treated as class I permissive
ments or information and fails to sub-
changes within the scope of
mit the requested material within 60
§ 2.1043(b)(1). Changes to the model
days, the application may be dismissed.
number or trade name by anyone other
[39 FR 5919, Feb. 15, 1974, as amended at 62 than the grantee, or under the author-
FR 10470, Mar. 7, 1997] ization of the grantee, shall be per-
formed following the procedures in
§ 2.919 Denial of application. § 2.933.
If the Commission is unable to make
the findings specified in § 2.915(a), it
FR 36598, July 7, 1998]
will deny the application. Notification
to the applicant will include a state- § 2.925 Identification of equipment.
ment of the reasons for the denial.
(a) Each equipment covered in an ap-
§ 2.921 Hearing on application. plication for equipment authorization
shall bear a nameplate or label listing
Whenever it is determined that an
the following:
application for equipment authoriza-
tion presents substantial factual ques- (1) FCC Identifier consisting of the
tions relating to the qualifications of two elements in the exact order speci-
the applicant or the equipment (or the fied in § 2.926. The FCC Identifier shall
effects of the use thereof), the Commis- be preceded by the term FCC ID in cap-
sion may designate the application for ital letters on a single line, and shall
hearing. A hearing on an application be of a type size large enough to be leg-
for an equipment authorization shall ible without the aid of magnification.
be conducted in the same manner as a Example: FCC ID XXX123. XXX—Grantee
hearing on a radio station application Code 123—Equipment Product Code
568
(2) Any other statements or labeling time period will constitute de-facto ac-
requirements imposed by the rules gov- ceptance of the nameplate/label design
erning the operation of the specific for that particular equipment. Such de
class of equipment, except that such facto acceptance will be limited to the
statement(s) of compliance may appear equipment covered by the particular
on a separate label at the option of the application and will not be considered
applicant/grantee. to establish a precedent for other appli-
(3) Equipment subject only to reg- cations. This review deadline applies
istration will be identified pursuant to only to the proposed nameplate/label
part 68 of this chapter. design, not to the remainder of the ap-
(b) Any device subject to more than plication.
one equipment authorization procedure (4) For a transceiver, the receiver
may be assigned a single FCC Identi-
portion of which is subject to
fier. However, a single FCC Identifier is
verification pursuant to § 15.101 of this
required to be assigned to any device
chapter, the FCC Identifier required for
consisting of two or more sections as-
the transmitter portion shall be pre-
sembled in a common enclosure, on a
common chassis or circuit board, and ceded by the term FCC ID.
with common frequency controlling (c) [Reserved]
circuits. Devices to which a single FCC (d) In order to validate the grant of
Identifier has been assigned shall be equipment authorization, the name-
identified pursuant to paragraph (a) of plate or label shall be permanently af-
this section. fixed to the equipment and shall be
(1) Separate FCC Identifiers may be readily visible to the purchaser at the
assigned to a device consisting of two time of purchase.
or more sections assembled in a com- (1) As used here, permanently affixed
mon enclosure, but constructed on sep- means that the required nameplate
arate sub-units or circuit boards with data is etched, engraved, stamped, in-
independent frequency controlling cir- delibly printed, or otherwise perma-
cuits. The FCC Identifier assigned to nently marked on a permanently at-
any transmitter section shall be pre- tached part of the equipment enclo-
ceded by the term TX FCC ID, the FCC sure. Alternatively, the required infor-
Identifier assigned to any receiver sec- mation may be permanently marked on
tion shall be preceded by the term RX a nameplate of metal, plastic, or other
FCC ID and the identifier assigned to material fastened to the equipment en-
any remaining section(s) shall be pre- closure by welding, riveting, etc., or
ceded by the term FCC ID. with a permanent adhesive. Such a
(2) Where telephone equipment sub- nameplate must be able to last the ex-
ject to part 68 of this chapter, and a ra-
pected lifetime of the equipment in the
diofrequency device subject to equip-
environment in which the equipment
ment authorization requirements are
will be operated and must not be read-
assembled in a common enclosure, the
ily detachable.
nameplate/label shall display the FCC
Registration Number in the format (2) As used here, readily visible means
specified in part 68 and the FCC Identi- that the nameplate or nameplate data
fier in the format specified in para- must be visible from the outside of the
graph (a) of this section. equipment enclosure. It is preferable
(3) Applications filed on or after May that it be visible at all times during
1, 1981, and applications filed earlier re- normal installation or use, but this is
questing equipment authorization not a prerequisite for grant of equip-
using the single system of identifica- ment authorization.
tion pursuant to section (a)(1) will re- (e) A software defined radio may be
ceive a review of the identification por- equipped with a means such as a user
tion by the Commission’s Laboratory display screen to display the FCC iden-
with respect to nameplate/label design tification number normally contained
within 30 days after receipt at the Lab- in the nameplate or label. The informa-
oratory. Failure by the Laboratory to tion must be readily accessible, and the
reject a nameplate design proposed in user manual must describe how to ac-
any particular application within this cess the electronic display.
569
§ 2.926 47 CFR Ch. I (10–1–02 Edition)
(f) Where it is shown that a perma- applicant will be notified to make any
nently affixed nameplate is not desir- necessary label revisions in order to
able or is not feasible, an alternative comply fully with application proce-
method of positively identifying the dural rules.
equipment may be used if approved by (1) After assignment of a grantee
the Commission. The proposed alter- code each grantee will continue to use
native method of identification and the the same grantee code for subsequent
justification for its use must be in- equipment authorization applications.
cluded with the application for equip-
In the event the grantee name is
ment authorization.
changed or ownership is transferred,
NOTE: As an example, a device intended to the circumstances shall be reported to
be implanted within the body of a test ani- the Commission so that a new grantee
mal or person would probably require an al-
code can be assigned, if appropriate.
ternate method of identification.
See §§ 2.934 and 2.935 for additional in-
(g) The term FCC ID and the coded formation.
identification assigned by the Commis- (2) [Reserved]
sion shall be in a size of type large (d) The equipment product code as-
enough to be readily legible, consistent signed by the grantee shall consist of a
with the dimensions of the equipment series of Arabic numerals, capital let-
and its nameplate. However, the type
ters or a combination thereof, and may
size for the FCC Identifier is not re-
include the dash or hyphen (-). The
quired to be larger than eight-point.
total of Arabic numerals, capital let-
[44 FR 17177, Mar. 21, 1979, as amended at 44 ters and dashes or hyphens shall not
FR 55574, Sept. 27, 1979; 46 FR 21013, Apr. 8, exceed 14 and shall be one which has
1981; 52 FR 21687, June 9, 1987; 54 FR 1698,
not been previously used in conjunc-
Jan. 17, 1989; 62 FR 10470, Mar. 7, 1997; 66 FR
50840, Oct. 5, 2001] tion with:
(1) The same grantee code, or
§ 2.926 FCC identifier. (2) An application denied pursuant to
(a) A grant of equipment authoriza- § 2.919 of this chapter.
tion issued by the Commission will list (e) No FCC Identifier may be used on
the validated FCC Identifier consisting equipment to be marketed unless that
of the grantee code assigned by the specific identifier has been validated
FCC pursuant to paragraph (b) of this by a grant of equipment authorization
section, and the equipment product issued by the Commission. This shall
code assigned by the grantee pursuant not prohibit placement of an FCC iden-
to paragraph (c) of this section. See tifier on a transceiver which includes a
§ 2.925. verified receiver subject to § 15.101, pro-
(b) The grantee code assigned pursu- vided that the transmitter portion of
ant to paragraph (c) of this section is such transceiver is covered by a valid
assigned permanently to applicants/ grant of type acceptance or certifi-
grantees and is valid only for the party cation. The FCC Identifier is uniquely
specified as the applicant/grantee in assigned to the grantee and may not be
the code assignment(s). placed on the equipment without au-
(c) A grantee code will have three thorization by the grantee. See § 2.803
characters consisting of Arabic numer-
for conditions applicable to the display
als, capital letters, or combination
at trade shows of equipment which has
thereof. A prospective grantee or his
not been granted equipment authoriza-
authorized representative may submit
a written request to the Commission tion where such grant is required prior
for assignment of a grantee code at any to marketing. Labelling of such equip-
time. However, it is preferred that ment may include model or type num-
grantee codes be requested prior to fil- bers, but shall not include a purported
ing applications for equipment author- FCC Identifier.
ization. If a grantee code is not re- [44 FR 17179, Mar. 21, 1979, as amended at 46
quested in advance, one will be as- FR 21014, Apr. 8, 1981; 52 FR 21687, June 9,
signed at the time an application is re- 1987; 54 FR 1698, Jan. 17, 1989; 62 FR 10471,
ceived by the FCC Laboratory and the Mar. 7, 1997]
570
CONDITIONS ATTENDANT TO AN NOTE TO PARAGRAPH (b)(1): Any change in

EQUIPMENT AUTHORIZATION the FCC Identifier desired as a result of such
production or marketing agreement will re-
§ 2.927 Limitations on grants. quire the filing of a new application for an
equipment authorization as specified in
(a) A grant of equipment authoriza-
§ 2.933.
tion is valid only when the FCC Identi-
fier is permanently affixed on the de- (2) The grantee of the equipment au-
vice and remains effective until re- thorization shall continue to be respon-
voked or withdrawn, rescinded, surren- sible to the Commission for the equip-
dered, or a termination date is other- ment produced pursuant to such an
wise established by the Commission. agreement.
(b) A grant of an equipment author- (c) Whenever there is a change in the
ization signifies that the Commission name and/or address of the grantee of
has determined that the equipment has an equipment authorization, written
been shown to be capable of compliance
notice of such change(s) shall be sub-
with the applicable technical standards
mitted to the Commission within 30
if no unauthorized change is made in
days after the grantee starts using the
the equipment and if the equipment is
properly maintained and operated. The new name and/or address.
issuance of a grant of equipment au- (d) In the case of transactions affect-
thorization shall not be construed as a ing the grantee, such as a transfer of
finding by the Commission with re- control or sale to another company,
spect to matters not encompassed by mergers, or transfer of manufacturing
the Commission’s rules, especially with rights, notice must be given to the
respect to compliance with 18 U.S.C. Commission in writing within 60 days
2512. after the consummation of the trans-
(c) No person shall, in any adver- action. Depending on the cir-
tising matter, brochure, etc., use or cumstances in each case, the Commis-
make reference to an equipment au- sion may require new applications for
thorization in a deceptive or mis- equipment authorization. In reaching a
leading manner or convey the impres- decision the Commission will consider
sion that such equipment authoriza- whether the acquiring party can ade-
tion reflects more than a Commission quately ensure and accept responsi-
determination that the device or prod- bility for continued compliance with
uct has been shown to be capable of the regulations. In general, new appli-
compliance with the applicable tech- cations for each device will not be re-
nical standards of the Commission’s quired. A single application for equip-
rules. ment authorization may be filed cov-
[39 FR 5919, Feb. 15, 1974, as amended at 44 ering all the affected equipment.
FR 29066, May 18, 1979; 62 FR 10471, Mar. 7,
1997] [63 FR 36598, July 7, 1998]
§ 2.929 Changes in name, address, own- § 2.931 Responsibility of the grantee.

ership or control of grantee. In accepting a grant of an equipment
(a) An equipment authorization authorization, the grantee warrants
issued by the Commission may not be that each unit of equipment marketed
assigned, exchanged or in any other under such grant and bearing the iden-
way transferred to a second party, ex- tification specified in the grant will
cept as provided in this section. conform to the unit that was measured
(b) The grantee of an equipment au- and that the data (design and rated
thorization may license or otherwise operational characteristics) filed with
authorize a second party to manufac- the application for certification con-
ture the equipment covered by the tinues to be representative of the
grant of the equipment authorization equipment being produced under such
provided: grant within the variation that can be
(1) The equipment manufactured by expected due to quantity production
such second party bears the FCC Iden-
and testing on a statistical basis.
tifier as is set out in the grant of the
equipment authorization. [63 FR 36598, July 7, 1998]
571
§ 2.932 47 CFR Ch. I (10–1–02 Edition)
§ 2.932 Modification of equipment. to be a change in identification and

does not require additional authoriza-
(a) A new application for an equip-
tion from the Commission.
ment authorization shall be filed when-
(b) An application filed pursuant to
ever there is a change in the design,
paragraph (a) of this section where no
circuitry or construction of an equip-
change in design, circuitry or construc-
ment or device for which an equipment
tion is involved, need not be accom-
authorization has been issued, except
panied by a resubmission of equipment
as provided in paragraphs (b) through
or measurement or test data custom-
(d) of this section.
arily required with a new application,
(b) Permissive changes may be made
unless specifically requested by the
in certificated equipment, and equip-
Commission. In lieu thereof, the appli-
ment that was authorized under the
cant shall attach a statement setting
former type acceptance procedure, pur-
out:
suant to § 2.1043.
(1) The original identification used
(c) Permissive changes may be made
on the equipment prior to the change
in equipment that was authorized
in identification.
under the former notification proce-
(2) The date of the original grant of
dure without submittal of information
the equipment authorization.
to the Commission, unless the equip-
(3) How the equipment bearing the
ment is currently subject to authoriza-
modified identification differs from the
tion under the certification procedure.
original equipment.
However, the grantee shall submit in-
(4) Whether the original test results
formation documenting continued
continue to be representative of and
compliance with the pertinent require-
applicable to the equipment bearing
ments upon request.
the changed identification.
(d) All requests for permissive (5) The photographs required by
changes submitted to the Commission § 2.1033(b)(7) or § 2.1033(c)(12) showing
must be accompanied by the anti-drug the exterior appearance of the equip-
abuse certification required under ment, including the operating controls
§ 1.2002 of this chapter. available to the user and the identi-
(e) Manufacturers must take steps to fication label. Photographs of the con-
ensure that only software that has struction, the component placement on
been approved with a software defined the chassis, and the chassis assembly
radio can be loaded into such a radio. are not required to be submitted unless
The software must not allow the user specifically requested by the Commis-
to operate the transmitter with fre- sion.
quencies, output power, modulation (c) If the change in the FCC Identifier
types or other parameters outside of also involves a change in design or cir-
those that were approved. Manufactur- cuitry which falls outside the purview
ers may use authentication codes or of a permissive change described in
any other means to meet these require- § 2.1043, a complete application shall be
ments, and must describe the methods filed pursuant to § 2.911.
in their application for equipment au-
thorization. [63 FR 36598, July 7, 1998]
[63 FR 36598, July 7, 1998, as amended at 66 § 2.936 FCC inspection.

FR 50840, Oct. 5, 2001]
Upon reasonable request, each re-
§ 2.933 Change in identification of sponsible party shall submit the fol-
equipment. lowing to the Commission or shall
make the following available for in-
(a) A new application for equipment
spection:
authorization shall be filed whenever
(a) The records required by §§ 2.938,
there is a change in the FCC Identifier
2.955, and 2.1075.
for the equipment with or without a
(b) A sample unit of the equipment
change in design, circuitry or construc-
covered under an authorization.
tion. However, a change in the model/
(c) The manufacturing plant and fa-
type number or trade name performed
cilities.
in accordance with the provisions in
§ 2.924 of this chapter is not considered [62 FR 10471, Mar. 7, 1997]
572
§ 2.937 Equipment defect and/or design clusion of an investigation or a pro-

change. ceeding if the responsible party (or,
When a complaint is filed with the under paragraph (b) of this section, the
Commission concerning the failure of manufacturer) is officially notified
equipment subject to this chapter to that an investigation or any other ad-
comply with pertinent requirements of ministrative proceeding involving its
the Commission’s rules, and the Com- equipment has been instituted.
(d) If radio frequency equipment is
mission determines that the complaint
modified by any party other than the
is justified and arises out of an equip-
original responsible party, and that
ment fault attributable to the respon-
party is not working under the author-
sible party, the Commission may re-
ization of the original responsible
quire the responsible party to inves-
party, the party performing the modi-
tigate such complaint and report the
fications is not required to obtain the
results of such investigation to the
original design drawings specified in
Commission. The report shall also indi-
paragraph (a)(1) of this section. How-
cate what action if any has been taken
ever, the party performing the modi-
or is proposed to be taken by the re-
fications must maintain records show-
sponsible party to correct the defect,
ing the changes made to the equipment
both in terms of future production and
along with the records required in
with reference to articles in the posses-
paragraphs (a)(3) of this section. A new
sion of users, sellers and distributors.
equipment authorization may also be
[61 FR 31046, June 19, 1996] required. See, for example, §§ 2.909,
2.924, 2.933, and 2.1043.
§ 2.938 Retention of records.
(a) For each equipment subject to the FR 36599, July 7, 1998]
Commission’s equipment authorization
standards, the responsible party shall § 2.939 Revocation or withdrawal of
maintain the records listed as follows: equipment authorization.
(1) A record of the original design (a) The Commission may revoke any
drawings and specifications and all equipment authorization:
changes that have been made that may (1) For false statements or represen-
affect compliance with the standards tations made either in the application
and the requirements of § 2.931. or in materials or response submitted
(2) A record of the procedures used in connection therewith or in records
for production inspection and testing required to be kept by § 2.938.
to ensure conformance with the stand- (2) If upon subsequent inspection or
ards and the requirements of § 2.931. operation it is determined that the
(3) A record of the test results that equipment does not conform to the per-
demonstrate compliance with the ap- tinent technical requirements or to the
propriate regulations in this chapter. representations made in the original
(b) The provisions of paragraph (a) of application.
this section shall also apply to a manu- (3) If it is determined that changes
facturer of equipment produced under have been made in the equipment other
the provisions of § 2.929(b). The reten- than those authorized by the rules or
tion of the records by the manufac- otherwise expressly authorized by the
turer under these circumstances shall Commission.
satisfy the grantee’s responsibility (4) Because of conditions coming to
under paragraph (a) of this section. the attention of the Commission which
(c) The records listed in paragraph (a) would warrant it in refusing to grant
of this section shall be retained for one an original application.
year for equipment subject to author- (b) Revocation of an equipment au-
ization under the certification proce- thorization shall be made in the same
dure or former type acceptance proce- manner as revocation of radio station
dure, or for two years for equipment licenses.
subject to authorization under any (c) The Commission may withdraw
other procedure, after the manufacture any equipment authorization in the
of said equipment has been perma- event of changes in its technical stand-
nently discontinued, or until the con- ards. The procedure to be followed will
573
§ 2.941 47 CFR Ch. I (10–1–02 Edition)
be set forth in the order promulgating sion. Failure to comply with such a re-
such new technical standards (after ap- quest within 14 days or such additional
propriate rulemaking proceedings) and time as the Commission may allow
will provide a suitable amortization pe- may be cause for denial of authoriza-
riod for equipment in hands of users tion, forfeiture pursuant to § 1.80 of this
and in the manufacturing process. chapter, or other administrative sanc-
tions.
FR 39535, Oct. 29, 1986] [66 FR 50840, Oct. 5, 2001]
§ 2.941 Availability of information re- § 2.945 Sampling tests of equipment

lating to grants. compliance.
(a) Grants of equipment authoriza- The Commission will, from time to
tion, other than for receivers and time, request the responsible party to
equipment authorized for use under submit equipment subject to this chap-
parts 15 or 18 of this chapter, will be ter to determine the extent to which
publicly announced in a timely manner subsequent production of such equip-
by the Commission. Information about ment continues to comply with the
the authorization of a device using a data filed by the applicant (or on file
particular FCC Identifier may be ob- with the responsible party for equip-
tained by contacting the Commission’s ment subject to notification or a Dec-
Office of Engineering and Technology laration of Conformity). Shipping costs
Laboratory. to the Commission’s laboratory and re-
(b) Information relating to equip- turn shall be borne by the responsible
ment authorizations, such as data sub- party.
mitted by the applicant in connection
with an authorization application, lab- [61 FR 31046, June 19, 1996]
oratory tests of the device, etc., shall
be available in accordance with §§ 0.441 § 2.946 Penalty for failure to provide
test samples and data.
through 0.470 of this chapter.
(a) Any responsible party, as defined
[62 FR 10472, Mar. 7, 1997]
in § 2.909, or any party who markets
§ 2.943 Submission of equipment for equipment subject to the provisions of
testing. this chapter, shall provide test sam-
ple(s) or data upon request by the Com-
(a) The Commission may require an
mission. Failure to comply with such a
applicant to submit one or more sam-
request within 14 days may be cause for
ple units for measurement at the Com-
forfeiture, pursuant to § 1.80 of this
mission’s laboratory.
chapter, or other administrative sanc-
(b) In the event the applicant be-
tions such as suspending action on any
lieves that shipment of the sample to
applications for equipment authoriza-
the Commission’s laboratory is imprac-
tion submitted by such party while the
tical because of the size or weight of
matter is being resolved.
the equipment, or the power require-
ment, or for any other reason, the ap- (b) The Commission may consider ex-
plicant may submit a written expla- tensions of time upon submission of a
nation why such shipment is imprac- showing of good cause.
tical and should not be required. [63 FR 36599, July 7, 1998]
FR 3621, Jan. 26, 1983; 63 FR 36599, July 7,
§ 2.947 Measurement procedure.
1998] (a) The Commission will accept data
which have been measured in accord-
§ 2.944 Submission of radio software. ance with the following standards or
The grantee or other party respon- measurement procedures:
sible for compliance of a software de- (1) Those set forth in bulletins or re-
fined radio, or the applicant for author- ports prepared by the Commission’s Of-
ization of a software defined radio shall fice of Engineering and Technology.
submit a copy of the software that con- These will be issued as required, and
trols the radio frequency operating pa- specified in the particular part of the
rameters upon request by the Commis- rules where applicable.
574
(2) Those acceptable to the Commis- upon the description of the measure-
sion and published by national engi- ment facilities retained by or placed on
neering societies such as the Electronic file with the Commission by that lab-
Industries Association, the Institute of oratory. In this situation, the party re-
Electrical and Electronic Engineers, sponsible for verification of the equip-
Inc., and the American National Stand- ment is not required to retain a dupli-
ards Institute. cate copy of the description of the
(3) Any measurement procedure ac- measurement facilities.
ceptable to the Commission may be (ii) If the equipment is verified based
used to prepare data demonstrating on measurements performed at the in-
compliance with the requirements of stallation site of the equipment, no
this chapter. specific site calibration data is re-
(b) Information submitted pursuant quired. It is acceptable to retain the
to paragraph (a) of this section shall description of the measurement facili-
completely identify the specific stand- ties at the site at which the measure-
ard or measurement procedure used. ments were performed.
(c) In the case of equipment requiring (2) If the equipment is to be author-
measurement procedures not specified ized by the Commission under the cer-
in the references set forth in para- tification procedure, the description of
graphs (a) (1) and (2) of this section, the the measurement facilities shall be
applicant shall submit a detailed de- filed with the Commission’s Labora-
scription of the measurement proce- tory in Columbia, Maryland. The data
dures actually used. describing the measurement facilities
(d) A listing of the test equipment need only be filed once but must be up-
used shall be submitted. dated as changes are made to the meas-
(e) If deemed necessary, the Commis- urement facilities or as otherwise de-
sion may require additional informa- scribed in this section. At least every
tion concerning the measurement pro- three years, the organization respon-
cedures employed in obtaining the data sible for filing the data with the Com-
submitted for equipment authorization mission shall certify that the data on
purposes. file is current.
[42 FR 44987, Sept. 8, 1977, as amended at 44 (3) If the equipment is to be author-
FR 39181, July 5, 1979; 51 FR 12616, Apr. 14, ized under a Declaration of Con-
1986] formity, the description of the meas-
urement facilities shall be retained by
§ 2.948 Description of measurement fa- the party performing the measure-
cilities. ments.
(a) Each party making measurements (b) The description shall contain the
of equipment that is subject to an following information:
equipment authorization under part 15 (1) Location of the test site.
or part 18 of this chapter, regardless of (2) Physical description of the test
whether the measurements are filed site accompanied by photographs of
with the Commission or kept on file by size A4 (21 cm × 29.7 cm) or 8×10 inches
the party responsible for compliance of (20.3 cm × 25.4 cm). Smaller photo-
equipment marketed within the U.S. or graphs may be used if they clearly
its possessions, shall compile a descrip- show the details of the test site and are
tion of the measurement facilities em- mounted on full size sheets of paper.
ployed. (3) A drawing showing the dimensions
(1) If the measured equipment is sub- of the site, physical layout of all sup-
ject to the verification procedure, the porting structures, and all structures
description of the measurement facili- within 5 times the distance between
ties shall be retained by the party re- the measuring antenna and the device
sponsible for verification of the equip- being measured.
ment. (4) Description of structures used to
(i) If the equipment is verified support the device being measured and
through measurements performed by the test instrumentation.
an independent laboratory, it is accept- (5) List of measuring equipment used.
able for the party responsible for (6) Information concerning the cali-
verification of the equipment to rely bration of the measuring equipment,
575
§ 2.948 47 CFR Ch. I (10–1–02 Edition)
i.e., the date the equipment was last (iii) This requirement does not apply
calibrated and how often the equip- to equipment that is not measured on
ment is calibrated. an open field test site.
(7) If desired, a statement as to (9) A description of the types of
whether the test site is available to do equipment intended to be measured or
measurement services for the public on other information regarding the types
a fee basis. of measurements that would be per-
(8) A plot of site attenuation data. formed at the test facility.
(i) For a measurement facility that (c) The Commission will publish a
will be used for testing radiated emis- list of those parties who have filed the
sions from a digital device on or after information required by this section,
May 1, 1994, or for testing intentional provided they indicate that they wish
and other unintentional radiators au- to perform measurement services for
thorized under part 15 of the rules on or the public on a fee basis. However, it
after June 1, 1995, the site attenuation should be noted that the Commission
data shall be taken pursuant to the does not endorse or approve any facil-
procedures contained in Sections 5.4.6 ity on this list.
through 5.5 of the following procedure: (d) If the equipment is to be author-
American National Standards Institute ized under a Declaration of Con-
(ANSI) C63.4–1992, entitled ‘‘Methods of formity, the party performing the
measurements shall be accredited for
Measurement of Radio-Noise Emissions
performing such measurements by an
from Low-Voltage Electrical and Elec-
authorized accreditation body based on
tronic Equipment in the Range of 9
the International Organization for
kHz to 40 GHz,’’ published by the Insti-
Standardization/International Electro-
tute of Electrical and Electronics Engi-
technical Commission (ISO/IEC) Guide
neers, Inc. on July 17, 1992 as document
25, ‘‘General Requirements for the
number SH15180. This incorporation by
Competence of Calibration and Testing
reference was approved by the Director
Laboratories.’’ Accreditation bodies
of the Federal Register in accordance
must be approved by the FCC’s Office
with 5 U.S.C. 552(a) and 1 CFR part 51.
of Engineering and Technology, as in-
Copies of ANSI C63.4–1992 may be ob- dicated in § 0.241 of this chapter, to per-
tained from: IEEE Standards Depart- form such accreditation based on ISO/
ment, 455 Hoes Lane, P.O. Box 1331, IEC 58, ‘‘Calibration and Testing Lab-
Piscataway, NJ 08855–1331, telephone 1– oratory Accreditation Systems—Gen-
800–678–4333. Copies of ANSI C63.4–1992 eral Requirements for Operation and
may be inspected at the following loca- Recognition.’’ The frequency for re-
tions: validation of the test site and the in-
(A) Federal Communications Com- formation required to be filed or re-
mission, 445 12th Street, SW., Office of tained by the testing party shall com-
Engineering and Technology, Wash- ply with the requirements established
ington, DC 20554, by the accrediting organization.
(B) Federal Communications Com- (1) In addition to meeting the above
mission Laboratory, 7435 Oakland Mills requirements, the accreditations of
Road, Columbia, MD 21046, or laboratories located outside of the
(C) Office of the Federal Register, 800 United States or its possessions will be
North Capitol Street, NW., suite 700, acceptable only under one of the fol-
Washington, DC. lowing conditions:
(ii) For a measurement facility that (i) If there is a mutual recognition
will be used for testing radiated emis- agreement between that country and
sions from a digital device prior to May the United States and that laboratory
1, 1994, or from intentional and other is covered by the agreement;
unintentional radiators authorized (ii) If there is an agreement between
under part 15 prior to June 1, 1995, or accrediting bodies that permits similar
from devices authorized under part 18 accreditation of U.S. facilities to per-
of the rules, the site attenuation data form testing for products marketed in
shall be taken pursuant to either ANSI that country; or
C63.4–1992, Sections 5.4.6 through 5.5, or (iii) If the country already accepts
FCC/OET Bulletin 55. the accreditation of U.S. laboratories.
576
(2) Organizations outside of the § 2.952 Limitation on verification.

United States that seek to become
(a) Verification signifies that the
accreditors may seek agreements with
manufacturer or importer has deter-
approved United States accrediting mined that the equipment has been
bodies to mutually recognize the ac- shown to be capable of compliance with
creditation of laboratories. The Com- the applicable technical standards if no
mission will review such agreements unauthorized change is made in the
and will consult with the Office of the equipment and if the equipment is
United States Trade Representative properly maintained and operated.
and other Executive Branch agencies Compliance with these standards shall
before accepting them for purposes of not be construed to be a finding by the
the DoC procedure in order to ensure manufacturer or importer with respect
that the respective foreign countries to matters not encompassed by the
accept United States accreditations Commission’s rules.
and do not impose additional barriers (b) Verification of the equipment by
upon United States companies. Accred- the manufacturer or importer is effec-
iting bodies located outside of the tive until a termination date is other-
United States will only be permitted to wise established by the Commission.
accredit laboratories within their own (c) No person shall, in any adver-
country for DoC testing. tising matter, brochure, etc., use or
(3) To facilitate use of the DoC proce- make reference to a verification in a
dure, the FCC will accept a laboratory deceptive or misleading manner or con-
that submits documentation to OET’s vey the impression that such
Equipment Authorization Division verification reflects more than a deter-
stating that it has filed an application mination by the manufacturer or im-
for accreditation with an approved lab- porter that the device or product has
oratory accreditation body and pro- been shown to be capable of compliance
vides evidence that it meets all aspects with the applicable technical standards
of ISO/IEC Guide 25. Such labs will be of the Commission’s rules.
provisionally accepted by the FCC for a
period of one year (until August 19, § 2.953 Responsibility for compliance.
1997) or until the application for ac- (a) In verifying compliance, the re-
creditation has been acted upon, sponsible party, as defined in § 2.909
whichever is sooner. A laboratory that warrants that each unit of equipment
is denied accreditation by an approved marketed under the verification proce-
accreditation body will lose its provi- dure will be identical to the unit tested
sional acceptance. However, any DoCs and found acceptable with the stand-
that were issued will remain valid. ards and that the records maintained
[54 FR 17712, Apr. 25, 1989, as amended at 57 by the responsible party continue to
FR 24990, June 12, 1992; 58 FR 37430, July 12, reflect the equipment being produced
1993; 58 FR 44893, Aug. 25, 1993; 61 FR 31046, under such verification within the vari-
June 19, 1996; 62 FR 41880, Aug. 4, 1997; 63 FR ation that can be expected due to quan-
36599, July 7, 1998; 65 FR 58466, Sept. 29, 2000] tity production and testing on a statis-
tical basis.
VERIFICATION (b) The importer of equipment sub-
ject to verification may upon receiving
AUTHORITY: Sections 2.951 through 2.957 are a written statement from the manufac-
issued under secs. 4, 303, 307, 48 Stat., as turer that the equipment complies
amended, 1066, 1082, 1083; 47 U.S.C. 154, 303, with the appropriate technical stand-
307.
ards rely on the manufacturer or inde-
SOURCE: Sections 2.951 through 2.957 appear pendent testing agency to verify com-
at 46 FR 23249, Apr. 24, 1981, unless otherwise pliance. The test records required by
noted. § 2.955 however should be in the English
language and made available to the
§ 2.951 Cross reference. Commission upon a reasonable request,
The provisions of § 2.901, et seq., shall in accordance with § 2.956.
apply to equipment subject to (c) In the case of transfer of control
verification. of equipment, as in the case of sale or
577
§ 2.954 47 CFR Ch. I (10–1–02 Edition)
merger of the grantee, the new manu- formation regarding the test site, the
facturer or importer shall bear the re- test equipment or the qualifications of
sponsibility of continued compliance of the company or individual performing
the equipment. the verification tests;
(d) Verified equipment shall be (iii) Contain a description of how the
reverified if any modification or device was actually tested, identifying
change adversely affects the emanation the measurement procedure and test
characteristics of the modified equip- equipment that was used;
ment. The party designated in § 2.909 (iv) Contain a description of the
bears responsibility for continued com- equipment under test (EUT) and sup-
pliance of subsequently produced port equipment connected to, or in-
equipment. stalled within, the EUT;
(v) Identify the EUT and support
FR 10472, Mar. 7, 1997] equipment by trade name and model
number and, if appropriate, by FCC
§ 2.954 Identification. Identifier and serial number;
(vi) Indicate the types and lengths of
Devices subject only to verification
connecting cables used and how they
shall be uniquely identified by the per-
were arranged or moved during testing;
son responsible for marketing or im-
(vii) Contain at least two drawings or
porting the equipment within the
photographs showing the test set-up
United States. However, the identifica-
for the highest line conducted emission
tion shall not be of a format which
and showing the test set-up for the
could be confused with the FCC Identi-
highest radiated emission. These draw-
fier required on certified, notified or
ings or photographs must show enough
type accepted equipment. The importer
detail to confirm other information
or manufacturer shall maintain ade-
contained in the test report. Any pho-
quate identification records to facili-
tographs used must be focused origi-
tate positive identification for each
nals without glare or dark spots and
verified device.
must clearly show the test configura-
[62 FR 10472, Mar. 7, 1997] tion used;
(viii) List all modifications, if any,
§ 2.955 Retention of records. made to the EUT by the testing com-
(a) For each equipment subject to pany or individual to achieve compli-
verification, the responsible party, as ance with the regulations in this chap-
shown in § 2.909 shall maintain the ter;
records listed as follows: (ix) Include all of the data required
(1) A record of the original design to show compliance with the appro-
drawings and specifications and all priate regulations in this chapter; and
changes that have been made that may (x) Contain, on the test report, the
affect compliance with the require- signature of the individual responsible
ments of § 2.953. for testing the product along with the
(2) A record of the procedures used name and signature of an official of the
for production inspection and testing responsible party, as designated in
(if tests were performed) to insure the § 2.909.
conformance required by § 2.953. (4) For equipment subject to the pro-
(Statistical production line emission visions in part 15 of this chapter, the
testing is not required.) records shall indicate if the equipment
(3) A record of the measurements was verified pursuant to the transition
made on an appropriate test site that provisions contained in § 15.37 of this
demonstrates compliance with the ap- chapter.
plicable regulations in this chapter. (b) The records listed in paragraph
The record shall: (a) of this section shall be retained for
(i) Indicate the actual date all test- two years after the manufacture of said
ing was performed; equipment item has been permanently
(ii) State the name of the test labora- discontinued, or until the conclusion of
tory, company, or individual per- an investigation or a proceeding if the
forming the verification testing. The manufacturer or importer is officially
Commission may request additional in- notified that an investigation or any
578
other administrative proceeding in- (NVCASE) program, or other recog-

volving his equipment has been insti- nized programs based on ISO/IEC Guide
tuted. 65, to comply with the Commission’s
qualification criteria for TCBs. NIST
FR 10472, Mar. 7, 1997]
may, in accordance with its proce-
dures, allow other appropriately quali-
§ 2.956 FCC inspection and submission fied accrediting bodies to accredit
of equipment for testing. TCBs and testing laboratories. TCBs
shall comply with the requirements in
(a) Each responsible party shall upon
§ 2.962 of this part.
receipt of reasonable request:
(c) In accordance with the terms of
(1) Submit to the Commission the an effective bilateral or multilateral
records required by § 2.955. mutual recognition agreement or ar-
(2) Submit one or more sample units rangement (MRA) to which the United
for measurements at the Commission’s States is a party, bodies outside the
Laboratory. United States shall be permitted to au-
(i) Shipping costs to the Commis- thorize equipment in lieu of the Com-
sion’s Laboratory and return shall be mission. A body in an MRA partner
borne by the responsible party. economy may authorize equipment to
(ii) In the event the responsible party U.S. requirements only if that econ-
believes that shipment of the sample to omy permits bodies in the United
the Commission’s Laboratory is im- States to authorize equipment to its
practical because of the size or weight requirements. The authority desig-
of the equipment, or the power require- nating these telecommunication cer-
ment, or for any other reason, the re- tification bodies shall meet the fol-
sponsible party may submit a written lowing criteria.
explanation why such shipment is im- (1) The organization accrediting the
practical and should not be required. prospective telecommunication certifi-
(b) Requests for the submission of the cation body shall be capable of meeting
records in § 2.955 or for the submission the requirements and conditions of
of sample units are covered under the ISO/IEC Guide 61.
provisions of § 2.946. (2) The organization assessing the
[62 FR 10472, Mar. 7, 1997] telecommunication certification body
shall appoint a team of qualified ex-
§ 2.960 Designation of Telecommuni- perts to perform the assessment cov-
cation Certification Bodies (TCBs). ering all of the elements within the
(a) The Commission may designate scope of accreditation. For assessment
Telecommunication Certification Bod- of telecommunications equipment, the
ies (TCBs) to approve equipment as re- areas of expertise to be used during the
quired under this part. Certification of assessment shall include, but not be
equipment by a TCB shall be based on limited to, electromagnetic compat-
an application with all the information ibility and telecommunications equip-
specified in this part. The TCB shall ment (wired and wireless).
process the application to determine [64 FR 4995, Feb. 2, 1999]
whether the product meets the Com-
mission’s requirements and shall issue § 2.962 Requirements for Tele-
a written grant of equipment author- communication Certification Bod-
ization. The grant shall identify the ies.
TCB and the source of authority for (a) Telecommunication certification
issuing it. bodies (TCBs) designated by the Com-
(b) The Federal Communications mission, or designated by another au-
Commission shall designate TCBs in thority pursuant to an effective bilat-
the United States to approve equip- eral or multilateral mutual recogni-
ment subject to certification under the tion agreement or arrangement to
Commission’s rules. TCBs shall be ac- which the United States is a party,
credited by the National Institute of shall comply with the following re-
Standards and Technology (NIST) quirements.
under its National Voluntary Con- (b) Certification methodology. (1) The
formity Assessment Evaluation certification system shall be based on
579
§ 2.962 47 CFR Ch. I (10–1–02 Edition)
type testing as identified in sub-clause (6) The Commission will provide pub-
1.2(a) of ISO/IEC Guide 65. lic notice of the specific methods that
(2) Certification shall normally be will be used to accredit TCBs, con-
based on testing no more than one un- sistent with these qualification cri-
modified representative sample of each teria.
product type for which certification is (d) Sub-contractors. (1) In accordance
sought. Additional samples may be re- with the provisions of sub-clause 4.4 of
quested if clearly warranted, such as ISO/IEC Guide 65, the testing of a prod-
when certain tests are likely to render uct, or a portion thereof, may be per-
a sample inoperative. formed by a sub-contractor of a des-
(c) Criteria for Designation. (1) To be ignated TCB, provided the laboratory
designated as a TCB under this section, has been assessed by the TCB as com-
an entity shall, by means of accredita- petent and in compliance with the ap-
tion, meet all the appropriate speci- plicable provisions of ISO/IEC Guide 65
fications in ISO/IEC Guide 65 for the and other relevant standards and
scope of equipment it will certify. The guides.
accreditation shall specify the group of (2) When a subcontractor is used, the
equipment to be certified and the ap- TCB shall be responsible for the test
plicable regulations for product evalua- results and shall maintain appropriate
tion. oversight of the subcontractor to en-
sure reliability of the test results.
(2) The TCB shall demonstrate expert
Such oversight shall include periodic
knowledge of the regulations for each
audits of products that have been test-
product with respect to which the body
ed.
seeks designation. Such expertise shall
(e) Designation of TCBs. (1) The Com-
include familiarity with all applicable
mission will designate as a TCB any or-
technical regulations, administrative
ganization that meets the qualification
provisions or requirements, as well as
criteria and is accredited by NIST or
the policies and procedures used in the
its recognized accreditor.
application thereof.
(2) The Commission will withdraw
(3) The TCB shall have the technical the designation of a TCB if the TCB’s
expertise and capability to test the accreditation by NIST or its recognized
equipment it will certify and shall also accreditor is withdrawn, if the Com-
be accredited in accordance with ISO/ mission determines there is just cause
IEC Guide 25 to demonstrate it is com- for withdrawing the designation, or if
petent to perform such tests. the TCB requests that it no longer hold
(4) The TCB shall demonstrate an the designation. The Commission will
ability to recognize situations where provide a TCB with 30 days notice of its
interpretations of the regulations or intention to withdraw the designation
test procedures may be necessary. The and provide the TCB with an oppor-
appropriate key certification and lab- tunity to respond.
oratory personnel shall demonstrate a (3) A list of designated TCBs will be
knowledge of how to obtain current published by the Commission.
and correct technical regulation inter- (f) Scope of responsibility. (1) TCBs
pretations. The competence of the tele- shall certify equipment in accordance
communication certification body with the Commission’s rules and poli-
shall be demonstrated by assessment. cies.
The general competence, efficiency, ex- (2) A TCB shall accept test data from
perience, familiarity with technical any source, subject to the require-
regulations and products included in ments in ISO/IEC Guide 65, and shall
those technical regulations, as well as not unnecessarily repeat tests.
compliance with applicable parts of the (3) TCBs may establish and assess
ISO/IEC Guides 25 and 65, shall be fees for processing certification appli-
taken into consideration. cations and other tasks as required by
(5) A TCB shall participate in any the Commission.
consultative activities, identified by (4) A TCB may rescind a grant of cer-
the Commission or NIST, to facilitate tification within 30 days of grant for
a common understanding and interpre- administrative errors. After that time,
tation of applicable regulations. a grant can only be revoked by the
580
Commission through the procedures in Rules. If the application file is not pro-
§ 2.939 of this part. A TCB shall notify vided within 30 calendar days, a state-
both the applicant and the Commission ment shall be provided to the Commis-
when a grant is rescinded. sion as to why it cannot be provided.
(5) A TCB may not: (h) In case of a dispute with respect
(i) Grant a waiver of the rules, or cer- to designation or recognition of a TCB
tify equipment for which the Commis- and the testing or certification of prod-
sion rules or requirements do not exist ucts by a TCB, the Commission will be
or for which the application of the the final arbiter. Manufacturers and
rules or requirements is unclear. designated TCBs will be afforded at
(ii) Take enforcement actions; or least 30 days to comment before a deci-
(iii) Authorize a transfer of control of sion is reached. In the case of a TCB
a grantee. designated or recognized, or a product
(6) All TCB actions are subject to certified pursuant to an effective bilat-
Commission review. eral or multilateral mutual recogni-
(g) Post-certification requirements. (1) A tion agreement or arrangement (MRA)
TCB shall supply an electronic copy of to which the United States is a party,
each approved application form and the Commission may limit or withdraw
grant of certification to the Commis-
its recognition of a TCB designated by
sion.
an MRA party and revoke the certifi-
(2) In accordance with ISO/IEC Guide
cation of products using testing or cer-
65, a TCB is required to conduct appro-
tification provided by such a TCB. The
priate post-market surveillance activi-
Commission shall consult with the Of-
ties. These activities shall be based on
fice of the United States Trade Rep-
type testing a few samples of the total
number of product types which the cer- resentative (USTR), as necessary, con-
tification body has certified. Other cerning any disputes arising under an
types of surveillance activities of a MRA for compliance with the Tele-
product that has been certified are per- communications Trade Act of 1988
mitted, provided they are no more on- (Section 1371–1382 of the Omnibus
erous than testing type. The Commis- Trade and Competitiveness Act of 1988).
sion may at any time request a list of [64 FR 4995, Feb. 2, 1999, as amended at 66 FR
products certified by the certification 27601, May 18, 2001]
body and may request and receive cop-
ies of product evaluation reports. The CERTIFICATION
Commission may also request that a
TCB perform post-market surveillance, § 2.1031 Cross reference.
under Commission guidelines, of a spe- The general provisions of this sub-
cific product it has certified. part § 2.901 et seq. shall apply to appli-
(3) If during post market surveillance cations for and grants of certification.
of a certified product, a certification
body determines that a product fails to § 2.1033 Application for certification.
comply with the applicable technical
(a) An application for certification
regulations, the certification body
shall be filed on FCC Form 731 with all
shall immediately notify the grantee
questions answered. Items that do not
and the Commission. A follow-up re-
apply shall be so noted.
port shall also be provided within thir-
ty days of the action taken by the (b) Applications for equipment oper-
grantee to correct the situation. ating under Parts 11, 15 and 18 of the
(4) Where concerns arise, the TCB rules shall be accompanied by a tech-
shall provide a copy of the application nical report containing the following
file to the Commission within 30 cal- information:
endar days of a request for the file (1) The full name and mailing address
made by the Commission to the TCB of the manufacturer of the device and
and the manufacturer. Where appro- the applicant for certification.
priate, the file should be accompanied (2) FCC identifier.
by a request for confidentiality for any (3) A copy of the installation and op-
material that may qualify for confiden- erating instructions to be furnished the
tial treatment under the Commission’s user. A draft copy of the instructions
581
§ 2.1033 47 CFR Ch. I (10–1–02 Edition)
may be submitted if the actual docu- this label shall be on the same size
ment is not available. The actual docu- paper.
ment shall be furnished to the FCC (8) If the equipment for which certifi-
when it becomes available. cation is being sought must be tested
(4) A brief description of the circuit with peripheral or accessory devices
functions of the device along with a connected or installed, a brief descrip-
statement describing how the device tion of those peripherals or accessories.
operates. This statement should con- The peripheral or accessory devices
tain a description of the ground system shall be unmodified, commercially
and antenna, if any, used with the de- available equipment.
vice. (9) For equipment subject to the pro-
(5) A block diagram showing the fre- visions of part 15 of this chapter, the
quency of all oscillators in the device. application shall indicate if the equip-
The signal path and frequency shall be ment is being authorized pursuant to
indicated at each block. The tuning the transition provisions in § 15.37 of
range(s) and intermediate fre- this chapter.
quency(ies) shall be indicated at each (10) Applications for the certification
block. A schematic diagram is also re- of scanning receivers shall include a
quired for intentional radiators. statement describing the methods used
to comply with the design require-
(6) A report of measurements show-
ments of all parts of § 15.121 of this
ing compliance with the pertinent FCC
chapter. The application must specifi-
technical requirements. This report
cally include a statement assessing the
shall identify the test procedure used
vulnerability of the equipment to pos-
(e.g., specify the FCC test procedure, or
sible modification and describing the
industry test procedure that was used),
design features that prevent the modi-
the date the measurements were made, fication of the equipment by the user
the location where the measurements to receive transmissions from the Cel-
were made, and the device that was lular Radiotelephone Service. The ap-
tested (model and serial number, if plication must also demonstrate com-
available). The report shall include pliance with the signal rejection re-
sample calculations showing how the quirement of § 15.121 of this chapter, in-
measurement results were converted cluding details on the measurement
for comparison with the technical re- procedures used to demonstrate com-
quirements. pliance.
(7) A sufficient number of photo- (11) Applications for certification of
graphs to clearly show the exterior ap- transmitters operating within the 59.0–
pearance, the construction, the compo- 64.0 GHz band under part 15 of this
nent placement on the chassis, and the chapter shall also be accompanied by
chassis assembly. The exterior views an exhibit demonstrating compliance
shall show the overall appearance, the with the provisions of § 15.255 (g) and (i)
antenna used with the device (if any), of this chapter.
the controls available to the user, and (c) Applications for equipment other
the required identification label in suf- than that operating under parts 15 and
ficient detail so that the name and FCC 18 of the rules shall be accompanied by
identifier can be read. In lieu of a pho- a technical report containing the fol-
tograph of the label, a sample label (or lowing information:
facsimile thereof) may be submitted (1) The full name and mailing address
together with a sketch showing where of the manufacturer of the device and
this label will be placed on the equip- the applicant for certification.
ment. Photographs shall be of size A4 (2) FCC identifier.
(21 cm × 29.7 cm) or 8×10 inches (20.3 cm (3) A copy of the installation and op-
× 25.4 cm). Smaller photographs may be erating instructions to be furnished the
submitted provided they are sharp and user. A draft copy of the instructions
clear, show the necessary detail, and may be submitted if the actual docu-
are mounted on A4 (21 cm × 29.7 cm) or ment is not available. The actual docu-
8.5×11 inch (21.6 cm × 27.9 cm) paper. A ment shall be furnished to the FCC
sample label or facsimile together with when it becomes available.
the sketch showing the placement of (4) Type or types of emission.
582
(5) Frequency range. with the technical specifications in

(6) Range of operating power values subpart C of part 97 of this chapter and
or specific operating power levels, and such information as required by § 2.1060
description of any means provided for of this part.
variation of operating power. (16) An application for certification
(7) Maximum power rating as defined of an AM broadcast stereophonic ex-
in the applicable part(s) of the rules. citer-generator intended for inter-
(8) The dc voltages applied to and dc facing with existing certified, or for-
currents into the several elements of merly type accepted or notified trans-
the final radio frequency amplifying mitters must include measurements
device for normal operation over the made on a complete stereophonic
power range. transmitter. The instruction book
(9) Tune-up procedure over the power must include complete specifications
range, or at specific operating power and circuit requirements for inter-
levels. connecting with existing transmitters.
(10) A schematic diagram and a de- The instruction book must also provide
scription of all circuitry and devices a full description of the equipment and
provided for determining and stabi- measurement procedures to monitor
lizing frequency, for suppression of spu- modulation and to verify that the com-
rious radiation, for limiting modula- bination of stereo exciter-generator
tion, and for limiting power. and transmitter meet the emission
(11) A photograph or drawing of the limitations of § 73.44.
equipment identification plate or label (17) A single application may be filed
showing the information to be placed for a composite system that incor-
thereon. porates devices subject to certification
(12) Photographs (8″×10″) of the equip- under multiple rule parts, however, the
ment of sufficient clarity to reveal appropriate fee must be included for
equipment construction and layout, in- each device. Separate applications
cluding meters, if any, and labels for must be filed if different FCC Identi-
controls and meters and sufficient fiers will be used for each device.
views of the internal construction to
define component placement and chas-
FR 42278, Aug. 7, 1998; 64 FR 22561, Apr. 27,
sis assembly. Insofar as these require- 1999; 67 FR 42734, June 25, 2002]
ments are met by photographs or draw-
ings contained in instruction manuals § 2.1035 [Reserved]
supplied with the certification request,
additional photographs are necessary § 2.1041 Measurement procedure.
only to complete the required showing. For equipment operating under parts
(13) For equipment employing digital 15 and 18, the measurement procedures
modulation techniques, a detailed de- are specified in the rules governing the
scription of the modulation system to particular device for which certifi-
be used, including the response charac- cation is requested. For equipment op-
teristics (frequency, phase and ampli- erating in the authorized radio serv-
tude) of any filters provided, and a de- ices, measurements are required as
scription of the modulating wavetrain, specified in §§ 2.1046, 2.1047, 2.1049,
shall be submitted for the maximum 2.1051, 2.1053, 2.1055 and 2.1057. See also
rated conditions under which the § 2.947.
equipment will be operated.
(14) The data required by §§ 2.1046 [63 FR 36600, July 7, 1998]
through 2.1057, inclusive, measured in
accordance with the procedures set out § 2.1043 Changes in certificated equip-
in § 2.1041. ment.
(15) The application for certification (a) Except as provided in paragraph
of an external radio frequency power (b)(3) of this section, changes to the
amplifier under part 97 of this chapter basic frequency determining and stabi-
need not be accompanied by the data lizing circuitry (including clock or
required by paragraph (b)(14) of this data rates), frequency multiplication
section. In lieu thereof, measurements stages, basic modulator circuit or max-
shall be submitted to show compliance imum power or field strength ratings
583
§ 2.1043 47 CFR Ch. I (10–1–02 Edition)
shall not be performed without applica- plies with the applicable rules with the
tion for and authorization of a new new software loaded, including compli-
grant of certification. Variations in ance with the applicable RF exposure
electrical or mechanical construction, requirements. The modified software
other than these indicated items, are shall not be loaded into equipment, and
permitted provided the variations ei- the equipment shall not be marketed
ther do not affect the characteristics with the modified software under the
required to be reported to the Commis- existing grant of certification, prior to
sion or the variations are made in com- acknowledgement by the Commission
pliance with the other provisions of that the change is acceptable. A copy
this section. Changes to the software of the software shall be submitted to
installed in a transmitter that do not the Commission upon request. Class III
affect the radio frequency emissions do changes are permitted only for equip-
not require a filing with the Commis- ment in which no Class II changes have
sion and may be made by parties other been made from the originally ap-
than the holder of the grant of certifi- proved device.
cation. NOTE TO PARAGRAPH (b)(3): Any software
(b) Three classes of permissive change that degrades spurious and out-of-
changes may be made in certificated band emissions previously reported to the
Commission at the time of initial certifi-
equipment without requiring a new ap-
cation would be considered a change in fre-
plication for and grant of certification. quency or modulation and would require a
None of the classes of changes shall re- Class III permissive change or new equip-
sult in a change in identification. ment authorization application.
(1) A Class I permissive change in- (4) Class I and Class II permissive
cludes those modifications in the changes may only be made by the hold-
equipment which do not degrade the er of the grant of certification, except
characteristics reported by the manu- as specified below.
facturer and accepted by the Commis- (c) A grantee desiring to make a
sion when certification is granted. No change other than a permissive change
filing with the Commission is required shall file an application on FCC Form
for a Class I permissive change. 731 accompanied by the required fees.
(2) A Class II permissive change in- The grantee shall attach a description
cludes those modifications which de- of the change(s) to be made and a
grade the performance characteristics statement indicating whether the
as reported to the Commission at the change(s) will be made in all units
time of the initial certification. Such (including previous production) or will
degraded performance must still meet be made only in those units produced
the minimum requirements of the ap- after the change is authorized.
plicable rules. When a Class II permis- (d) A modification which results in a
sive change is made by the grantee, the change in the identification of a device
grantee shall supply the Commission with or without change in circuitry re-
with complete information and the requires a new application for, and grant
sults of tests of the characteristics af- of certification. If the changes affect
fected by such change. The modified the characteristics required to be re-
equipment shall not be marketed under ported, a complete application shall be
the existing grant of certification prior filed. If the characteristics required to
to acknowledgement by the Commis- be reported are not changed the abbre-
sion that the change is acceptable. viated procedure of § 2.933 may be used.
(3) A Class III permissive change in- (e) Equipment that has been certifi-
cludes modifications to the software of cated or formerly type accepted for use
a software defined radio transmitter in the Amateur Radio Service pursuant
that change the frequency, modulation to the requirements of part 97 of this
type, output power or maximum field chapter may be modified without re-
strength outside the parameters pre- gard to the conditions specified in
viously approved. When a Class III per- paragraph (b) of this section, provided
missive change is made, the grantee the following conditions are met:
shall supply the Commission with a de- (1) Any person performing such modi-
scription of the changes and test re- fications on equipment used under part
sults showing that the equipment com- 97 of this chapter must possess a valid
584
amateur radio operator license of the quirements applicable thereto is de-

class required for the use of the equip- fined as a Class I permissive change for
ment being modified. compliance with this section.
(2) Modifications made pursuant to (i) The addition of TV broadcast sub-
this paragraph are limited to equip- carrier generators to a certificated or
ment used at licensed amateur radio formerly type accepted TV broadcast
stations. transmitter or the addition of FM
(3) Modifications specified or per- broadcast subcarrier generators to a
formed by equipment manufacturers or type accepted FM broadcast trans-
suppliers must be in accordance with mitter, provided the transmitter ex-
the requirements set forth in para- citer is designed for subcarrier oper-
graph (b) of this section. ation without mechanical or electrical
(4) Modifications specified or per- alterations to the exciter or other
formed by licensees in the Amateur transmitter circuits.
Radio Service on equipment other than (j) The addition of TV broadcast
that at specific licensed amateur radio stereophonic generators to a certifi-
stations must be in accordance with cated or formerly type accepted TV
the requirements set forth in para- broadcast transmitter or the addition
graph (b) of this section. of FM broadcast stereophonic genera-
(5) The station licensee shall be re- tors to a certificated or formerly type
sponsible for ensuring that modified accepted FM broadcast transmitter,
equipment used at his station will com- provided the transmitter exciter is de-
ply with the applicable technical signed for stereophonic sound oper-
standards in part 97 of this chapter. ation without mechanical or electrical
(f) For equipment other than that op- alterations to the exciter or other
erating under parts 15 or 18, when a transmitter circuits.
Class II permissive change is made by (k) The addition of subscription TV
other than the grantee of certification, encoding equipment for which the FCC
the information and data specified in has granted advance approval under
paragraph (b)(2) of this section shall be the provisions of § 2.1400 in subpart M
supplied by the person making the and § 73.644(c) of part 73 to a certifi-
change. The modified equipment shall cated or formerly type accepted trans-
not be operated under an authorization mitter is considered a Class I permis-
of the Commission prior to acknowl- sive change.
edgement by the Commission that the (l) Notwithstanding the provisions of
change is acceptable. this section, broadcast licensees or per-
(g) The interconnection of a certifi- mittees are permitted to modify cer-
cated or formerly type accepted AM tificated or formerly type accepted
broadcast stereophonic exciter-gener- equipment pursuant to § 73.1690 of the
ator with a certificated or formerly FCC’s rules.
type accepted AM broadcast trans-
mitter in accordance with the manu- [63 FR 36600, July 7, 1998, as amended at 66
facturer’s instructions and upon com- FR 50840, Oct. 5, 2001]
pletion of measurements showing that
the modified transmitter meets the § 2.1046 Measurements required: RF
emission limitation requirements of power output.
§ 73.44 is defined as a Class I permissive (a) For transmitters other than sin-
change for compliance with this sec- gle sideband, independent sideband and
tion. controlled carrier radiotelephone,
(h) The interconnection of a multi- power output shall be measured at the
plexing exciter with a certificated or RF output terminals when the trans-
formerly type accepted AM broadcast mitter is adjusted in accordance with
transmitter in accordance with the the tune-up procedure to give the val-
manufacturer’s instructions without ues of current and voltage on the cir-
electrical or mechanical modification cuit elements specified in § 2.1033(c)(8).
of the transmitter circuits and comple- The electrical characteristics of the
tion of equipment performance meas- radio frequency load attached to the
urements showing the transmitter output terminals when this test is
meets the minimum performance re- made shall be stated.
585
§ 2.1047 47 CFR Ch. I (10–1–02 Edition)
(b) For single sideband, independent (5) Independent sideband transmit-

sideband, and single channel, con- ters having more than two channels by
trolled carrier radiotelephone trans- an appropriate signal or signals applied
mitters the procedure specified in para- to all channels simultaneously. The
graph (a) of this section shall be em- input signal or signals shall simulate
ployed and, in addition, the trans- the input signals specified by the man-
mitter shall be modulated during the ufacturer for normal operation.
test as follows. In all tests, the input (6) Single-channel controlled-carrier
level of the modulating signal shall be transmitters in the A3 emission mode—
such as to develop rated peak envelope by a 2500 Hz tone.
power or carrier power, as appropriate, (c) For measurements conducted pur-
for the transmitter. suant to paragraphs (a) and (b) of this
(1) Single sideband transmitters in section, all calculations and methods
the A3A or A3J emission modes—by used by the applicant for determining
carrier power or peak envelope power,
two tones at frequencies of 400 Hz and
as appropriate, on the basis of meas-
1800 Hz (for 3.0 kHz authorized band-
ured power in the radio frequency load
width), or 500 Hz and 2100 Hz (3.5 kHz
attached to the transmitter output ter-
authorized bandwidth), or 500 Hz and
minals shall be shown. Under the test
2400 Hz (for 4.0 kHz authorized band-
conditions specified, no components of
width), applied simultaneously, the the emission spectrum shall exceed the
input levels of the tones so adjusted limits specified in the applicable rule
that the two principal frequency com- parts as necessary for meeting occu-
ponents of the radio frequency signal pied bandwidth or emission limita-
produced are equal in magnitude. tions.
(2) Single sideband transmitters in
the A3H emission mode—by one tone at [39 FR 5919, Feb. 15, 1974. Redesignated and
amended at 63 FR 36599, July 7, 1998]
a frequency of 1500 Hz (for 3.0 kHz au-
thorized bandwidth), or 1700 Hz (for 3.5 § 2.1047 Measurements required: Mod-
kHz authorized bandwidth), or 1900 Hz ulation characteristics.
(for 4.0 kHz authorized bandwidth), the
(a) Voice modulated communication
level of which is adjusted to produce a
equipment. A curve or equivalent data
radio frequency signal component
showing the frequency response of the
equal in magnitude to the magnitude
audio modulating circuit over a range
of the carrier in this mode.
of 100 to 5000 Hz shall be submitted. For
(3) As an alternative to paragraphs equipment required to have an audio
(b) (1) and (2) of this section other low-pass filter, a curve showing the fre-
tones besides those specified may be quency response of the filter, or of all
used as modulating frequencies, upon a circuitry installed between the modu-
sufficient showing of need. However, lation limiter and the modulated stage
any tones so chosen must not be har- shall be submitted.
monically related, the third and fifth (b) Equipment which employs modula-
order intermodulation products which tion limiting. A curve or family of
occur must fall within the ¥25 dB step curves showing the percentage of mod-
of the emission bandwidth limitation ulation versus the modulation input
curve, the seventh and ninth order voltage shall be supplied. The informa-
intermodulation product must fall tion submitted shall be sufficient to
within the 35 dB step of the referenced show modulation limiting capability
curve and the eleventh and all higher throughout the range of modulating
order products must fall beyond the frequencies and input modulating sig-
¥35 dB step of the referenced curve. nal levels employed.
(4) Independent sideband transmit- (c) Single sideband and independent
ters having two channels by 1700 Hz sideband radiotelephone transmitters
tones applied simultaneously in both which employ a device or circuit to limit
channels, the input levels of the tones peak envelope power. A curve showing
so adjusted that the two principal fre- the peak envelope power output versus
quency components of the radio fre- the modulation input voltage shall be
quency signal produced are equal in supplied. The modulating signals shall
magnitude. be the same in frequency as specified in
586
paragraph (c) of § 2.1049 for the occupied or 1700 Hz (for 3.5 kHz authorized band-
bandwidth tests. width), or 1900 Hz (for 4.0 kHz author-
(d) Other types of equipment. A curve ized bandwidth), the level of which is
or equivalent data which shows that adjusted to produce a radio frequency
the equipment will meet the modula- signal component equal in magnitude
tion requirements of the rules under to the magnitude of the carrier in this
which the equipment is to be licensed. mode.
[39 FR 5919, Feb. 15, 1974. Redesignated and (4) As an alternative to paragraphs
amended at 63 FR 36599, July 7, 1998] (c) (2) and (3) of this section, other
tones besides those specified may be
§ 2.1049 Measurements required: Occu- used as modulating frequencies, upon a
pied bandwidth. sufficient showing of need. However,
The occupied bandwidth, that is the any tones so chosen must not be har-
frequency bandwidth such that, below monically related, the third and fifth
its lower and above its upper frequency order intermodulation products which
limits, the mean powers radiated are occur must fall within the ¥25 dB step
each equal to 0.5 percent of the total of the emission bandwidth limitation
mean power radiated by a given emis- curve, the seventh and ninth order
sion shall be measured under the fol- products must fall within the ¥35 dB
lowing conditions as applicable: step of the referenced curve and the
(a) Radiotelegraph transmitters for eleventh and all higher order products
manual operation when keyed at 16 must fall beyond the ¥35 dB step of the
dots per second. referenced curve.
(b) Other keyed transmitters—when (5) Independent sideband transmit-
keyed at the maximum machine speed. ters having two channels—when modu-
(c) Radiotelephone transmitters lated by 1700 Hz tones applied simulta-
equipped with a device to limit modu- neously to both channels. The input
lation or peak envelope power shall be levels of the tones shall be so adjusted
modulated as follows. For single side- that the two principal frequency com-
band and independent sideband trans- ponents of the radio frequency signal
mitters, the input level of the modu- produced are equal in magnitude.
lating signal shall be 10 dB greater (d) Radiotelephone transmitters
than that necessary to produce rated without a device to limit modulation
peak envelope power. or peak envelope power shall be modu-
(1) Other than single sideband or lated as follows. For single sideband
independent sideband transmitters— and independent sideband transmitters,
when modulated by a 2500 Hz tone at an the input level of the modulating sig-
input level 16 dB greater than that nec- nal should be that necessary to produce
essary to produce 50 percent modula- rated peak envelope power.
tion. The input level shall be estab- (1) Other than single sideband or
lished at the frequency of maximum re- independent sideband transmitters—
sponse of the audio modulating circuit. when modulated by a 2500 Hz tone of
(2) Single sideband transmitters in sufficient level to produce at least 85
A3A or A3J emission modes—when percent modulation. If 85 percent mod-
modulated by two tones at frequencies ulation is unattainable, the highest
of 400 Hz and 1800 Hz (for 3.0 kHz au- percentage modulation shall be used.
thorized bandwidth), or 500 Hz and 2100 (2) Single sideband transmitters in
Hz (for 3.5 kHz authorized bandwidth), A3A or A3J emission modes—when
or 500 Hz and 2400 Hz (for 4.0 kHz au- modulated by two tones at frequencies
thorized bandwidth), applied simulta- of 400 Hz and 1800 Hz (for 3.0 kHz au-
neously. The input levels of the tones thorized bandwidth), or 500 Hz and 2100
shall be so adjusted that the two prin- Hz (for 3.5 kHz authorized bandwidth),
cipal frequency components of the or 500 Hz and 2400 Hz (for 4.0 kHz au-
radio frequency signal produced are thorized bandwidth), applied simulta-
equal in magnitude. neously. The input levels of the tones
(3) Single sideband transmitters in shall be so adjusted that the two prin-
the A3H emission mode—when modu- cipal frequency components of the
lated by one tone at a frequency of 1500 radio frequency signal produced are
Hz (for 3.0 kHz authorized bandwidth), equal in magnitude.
587
§ 2.1049 47 CFR Ch. I (10–1–02 Edition)
(3) Single sideband transmitters in simultaneously by a 67 kHz subcarrier

the A3H emission mode—when modu- (unmodulated).
lated by one tone at a frequency of 1500 (5) FM broadcast transmitter for
Hz (for 3.0 kHz authorized bandwidth), stereophonic operation—when modu-
or 1700 Hz (for 3.5 kHz authorized band- lated by a 15 kHz input signal to the
width), or 1900 Hz (for 4.0 kHz author- main channel, a 15 kHz input signal to
ized bandwidth), the level of which is the stereophonic subchannel, and the
adjusted to produce a radio frequency pilot subcarrier simultaneously. The
signal component equal in magnitude input signals to the main channel and
to the magnitude of the carrier in this stereophonic subchannel each shall
mode. produce 38 percent modulation of the
(4) As an alternative to paragraphs carrier. The pilot subcarrier should
(d) (2) and (3) of this section, other produce 9 percent modulation of the
tones besides those specified may be carrier.
used as modulating frequencies, upon a (6) Television broadcast monaural
sufficient showing of need. However transmitters—when modulated 85% by
any tones so chosen must not be har- a 15 kHz input signal.
monically related, the third and fifth (7) Television broadcast stereophonic
order intermodulation products which sound transmitters—when the trans-
occur must fall within the ¥25 dB step mitter is modulated with a 15 kHz
of the emission bandwidth limitation input signal to the main channel and
curve, the seventh and ninth order the stereophonic subchannel, any pilot
products must fall within the ¥35 dB subcarrier(s) and any unmodulated
step of the referenced curve and the auxiliary subcarrier(s) which may be
eleventh and all higher order products provided. The signals to the main chan-
must fall beyond the ¥35 dB step of the nel and the stereophonic subchannel
referenced curve. must be representative of the system
(5) Independent sideband transmit- being tested and when combined with
ters having two channels—when modu- any pilot subcarrier(s) or other auxil-
lated by 1700 Hz tones applied simulta- iary subcarriers shall result in 85% de-
neously to both channels. The input viation of the maximum specified aural
levels of the tones shall be so adjusted carrier deviation.
that the two principal frequency com- (f) Transmitters for which peak fre-
ponents of the radio frequency signal quency deviation (D) is determined in
produced are equal in magnitude. accordance with § 2.202(f), and in which
(e) Transmitters for use in the Radio the modulating baseband comprises
Broadcast Services: more than 3 independent speech chan-
(1) AM broadcast transmitters for nels—when modulated by a test signal
monaural operation—when amplitude determined in accordance with the fol-
modulated 85% by a 7,500 Hz input sig- lowing:
nal. (1) A modulation reference level is es-
(2) AM broadcast stereophonic oper- tablished for the characteristic
ation—when the transmitter operated baseband frequency. (Modulation ref-
under any stereophonic modulation erence level is defined as the average
condition not exceeding 100% on nega- power level of a sinusoidal test signal
tive peaks and tested under the condi- delivered to the modulator input which
tions specified in § 73.128 in part 73 of provides the specified value of per-
the FCC rules for AM broadcast sta- channel deviation.)
tions. (2) Modulation reference level being
(3) FM broadcast transmitter not established, the total rms deviation of
used for multiplex operation—when the transmitter is measured when a
modulated 85 percent by a 15 kHz input test signal consisting of a band of ran-
signal. dom noise extending from below 20 kHz
(4) FM broadcast transmitters for to the highest frequency in the
multiplex operation under Subsidiary baseband, is applied to the modulator
Communication Authorization (SCA)— input through any preemphasis net-
when carrier is modulated 70 percent works used in normal service. The av-
by a 15 kHz main channel input signal, erage power level of the test signal
and modulated an additional 15 percent shall exceed the modulation reference
588
level by the number of decibels deter-

mined using the appropriate formula in
the following table:
Number of message circuits that Number of dB by which the average power (Pavg) level test sig- Limits of Pavg (dBm0)
modulate the transmitter nal shall exceed the modulation reference level
More than 3, but less than 12 ........... To be specified by the equipment manufacturer subject to FCC
approval.
At least 12, but less than 60 ............. X+2 log10 Nc .................................................................................. X: ¥2 to +2.6
At least 60, but less than 240 ........... X+4 log10 Nc .................................................................................. X: ¥5.6 to ¥1.0
240 or more ....................................... X+10 log10 Nc ................................................................................ X: ¥19.6 to ¥15.0
Where X represents the average power in a message circuit in dBm0; Nc is the number of circuits in the multiplexed message
load. Pavg shall be selected by the transmitter manufacturer and included with the technical data submitted with the application
for type acceptance. (See § 2.202(e) in this chapter.)
(g) Transmitters in which the modu- § 2.1051 Measurements required: Spu-

lating baseband comprises not more rious emissions at antenna termi-
than three independent channels— nals.
when modulated by the full com- The radio frequency voltage or pow-
plement of signals for which the trans- ers generated within the equipment
mitter is rated. The level of modula- and appearing on a spurious frequency
tion for each channel should be set to shall be checked at the equipment out-
that prescribed in rule parts applicable put terminals when properly loaded
to the services for which the trans- with a suitable artificial antenna.
mitter is intended. If specific modula- Curves or equivalent data shall show
tion levels are not set forth in the the magnitude of each harmonic and
rules, the tests should provide the other spurious emission that can be de-
manufacturer’s maximum rated condi- tected when the equipment is operated
tion. under the conditions specified in
(h) Transmitters employing digital § 2.1049 as appropriate. The magnitude
of spurious emissions which are attenu-
modulation techniques—when modu-
ated more than 20 dB below the permis-
lated by an input signal such that its
sible value need not be specified.
amplitude and symbol rate represent
the maximum rated conditions under [39 FR 5919, Feb. 15, 1974. Redesignated and
which the equipment will be operated. amended at 63 FR 36599, July 7, 1998]
The signal shall be applied through any
§ 2.1053 Measurements required: Field
filter networks, pseudo-random genera- strength of spurious radiation.
tors or other devices required in nor-
mal service. Additionally, the occupied (a) Measurements shall be made to
bandwidth shall be shown for operation detect spurious emissions that may be
radiated directly from the cabinet,
with any devices used for modifying
control circuits, power leads, or inter-
the spectrum when such devices are op-
mediate circuit elements under normal
tional at the discretion of the user. conditions of installation and oper-
(i) Transmitters designed for other ation. Curves or equivalent data shall
types of modulation—when modulated be supplied showing the magnitude of
by an appropriate signal of sufficient each harmonic and other spurious
amplitude to be representative of the emission. For this test, single side-
type of service in which used. A de- band, independent sideband, and con-
scription of the input signal should be trolled carrier transmitters shall be
supplied. modulated under the conditions speci-
fied in paragraph (c) of § 2.1049, as ap-
1082, 1083; 47 U.S.C. 154, 303, 307) propriate. For equipment operating on
frequencies below 890 MHz, an open
[39 FR 5919, Feb. 15, 1974, as amended at 39 field test is normally required, with
FR 35664, Oct. 3, 1974; 47 FR 13164, Mar. 29, the measuring instrument antenna lo-
1982; 48 FR 16493, Apr. 18, 1983; 49 FR 18105, cated in the far-field at all test fre-
Apr. 27, 1984. Redesignated at 63 FR 36599,
quencies. In the event it is either im-
July 7, 1998]
practical or impossible to make open
589
§ 2.1055 47 CFR Ch. I (10–1–02 Edition)
field measurements (e.g. a broadcast (3) From 0° to +50° centigrade for

transmitter installed in a building) equipment to be licensed for use in the
measurements will be accepted of the Radio Broadcast Services under part 73
equipment as installed. Such measure- of this chapter.
ments must be accompanied by a de- (b) Frequency measurements shall be
scription of the site where the meas- made at the extremes of the specified
urements were made showing the loca- temperature range and at intervals of
tion of any possible source of reflec- not more than 10° centigrade through
tions which might distort the field the range. A period of time sufficient
strength measurements. Information to stabilize all of the components of
submitted shall include the relative ra- the oscillator circuit at each tempera-
diated power of each spurious emission ture level shall be allowed prior to fre-
with reference to the rated power out-
quency measurement. The short term
put of the transmitter, assuming all
transient effects on the frequency of
emissions are radiated from halfwave
the transmitter due to keying (except
dipole antennas.
for broadcast transmitters) and any
(b) The measurements specified in
heating element cycling normally oc-
paragraph (a) of this section shall be
made for the following equipment: curring at each ambient temperature
level also shall be shown. Only the por-
(1) Those in which the spurious emis-
sions are required to be 60 dB or more tion or portions of the transmitter con-
below the mean power of the trans- taining the frequency determining and
mitter. stabilizing circuitry need be subjected
(2) All equipment operating on fre- to the temperature variation test.
quencies higher than 25 MHz. (c) In addition to all other require-
(3) All equipment where the antenna ments of this section, the following in-
is an integral part of, and attached di- formation is required for equipment in-
rectly to the transmitter. corporating heater type crystal oscilla-
(4) Other types of equipment as re- tors to be used in mobile stations, for
quired, when deemed necessary by the which type acceptance is first re-
Commission. quested after March 25, 1974, except for
battery powered, hand carried, portable
[39 FR 5919, Feb. 15, 1974. Redesignated and equipment having less than 3 watts
amended at 63 FR 36599, July 7, 1998]
mean output power.
§ 2.1055 Measurements required: Fre- (1) Measurement data showing vari-
quency stability. ation in transmitter output frequency
from a cold start and the elapsed time
(a) The frequency stability shall be
necessary for the frequency to stabilize
measured with variation of ambient
within the applicable tolerance. Tests
temperature as follows:
shall be made after temperature sta-
(1) From ¥30° to +50° centigrade for
bilization at each of the ambient tem-
all equipment except that specified in
paragraphs (a) (2) and (3) of this sec- perature levels; the lower temperature
tion. limit, 0° centigrade and +30° centigrade
(2) From ¥20° to +50° centrigrade for with no primary power applied.
equipment to be licensed for use in the (2) Beginning at each temperature
Maritime Services under part 80 of this level specified in paragraph (c)(1) of
chapter, except for Class A, B, and S this section, the frequency shall be
Emergency Position Indicating measured within one minute after ap-
Radiobeacons (EPIRBS), and equip- plication of primary power to the
ment to be licensed for use above 952 transmitter and at intervals of no more
MHz at operational fixed stations in all than one minute thereafter until ten
services, stations in the Local Tele- minutes have elapsed or until suffi-
vision Transmission Service and Point- cient measurements are obtained to in-
to-Point Microwave Radio Service dicate clearly that the frequency has
under part 21 of this chapter, and stabilized within the applicable toler-
equipment licensed for use aboard air- ance, whichever time period is greater.
craft in the Aviation Services under During each test, the ambient tempera-
part 87 of this chapter. ture shall not be allowed to rise more
590
than 10° centigrade above the respec- lowest radio frequency signal gen-
tive beginning ambient temperature erated in the equipment, without going
level. below 9 kHz, up to at least the fre-
(3) The elapsed time necessary for the quency shown below:
frequency to stabilize within the appli- (1) If the equipment operates below 10
cable tolerance from each beginning GHz: to the tenth harmonic of the
ambient temperature level as deter- highest fundamental frequency or to 40
mined from the tests specified in this GHz, whichever is lower.
paragraph shall be specified in the in- (2) If the equipment operates at or
struction book for the transmitter fur- above 10 GHz and below 30 GHz: to the
nished to the user. fifth harmonic of the highest funda-
(4) When it is impracticable to sub- mental frequency or to 100 GHz, which-
ject the complete transmitter to this ever is lower.
test because of its physical dimensions (3) If the equipment operates at or
or power rating, only its frequency de- above 30 GHz: to the fifth harmonic of
termining and stabilizing portions need the highest fundamental frequency or
be tested. to 200 GHz, whichever is lower.
(d) The frequency stability shall be (b) Particular attention should be
measured with variation of primary paid to harmonics and subharmonics of
supply voltage as follows: the carrier frequency as well as to
(1) Vary primary supply voltage from those frequencies removed from the
85 to 115 percent of the nominal value carrier by multiples of the oscillator
for other than hand carried battery frequency. Radiation at the frequencies
equipment. of multiplier stages should also be
(2) For hand carried, battery powered checked.
equipment, reduce primary supply volt- (c) The amplitude of spurious emis-
age to the battery operating end point sions which are attenuated more than
which shall be specified by the manu- 20 dB below the permissible value need
facturer. not be reported.
(3) The supply voltage shall be meas-
(d) Unless otherwise specified, meas-
ured at the input to the cable normally
urements above 40 GHz shall be per-
provided with the equipment, or at the
formed using a minimum resolution
power supply terminals if cables are
bandwidth of 1 MHz.
not normally provided. Effects on fre-
quency of transmitter keying (except [61 FR 14502, Apr. 2, 1996. Redesignated and
for broadcast transmitters) and any amended at 63 FR 36599, July 7, 1998]
heating element cycling at the nomi-
nal supply voltage and at each extreme § 2.1060 Equipment for use in the ama-
also shall be shown. teur radio service.
(e) When deemed necessary, the Com- (a) The general provisions of §§ 2.925,
mission may require tests of frequency 2.1031, 2.1033, 2.1041, 2.1043, 2.1051, 2.1053
stability under conditions in addition and 2.1057 shall apply to applications
to those specifically set out in para- for, and grants of, certification for
graphs (a), (b), (c), and (d) of this sec- equipment operated under the require-
tion. (For example measurements ments of part 97 of this chapter, the
showing the effect of proximity to Amateur Radio Service.
large metal objects, or of various types (b) When performing the tests speci-
of antennas, may be required for port- fied in §§ 2.1051 and 2.1053 of this part,
able equipment.) the center of the transmitted band-
width shall be within the operating fre-
FR 31304, Sept. 2, 1986; 56 FR 11682, Mar. 20, quency band by an amount equal to 50
1991. Redesignated at 63 FR 36599, July 7, percent of the bandwidth utilized for
1998.] the tests. In addition, said tests shall
be made on at least one frequency in
§ 2.1057 Frequency spectrum to be in- each of the bands within which the
vestigated. equipment is capable of tuning.
(a) In all of the measurements set (c) Any supplier of an external radio
forth in §§ 2.1051 and 2.1053, the spec- frequency power amplifier kit as de-
trum shall be investigated from the fined by § 97.3(a)(17) of this chapter
591
§ 2.1061 47 CFR Ch. I (10–1–02 Edition)
shall comply with the following re- these amplifiers in services other than
quirements: the Amateur Radio Service. Other uses
(1) Assembly of one unit of a specific of these amplifiers, such as in the Citi-
type shall be made in exact accordance zens Band Radio Service, are prohib-
with the instructions being supplied ited (§ 95.411 of this chapter). Examples
with the product being marketed. If all of features which may result in the de-
of the necessary components are not nial of certification are contained in
normally furnished with the kit, as- § 97.317 of this chapter.
sembly shall be made using the rec-
[63 FR 36601, July 7, 1998]
ommended components.
(2) The measurement data required FILING FOR APPLICATION REFERENCE
for certification shall be obtained for
this unit and submitted with the cer- § 2.1061 Submission of technical infor-
tification application. Unless otherwise mation for application reference.
requested, it is not necessary to submit An application for station authoriza-
this unit with the application. tion in some services requires a de-
(3) A copy of the exact instructions tailed technical description of the
which will be provided for assembly of equipment proposed to be used. In
the equipment shall be provided in ad-
order to simplify the preparation and
dition to other material required by
processing of applications by elimi-
§ 2.1033 of this part.
nating the need for the submission of
(4) The identification label required
equipment specifications with each ap-
by § 2.925 of this part shall be perma-
plication, the Commission will accept
nently affixed to the assembled unit
for application reference purposes de-
and shall be of sufficient size so as to
tailed technical specifications of equip-
be easily read. The following informa-
ment designed for use in these services.
tion shall be shown on the label:
Manufacturers desiring to avail them-
(Name of Grantee of Certification) selves of this procedure should submit
FCC ID: (The number assigned to the equip- all information required by the appli-
ment by the grantor) cation form and the rules for the serv-
This amplifier can be expected to comply ices in which the equipment is to be
with part 97 of the FCC Regulations when as- used. An application for a station au-
sembled and aligned in strict accordance thorization submitted subsequent to
with the instruction manual using compo-
nents with the kit or an exact equivalent
such filing may refer to the technical
thereof. information so filed.
(Title and signature of responsible represent- § 2.1063 Disclaimer re technical infor-
ative of Grantee) mation filed for application ref-
Statement of Compliance erence.
I state that I have constructed this equip-
Receipt by the Commission of data
ment in accordance with the instruction
manual and using the parts furnished by the for application purposes does not imply
supplier of this kit. that the Commission has made or in-
(Signature) tends to make any finding regarding
(Date) the acceptability of the equipment for
licensing and such equipment will not
(Amateur call sign) (Class of license)
be included on the list of equipment ac-
(Expiration date of license)
ceptable for licensing. Each applicant
(To be signed by the person responsible for is expected to exercise appropriate care
proper assembly of kit.)
in the selection of equipment to insure
(5) If requested, an unassembled unit that the unit selected will comply with
shall be provided for assembly and test the rules governing the service in
by the Commission. Shipping charges which it is proposed to operate.
to and from the Commission’s Labora-
tory shall be borne by the applicant. § 2.1065 Identification and changes in
(d) Certification of external radio fre- equipment information filed for ap-
quency power amplifiers and amplifier plication reference.
kits may be denied when denial serves (a) Each type of equipment, for which
the public interest, convenience and information is filed for application ref-
necessity by preventing the use of erence purposes, shall be identified by
592
a type number assigned by the manu- make reference to a Declaration of

facturer of the equipment. The type Conformity in a deceptive or mis-
number shall consist of a series of Ara- leading manner or convey the impres-
bic numerals or capital letters or a sion that such a Declaration of Con-
combination thereof, and may include formity reflects more than a deter-
punctuation marks and spaces. The mination by the responsible party that
total of Arabic numerals, capital let- the device or product has been shown
ters, punctuation marks and spaces in to be capable of complying with the ap-
any assigned type number shall not ex- plicable technical standards of the
ceed 17. The type number shall be Commission’s rules.
shown on an identification plate or [61 FR 31046, June 19, 1996]
label affixed in a conspicuous place to
such equipment. § 2.1073 Responsibilities.
(b) If the assignment of a different (a) The responsible party, as defined
type number is required as a result of in § 2.909, must warrant that each unit
equipment modification, a new identi- of equipment marketed under a Dec-
fication plate or label bearing the new laration of Conformity is identical to
type number shall be affixed to the the unit tested and found acceptable
modified equipment. with the standards and that the records
NOTE: It is recommended that such equip- maintained by the responsible party
ment be identified with a nameplate pursu- continue to reflect the equipment
ant to § 2.925, except for deletion of the FCC being produced under the Declaration
Identifier, which will not be assigned to nor of Conformity within the variation
listed for such equipment. that can be expected due to quantity
(Secs. 4, 303, 48 Stat., as amended, 1066, 1082, production and testing on a statistical
sec. 302, 82 Stat., 290 (47 U.S.C. 154, 302, 303)) basis.
(b) The responsible party, if different
FR 17180, Mar. 21, 1979] from the manufacturer, may upon re-
ceiving a written statement from the
DECLARATION OF CONFORMITY manufacturer that the equipment com-
plies with the appropriate technical
§ 2.1071 Cross reference. standards rely on the manufacturer or
The general provisions of this sub- independent testing agency to deter-
part, shall apply to equipment subject mine compliance. However, the test
to a Declaration of Conformity. records required by § 2.1075 shall be in
the English language and shall be made
[61 FR 31046, June 19, 1996] available to the Commission upon a
reasonable request in accordance with
§ 2.1072 Limitation on Declaration of the provisions of § 2.1076.
Conformity.
(c) In the case of transfer of control
(a) The Declaration of Conformity of the equipment, as in the case of sale
signifies that the responsible party, as or merger of the responsible party, the
defined in § 2.909, has determined that new responsible party shall bear the re-
the equipment has been shown to com- sponsibility of continued compliance of
ply with the applicable technical the equipment.
standards if no unauthorized change is (d) Equipment shall be retested to
made in the equipment and if the demonstrate continued compliance
equipment is properly maintained and with the applicable technical standards
operated. Compliance with these stand- if any modifications or changes that
ards shall not be construed to be a find- could adversely affect the emanation
ing by the responsible party with re- characteristics of the equipment are
spect to matters not encompassed by made by the responsible party. The re-
the Commission’s rules. sponsible party bears responsibility for
(b) A Declaration of Conformity by the continued compliance of subse-
the responsible party is effective until quently produced equipment.
a termination date is otherwise estab- (e) If any modifications or changes
lished by the Commission. are made by anyone other than the re-
(c) No person shall, in any adver- sponsible party for the Declaration of
tising matter, brochure, etc., use or Conformity, the party making the
593
§ 2.1074 47 CFR Ch. I (10–1–02 Edition)
modifications or changes, if located measurement procedure and test equip-

within the U.S., becomes the new re- ment that was used;
sponsible party. The new responsible (iv) A description of the equipment
party must comply with all provisions under test (EUT) and support equip-
for the Declaration of Conformity, in- ment connected to, or installed within,
cluding having test data on file dem- the EUT;
onstrating that the product continues (v) The identification of the EUT and
to comply with all of the applicable support equipment by trade name and
technical standards. model number and, if appropriate, by
[61 FR 31046, June 19, 1996] FCC Identifier and serial number;
(vi) The types and lengths of con-
§ 2.1074 Identification. necting cables used and how they were
Devices subject only to a Declaration arranged or moved during testing;
of Conformity shall be uniquely identi- (vii) At least two photographs show-
fied by the responsible party. This ing the test set-up for the highest line
identification shall not be of a format conducted emission and showing the
which could be confused with the FCC test set-up for the highest radiated
Identifier required on certified, noti- emission. These photographs must be
fied, type accepted or type approved focused originals which show enough
equipment. The responsible party shall detail to confirm other information
maintain adequate identification contained in the test report;
records to facilitate positive identifica- (viii) A description of any modifica-
tion for each device. tions made to the EUT by the testing
company or individual to achieve com-
[61 FR 31047, June 19, 1996]
pliance with the regulations;
§ 2.1075 Retention of records. (ix) All of the data required to show
compliance with the appropriate regu-
(a) Except as shown in paragraph (b)
lations;
of this section, for each product subject
to a Declaration of Conformity, the re- (x) The signature of the individual re-
sponsible party, as shown in § 2.909, sponsible for testing the product along
shall maintain the following records: with the name and signature of an offi-
(1) A record of the original design cial of the responsible party, as des-
drawings and specifications and all ignated in § 2.909; and
changes that have been made that may (xi) A copy of the compliance infor-
affect compliance with the require- mation, as described in § 2.1077, re-
ments of § 2.1073. quired to be provided with the equip-
(2) A record of the procedures used ment.
for production inspection and testing (b) If the equipment is assembled
(if tests were performed) to insure the using modular components that, by
conformance required by § 2.1073. themselves, are subject to authoriza-
(Statistical production line emission tion under a Declaration of Conformity
testing is not required.) and/or a grant of certification, and the
(3) A record of the measurements assembled product is also subject to
made on an appropriate test site that authorization under a Declaration of
demonstrates compliance with the ap- Conformity but, in accordance with the
plicable regulations. The record shall applicable regulations, does not require
contain: additional testing, the assembler shall
(i) The actual date or dates testing maintain the following records in order
was performed; to show the basis on which compliance
(ii) The name of the test laboratory, with the standards was determined:
company, or individual performing the (1) A listing of all of the components
testing. The Commission may request used in the assembly;
additional information regarding the (2) Copies of the compliance informa-
test site, the test equipment or the tion, as described in § 2.1077 for all of
qualifications of the company or indi- the modular components used in the
vidual performing the tests; assembly;
(iii) A description of how the device (3) A listing of the FCC Identifier
was actually tested, identifying the numbers for all of the components used
594
in the assembly that are authorized product at the time of marketing or

under a grant of certification; importation, containing the following
(4) A listing of equipment modifica- information:
tions, if any, that were made during as- (1) Identification of the product, e.g.,
sembly; and name and model number;
(5) A copy of any instructions in- (2) A statement, similar to that con-
cluded with the components that were tained in § 15.19(a)(3) of this chapter,
required to be followed to ensure the
that the product complies with part 15
assembly of a compliant product, along
with a statement, signed by the assem- of this chapters; and
bler, that these instructions were fol- (3) The identification, by name, ad-
lowed during assembly. This statement dress and telephone number, of the re-
shall also contain the name and signa- sponsible party, as defined in § 2.909.
ture of an official of the responsible The responsible party for a Declaration
party, as designated in § 2.909. of Conformity must be located within
(c) The records listed in paragraphs the United States.
(a) and (b) of this section shall be re- (b) If a product is assembled from
tained for two years after the manufac- modular components that, by them-
ture or assembly, as appropriate, of selves, are authorized under a Declara-
said equipment has been permanently tion of Conformity and/or a grant of
discontinued, or until the conclusion of certification, and the assembled prod-
an investigation or a proceeding if the uct is also subject to authorization
responsible party is officially notified under a Declaration of Conformity but,
that an investigation or any other ad- in accordance with the applicable regu-
ministrative proceeding involving the
lations, does not require additional
equipment has been instituted. Re-
quests for the records described in this testing, the product shall be supplied,
section and for sample units also are at the time of marketing or importa-
covered under the provisions of § 2.946. tion, with a compliance information
statement containing the following in-
[61 FR 31047, June 19, 1996] formation:
§ 2.1076 FCC inspection and submis- (1) Identification of the assembled
sion of equipment for testing. product, e.g., name and model number.
(a) Each responsible party, upon re- (2) Identification of the modular
ceipt of a reasonable request, shall sub- components used in the assembly. A
mit to the Commission the records re- modular component authorized under a
quired by § 2.1075 or one or more sample Declaration of Conformity shall be
units for measurements at the Com- identified as specified in paragraph
mission’s laboratory. (a)(1) of this section. A modular compo-
(b) Shipping costs to the Commis- nent authorized under a grant of cer-
sion’s Laboratory and return shall be tification shall be identified by name
borne by the responsible party. In the and model number (if applicable) along
event the responsible party believes with the FCC Identifier number.
that shipment of the sample to the (3) A statement that the product
Commission’s Laboratory is imprac- complies with part 15 of this chapter.
tical because of the size or weight of (4) The identification, by name, ad-
the equipment, or the power require- dress and telephone number, of the re-
ment, or for any other reason, the re-
sponsible party who assembled the
sponsible party may submit a written
product from modular components, as
explanation why such shipment is im-
defined in § 2.909. The responsible party
practical and should not be required.
for a Declaration of Conformity must
[61 FR 31047, June 19, 1996] be located within the United States.
(5) Copies of the compliance informa-
§ 2.1077 Compliance information.
tion statements for each modular com-
(a) If a product must be tested and ponent used in the system that is au-
authorized under a Declaration of Con- thorized under a Declaration of Con-
formity, a compliance information formity.
statement shall be supplied with the
595
§ 2.1091 47 CFR Ch. I (10–1–02 Edition)
(c) The compliance information 1.5 GHz and their ERP is 3 watts or
statement shall be included in the more. Unlicensed personal communica-
user’s manual or as a separate sheet. tions service devices, unlicensed milli-
meter wave devices and unlicensed NII
FR 41880, Aug. 4, 1997] devices authorized under § 15.253,
§ 15.255, and subparts D and E of part 15
RADIOFREQUENCY RADIATION EXPOSURE of this chapter are also subject to rou-
tine environmental evaluation for RF
§ 2.1091 Radiofrequency radiation ex- exposure prior to equipment authoriza-
posure evaluation: mobile devices. tion or use if their ERP is 3 watts or
(a) Requirements of this section are a more or if they meet the definition of
consequence of Commission respon- a portable device as specified in § 2.1093
sibilities under the National Environ- (b) requiring evaluation under the pro-
mental Policy Act to evaluate the en- visions of that section. All other mo-
vironmental significance of its actions. bile and unlicensed transmitting de-
See subpart I of part 1 of this chapter, vices are categorically excluded from
in particular § 1.1307(b). routine environmental evaluation for
(b) For purposes of this section, a RF exposure prior to equipment au-
mobile device is defined as a transmit- thorization or use, except as specified
ting device designed to be used in other in §§ 1.1307(c) and 1.1307(d) of this chap-
than fixed locations and to generally ter. Applications for equipment author-
be used in such a way that a separation ization of mobile and unlicensed trans-
distance of at least 20 centimeters is mitting devices subject to routine en-
normally maintained between the vironmental evaluation must contain a
transmitter’s radiating structure(s) statement confirming compliance with
and the body of the user or nearby per- the limits specified in paragraph (d) of
sons. In this context, the term ‘‘fixed this section as part of their applica-
location’’ means that the device is tion. Technical information showing
physically secured at one location and the basis for this statement must be
is not able to be easily moved to an- submitted to the Commission upon re-
other location. Transmitting devices quest.
designed to be used by consumers or (d) The limits to be used for evalua-
workers that can be easily re-located, tion are specified in § 1.1310 of this
such as wireless devices associated chapter. All unlicensed personal com-
with a personal computer, are consid- munications service (PCS) devices and
ered to be mobile devices if they meet unlicensed NII devices shall be subject
the 20 centimeter separation require- to the limits for general population/un-
ment. controlled exposure.
(c) Mobile devices that operate in the (1) For purposes of analyzing mobile
Cellular Radiotelephone Service, the transmitting devices under the occupa-
Personal Communications Services, tional/controlled criteria specified in
the Satellite Communications Serv- § 1.1310 of this chapter, time-averaging
ices, the General Wireless Communica- provisions of the guidelines may be
tions Service, the Wireless Commu- used in conjunction with typical max-
nications Service, the Maritime Serv- imum duty factors to determine max-
ices and the Specialized Mobile Radio imum likely exposure levels.
Service authorized under subpart H of (2) Time-averaging provisions may
part 22 of this chapter, part 24 of this not be used in determining typical ex-
chapter, part 25 of this chapter, part 26 posure levels for devices intended for
of this chapter, part 27 of this chapter, use by consumers in general popu-
part 80 of this chapter (ship earth sta- lation/uncontrolled environments as
tions devices only) and part 90 of this defined in § 1.1310 of this chapter. How-
chapter are subject to routine environ- ever, ‘‘source-based’’ time-averaging
mental evaluation for RF exposure based on an inherent property or duty-
prior to equipment authorization or cycle of a device is allowed. An exam-
use if they operate at frequencies of 1.5 ple of this is the determination of expo-
GHz or below and their effective radi- sure from a device that uses digital
ated power (ERP) is 1.5 watts or more, technology such as a time-division
or if they operate at frequencies above multiple-access (TDMA) scheme for
596
transmission of a signal. In general, tion devices only), part 90 of this chap-

maximum average power levels must ter, subparts H and I of part 95, and un-
be used to determine compliance. licensed personal communication serv-
(3) If appropriate, compliance with ice, unlicensed NII devices and milli-
exposure guidelines for devices in this meter wave devices authorized under
section can be accomplished by the use subparts D and E, § 15.253 and § 15.255 of
of warning labels and by providing part 15 of this chapter are subject to
users with information concerning routine environmental evaluation for
minimum separation distances from RF exposure prior to equipment au-
transmitting structures and proper in-
thorization or use. All other portable
stallation of antennas.
transmitting devices are categorically
(4) In some cases, e.g., modular or
desktop transmitters, the potential excluded from routine environmental
conditions of use of a device may not evaluation for RF exposure prior to
allow easy classification of that device equipment authorization or use, except
as either mobile or portable (also see as specified in §§ 1.1307(c) and 1.1307(d)
§ 2.1093). In such cases, applicants are of this chapter. Applications for equip-
responsible for determining minimum ment authorization of portable trans-
distances for compliance for the in- mitting devices subject to routine en-
tended use and installation of the de- vironmental evaluation must contain a
vice based on evaluation of either spe- statement confirming compliance with
cific absorption rate (SAR), field the limits specified in paragraph (d) of
strength or power density, whichever is this section as part of their applica-
most appropriate. tion. Technical information showing
the basis for this statement must be
FR 4655, Jan. 31, 1997; 62 FR 9658, Mar. 3, 1997; submitted to the Commission upon re-
62 FR 47966, Sept. 12, 1997] quest.
(d) The limits to be used for evalua-
§ 2.1093 Radiofrequency radiation ex- tion are based generally on criteria
posure evaluation: portable devices. published by the American National
(a) Requirements of this section are a Standards Institute (ANSI) for local-
consequence of Commission respon- ized specific absorption rate (‘‘SAR’’)
sibilities under the National Environ- in Section 4.2 of ‘‘IEEE Standard for
mental Policy Act to evaluate the en- Safety Levels with Respect to Human
vironmental significance of its actions. Exposure to Radio Frequency Electro-
See subpart I of part 1 of this chapter, magnetic Fields, 3 kHz to 300 GHz,’’
in particular § 1.1307(b). ANSI/IEEE C95.1–1992, Copyright 1992
(b) For purposes of this section, a by the Institute of Electrical and Elec-
portable device is defined as a trans- tronics Engineers, Inc., New York, New
mitting device designed to be used so York 10017. These criteria for SAR
that the radiating structure(s) of the evaluation are similar to those rec-
device is/are within 20 centimeters of ommended by the National Council on
the body of the user.
Radiation Protection and Measure-
(c) Portable devices that operate in
ments (NCRP) in ‘‘Biological Effects
the Cellular Radiotelephone Service,
the Personal Communications Service and Exposure Criteria for Radio-
(PCS), the Satellite Communications frequency Electromagnetic Fields,’’
Services, the General Wireless Commu- NCRP Report No. 86, Section 17.4.5.
nications Service, the Wireless Com- Copyright NCRP, 1986, Bethesda, Mary-
munications Service, the Maritime land 20814. SAR is a measure of the
Services, the Specialized Mobile Radio rate of energy absorption due to expo-
Service, the Wireless Medical Telem- sure to an RF transmitting source.
etry Service (WMTS) and the Medical SAR values have been related to
Implant Communications Service threshold levels for potential biological
(MICS), authorized under subpart H of hazards. The criteria to be used are
part 22 of this chapter, part 24 of this specified in paragraphs (d)(1) and (d)(2)
chapter, part 25 of this chapter, part 26 of this section and shall apply for port-
of this chapter, part 27 of this chapter, able devices transmitting in the fre-
part 80 of this chapter (ship earth sta- quency range from 100 kHz to 6 GHz.
597
§ 2.1201 47 CFR Ch. I (10–1–02 Edition)
Portable devices that transmit at fre- putational modeling. Methodologies

quencies above 6 GHz are to be evalu- and references for SAR evaluation are
ated in terms of the MPE limits speci- described in numerous technical publi-
fied in § 1.1310 of this chapter. Measure- cations including ‘‘IEEE Recommended
ments and calculations to demonstrate Practice for the Measurement of Po-
compliance with MPE field strength or tentially Hazardous Electromagnetic
power density limits for devices oper- Fields—RF and Microwave,’’ IEEE
ating above 6 GHz should be made at a C95.3–1991.
minimum distance of 5 cm from the ra- (4) For purposes of analyzing portable
diating source. transmitting devices under the occupa-
(1) Limits for Occupational/Con- tional/controlled criteria, the time-
trolled exposure: 0.4 W/kg as averaged averaging provisions of the MPE guide-
over the whole-body and spatial peak lines identified in § 1.1310 of this chap-
SAR not exceeding 8 W/kg as averaged ter can be used in conjunction with
over any 1 gram of tissue (defined as a typical maximum duty factors to de-
tissue volume in the shape of a cube). termine maximum likely exposure lev-
Exceptions are the hands, wrists, feet els.
and ankles where the spatial peak SAR (5) Time-averaging provisions of the
shall not exceed 20 W/kg, as averaged MPE guidelines identified in § 1.1310 of
over an 10 grams of tissue (defined as a this chapter may not be used in deter-
tissue volume in the shape of a cube). mining typical exposure levels for port-
Occupational/Controlled limits apply able devices intended for use by con-
when persons are exposed as a consumers, such as hand-held cellular tele-
sequence of their employment provided phones, that are considered to operate
these persons are fully aware of and ex- in general population/uncontrolled en-
ercise control over their exposure. vironments as defined above. However,
Awareness of exposure can be accom- ‘‘source-based’’ time-averaging based
plished by use of warning labels or by on an inherent property or duty-cycle
specific training or education through of a device is allowed. An example of
appropriate means, such as an RF safe- this would be the determination of ex-
ty program in a work environment. posure from a device that uses digital
(2) Limits for General Population/Un- technology such as a time-division
controlled exposure: 0.08 W/kg as aver- multiple-access (TDMA) scheme for
aged over the whole-body and spatial transmission of a signal. In general,
peak SAR not exceeding 1.6 W/kg as maximum average power levels must
averaged over any 1 gram of tissue be used to determine compliance.
(defined as a tissue volume in the shape [61 FR 41017, Aug. 7, 1996, as amended at 62
of a cube). Exceptions are the hands, FR 4655, Jan. 31, 1997; 62 FR 9658, Mar. 3, 1997;
wrists, feet and ankles where the spa- 62 FR 47967, Sept. 12, 1997; 65 FR 44007, July
tial peak SAR shall not exceed 4 W/kg, 17, 2000]
as averaged over any 10 grams of tissue
(defined as a tissue volume in the shape Subpart K—Importation of Devices
of a cube). General Population/Uncon- Capable of Causing Harmful
trolled limits apply when the general Interference
public may be exposed, or when persons
that are exposed as a consequence of § 2.1201 Purpose.
their employment may not be fully (a) In order to carry out its respon-
aware of the potential for exposure or sibilities under the Communications
do not exercise control over their expo- Act and the various treaties and inter-
sure. Warning labels placed on con- national regulations, and in order to
sumer devices such as cellular tele- promote efficient use of the radio spec-
phones will not be sufficient reason to trum, the Commission has developed
allow these devices to be evaluated technical standards for radio frequency
subject to limits for occupational/con- equipment. The technical standards ap-
trolled exposure in paragraph (d)(1) of plicable to individual types of equip-
this section. ment are found in that part of the rules
(3) Compliance with SAR limits can governing the service wherein the
be demonstrated by either laboratory equipment is to be operated. In addi-
measurement techniques or by com- tion to the technical standards, the
598
rules governing the service may re- addition of cabinets, knobs, speakers,
quire that such equipment receive an or similar minor attachments before
equipment authorization from the marketing or use. Form 740 informa-
Commission as a prerequisite for mar- tion will be required to be submitted
keting and importing this equipment for computer circuit boards that are
into the U.S.A. The marketing rules, actually peripheral devices as defined
§ 2.801 et seq., were adopted pursuant to in § 15.3(r) of this chapter and all de-
the authority in section 302 of the vices that, by themselves, are subject
Communications Act of 1934, as amend- to FCC marketing rules.
ed (47 U.S.C. 302).
(b) The rules in this section set out [56 FR 26619, June 10, 1991]
the conditions under which radio fre-
quency devices as defined in § 2.801 that § 2.1203 General requirement for entry
into the U.S.A.
are capable of causing harmful inter-
ference to radio communications may (a) No radio frequency device may be
be imported into the U.S.A. imported into the Customs territory of
(c) Nothing in this section prevents the United States unless the importer
importers from shipping goods into for- or ultimate consignee, or their des-
eign trade zones or Customs bonded ignated customs broker, declares that
warehouses, such as is the prescribed the device meets one of the conditions
procedure under § 2.1204(a)(5). Radio fre- for entry set out in this section.
quency devices capable of causing (b) A separate declaration shall be
harmful interference, however, cannot used for each line item in the entry or
be withdrawn from these areas except entry summary containing an RF de-
in accordance with the provisions of vice, or for each different radio fre-
this section. quency device within a line item when
[41 FR 25904, June 23, 1976, as amended at 54 the elements of the declaration are not
FR 17714, Apr. 25, 1989; 56 FR 26619, June 10, identical.
1991; 57 FR 38286, Aug. 24, 1992] (c) Failure to properly declare the
importation category for an entry of
§ 2.1202 Exclusions. radio frequency devices may result in
The provisions of this section do not refused entry, refused withdrawal for
apply to the importation of: consumption, required redelivery to
(a) Cameras, musical greeting cards, the Customs port, and other adminis-
quartz watches and clocks, modules of trative, civil and criminal remedies
quartz watches and clocks, hand-held provided by law.
calculators and electronic games, and (d) Whoever makes a declaration pur-
other similar unintentional radiators suant to § 2.1203(a) must provide, upon
which utilize low level battery power request made within one year of the
and which do not contain provisions for date of entry, documentation on how
operation while connected to AC power an imported radio frequency device was
lines. determined to be in compliance with
(b) Unintentional radiators which are Commission requirements.
exempted from technical standards and
[56 FR 26619, June 10, 1991; 56 FR 32474, July
other requirements as specified in
16, 1991]
(c) Radio frequency devices manufac- § 2.1204 Import conditions.
tured and assembled in the U.S.A. that
meet applicable FCC technical stand- (a) Radio frequency devices may be
ards and which have not been modified imported only if one or more of these
or received further assembly. conditions are met:
(d) Radio frequency devices pre- (1) The radio frequency device has
viously properly imported that have been issued an equipment authoriza-
been exported for repair and re-im- tion by the FCC.
ported for use. (2) The radio frequency device is not
(e) Subassemblies, parts, or compo- required to have an equipment author-
nents of radio frequency devices unless ization and the device complies with
they constitute an essentially com- FCC technical administrative regula-
pleted device which requires only the tions.
599
§ 2.1205 47 CFR Ch. I (10–1–02 Edition)
(3) The radio frequency device is under the Commission’s rules and a
being imported in limited quantities component (or components) of the
for testing and evaluation to determine handset is a foreign standard cellular
compliance with the FCC Rules and phone solely capable of functioning
Regulations or suitability for mar- outside the U.S.
keting. The devices will not be offered (6) The radio frequency device is
for sale or marketed. The phrase being imported for use exclusively by
‘‘limited quantities,’’ in this context the U.S. Government.
means: (7) Three or fewer radio receivers,
(i) 2000 or fewer units, provided the computers, or other unintentional radi-
product is designed solely for operation ators as defined in part 15 of this chap-
within one of the Commission’s author- ter, are being imported for the individ-
ized radio services for which an oper- ual’s personal use and are not intended
ating license is required to be issued by for sale.
the Commission; or
(8) The radio frequency device is
(ii) 200 or fewer units for all other
being imported for repair and will not
products.
be offered for sale or marketed.
(iii) Prior to importation of a greater
number of units than shown above, (9) The radio frequency device is a
written approval must be obtained medical implant transmitter inserted
from the Chief, Office of Engineering in a person granted entry into the
and Technology, FCC. United States or is a medical implant
(iv) Distinctly different models of a programmer/controller transmitter as-
product and separate generations of a sociated with such an implanted trans-
particular model under development mitter, provided, however that the
are considered to be separate devices. transmitters covered by this provision
(4) The radio frequency device is otherwise comply with the technical
being imported in limited quantities requirements applicable to transmit-
for demonstration at industry trade ters authorized to operate in the Med-
shows and the device will not be offered ical Implant Communications Service
for sale or marketed. The phrase under part 95 of this chapter. Such
‘‘limited quantities,’’ in this context transmitters are permitted to be im-
means: ported without the issuance of a grant
(i) 200 or fewer units, provided the of equipment authorization only for
product is designed solely for operation the personal use of the person in whom
within one of the Commission’s author- the medical implant transmitter has
ized radio services for which an oper- been inserted.
ating license is required to be issued by (b) The ultimate consignee must be
the Commission; or able to document compliance with the
(ii) 10 or fewer units for all other selected import condition and the basis
products. for determining the import condition
(iii) Prior to importation of a greater applied.
number of units than shown above,
written approval must be obtained [56 FR 26619, June 10, 1991, as amended at 57
from the Chief, Office of Engineering FR 38286, Aug. 24, 1992; 61 FR 8477, Mar. 5,
1996; 63 FR 31646, June 10, 1998; 64 FR 69929,
and Technology, FCC.
Dec. 15, 1999; 64 FR 72572, Dec. 28, 1999]
(iv) Distinctly different models of a
product and separate generations of a § 2.1205 Filing of required declaration.
particular model under development
are considered to be separate devices. (a) For points of entry where elec-
(5) The radio frequency device is tronic filing with Customs has not been
being imported solely for export. The implemented, use FCC Form 740 to pro-
device will not be marketed or offered vide the needed information and dec-
for sale in the U.S., except: larations. Attach a copy of the com-
(i) If the device is a foreign standard pleted FCC Form 740 to the Customs
cellular phone solely capable of func- entry papers.
tioning outside the U.S. (b)(1) For points of entry where elec-
(ii) If the device is a multi-mode tronic filing with Customs is available,
wireless handset that has been certified submit the following information to
600
Customs when filing the entry docu- (STV) system and one copy thereof
mentation and the entry summary doc- must be filed by the party who will be
umentation electronically. Follow pro- responsible for the conformance of the
cedures established by Customs for system with the subscription TV stand-
electronic filing. ards specified in part 73 of the Rules.
(i) The terms under which the device The application must include informa-
is being imported, as indicated by cit- tion to show that the system conforms
ing the import condition number speci- to the requirements of § 73.644(b).
fied in § 2.1204(a). (b) Advance approval may be applied
(ii) The FCC identifier as specified in for and granted in accordance with and
§ 2.925, if the device has been granted an subject to the following conditions and
equipment authorization; limitations:
(iii) The quantity of devices being (1) A separate request for each dif-
imported, regardless of what unit is ferent technical system must be made
specified in the Harmonized Tariff by the applicant in writing.
Schedule of the United States; and (2) The applicant must certify that
(iv) A commercial product descrip- the application was prepared by or
tion which is to include the trade under the direction of the applicant
name, a model/type number (or model/ and that the facts set forth are true
type name) and other descriptive infor- and correct to the best of the appli-
mation about the device being im- cant’s knowledge and belief.
ported. (3) The applicant must identify the
(2) For importers unable to partici- technical system by a name or type
pate in the electronic filing process number and define the system in terms
with Customs for good cause, declara- of its technical characteristics; a func-
tions are to be made in accordance tional block diagram must be included.
with paragraph (a) of this section. In addition, a complete description of
[56 FR 26619, June 10, 1991, as amended at 64 the encoded aural and visual baseband
FR 72572, Dec. 28, 1999] and transmitted signals and of the en-
coding equipment used by the appli-
§ 2.1207 Examination of imported cant must be supplied. These descrip-
equipment. tions must include equipment circuit
In order to determine compliance diagrams and photographs, and dia-
with its regulations, Commission rep- grams or oscillographs of both
resentatives may examine or test any baseband and transmitted aural and
radio frequency device that is im- visual signal waveforms and of the sig-
ported. If such radio frequency device nal basebands and occupied
has already entered the U.S., the ulti- bandwidths. If aural subcarriers are to
mate consignee or subsequent owners be used for transmitting aural portion
of that device must, upon request, of the subscription program, for de-
made within one year of the date of coder control, or for other purposes, a
entry, make that device available for full description and specifications of
examination or testing by the Commis- the multiplex subcarrier signals and all
sion. modulation levels must be included.
(4) Preliminary test data must be
[56 FR 26620, June 10, 1991] submitted to show system capability
with regard to compliance with the cri-
Subpart L [Reserved] teria set forth in § 73.644(b).
(5) The applicant must identify the
Subpart M—Advance Approval of specific requirements of §§ 73.682, 73.687
Subscription TV Transmission and 73.699 (Figures 6 and 7) from which
Systems the transmitted signal will normally
deviate.
ADVANCE APPROVAL PROCEDURE (6) The applicant must specify the
method to be used in determining and
§ 2.1400 Application for advance ap- maintaining the operating power of the
proval under part 73. transmitter if the procedures given in
(a) An original application for ad- § 73.663 cannot be used due to suppres-
vance approval of a subscription TV sion of the synchronizing pulses or for
601
§ 2.1501 47 CFR Ch. I (10–1–02 Edition)
other reasons. If the operating power of Subpart N—FCC Procedure for

the station must be reduced to accom- Testing Class A, B and S Emer-
modate the encoded aural or video sig- gency Position Indicating
nal, the operating power limitations Radiobeacons (EPIRBs)
must be specified.
(7) The applicant must supply any ad-
SOURCE: 56 FR 11683, Mar. 20, 1991, unless
ditional information and test data re- otherwise noted.
quested by the FCC, to show to its sat-
isfaction that the criteria given in GENERAL
§ 73.644(b) are met.
(8) The information submitted by the § 2.1501 Introduction.
applicant may be subject to check by The procedure described herein sets
field tests conducted without expense forth uniform methods for testing
to the FCC or, if deemed necessary, at Class A, B and S Emergency Position
the laboratory or in the field by FCC Indicating Radiobeacons (EPIRBs) for
personnel. This may include the actual compliance with the applicable por-
submission of equipment for system tions of the FCC Rules and Regula-
tions. Other methods and test results
testing under the provisions of § 2.945 of
may be used provided they are fully
part 2 of the Rules. documented and deemed by the Com-
(9) No technical system will be mission to yield results equivalent to
deemed approved unless and until the the procedures set forth in this section.
FCC has notified the applicant in writ-
ing of the approval. Such notification § 2.1503 Test environment.
of approval will be by letter to the ap- (a) Measurement sites. Radiated emis-
plicant. sion tests for peak effective radiated
(10) Approval by the FCC is limited power (PERP), spurious emissions and
to a determination that the particular power in the test mode are to be per-
technical system (the scheme for en- formed on an open field test site as
coding and decoding the subscription shown in Figure 1. The site is to be lo-
TV signal) is capable of meeting the cated on level ground with an obstruc-
criteria given in § 73.644(b). tion-free, 60 m by 52 m, elliptical area.
(11) The FCC will maintain a listing The site is to be equipped with an an-
of approved technical systems. tenna mast capable of adjustment from
(c) Multichannel sound may be trans- 1 to 4 m. The center of a metal ground
mitted for stereophonic or bilingual plane at least one wavelength in di-
service with encoded subscription pro- ameter at 121.5 MHz (2.47 m) is to be lo-
cated 30 m from the receiving antenna.
grams provided the technical operating
The ground plane is to have provisions
specifications for this service are in-
for mounting removable quarter-wave
cluded in the application for advance
verticle elements to produce a
system approval. monopole antenna at both 121.5 and 243
(d) Subscriber decoder devices must MHz with the VSWR of less than 1.5.
comply with any applicable provisions
of subpart H, part 15 of the FCC Rules NOTE: It is desirable that the level of radi-
ated ambient EME at the test site be at least
for TV interface devices. 6 dB below the FCC limits applicable to the
(e) No modifications may be made by EPIRB. It is, of course, not always possible
either the applicant or the user of a to meet this condition. If the ambient field
system having advance FCC approval strength at some frequencies within the
that would change any of the operating specified measurement ranges is too high, it
is recommended that one or more of the fol-
conditions as submitted in the applica-
lowing corrective steps be employed:
tion for advance approval. Should sys- (1) Perform measurements in critical fre-
tem modifications be necessary, a new quency bands during hours when broadcast
application must be submitted in ac- and other radio stations are off-the-air and
cordance with the requirements of this ambients from industrial equipment are
section. lower.
(2) Insofar as is possible, orient the axis of
[48 FR 56391, Dec. 21, 1983] an open area test site to discriminate
against strong ambient signals.
602
(3) Vary the bandwidth of the measuring table must be capable of varying the
instrument to separate ambient EME from frequency of vibration either linearly
emissions from the EPIRB. or logarithmically over a range of 4 to
(b) Temperature. Except as otherwise 33 Hz with maximum peak amplitudes
noted, the ambient temperature during of up to 2.5 mm.
testing is to be within the range of 4 to (i) Salt fog chamber. A chamber capa-
35 °C (40 to 95 °F). ble of producing salt fog at a tempera-
ture of 35 °C for 48 hours is required.
§ 2.1505 Test instrumentation and This chamber is to be of sufficient size
equipment. to accommodate the EPIRB under test.
(a) Receiver (field intensity meter). A (j) Drop test facility. A facility which
calibrated field intensity meter (FIM) will permit dropping an EPIRB from a
with a frequency range of 30 to 1000 height of 20 m into water is required.
MHz is required for measuring radiated The water must be deep enough so that
emission levels. This instrument the EPIRB will not touch bottom when
should be capable of making peak dropped.
measurements with a bandwidth of 100
ENVIRONMENTAL AND OPERATIONAL TEST
kHz.
PROCEDURES
(b) Spectrum analyzer. Spectral meas-
urements are to be made with a spec- § 2.1507 Test frequencies.
trum analyzer with a minimum resolu-
Testing of an EPIRB for compliance
tion bandwidth no greater than 10 Hz.
outside a shielded room on a distress
The video filter, if used, should have a
frequency is prohibited, since this may
bandwidth wide enough so as to not af-
interfere with emergency communica-
fect peak readings. A linear video out-
tions. Therefore, all compliance testing
put is desirable for performing meas-
outside a shielded room should be con-
urements of modulation characteris-
ducted on one of the pairs of alternate
tics.
(c) Storage oscilloscope. Measurements frequencies specified below:
of modulation characteristics are to be 121.600/243.200 MHz
made using a calibrated storage os- 121.650/243.300 MHz
cilloscope. This instrument is to be DC 121.700/243.400 MHz
121.750/243.500 MHz
coupled and capable of manually trig-
121.800/243.600 MHz
gered single sweeps. 121.850/243.700 MHz
(d) Frequency counter. A frequency 121.900/243.800 MHz
counter with an accuracy of at least 5
parts per million is required for meas- The above frequencies are to be used
uring the carrier frequency. for limited testing of EPIRBs for com-
(e) Signal generator. A calibrated sig- pliance with FCC Rules, subject to the
nal generator with an output of at following conditions:
least 75 mW at 121.5 and 243 MHz is re- (a) The testing shall not cause harm-
quired for generating a reference signal ful interference to authorized commu-
for site calibration. nications on these frequencies.
(f) Antenna. Radiated emissions are (b) The testing shall be coordinated
to be measured with calibrated, tuned, with the nearest FCC district office.
half-wave dipole antennas covering the For simplicity, 121.5 MHz and 243 MHz
frequency range of 30 to 1000 MHz. will be used throughout this test proce-
(g) Temperature chamber. Tests which dure to indicate the alternate test fre-
call for subjecting the EPIRB to tem- quency.
perature levels other than the ambient
temperature are to be performed in a § 2.1509 Environmental and duration
temperature test chamber which can be tests.
adjusted to stable temperatures from The environmental and operational
¥20 to +55 °C. This chamber is to be of tests in § 2.1509 (a) through (e) are to be
sufficient size to accommodate the conducted on a single test unit in the
EPIRB under test. order given below. This sequence of
(h) Vibration table. A vibration table tests also includes the electrical tests
capable of vibrating the EPIRB with a in §§ 2.1511, 2.1513 and 2.1515 of this part.
sinusoidal motion is required. The The test unit is not to be adjusted, nor
603
§ 2.1509 47 CFR Ch. I (10–1–02 Edition)
is the battery to be replaced during Step (2) Immediately float the EPIRB in
these tests, and a log of battery on- water that is maintained at +25 degrees C or
time should be maintained. The above colder.
Step (3) After 15 minutes, perform an exte-
tests are to be performed on the same rior mechanical inspection and verify oper-
test unit. The tests in § 2.1509 (f) ation by turning the unit on and observing
through (i) may be run in any sequence the RF power indicator on the unit or moni-
or may be performed on separate test toring the transmission with a receiver.
units. Record test results.
(a) Vibration test. (c) Salt fog test.
Step (1) Secure the EPIRB to the vibration Step (1) Place the EPIRB in a salt fog
table. The EPIRB is not to be operated and chamber for a period of at least 2 hours at a
should not activate while being vibrated. temperature of 35 °C (±2 °C) before exposing it
Step (2) Subject the EPIRB to sinusoidal to salt fog. The EPIRB is to be turned off
motion parallel to one of the three major or- during this test.
thogonal axes under the following condi- Step (2) With the chamber temperature
tions: maintained at 35 °C, introduce salt fog at the
saturation point for 48 hours. The salt fog is
A. Frequency (Hz) Peak amplitude (mm) to be prepared from a 5% (±1%) salt (sodium
chloride solution. For detailed guidance on
4–10 2.5 the preparation of the solution and the appa-
10–15 0.8 ratus for generating salt fog, refer to MIL–
15–25 0.4 STD–810D (19 July 1983), method 509.2.
25–33 0.2 Step (3) Upon completion of the salt fog ex-
posure, the EPIRB is to be airdried at room
B. The frequency is to be changed either
temperature for 12 hours and operation
linearly or logarithmically with time be-
verified by turning the unit on and observing
tween 4 Hz and 33 Hz such that a complete
the RF power indicator on the unit or moni-
cycle (4 Hz to 33 Hz to 4 Hz) takes approxi-
toring the transmission with a receiver.
mately 5 minutes.
Record observations.
C. The EPIRB is to be vibrated for at least
30 minutes or six complete cycles. (d) Drop test. This test is to be per-
Step (3) Remount the EPIRB, if necessary, formed on EPIRB which are required or
and repeat step 2 for each of the other two intended to float.
major orthogonal axes.
Step (4) Upon completion of the test, per- Step (1) Turn the EPIRB on, log the time
form an exterior mechanical inspection and and drop it three times into water from a
verify operation by turning the unit on and height of 20 meters. The water is to be deep
observing the RF power indicator on the unit enough so that the EPIRB does not touch
or monitoring the transmission with a re- bottom when dropped. Each drop should be
ceiver. Record test results. initiated from a different orientation as fol-
lows: antenna vertical up; antenna vertical
(b) Thermal shock tests. These tests down; antenna horizontal.
are to be performed on EPIRBs which Step (2) Upon completion of the drop test,
are required or intended to float. an exterior mechanical inspection is to be
(1) Low temperature thermal shock test. performed and operation verified by observ-
ing the RF power indicator on the unit or
Step (1) Place the EPIRB in a temperature monitoring the transmission with a receiver.
chamber for at least 3 hours at ¥20 °C or Record observations. Turn the test unit off
colder. The EPIRB is not to be operated and log the total on-time.
while being cooled.
Step (2) Immediately place the EPIRB in (e) Forty-eight hour operational test.
water that has been maintained at +10 °C or This test includes the battery life test
warmer. and all the electrical tests given in
Step (3) After 15 minutes, perform as exte- §§ 2.1511, 2.1513 and 2.1515 of this part, at
rior mechanical inspection and verify oper- various temperatures. The tests are to
ation by turning the unit on and observing be performed on the same EPIRB in the
the RF power indicator on the unit or moni- sequence specified herein. Be sure to
Record test results.
record the on-time of the unit during
each test. No more than 8 hours of
(2) High temperature thermal shock test. total on-time is permitted before com-
Step (1) Place the EPIRB in a temperature mencing step 4. When operating the
chamber for at least 3 hours at +55 degrees C EPIRB in the environmental chamber,
or warmer. The EPIRB is not to be operated a non-radiating load may be sub-
while being heated. stituted for the antenna provided it is
604
electrically equivalent to the standard minimum of 5 cm above the water.

antenna and does not reduce the bat- Record the time required for the test
tery current drain. unit to right itself.
(h) Temperature/frequency test. The
Step (1) Perform the radiated emissions
test in § 2.1511 of this part. frequency stability shall be measured
Step (2) Perform the modulation char- over an ambient temperature from
acteristic tests in § 2.1513 of this part. ¥20° to +55 °C at intervals of not more
Step (3) Perform the spectral tests in than 10 °C. A period of time sufficient
§ 2.1515 of this part. to stabilize all of the components of
Step (4) With the EPIRB off, place unit in the oscillator circuit at each
an environmental chamber at a temperature temperture level shall be allowed prior
of ¥20 °C for at least 2 hours.
Step (5) With the EPIRB in the chamber,
to frequency measurement.
repeat the carrier frequency test in § 2.1515(d) Step (1) Place the EPIRB in the environ-
of this part. (Leave the EPIRB turned on.) mental test chamber.
Step (6) Near the end of 48 hours of total Step (2) Adjust the temperature in the
on-time for the EPIRB, repeat the carrier chamber to +20 °C and allow sufficient time
frequency test in § 2.1515(d) of this part. for the oscillator to stabilize at that tem-
Step (7) At the end of 48 hours of total on- perature.
time, remove EPIRB from the chamber and Step (3) Measure the carrier frequency in
immediately repeat the PERP test for the accordance with the procedure in § 2.1515(d)
fundamental emissions in § 2.1511(c) of this of this part. Record the carrier frequency in
part. The unit should be maintained at ¥20 Hertz. The carrier frequency at +20 °C is the
°C to the extent possible for this test. reference for determining the frequency tol-
(f) Float free and activation test. This erance.
Step (4) Increase the temperature in the
test is required only for Class A chamber to +55 °C and allow sufficient time
EPIRBs. for the oscillator to stabilize at that tem-
Step (1) The EPIRB is to be installed in the perature. Measure the carrier frequency
automatic release mechanism and the as- using the procedure in § 2.1515(d) of this part.
sembly is to be mounted on a fixture simu- Step (5) Reduce the temperature in the
lating a deck or bulkhead as per manufac- chamber in 10 °C maximum increments until
turer’ installation instructions. ¥20 °C is reached. At each new temperature,
Step (2) Submerge the fixture in water in allow sufficient time for the oscillator to
its normal mounted orientation. The EPIRB stabilize at that temperature. Measure the
must float free before reaching a depth of 4 temperature and frequency in each case and
meters and should automatically activate. plot the frequency vs temperature from ¥20°
Activation is to be verified by observing the to +55 °C.
RF power indicator on the unit or moni-
(i) Leakage and immersion test.
Step (1) Completely submerge the EPIRB
If the EPIRB is equipped with an auto- in water for 48 hours. The EPIRB is to be
matically deployable antenna, the an- turned off during this test.
tenna must properly deploy during Step (2) Remove the EPIRB from the water
each immersion. Record observations. and wipe dry.
(g) Stability and buoyancy test. This Step (3) Verify operation by briefly turning
test is to be performed on EPIRBs the EPIRB on and observing the RF power
indicator on the unit or monitoring the
which are required or intended to float.
transmission with a receiver.
This test is to be conducted in fresh Step (4) Open the EPIRB for examination.
water. There is to be no water inside the unit.
Step (1) With the antenna deployed in its Record observations.
normal operating position, submerge the
EPIRB in a horizontal position just below § 2.1511 Measurements of radiated
the surface of the water. emissions.
Step (2) Release the EPIRB and observe the The Commission’s Rules require that
amount of time required for it to come to an the peak efficetive radiated power
upright position. It must reach its upright
(PERP) of a Class A, B or S EPIRB not
position within one second from each posi-
tion. be less than 75 mW under certain speci-
fied conditions. The PERP of an EPIRB
The EPIRB must have a reserve buoy- transmitter is determined by com-
ancy of at least 5% of its gross weight. paring its level to a reference PERP
It must also float upright in calm generated by a standard quarter-wave
water with the base of the antenna a monopole antenna located on a one
605
§ 2.1511 47 CFR Ch. I (10–1–02 Edition)
wavelength minimum diameter metal maximum radiation, antenna polarization

ground plane. The Rules also require and conversion factors, if any, associated
that all spurious and harmonic emis- with that reading.
sions be attenuated by a specified Step (6) Repeat Step 5 with the EPIRB
amount with respect to the reference switch in the test position. Return the
PERP. In addition, there is a limit on switch to the normal operation position.
the PERP of radiated emissions with Step (7) Rotate the EPIRB 30 degrees and
repeat Steps 5 and 6. Repeat this step for all
the switch in the test mode. These
successive 30 degrees segments of a full, 360
measurements are to be made in ac-
degree rotation of the EPIRB.
cordance with the following procedure.
Step (8) Repeat § 2.1511(b) and Steps 1
(a) General set-up instructions. Meas- through 7 for 243 MHz.
urements of radiated electromagnetic Step (9) Compute the peak effective radi-
emissions (EME) are to be performed ated power for the maximum level of each
on the 30 meter open field test site de- measured emission using the following for-
scribed in § 2.1503(a) of this part and on mula:
one of the pair of frequencies listed in
§ 2.1507 of this part. A receiver, tuned  dBm meas− dBmref 
dipole antennas and a calibrated signal PERP = 75 × log10 −1  
generator as described in § 2.1505 of this  10
part are required. The EPIRB should be where:
powered by its own internal battery dBmmeas is the measured receiver reading in
with its standard antenna attached and dBm, and
deployed. dBmref is the reference receiver reading found
(b) Set-up for radiated EME tests. in step 2 of § 2.1511(c).
Step (1) Place a 121.5 MHz quarter-wave Step (10) Record the PERP in mW. The
vertical antenna element at the center of the FCC limit for minimum power in the normal
ground plane and connect the output of the operation mode (i.e., with the EPIRB switch
calibrated signal generator to the antenna. in the normal operating position) is 75 mW.
Step (2) Mount the tuned dipole antenna on The FCC limit for maximum power in the
the antenna mast, tune the elements to 121.5 test mode is 0.0001 mW.
MHz and connect the antenna to the re-
ceiver. Spurious emissions
Step (3) After an appropriate warm up,
turn the receiver to the frequency of the test
Step (11) Reset the signal generator to op-
unit, set the detector to peak mode and the
erate at 121.5 MHz.
bandwidth to 100 kHz.
Step (12) For each spurious and harmonic
(NOTE: It is sometimes helpful to monitor emission to be measured, retune the receive
the receiver audio output with a speaker. antenna to the appropriate frequency and re-
The EPIRB signal may be identified by its peat Steps 5 and 7.
distinctive modulation.) Step (13) Determine the FCC limit on
(c) Radiated EME tests. power for spurious emissions on the fre-
quency of each measured emission as follows:
Fundamental emissions-peak effective radiated The rules require that spurious emissions
power be attenuated at least 30 decibels below the
Step (1) Turn on the signal generator and transmit power level. Therefore, the max-
adjust the output to 75 mW at 121.5 MHz. imum received power limit for a spurious
Step (2) Vary the antenna height from one emission can be calculated from the formula:
to four meters in both vertical and hori-
zontal polarization. Record the highest re- dBmspur = dBmmeas+AF121.5¥AFspurfreq¥30
ceiver reading in dBm as the reference level. where:
Step (3) Disconnect the signal generator
and replace the quarter-wave vertical ele- dBmmeas = measured receiver reading
ment on the ground plane with the EPIRB (Section 2.1511(c), step 5).
under test. The EPIRB is to be positioned di- AF121.5 = tuned dipole antenna factor at 121.5
rectly on the surface of and in the center of MHz.
the metal ground plane. AFspurfreq = tuned dipole antenna factor at
Step (4) Activate the EPIRB. spurious freq.
Step (5) Vary the receive antenna height Step (14) Record in dB below the funda-
from one to four meters in both vertical and mental emissions the level of all spurious
horizontal polarization. Record the highest and harmonic emissions within 10 dB of the
receiver reading in dBm and the instrument FCC limits.
settings, antenna height and direction for
606
EC03JN91.001</MATH>
§ 2.1513 Measurements of modulation Step (3) Measure the maximum voltage

characteristics. (Vmax), and the minimum voltage (Vmin) for
the cycle. The modulation factor (M) is cal-
(a) Set-up. Test of modulation charac- culated from the following formula:
teristics are to be performed in an RF
shielded room. Vmax − Vmin
M=
Step (1) Place the EPIRB directly on a Vmax + Vmin
metal ground plane, such as the shielded
room floor. See Figure 2.
Step (2) Place a suitable receiving antenna Step (4) Repeat Steps 2 and 3 until the low-
at a convenient distance from the EPIRB est modulation factor is found.
and connect it to the input of the spectrum Step (5) Record instrument settings and
analyzer or receiver to observe the radiated the lowest modulation factor, expressed as a
signal from the EPIRB. ratio between 0 and 1.
Step (3) Set the spectrum analyzer or re- Step (6) Repeat the above measurements
ceiver controls as follows: for 243 MHz.
I.F. bandwidth: 300 kHz minimum
(d) Modulation duty cycle.
Video filter: OFF or as wide as possible
Amplitude scale: Linear Step (1) Activate the EPIRB.
Frequency: 121.5 MHz Step (2) Trigger the oscilloscope and store
Scan width: 0 Hz at least one complete cycle of the audio
Step (4) Connect the detected output of the waveform.
spectrum analyzer or receiver to the input of Step (3) Measure the period (T) of the
the storage oscilloscope. waveform. The period is the time difference
Step (5) Set the oscilloscope controls as between the half voltage points at the begin-
necessary to allow the demodulated wave- ning and end of one cycle of the waveform.
form to be viewed. The input signal is to be See Figure 2.
DC coupled. Step (4) Measure the pulse width (tp) of the
(b) Measurement of Audio Frequencies. waveform. The pulse width is the time dif-
ference between the half voltage points on
Step (1) Activate the EPIRB. the rising and falling portions of the wave-
Step (2) Trigger the oscilloscope and store form. See Figure 2.
at least one complete cycle of the audio Step (5) Calculate the duty cycle (D) as fol-
waveform. lows:
Step (3) Measure the period (T) of the
waveform. The period is the time difference tp
between the half voltage points at the begin- D=
ning and end of one complete cycle of the T
waveform. See Figure 2. Step (6) Repeat Steps 2 through 5 a suffi-
Step (4) Calculate the frequency (F), cient number of times to determine the high-
where: est and lowest duty cycles.
F=1/T. Step (7) Record instrument settings and
Step (5) Repeat Steps 2 through 4 until the the highest and lowest duty cycles in per-
highest and lowest audio frequencies are cent.
found. Step (8) Repeat Steps 1–7 for 243 MHz.
NOTE: The lowest and highest frequencies (e) Sweep repetition rate.
may occur several cycles before or after the
Step (1) Connect a speaker to the detected
transition from low to high frequency.)
output of the spectrum analyzer or receiver
Step (6) Determine the audio frequency so the audio frequencies are audible. Alter-
range (Frange), where: natively, an FM radio tuned to 108 MHz
Frange=Fhigh¥Flow placed in the vicinity of the EPIRB may be
used.
Step (7) Record instrument settings and
Step (2) Activate the EPIRB.
the lowest and highest audio frequencies.
Step (3) Time the number of audio sweeps
Record the audio frequency range in Hertz.
(N) for a one minute interval.
Step (8) Repeat Steps 1–7, above, for 243
Step (4) Calculate the audio sweep rate (R)
MHz.
using R=N/60.
(c) Modulation factor. Step (5) Record instrument settings and
the sweep repetition rate in Hertz.
Step (1) Activate the EPIRB.
Step (2) Trigger the oscilloscope and store § 2.1515 Spectral measurements.
EC03JN91.003</MATH>
at least one complete cycle of the audio

waveform. The input signal is to be DC cou- (a) Set-up. Spectral measurements
pled or erroneous results will be obtained. are to be performed in a shielded room.
607
EC03JN91.002</MATH>
§ 2.1515 47 CFR Ch. I (10–1–02 Edition)
Step (1) Place the EPIRB directly on a trum analyzer. Adjust location of receiving
metal ground plane, such as the shielded antenna and spectrum analyzer controls to
room floor. The EPIRB should be powered by obtain a suitable signal level (i.e., a level
its own internal battery with its standard which will not overload the analyzer, but is
antenna attached and deployed. far enough above the noise floor to allow
Step (2) Place a suitable receiving antenna sidebands at least 40 dB below the carrier to
at a convenient distance from the EPIRB be viewed).
and connect it to the input of the spectrum Step (2) Set the spectrum analyzer controls
analyzer to observe the radiated signal from as follows:
the EPIRB. A signal generator and frequency I.F. bandwidth: 10 kHz
counter capable of operating at 121.5 and 243 Video filter: OFF or as wide as possible
MHz are also required for these tests. Scan time: 100 ms./div.
(b) Occupied bandwidth test. Amplitude scale: 5 dB/div.
Scan width: 10 kHz/div.
Step (1) Activate the EPIRB and observe Center frequency: 121.5 MHz
the fundamental frequency on a spectrum
Step (3) Record the amplitude in dBm.
analyzer. Adjust location of receiving an-
Step (4) Calculate the total power output
tenna and spectrum analyzer controls to ob-
by adding 10 log(D), where D is the modula-
tain a suitable signal level (i.e., a level
tion duty cycle determined in § 2.1513(d) of
which will not overload the spectrum ana-
this part, to the recorded signal level.
lyzer, but is far enough above the noise floor
Step (5) Set the spectrum analyzer controls
to allow determination of whether or not the
as follows:
sidebands are attenuated by at least the
amount required in the rules). I.F. bandwidth: 60 Hz or less
Step (2) Set spectrum analyzer controls as Video filter: OFF or as wide as possible
follows: Scan time: 10 sec./div.
Amplitude scale: 5 dB/div.
I.F. bandwidth: 10 kHz
Video filter: OFF or as wide as possible Scan width: 20 Hz/div.
Scan time: 100 ms./div. Center frequency: 121.5 MHz
Amplitude scale: 10 dB/div. Step (6) Measure and record the carrier
Scan width: 20 Hz/div. power dBm as displayed on the spectrum an-
Center frequency: 121.5 MHz alyzer.
Step (3) Record the signal level in dbm. Step (7) Calculate the ratio of carrier
Step (4) Calculate the mean power ref- power to total power from Steps 4 and 6
erence level by adding 10 log10 (D), where D using the following formula:
is the modulation duty cycle determined in
carrier power  dBc − dBT 
= log10 −1
section 2.1513(d) of this part, to the recorded
signal level.
total power  10 
Step (5) Set spectrum analyzer controls as
follows: dBC = carrier power in step 6
I.F. bandwidth: 100 Hz dBT = total power in step 4
Video filter: OFF or as wide as possible Step (8) Record instrument settings, sam-
Scan time: 10 sec./div. ple calculation and the percent of power
Amplitude scale: 10 dB/div. within ≤30 Hz at 121.5 MHz or ≤60 Hz at 243
Scan width: 20 kHz/div. MHz of the carrier frequency.
Step (6) Check the modulation sidebands Step (9) Repeat the above measurement
for compliance with the required attenuation Steps 1 through 8 for 243 MHz. For the higher
below the mean power reference level speci- frequency, the I.F. bandwidth in step 5 must
fied in § 80.211 of the rules. be 120 Hz or less.
Step (7) Record how the test was per-
formed, instrument settings and the occu- (d) Carrier frequency test. The setup
pied bandwidth in kHz and the 3 dB band- specified in § 2.1515(a) is to be used in
width of the carrier in Hz. (See § 2.1517 of this measuring the carrier frequency.
part).
Step (8) Repeat Steps 1 through 7 for the Step (1) Activate the EPIRB and locate the
signal at 243 MHz. 121.5 MHz signal on the spectrum analyzer.
Adjust location of receiving antenna and
(c) Signal enhancement test. The setup spectrum analyzer controls to obtain a suit-
specified in § 2.1515(a) is to be used in able signal level.
this method of measuring signal en- Step (2) Set the spectrum analyzer controls
hancement. Other methods may be as follows:
used if shown to give results equivalent I.F. bandwidth: 100 Hz
to or more accurate than this method. Video filter: OFF or as wide as possible
Scan time: 10 sec./div.
Step (1) Activate the EPIRB and locate the Amplitude scale: 10 dB/div.
carrier frequency at 121.5 MHz on the spec- Scan width: 20 Hz/div.
608
EC03JN91.004</GPH>
Center frequency: 121.5 MHz (c) A description of the instrumenta-
Step (3) Combine the output of the signal tion and equipment, including anten-
generator with the EPIRB signal at the nas, used to perform the tests. For pur-
input to the spectrum analyzer.
chased equipment, the type, manufac-
Step (4) Adjust amplitude and frequency of
signal generator output to determine center turer and model number are generally
of carrier frequency component. sufficient as a description.
Step (5) Measure signal generator fre- (d) The test results and associated
quency with frequency counter with accu- comparative information.
racy of 5 PPM or better and record as carrier
frequency.
(e) A description of any modifica-
Step (6) If applicable, change the type of tions made to the EUT or other system
modulation of the EPIRB and record the components during the testing.
shift in carrier frequency as observed on the (f) A description and justification of
spectrum analyzer display. all deviations from the procedures de-
Step (7) Repeat the above measurement
Steps 1 through 6 for 243 MHz.
scribed herein.
(g) The name and qualifications of
[56 FR 11683, Mar. 20, 1991; 60 FR 47302, Sept.
the person responsible for the tests.
12, 1995]
(h) The date the tests were per-
DATA RECORDING/REPORTING formed.
REQUIREMENTS (i) A statement signed by the indi-
vidual responsible for the test that the
§ 2.1517 Data recording/reporting re- EPIRB as tested complies or does not
quirements.
comply with the applicable FCC rules.
The test report for an EPIRB shall (j) A statement signed by the indi-
contain the following information: vidual responsible, either directly or
(a) Specific identification, including indirectly, for production or marketing
the FCC ID, model and serial numbers,
of the device tested that the unit test-
of the EPIRB under test.
(b) The name and location of the test ed is representative of the equipment
sites used for the measurements. that all be marketed.
609
§ 2.1517 47 CFR Ch. I (10–1–02 Edition)
610
EC03JN91.005</GPH>
611
EC03JN91.006</GPH>
§ 2.1517 47 CFR Ch. I (10–1–02 Edition)
612
EC03JN91.007</GPH>
PART 3—AUTHORIZATION AND AD- 3.28 Denial of privilege.

3.29 Notifications.
MINISTRATION OF ACCOUNTING
AUTHORITIES IN MARITIME AND SETTLEMENT OPERATIONS
MARITIME MOBILE-SATELLITE 3.40 Operational requirements.
RADIO SERVICES 3.41 Amount of time allowed before initial
settlements.
GENERAL 3.42 Location of processing facility.
3.43 Applicable rules and regulations.
Sec. 3.44 Time to achieve settlements.
3.1 Scope, basis, purpose. 3.45 Amount of charges.
3.2 Terms and definitions. 3.46 Use of gold francs.
3.47 Use of SDRs.
ELIGIBILITY
3.48 Cooperation with the Commission.
3.10 Basic qualifications. 3.49 Agreement to be audited.
3.11 Location of settlement operation. 3.50 Retention of settlement records.
3.51 Cessation of operations.
APPLICATION PROCEDURES 3.52 Complaint/inquiry resolution proce-
3.20 Application form. dures.
3.21 Order of consideration. 3.53 FCC notification of refusal to provide
3.22 Number of accounting authority identi- telecommunications service to U.S. reg-
fication codes per applicant. istered vessel(s).
3.23 Legal applicant. 3.54 Notification of change in address.
3.24 Evidence of financial responsibility.
REPORTING REQUIREMENTS
3.25 Number of copies.
3.26 Where application is to be mailed. 3.60 Reports.
3.27 Amended application. 3.61 Reporting address.
613
EC03JN91.008</GPH>
§ 3.1 47 CFR Ch. I (10–1–02 Edition)
3.62 Request for confidentiality. accounting authority in the maritime
ENFORCEMENT
mobile and maritime mobile-satellite
radio services. The Accounting Author-
3.70 Investigations. ity Certification Officer may initiate
3.71 Warnings. action to suspend or cancel an account-
3.72 Grounds for further enforcement ac-
tion.
ing authority certification if it is de-
3.73 Waiting period after cancellation. termined to be in the public’s best in-
3.74 Ship stations affected by suspension, terest.
cancellation or relinquishment. (c) Accounting Authority Identification
3.75 Licensee’s failure to make timely pay- Codes (AAICs). The discrete identifica-
ment. tion code of an accounting authority
3.76 Licensee’s liability for payment. responsible for the settlement of mari-
AUTHORITY: 47 U.S.C. 154(i), 154(j) and time accounts (Annex A to ITU–T Rec-
303(r). ommendation D.90).
SOURCE: 61 FR 20165, May 6, 1996, unless (d) Administration. Any governmental
otherwise noted. department or service responsible for
discharging the obligations undertaken
GENERAL in the Convention of the International
Telecommunication Union and the
§ 3.1 Scope, basis, purpose. Radio Regulations. For purposes of
By these rules the Federal Commu- these rules, ‘‘Administration’’ refers to
nications Commission (FCC) is delin- a foreign government or the U.S. Gov-
eating its responsibilities in certifying ernment, and more specifically, to the
and monitoring accounting authorities Federal Communications Commission.
in the maritime mobile and maritime (e) Authorization. Approval by the
mobile-satellite radio services. These Federal Communications Commission
entities settle accounts for public cor- to operate as an accounting authority.
respondence due to foreign administra- Synonymous with ‘‘certification’’.
tions for messages transmitted at sea (f) CCITT. The internationally recog-
by or between maritime mobile sta- nized French acronym for the Inter-
tions located on board ships subject to national Telegraph and Telephone Con-
U.S. registry and utilizing foreign sultative Committee, one of the former
coast and coast earth station facilities. sub-entities of the International Tele-
These rules are intended to ensure that communication Union (ITU). The
settlements of accounts for U.S. li- CCITT (ITU–T)1 is responsible for de-
censed ship radio stations are con- veloping international telecommuni-
ducted in accordance with the Inter- cations recommendations relating to
national Telecommunication Regula- standardization of international tele-
tions (ITR), taking into account the communications services and facilities,
applicable ITU–T Recommendations. including matters related to inter-
national charging and accounting prin-
§ 3.2 Terms and definitions. ciples and the settlement of inter-
national telecommunications accounts.
(a) Accounting Authority. The Admin-
Such recommendations are, effec-
istration of the country that has issued tively, the detailed implementation
the license for a mobile station or the
recognized operating agency or other 1 At the ITU Additional Plenipotentiary
entity/entities designated by the Ad-
Conference in Geneva (December, 1992), the
ministration in accordance with ITR, structure, working methods and construct of
Appendix 2 and ITU–T Recommenda- the basic ITU treaty instrument were modi-
tion D.90 to whom maritime accounts fied. The result is that the names of the sub-
in respect of mobile stations licensed entities of the ITU have changed (e.g., the
by that country may be sent. CCITT has become the Telecommunication
(b) Accounting Authority Certification Standardization Sector—ITU–T and Recog-
Officer. The official designated by the nized Private Operating Agency has become
Recognized Operating Agency-ROA). The
Managing Director, Federal Commu- changes were placed into provisional effect
nications Commission, who is respon- on March 1, 1993 with the formal entry into
sible, based on the coordination and re- force of these changes being July 1, 1994. We
view of information related to appli- will refer to the new nomenclatures within
cants, for granting certification as an these rules, wherever practicable.
614
provisions for topics addressed in the stations may also participate in this
International Telecommunication Reg- radio service.
ulations (ITR). (p) Public Correspondence. Any tele-
(g) Certification. Approval by the FCC communication which the offices and
to operate as an accounting authority. stations must, by reason of their being
Synonymous with ‘‘authorization’’. at the disposal of the public, accept for
(h) Coast Earth Station. An earth sta- transmission. This usually applies to
tion in the fixed-satellite service or, in maritime mobile and maritime mobile-
some cases, in the maritime mobile- satellite stations.
satellite service, located at a specified (q) Recognized Operating Agencies
fixed point on land to provide a feeder (ROAs).2 Individuals, companies or cor-
link for the maritime mobile-satellite porations, other than governments or
service. agencies, recognized by administra-
(i) Coast Station. A land station in the tions, which operate telecommuni-
maritime mobile service. cations installations or provide tele-
communications services intended for
(j) Commission. The Federal Commu-
international use or which are capable
nications Commission. The FCC.
of causing interference to inter-
(k) Gold Franc. A monetary unit rep- national telecommunications. ROAs
resenting the value of a particular na- which settle debtor accounts for public
tion’s currency to a gold par value. One correspondence in the maritime mobile
of the monetary units used to effect ac- and maritime mobile-satellite radio
counting settlements in the maritime services must be certified as account-
mobile and the maritime mobile-sat- ing authorities.
ellite services. (r) Ship Station. A mobile station in
(l) International Telecommunication the maritime mobile service located on
Union (ITU). One of the United Nations board a vessel which is not perma-
family organizations headquartered in nently moored, other than a survival
Geneva, Switzerland along with several craft station.
other United Nations (UN) family orga- (s) Special Drawing Right (SDR). A
nizations. The ITU is the UN agency monetary unit of the International
responsible for all matters related to Monetary Fund (IMF) currently based
international telecommunications. The on a market basket of exchange rates
ITU has over 180 Member Countries, infor the United States, West Germany,
cluding the United States, and provides Great Britain, France and Japan but is
an international forum for dealing with subject to IMF’s definition. One of the
all aspects of international tele- monetary units used to effect account-
communications, including radio, ing settlements in the maritime mobile
telecom services and telecom facilities. and maritime mobile-satellite services.
(m) Linking Coefficient. The ITU man- (t) United States. The continental
dated conversion factor used to convert U.S., Alaska, Hawaii, the Common-
gold francs to Special Drawing Rights wealth of Puerto Rico, the Virgin Is-
(SDRs). Among other things, it is used lands or any territory or possession of
to perform accounting settlements in the United States.
the maritime mobile and the maritime
mobile-satellite services. ELIGIBILITY
(n) Maritime Mobile Service. A mobile
service between coast stations and ship § 3.10 Basic qualifications.
stations, or between ship stations, or (a) Applicants must meet the require-
between associated on-board commu- ments and conditions contained in
nication stations. Survival craft sta- these rules in order to be certified as
tions and emergency position- indi- an accounting authority. No individual
cating radiobeacon stations may also or other entity, including accounting
participate in this service. authorities approved by other adminis-
(o) Maritime Mobile-Satellite Service. A trations, may act as a United States
mobile-satellite service in which mo- accounting authority and settle ac-
bile earth stations are located on board counts of U.S. licensed vessels in the
ships. Survival craft stations and emer-
gency position-indicating radiobeacon 2 Id.
615
§ 3.11 47 CFR Ch. I (10–1–02 Edition)
maritime mobile or maritime mobile- ing all settlement operations, as well

satellite services without a certifi- as associated documentation, within
cation from the Federal Communica- the United States will be assigned an
tions Commission. Accounting authori- AAIC with a ‘‘US’’ prefix.
ties with interim certification as of the (b) Outside the United States. A cer-
effective date of this rule must submit tified accounting authority maintain-
to the application process discussed in ing settlement operations outside the
§ 3.20. They will be ‘‘grandfathered’’, United States will be assigned the
i.e, granted permanent certification same AAIC as that originally assigned
provided they demonstrate their eligi- to such entity by the administration of
bility and present a proper application. the country of origin. However, in no
(b) U.S. citizenship is not required of case will an entity be certified as an
individuals in order to receive certifi- accounting authority for settlement of
cation from the Commission to be an U.S. licensed vessel accounts unless the
accounting authority. Likewise, joint entity is requesting to conduct a set-
ventures need not be organized under tlement operation in the United States
the laws of the United States in order or has already been issued an AAIC by
to be eligible to perform settlements another administration.
for U.S. licensed vessels. See, however,
§ 3.11. APPLICATION PROCEDURES
(c) Prior experience in maritime ac-
counting, general commercial account- § 3.20 Application form.
ing, international shipping or any Written application must be made to
other related endeavor will be taken the Federal Communications Commis-
into consideration by the Commission sion on FCC Form 44, ‘‘Application For
in certifying accounting authorities. Certification As An Accounting Au-
The lack of such expertise, however, thority’’ in order to be considered for
will not automatically disqualify an certification as an accounting author-
individual, partnership, corporation or ity. No other application form may be
other entity from becoming an ac- used. No consideration will be given to
counting authority. applicants not submitting applications
(d) Applicants must provide formal in accordance with these rules or in ac-
financial statements or documentation cordance with any other instructions
proving all assets, liabilities, income the Commission may issue. FCC Form
and expenses. 44 may be obtained from the Commis-
(e) Applicants must offer their serv- sion by writing to the address shown in
ices to any member of the public mak- § 3.61.
ing a reasonable request therefor, with-
out undue discrimination against any § 3.21 Order of consideration.
customer or class of customer, and fees (a) Accounting Authority applica-
charged for providing such services tions will be processed on a first-come,
shall be reasonable and non-discrimi- first-served basis. When applications
natory. This requirement will be are received on the same day, the ap-
waived for applicants who settle their plication with the earliest mailing
own accounts only and are eligible to date, as evidenced by the postmark,
be ‘‘grandfathered’’ during the initial will be processed first. Interim ac-
application period. However, should the counting authorities seeking perma-
need for additional accounting authori- nent certifications through the
ties be proven, these accounting au- ‘‘grandfathering’’ process will not com-
thorities will be required to offer their pete with other applicants during the
services to the public or relinquish first 60 days following the effective
their certification. date of these rules which is allowed for
[61 FR 20165, May 6, 1996, as amended at 64 submission of their applications. After
FR 40776, July 28, 1999] the ‘‘grandfathering’’ process is com-
pleted, all other applicants will be
§ 3.11 Location of settlement oper- processed as in paragraph (a) of this
ation. section.
(a) Within the United States. A cer- (b) At any given time, there will be
tified accounting authority maintain- no more than 25 certified accounting
616
authorities with a minimum of 15 ‘‘US’’ sonal obligations. Applicants must pro-

AAICs reserved for use by accounting vide any additional information
authorities conducting settlement op- deemed necessary by the Commission.
erations within the United States. The
Commission will retain all valid appli- § 3.25 Number of copies.
cations received after the maximum One original and one copy of FCC
number of accounting authorities have Form 44, ‘‘Application For Certifi-
been approved and will inform such ap- cation As An Accounting Authority’’
plicants that should an AAIC become will be required. Only applications
available for reassignment in the fu- mailed to the Commission on official,
ture, the Commission will condi- Commission approved application
tionally certify as an accounting au- forms will be considered. Applications
thority the oldest of the qualified pend- should be mailed at least 90 days prior
ing applicants, as determined by the to planned commencement of settle-
order of receipt. Final certification ment activities to allow time for the
would be conditional upon filing of an Commission to review the application
amended application (if necessary). and to allow for the informal public
The Commission will inform the appli- comment period.
cant of his/her conditional selection in
writing to confirm the applicant’s con- § 3.26 Where application is to be
tinued interest in becoming an ac- mailed.
counting authority. All applications shall be mailed to
§ 3.22 Number of accounting authority the Accounting Authority Certification
identification codes per applicant. Officer in Washington, D.C. The des-
ignated address will be provided on the
(a) No entity will be entitled to or as- FCC Form 44, ‘‘Application for Certifi-
signed more than one AAIC. cation As An Accounting Authority’’.
(b) AAICs may not be reassigned,
sold, bartered or transferred and do not § 3.27 Amended application.
convey upon sale or absorption of a
company or firm without the express Changes in circumstances that cause
written approval of the Commission. information previously supplied to the
Only the FCC may certify accounting FCC to be incorrect or incomplete and
authorities and assign U.S. AAICs for that could affect the approval process,
entities settling accounts of U.S. li- require the submission of an amended
censed vessels in the maritime mobile application. The amended application
and maritime mobile-satellite services. should be mailed to the Commission
(c) Accounting authorities who are immediately following such change.
‘‘grandfathered’’ during the initial ap- See also §§ 3.24 and 3.51.
plication period may retain their in-
§ 3.28 Denial of privilege.
terim AAIC.
(a) The Commission, in its sole dis-
§ 3.23 Legal applicant. cretion, may refuse to grant an appli-
The application shall be signed by cation to become an accounting au-
the individual, partner or primary offi- thority for any of the following rea-
cer of a corporation who is legally able sons:
to obligate the entity for which he or (1) Failure to provide evidence of ac-
she is a representative. ceptable financial responsibility;
(2) If the applicant, in the opinion of
§ 3.24 Evidence of financial responsi- the FCC reviewing official, does not
bility. possess the qualifications necessary to
All applicants must provide evidence the proper functioning of an account-
of sound financial status. To the extent ing authority;
that the applicant is a business, formal (3) Application is not personally
financial statements will be required. signed by the proper official(s);
Other applicants may submit docu- (4) Applicant does not provide evi-
mentation proving all assets, liabil- dence that accounting operations will
ities, income and expenses which sup- take place in the United States or its
ports their ability to meet their per- territories and the applicant does not
617
§ 3.29 47 CFR Ch. I (10–1–02 Edition)
already possess an AAIC issued by an- months from the date of certification.
other administration; Failure to commence settlement oper-
(5) Application is incomplete, the ap- ations is cause for suspension or can-
plicant fails to provide additional in- cellation of an accounting authority
formation requested by the Commis- certification.
sion or the applicant indicates that it
cannot meet a particular provision; or § 3.42 Location of processing facility.
(6) When the Commission determines
Settlement of maritime mobile and
that the grant of an authorization is
maritime mobile-satellite service ac-
contrary to the public interest.
counts must be performed within the
(b) These rules provide sufficient
latitude to address defects in applica- United States by all accounting au-
tions. Entities seeking review should thorities possessing the ‘‘US’’ prefix.
follow procedures set forth in § 1.106 or Other accounting authorities approved
§ 1.115 of this chapter. by the Commission may settle ac-
counts either in the U.S. or elsewhere.
§ 3.29 Notifications. See also §§ 3.11 and 3.21(b).
(a) The Commission will publish the
name of an applicant in a Public Notice § 3.43 Applicable rules and regula-
tions.
before granting certification and will
invite informal public comment on the Accounting authority operations
qualifications of the applicant from must be conducted in accordance with
any interested parties. Comments re- applicable FCC rules and regulations,
ceived will be taken into consideration the International Telecommunication
by the Commission in making its de- Regulations (ITR), and other inter-
termination as to whether to approve national rules, regulations, agree-
an applicant as an accounting author- ments, and, where appropriate, ITU–T
ity. Thirty days will be allowed for Recommendations. In particular, the
submission of comments. following must be adhered to or taken
(b) The Commission will notify each into account in the case of ITU–T.
applicant in writing as to whether the (a) The latest basic treaty instru-
applicant has been approved as an ac-
ment(s) of the International Tele-
counting authority. If the application
communication Union (ITU);
is not approved, the Commission will
provide a brief statement of the (b) Binding agreements contained in
grounds for denial. the Final Acts of World Administrative
(c) The names and addresses of all Radio Conferences and/or World Inter-
newly certified accounting authorities national Telecommunication Con-
will be published in a Public Notice ferences;
issued by the Commission. Addition- (c) ITU Radio Regulations;
ally, the Commission will notify the (d) ITU International Telecommuni-
ITU within 30 days of any changes to cation Regulations (ITR);
its approved list of accounting authori- (e) ITU–T Recommendations
ties. (particularly D.90 and D.195); and
(f) FCC Rules and Regulations (47
SETTLEMENT OPERATIONS
CFR part 3).
§ 3.40 Operational requirements.
§ 3.44 Time to achieve settlements.
All accounting authorities must con-
duct their operations in conformance All maritime telecommunications ac-
with the provisions contained in this counts should be timely paid in accord-
section and with relevant rules and ance with applicable ITU Regulations,
guidance issued from time to time by Article 66 and International Tele-
the Commission. communication Regulations
(Melbourne, 1988). Accounting authori-
§ 3.41 Amount of time allowed before ties are deemed to be responsible for
initial settlements. remitting, in a timely manner, all
An accounting authority must begin valid amounts due to foreign adminis-
settling accounts no later than six trations or their agents.
618
§ 3.45 Amount of charges. concerning international maritime set-

Accounting Authorities may charge tlements issues, including the resolu-
any reasonable fee for their settlement tion of questions of fact or other issues
services. Settlements themselves, how- arising as a result of settlement oper-
ever, must adhere to the standards set ations.
forth in these rules and must be in ac-
cordance with the International Tele- § 3.49 Agreement to be audited.
communication Regulations (ITR) tak- Accounting authorities accept their
ing into account the applicable ITU–T certifications on condition that they
Recommendations and other guidance are subject to audit of their settlement
issued by the Commission. activities by the Commission or its
representative. Additionally, the Com-
§ 3.46 Use of gold francs. mission reserves the right to verify any
An accounting authority must accept statement(s) made or any materials
accounts presented to it from foreign submitted to the Commission under
administrations in gold francs. These these rules. Verification may involve
gold francs must be converted on the discussions with ship owners or others
date of receipt of the bill to the appli- as well as the requirement to submit
cable Special Drawing Right (SDR) additional information to the Commis-
rate (as published by the International sion. Failure to respond satisfactorily
Monetary Fund) on that date utilizing to any audit findings is grounds for for-
the linking coefficient of 3.061 gold feiture or suspension or cancellation of
francs = 1 SDR. An equivalent amount authority to act as an accounting au-
in U.S. dollars must be paid to the for-
thority for U.S. vessels.
eign administration. Upon written con-
currence by the FCC, an accounting au- § 3.50 Retention of settlement records.
thority may make separate agree-
ments, in writing, with foreign admin- Accounting authorities must main-
istrations or their agents for alter- tain, for the purpose of compliance
native settlement methods, in accord- with these rules, all settlement records
ance with ITU–T Recommendation for a period of at least seven years fol-
D.195. lowing settlement of an account with a
foreign administration or agent.
§ 3.47 Use of SDRs.
An accounting authority must accept § 3.51 Cessation of operations.
accounts presented to it from foreign The FCC must be notified imme-
administrations in Special Drawing diately should an accounting authority
Rights (SDRs). These SDRs must be plan to relinquish its certification or
converted to dollars on the date of re- cease to perform settlements as au-
ceipt by the accounting authority and thorized. Additionally, the Commission
an equivalent amount in US dollars must be advised in advance of any pro-
must be paid to the foreign administra- posed transfer of control of an account-
tion. The conversion rate will be the ing authority’s firm or organization,
applicable rate published by the Inter- by any means, to another entity.
national Monetary Fund (IMF) for the
(a) When an accounting authority is
date of receipt of the account from the
foreign administration. Upon written transferred, merged or sold, the new
concurrence by the FCC, any account- entity must apply for certification in
ing authority may make separate its own right if it is interested in be-
agreements, in writing, with foreign coming an accounting authority. Pro-
administrations or their agents for al- vided the new applicant is eligible and
ternative settlement methods, pro- completes the application process sat-
vided account is taken of ITU–T Rec- isfactorily, the AAIC will be trans-
ommendation D.195. ferred to the new applicant. In the case
of a merger of two accounting authori-
§ 3.48 Cooperation with the Commis- ties, the merged entity must decide
sion. which AAIC to retain.
Accounting authorities must cooper- (b) Section 3.21(a) will be waived for
ate fully with the FCC in all respects these applicants.
619
§ 3.52 47 CFR Ch. I (10–1–02 Edition)
(c) The applicant must comply with Such written notification should be
application process including public sent to the address shown in § 3.61.
comment.
(d) The applicant must certify ac- REPORTING REQUIREMENTS
ceptance of all accounts and must fur-
§ 3.60 Reports.
nish a list of the accounts to the Com-
mission at the time of application. (a) Initial Inventory of Vessels. Within
60 days after receiving final approval
§ 3.52 Complaint/inquiry resolution from the FCC to be an accounting au-
procedures. thority, each certified accounting au-
(a) Accounting authorities must thority must provide to the FCC an ini-
maintain procedures for resolving com- tial list of vessels for which it is per-
plaints and/or inquiries from its conforming settlements. This list should
tractual customers (vessels for which it contain only U.S. registered vessels.
Such list shall be typewritten or com-
performs settlements), the FCC, the
puter generated, be annotated to indi-
ITU, and foreign administrations or
cate it is the initial inventory and be
their agents. These procedures must be
in the general format of the following
available to the Commission upon re-
and provide the information shown:
quest.
(b) If a foreign administration re- Vessel Name Call Sign
quests assistance in collection of ac-
counts from ships licensed by the FCC,
the appropriate accounting authority (b) Semi-Annual Additions/Modifica-
will provide all information requested tions/Deletions to Vessel Inventory. Be-
by the Commission in a timely manner ginning with the period ending on the
to enable the Commission to determine last day of March or September fol-
the cause of the complaint and to re- lowing submission of an accounting
solve the issue. If accounts are in dis- authority’s Initial Inventory of Vessels
pute, the Commission will determine (See paragraph (a) of this section.) and
the amount due the foreign administra- each semi-annual period thereafter,
tion, accounting authority or ROA, and each accounting authority is required
may direct the accounting authority to to submit to the FCC a report on addi-
pay the accounts to the foreign admin- tions, modifications or deletions to its
istration. If the accounting authority list of vessels for which it is per-
does not pay the disputed accounts forming or intending to perform settle-
within a reasonable timeframe, the ments, whether or not settlements ac-
Commission may take action to levy a tually have taken place. The list
forfeiture, cancel the AAIC privilege should contain only U.S. registered
and/or to revoke any operating author- vessels. The report shall be typewritten
ity or licenses held by that accounting or computer generated and be in the
authority. (See also § 3.72). following general format:
ADDITIONS TO CURRENT VESSEL INVENTORY
§ 3.53 FCC notification of refusal to
provide telecommunications service Vessel Name Call Sign Effective Date
to U.S. registered vessel(s).
An accounting authority must in-
form the FCC immediately should it MODIFICATIONS TO CURRENT VESSEL INVENTORY
receive notice from any source that a Previous Previous New Ves- New Call Effective
foreign administration or facility is re- Vessel Call Sign sel Name Sign Date
Name
fusing or plans to refuse legitimate
public correspondence to or from any
U.S. registered vessel.
DELETIONS TO CURRENT VESSEL INVENTORY
§ 3.54 Notification of change in ad- Vessel Name Call Sign Effective Date
dress.
The Commission must be notified in
writing within 15 days of any change in The preceding report must be received
address of an accounting authority. by the Commission no later than 15
620
days following the end of the period § 3.62 Request for confidentiality.
(March or September) for which the re- Applicants should comply with § 0.459
port pertains. Modifications refer to of this chapter when requesting con-
changes to call sign or ship name of fidentiality and cannot assume that it
vessels for which the accounting au- will be offered automatically.
thority settles accounts and for which
basic information has previously been ENFORCEMENT
provided to the Commission. Reports
§ 3.70 Investigations.
are to be submitted even if there have
been no additions, modifications or de- The Commission may investigate any
letions to vessel inventories since the complaints made against accounting
previous report. If there are no changes authorities to ensure compliance with
to an inventory, this should be indi- the Commission’s rules and with appli-
cated on the report. cable ITU Regulations and other inter-
national maritime accounting proce-
(c) End of Year Inventory. By Feb-
dures.
ruary 1st of each year, each accounting
authority must submit an end-of-year § 3.71 Warnings.
inventory report listing vessels for The Commission may issue written
which the accounting authority per- warnings or forfeitures to accounting
formed settlements as of the previous authorities which are found not to be
December 31st. The list should contain operating in accordance with estab-
only U.S. registered vessels. The report lished rules and regulations. Warnings
must be typewritten or computer gen- will generally be issued for violations
erated and prepared in the same gen- which do not seriously or immediately
eral format as that shown in paragraph affect settlement functions or inter-
(a) of this section except it should be national relations. Continued or unre-
annotated to indicate it is the End of solved violations may lead to further
Year inventory. enforcement action by the Commis-
(d) Annual Statistical Report of Settle- sion, including any or all legally avail-
ment Operations. By February 1st of able sanctions, including but not lim-
each year, each accounting authority ited to, forfeitures (Communications
settling accounts for U.S. registered Act of 1934, Sec. 503), suspension or
vessels must submit to the FCC an An- cancellation of the accounting author-
nual Statistical Report, FCC Form 45, ity certification.
which details the number and dollar § 3.72 Grounds for further enforce-
amount of settlements, by foreign ad- ment action.
ministration, during the preceding
(a) The Commission may take further
twelve months. Information contained enforcement action, including for-
in this report provides statistical data feiture, suspension or cancellation of
that will enable the Commission to an accounting authority certification,
monitor operations to ensure adher- if it is determined that the public in-
ence to these rules and to appropriate terest so requires. Reasons for which
international settlement procedures. such action may be taken include,
FCC Form 45 can be obtained by writ- inter alia:
ing to the address in 3.61 of these rules. (1) Failure to initiate settlements
within six months of certification or
§ 3.61 Reporting address. failure to perform settlements during
All reports must be received at the any subsequent six month period;
following address no later than the re- (2) Illegal activity or fraud;
quired reporting date: (3) Non-payment or late payment to a
foreign administration or agent;
Accounting Authority Certification Officer, (4) Failure to follow ITR require-
Financial Operations Center, Federal Com- ments and procedures;
munications Commission, 445 12th Street, (5) Failure to take into account ITU-
SW., Washington, D.C. 20554 T Recommendations;
[61 FR 20165, May 6, 1996, as amended at 65 (6) Failure to follow FCC rules and
FR 58466, Sept. 29, 2000] regulations;
621
§ 3.73 47 CFR Ch. I (10–1–02 Edition)
(7) Bankruptcy; or § 3.75 Licensee’s failure to make timely

(8) Providing false or incomplete in- payment.
formation to the Commission or failure Failure to remit proper and timely
to comply with or respond to requests payment to the Commission or to an
for information. accounting authority may result in one
(b) Prior to taking any of the en- or more of the following actions
forcement actions in paragraph (a) of against the licensee:
this section, the Commission will give
(a) Forfeiture or other authorized
notice of its intent to take the speci-
fied action and the grounds therefor, sanction.
and afford a 30-day period for a re- (b) The refusal by foreign countries
sponse in writing; provided that, where to accept or refer public correspond-
the public interest so requires, the ence communications to or from the
Commission may temporarily suspend vessel or vessels owned, operated or li-
a certification pending completion of censed by the person or entity failing
these procedures. Responses must be to make payment. This action may be
forwarded to the Accounting Authority taken at the request of the Commission
Certification Officer. See § 3.61. or independently by the foreign coun-
try or coast station involved.
§ 3.73 Waiting period after cancella- (c) Further action to recover
tion. amounts owed utilizing any or all le-
An accounting authority whose cer- gally available debt collection proce-
tification has been cancelled must wait dures.
a minimum of three years before re-
applying to be an accounting author- § 3.76 Licensee’s liability for payment.
ity. The U.S. ship station licensee bears
ultimate responsibility for final pay-
§ 3.74 Ship stations affected by suspen-
sion, cancellation or relinquishment of its accounts. This responsi-
ment. bility cannot be superseded by the con-
tractual agreement between the ship
(a) Whenever the accounting author-
station licensee and the accounting au-
ity privilege has been suspended, can-
thority. In the event that an account-
celled or relinquished, the accounting
authority is responsible for imme- ing authority does not remit proper
diately notifying all U.S. ship licensees and timely payments on behalf of the
for which it was performing settle- ship station licensee:
ments of the circumstances and in- (a) The ship station licensee will
forming them of the requirement con- make arrangements for another ac-
tained in paragraph (b) of this section. counting authority to perform future
(b) Those ship stations utilizing an settlements, and
accounting authority’s AAIC for which (b) The ship station licensee will set-
the subject accounting authority cer- tle any outstanding accounts due to
tification has been suspended, can- foreign entities.
celled or relinquished, should make (c) The Commission will, upon re-
contractual arrangements with an- quest, take all possible steps, within
other properly authorized accounting the limits of applicable national law,
authority to settle its accounts. to ensure settlement of the accounts of
(c) The Commission will notify the the ship station licensee. As cir-
ITU of all accounting authority sus- cumstances warrant, this may include
pensions, cancellations and issuing warnings to ship station licens-
relinquishments, and ees when it becomes apparent that an
(d) The Commission will publish a accounting authority is failing to set-
Public Notice detailing all accounting tle accounts. See also §§ 3.70 through
authority suspensions, cancellations 3.74.
and relinquishments.
622
PART 5—EXPERIMENTAL RADIO SOURCE: 63 FR 64202, Nov. 19, 1998, unless

otherwise noted.
SERVICE (OTHER THAN BROAD-
CAST)
Subpart A—General
Subpart A—General § 5.1 Basis and purpose.
5.1 Basis and purpose. (a) The rules following in this part
5.3 Scope of service. are promulgated pursuant to the provi-
5.5 Definition of terms. sions of Title III of the Communica-
tions Act of 1934, as amended, which
Subpart B—Applications and vests authority in the Federal Commu-
Licenses nications Commission to regulate radio
transmissions and to issue licenses for
5.51 Eligibility of license. radio stations.
5.53 Station authorization required. (b) The purpose of this part is to pre-
5.55 Filing of applications. scribe the manner in which parts of the
5.57 Who may sign applications. radio frequency spectrum may be made
5.59 Forms to be used. available for experimentation as de-
5.61 Procedure for obtaining a special tem- fined and provided for in this part.
porary authorization.
5.63 Supplementary statements required. § 5.3 Scope of service.
5.65 Defective applications.
5.67 Amendment or dismissal of applica- Stations operating in the Experi-
tions. mental Radio Service will be permitted
5.69 Partial grants. to conduct the following type of oper-
5.71 License period. ations:
5.73 Experimental report. (a) Experimentations in scientific or
5.75 Number of licenses required. technical radio research.
5.77 Change in equipment and emission
characteristics. (b) Experimentations under contrac-
5.79 Transfer and assignment of station au- tual agreement with the United States
thorization. Government, or for export purposes.
5.81 Discontinuance of station operation. (c) Communications essential to a re-
5.83 Cancellation provisions. search project.
5.85 Frequencies and policy governing their (d) Technical demonstrations of
assignment. equipment or techniques.
5.87 Frequencies for field strength surveys
(e) Field strength surveys by persons
or equipment demonstrations.
5.89 School and student authorizations. not eligible for authorization in any
5.91 Notification of the National Radio As- other service.
tronomy Observatory. (f) Demonstration of equipment to
5.93 Limited market studies. prospective purchasers by persons en-
gaged in the business of selling radio
SUBPART C—TECHNICAL STANDARDS AND equipment.
OPERATING REQUIREMENTS (g) Testing of equipment in connec-
5.101 Frequency stability. tion with production or regulatory ap-
5.103 Types of emission. proval of such equipment.
5.105 Authorized bandwidth. (h) Development of radio technique,
5.107 Transmitter control requirements. equipment or engineering data not re-
5.109 Antenna and tower requirements. lated to an existing or proposed serv-
5.111 General limitations on use. ice, including field or factory testing
5.113 Adherence to program of research. or calibration of equipment.
5.115 Station identification.
(i) Development of radio technique,
5.117 Suspension of transmission required.
5.119 Posting station licenses. equipment, operational data or engi-
5.121 Retention of station records. neering data related to an existing or
5.123 Inspection of stations. proposed radio service.
5.125 Authorized points of communication. (j) Limited market studies.
AUTHORITY: Secs. 4, 302, 303, 48 Stat. 1066, (k) Types of experiments that are not
1082, as amended; 47 U.S.C. 154, 302, 303. Inter- specifically covered under paragraphs
pret or apply sec. 301, 48 Stat. 1081, as amend- (a) through (j) of this section will be
ed; 47 U.S.C. 301. considered upon demonstration of need
623
§ 5.5 47 CFR Ch. I (10–1–02 Edition)
for such additional types of experi- Mobile service. A radiocommunication

ments. service between mobile and land sta-
[63 FR 64202, Nov. 19, 1998; 64 FR 43094, Aug.
tions, or between mobile stations.
9, 1999] Mobile station. A station in a mobile
service intended to be used while in
§ 5.5 Definition of terms. motion or during halts at unspecified
For the purpose of this part, the fol- points.
lowing definitions shall be applicable. Person. An individual, partnership,
For other definitions, refer to part 2 of association, joint stock company,
this chapter (Frequency Allocations trust, or corporation.
and Radio Treaty Matters; General Public correspondence. Any tele-
Rules and Regulations). communication that offices and sta-
Authorized frequency. The frequency tions, by reason of their being at the
assigned to a station by the Commis- disposal of the public, must accept for
sion and specified in the instrument of transmission.
authorization. Radio service. An administrative sub-
Authorized power. The power assigned division of the field of
to a radio station by the Commission radiocommunication. In an engineering
and specified in the instrument of au- sense, the subdivisions may be made
thorization. according to the method of operation,
Experimental radio service. A service in as, for example, mobile service and
which radio waves are employed for fixed service. In a regulatory sense, the
purposes of experimentation in the subdivisions may be descriptive of par-
radio art or for purposes of providing
ticular groups of licensees, as, for ex-
essential communications for research
ample, the groups of persons licensed
projects that could not be conducted
under this part.
without the benefit of such commu-
nications. Station authorization. Any license or
Experimental station. A station uti- special temporary authorization issued
lizing radio waves in experiments with by the Commission.
a view to the development of science or
technique. Subpart B—Applications and
Fixed service. A radiocommunication Licenses
service between specified fixed points.
Fixed station. A station in the fixed § 5.51 Eligibility of license.
service. (a) Authorizations for stations in the
Harmful interference. Any radiation or Experimental Radio Service will be
induction that endangers the func- issued only to persons qualified to con-
tioning of a radionavigation or safety
duct experimentation utilizing radio
service, or obstructs or repeatedly
waves for scientific or technical oper-
interrupts a radio service operating in
ation data directly related to a use of
accordance with the Table of Fre-
quency Allocations and other provi- radio not provided by existing rules; or
sions of part 2 of this chapter. for communications in connection with
Landing area. As defined by 49 U.S.C. research projects when existing com-
40102(a)(28) of the Civil Aeronautics Act munications facilities are inadequate.
of 1938, as amended, any locality, ei- (b) Applicants eligible for authoriza-
ther of land or water, including air- tions in an established service, and
dromes and intermediate landing seeking to develop operational data or
fields, that is used, or intended to be techniques directed toward the im-
used, for the landing and take-off of provement or extension of that service
aircraft, whether or not facilities are shall file applications and conduct such
provided for the shelter, servicing, or projects under the developmental rules
repair of aircraft, or for receiving or of the established service.
discharging passengers or cargo. (c) A station license shall not be
Land station. A station in the mobile granted to or held by a foreign govern-
service not intended for operation ment or a representative thereof.
while in motion.
624
§ 5.53 Station authorization required. plete with regard to station location,

(a) No radio transmitter shall be op- proposed equipment, power, antenna
erated in the Experimental Radio Serv- height, and operating frequency; and
ice except under and in accordance other information required by the ap-
with a proper station authorization plication form and this part.
granted by the Commission. However, (d) Applications involving temporary
construction of proposed experimental operation: When an experimental pro-
satellite facilities may begin prior to gram is expected to last no more than
Commission grant of an authorization. six months, its operation shall be con-
Such construction will be entirely at sidered temporary and the special tem-
the applicant’s risk and will not entitle porary authorization procedure out-
the applicant to any assurances that lined in § 5.61 of this part shall apply.
its proposed experiment will be subse- § 5.57 Who may sign applications.
quently approved or regular services
subsequently authorized. Additionally, (a) Except as provided in paragraph
the applicant must notify the Commis- (b) of this section, applications, amend-
sion’s Office of Engineering and Tech- ments thereto, and related statements
nology in writing that it plans to begin of fact required by the Commission
construction at its own risk. shall be personally signed by the appli-
(b) Persons desiring to install and op- cant, if the applicant is an individual;
erate radio transmitting equipment by one of the partners, if the applicant
under this part should first submit an is a partnership; by an officer or duly
application for a radio station license authorized employee, if the applicant
in accordance with § 5.59 of this part. is a corporation; or by a member who is
(c) If installation and/or operation of an officer, if the applicant is an unin-
the equipment may significantly im- corporated association. Applications,
pact the environment, see § 1.1307 of amendments, and related statements of
this chapter, an environmental assess- fact filed on behalf of eligible govern-
ment as defined in § 1.1311 of this chap- ment entities, such as states and terri-
ter must be submitted with the appli- tories of the United States and polit-
cation. ical subdivisions thereof, the District
of Columbia, and units of local govern-
§ 5.55 Filing of applications. ment, including incorporated munici-
(a) To assure that necessary informa- palities, shall be signed by such duly
tion is supplied in a consistent manner elected or appointed officials as may be
by all persons, standard forms are pre- competent to do so under the laws of
scribed for use in connection with the the applicable jurisdiction.
majority of applications and reports (b) Applications, amendments there-
submitted for Commission consider- to, and related statements of fact re-
ation. Standard numbered forms appli- quired by the Commission may be
cable to the Experimental Radio Serv- signed by the applicant’s attorney in
ice are discussed in § 5.59 of this part, case of the applicant’s physical dis-
and may be obtained by calling the ability or of his/her absence from the
FCC FORMS hotline, (202) 418–FORM. United States. The attorney shall in
If no standard form is applicable, the that event separately set forth the rea-
informal application procedure out- son why the application is not signed
lined in § 5.59(f) of this part should be by the applicant. In addition, if any
followed. matter is stated on the basis of the at-
(b) Any application for radio station torney’s belief only (rather than his/
authorization and all correspondence her knowledge), he/she shall separately
relating thereto shall be submitted to set forth reasons for believing that
the Commission’s Office of Engineering such statements are true.
and Technology, Washington, DC 20554. (c) Only the original of applications,
(Applications requiring fees as set amendments, or related statements of
forth in part 1, subpart G of this chap- fact need be signed; copies may be con-
ter must be filed in accordance with formed.
§ 0.401(b) of this chapter. (d) Applications, amendments, and
(c) Each application for station au- related statements of fact need not be
thorization shall be specific and com- submitted under oath. Willful false
625
§ 5.59 47 CFR Ch. I (10–1–02 Edition)
statements made therein, however, are the expiration date of the license to be
punishable by fine and imprisonment, renewed.
U.S. Code, title 18, Sec. 1001, and by ap- (d) Application for consent to assign an
propriate administrative sanctions, in- experimental authorization. Application
cluding revocation of station license on FCC Form 702 shall be submitted
pursuant to sec. 312(a)(1) of the Com- when the legal right to control the use
munications Act of 1934, as amended. and operation of a station is to be
(e) ‘‘Signed,’’ as used in this section, transferred as a result of a voluntary
means an original handwritten signa- act (contract or other agreement) or an
ture; however, the Office of Engineer- involuntary act (death or legal dis-
ing and Technology may allow signa- ability) of the grantee of a station au-
ture by any symbol executed or adopt- thorization or by involuntary assign-
ed by the applicant with the intent ment of the physical property consti-
that such symbol be a signature, in- tuting the station under a court decree
cluding symbols formed by computer- in bankruptcy proceedings, or other
generated electronic impulses. court order, or by operation of law in
any other manner. Such application
§ 5.59 Forms to be used. must be accompanied by the FCC Form
(a) Application for experimental radio 442 of which only the certification need
license. Entities requesting an experi- be signed by the proposed assignee. No
mental authorization must submit FCC other information is required to be sub-
Form 442 (application). A single FCC mitted on this form.
Form 442 may be used for several radio (e) Application for consent to transfer
components of an experimental pro- control of Corporation holding experi-
gram, however, unrelated experimental mental authorization. Application for
programs should be filed on separate consent to transfer control shall be
applications. submitted on FCC Form 703 whenever
(b) Application for modification of ex- it is proposed to change the control of
perimental license. An application for a corporation holding a station author-
modification of experimental authorization.
ization shall be submitted on FCC [63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug.
Form 442. A blanket application may 9, 1999]
be submitted for modification of a
group of authorizations of the same § 5.61 Procedure for obtaining a spe-
class as long as the scope of the modi- cial temporary authorization.
fications are specified in the applica- (a) The Commission may issue a spe-
tion. The individual authorizations cial temporary authorization under
covered by such an application shall be this part in cases in which a need is
clearly identified therein. However, ap- shown for operation of a station for six
plication for modification to change lo- months or less, provided such oper-
cation of an experimental authoriza- ation is not in conflict with the Com-
tion shall be filed as a separate appli- mission’s rules in this part. In cases in
cation. which an applicant sets forth compel-
(c) Application for renewal of experi- ling reasons why a special temporary
mental authorization. Application for re- authorization must be granted expedi-
newal of station license shall be sub- tiously, preference will be given to
mitted on FCC Form 405. A blanket ap- processing the application.
plication may be submitted for renewal (b) Extensions of a special temporary
of a group of station licenses in the authorization will be granted provided
same class in those cases in which the that an application for a regular exper-
renewal requested is in exact accord- imental license has been filed at least
ance with the terms of the existing au- 15 days prior to the expiration of the li-
thorizations. The individual stations censee’s temporary authority. When
covered by such applications shall be such an application is timely filed, op-
clearly identified thereon. Unless oth- erations may continue in accordance
erwise directed by the Commission, with the other terms and conditions of
each application for renewal of license the temporary authority pending dis-
shall be filed at least 60 days prior to position of the application, unless the
626
applicant is notified otherwise by the for submission set forth in § 0.459 of

Commission. this chapter.
(c) An application for special tem- (b) If the authorization is to be used
porary authorization may be filed in for the purpose of fulfilling the require-
letter form and shall contain the fol- ments of a contract with an agency of
lowing information: the United States Government, the ap-
(1) Name, address, phone number plicant shall submit a narrative state-
(also e-mail address and facsimile num- ment describing the project, the name
ber, if available) of the applicant. of the contracting agency, and the con-
(2) Description of why an STA is tract number.
needed. (c) If the authorization is to be used
(3) Description of the operation to be for the sole purpose of developing
conducted and its purpose. equipment for exportation to be em-
(4) Time and dates of proposed oper- ployed by stations under the jurisdic-
ation. tion of a foreign government, the appli-
(5) Class(es) of station (fixed, mobile, cant shall submit a narrative state-
fixed and mobile) and call sign of sta- ment describing the project, any asso-
tion (if applicable). ciated contract number, and the name
(6) Description of the location(s) and, of the foreign government concerned.
if applicable, geographical coordinates (d) The provisions of paragraph (a) of
of the proposed operation. this section shall not be applicable to
(7) Equipment to be used, including applications for an authorization in the
name of manufacturer, model and num- Experimental Radio Service to be used
ber of units. for communications essential to a re-
(8) Frequency(ies) desired. search project in which other means of
(9) Maximum effective radiated communications are inadequate or not
power (ERP) or equivalent available. In such cases, applicants
isotrophically radiated power (EIRP). shall include as part of the application
(10) Emission designator (see § 2.201 of for an authorization the following:
this chapter) or describe emission (1) A description of the nature of the
(bandwidth, modulation, etc.) research project being conducted.
(11) Overall height of antenna struc- (2) A showing that communications
ture above the ground (if greater than facilities are necessary for the research
6 meters above the ground or an exist- project involved.
ing structure, see part 17 of this Chap- (3) A showing that existing commu-
ter concerning notification to the nications facilities are inadequate or
FAA). unavailable.
[63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug. § 5.65 Defective applications.
9, 1999]
(a) Applications that are defective
§ 5.63 Supplementary statements re- with respect to completeness of an-
quired. swers to required questions, execution
(a) Each applicant for an authoriza- or other matters of a purely formal
tion in the Experimental Radio Service character may not be received for fil-
must enclose with the application a ing by the Commission, and may be re-
narrative statement describing in de- turned to the applicant with a brief
tail the program of research and ex- statement as to the omissions.
perimentation proposed, the specific (b) If an applicant is requested by the
objectives sought to be accomplished; Commission to file any documents or
and how the program of experimen- information not included in the pre-
tation has a reasonable promise of con- scribed application form, a failure to
tribution to the development, exten- comply with such request will con-
sion, or expansion, or utilization of the stitute a defect in the application.
radio art, or is along lines not already (c) Applications that are not in ac-
investigated. An applicant may request cordance with the Commission’s rules,
non-disclosure of proprietary informa- regulations, or other requirements will
tion submitted under this part. These be considered defective unless accom-
requests should follow the procedures panied either by:
627
§ 5.67 47 CFR Ch. I (10–1–02 Edition)
(1) a petition to amend any rule, reg- § 5.71 License period.

ulation, or requirement with which the (a) The regular license period for sta-
application is in conflict; or tions in the Experimental Radio Serv-
(2) a request of the applicant for ice is either 2 or 5 years. An applicant
waiver of, or an exception to, any rule, desiring to apply for a 5-year license
regulation, or requirement with which must provide justification for its need
the application is in conflict. Such re- for a license of that duration. A license
quest shall show the nature of the may be renewed upon an adequate
waiver or exception desired and set showing of need.
forth the reasons in support thereof. (b) A license will not be granted for a
period longer than that which is re-
§ 5.67 Amendment or dismissal of ap- quired for completion of the experi-
plications. mental project. If such period is esti-
(a) Any application may be amended mated to be less than 2 years, or be-
or dismissed without prejudice upon re- tween 2–5 years, a statement to that ef-
quest of the applicant prior to the time fect by the applicant may facilitate
the application is granted. Each grant of the application. See also § 5.69
amendment to, or request for dismissal of this part.
of an application shall be signed, au- § 5.73 Experimental report.
thenticated, and submitted in the same
manner and with the same number of (a) Unless specifically stated as a
copies as required for the original ap- condition of the authorization, licens-
plication. All subsequent correspond- ees are not required to file a report on
ence or other material that the appli- the results of the experimental pro-
gram carried on under this subpart.
cant desires to have incorporated as a
(b) The Commission may, as a condi-
part of an application already filed
tion of authorization, request the li-
shall be submitted in the form of an
censee to forward periodic reports in
amendment to the application. order to evaluate the progress of the
(b) Failure to prosecute an applica- experimental program.
tion, or failure to respond to official (c) An applicant may request that
correspondence or request for addi- the Commission withhold from the
tional information, will be cause for public certain reports and associated
dismissal. Such dismissal will be with- material and the Commission will do
out prejudice. so unless the public interest requires
otherwise. These requests should follow
§ 5.69 Partial grants. the procedures for submission set forth
In cases in which the Commission in § 0.459 of this chapter.
grants an application in part, or with
§ 5.75 Number of licenses required.
any privileges, terms, or conditions
other than those requested, or subject An application for a station embrac-
to any interference that may result to ing widely divergent and unrelated ex-
a station if designated application or perimentations will normally require a
applications are subsequently granted, separate license for each experiment.
the action of the Commission shall be However, if the experiments are related
considered as a grant of such applica- or conducted by the same manufac-
tion unless the applicant shall, within turer, an applicant may apply for a
blanket license encompassing the en-
30 days from the date on which such
tire experimental program. If a blanket
grant is made or from its effective date
license is granted, licensees will be re-
if a later date is specified, file with the
quired to notify the Commission of the
Commission a written request rejecting specific details of each individual ex-
the grant as made. Upon receipt of periment, including location, number
such request, the Commission will co- of base and mobile units, power, emis-
ordinate with the applicant in an at- sion designator, and any other perti-
tempt to resolve problems arising from nent technical information not speci-
the grant. fied by the blanket license.
628
§ 5.77 Change in equipment and emis- § 5.81 Discontinuance of station oper-

sion characteristics. ation.
(a) A change may be made in a li- In case of permanent discontinuance
censed transmitter without specific au- of operation of a fixed or land station
thorization from the Commission pro- in the Experimental Radio Service, or
vided that the change does not result in case of permanent discontinuance of
in operations inconsistent with any operation of all transmitter units list-
term of the outstanding authorization ed in the license for a mobile station in
for the station involved. the Experimental Radio Service, the li-
(b) Discrete changes in emission censee shall forward the station license
characteristics may be made without to the Commission’s Office of Engi-
specific authorization from the Com- neering and Technology for cancella-
mission provided that the Commission tion.
is given written notification dem-
onstrating that such changes will not § 5.83 Cancellation provisions.
exceed the maximum emissions enve- The applicant for a station in the Ex-
lope established in the existing author- perimental Radio Services accepts the
ization. Changes made pursuant to license with the express understanding:
such notification that become a perma- (a) that the authority to use the fre-
nent part of the licensee’s experi- quency or frequencies assigned is
mental program must be listed in the granted upon an experimental basis
licensee’s next application for renewal. only and does not confer any right to
(c) Prior authorization from the conduct an activity of a continuing na-
Commission is required before the fol- ture; and
lowing antenna changes may be made (b) that said grant is subject to
at a station at a fixed location: change or cancellation by the Commis-
(1) Any change that will either in- sion at any time without hearing if in
crease the height of a structure sup- its discretion the need for such action
porting the radiating portion of the an- arises. However, a petition for recon-
tenna or decrease the height of a light- sideration or application for review
ed antenna structure. may be filed to such Commission ac-
(2) Any change in the location of an tion.
antenna when such relocation involves
a change in the geographic coordinates § 5.85 Frequencies and policy gov-
of latitude or longitude by as much as erning their assignment.
one second, or when such relocation in- (a) Stations operating in the Experi-
volves a change in street address. mental Radio Service may be author-
ized to use any government or non-gov-
§ 5.79 Transfer and assignment of sta- ernment frequency designated in the
tion authorization. Table of Frequency Allocations set
A station authorization, the fre- forth in part 2 of this chapter, provided
quencies authorized to be used by the that the need for the frequency re-
grantee of such authorization, and the quested is fully justified by the appli-
rights therein granted by such author- cant.
ization shall not be transferred, as- (b) Each frequency or band of fre-
signed, or in any manner either volun- quencies available for assignment to
tarily or involuntarily disposed of, un- stations in the Experimental Radio
less the Commission shall, after secur- Service is available on a shared basis
ing full information, decide that such a only, and will not be assigned for the
transfer is in the public interest and exclusive use of any one applicant, and
give its consent in writing. Requests such use may also be restricted to one
for authority to transfer or assign a or more specified geographical areas.
station authorization shall be sub- Not more than one frequency in a band
mitted on the forms prescribed by § 5.59 of frequencies will normally be as-
of this part. signed for the use of a single applicant
629
§ 5.85 47 CFR Ch. I (10–1–02 Edition)
unless a showing is made dem- possible interference. Depending on the

onstrating that need for the assign- theoretical field strength value or
ment of additional frequencies is essen- other ambient radio field signal levels
tial to the proposed program of experi- at the indicated coordinates, a clause
mentation. protecting the monitoring station may
(c) Frequency assignments will be be added to the station authorization.
made only on the condition that harm- (2) In the event that calculated value
ful interference will not be caused to of expected field strength exceeds 10
any station operating in accordance mV/m (–65.8 dBW/m 2) at the reference
with the Table of Frequency Allocation coordinates, or if there is any question
of part 2 of this chapter. whether field strength levels might ex-
(d) Use of Public Safety Frequencies. ceed the threshold value, advance con-
Applicants in the Experimental Radio sultation with the FCC to discuss any
Service must avoid use of public safety protection necessary should be consid-
frequencies except when a compelling ered. Prospective applicants may com-
showing can be made that use of such municate with the Technology Divi-
frequencies is in the public interest. sion, Compliance and Information Bu-
Public safety frequencies are identified reau, telephone (202) 418–1210, Federal
in subpart B (Public Safety Radio Serv- Communications Commission, Wash-
ices) and subpart C (Special Emergency ington, DC 20554.
Radio Service) of part 90 of this Chap- (3) Advance consultation is suggested
ter. In addition, subpart S of part 90 of particularly for those applicants who
this chapter contains rules for the as- have no reliable data that indicates
signment of frequencies that may be whether the field strength or power
used by Public Safety Radio Services flux density figure indicated would be
in the 806–824 MHz and 851–869 MHz exceeded by their proposed radio facili-
bands. If an experimental license to use ties (except mobile stations). In such
public safety radio frequencies is instances, the following is a suggested
granted, the authorization will be con- guide for determining whether an ap-
ditioned to require coordination be- plicant should coordinate:
tween the experimental licensee and (i) All stations within 2.4 kilometers
the appropriate frequency coordinator (1.5 statute miles);
and/or all of the public safety licensees (ii) Stations within 4.8 kilometers (3
in its intended area of operation. statute miles) with 50 watts or more
(e) The Commission may, at its dis- average ERP in the primary plane of
cretion, condition any experimental li- polarization in the azimuthal direction
cense or STA on the requirement that of the Monitoring Station;
before commencing operation, the new (iii) Stations within 16 kilometers (10
licensee coordinate its proposed facil- statute miles) with 1 kW or more aver-
ity with other licensees that may re- age ERP in the primary plane of polar-
ceive interference as a result of the ization in the azimuthal direction of
new licensee’s operations. the Monitoring Station;
(f) Protection of FCC monitoring sta- (iv) Stations within 80 kilometers (50
tions. (1) Applicants are advised to give statute miles) with 25 kW or more av-
consideration, prior to filing applica- erage ERP in the primary plane of po-
tions, to the need to protect FCC moni- larization in the azimuthal direction of
toring stations from harmful inter- the Monitoring Station.
ference. Geographical coordinates of (4) Advance coordination for stations
such stations are listed in § 0.121(b) of operating above 1000 MHz is rec-
this chapter. Applications for stations ommended only where the proposed
(except mobile stations) that will station is in the vicinity of a moni-
produce on any frequency a direct wave toring station designated as a satellite
fundamental field strength of greater monitoring facility in § 0.121(c) of this
than 10 mV/m in the authorized band- Chapter and also meets the criteria
width of service (–65.8 dBW/m 2 power outlined in paragraphs (d) (2) and (3) of
flux density assuming a free space this section.
characteristic impedance of 120π ohms) (5) The Commission will not screen
at the referenced coordinates, may be applications to determine whether ad-
examined to determine the extent of vance consultation has taken place.
630
However, applicants are advised that (c) Operations under this section are
such consultation can avoid objections limited to 4 watts equivalent
from the Commission. isotropically radiated power (EIRP).
The Commission may authorize a
§ 5.87 Frequencies for field strength greater power if a satisfactory showing
surveys or equipment demonstra- is made that such greater power is nec-
tions. essary and that appropriate measures
(a) Authorizations issued under §§ 5.3 will be taken to prevent interference.
(e) and (f) of this part will normally (d) The frequency of operation must
not have specific frequencies des- be measured or checked prior to each
ignated in a station license. Prior to time of operation.
the commencement of a survey or dem- (e) Subject to the provisions of (b),
onstration, the licensee will request a (c) and (d), the provisions in subpart C
specific frequency assignment and sub- of this part are waived insofar as such
mit the following information: provisions require a station authorized
(1) Time, date and duration of survey. under this section to observe the tech-
(2) Frequency to be used. nical and operating restrictions set
(3) Location of transmitter and geo- forth therein.
graphical area to be covered. (f) The licensee holding an authoriza-
(4) Purpose of survey. tion issued under this section shall
(5) Method and equipment to be used. maintain a record of operation con-
(6) Names and addresses of persons taining the following information:
for whom the survey is conducted. (1) A brief description of the experi-
(b) [Reserved] mentation being conducted.
(2) The date and time of each period
§ 5.89 School and student authoriza- of operation.
tions. (3) The frequency of operation as
The Commission may issue an au- measured or checked at the beginning
thorization to schools or students for of each period of operation.
the purpose of presenting experiments (g) The record of operation shall be
or technical demonstrations for school retained for one month after the termi-
or school approved projects that re- nation of the authorization.
quire the use of radio for a limited pe-
[63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug.
riod of time. Such authorizations may 9, 1999]
be granted at the discretion of the
Commission. § 5.91 Notification of the National
(a) An application for a school or stu- Radio Astronomy Observatory.
dent authorization may be filed in let-
In order to minimize possible harm-
ter form and must comply with the
ful interference at the National Radio
provisions of § 5.63, of this part except
Astronomy Observatory site located at
where specified below. The application
Green Bank, Pocahontas County, West
must be accompanied by a signed state-
Virginia, and at the Naval Radio Re-
ment from a member of faculty of the
search Observatory site at Sugar
school, on appropriate letterhead, indi-
Grove, Pendleton County, West Vir-
cating the person under whose general
ginia, any applicant for a station au-
supervision the project will be con-
thorization other than mobile, tem-
ducted. In the case of student author-
porary base, temporary fixed, Personal
izations, the letter must state that the
Radio, Civil Air Patrol, or Amateur
project has the approval of the school.
seeking a station license for a new sta-
(b) Frequencies in the following tion, or a construction permit to con-
bands are available for assignment in struct a new station or to modify an
authorizations issued under this sec- existing station license in a manner
tion: that would change either the fre-
27.23–27.28 MHz. quency, power, antenna height or di-
460–461 MHz. rectivity, or location of such a station
462.525–467.475 MHz. within the area bounded by 39 deg. 15′ N
2402–2483.5 MHz. on the north, 78 deg. 30′ W on the east,
10.00–10.50 GHz. 37 deg. 30′ N on the south and 80 deg. 30′
631
§ 5.93 47 CFR Ch. I (10–1–02 Edition)
W on the west shall, at the time of fil- ment is presumed to operate over the
ing such application with the Commis- temperature range ¥20 to +50 degrees
sion, simultaneously notify the Direc- celsius with an input voltage variation
tor, National Radio Astronomy Observ- of 85% to 115% of rated input voltage,
atory, P.O. Box NZ2, Green Bank, West unless justification is presented to
Virginia, 24944, in writing, of the tech- demonstrate otherwise.
nical particulars of the proposed sta-
tion. Such notification shall include § 5.103 Types of emission.
the geographical coordinates of the an- Stations in the Experimental Radio
tenna, antenna height, antenna direc- Service may be authorized to use any
tivity if any, frequency, type of emis- of the classifications of emissions cov-
sion, and power. In addition, the appli- ered in part 2 of this chapter.
cant shall indicate in its application to
the Commission the date notification § 5.105 Authorized bandwidth.
was made to the Observatory. After re-
ceipt of such applications, the Commis- Each authorization issued to a sta-
sion will allow a period of twenty (20) tion operating in this service will
days for comments or objections in re- show, as the prefix to the emission
sponse to the notifications indicated. If classification, a figure specifying the
an objection to the proposed operation maximum necessary bandwidth for the
is received during the twenty-day pe- emission used. The authorized band-
riod from the National Radio Astron- width is considered to be the occupied
omy Observatory for itself or on behalf or necessary bandwidth, whichever is
of the Naval Radio Research Observ- greater. This bandwidth should be de-
atory, the Commission will consider all termined in accordance with § 2.202 of
aspects of the problem and take what- this chapter.
ever action is deemed appropriate. [63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug.
9, 1999]
§ 5.93 Limited market studies.
Unless otherwise stated in the instru- § 5.107 Transmitter control require-
ment of authorization, licenses granted ments.
for the purpose of limited market stud- Each licensee shall be responsible for
ies pursuant to § 5.3(j) of this part are maintaining control of the transmitter
subject to the following conditions: authorized under its station authoriza-
(a) All transmitting and/or receiving tion. This includes both ensuring that
equipment used in the study shall be transmissions are in conformance with
owned by the licensee. the operating characteristics pre-
(b) The licensee is responsible for in- scribed in the station authorization
forming anyone participating in the ex- and that the station is operated only
periment that the service or device is by persons duly authorized by the li-
granted under an experimental author- censee.
ization and is strictly temporary.
(c) The size and scope of the experi- § 5.109 Antenna and tower require-
ment are subject to limitations as the ments.
Commission shall establish on a case- (a) Applicants with fixed stations
by-case basis. If the Commission subse- that use antennas that exceed 6 meters
quently determines that a market in height above the ground level or
study is not so limited, the study shall more than 6 meters in height above an
be immediately terminated. existing building must comply with the
requirements of part 17 of this chapter.
Subpart C— Technical Standards (b) The licensee of any radio station
and Operating Requirements that has an antenna structure required
to be painted and illuminated pursuant
§ 5.101 Frequency stability. to the provisions of section 303(q) of
An applicant must propose to use a the Communications Act of 1934, as
frequency tolerance that would confine amended, and part 17 of this chapter,
emissions within the band of operation, shall perform the inspections and
unless permission is granted to use a maintain the tower marking and light-
greater frequency tolerance. Equip- ing, and associated control equipment,
632
in accordance with the requirements of may specify supplemental or additional

part 17, subpart C, of this chapter. requirements or conditions in each
[63 FR 64202, Nov. 19, 1998; 64 FR 43095, Aug.
case as deemed necessary in the public
9, 1999] interest, convenience, or necessity.
§ 5.111 General limitations on use. § 5.115 Station identification.

(a) The following transmission limi- Each class of station in the experi-
tations are applicable to all classes of mental services shall, unless specifi-
stations in the Experimental Radio cally exempted by the terms of the sta-
Service: tion authorization, transmit its as-
(1) Stations may make only such signed call sign at the end of each com-
transmissions as are necessary and di- plete transmission: Provided, however,
rectly related to the conduct of the li- that the transmission of the call sign
censee’s stated program of experimen- at the end of each transmission is not
tation as specified in the application required for projects requiring contin-
for license and the related station in- uous, frequent, or extended use of the
strument of authorization, and as gov- transmitting apparatus, if, during such
erned by the provisions of the rules and periods and in connection with such
regulations contained in this part. All use, the call sign is transmitted at
transmissions shall be limited to the least once every thirty minutes. The
minimum practical transmission time. station identification shall be trans-
(2) When transmitting, the licensee mitted in clear voice or Morse code. All
must use every precaution to ensure digital encoding and digital modula-
that the radio frequency energy emit- tion shall be disabled during station
ted will not cause harmful interference identification.
to the services carried on by stations
§ 5.117 Suspension of transmission re-
operating in accordance with the Table quired.
of Frequency Allocations of part 2 of
this chapter and, further, that the The radiations of the transmitter
power radiated is reduced to the lowest shall be suspended immediately upon
practical value consistent with the pro- detection or notification of a deviation
gram of experimentation for which the from the technical requirements of the
station authorization is granted. If station authorization until such devi-
harmful interference to an established ation is corrected, except for trans-
radio service develops, the licensee missions concerning the immediate
shall cease transmissions and such safety of life or property, in which case
transmissions shall not be resumed the transmissions shall be suspended as
until it is certain that harmful inter- soon as the emergency is terminated.
ference will not be caused.
§ 5.119 Posting station licenses.
(b) If experimental stations are to be
used to retransmit signals of any other The current original authorization
station or to render any communica- for each station shall be retained as a
tions service to third parties, a full dis- permanent part of the station records
closure of this must be made in the ap- but need not be posted.
plication for license.
§ 5.121 Retention of station records.
§ 5.113 Adherence to program of re- Records required to be kept by this
search. part shall be retained for a period of at
(a) The program of experimentation least one year.
as stated by an applicant in its applica-
tion for license or in the station instru- § 5.123 Inspection of stations.
ment of authorization, shall be sub- All stations and records of stations
stantially adhered to unless the li- in the Experimental Radio Service
censee is authorized to do otherwise by shall be made available for inspection
the Commission. at any time while the station is in op-
(b) Where some phases of the experi- eration or shall be made available for
mental program are not covered by the inspection upon reasonable request of
general rules of the Commission or by an authorized representative of the
the rules of this part, the Commission Commission.
633
§ 5.125 47 CFR Ch. I (10–1–02 Edition)
§ 5.125 Authorized points of commu- Subpart A—Scope—Who Must

nication. Comply With These Rules?
Generally, stations in the Experi-
mental Radio Service may commu- § 6.1 Applicability.
nicate only with other stations li- The rules in this part apply to:
censed in the Experimental Radio (a) Any provider of telecommuni-
Service. Nevertheless, upon a satisfac- cations service;
tory showing that the proposed com- (b) Any manufacturer of tele-
munications are essential to the con- communications equipment or cus-
duct of the research project, authority tomer premises equipment; and
may be granted to communicate with (c) Any telecommunications carrier.
stations in other services and U.S. Gov-
ernment stations. Subpart B—Definitions
PART 6—ACCESS TO TELE- § 6.3 Definitions.
COMMUNICATIONS SERVICE, (a) The term accessible shall mean
TELECOMMUNICATIONS EQUIP- that:
MENT AND CUSTOMER PREMISES (1) Input, control, and mechanical
EQUIPMENT BY PERSONS WITH functions shall be locatable, identifi-
DISABILITIES able, and operable in accordance with
each of the following, assessed inde-
Sec. pendently:
(i) Operable without vision. Provide
Subpart A—Scope—Who Must Comply at least one mode that does not require
With These Rules? user vision.
(ii) Operable with low vision and lim-
6.1 Applicability. ited or no hearing. Provide at least one
mode that permits operation by users
Subpart B—Definitions with visual acuity between 20/70 and 20/
6.3 Definitions. 200, without relying on audio output.
(iii) Operable with little or no color
Subpart C—Obligations—What Must perception. Provide at least one mode
Covered Entities Do? that does not require user color percep-
tion.
6.5 General obligations.
(iv) Operable without hearing. Pro-
6.7 Product design, development and eval-
uation.
vide at least one mode that does not re-
6.9 Information pass through. quire user auditory perception.
6.11 Information, documentation and train- (v) Operable with limited manual
ing. dexterity. Provide at least one mode
that does not require user fine motor
Subpart D—Enforcement control or simultaneous actions.
(vi) Operable with limited reach and
6.15 Generally.
strength. Provide at least one mode
6.16 Informal or formal complaints.
6.17 Informal complaints; form and content.
that is operable with user limited
6.18 Procedure; designation of agents for reach and strength.
service. (vii) Operable with a Prosthetic De-
6.19 Answers to informal complaints. vice. Controls shall be operable with-
6.20 Review and disposition of informal out requiring body contact or close
complaints. body proximity.
6.21 Formal complaints, applicability of (viii) Operable without time-depend-
§§ 1.720 through 1.736 of this chapter. ent controls. Provide at least one mode
6.22 Formal complaints based on unsatisfied that does not require a response time
informal complaints.
or allows response time to be by-passed
6.23 Actions by the Commission on its own
motion.
or adjusted by the user over a wide
range.
AUTHORITY: 47 U.S.C. 154(i), 154(j), 208, 255. (ix) Operable without speech. Provide
SOURCE: 64 FR 63251, Nov. 19, 1999, unless at least one mode that does not require
otherwise noted. user speech.
634
(x) Operable with limited cognitive (ix) Hearing aid coupling. Where a
skills. Provide at least one mode that product delivers output by an audio
minimizes the cognitive, memory, lan- transducer which is normally held up
guage, and learning skills required of to the ear, provide a means for effec-
the user. tive wireless coupling to hearing aids.
(2) All information necessary to oper- (b) The term compatibility shall mean
ate and use the product, including but compatible with peripheral devices and
not limited to, text, static or dynamic specialized customer premises equip-
images, icons, labels, sounds, or inci- ment commonly used by individuals
dental operating cues, comply with with disabilities to achieve accessi-
each of the following, assessed inde- bility to telecommunications services,
pendently: and in compliance with the following
(i) Availability of visual information. provisions, as applicable:
Provide visual information through at (1) External electronic access to all
least one mode in auditory form. information and control mechanisms.
(ii) Availability of visual information Information needed for the operation of
for low vision users. Provide visual in- products (including output, alerts,
formation through at least one mode to icons, on-line help, and documentation)
users with visual acuity between 20/70 shall be available in a standard elec-
and 20/200 without relying on audio. tronic text format on a cross-industry
standard port and all input to and con-
(iii) Access to moving text. Provide
trol of a product shall allow for real
moving text in at least one static pres-
time operation by electronic text input
entation mode at the option of the
into a cross-industry standard external
user.
port and in cross-industry standard for-
(iv) Availability of auditory informa- mat. The cross-industry standard port
tion. Provide auditory information shall not require manipulation of a
through at least one mode in visual connector by the user.
form and, where appropriate, in tactile (2) Connection point for external
form. audio processing devices. Products pro-
(v) Availability of auditory informa- viding auditory output shall provide
tion for people who are hard of hearing. the auditory signal at a standard sig-
Provide audio or acoustic information, nal level through an industry standard
including any auditory feedback tones connector.
that are important for the use of the (3) TTY connectability. Products
product, through at least one mode in which provide a function allowing
enhanced auditory fashion (i.e., invoice communication and which do not
creased amplification, increased signal- themselves provide a TTY
to-noise ratio, or combination). functionality shall provide a standard
(vi) Prevention of visually-induced non-acoustic connection point for
seizures. Visual displays and indicators TTYs. It shall also be possible for the
shall minimize visual flicker that user to easily turn any microphone on
might induce seizures in people with and off to allow the user to intermix
photosensitive epilepsy. speech with TTY use.
(vii) Availability of audio cutoff. (4) TTY signal compatibility. Prod-
Where a product delivers audio output ucts, including those providing voice
through an external speaker, provide communication functionality, shall
an industry standard connector for support use of all cross-manufacturer
headphones or personal listening de- non-proprietary standard signals used
vices (e.g., phone-like handset or by TTYs.
earcup) which cuts off the speaker(s) (c) The term customer premises equip-
when used. ment shall mean equipment employed
(viii) Non-interference with hearing on the premises of a person (other than
technologies. Reduce interference to a carrier) to originate, route, or termi-
hearing technologies (including hear- nate telecommunications.
ing aids, cochlear implants, and assist- (d) The term disability shall mean a
ive listening devices) to the lowest pos- physical or mental impairment that
sible level that allows a user to utilize substantially limits one or more of the
the product. major life activities of an individual; a
635
§ 6.5 47 CFR Ch. I (10–1–02 Edition)
record of such an impairment; or being communications for a fee directly to

regarded as having such an impair- the public, or to such classes of users
ment. as to be effectively available directly
(e) The term manufacturer shall mean to the public, regardless of the facili-
an entity that makes or produces a ties used.
product. (k) The term usable shall mean that
(f) The term peripheral devices shall individuals with disabilities have ac-
mean devices employed in connection cess to the full functionality and docu-
with equipment covered by this part to mentation for the product, including
translate, enhance, or otherwise trans- instructions, product information
form telecommunications into a form (including accessible feature informa-
accessible to individuals with disabil- tion), documentation, bills and tech-
ities. nical support which is provided to indi-
(g) The term readily achievable shall viduals without disabilities.
mean, in general, easily accomplish-
able and able to be carried out without Subpart C—Obligations—What
much difficulty or expense. In deter-
mining whether an action is readily
Must Covered Entities Do?
achievable, factors to be considered in- § 6.5 General obligations.
clude:
(1) The nature and cost of the action (a) Obligation of Manufacturers. (1) A
needed; manufacturer of telecommunications
(2) The overall financial resources of equipment or customer premises equip-
the manufacturer or service provider ment shall ensure that the equipment
involved in the action (the covered en- is designed, developed and fabricated so
tity); the number of persons employed that the telecommunications functions
by such manufacturer or service proof the equipment are accessible to and
vider; the effect on expenses and reusable by individuals with disabilities,
sources, or the impact otherwise of if readily achievable.
such action upon the operations of the (2) Whenever the requirements of
manufacturer or service provider; paragraph (a)(1) of this section are not
(3) If applicable, the overall financial readily achievable, the manufacturer
resources of the parent of the entity; shall ensure that the equipment is
the overall size of the business of the compatible with existing peripheral de-
parent entity with respect to the num- vices or specialized customer premises
ber of its employees; the number, type, equipment commonly used by individ-
and location of its facilities; and uals with disabilities to achieve access,
(4) If applicable, the type of oper- if readily achievable.
ation or operations of the covered enti- (b) Obligation of Service Providers. (1)
ty, including the composition, struc- A provider of a telecommunications
ture and functions of the workforce of service shall ensure that the service is
such entity; and the geographic sepa- accessible to and usable by individuals
rateness, administrative or fiscal rela- with disabilities, if readily achievable.
tionship of the covered entity in ques- (2) Whenever the requirements of
tion to the parent entity. paragraph (b)(1) of this section are not
(h) The term specialized customer readily achievable, the service provider
premises equipment shall mean customer shall ensure that the service is compat-
premise equipment which is commonly ible with existing peripheral devices or
used by individuals with disabilities to specialized customer premises equip-
achieve access. ment commonly used by individuals
(i) The term telecommunications equip- with disabilities to achieve access, if
ment shall mean equipment, other than readily achievable.
customer premises equipment, used by (c) Obligation of Telecommunications
a carrier to provide telecommuni- Carriers. Each telecommunications car-
cations services, and includes software rier must not install network features,
integral to such equipment (including functions, or capabilities that do not
upgrades). comply with the guidelines and stand-
(j) The term telecommunications serv- ards established pursuant to this part
ice shall mean the offering of tele- or part 7 of this chapter.
636
§ 6.7 Product design, development, and guides for end-user installable devices,
evaluation. and product support communications,
(a) Manufacturers and service pro- regarding both the product in general
viders shall evaluate the accessibility, and the accessibility features of the
usability, and compatibility of equip- product. Manufacturers shall take such
ment and services covered by this part other readily achievable steps as nec-
and shall incorporate such evaluation essary including:
throughout product design, develop- (1) Providing a description of the ac-
ment, and fabrication, as early and cessibility and compatibility features
consistently as possible. Manufacturers of the product upon request, including,
and service providers shall identify as needed, in alternate formats or al-
barriers to accessibility and usability ternate modes at no additional charge;
as part of such a product design and de- (2) Providing end-user product docu-
velopment process. mentation in alternate formats or al-
(b) In developing such a process, ternate modes upon request at no addi-
manufacturers and service providers tional charge; and
shall consider the following factors, as (3) Ensuring usable customer support
the manufacturer deems appropriate: and technical support in the call cen-
(1) Where market research is under- ters and service centers which support
taken, including individuals with dis- their products at no additional charge.
abilities in target populations of such
(b) Manufacturers and service pro-
research;
viders shall include in general product
(2) Where product design, testing,
information the contact method for ob-
pilot demonstrations, and product
taining the information required by
trials are conducted, including individ-
uals with disabilities in such activities; paragraph (a) of this section.
(3) Working cooperatively with ap- (c) In developing, or incorporating
propriate disability-related organiza- existing training programs, manufac-
tions; and turers and service providers, shall con-
(4) Making reasonable efforts to vali- sider the following topics:
date any unproven access solutions (1) Accessibility requirements of in-
through testing with individuals with dividuals with disabilities;
disabilities or with appropriate dis- (2) Means of communicating with in-
ability-related organizations that have dividuals with disabilities;
established expertise with individuals (3) Commonly used adaptive tech-
with disabilities. nology used with the manufacturer’s
products;
§ 6.9 Information pass through. (4) Designing for accessibility; and
Telecommunications equipment and (5) Solutions for accessibility and
customer premises equipment shall compatibility.
pass through cross-manufacturer, non-
proprietary, industry-standard codes,
translation protocols, formats or other
Subpart D—Enforcement
information necessary to provide tele- § 6.15 Generally.
communications in an accessible for-
mat, if readily achievable. In par- (a) All manufacturers of tele-
ticular, signal compression tech- communications equipment or cus-
nologies shall not remove information tomer premise equipment (CPE) and all
needed for access or shall restore it providers of telecommunications serv-
upon decompression. ices, as defined under this subpart, are
subject to the enforcement provisions
§ 6.11 Information, documentation, specified in the Act and the Commis-
and training. sion’s rules.
(a) Manufacturers and service pro- (b) For purposes of §§ 6.15 through
viders shall ensure access to informa- 6.23, the term ‘‘manufacturers’’ shall
tion and documentation it provides to denote manufacturers of telecommuni-
its customers, if readily achievable. cations equipment or CPE and the
Such information and documentation term ‘‘providers’’ shall denote pro-
includes user guides, bills, installation viders of telecommunications services.
637
§ 6.16 47 CFR Ch. I (10–1–02 Edition)
§ 6.16 Informal or formal complaints. § 6.18 Procedure; designation of agents

for service.
Complaints against manufacturers or
providers, as defined under this sub- (a) The Commission shall promptly
part, for alleged violations of this sub- forward any informal complaint meet-
part may be either informal or formal. ing the requirements of § 6.17 to each
manufacturer and provider named in or
§ 6.17 Informal complaints; form and determined by the staff to be impli-
content.
cated by the complaint. Such manufac-
(a) An informal complaint alleging a turer(s) or provider(s) shall be called
violation of section 255 of the Act or on to satisfy or answer the complaint
this subpart may be transmitted to the within the time specified by the Com-
Commission by any reasonable means, mission.
e.g., letter, facsimile transmission, (b) To ensure prompt and effective
telephone (voice/TRS/TTY), Internet e- service of informal and formal com-
mail, ASCII text, audio-cassette re- plaints filed under this subpart, every
cording, and braille.
manufacturer and provider subject to
(b) An informal complaint shall in-
the requirements of section 255 of the
clude:
Act and this subpart, shall designate
(1) The name and address of the com-
an agent, and may designate additional
plainant;
agents if it so chooses, upon whom
(2) The name and address of the man-
service may be made of all notices, in-
ufacturer or provider against whom the
complaint is made; quiries, orders, decisions, and other
(3) A full description of the tele- pronouncements of the Commission in
communications equipment or CPE any matter before the Commission.
and/or the telecommunications service Such designation shall include, for
about which the complaint is made; both the manufacturer or the provider,
(4) The date or dates on which the a name or department designation,
complainant either purchased, ac- business address, telephone number,
quired or used, or attempted to pur- and, if available TTY number, fac-
chase, acquire or use the telecommuni- simile number, and Internet e-mail ad-
cations equipment, CPE or tele- dress.
communications service about which
the complaint is being made; § 6.19 Answers to informal complaints.
(5) A complete statement of the facts, Any manufacturer or provider to
including documentation where avail- whom an informal complaint is di-
able, supporting the complainant’s al- rected by the Commission under this
legation that: such telecommuni- subpart shall file an answer within the
cations service, or such telecommuni- time specified by the Commission. The
cations equipment or CPE, is not ac- answer shall:
cessible to, or usable by, a person with (a) Be prepared or formatted in the
a particular disability or persons with manner requested by the complainant
disabilities within the meaning of this pursuant to § 6.17, unless otherwise per-
subpart and section 255 of the Act; or mitted by the Commission for good
that the defendant has otherwise failed
cause shown;
to comply with the requirements of
this subpart; (b) Describe any actions that the de-
fendant has taken or proposes to take
(6) The specific relief or satisfaction
sought by the complainant, and to satisfy the complaint;
(7) The complainant’s preferred for- (c) Advise the complainant and the
mat or method of response to the com- Commission of the nature of the de-
plaint by the Commission and defend- fense(s) claimed by the defendant;
ant (e.g., letter, facsimile transmission, (d) Respond specifically to all mate-
telephone (voice/TRS/TTY), Internet e- rial allegations of the complaint; and
mail, ASCII text, audio-cassette re- (e) Provide any other information or
cording, braille; or some other method materials specified by the Commission
that will best accommodate the com- as relevant to its consideration of the
plainant’s disability) complaint.
638
§ 6.20 Review and disposition of infor- complaint and the defendant’s answer
mal complaints. thereto, that the defendant has failed
(a) Where it appears from the defend- to comply with or is presently not in
ant’s answer, or from other commu- compliance with the requirements of
nications with the parties, that an in- this subpart, the Commission may
formal complaint has been satisfied, order or prescribe such remedial ac-
the Commission may, in its discretion, tions and/or sanctions as are author-
consider the informal complaint ized under the Act and the Commis-
closed, without response to the com- sion’s rules and which are deemed by
plainant or defendant. In all other the Commission to be appropriate
cases, the Commission shall inform the under the facts and circumstances of
parties of its review and disposition of the case.
a complaint filed under this subpart.
Where practicable, this information, § 6.21 Formal complaints, applicability
of §§ 1.720 through 1.736 of this
the nature of which is specified in para- chapter.
graphs (b) through (d) of this section,
shall be transmitted to the complain- Formal complaints against a manu-
ant and defendant in the manner re- facturer or provider, as defined under
quested by the complainant, (e.g., let- this subpart, may be filed in the form
ter, facsimile transmission, telephone and in the manner prescribed under
(voice/TRS/TTY), Internet e-mail, §§ 1.720 through 1.736 of this chapter.
ASCII text, audio-cassette recording, Commission staff may grant waivers
or braille). of, or exceptions to, particular require-
(b) In the event the Commission de- ments under §§ 1.720 through 1.736 of
termines, based on a review of the in- this chapter for good cause shown; pro-
formation provided in the informal vided, however, that such waiver au-
complaint and the defendant’s answer thority may not be exercised in a man-
thereto, that no further action is re- ner that relieves, or has the effect of
quired by the Commission with respect relieving, a complainant of the obliga-
to the allegations contained in the in- tion under §§ 1.720 and 1.728 of this
formal complaint, the informal com- chapter to allege facts which, if true,
plaint shall be closed and the com- are sufficient to constitute a violation
plainant and defendant shall be duly or violations of section 255 of the Act
informed of the reasons therefor. A or this subpart.
complainant unsatisfied with the de-
fendant’s response to the informal § 6.22 Formal complaints based on
complaint and the staff decision to ter- unsatisfied informal complaints.
minate action on the informal com- A formal complaint filing based on
plaint may file a formal complaint an unsatisfied informal complaint filed
with the Commission, as specified in pursuant to § 4.16 of this chapter shall
§ 6.22. be deemed to relate back to the filing
(c) In the event the Commission de- date of the informal complaint if it is
termines, based on a review of the in- filed within ninety days from the date
formation presented in the informal that the Commission notifies the com-
complaint and the defendant’s answer plainant of its disposition of the infor-
thereto, that a material and substan- mal complaint and based on the same
tial question remains as to the defend- operative facts as those alleged in the
ant’s compliance with the require- informal complaint.
ments of this subpart, the Commission
may conduct such further investiga- § 6.23 Actions by the Commission on
tion or such further proceedings as its own motion.
may be necessary to determine the de- The Commission may on its own mo-
fendant’s compliance with the require- tion conduct such inquiries and hold
ments of this subpart and to determine such proceedings as it may deem nec-
what, if any, remedial actions and/or essary to enforce the requirements of
sanctions are warranted. this subpart and section 255 of the
(d) In the event that the Commission Communications Act. The procedures
determines, based on a review of the in- to be followed by the Commission
formation presented in the informal shall, unless specifically prescribed in
639
the Act and the Commission’s rules, be forms a voicemail or interactive menu
such as in the opinion of the Commis- function.
sion will best serve the purposes of
such inquiries and proceedings. Subpart B—Definitions
PART 7—ACCESS TO VOICEMAIL § 7.3 Definitions.
AND INTERACTIVE MENU SERV- (a) The term accessible shall mean
ICES AND EQUIPMENT BY PEOPLE that:
WITH DISABILITIES (1) Input, control, and mechanical
functions shall be locatable, identifi-
Sec. able, and operable in accordance with
each of the following, assessed inde-
Subpart A—Scope—Who Must Comply pendently:
With These Rules? (i) Operable without vision. Provide
7.1 Who must comply with these rules? at least one mode that does not require
user vision.
Subpart B—Definitions (ii) Operable with low vision and lim-
ited or no hearing. Provide at least one
7.3 Definitions.
mode that permits operation by users
Subpart C—Obligations—What Must with visual acuity between 20/70 and 20/
Covered Entities Do? 200, without relying on audio output.
(iii) Operable with little or no color
7.5 General obligations. perception. Provide at least one mode
7.7 Product design, development and eval-
that does not require user color percep-
uation.
7.9 Information pass through. tion.
7.11 Information, documentation and train- (iv) Operable without hearing. Pro-
ing. vide at least one mode that does not re-
quire user auditory perception.
Subpart D—Enforcement (v) Operable with limited manual
7.15 Generally. dexterity. Provide at least one mode
7.16 Informal or formal complaints. that does not require user fine motor
7.17 Informal complaints; form and content. control or simultaneous actions.
7.18 Procedure; designation of agents for (vi) Operable with limited reach and
service. strength. Provide at least one mode
7.19 Answers to informal complaints.
that is operable with user limited
7.20 Review and disposition of informal
complaints. reach and strength.
7.21 Formal complaints, applicability of (vii) Operable with a Prosthetic De-
§§ 1.720 through 1.736 of this chapter. vice. Controls shall be operable with-
7.22 Formal complaints based on unsatisfied out requiring body contact or close
informal complaints. body proximity.
7.23 Actions by the Commission on its own (viii) Operable without time-depend-
motion.
ent controls. Provide at least one mode
AUTHORITY: 47 U.S.C. 1, 154(i), 154(j) 208, and that does not require a response time
255. or allows a response to be by-passed or
SOURCE: 64 FR 63255, Nov. 19, 1999, unless adjusted by the user over a wide range.
otherwise noted. (ix) Operable without speech. Provide
at least one mode that does not require
Subpart A—Scope—Who Must user speech.
Comply With These Rules? (x) Operable with limited cognitive
skills. Provide at least one mode that
§ 7.1 Who must comply with these minimizes the cognitive, memory, lan-
rules? guage, and learning skills required of
The rules in this part apply to: the user.
(a) Any provider of voicemail or (2) All information necessary to oper-
interactive menu service; ate and use the product, including but
(b) Any manufacturer of tele- not limited to, text, static or dynamic
communications equipment or cus- images, icons, labels, sounds, or inci-
tomer premises equipment which per- dental operating cues, comply with
640
each of the following, assessed inde- menus, and in compliance with the fol-
pendently: lowing provisions, as applicable:
(i) Availability of visual information. (1) External electronic access to all
Provide visual information through at information and control mechanisms.
least one mode in auditory form. Information needed for the operation of
(ii) Availability of visual information products (including output, alerts,
for low vision users. Provide visual in- icons, on-line help, and documentation)
formation through at least one mode to shall be available in a standard elec-
users with visual acuity between 20/70 tronic text format on a cross-industry
and 20/200 without relying on audio. standard port and all input to and con-
(iii) Access to moving text. Provide trol of a product shall allow for real
moving text in at least one static pres- time operation by electronic text input
entation mode at the option of the into a cross-industry standard external
user. port and in cross-industry standard for-
(iv) Availability of auditory informa- mat. The cross-industry standard port
tion. Provide auditory information shall not require manipulation of a
through at least one mode in visual connector by the user.
form and, where appropriate, in tactile (2) Connection point for external
form. audio processing devices. Products pro-
(v) Availability of auditory informa- viding auditory output shall provide
tion for people who are hard of hearing. the auditory signal at a standard sig-
Provide audio or acoustic information, nal level through an industry standard
including any auditory feedback tones connector.
that are important for the use of the (3) TTY connectability. Products
product, through at least one mode in which provide a function allowing
enhanced auditory fashion (i.e., invoice communication and which do not
creased amplification, increased signal- themselves provide a TTY
to-noise ratio, or combination). functionality shall provide a standard
(vi) Prevention of visually-induced non-acoustic connection point for
seizures. Visual displays and indicators TTYs. It shall also be possible for the
shall minimize visual flicker that user to easily turn any microphone on
might induce seizures in people with and off to allow the user to intermix
photosensitive epilepsy. speech with TTY use.
(vii) Availability of audio cutoff. (4) TTY signal compatibility. Prod-
Where a product delivers audio output ucts, including those providing voice
through an external speaker, provide communication functionality, shall
an industry standard connector for support use of all cross-manufacturer
headphones or personal listening de- non-proprietary standard signals used
vices (e.g., phone-like handset or by TTYs.
earcup) which cuts off the speaker(s) (c) The term customer premises equip-
when used. ment shall mean equipment employed
(viii) Non-interference with hearing on the premises of a person (other than
technologies. Reduce interference to a carrier) to originate, route, or termi-
hearing technologies (including hear- nate telecommunications.
ing aids, cochlear implants, and assist- (d) The term disability shall mean a
ive listening devices) to the lowest pos- physical or mental impairment that
sible level that allows a user to utilize substantially limits one or more of the
the product. major life activities of an individual; a
(ix) Hearing aid coupling. Where a record of such an impairment; or being
product delivers output by an audio regarded as having such an impair-
transducer which is normally held up ment.
to the ear, provide a means for effec- (e) The term interactive menu shall
tive wireless coupling to hearing aids. mean a feature that allows a service
(b) The term compatibility shall mean provider or operator of CPE to trans-
compatible with peripheral devices and mit information to a caller in visual
specialized customer premises equip- and/or audible format for the purpose
ment commonly used by individuals of management, control, or operations
with disabilities to achieve accessi- of a telecommunications system or
bility to voicemail and interactive service; and/or to request information
641
§ 7.5 47 CFR Ch. I (10–1–02 Edition)
from the caller in visual and/or audible tionship of covered entity in question
format for the purpose of management, to the parent entity.
control, or operations of a tele- (i) The term specialized customer prem-
communications system or service; ises equipment shall mean customer
and/or to receive information from the premise equipment which is commonly
caller in visual and/or audible format used by individuals with disabilities to
in response to a request, for the pur- achieve access.
pose of management, control, or oper- (j) The term telecommunications equip-
ations of a telecommunications system ment shall mean equipment, other than
or service. This feature, however, does customer premises equipment, used by
not include the capability for gener- a carrier to provide telecommuni-
ating, acquiring, storing, transforming, cations services, and includes software
processing, retrieving, utilizing, or integral to such equipment (including
making available information via tele- upgrades).
communications for any purpose other (k) The term telecommunications serv-
than management, control, or oper- ice shall mean the offering of tele-
ations of a telecommunications system communications for a fee directly to
or service. the public, or to such classes of users
(f) The term manufacturer shall mean as to be effectively available directly
an entity that makes or produces a to the public, regardless of the facili-
product. ties used.
(g) The term peripheral devices shall (l) The term usable shall mean that
mean devices employed in connection individuals with disabilities have ac-
with equipment covered by this part to cess to the full functionality and docu-
translate, enhance, or otherwise trans- mentation for the product, including
form telecommunications into a form instructions, product information
accessible to individuals with disabil- (including accessible feature informa-
ities. tion), documentation, bills and tech-
(h) The term readily achievable shall nical support which is provided to indi-
mean, in general, easily accomplish- viduals without disabilities.
able and able to be carried out without (m) The term Voicemail shall mean
much difficulty or expense. In deter- the capability of answering calls and
mining whether an action is readily recording incoming messages when a
achievable, factors to be considered in- line is busy or does not answer within
clude: a pre-specified amount of time or num-
(1) The nature and cost of the action ber of rings; receiving those messages
needed; at a later time; and may also include
(2) The overall financial resources of the ability to determine the sender and
the manufacturer or service provider time of transmission without hearing
involved in the action (the covered en- the entire message; the ability to for-
tity); the number of persons employed ward the message to another voice
by such manufacturer or service pro- massaging customer, with and/or with-
vider; the effect on expenses and re- out an appended new message; the abil-
sources, or the impact otherwise of ity for the sender to confirm receipt of
such action upon the operations of the a message; the ability to send, receive,
manufacturer or service provider; and/or store facsimile messages; and
(3) If applicable, the overall financial possibly other features.
resources of the parent of the covered
entity; the overall size of the business
of the parent of the covered entity with Subpart C—Obligations—What
respect to the number of its employees; Must Covered Entities Do?
the number, type, and location of its
facilities; and § 7.5 General Obligations.
(4) If applicable, the type of oper- (a) Obligation of Manufacturers. (1) A
ation or operations of the covered enti- manufacturer of telecommunications
ty, including the composition, struc- equipment or customer premises equip-
ture and functions of the workforce of ment covered by this part shall ensure
such entity; and the geographic sepa- that the equipment is designed, devel-
rateness, administrative or fiscal rela- oped and fabricated so that the
642
voicemail and interactive menu func- (4) Making reasonable efforts to vali-
tions are accessible to and usable by date any unproven access solutions
individuals with disabilities, if readily through testing with individuals with
achievable; disabilities or with appropriate dis-
(2) Whenever the requirements of ability-related organizations that have
paragraph (a)(1) of this section are not established expertise with individuals
readily achievable, the manufacturer with disabilities.
shall ensure that the equipment is
compatible with existing peripheral de- § 7.9 Information pass through.
vices or specialized customer premises Telecommunications equipment and
equipment commonly used by individ- customer premises equipment shall
uals with disabilities to achieve access, pass through cross-manufacturer, non-
if readily achievable. proprietary, industry-standard codes,
(b) Obligation of Service Providers. translation protocols, formats or other
(1) A provider of voicemail or inter- information necessary to provide tele-
active menu shall ensure that the serv- communications in an accessible for-
ice is accessible to and usable by indi- mat, if readily achievable. In par-
viduals with disabilities, if readily ticular, signal compression tech-
achievable. nologies shall not remove information
(2) Whenever the requirements of needed for access or shall restore it
paragraph (a)(1) of this section are not upon decompression.
readily achievable, the service provider § 7.11 Information, documentation,
shall ensure that the service is compat- and training.
ible with existing peripheral devices or
specialized customer premises equip- (a) Manufacturers and service pro-
ment commonly used by individuals viders shall ensure access to informa-
with disabilities to achieve access, if tion and documentation it provides to
readily achievable. its customers, if readily achievable.
Such information and documentation
§ 7.7 Product design, development, and includes user guides, bills, installation
evaluation. guides for end-user installable devices,
and product support communications,
(a) Manufacturers and service pro- regarding both the product in general
viders shall evaluate the accessibility, and the accessibility features of the
usability, and compatibility of equip- product. Manufacturers shall take such
ment and services covered by this part other readily achievable steps as nec-
and shall incorporate such evaluation essary including:
throughout product design, develop- (1) Providing a description of the ac-
ment, and fabrication, as early and cessibility and compatibility features
consistently as possible. Manufacturers of the product upon request, including,
and service providers shall identify as needed, in alternate formats or al-
barriers to accessibility and usability ternate modes at no additional charge;
as part of such a product design and de- (2) Providing end-user product docu-
velopment process. mentation in alternate formats or al-
(b) In developing such a process, ternate modes upon request at no addi-
manufacturers and service providers tional charge; and
shall consider the following factors, as (3) Ensuring usable customer support
the manufacturer deems appropriate: and technical support in the call cen-
(1) Where market research is under- ters and service centers which support
taken, including individuals with dis- their products at no additional charge.
abilities in target populations of such (b) Manufacturers and service pro-
research; viders shall include in general product
(2) Where product design, testing, information the contact method for ob-
pilot demonstrations, and product taining the information required by
trials are conducted, including individ- paragraph (a) of this section.
uals with disabilities in such activities; (c) In developing, or incorporating
(3) Working cooperatively with ap- existing training programs, manufac-
propriate disability-related organiza- turers and service providers shall con-
tions; and sider the following topics:
643
§ 7.15 47 CFR Ch. I (10–1–02 Edition)
(1) Accessibility requirements of in- and/or the telecommunications service

dividuals with disabilities; about which the complaint is made;
(2) Means of communicating with in- (4) The date or dates on which the
dividuals with disabilities; complainant either purchased, ac-
(3) Commonly used adaptive tech- quired or used, or attempted to pur-
nology used with the manufacturer’s chase, acquire or use the telecommuni-
products; cations equipment, CPE or tele-
(4) Designing for accessibility; and communications service about which
(5) Solutions for accessibility and the complaint is being made;
compatibility. (5) A complete statement of the facts,
including documentation where avail-
Subpart D—Enforcement able, supporting the complainant’s al-
legation that: such telecommuni-
§ 7.15 Generally. cations service, or such telecommuni-
cations equipment or CPE, is not ac-
(a) For purposes of §§ 7.15–7.23 of this cessible to, or usable by, a person with
subpart, the term ‘‘manufacturers’’ a particular disability or persons with
shall denote any manufacturer of tele- disabilities within the meaning of this
communications equipment or cus- subpart and section 255 of the Act; or
tomer premises equipment which per- that the defendant has otherwise failed
forms a voicemail or interactive menu to comply with the requirements of
function. this subpart.
(b) All manufacturers of tele- (6) The specific relief or satisfaction
communications equipment or cus- sought by the complainant, and
tomer premise equipment (CPE) and all (7) The complainant’s preferred for-
providers of voicemail and interactive mat or method of response to the com-
menu services, as defined under this plaint by the Commission and defend-
subpart, are subject to the enforcement ant (e.g., letter, facsimile transmission,
provisions specified in the Act and the telephone (voice/TRS/TTY), Internet e-
Commission’s rules. mail, ASCII text, audio-cassette re-
(c) The term ‘‘providers’’ shall denote cording, braille; or some other method
any provider of voicemail or inter- that will best accommodate the com-
active menu service. plainant’s disability).
§ 7.16 Informal or formal complaints. § 7.18 Procedure; designation of agents
Complaints against manufacturers or for service.
providers, as defined under this sub- (a) The Commission shall promptly
part, for alleged violations of this sub- forward any informal complaint meet-
part may be either informal or formal. ing the requirements of § 7.17 to each
manufacturer and provider named in or
§ 7.17 Informal complaints; form and determined by the staff to be impli-
content.
cated by the complaint. Such manufac-
(a) An informal complaint alleging a turer(s) or provider(s) shall be called
violation of section 255 of the Act or on to satisfy or answer the complaint
this subpart may be transmitted to the within the time specified by the Com-
Commission by any reasonable means, mission.
e.g., letter, facsimile transmission, (b) To ensure prompt and effective
telephone (voice/TRS/TTY), Internet e- service of informal and formal com-
mail, ASCII text, Internet e-mail, plaints filed under this subpart, every
audio-cassette recording, and braille. manufacturer and provider subject to
(b) An informal complaint shall in- the requirements of section 255 of the
clude: Act and this subpart, shall designate
(1) The name and address of the com- an agent, and may designate additional
plainant; agents if it so chooses, upon whom
(2) The name and address of the man- service may be made of all notices, in-
ufacturer or provider against whom the quiries, orders, decisions, and other
complaint is made; pronouncements of the Commission in
(3) A full description of the tele- any matter before the Commission.
communications equipment or CPE Such designation shall include, for
644
both the manufacturer or the provider, thereto, that no further action is re-
a name or department designation, quired by the Commission with respect
business address, telephone number, to the allegations contained in the in-
and, if available TTY number, fac- formal complaint, the informal com-
simile number, and Internet e-mail ad- plaint shall be closed and the com-
dress. plainant and defendant shall be duly
informed of the reasons therefor. A
§ 7.19 Answers to informal complaints. complainant unsatisfied with the de-
Any manufacturer or provider to fendant’s response to the informal
whom an informal complaint is di- complaint and the staff decision to ter-
rected by the Commission under this minate action on the informal com-
subpart shall file an answer within the plaint may file a formal complaint
time specified by the Commission. The with the Commission, as specified in
answer shall: § 7.22 of this subpart.
(a) Be prepared or formatted in the (c) In the event the Commission de-
manner requested by the complainant termines, based on a review of the in-
pursuant to § 7.17, unless otherwise per- formation presented in the informal
mitted by the Commission for good complaint and the defendant’s answer
cause shown; thereto, that a material and substan-
(b) Describe any actions that the de- tial question remains as to the defend-
fendant has taken or proposes to take ant’s compliance with the require-
to satisfy the complaint; ments of this subpart, the Commission
(c) Advise the complainant and the may conduct such further investiga-
Commission of the nature of the de- tion or such further proceedings as
fense(s) claimed by the defendant; may be necessary to determine the de-
(d) Respond specifically to all mate- fendant’s compliance with the require-
rial allegations of the complaint; and ments of this subpart and to determine
(e) Provide any other information or what, if any, remedial actions and/or
materials specified by the Commission sanctions are warranted.
as relevant to its consideration of the (d) In the event that the Commission
complaint. determines, based on a review of the in-
formation presented in the informal
§ 7.20 Review and disposition of infor- complaint and the defendant’s answer
mal complaints. thereto, that the defendant has failed
(a) Where it appears from the defend- to comply with or is presently not in
ant’s answer, or from other commu- compliance with the requirements of
nications with the parties, that an in- this subpart, the Commission may
formal complaint has been satisfied, order or prescribe such remedial ac-
the Commission may, in its discretion, tions and/or sanctions as are author-
consider the informal complaint ized under the Act and the Commis-
closed, without response to the com- sion’s rules and which are deemed by
plainant or defendant. In all other the Commission to be appropriate
cases, the Commission shall inform the under the facts and circumstances of
parties of its review and disposition of the case.
a complaint filed under this subpart.
Where practicable, this information, § 7.21 Formal complaints, applicability
the nature of which is specified in para- of §§ 1.720 through 1.736 of this
graphs (b) through (d) of this section, chapter.
shall be transmitted to the complain- Formal complaints against a manu-
ant and defendant in the manner re- facturer or provider, as defined under
quested by the complainant, (e.g., let- this subpart, may be filed in the form
ter, facsimile transmission, telephone and in the manner prescribed under
(voice/TRS/TTY), Internet e-mail, §§ 1.720 through 1.736 of this chapter.
ASCII text, audio-cassette recording, Commission staff may grant waivers
or braille). of, or exceptions to, particular require-
(b) In the event the Commission de- ments under §§ 1.720 through 1.736 for
termines, based on a review of the in- good cause shown; provided, however,
formation provided in the informal that such waiver authority may not be
complaint and the defendant’s answer exercised in a manner that relieves, or
645
§ 7.22 47 CFR Ch. I (10–1–02 Edition)
has the effect of relieving, a complain- 11.32 EAS Encoder.

ant of the obligation under §§ 1.720 and 11.33 EAS Decoder.
1.728 of this chapter to allege facts 11.34 Acceptability of the equipment.
which, if true, are sufficient to con- 11.35 Equipment operational readiness.
stitute a violation or violations of sec-
tion 255 of the Act or this chapter. Subpart C—Organization
11.41 Participation in EAS.
§ 7.22 Formal complaints based on
11.42 Participation by communications
unsatisfied informal complaints.
common carriers.
A formal complaint filing based on 11.43 National level participation.
an unsatisfied informal complaint filed 11.44 EAS message priorities.
pursuant to § 4.16 of this chapter shall 11.45 Prohibition of false or deceptive EAS
be deemed to relate back to the filing transmissions.
date of the informal complaint if it is 11.46 EAS public service announcements.
filed within ninety days from the date 11.47 Optional use of other communications
that the Commission notifies the com- methods and systems.
plainant of its disposition of the infor-
mal complaint and based on the same Subpart D—Emergency Operations
operative facts as those alleged in the 11.51 EAS code and Attention Signal Trans-
informal complaint. mission requirements.
11.52 EAS code and Attention Signal Moni-
§ 7.23 Actions by the Commission on toring requirements.
its own motion. 11.53 Dissemination of Emergency Action
The Commission may on its own mo- Notification.
tion conduct such inquiries and hold 11.54 EAS operation during a National
such proceedings as it may deem nec- Level emergency.
essary to enforce the requirements of 11.55 EAS operation during a State or Local
Area emergency.
this part and Section 255 of the Com-
munications Act. The procedures to be Subpart E—Tests
followed by the Commission shall, un-
less specifically prescribed in the Act 11.61 Tests of EAS procedures.
and the Commission’s rules, be such as AUTHORITY: 47 U.S.C. 151, 154 (i) and (o),
in the opinion of the Commission will 303(r), 544(g) and 606.
best serve the purposes of such inquir-
ies and proceedings. SOURCE: 59 FR 67092, Dec. 28, 1994, unless
otherwise noted.
PART 11—EMERGENCY ALERT

SYSTEM (EAS) Subpart A—General
§ 11.1 Purpose.
Subpart A—General
This part contains rules and regula-
Sec. tions providing for an Emergency Alert
11.1 Purpose.
System (EAS). The EAS provides the
11.11 The Emergency Alert System (EAS).
11.12 Two-tone Attention Signal encoder President with the capability to pro-
and decoder. vide immediate communications and
11.13 Emergency Action Notification (EAN) information to the general public at
and Emergency Action Termination the National, State and Local Area lev-
(EAT). els during periods of national emer-
11.14 Primary Entry Point (PEP) System. gency. The rules in this part describe
11.15 EAS Operating Handbook.
the required technical standards and
11.16 National Control Point Procedures.
11.18 EAS Designations. operational procedures of the EAS for
11.19 EAS Non-participating National Au- AM, FM and TV broadcast stations,
thorization Letter. cable systems and other participating
11.20 State Relay Network. entities. The EAS may be used to pro-
11.21 State and Local Area Plans and FCC vide the heads of State and local gov-
Mapbook. ernment, or their designated represent-
atives, with a means of emergency
Subpart B—Equipment Requirements
communication with the public in their
11.31 EAS protocol. State or Local Area.
646
§ 11.11 The Emergency Alert System Multipoint Distribution Service

(EAS). (MMDS), or Instructional Television
Fixed Service (ITFS) stations; and
(a) The EAS is composed of broadcast
other entities and industries operating
networks; cable networks and program
on an organized basis during emer-
suppliers; AM, FM Low Power FM gencies at the National, State and
(LPFM) and TV broadcast stations; local levels. It requires that at a min-
Class A television (CA) stations; Low imum all participants use a common
Power TV (LPTV) stations; cable sys- EAS protocol, as defined in § 11.31, to
tems; wireless cable systems which send and receive emergency alerts in
may consist of Multipoint Distribution accordance with the effective dates in
Service (MDS), Multichannel the following tables:
BROADCAST STATIONS
FM Class Class A
EAS Equipment requirement AM & FM TV LPTV 1 LPFM 2
D TV
Two-tone encoder 3 4 ......................................... Y Y N N N Y

EAS decoder ..................................................... Y 1/1/97 Y 1/1/97 Y 1/1/97 Y 1/1/97 Y Y
EAS encoder ..................................................... Y 1/1/97 Y 1/1/97 N N N Y
Audio message ................................................. Y 1/1/97 Y 1/1/97 Y 1/1/97 Y 1/1/97 Y Y
Video message ................................................. N/A Y 1/1/97 N/A Y 1/1/97 N/A Y
1 LPTV stations that operate as television broadcast translator stations are exempt from the requirement to have EAS equip-
ment.
2 LPFM stations must install a decoder within one year after the FCC publishes in the Federal Register a public notice indi-
cating that at least one decoder has been certified by the FCC.
3 Effective July 1, 1995, the two-tone signal must be 8–25 seconds.
4 Effective January 1, 1998, the two-tone signal may only be used to provide audio alerts to audiences before EAS emergency
messages and the required monthly tests.
CABLE SYSTEMS
[A. Cable systems serving fewer than 5,000 subscribers from a headend must either provide the National level EAS message on
all programmed channels—including the required testing—by October 1, 2002, or comply with the following EAS requirements.
All other cable systems must comply with B.]
System size and effective dates
B. EAS Equipment Requirement ≥5,000 but <

≥10,000 sub- <5,000 sub-
10,000 sub-
scribers scribers
scribers
Two-tone signal from storage device 1 ............................................ Y 12/31/98 Y 10/1/02 Y 10/1/02

EAS decoder 3 ................................................................................. Y 12/31/98 Y 10/1/02 Y 10/1/02
EAS encoder 2 ................................................................................. Y 12/31/98 Y 10/1/02 Y 10/1/02
Audio and Video EAS Message on all channels ............................ Y 12/31/98 Y 10/1/02 N
Video interrupt and audio alert message on all channels,3 Audio N N Y 10/1/02
and Video EAS message on at least one channel.
1 Two-tone signal is only used to provide an audio alert to audience before EAS emergency messages and required monthly
test. The two-tone signal must be 8–25 seconds in duration.
2 Cable systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC-certified
decoder.
3 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency mes-
sage. The audio alert must give the channel where the EAS messages are carried and be repeated for the duration of the EAS
message.
Note: Programmed channels do not include channels used for the transmission of data such as interactive games.
WIRELESS CABLE SYSTEMS (MDS/MMS/ITFS STATIONS)

[A. Wireless cable systems serving fewer than 5,000 subscribers from a single transmission site must either provide the National
level EAS message on all programmed channels—including the required testing—by October 1, 2002, or comply with the fol-
lowing EAS requirements. All other wireless cable systems must comply with B.]
System size and effective dates

B. EAS Equipment Requirement ≥ 5,000 sub- <
scribers 5,000subscribers
EAS decoder ..................................................................................................................... Y 10/1/02 Y 10/1/02

EAS encoder 1 2 ................................................................................................................. Y 10/1/02 Y 10/1/02
Audio and Video EAS Message on all channels .............................................................. Y 10/1/02 N
Video interrupt and audio alert message on all channels; 3 Audio and Video EAS mes- N Y 10/1/02
sage on at least one channel.
1 Two-tone signal is only used to provide an audio alert to audience before EAS emergency messages and required monthly
test. The two-tone signal must be 8–25 seconds in duration.
647
§ 11.12 47 CFR Ch. I (10–1–02 Edition)
2 Wireless cable systems serving <5,000 subscribers are permitted to operate without an EAS encoder if they install an FCC-
certified decoder.
3 The Video interrupt must cause all channels that carry programming to flash for the duration of the EAS emergency mes-
sage. The audio alert must give the channel where the EAS messages are carried and be repeated for the duration of the EAS
message.
Note: Programmed channels do not include channels used for the transmission of data services such as Internet.
(b) Class D non-commercial edu- system for transmission of program-

cational FM stations as defined in ming to subscribers.
§ 73.506, LPFM stations as defined in (d) Local franchise authorities and
§§ 73.811 and 73.853, and LPTV stations cable television system operators may
as defined in § 74.701(f) are not required enter into mutual agreements that re-
to comply with § 11.32. LPTV stations quire the installation of EAS equip-
that operate as television broadcast ment before the required dates listed in
translator stations, as defined in the tables in paragraph (a). Addition-
§ 74.701(b) of this chapter, are not re- ally, local franchise authorities may
quired to comply with the require- use any EAS codes authorized by the
ments of this part. FM broadcast
FCC in any agreements.
booster stations as defined in § 74.1201(f)
of this chapter and FM translator sta- (e) Organizations using other commu-
tions as defined in § 74.1201(a) of this nications systems or technologies such
chapter which entirely rebroadcast the as, Direct Broadcast Satellite (DBS),
programming of other local FM broad- low earth orbit satellite systems, pag-
cast stations are not required to coming, computer networks, etc. may join
ply with the requirements of this part. the EAS on a voluntary basis by con-
International broadcast stations as de- tacting the FCC. Organizations that
fined in § 73.701 of this chapter are not choose to voluntarily participate must
required to comply with the require- comply with the requirements of this
ments of this part. Broadcast stations part.
that operate as satellites or repeaters
of a hub station (or common studio or FR 7639, Feb. 15, 2000; 65 FR 21657, Apr. 24,
control point if there is no hub station) 2000; 65 FR 30001, May 10, 2000; 65 FR 34406,
and rebroadcast 100% of the program- May 30, 2000; 67 FR 18506, Apr. 16, 2002]
ming of the hub station (or common
studio or control point) may satisfy § 11.12 Two-tone Attention Signal
the requirements of this part through encoder and decoder.
the use of a single set of EAS equip-
Existing two-tone Attention Signal
ment at the hub station (or common
studio or control point) which complies encoder and decoder equipment type
with §§ 11.32 and 11.33. accepted for use as Emergency Broad-
(c) For purposes of the EAS, cast System equipment under part 73 of
Multipoint Distribution Service (MDS) this chapter may be used by broadcast
and Multichannel Multipoint Distribu- stations until January 1, 1998, provided
tion Service (MMDS) stations operated that such equipment meets the require-
in accordance with subpart K of part 21 ments of § 11.32(a)(9) and 11.33(b). Effec-
of this chapter and Instructional Tele- tive January 1, 1998, the two-tone At-
vision Fixed Service (ITFS) stations tention Signal decoder will no longer
operated as part of wireless cable sys- be required and the two-tone Attention
tems in accordance with subpart I of Signal will be used to provide an audio
part 74 of this chapter are defined as alert.
follows:
[60 FR 55999, Nov. 6, 1995]
(1) A ‘‘wireless cable system’’ is a col-
lection of channels in the MDS, MMDS,
§ 11.13 Emergency Action Notification
or ITFS used to provide video program- (EAN) and Emergency Action Ter-
ming services to subscribers. The chan- mination (EAT).
nels may be licensed to or leased by the
wireless cable system operator. (a) The Emergency Action Notifica-
(2) A ‘‘wireless cable operator’’ is the tion (EAN) is the notice to all broad-
entity that has acquired the right to cast stations, cable systems and wire-
use the channels of a wireless cable less cable systems, other regulated
648
services of the FCC, participating in- (c) National Information Center (NIC).
dustry entities, and to the general pub- This section contains instructions for
lic that the EAS has been activated for distributing United States Government
a national emergency. official information messages after
(b) The Emergency Action Termi- completion of the National Level EAS
nation (EAT) is the notice to all broad- activation and termination actions.
cast stations, cable systems and wire- [59 FR 67092, Dec. 28, 1994, as amended at 67
less cable systems, other regulated FR 18508, Apr. 16, 2002]
services of the FCC, participating in-
dustry entities, and to the general pub- § 11.18 EAS Designations.
lic that the EAN has terminated. (a) National Primary (NP) is a source
[63 FR 29663, June 1, 1998] of EAS Presidential messages.
(b) Local Primary (LP) is a source of
§ 11.14 Primary Entry Point (PEP) Sys- EAS Local Area messages. An LP
tem. source is responsible for coordinating
The PEP system is a nationwide net- the carriage of common emergency
work of broadcast stations and other messages from sources such as the Na-
entities connected with government tional Weather Service or local emer-
activation points. It is used to dis- gency management offices as specified
in its EAS Local Area Plan. If it is un-
tribute the EAN, EAT and EAS na-
able to carry out this function, other
tional test messages, and other EAS
LP sources in the Local Area may be
messages.
assigned the responsibility as indicated
[67 FR 18507, Apr. 16, 2002] in State and Local Area Plans. LP
sources are assigned numbers (LP–1, 2,
§ 11.15 EAS Operating Handbook. 3, etc.) in the sequence they are to be
The EAS Operating Handbook states monitored by other broadcast stations
in summary form the actions to be in the Local Area.
taken by personnel at broadcast sta- (c) State Primary (SP) is a source of
tions, cable systems and wireless cable EAS State messages. These messages
systems, and other participating enti- can originate from the Governor or a
ties upon receipt of an EAN, an EAT, designated representative in the State
tests, or State and Local Area alerts. It Emergency Operating Center (EOC) or
is issued by the FCC and contains in- State Capital. Messages are sent via
structions for the above situations. A the State Relay Network.
copy of the Handbook must be located (d) State Relay (SR) is a source of
at normal duty positions or EAS equip- EAS State messages. It is part of the
ment locations when an operator is re- State Relay Network and relays Na-
quired to be on duty and be imme- tional and State common emergency
diately available to staff responsible messages into Local Areas.
for authenticating messages and initi- (e) Participating National (PN)
ating actions. sources transmit EAS National, State
or Local Area messages. The EAS
[63 FR 29663, June 1, 1998] transmissions of PN sources are in-
tended for direct public reception.
§ 11.16 National Control Point Proce- (f) Non-participating National (NN)
dures.
sources have elected not to participate
The National Control Point Proce- in the National level EAS and hold an
dures are written instructions issued authorization letter to that effect.
by the FCC to national level EAS con- Upon activation of the national level
trol points. The procedures are divided EAS, NN sources are required to broad-
into sections as follows: cast the EAS codes, Attention Signal,
(a) National Level EAS Activation. This the sign-off announcement in the EAS
section contains the activation and Operating Handbook and then stop op-
termination instructions for Presi- erating. All NN sources are required to
dential messages. comply with § 11.51, 11.52 and 11.61.
(b) EAS Test Transmissions. This sec- They may transmit EAS State or Local
tion contains the instructions for test- Area messages at any time without
ing the EAS at the National level. prior notice.
649
§ 11.19 47 CFR Ch. I (10–1–02 Edition)
§ 11.19 EAS Non-participating National tion to the public during a State emer-
Authorization Letter. gency using the EAS.
This authorization letter is issued by (b) The Local Area plan contains pro-
the FCC to broadcast station licensees cedures for local officials or the NWS
and cable systems and wireless cable to transmit emergency information to
systems. It states that the licensee, the public during a local emergency
cable operator or wireless cable oper- using the EAS. Local plans may be a
part of the State plan. A Local Area is
ator has agreed to go off the air or in
a geographical area of contiguous com-
the case of cable discontinue program-
munities or counties that may include
ming on all channels during a national
more than one state.
level EAS message. For Broadcast li-
(c) The FCC Mapbook is based on the
censees this authorization will remain
above plans. It organizes all broadcast
in effect through the period of the ini-
stations and cable systems according
tial license and subsequent renewals
to their State, EAS Local Area and
from the time of issuance unless re-
EAS designation.
turned by the holder or suspended,
modified or withdrawn by the Commis- [59 FR 67092, Dec. 28, 1994, as amended at 60
sion. FR 55999, Nov. 6, 1995; 63 FR 29663, June 1,
1998; 65 FR 21658, Apr. 24, 2000]
[63 FR 29663, June 1, 1998]
§ 11.20 State Relay Network. Subpart B—Equipment

Requirements
This network is composed of State
Relay (SR) sources, leased common § 11.31 EAS protocol.
carrier communications facilities or (a) The EAS uses a four part message
any other available communication fa- for an emergency activation of the
cilities. The network distributes State EAS. The four parts are: Preamble and
EAS messages originated by the Gov- EAS Header Codes; audio Attention
ernor or designated official. In addition Signal; message; and, Preamble and
to EAS monitoring, satellites, micro- EAS End Of Message (EOM) Codes.
wave, FM subcarrier or any other com- (1) The Preamble and EAS Codes
munications technology may be used must use Audio Frequency Shift Key-
to distribute State emergency mes- ing at a rate of 520.83 bits per second to
sages. transmit the codes. Mark frequency is
2083.3 Hz and space frequency is 1562.5
§ 11.21 State and Local Area Plans and
FCC Mapbook. Hz. Mark and space time must be 1.92
milliseconds. Characters are ASCII
EAS plans contain guidelines which seven bit characters as defined in ANSI
must be followed by broadcast and X3.4–1977 ending with an eighth null bit
cable personnel, emergency officials (either 0 or 1) to constitute a full eight-
and National Weather Service (NWS) bit byte.
personnel to activate the EAS. The (2) The Attention Signal must be
plans include the EAS header codes and made up of the fundamental fre-
messages that will be transmitted by quencies of 853 and 960 Hz. The two
key EAS sources (NP, LP, SP and SR). tones must be transmitted simulta-
State and local plans contain unique neously. The Attention Signal must be
methods of EAS message distribution transmitted after the EAS header
such as the use of RBDS. The plans codes.
must be reviewed and approved by the (3) The message may be audio, video
Chief, Technical and Public Safety Di- or text.
vision, Enforcement Bureau, prior to (b) The ASCII dash and plus symbols
implementation to ensure that they are required and may not be used for
are consistent with national plans, any other purpose. FM or TV call signs
FCC regulations, and EAS operation. must use a slash ASCII character num-
(a) The State plan contains proce- ber 47 (/) in lieu of a dash.
dures for State emergency manage- (c) The EAS protocol, including any
ment and other State officials, the codes, must not be amended, extended
NWS, and broadcast and cable per- or abridged without FCC authorization.
sonnel to transmit emergency informa- The EAS protocol and message format
650
are specified in the following represen- tute of Standards and Technology pub-
tation. lication FIPS PUB 6–4. Each state is
Examples are provided in FCC Public assigned an SS number as specified in
Notices. paragraph (f) of this section. Each
county and some cities are assigned a
[PREAMBLE]ZCZC-ORG-EEE-
PSSCCC+TTTT-JJJHHMM-LLLLLLLL- CCC number. A CCC number of 000 re-
(one second pause) fers to an entire State or Territory. P
[PREAMBLE]ZCZC-ORG-EEE- defines county subdivisions as follows:
PSSCCC+TTTT-JJJHHMM-LLLLLLLL- 0 = all or an unspecified portion of a
(one second pause) county, 1 = Northwest, 2 = North, 3 =
[PREAMBLE]ZCZC-ORG-EEE- Northeast, 4 = West, 5 = Central, 6 =
PSSCCC+TTTT-JJJHHMM-LLLLLLLL-(at East, 7 = Southwest, 8 = South, 9 =
least a one second pause)
(transmission of 8 to 25 seconds of Attention Southeast. Other numbers may be des-
Signal) ignated later for special applications.
(transmission of audio, video or text mes- The use of county subdivisions will
sages) probably be rare and generally for
(at least a one second pause) oddly shaped or unusually large coun-
[PREAMBLE]NNNN (one second pause) ties. Any subdivisions must be defined
[PREAMBLE]NNNN (one second pause)
and agreed to by the local officials
[PREAMBLE]NNNN (at least one second
pause) prior to use.
+TTTT—This indicates the valid
[PREAMBLE] This is a consecutive time period of a message in 15 minute
string of bits (sixteen bytes of AB segments up to one hour and then in 30
hexadecimal [8 bit byte 10101011]) sent minute segments beyond one hour; i.e.,
to clear the system, set AGC and set +0015, +0030, +0045, +0100, +0430 and
asynchronous decoder clocking cycles. +0600.
The preamble must be transmitted be- JJJHHMM—This is the day in Julian
fore each header and End Of Message Calendar days (JJJ) of the year and the
code. time in hours and minutes (HHMM)
ZCZC—This is the identifier, sent as
when the message was initially re-
ASCII characters ZCZC to indicate the
leased by the originator using 24 hour
start of ASCII code.
Universal Coordinated Time (UTC).
ORG—This is the Originator code and
LLLLLLLL—This is the identifica-
indicates who originally initiated the
activation of the EAS. These codes are tion of the broadcast station, cable sys-
specified in paragraph (d) of this sec- tem, MDS/MMDS/ITFS station, NWS
tion. office, etc., transmitting or retransmit-
EEE—This is the Event code and in- ting the message. These codes will be
dicates the nature of the EAS activa- automatically affixed to all outgoing
tion. The codes are specified in para- messages by the EAS encoder.
graph (e) of this section. The Event NNNN—This is the End of Message
codes must be compatible with the (EOM) code sent as a string of four
codes used by the NWS Weather Radio ASCII N characters.
Specific Area Message Encoder (d) The only originator codes are:
(WRSAME). ORG
PSSCCC—This the Location code and Originator Code
indicates the geographic area affected
Broadcast station or cable system ............................ EAS
by the EAS alert. There may be 31 Lo- Civil authorities .......................................................... CIV
cation codes in an EAS alert. The Lo- National Weather Service .......................................... WXR
cation code uses the Federal Informa- Primary Entry Point System ...................................... PEP
tion Processing Standard (FIPS) num-
bers as described by the U.S. Depart- (e) The following Event (EEE) codes
ment of Commerce in National Insti- are presently authorized:
Nature of Activation Event Codes
National Codes (Required):

Emergency Action Notification (National only) ............................................................................................................ EAN
Emergency Action Termination (National only) ........................................................................................................... EAT
National Information Center ......................................................................................................................................... NIC
National Periodic Test ................................................................................................................................................. NPT
651
§ 11.31 47 CFR Ch. I (10–1–02 Edition)
Nature of Activation Event Codes
Required Monthly Test ................................................................................................................................................ RMT

Required Weekly Test ................................................................................................................................................. RWT
State and Local Codes (Optional):
Administrative Message ............................................................................................................................................... ADR
Avalanche Warning ...................................................................................................................................................... AVW1
Avalanche Watch ......................................................................................................................................................... AVA1
Blizzard Warning .......................................................................................................................................................... BZW
Child Abduction Emergency ........................................................................................................................................ CAE1
Civil Danger Warning ................................................................................................................................................... CDW1
Civil Emergency Message ........................................................................................................................................... CEM
Coastal Flood Warning ................................................................................................................................................ CFW1
Coastal Flood Watch ................................................................................................................................................... CFA1
Dust Storm Warning .................................................................................................................................................... DSW1
Earthquake Warning .................................................................................................................................................... EQW1
Evacuation Immediate ................................................................................................................................................. EVI
Fire Warning ................................................................................................................................................................ FRW1
Flash Flood Warning ................................................................................................................................................... FFW
Flash Flood Watch ....................................................................................................................................................... FFA
Flash Flood Statement ................................................................................................................................................ FFS
Flood Warning ............................................................................................................................................................. FLW
Flood Watch ................................................................................................................................................................. FLA
Flood Statement .......................................................................................................................................................... FLS
Hazardous Materials Warning ..................................................................................................................................... HMW1
High Wind Warning ...................................................................................................................................................... HWW
High Wind Watch ......................................................................................................................................................... HWA
Hurricane Warning ....................................................................................................................................................... HUW
Hurricane Watch .......................................................................................................................................................... HUA
Hurricane Statement .................................................................................................................................................... HLS
Law Enforcement Warning .......................................................................................................................................... LEW1
Local Area Emergency ................................................................................................................................................ LAE1
Network Message Notification ..................................................................................................................................... NMN1
911 Telephone Outage Emergency ............................................................................................................................ TOE1
Nuclear Power Plant Warning ..................................................................................................................................... NUW1
Practice/Demo Warning ............................................................................................................................................... DMO
Radiological Hazard Warning ...................................................................................................................................... RHW1
Severe Thunderstorm Warning ................................................................................................................................... SVR
Severe Thunderstorm Watch ....................................................................................................................................... SVA
Severe Weather Statement ......................................................................................................................................... SVS
Shelter in Place Warning ............................................................................................................................................. SPW1
Special Marine Warning .............................................................................................................................................. SMW1
Special Weather Statement ......................................................................................................................................... SPS
Tornado Warning ......................................................................................................................................................... TOR
Tornado Watch ............................................................................................................................................................ TOA
Tropical Storm Warning ............................................................................................................................................... TRW1
Tropical Storm Watch .................................................................................................................................................. TRA1
Tsunami Warning ......................................................................................................................................................... TSW
Tsunami Watch ............................................................................................................................................................ TSA
Volcano Warning ......................................................................................................................................................... VOW1
Winter Storm Warning ................................................................................................................................................. WSW
Winter Storm Watch .................................................................................................................................................... WSA
1 Effective May 16, 2002, broadcast stations, cable systems and wireless cable systems may upgrade their existing EAS
equipment to add these event codes on a voluntary basis until the equipment is replaced. All models of EAS equipment manu-
factured after August 1, 2003 must be capable of receiving and transmitting these event codes. Broadcast stations, cable sys-
tems and wireless cable systems which replace their EAS equipment after February 1, 2004 must install equipment that is capa-
ble of receiving and transmitting these event codes.
(f) The State, Territory and Offshore (CCC) are contained in the State EAS
(Marine Area) FIPS number codes (SS) Mapbook.
are as follows. County FIPS numbers
Offshore (Marine Areas)1 FIPS#
Eastern North Pacific Ocean, and along U.S. West Coast from Canadian border to Mexican border ....................... 57
North Pacific Ocean near Alaska, and along Alaska coastline, including the Bering Sea and the Gulf of Alaska ..... 58
Central Pacific Ocean, including Hawaiian waters ....................................................................................................... 59
South Central Pacific Ocean, including American Samoa waters ................................................................................ 61
Western Pacific Ocean, including Mariana Island waters ............................................................................................ 65
Western North Atlantic Ocean, and along U.S. East Coast, from Canadian border south to Currituck Beach Light,
N.C. ............................................................................................................................................................................ 73
Western North Atlantic Ocean, and along U.S. East Coast, south of Currituck Beach Light, N.C., following the
coastline into Gulf of Mexico to Bonita Beach, FL., including the Caribbean .......................................................... 75
652
Offshore (Marine Areas)1 FIPS#
Gulf of Mexico, and along the U.S. Gulf Coast from the Mexican border to Bonita Beach, FL. ................................. 77
Lake Superior ................................................................................................................................................................ 91
Lake Michigan ............................................................................................................................................................... 92
Lake Huron .................................................................................................................................................................... 93
Lake St. Clair ................................................................................................................................................................. 94
Lake Erie ....................................................................................................................................................................... 96
Lake Ontario .................................................................................................................................................................. 97
St. Lawrence River above St. Regis ............................................................................................................................. 98
1 Effective May 16, 2002, broadcast stations, cable systems and wireless cable systems may upgrade their existing EAS
equipment to add these marine area location codes on a voluntary basis until the equipment is replaced. All models of EAS
equipment manufactured after August 1, 2003 must be capable of receiving and transmitting these marine area location codes.
Broadcast stations, cable systems and wireless cable systems which replace their EAS equipment after February 1, 2004 must
install equipment that is capable of receiving and transmitting these location codes.
[59 FR 67092, Dec. 28, 1994, as amended at 60 be attenuated by 40 dB or more with re-
FR 55999, Nov. 6, 1995; 61 FR 54952, Oct. 23, spect to the output levels of the mark
1996; 63 FR 29663, June 1, 1998; 67 FR 18508,
or space frequencies.
Apr. 16, 2002]
(9) Attention Signal generator. The
§ 11.32 EAS Encoder. encoder must provide an attention sig-
(a) EAS Encoders must at a min- nal that complies with the following:
imum be capable of encoding the EAS (i) Tone Frequencies. The audio tones
protocol described in § 11.31 and pro- shall have fundamental frequencies of
viding the EAS code transmission re- 853 and 960 Hz and not vary over ±0.5
quirements described in § 11.51. EAS Hz.
encoders must additionally provide the (ii) Harmonic Distortion. The total
following minimum specifications: harmonic distortion of each of the
(1) Encoder programming. Access to audio tones may not exceed 5% at the
encoder programming shall be pro- encoder output terminals.
tected by a lock or other security (iii) Minimum Level of Output. The
measures and be configured so that au- encoder shall have an output level ca-
thorized personnel can readily select pability of at least +8 dBm into a 600
and program the EAS Encoder with Ohm load impedance at each audio
Originator, Event and Location codes tone. A means shall be provided to per-
for either manual or automatic oper- mit individual activation of the two
ation. tones for calibration of associated sys-
(2) Inputs. The encoder shall have two tems.
inputs, one for audio messages and one (iv) Time Period for Transmission of
for data messages (RS–232C with stand- Tones. The encoder shall have timing
ard protocol and 1200 baud rate). circuitry that automatically generates
(3) Outputs. The encoder shall have
the two tones simultaneously for a
two outputs, one audio port and one
time period of not less than 8 nor
data port (RS–232C with standard pro-
longer than 25 seconds. NOTE: Prior to
tocol and 1200 baud rate).
July 1, 1995, the Attention Signal must
(4) Calibration. EAS Encoders must
be at least 20 and not more than 25 sec-
provide a means to comply with the
onds.
modulation levels required in § 11.51(f).
(5) Day-Hour-Minute and Identifica- (v) Inadvertent activation. The switch
tion Stamps. The encoder shall affix used for initiating the automatic gen-
the JJJHHMM and LLLLLLLL codes eration of the simultaneous tones shall
automatically to all initial messages. be protected to prevent accidental op-
(6) Program Data Retention. Program eration.
data and codes shall be retained even (vi) Indicator Display. The encoder
with the power removed. shall be provided with a visual and/or
(7) Indicator. An aural or visible aural indicator which clearly shows
means that it activated when the Pre- that the Attention Signal is activated.
amble is sent and deactivated at the (b) Operating Temperature and Humid-
End of Message code. ity. Encoders shall have the ability to
(8) Spurious Response. All frequency operate with the above specifications
components outside 200 to 4000 Hz shall within an ambient temperature range
653
§ 11.33 47 CFR Ch. I (10–1–02 Edition)
of 0 to +50 degrees C and a range of rel- ally transmitted must be stored for
ative humidity of up to 95%. comparison with later incoming header
(c) Primary Supply Voltage Variation. codes. The header codes of the last ten
Encoders shall be capable of complying received valid messages which still
with the requirements of this section have valid time periods must be stored
during a variation in primary supply for comparison with the incoming valid
voltage of 85 percent to 115 percent of header codes for later messages. These
its rated value. last received header codes will be de-
(d) Testing Encoder Units. Encoders leted from storage as their valid time
not covered by § 11.34(e) of this part periods expire.
shall be tested in a 10 V/m minimum (4) Display and logging. A visual mes-
RF field at an AM broadcast frequency sage shall be developed from any valid
and a 0.5 V/m minimum RF field at an header codes for tests and national ac-
FM or TV broadcast frequency to simu- tivations and any preselected header
late actual working conditions. codes received. The message shall in-
clude the Originator, Event, Location,
§ 11.33 EAS Decoder. the valid time period of the message
(a) An EAS Decoder must at a min- and the local time the message was
imum be capable of decoding the EAS transmitted. The message shall be in
protocol described in § 11.31, provide the the primary language of the broadcast
EAS monitoring functions described in station or cable system and be fully
§ 11.52, and the following minimum displayed on the decoder and readable
specifications: in normal light and darkness. All exist-
(1) Inputs. Decoders must have the ing and new models of EAS decoders
capability to receive at least 2 audio manufactured after August 1, 2003 must
inputs from EAS monitoring assign- provide a means to permit the selective
ments, and one data input (RS–232C display and logging of EAS messages
with standard protocol and 1200 baud containing header codes for state and
rate). The data input may be used to local EAS events. Effective May 16,
monitor other communications modes 2002, broadcast stations, cable systems
such as Radio Broadcast Data System and wireless cable systems may up-
(RBDS), NWR, satellite, public grade their decoders on an optional
switched telephone network, or any basis to include a selective display and
other source that uses the EAS pro- logging capability for EAS messages
tocol. containing header codes for state and
(2) Valid codes. There must be a local events. Broadcast stations, cable
means to determine if valid EAS head- systems and wireless cable systems
er codes are received and to determine which replace their decoders after Feb-
if preselected header codes are re- ruary 1, 2004 must install decoders that
ceived. provide a means to permit the selective
(3) Storage. Decoders must provide display and logging of EAS messages
the means to: containing header codes for state and
(i) Record and store, either internally local EAS events.
or externally, at least two minutes of (5) Indicators. EAS decoders must
audio or text messages. A decoder man- have a distinct and separate aural or
ufactured without an internal means to visible means to indicate when any of
record and store audio or text must be the following conditions occurs:
equipped with a means (such as an (i) Any valid EAS header codes are
audio or digital jack connection) to received as specified in § 11.33(a)(10).
couple to an external recording and (ii) Preprogrammed header codes,
storing device. such as those selected in accordance
(ii) Store at least ten preselected with § 11.52(d)(2) are received.
event and originator header codes, in (iii) A signal is present at each audio
addition to the seven mandatory event/ input that is specified in § 11.33(a)(1).
originator codes for tests and national (6) Program Data Retention. The pro-
activations, and store any preselected gram data must be retained even with
location codes for comparison with in- power removed.
coming header codes. A non- (7) Outputs. Decoders shall have the
preselected header code that is manu- following outputs: a data port or ports
654
(RS–232C with standard protocol and (1) Time Delay. A minimum time
1200 baud rate) where received valid delay of 8 but not more than 16 seconds
EAS header codes and received of tone reception shall be incorporated
preselected header codes are available; into the demuting or activation proc-
one audio port that is capable of moni- ess to insure that the tones will be au-
toring each decoder audio input; and, dible for a period of at least 4 seconds.
an internal speaker to enable personnel After July 1, 1995, the time delay shall
to hear audio from each input. be 3–4 seconds.
(8) Decoder Programming. Access to (2) Operation Bandwidth. The decoder
decoder programming shall be pro- circuitry shall not respond to tones
tected by a lock or other security which vary more than ±5 Hz from each
measures and be configured so that au- of the frequencies, 853 Hz and 960 Hz.
thorized personnel can readily select (3) Reset Ability. The decoder shall
and program the EAS Decoder with have a means to manually or automati-
preselected Originator, Event and Lo- cally reset the associated broadcast re-
cation codes for either manual or auto- ceiver to a muted state.
(c) Decoders shall be capable of oper-
matic operation.
ation within the tolerances specified in
(9) Reset. There shall be a method to
this section as well as those in §11.32
automatically or manually reset the
(b), (c) and (d).
decoder to the normal monitoring con-
dition. Operators shall be able to select [59 FR 67092, Dec. 28, 1994, as amended at 60
a time interval, not less than two min- FR 55999, Nov. 6, 1995; 67 FR 18510, Apr. 16,
2002]
utes, in which the decoder would auto-
matically reset if it received an EAS § 11.34 Acceptability of the equipment.
header code but not an end-of-message
(EOM) code. Messages received with (a) An EAS Encoder used for gener-
the EAN Event codes shall disable the ating the EAS codes and the Attention
reset function so that lengthy audio Signal must be Certified in accordance
messages can be handled. The last mes- with the procedures in part 2, subpart
sage received with valid header codes J, of this chapter. The data and infor-
shall be displayed as required by para- mation submitted must show the capa-
graph (a)(4) of this section before the bility of the equipment to meet the re-
quirements of this part as well as the
decoder is reset.
requirements contained in part 15 of
(10) Message Validity. An EAS Decoder
this chapter for digital devices.
must provide error detection and vali- (b) Decoders used for the detection of
dation of the header codes of each mes- the EAS codes and receiving the Atten-
sage to ascertain if the message is tion Signal must be Certified in ac-
valid. Header code comparisons may be cordance with the procedures in part 2,
accomplished through the use of a bit- subpart J, of this chapter. The data and
by-bit compare or any other error de- information submitted must show the
tection and validation protocol. A capability of the equipment to meet
header code must only be considered the requirements of this part as well as
valid when two of the three headers the requirements contained in part 15
match exactly. Duplicate messages of this chapter for digital devices.
must not be relayed automatically. (c) The functions of the EAS decoder,
(11) A header code with the EAN Attention Signal generator and re-
Event code specified in § 11.31(c) that is ceiver, and the EAS encoder specified
received through any of the audio in- in §§ 11.31, 11.32 and 11.33 may be com-
puts must override all other messages. bined and Certified as a single unit pro-
(b) Attention Signal. EAS Decoders at vided that the unit complies with all
broadcast stations shall have detection specifications in this rule section.
and activation circuitry that will (d) Manufacturers must include in-
demute a receiver upon detection of structions and information on how to
the two audio tones of 853 Hz and 960 install, operate and program an EAS
Hz. To prevent false responses, decod- Encoder, EAS Decoder, or combined
ers designed to use the two tones for unit and a list of all State and county
broadcast receiver demuting shall com- FIPS numbers with each unit sold or
ply with the following: marketed in the U.S.
655
§ 11.35 47 CFR Ch. I (10–1–02 Edition)
(e) Waiver requests of the Certifi- station records as specified in § 21.304 of

cation requirements for EAS Encoders this chapter, indicating reasons why
or EAS Decoders which are constructed any tests were not received.
for use at a broadcast station or sub- (b) If the EAS Encoder or EAS De-
ject cable system, but are not offered coder becomes defective, the broadcast
for sale will be considered on an indi- station, cable system or wireless cable
vidual basis in accordance with part 1, system may operate without the defec-
subpart G, of this chapter. tive equipment pending its repair or re-
(f) Modifications to existing author- placement for 60 days without further
ized EAS decoders, encoders or com- FCC authority. Entries shall be made
bined units necessary to implement the in the broadcast station log, cable sys-
new EAS codes specified in § 11.31 and tem or wireless cable system station
to implement the selective displaying records showing the date and time the
and logging feature specified in equipment was removed and restored
§ 11.33(a)(4) will be considered Class I to service. For personnel training pur-
permissive changes that do not require poses, the required monthly test script
a new application for and grant of must still be transmitted even though
equipment certification under part 2, the equipment for generating the EAS
subpart J of this chapter. message codes, Attention Signal and
(g) All existing and new models of EOM code is not functioning.
EAS encoders, decoders and combined (c) If repair or replacement of defec-
units manufactured after August 1, 2003 tive equipment is not completed within
must be capable of generating and de- 60 days, an informal request shall be
tecting the new EAS codes specified in submitted to the District Director of
§ 11.31 in order to be certified under the FCC field office serving the area in
part 2, subpart J of this chapter. All which the broadcast station, cable sys-
existing and new models of EAS decod- tem or wireless cable system is located
ers and combined units manufactured for additional time to repair the defec-
after August 1, 2003 must have the se- tive equipment. This request must ex-
lective displaying and logging capa- plain what steps have been taken to re-
bility specified in § 11.33(a)(4) in order pair or replace the defective equip-
to be certified under part 2, subpart J ment, the alternative procedures being
of this chapter. used while the defective equipment is
out of service, and when the defective
[59 FR 67092, Dec. 28, 1994, as amended at 60 equipment will be repaired or replaced.
FR 56000, Nov. 6, 1995; 67 FR 18510, Apr. 16,
2002] [63 FR 29664, June 1, 1998, as amended at 65
FR 53614, Sept. 5, 2000]
§ 11.35 Equipment operational readi- EDITORIAL NOTE: At 65 FR 53614, Sept. 5,
ness. 2000, § 11.35, paragraph (a), was amended by
(a) Broadcast stations and cable sys- removing ‘‘§ 76.305’’ and adding in its place
tems and wireless cable systems are re- ‘‘§§ 76.1700, 76.1708, and 76.1711’’, effective Oct.
sponsible for ensuring that EAS 5, 2000.
Encoders, EAS Decoders and Attention
Signal generating and receiving equip- Subpart C—Organization
ment used as part of the EAS are in-
stalled so that the monitoring and § 11.41 Participation in EAS.
transmitting functions are available (a) All broadcast stations and cable
during the times the stations and sys- systems and wireless cable systems
tems are in operation. Additionally, specified in § 11.11 are categorized as
broadcast stations and cable systems Participating National (PN) sources
and wireless cable systems must deter- unless authorized by the FCC to be a
mine the cause of any failure to receive Non-Participating (NN) sources.
the required tests or activations speci- (b) A broadcast station and cable sys-
fied in §§ 11.61(a) (1) and (2). Appropriate tem and wireless cable system may
entries must be made in the broadcast submit a written request to the FCC
station log as specified in § 73.1820 and asking to be a Non-Participating Na-
§ 73.1840 of this chapter, cable system tional (NN) source. The FCC may then
record as specified in §§ 76.1700, 76.1708, issue a Non-participating National Au-
and 76.1711 of this chapter, MDS/MMDS thorization letter. NN sources must go
656
off the air during a national EAS acti- exchange to a selected Test Center and
vation after transmitting specified in- then to any participating radio net-
formation. works, television networks and cable
(1) A station or system that is a Non- networks and program suppliers.
participating National (NN) source Independent stations will not be con-
under § 11.18(f) that wants to become a nected during the test unless author-
Participating National (PN) source in ized by the FCC. Upon test termi-
the national level EAS must submit a nation, participants shall be restored
written request to the FCC. to their original configurations.
(2) NN sources may voluntarily par- (d) A common carrier rendering free
ticipate in the State and Local Area service shall file with the FCC, on or
EAS. Participation is at the discretion before July 31st and January 31st of
of broadcast station and cable system each year, reports covering the six
and wireless cable system management months ending on June 30th and De-
and should comply with State and cember 31st respectively. These reports
Local Area EAS Plans. shall state what free service was ren-
(c) All sources, including NN, must dered under this rule and the charges
have immediate access to an Operating in dollars which would have accrued to
Handbook. They should contact the the carrier for this service if charges
FCC to ensure that they are on the had been collected at the published tar-
FCC EAS mailing list. iff rates if such carriers are required to
[63 FR 29664, June 1, 1998, as amended at 65 file tariffs.
FR 21658, Apr. 24, 2000] [59 FR 67092, Dec. 28, 1994, as amended at 67
FR 18510, Apr. 16, 2002]
§ 11.42 Participation by communica-
tions common carriers. § 11.43 National level participation.
(a) During activation of the National Entities that wish to voluntarily par-
level EAS, communications common ticipate in the national level EAS may
carriers which have facilities available submit a written request to the Chief,
in place may, without charge, connect: Technical and Public Safety Division,
(1) An originating source from the Enforcement Bureau.
nearest service area to a selected Test
Center and then to the radio and tele- [67 FR 18510, Apr. 16, 2002]
vision broadcast networks, and cable
networks and program suppliers for the § 11.44 EAS message priorities.
duration of the emergency, provided an (a) A national activation of the EAS
Emergency Action Notification is for a Presidential message with the
issued by the White House and the Event code EAN as specified in § 11.31
originating source has a local channel must take priority over any other mes-
from the originating point to the near- sage and preempt it if it is in progress.
est service area. (b) EAS participants should transmit
(2) An independent broadcast station other EAS messages in the following
to the radio and television broadcast order: first, Local Area Messages; sec-
networks, and cable networks and pro- ond, State Messages; and third, Na-
gram suppliers provided the station has tional Information Center (NIC) Mes-
in service a local channel from the sta- sages.
tion’s studio or transmitter directly to (c) Key EAS sources (NP, LP, SP and
the broadcast source. SR) and Participating National (PN)
(b) Upon receipt of the Emergency sources that remain on the air during a
Action Termination, the common car- National emergency must carry Presi-
riers shall disconnect the originating dential Messages ‘‘live’’ at the time of
source and the participating inde- transmission or immediately upon re-
pendent stations and restore the net- ceipt. Activation of the National level
works and program suppliers to their EAS must preempt State and Local
original configurations. Area EAS operation.
(c) During a National level EAS Test, (d) During a national emergency, the
common carriers which have facilities radio and television broadcast network
in place may, without charge, connect program distribution facilities must be
an originating source from the nearest reserved exclusively for distribution of
657
§ 11.45 47 CFR Ch. I (10–1–02 Edition)
Presidential Messages. NIC messages tions Committee for information and

received from national networks which guidance.
are not broadcast at the time of origi- [60 FR 56000, Nov. 6, 1995, as amended at 65
nal transmission must be recorded lo- FR 21658, Apr. 24, 2000]
cally by LP sources for transmission at
the earliest opportunity consistent Subpart D—Emergency
with the message priorities in para- Operations
graph (b) of this section.
§ 11.51 EAS code and Attention Signal
§ 11.45 Prohibition of false or decep- Transmission requirements.
tive EAS transmissions. (a) Broadcast stations must trans-
No person may transmit or cause to mit, either automatically or manually,
transmit the EAS codes or Attention national level EAS messages and re-
Signal, or a recording or simulation quired tests by sending the EAS header
thereof, in any circumstance other codes, Attention Signal, emergency
than in an actual National, State or message and End of Message (EOM)
Local Area emergency or authorized using the EAS Protocol. The Attention
test of the EAS. Broadcast station li- Signal must precede any emergency
censees should also refer to § 73.1217 of audio message. After January 1, 1998,
the shortened Attention Signal may
this chapter.
only be used as an audio alert signal
§ 11.46 EAS public service announce- and the EAS codes will become the
ments. minimum signalling requirement for
National level messages and tests.
Broadcast stations, cable systems (b) When relaying EAS messages,
and wireless cable systems may use broadcast stations and cable systems
Public Service Announcements or ob- and wireless cable systems may trans-
tain commercial sponsors for an- mit only the EAS header codes and the
nouncements, infomercials, or pro- EOM code without the Attention Sig-
grams explaining the EAS to the pub- nal and emergency message for State
lic. Such announcements and programs and local emergencies. Television sta-
may not be a part of alerts or tests, tions, cable systems and wireless cable
and may not simulate or attempt to systems should ensure that pauses in
copy alert tones or codes. video programming before EAS mes-
sage transmission do not cause tele-
[59 FR 67092, Dec. 28, 1994, as amended at 63 vision receivers to mute EAS audio
FR 29664, June 1, 1998] messages. No Attention Signal is re-
quired for EAS messages that do not
§ 11.47 Optional use of other commu- contain audio programming, such as a
nications methods and systems. Required Weekly Test.
(a) Broadcast stations may addition- (c) Effective January 1, 1997, all radio
ally transmit EAS messages through and television stations shall transmit
other communications means than the EAS messages in the main audio chan-
main audio channel. For example, on a nel.
voluntary basis, FM stations may use (d) By the above date, television sta-
subcarriers to transmit the EAS codes tions shall transmit a visual message
including 57 kHz using the RBDS containing the Originator, Event, Lo-
standard produced by the National cation and the valid time period of an
EAS message. If the message is a video
Radio Systems Committee (NRSC) and
crawl, it shall be displayed at the top
television stations may use subsidiary
of the television screen or where it will
communications services. not interfere with other visual mes-
(b) Other technologies and public sages.
service providers, such as DBS, low (e) Class D non-commercial edu-
earth orbiting satellites, etc., that cational FM stations as defined in
wish to participate in the EAS may § 73.506 of this chapter, Low Power FM
contact the FCC’s Technical and Public (LPFM) stations as defined in §§ 73.811
Safety Division, Enforcement Bureau, and 73.853 of this chapter, and low
or their State Emergency Communica- power TV (LPTV) stations as defined in
658
§ 74.701(f) of this chapter are not re- (4) Cable systems and wireless cable
quired to have equipment capable of systems may elect not to interrupt
generating the EAS codes and Atten- EAS messages from broadcast stations
tion Signal specified in § 11.31. based upon a written agreement be-
(f) Broadcast station equipment gen- tween all concerned. Further, cable
erating the EAS codes and the Atten- systems and wireless cable systems
tion Signal shall modulate a broadcast may elect not to interrupt the pro-
station transmitter so that the signal gramming of a broadcast station car-
broadcast to other broadcast stations rying news or weather related emer-
and cable systems and wireless cable gency information with state and local
systems alerts them that the EAS is EAS messages based on a written
being activated or tested at the Na- agreement between all parties.
tional, State or Local Area level. The (h) Effective December 31, 1998, cable
minimum level of modulation for EAS systems with 10,000 or more sub-
codes, measured at peak modulation scribers; and, effective October 1, 2002,
levels using the internal calibration cable systems serving 5,000 or more,
output required in § 11.32(a)(4), shall but less than 10,000 subscribers per
modulate the transmitter at the max- headend and wireless cable systems
imum possible level, but in no case less with 5,000 or more subscribers; shall
than 50% of full channel modulation transmit EAS audio messages in the
limits. Measured at peak modulation same order specified in paragraph (a) of
levels, each of the Attention Signal this section. The Attention Signal may
tones shall be calibrated separately to be produced from a storage device. Ad-
modulate the transmitter at no less ditionally, after the dates indicated,
than 40%. These two calibrated modu- these cable systems and wireless cable
lation levels shall have values that are systems must:
within 1 dB of each other.
(1) Install, operate, and maintain
(g) Effective October 1, 2002, cable
equipment capable of generating the
systems with fewer than 5,000 sub-
EAS codes. The modulation levels for
scribers per headend and wireless cable
the EAS codes and Attention Signal for
systems with fewer than 5,000 sub-
cable systems shall comply with the
scribers shall transmit EAS audio mes-
aural signal requirements in § 76.605 of
sages in the same order specified in
paragraph (a) of this section on at least this chapter. This will provide suffi-
one channel. The Attention Signal may cient signal levels to operate cable sub-
be produced from a storage device. Ad- scriber television and radio receivers
ditionally, cable systems and wireless equipped with EAS decoders and to au-
cable systems must: dibly alert subscribers. Wireless cable
(1) Install, operate, and maintain systems shall also provide sufficient
equipment capable of generating the signal levels to operate subscriber tele-
EAS codes. The modulation levels for vision and radio receivers equipped
the EAS codes and Attention Signal with EAS decoders and to audibly alert
shall comply with the aural signal re- subscribers.
quirements in § 76.605 of this chapter, (2) The cable systems and wireless
(2) Provide a video interruption and cable systems in this paragraph (h)
an audio alert message on all channels. shall transmit the EAS audio message
The audio alert message must state required in paragraph (a) of this sec-
which channel is carrying the EAS tion on all downstream channels.
video and audio message, (3) The cable systems and wireless
(3) Cable systems and wireless cable cable systems in this paragraph (h)
systems shall transmit a visual EAS shall transmit the EAS visual message
message on at least one channel. The on all downstream channels. The visual
message shall contain the Originator, message shall contain the Originator,
Event, Location, and the valid time pe- Event, Location and the valid time pe-
riod of the EAS message. If the visual riod of the EAS message. These are ele-
message is a video crawl, it shall be ments of the EAS header code and are
displayed at the top of the subscriber’s described in § 11.31. If the visual mes-
television screen or where it will not sage is a video crawl, it shall be dis-
interfere with other visual messages. played at the top of the subscriber’s
659
§ 11.51 47 CFR Ch. I (10–1–02 Edition)
television screen or where it will not wireless cable systems shall use the
interfere with other visual messages. event code RWT. The location codes
(4) Cable systems and wireless cable are the state and county for the broad-
systems may elect not to interrupt cast station city of license or cable sys-
EAS messages from broadcast stations tem or wireless cable system commu-
based upon a written agreement be- nity or city. Other location codes may
tween all concerned. Further, cable be included upon approval of broadcast
systems and wireless cable systems station, cable system or wireless cable
may elect not to interrupt the pro- system management. EAS messages
gramming of a broadcast station car- may be transmitted automatically or
rying news or weather related emer- manually.
gency information with state and local (1) Automatic interrupt of program-
EAS messages based on a written
ming and transmission of EAS mes-
agreement between all parties.
sages are required when facilities are
(i) If manual interrupt is used as au-
unattended. Automatic transmissions
thorized in paragraph (k) of this sec-
must include a permanent record that
tion, EAS Encoders must be located so
that broadcast station, cable system or contains at a minimum the following
wireless cable system staff, at normal information: Originator, Event, Loca-
duty locations, can initiate the EAS tion and valid time period of the mes-
code and Attention Signal trans- sage. The decoder performs the func-
mission. tions necessary to determine which
(j) Broadcast stations, and cable sys- EAS messages are automatically trans-
tems and wireless cable systems that mitted by the encoder.
are co-owned and co-located with a (2) Manual interrupt of programming
combined studio or control facility, and transmission of EAS messages may
(such as an AM and FM licensed to the be used. EAS messages with the EAN
same entity and at the same location Event code must be transmitted imme-
or a cable headend serving more than diately and Monthly EAS test mes-
one system) may provide the EAS sages within 60 minutes. All actions
transmitting requirements contained must be logged and include the min-
in this section for the combined sta- imum information required for EAS
tions or cable systems or wireless cable video messages.
systems with one EAS Encoder. The re- (l) Broadcast stations and cable sys-
quirements of § 11.32 must be met by tems and wireless cable systems may
the combined facility. employ a minimum delay feature, not
(k) Broadcast stations and cable sys- to exceed 15 minutes, for automatic
tems and wireless cable systems are re- interruption of EAS codes. However,
quired to transmit all received EAS this may not be used for the EAN event
messages in which the header code con- which must be transmitted imme-
tains the Event codes for Emergency
diately. The delay time for an RMT
Action Notification (EAN), Emergency
message may not exceed 60 minutes.
Action Termination (EAT), and Re-
quired Monthly Test (RMT), and when (m) Either manual or automatic op-
the accompanying location codes in- eration of EAS equipment may be used
clude their State or State/county. at broadcast stations and cable sys-
These EAS messages shall be retrans- tems and wireless cable systems that
mitted unchanged except for the use remote control. If manual oper-
LLLLLLLL-code which identifies the ation is used, an EAS decoder must be
broadcast station, cable system, wire- located at the remote control location
less cable system, or other entity re- and it must directly monitor the sig-
transmitting the message. See nals of the two assigned EAS sources.
§ 11.31(c). If an EAS source originates If direct monitoring of the assigned
an EAS message with the Event codes EAS sources is not possible at the re-
in this paragraph, it must include the mote location, automatic operation is
location codes for the State and coun- required. If automatic operation is
ties in its service area. When transmit- used, the remote control location may
ting the required weekly test, broad- be used to override the transmission of
cast stations and cable systems and an EAS alert. Broadcast stations and
660
cable systems and wireless cable sys- developed in accordance with FCC
tems may change back and forth be- monitoring priorities.
tween automatic and manual oper- (1) If the required EAS sources can-
ation. not be received, alternate arrange-
[59 FR 67092, Dec. 28, 1994, as amended at 60
ments or a waiver may be obtained by
FR 56000, Nov. 6, 1995; 63 FR 29664, June 1, written request to the FCC’s EAS of-
1998; 65 FR 7639, Feb. 15, 2000; 67 FR 18510, fice. In an emergency, a waiver may be
Apr. 16, 2002] issued over the telephone with a follow
up letter to confirm temporary or per-
§ 11.52 EAS code and Attention Signal manent reassignment.
Monitoring requirements. (2) Broadcast station and cable sys-
(a) Before January 1, 1998, broadcast tem and wireless cable system manage-
stations must be capable to receiving ment shall determine which header
the Attention Signal required by codes will automatically interrupt
§ 11.32(a)(9) and emergency messages of their programming for State and Local
other broadcast stations during their Area emergency situations affecting
hours of operation. Effective January their audiences.
1, 1997, all broadcast stations must in- (e) Broadcast stations and cable sys-
stall and operate during their hours of tems and wireless cable systems are re-
operation, equipment capable of receiv- quired to interrupt normal program-
ing and decoding, either automatically ming either automatically or manually
or manually, the EAS header codes, when they receive an EAS message in
emergency messages and EOM code. which the header code contains the
The effective dates for cable and wire- Event codes for Emergency Action No-
less cable systems to install and oper- tification (EAN), Emergency Action
ate EAS equipment are set forth in Termination (EAT), and Required
§ 11.11. Monthly Test (RMT) for their State or
NOTE TO PARAGRAPH (a): After January 1, State/county location.
1998, the two-tone Attention Signal will not (1) Automatic interrupt of program-
be used to actuate two-tone decoders but will ming is required when facilities are un-
be used as an aural alert signal. attended. Automatic operation must
(b) If manual interrupt is used as au- provide a permanent record of the EAS
thorized in § 11.51(j)(2), decoders must message that contains at a minimum
be located so that operators at their the following information: Originator,
normal duty stations at broadcast sta- Event, Location and valid time period
tions and cable systems and wireless of the message.
cable systems can be alerted imme- (2) Manual interrupt of programming
diately when EAS messages are re- and transmission of EAS messages may
ceived. be used. EAS messages with the EAN
(c) Broadcast stations and cable sys- Event code must be transmitted imme-
tems and wireless cable systems that diately and Monthly EAS test mes-
are co-owned and co-located with a sages within 60 minutes. All actions
combined studio or control facility must be logged and recorded. Decoders
(such as an AM and FM licensed to the must be programmed for the EAN and
same entity and at the same location EAT Event header codes for National
or a cable headend serving more than level emergencies and the RMT and
one system) may comply with the EAS RWT Event header codes for required
monitoring requirements contained in monthly and weekly tests, with the ap-
this section for the combined station propriate accompanying State and
or system with one EAS Decoder. The State/county location codes.
requirements of § 11.33 must be met by [59 FR 67092, Dec. 28, 1994, as amended at 60
the combined facility. FR 56000, Nov. 6, 1995; 63 FR 29665, June 1,
(d) Broadcast stations and cable sys- 1998; 67 FR 18510, Apr. 16, 2002]
tems and wireless cable systems must
monitor two EAS sources. The moni- § 11.53 Dissemination of Emergency
toring assignments of each broadcast Action Notification.
station and cable system and wireless Initiation of the EAN by any one of
cable system are specified in the State the following sources is sufficient to
EAS Plan and FCC Mapbook. They are begin the emergency actions in § 11.54.
661
§ 11.54 47 CFR Ch. I (10–1–02 Edition)
(a) National Level. The EAN is issued dures and make the sign-off announce-
by the White House. The EAN message ment in the EAS Operating Handbook’s
is sent from a government origination National Level Instructions section for
point to broadcast stations and other NN sources. After the sign-off an-
entities participating in the PEP sys- nouncement, NN sources are required
tem. It is then disseminated via: to remove their carriers from the air
(1) Radio and television broadcast and monitor for the Emergency Action
stations. Termination message. NN sources
(2) Cable systems and wireless cable using automatic interrupt under
systems. § 11.51(k)(1), must transmit the header
(3) Other entities voluntarily partici- codes, Attention Signal, sign-off an-
pating in EAS. nouncement and EOM code after re-
(b) State level and Local Area levels. ceiving the appropriate EAS header
EAN dissemination arrangements at codes for a national emergency.
these levels originate from State and (3) After completing the above trans-
local governments in accordance with mission procedures, key EAS and Par-
State and Local Area plans. ticipating National sources must trans-
(c) Broadcast stations must, prior to mit a common emergency message
commencing routine operation or orig- until receipt of the Emergency Action
inating any emissions under program Termination Message. Message prior-
test, equipment test, experimental, or ities are specified in § 11.44. If LP or SR
other authorizations, determine wheth- sources of a Local Area cannot provide
er the EAS has been activated by moni- an emergency message feed, any source
toring the assigned EAS sources. in the Local Area may elect to provide
[59 FR 67092, Dec. 28, 1994, as amended at 63 a message feed. This should be done in
FR 29666, June 1, 1998; 65 FR 7640, Feb. 15, an organized manner as designated in
2000; 65 FR 30001, May 10, 2000; 67 FR 18510, State and Local Area EAS Plans.
Apr. 16, 2002] (4) The Standby Script shall be used
until emergency messages are avail-
§ 11.54 EAS operation during a Na- able. The text of the Standby Script is
tional Level emergency. in the EAS Operating Handbook’s sec-
(a) The EAS Operating Handbook tion for Participating sources.
summarizes the procedures to be fol- (5) TV broadcast stations shall dis-
lowed upon receipt of a National level play an appropriate EAS slide and then
EAN or EAT Message. transmit all EAS announcements vis-
(b) Immediately upon receipt of an ually and aurally as specified in
EAN message, broadcast stations and § 73.1250(h) of this chapter.
cable systems and wireless cable sys- (6) Cable systems and wireless cable
tems must: systems shall transmit all EAS an-
(1) Monitor the two EAS sources as- nouncements visually and aurally as
signed in the State or Local Area plan specified in § 11.51(g) and (h).
or FCC Mapbook for any further in- (7) Announcements may be made in
structions. the same language as the primary lan-
(2) Discontinue normal programming guage of the station.
and follow the transmission procedures (8) Broadcast stations may transmit
in the appropriate section of the EAS their call letters and cable systems and
Operating Handbook. Announcements wireless cable systems may transmit
may be made in the same language as the names of the communities they
the primary language of the station. serve during an EAS activation. State
(i) Key EAS sources (National Pri- and Local Area identifications must be
mary (NP), Local Primary (LP), State given as provided in State and Local
Primary (SP), State Relay (SR) and Area EAS plans.
Participating National (PN) sources) (9) All broadcast stations and cable
follow the transmission procedures and systems and wireless cable systems op-
make the announcements in the Na- erating and identified with a particular
tional Level Instructions of the EAS EAS Local Area must transmit a com-
Operating Handbook. mon national emergency message until
(ii) Non-participating National (NN) receipt of the Emergency Action Ter-
sources follow the transmission proce- mination.
662
(10) Broadcast stations, except those quakes, heavy snows, icing conditions,
holding an EAS Non-participating Na- widespread fires, etc. Man-made emer-
tional Authorization letter, are exempt gencies may include: toxic gas leaks or
from complying with §§ 73.62 and 73.1560 liquid spills, widespread power failures,
of this chapter (operating power main- industrial explosions, and civil dis-
tenance) while operating under this orders.
part. (b) EAS operations must be con-
(11) National Primary (NP) sources ducted as specified in State and Local
must operate under the procedures in Area EAS Plans. The plans must list
the National Control Point Procedures.
all authorized entities participating in
(12) The time of receipt of the EAN
the State or Local Area EAS.
and Emergency Action Termination
messages shall be entered by broadcast (c) Immediately upon receipt of a
stations in their logs (as specified in State or Local Area EAS message,
§§ 73.1820 and 73.1840 of this chapter), by broadcast stations, cable systems and
cable systems in their records (as spec- wireless cable systems participating in
ified in § 76.305 of this chapter), and by the State or Local Area EAS must do
subject wireless cable systems in their the following:
records (as specified in § 21.304 of this (1) State Relay (SR) sources monitor
chapter). the State Relay Network or follow the
(c) Upon receipt of an Emergency Ac- State EAS plan for instructions from
tion Termination Message, broadcast the State Primary (SP) source.
stations and cable systems and wireless (2) Local Primary (LP) sources mon-
cable systems must follow the termi- itor the Local Area SR sources or fol-
nation procedures in the EAS Oper- low the State EAS plan for instruc-
ating Handbook. tions.
(d) Broadcast stations and cable sys- (3) Participating National (PN) and
tems and wireless cable systems origi- Non-participating National (NN)
nating emergency communications
sources monitor the Local Area LP
under this section shall be considered
sources for instructions.
to have conferred rebroadcast author-
ity, as required by Section 325(a) of the (4) Broadcast stations, cable systems
Communications Act of 1934, 47 U.S.C. and wireless cable systems partici-
325(a), to other participating broadcast pating in the State or Local Area EAS
stations, cable systems and wireless must discontinue normal programming
cable systems. and follow the procedures in the State
(e) During a national level EAS and Local Area plans. Television sta-
emergency, broadcast stations may tions must comply with § 11.54(b)(5) and
transmit in lieu of the EAS audio feed cable systems and wireless cable sys-
an audio feed of the President’s voice tems must comply with § 11.54(b)(6).
message from an alternative source, Broadcast stations providing foreign
such as a broadcast network audio language programming shall comply
feed. with § 11.54(b)(7).
[59 FR 67092, Dec. 28, 1994, as amended at 63 (5) Upon completion of the State or
FR 29666, June 1, 1998; 63 FR 39035, July 21, Local Area EAS transmission proce-
1998; 65 FR 21658, Apr. 24, 2000; 65 FR 53614, dures, resume normal programming
Sept. 5, 2000; 67 FR 18511, Apr. 16, 2002] until receipt of the cue from the SR or
LP sources in your Local Area. At that
§ 11.55 EAS operation during a State
or Local Area emergency. time begin transmitting the common
emergency message received from the
(a) The EAS may be activated at the above sources.
State and Local Area levels by broad-
(6) Resume normal operations upon
cast stations, cable systems and wire-
less cable systems at their discretion conclusion of the message.
for day-to-day emergency situations (7) The times of the above EAS ac-
posing a threat to life and property. tions must be entered in the broadcast
Examples of natural emergencies station, cable system or wireless cable
which may warrant activation are: tor- system records as specified in
nadoes, floods, hurricanes, earth- § 11.54(b)(12).
663
§ 11.61 47 CFR Ch. I (10–1–02 Edition)
(8) Use of the EAS codes or Attention (i) EAS Header Codes and EOM
Signal automatically grants rebroad- Codes:
cast authority as specified in § 11.54(d). (A) Effective January 1, 1997, AM, FM
and TV stations must conduct tests of
[59 FR 67092, Dec. 28, 1994, as amended at 63
FR 29666, June 1, 1998; 65 FR 21658, Apr. 24, the EAS header and EOM codes at least
2000; 67 FR 18511, Apr. 16, 2002] once a week at random days and times.
(B) Effective December 31, 1998, cable
systems with 10,000 or more subscribers
Subpart E—Tests per headend must conduct tests of the
§ 11.61 Tests of EAS procedures. EAS header and EOM codes at least
once a week at random days and times
(a) Tests shall be made at regular in- on all programmed channels:
tervals as indicated in paragraphs (a)(1) (C) Effective October 1, 2002, cable
and (a)(2) of this section. Additional systems serving fewer than 5,000 sub-
tests may be performed anytime. EAS scribers per headend must conduct
activations and special tests may be tests of the EAS header and EOM codes
performed in lieu of required tests as at least once a week at random days
specified in paragraph (a)(4) of this sec- and times on at least one programmed
tion. All tests will conform with the channel.
procedures in the EAS Operating Hand- (D) Effective October 1, 2002, the fol-
book. lowing cable systems and wireless
(1) Required Monthly Tests of the cable systems must conduct tests of
EAS header codes, Attention Signal, the EAS header and EOM codes at least
Test Script and EOM code. once a week at random days and times
(i) Effective January 1, 1997, AM, FM on all programmed channels:
and TV stations. (1) Cable systems serving 5,000 or
(ii) Effective October 1, 2002, cable more, but less than 10,000 subscribers
systems with fewer than 5,000 sub- per headend; and,
scribers per headend. (2) Wireless cable systems with 5,000
(iii) Effective December 31, 1998, or more subscribers.
cable systems with 10,000 or more sub- (E) Effective October 1, 2002, the fol-
scribers; and effective October 1, 2002, lowing cable systems and wireless
cable systems serving 5,000 or more, cable systems must conduct tests of
but less than 10,000 subscribers per the EAS header and EOM codes at least
headend. once a week at random days and times
(iv) Effective October 1, 2002, all wire- on at least one programmed channel:
less cable systems. (1) Cable systems with fewer than
(v) Tests in odd numbered months 5,000 subscribers per headend; and,
shall occur between 8:30 a.m. and local (2) Wireless cable systems with fewer
sunset. Tests in even numbered months than 5,000 subscribers.
shall occur between local sunset and (ii) Class D non-commercial edu-
8:30 a.m. They will originate from cational FM and LPTV stations are not
Local or State Primary sources. The required to transmit this test but must
time and script content will be devel- log receipt.
oped by State Emergency Communica- (iii) The EAS weekly test is not re-
tions Committees in cooperation with quired during the week that a monthly
affected broadcast stations, cable sys- test is conducted.
tems, wireless cable systems, and other (iv) TV stations, cable television sys-
participants. Script content may be in tems and wireless cable systems are
the primary language of the broadcast not required to transmit a video mes-
station or cable system. These monthly sage when transmitting the required
tests must be transmitted within 60 weekly test.
minutes of receipt by broadcast sta- (3) Periodic National Tests. National
tions and cable systems and wireless Primary (NP) sources shall participate
cable systems in an EAS Local Area or in tests as appropriate. The FCC may
State. Class D non-commercial edu- request a report of these tests.
cational FM and LPTV stations are re- (4) EAS activations and special tests.
quired to transmit only the test script. The EAS may be activated for emer-
(2) Required Weekly Tests: gencies or special tests at the State or
664
Local Area level by a broadcast sta- AUTHORITY: Secs. 4, 303, 48 Stat. 1066, 1082
tion, cable system or wireless cable as amended; 47 U.S.C. 154, 303.
system instead of the monthly or SOURCE: 58 FR 9124, Feb. 19, 1993, unless
weekly tests required by this section. otherwise noted.
To substitute for a monthly test, acti-
vation must include transmission of GENERAL
the EAS header codes, Attention Sig-
§ 13.1 Basis and purpose.
nal, emergency message and EOM code
and comply with the visual message re- (a) Basis. The basis for the rules con-
quirements in § 11.51. To substitute for tained in this part is the Communica-
the weekly test of the EAS header tions Act of 1934, as amended, and ap-
codes and EOM codes in paragraph plicable treaties and agreements to
(2)(i) of this section, activation must which the United States is a party.
include transmission of the EAS header (b) Purpose. The purpose of the rules
and EOM codes. Television stations and in this part is to prescribe the manner
cable systems and wireless cable sys- and conditions under which commer-
tems shall comply with the aural and cial radio operators are licensed by the
visual message requirements in § 11.51. Commission.
Special EAS tests at the State and
Local Area levels may be conducted on
daily basis following procedures in The definitions of terms used in part
State and Local Area EAS plans. 13 are:
(b) Entries shall be made in broad- (a) COLEM. Commercial operator li-
cast station and cable system and wire- cense examination manager.
less cable system records as specified (b) Commercial radio operator. A per-
in § 11.54(b)(12). son holding a license or licenses speci-
fied in § 13.7(b).
[67 FR 18511, Apr. 16, 2002] (c) GMDSS. Global Maritime Distress
and Safety System.
PART 13—COMMERCIAL RADIO (d) FCC. Federal Communications
OPERATORS Commission.
(e) International Morse Code. A dot-
GENERAL dash code as defined in International
13.1 Basis and purpose. Telegraph and Telephone Consultative
13.3 Definitions. Committee (CCITT) Recommendation
13.5 Licensed commercial radio operator re- F.1 (1984), Division B, I. Morse code.
quired. (f) ITU. International Telecommuni-
13.7 Classification of operator licenses and cation Union.
endorsements. (g) PPC. Proof-of-Passing Certificate.
13.8 Authority conveyed. (h) Question pool. All current exam-
13.9 Eligibility and application for new li-
ination questions for a designated writ-
cense or endorsement.
13.10 Licensee address. ten examination element.
13.11 Holding more than one commercial (i) Question set. A series of examina-
radio operator license. tion questions on a given examination
13.13 Application for a renewed or modified selected from the current question
license. pool.
13.15 License term. (j) Radio Regulations. The latest ITU
13.17 Replacement license. Radio Regulations to which the United
13.19 Operator’s responsibility.
States is a party.
EXAMINATION SYSTEM
§ 13.5 Licensed commercial radio oper-
13.201 Qualifying for a commercial operator ator required.
license or endorsement.
13.203 Examination elements. Rules that require FCC station li-
13.207 Preparing an examination. censees to have certain transmitter op-
13.209 Examination procedures. eration, maintenance, and repair duties
13.211 Commercial radio operator license performed by a commercial radio oper-
examination. ator are contained in parts 23, 80, and
13.213 COLEM qualifications. 87 of this chapter.
13.215 Question pools.
13.217 Records. [63 FR 68942, Dec. 14, 1998]
665
§ 13.7 47 CFR Ch. I (10–1–02 Edition)
§ 13.7 Classification of operator li- (5) General Radiotelephone Operator

censes and endorsements. Licenses issued after December 31, 1985,
(a) Commercial radio operator li- shall bear the following endorsement:
censes issued by the FCC are classified This license confers authority to oper-
in accordance with the Radio Regula- ate licensed radio stations in the Avia-
tions of the ITU. tion, Marine and International Fixed
(b) There are nine types of commer- Public Radio Services only. This au-
cial radio operator licenses, certifi- thority is subject to: any endorsement
cates and permits (licenses). The li- placed upon this license; FCC orders,
cense’s ITU classification, if different rules, and regulations; United States
from its name, is given in parenthesis. statutes; and the provisions of any
(1) First Class Radiotelegraph Opera- treaties to which the United States is a
tor’s Certificate. party. This license does not confer any
(2) Second Class Radiotelegraph Op- authority to operate broadcast sta-
erator’s Certificate. tions. It is not assignable or transfer-
(3) Third Class Radiotelegraph Opera- able.
tor’s Certificate (radiotelegraph opera- (6)(i) If a person is afflicted with an
tor’s special certificate). uncorrected physical handicap which
(4) General Radiotelephone Operator would clearly prevent the performance
License (radiotelephone operator’s gen- of all or any part of the duties of a
eral certificate). radio operator, under the license for
(5) Marine Radio Operator Permit which application is made, at a station
(radiotelephone operator’s restricted under emergency conditions involving
certificate). the safety of life or property, that per-
(6) Restricted Radiotelephone Oper- son still may be issued the license if
ator Permit (radiotelephone operator’s found qualified. Such a license shall
restricted certificate). bear a restrictive endorsement as fol-
(7) Restricted Radiotelephone Oper- lows:
ator Permit-Limited Use This license is not valid for the per-
(radiotelephone operator’s restricted formance of any operating duties,
certificate). other than installation, service and
(8) GMDSS Radio Operator’s License maintenance duties, at any station li-
(general operator’s certificate). censed by the FCC which is required,
(9) GMDSS Radio Maintainer’s Li- directly or indirectly, by any treaty,
cense (technical portion of the first- statute or rule or regulation pursuant
class radio electronic certificate). to statute, to be provided for safety
(c) There are six license endorse- purposes.
ments affixed by the FCC to provide (ii) In the case of a license that does
special authorizations or restrictions. not require an examination in tech-
Endorsements may be affixed to the li- nical radio matters, the endorsement
cense(s) indicated in parenthesis. specified in paragraph (c)(6)(i) of this
(1) Ship Radar Endorsement (First section will be modified by deleting the
and Second Class Radiotelegraph Oper- reference therein to installation, serv-
ator’s Certificates, General Radio- ice, and maintenance duties.
telephone Operator License, GMDSS (iii) In any case where an applicant
Radio Maintainer’s License). who normally would receive or has re-
(2) Six Months Service Endorsement ceived a commercial radio operator li-
(First and Second Class Radiotelegraph cense bearing the endorsement pre-
Operator’s License). scribed by paragraph (c)(6)(i) of this
(3) Restrictive endorsements relating section, indicates a desire to operate a
to physical handicaps, English lan- station falling within the prohibited
guage or literacy waivers, or other terms of the endorsement, the appli-
matters (all licenses). cant may request in writing that such
(4) Marine Radio Operator Permits endorsement not be placed upon, or be
shall bear the following endorsement: removed from his or her license, and
This permit does not authorize the op- may submit written comments or
eration of AM, FM or TV broadcast statements from other parties in sup-
stations. port thereof.
666
(iv) An applicant who shows that he ating authority of the Marine Radio
has performed satisfactorily the duties Operator Permit.
of a radio operator at a station re- (e) A GMDSS Radio Operator’s Li-
quired to be provided for safety pur- cense conveys all of the operating au-
poses during a period when he or she thority of the Marine Radio Operator
was afflicted by uncorrected physical Permit.
handicaps of the same kind and to the (f) A GMDSS Radio Maintainer’s Li-
same degree as the physical handicaps cense conveys all of the operating au-
shown by his or her current application thority of the General Radiotelephone
shall not be deemed to be within the Operator License and the Marine Radio
provisions of paragraph (c)(6)(i) of this Operator Permit.
section. [64 FR 53240, Oct. 1, 1999]
(d) A Restricted Radiotelephone Op-
erator Permit-Limited Use issued by § 13.9 Eligibility and application for
the FCC to an aircraft pilot who is not new license or endorsement.
legally eligible for employment in the (a) If found qualified, the following
United States is valid only for oper- persons are eligible to apply for com-
ating radio stations on aircraft. mercial radio operator licenses:
(e) A Restricted Radiotelephone Op- (1) Any person legally eligible for em-
erator Permit-Limited Use issued by ployment in the United States.
the FCC to a person under the provi- (2) Any person, for the purpose of op-
sion of Section 303(1)(2) of the Commu- erating aircraft radio stations, who
nications Act of 1934, as amended, is holds:
valid only for the operation of radio (i) United States pilot certificates; or
stations for which that person is the (ii) Foreign aircraft pilot certificates
station licensee. which are valid in the United States, if
the foreign government involved has
[58 FR 9124, Feb. 19, 1993; 58 FR 12632, Mar. 5,
1993]
entered into a reciprocal agreement
under which such foreign government
§ 13.8 Authority conveyed. does not impose any similar require-
ment relating to eligibility for employ-
Licenses, certificates and permits ment upon United States citizens.
issued under this part convey author- (3) Any person who holds a FCC radio
ity for the operating privileges of other station license, for the purpose of oper-
licenses, certificates, and permits ating that station.
issued under this part as specified (4) Notwithstanding any other provi-
below: sions of the FCC’s rules, no person
(a) First Class Radiotelegraph Opera- shall be eligible to be issued a commer-
tor’s Certificate conveys all of the op- cial radio operator license when
erating authority of the Second Class (i) The person’s commercial radio op-
Radiotelegraph Operator’s Certificate, erator license is suspended, or
the Third Class Radiotelegraph Opera- (ii) The person’s commercial radio
tor’s Certificate, the Restricted operator license is the subject of an on-
Radiotelophone Operator Permit, and going suspension proceeding, or
the Marine Radio Operator Permit. (iii) The person is afflicted with com-
(b) A Second Class Radiotelegraph plete deafness or complete muteness or
Operator’s Certificate conveys all of complete inability for any other reason
the operating authority of the Third to transmit correctly and to receive
Class Radiotelegraph Operator’s Cer- correctly by telephone spoken mes-
tificate, the Restricted Radiotelophone sages in English.
Operator Permit, and the Marine Radio (b)(1) Each application for a new Gen-
Operator Permit. eral Radiotelephone Operator License,
(c) A Third Class Radiotelegraph Op- Marine Radio Operator Permit, First
erator’s Certificate conveys all of the Class Radiotelegraph Operator’s Cer-
operating authority of the Restricted tificate, Second Class Radiotelegraph
Radiotelophone Operator Permit and Operator’s Certificate, Third Class Ra-
the Marine Radio Operator Permit. diotelegraph Operator’s Certificate,
(d) A General Radiotelephone Oper- Ship Radar Endorsement, Six Months
ator License conveys all of the oper- Service Endorsement, GMDSS Radio
667
§ 13.10 47 CFR Ch. I (10–1–02 Edition)
Operator’s License, GMDSS Radio privileges of the operator license for

Maintainer’s License and GMDSS which the application was received.
Radio Operator/Maintainer must be This authority is valid for a period of
filed on FCC Form 605 in accordance 90 days from the date the application
with § 1.913 of this chapter. was received. The FCC, in its discre-
(2) Each application for a Restricted tion, may cancel this temporary condi-
Radiotelephone Operator Permit or a tional operating authority without a
Restricted Radiotelephone Operator hearing.
Permit-Limited Use must be filed on (f) Each application for a new six
FCC Form 605 in accordance with § 1.913 months service endorsement must be
of this chapter. submitted in accordance with § 1.913 of
(c) Each application for a new Gen- this chapter. The application must in-
eral Radiotelephone Operator License, clude documentation showing that:
Marine Radio Operator Permit, First (1) The applicant was employed as a
Class Radiotelegraph Operator’s Cer- radio operator on board a ship or ships
tificate, Second Class Radiotelegraph of the United States for a period total-
Operator’s Certificate, Third Class Ra- ing at least six months;
diotelegraph Operator’s Certificate, (2) The ships were equipped with a
Ship Radar Enforcement, GMDSS radio station complying with the provi-
Radio Operator’s License, GMDSS sions of part II of title III of the Com-
Radio Maintainer’s, or GMDSS Radio munications Act, or the ships were
Operator/Maintainer License must be owned and operated by the U.S. Gov-
accompanied by the required fee, if ernment and equipped with radio sta-
any, and submitted in accordance with tions;
§ 1.913 of this chapter. The application (3) The ships were in service during
must include an original PPC(s) from a the applicable six month period and no
COLEM(s) showing that the applicant portion of any single in-port period in-
has passed the necessary examinations cluded in the qualifying six months pe-
element(s) within the previous 365 days riod exceeded seven days;
when the applicant files the applica- (4) The applicant held a FCC-issued
tion. If a COLEM files the application First or Second Class Radiotelegraph
electronically on behalf of the appli- Operator’s Certificate during this en-
cant an original PPC(s) is not required. tire six month qualifying period; and
However, the COLEM must keep the (5) The applicant holds a radio offi-
PPC(s) on file for a period of 1 year. cer’s license issued by the U.S. Coast
(d) An applicant will be given credit Guard at the time the six month en-
for an examination element as speci- dorsement is requested.
fied below: (g) No person shall alter, duplicate
(1) An unexpired (or within the grace for fraudulent purposes, or fraudu-
period) FCC-issued commercial radio lently obtain or attempt to obtain an
operator license: The written examina- operator license. No person shall use a
tion and telegraphy Element(s) re- license issued to another or a license
quired to obtain the license held; and that he or she knows to be altered, du-
(2) An expired or unexpired FCC- plicated for fraudulent purposes, or
issued Amateur Extra Class operator fraudulently obtained. No person shall
license grant granted before April 15, obtain or attempt to obtain, or assist
2000: Telegraphy Elements 1 and 2. another person to obtain or attempt to
(e) Provided that a person’s commer- obtain, an operator license by fraudu-
cial radio operator license was not re- lent means.
voked, or suspended, and is not the [58 FR 9124, Feb. 19, 1993, as amended at 59
subject of an ongoing suspension pro- FR 3795, Jan. 27, 1994; 60 FR 27699, May 25,
ceeding, a person whose application for 1995; 63 FR 68942, Dec. 14, 1998; 66 FR 20752,
a commercial radio operator license Apr. 25, 2001]
has been received by the FCC but
which has not yet been acted upon and § 13.10 Licensee address.
who holds a PPC(s) indicating that he In accordance with § 1.923 of this
or she passed the necessary examina- chapter all applications must specify
tion(s) within the previous 365 days, is an address where the applicant can re-
authorized to exercise the rights and ceive mail delivery by the United
668
States Postal Service except as speci- grace period will be effective as of the
fied below: date of the renewal. Licensees who fail
(a) Applicants for a Restricted Radio- to renew their license within the grace
telephone Operator Permit; period must apply for a new license and
(b) Applicants for a Restricted Radio- take the required examination(s).
telephone Operator Permit—Limited (c) Each application involving a
Use. change in operator class must be filed
[64 FR 53240, Oct. 1, 1999] on FCC Form 605. Each application for
a commercial operator license involv-
§ 13.11 Holding more than one coming a change in operator class must be
mercial radio operator license. accompanied by the required fee, if
(a) An eligible person may hold more any, and submitted in accordance with
than one commercial operator license § 1.913 of this chapter. The application
except as follows: must include an original PPC(s) from a
(1) No person may hold two or more COLEM(s) showing that the applicant
unexpired radiotelegraph operator’s has passed the necessary examinations
certificates at the same time; element(s) within the previous 365 days
(2) No person may hold any class of when the applicant files the applica-
radiotelegraph operator’s certificate tion. If a COLEM files the application
and a Marine Radio Operator Permit; electronically on behalf of the appli-
(3) No person may hold any class of cant an original PPC(s) is not required.
radiotelegraph operator’s certificate However, the COLEM must keep the
and a Restricted Radiotelephone Oper- PPC(s) on file for a period of 1 year.
ator Permit. (d) An applicant will be given credit
(b) Each person who is not legally eli- for an examination element as speci-
gible for employment in the United fied below:
States, and certain other persons who (1) An unexpired (or within the grace
were issued permits prior to September period) FCC-issued commercial radio
13, 1982, may hold two Restricted Ra- operator license: The written examina-
diotelephone Operator Permits simul- tion and telegraphy Element(s) re-
taneously when each permit authorizes quired to obtain the license held; and
the operation of a particular station or (2) An expired or unexpired FCC-
class of stations. issued Amateur Extra Class operator
license document granted before April
§ 13.13 Application for a renewed or
modified license. 15, 2000: Telegraphy Elements 1 and 2.
(a) Each application to renew a First [58 FR 9124, Feb. 19, 1993, as amended at 60
Class Radiotelegraph Operator’s Cer- FR 27699, May 25, 1995; 63 FR 68942, Dec. 14,
tificate, Second Class Radiotelegraph 1998; 66 FR 20752, Apr. 25, 2001]
Operator’s Certificate, Third Class Ra- EDITORIAL NOTE: At 63 FR 68942, Dec. 14,
diotelegraph Operator’s Certificate, 1998, FCC published an amendment removing
Marine Radio Operator Permit, § 13.13 paragraph (d) and redesignating (d) as
GMDSS Radio Operator’s License, (e). Because paragraph (d) has been removed,
GMDSS Radio Maintainer’s License, or it cannot be redesignated.
GMDSS Radio Operator/Maintainer Li-
§ 13.15 License term.
cense must be made on FCC Form 605.
The application must be accompanied (a) Commercial radio operator li-
by the appropriate fee and submitted in censes are normally valid for a term of
accordance with § 1.913 of this chapter. five years from the date of issuance,
(b) If a license expires, application except as provided in paragraph (b) of
for renewal may be made during a this section.
grace period of five years after the ex- (b) General Radiotelephone Operator
piration date without having to retake Licenses, Restricted Radiotelephone
the required examinations. The appli- Operator Permits, and Restricted Ra-
cation must be accompanied by the re- diotelephone Operator Permits-Lim-
quired fee and submitted in accordance ited Use are normally valid for the life-
with § 1.913 of this chapter. During the time of the holder. The terms of all Re-
grace period, the expired license is not stricted Radiotelephone Operator Per-
valid. A license renewed during the mits issued prior to November 15, 1953,
669
§ 13.17 47 CFR Ch. I (10–1–02 Edition)
and valid on that date, are extended to entry in the station maintenance
the lifetime of the operator. records giving:
(1) Pertinent details of all service and
§ 13.17 Replacement license. maintenance work performed by the
(a) Each licensee or permittee whose operator or conducted under his or her
original document is lost, mutilated, or supervision;
destroyed must request a replacement. (2) His or her name and address; and
The application must be accompanied (3) The class, serial number and expi-
by the required fee and submitted to ration date of the license when the FCC
the address specified in part 1 of the has issued the operator a license, or
rules. the PPC serial number(s) and date(s) of
(b) Each application for a replace- issue when the operator is awaiting
ment General Radiotelephone Operator FCC action on an application.
License, Marine Radio Operator Per- (c) When the operator is on duty and
mit, First Class Radiotelegraph Opera- in charge of transmitting systems, or
tor’s Certificate, Second Class Radio- performing service, maintenance or in-
telegraph Operator’s Certificate, Third spection functions, the license or per-
Class Radiotelegraph Operator’s Cer- mit document, or a photocopy thereof,
tificate, GMDSS Radio Operator’s Li- or a copy of the application and PPC(s)
cense, GMDSS Radio Maintainer’s Li- received by the FCC, must be posted or
cense, must be made on FCC Form 605 in the operator’s personal possession,
* * * and available for inspection upon re-
(c) Each application for a replace- quest by a FCC representative.
ment Restricted Radiotelephone Oper- (d) The operator on duty and in
ator Permit must be on FCC Form 605. charge of transmitting systems, or per-
(d) Each application for a replace- forming service, maintenance or in-
ment Restricted Radiotelephone Oper- spection functions, shall not be subject
ator Permit-Limited Use must be on to the requirements of paragraph (b) of
FCC Form 605. this section at a station, or stations of
(e) A licensee who has made applica- one licensee at a single location, at
tion for a replacement license may ex- which the operator is regularly em-
hibit a copy of the application sub- ployed and at which his or her license,
mitted to the FCC or a photocopy of or a photocopy, is posted.
the license in lieu of the original docu-
ment. [58 FR 9124, Feb. 19, 1993, as amended at 60
FR 27700, May 25, 1995]
FR 68942, Dec. 14, 1998] EXAMINATION SYSTEM
§ 13.19 Operator’s responsibility. § 13.201 Qualifying for a commercial
(a) The operator responsible for operator license or endorsement.
maintenance of a transmitter may per- (a) To be qualified to hold any com-
mit other persons to adjust that trans- mercial radio operator license, an ap-
mitter in the operator’s presence for plicant must have a satisfactory
the purpose of carrying out tests or knowledge of FCC rules and must have
making adjustments requiring special- the ability to send correctly and re-
ized knowledge or skill, provided that ceive correctly spoken messages in the
he or she shall not be relieved thereby English language.
from responsibility for the proper oper- (b) An applicant must pass an exam-
ation of the equipment. ination for the issuance of a new com-
(b) In every case where a station op- mercial radio operator license, other
erating log or service and maintenance than the Restricted Radiotelephone
log is required, the operator respon- Operator Permit and the Restricted
sible for the station operation or main- Radiotelephone Operator Permit-Lim-
tenance shall make the required en- ited Use, and for each change in oper-
tries in the station log. If no station ator class. An applicant must pass an
log is required, the operator respon- examination for the issuance of a new
sible for service or maintenance duties Ship Radar Endorsement. Each appli-
which may affect the proper operation cation for the class of license or en-
of the station shall sign and date an dorsement specified below must pass,
670
or otherwise receive credit for, the cor- maintain radio transmitters and re-
responding examination elements: ceivers at stations licensed by the FCC
(1) First Class Radiotelegraph Opera- in the aviation, maritime, and inter-
tor’s Certificate. national fixed public radio services.
(i) Telegraphy Elements 3 and 4; The minimum passing score is 57 ques-
(ii) Written Elements 1, 5, and 6; tions answered correctly.
(iii) Applicant must be at least 21 (3) Element 5: Radiotelegraph oper-
years old; ating practice. 50 questions concerning
(iv) Applicant must have one year of radio operating procedures and prac-
experience in sending and receiving tices generally followed or required in
public correspondence by radio- communicating by means of radio-
telegraph at a public coast station, a telegraph stations primarily other
ship station, or both. than in the maritime mobile services
(2) Second Class Radiotelegraph Op- of public correspondence. The min-
erator’s Certificate. imum passing score is 38 questions an-
(i) Telegraphy Elements 1 and 2; swered correctly.
(ii) Written Elements 1, 5, and 6. (4) Element 6: Advanced radio-
(3) Third Class Radiotelegraph Opera- telegraph. 100 questions concerning
tor’s Certificate. technical, legal and other matters ap-
(i) Telegraphy Elements 1 and 2; plicable to the operation of all classes
(ii) Written Elements 1 and 5. of radiotelegraph stations, including
(4) General Radiotelephone Operator operating procedures and practices in
License: Written Elements 1 and 3. the maritime mobile services of public
(5) Marine Radio Operator Permit: correspondence, and associated matters
Written Element 1. such as radio navigational aids, mes-
(6) GMDSS Radio Operator’s License: sage traffic routing and accounting,
Written Elements 1 and 7. etc. The minimum passing score is 75
(7) GMDSS Radio Maintainer’s Li- questions answered correctly.
cense: Written Elements 1, 3, and 9. (5) Element 7: GMDSS radio oper-
(8) Ship Radar Endorsement: Written ating practices. 76 questions con-
Element 8. cerning GMDSS radio operating proce-
[58 FR 9124, Feb. 19, 1993, as amended at 59 dures and practices sufficient to show
FR 3795, Jan. 27, 1994] detailed practical knowledge of the op-
eration of all GMDSS sub-systems and
§ 13.203 Examination elements. equipment; ability to send and receive
(a) A written examination (written correctly by radio telephone and nar-
Element) must prove that the exam- row-band direct-printing telegraphy;
inee possesses the operational and detailed knowledge of the regulations
technical qualifications to perform the applying to radio communications,
duties required by a person holding knowledge of the documents relating
that class of commercial radio oper- to charges for radio communications
ator license. Each written examination and knowledge of those provisions of
must be comprised of a question set as the International Convention for the
follows: Safety of Life at Sea which relate to
(1) Element 1 (formerly Elements 1 radio; sufficient knowledge of English
and 2): Basic radio law and operating to be able to express oneself satisfac-
practice with which every maritime torily both orally and in writing;
radio operator should be familiar. 24 knowledge of and ability to perform
questions concerning provisions of each function listed in § 80.1081; and
laws, treaties, regulations, and oper- knowledge covering the requirements
ating procedures and practices gen- set forth in IMO Assembly Resolution
erally followed or required in commu- on Training for Radio Personnel
nicating by means of radiotelephone (GMDSS), Annex 3. The minimum pass-
stations. The minimum passing score is ing score is 57 questions answered cor-
18 questions answered correctly. rectly.
(2) Element 3: General radio- (6) Element 8: Ship radar techniques.
telephone. 76 questions concerning 50 questions concerning specialized
electronic fundamentals and tech- theory and practice applicable to the
niques required to adjust, repair, and proper installation, servicing and
671
§ 13.207 47 CFR Ch. I (10–1–02 Edition)
maintenance of ship radar equipment must be counted as two letters of the

in general use for marine navigational alphabet. The COLEM may obtain the
purposes. The minimum passing score telegraphy message from a supplier or
is 38 questions answered correctly. other COLEM.
(7) Element 9: GMDSS radio mainte-
nance practices and procedures. 50 § 13.209 Examination procedures.
questions concerning the requirements (a) Each examination for a commer-
set forth in IMO Assembly on Training cial radio operator license must be ad-
for Radio Personnel (GMDSS), Annex 5 ministered at a location and a time
and IMO Assembly on Radio Mainte- specified by the COLEM. The COLEM is
nance Guidelines for the Global Mari-
responsible for the proper conduct and
time Distress and Safety System re-
necessary supervision of each examina-
lated to Sea Areas A3 and A4. The min-
tion. The COLEM must immediately
imum passing score is 38 questions an-
terminate the examination upon fail-
swered correctly.
ure of the examinee to comply with its
(b) A telegraphy examination
(telegraphy Elements) must prove that instructions.
the examinee has the ability to send (b) Each examinee, when taking an
correctly by hand and to receive cor- examination for a commercial radio
rectly by ear texts in the international operator license, shall comply with the
Morse code at not less than the pre- instructions of the COLEM.
scribed speed, using all the letters of (c) No examination that has been
the alphabet, numerals 0–9, period, compromised shall be administered to
comma, question mark, slant mark, any examinee. Neither the same teleg-
and prosigns AR, BT, and SK. raphy message nor the same question
(1) Telegraphy Element 1: 16 code set may be re-administered to the same
groups per minute. examinee.
(2) Telegraphy Element 2: 20 words (d) Passing a telegraphy examina-
per minute. tion.
(3) Telegraphy Element 3: 20 code (1) To pass a receiving telegraphy ex-
groups per minute. amination, an examinee is required to
(4) Telegraphy Element 4: 25 words receive correctly the message by ear,
per minute. for a period of 1 minute without error
at the rate of speed specified in § 13.203
§ 13.207 Preparing an examination.
for the class of license sought.
(a) Each telegraphy message and (2) To pass a sending telegraphy ex-
each written question set administered amination, an examinee is required to
to an examinee for a commercial radio send correctly for a period of 1 minute
operator license must be provided by a at the rate of speed prescribed in
COLEM. § 13.203(b) for the class of license
(b) Each question set administered to sought.
an examinee must utilize questions
(e) Passing a telegraphy receiving ex-
taken from the applicable Element
amination is adequate proof of an
question pool. The COLEM may obtain
examinee’s ability to both send and re-
the written question sets from a sup-
plier or other COLEM. ceive telegraphy. The COLEM, how-
(c) A telegraphy examination must ever, may also include a sending seg-
consist of a plain language text or code ment in a telegraphy examination.
group message sent in the inter- (f) The COLEM is responsible for de-
national Morse code at no less than the termining the correctness of he
prescribed speed for a minimum of five examinee’s answers. When the exam-
minutes. The message must contain inee does not score a passing grade on
each required telegraphy character at an examination element, the COLEM
least once. No message known to the must inform the examinee of the grade.
examinee may be administered in a te- (g) When the examinee is credited for
legraphy examination. Each five let- all examination elements required for
ters of the alphabet must be counted as the commercial operator license
one word or one code group. Each nu- sought, the examinee may apply to the
meral, punctuation mark, and prosign FCC for the license.
672
(h) No applicant who is eligible to (d) The COLEM may prohibit from
apply for any commercial radio oper- the examination area items the
ator license shall, by reason of any COLEM determines could compromise
physical handicap, be denied the privi- the integrity of an examination or dis-
lege of applying and being permitted to tract examinees.
attempt to prove his or her qualifica- (e) Within 10 days of completion of
tions (by examination if examination the examination element(s), the
is required) for such commercial radio COLEM must provide the results of the
operator license in accordance with examination to the examinee and the
procedures established by the COLEM. COLEM must issue a PPC to an exam-
(i) The COLEM must accommodate inee who scores a passing grade on an
an examinee whose physical disabil- examination element.
ities require a special examination pro- (f) A PPC is valid for 365 days from
cedure. The COLEM may require a phy- the date it is issued.
sician’s certification indicating the na-
§ 13.213 COLEM qualifications.
ture of the disability before deter-
mining which, if any, special proce- No entity may serve as a COLEM un-
dures are appropriate to use. In the less it has entered into a written agree-
case of a blind examinee, the examina- ment with the FCC. In order to be eli-
tion questions may be read aloud and gible to be a COLEM, the entity must:
the examinee may answer orally. A (a) Agree to abide by the terms of the
blind examinee wishing to use this pro- agreement;
cedure must make arrangements with (b) Be capable of serving as a
the COLEM prior to the date the exam- COLEM;
ination is desired. (c) Agree to coordinate examinations
(j) The FCC may: for one or more types of commercial
radio operator licenses and/or endorse-
(1) Administer any examination ele-
ments;
ment itself.
(d) Agree to assure that, for any ex-
(2) Readminister any examination amination, every examinee eligible
element previously administered by a under these rules is registered without
COLEM, either itself or by designating regard to race, sex, religion, national
another COLEM to readminister the origin or membership (or lack thereof)
examination element. in any organization;
(3) Cancel the commercial operator (e) Agree to make any examination
license(s) of any licensee who fails to records available to the FCC, upon re-
appear for re-administration of an ex- quest.
amination when directed by the FCC, (f) Agree not to administer an exam-
or who fails any required element that ination to an employee, relative, or
is re-administered. In case of such can- relative of an employee.
cellation, the person will be issued an
operator license consistent with com- § 13.215 Question pools.
pleted examination elements that have The question pool for each written
not been invalidated by not appearing examination element will be composed
for, or by failing, the examination upon of questions acceptable to the FCC.
re-administration. Each question pool must contain at
least 5 times the number of questions
§ 13.211 Commercial radio operator li- required for a single examination. The
cense examination.
FCC will issue public announcements
(a) Each session where an examina- detailing the questions in the pool for
tion for a commercial radio operator li- each element. COLEMs must use only
cense is administered must be managed the most recent question pool made
by a COLEM or the FCC. available to the public when preparing
(b) Each examination for a commer- a question set for a written examina-
cial radio operator license must be ad- tion element.
ministered as determined by the
COLEM. § 13.217 Records.
(c) The COLEM may limit the num- Each COLEM recovering fees from
ber of candidates at any examination. examinees must maintain records of
673
expenses and revenues, frequency of ex- 15.121 Scanning receivers and frequency
aminations administered, and exam- converters used with scanning receivers.
ination pass rates. Records must cover 15.122 Closed caption decoder requirements
the period from January 1 to December for digital television receivers and con-
verter boxes.
31 of the preceding year and must be
submitted as directed by the Commis- Subpart C—Intentional Radiators
sion. Each COLEM must retain records
for 1 year and the records must be 15.201 Equipment authorization require-
made available to the FCC upon re- ment.
quest. 15.203 Antenna requirement.
15.204 External radio frequency power am-
plifiers and antenna modifications.
PART 15—RADIO FREQUENCY 15.205 Restricted bands of operation.
DEVICES 15.207 Conducted limits.
15.209 Radiated emission limits; general re-
Subpart A—General quirements.
Sec. 15.211 Tunnel radio systems.
15.1 Scope of this part. 15.213 Cable locating equipment.
15.3 Definitions. 15.214 Cordless telephones.
15.5 General conditions of operation.
RADIATED EMISSION LIMITS, ADDITIONAL
15.7 Special temporary authority.
PROVISIONS
15.9 Prohibition against eavesdropping.
15.11 Cross reference. 15.215 Additional provisions to the general
15.13 Incidental radiators. radiated emission limitations.
15.15 General technical requirements. 15.217 Operation in the band 160–190 kHz.
15.17 Susceptibility to interference. 15.219 Operation in the band 510–1705 kHz.
15.19 Labelling requirements. 15.221 Operation in the band 525–1705 kHz.
15.21 Information to user. 15.223 Operation in the band 1.705–10 MHz.
15.23 Home-built devices.
15.225 Operation within the band 13.553–
15.25 Kits.
13.567 MHz.
15.27 Special accessories.
15.227 Operation within the band 26.96–27.28
15.29 Inspection by the Commission.
MHz.
15.31 Measurement standards.
15.32 Test procedures for CPU boards and 15.229 Operation within the band 40.66–40.70
computer power supplies. MHz.
15.33 Frequency range of radiated measure- 15.231 Periodic operation in the band 40.66–
ments. 40.70 MHz and above 70 MHz.
15.35 Measurement detector functions and 15.233 Operation within the bands 43.71–44.49
bandwidths. MHz, 46.60–46.98 MHz, 48.75–49.51 MHz and
15.37 Transition provisions for compliance 49.66–50.0 MHz.
with the rules. 15.235 Operation within the band 49.82–49.90
MHz.
Subpart B—Unintentional Radiators 15.237 Operation in the bands 72.0–73.0 MHz,
74.6–74.8 MHz and 75.2–76.0 MHz.
15.101 Equipment authorization of uninten- 15.239 Operation in the band 88–108 MHz.
tional radiators. 15.241 Operation in the band 174–216 MHz.
15.102 CPU boards and power supplies used
15.242 Operation in the bands 174–216 MHz
in personal computers.
and 470–668 MHz.
15.103 Exempted devices.
15.243 Operation in the band 890–940 MHz.
15.105 Information to the user.
15.107 Conducted limits. 15.245 Operation within the bands 902–928
15.109 Radiated emission limits. MHz, 2435–2465 MHz, 5785–5815 MHz, 10500–
15.111 Antenna power conduction limits for 10550 MHz, and 24075–24175 MHz.
receivers. 15.247 Operation within the bands 902–928
15.113 Power line carrier systems. MHz, 2400–2483.5 MHz, and 5725–5850 MHz.
15.115 TV interface devices, including cable 15.249 Operation within the bands 902–928
system terminal devices. MHz, 2400–2483.5 MHz, 5725–5875 MHz, and
15.117 TV broadcast receivers. 24.0–24.25 GHz.
15.118 Cable ready consumer electronics 15.251 Operation within the bands 2.9–3.26
equipment. GHz, 3.267–3.332 GHz, 3.339–3.3458 GHz, and
15.119 Closed caption decoder requirements 3.358–3.6 GHz.
for analog television receivers. 15.253 Operation within the bands 46.7–46.9
15.120 Program blocking technology re- GHz and 76.0–77.0 GHz.
quirements for television receivers. 15.255 Operation within the band 57–64 GHz.
674
Subpart D—Unlicensed Personal tions, administrative requirements and

Communications Service Devices other conditions relating to the mar-
keting of part 15 devices.
15.301 Scope.
15.303 Definitions.
(b) The operation of an intentional or
15.305 Equipment authorization require- unintentional radiator that is not in
ment. accordance with the regulations in this
15.307 Coordination with fixed microwave part must be licensed pursuant to the
service. provisions of section 301 of the Commu-
15.309 Cross reference. nications Act of 1934, as amended, un-
15.311 Labelling requirements. less otherwise exempted from the li-
15.313 Measurement procedures.
15.315 Conducted limits.
censing requirements elsewhere in this
15.317 Antenna requirement. chapter.
15.319 General technical requirements. (c) Unless specifically exempted, the
15.321 Specific requirements for operation or marketing of an inten-
asynchonous devices operating in the tional or unintentional radiator that is
1910–1920 MHz and 2390–2400 MHz bands. not in compliance with the administra-
15.323 Specific requirements for isochronous tive and technical provisions in this
devices operating in the 1920–1930 MHz
part, including prior Commission au-
sub-band.
thorization or verification, as appro-
Subpart E—Unlicensed National priate, is prohibited under section 302
Information Infrastructure Devices of the Communications Act of 1934, as
amended, and subpart I of part 2 of this
15.401 Scope. chapter. The equipment authorization
15.403 Definitions.
and verification procedures are de-
15.405 Cross reference.
15.407 General technical requirements. tailed in subpart J of part 2 of this
chapter.
Subpart F—Ultra-Wideband Operation
15.501 Scope.
15.503 Definitions.
(a) Auditory assistance device. An in-
15.505 Cross reference. tentional radiator used to provide audi-
15.507 Marketing of UWB equipment. tory assistance to a handicapped per-
15.509 Technical requirements for low fre- son or persons. Such a device may be
quency imaging systems. used for auricular training in an edu-
15.511 Technical requirements for mid-fre- cation institution, for auditory assist-
quency imaging systems. ance at places of public gatherings,
15.513 Technical requirements for high fre-
quency imaging systems.
such as a church, theater, or audito-
15.515 Technical requirements for vehicular rium, and for auditory assistance to
radar systems. handicapped individuals, only, in other
15.517 Technical requirements for indoor locations.
UWB systems. (b) Biomedical telemetry device. An in-
15.519 Technical requirements for hand held tentional radiator used to transmit
UWB systems. measurements of either human or ani-
15.521 Technical requirements applicable to mal biomedical phenomena to a re-
all UWB devices.
15.523 Measurement procedures. ceiver.
15.525 Coordination requirements. (c) Cable input selector switch. A trans-
fer switch that is intended as a means
AUTHORITY: 47 U.S.C. 154, 302, 303, 304, 307,
to alternate between the reception of
336, and 544A.
broadcast signals via connection to an
SOURCE: 54 FR 17714, Apr. 25, 1989, unless antenna and the reception of cable tel-
otherwise noted. evision service.
(d) Cable locating equipment. An inten-
Subpart A—General tional radiator used intermittently by
trained operators to locate buried ca-
§ 15.1 Scope of this part. bles, lines, pipes, and similar struc-
(a) This part sets out the regulations tures or elements. Operation entails
under which an intentional, uninten- coupling a radio frequency signal onto
tional, or incidental radiator may be the cable, pipes, etc. and using a re-
operated without an individual license. ceiver to detect the location of that
It also contains the technical specifica- structure or element.
675
§ 15.3 47 CFR Ch. I (10–1–02 Edition)
(e) Cable system terminal device similar electronic devices that are
(CSTD). A TV interface device that marketed for use by the general public.
serves, as its primary function, to con- NOTE: The responsible party may also qual-
nect a cable system operated under ify a device intended to be marketed in a
part 76 of this chapter to a TV broad- commercial, business or industrial environ-
cast receiver or other subscriber ment as a Class B device, and in fact is en-
premise equipment. Any device which couraged to do so, provided the device com-
functions as a CSTD in one of its oper- plies with the technical specifications for a
ating modes must comply with the Class B digital device. In the event that a
particular type of device has been found to
technical requirements for such de- repeatedly cause harmful interference to
vices when operating in that mode. radio communications, the Commission may
(f) Carrier current system. A system, or classify such a digital device as a Class B
part of a system, that transmits radio digital device, regardless of its intended use.
frequency energy by conduction over (j) Cordless telephone system. A system
the electric power lines. A carrier cur- consisting of two transceivers, one a
rent system can be designed such that base station that connects to the pub-
the signals are received by conduction lic switched telephone network and the
directly from connection to the elec- other a mobile handset unit that com-
tric power lines (unintentional radi- municates directly with the base sta-
ator) or the signals are received over- tion. Transmissions from the mobile
the-air due to radiation of the radio unit are received by the base station
frequency signals from the electric and then placed on the public switched
power lines (intentional radiator). telephone network. Information re-
(g) CB receiver. Any receiver that op- ceived from the switched telephone
erates in the Personal Radio Services network is transmitted by the base sta-
on frequencies allocated for Citizens tion to the mobile unit.
Band (CB) Radio Service stations, as
NOTE: The Domestic Public Cellular Radio
well as any receiver provided with a
Telecommunications Service is considered to
separate band specifically designed to be part of the switched telephone network.
receive the transmissions of CB sta- In addition, intercom and paging operations
tions in the Personal Radio Services. are permitted provided these are not in-
This includes the following: (1) A CB tended to be the primary modes of operation.
receiver sold as a separate unit of (k) Digital device. (Previously defined
equipment; (2) the receiver section of a as a computing device). An uninten-
CB transceiver; (3) a converter to be tional radiator (device or system) that
used with any receiver for the purpose generates and uses timing signals or
of receiving CB transmissions; and, (4) pulses at a rate in excess of 9,000 pulses
a multiband receiver that includes a (cycles) per second and uses digital
band labelled ‘‘CB’’ or ‘‘11-meter’’ in techniques; inclusive of telephone
which such band can be separately se- equipment that uses digital techniques
lected, except that an Amateur Radio or any device or system that generates
Service receiver that was manufac- and uses radio frequency energy for the
tured prior to January 1, 1960, and purpose of performing data processing
which includes an 11-meter band shall functions, such as electronic computa-
not be considered to be a CB receiver. tions, operations, transformations, re-
(h) Class A digital device. A digital de- cording, filing, sorting, storage, re-
vice that is marketed for use in a com- trieval, or transfer. A radio frequency
mercial, industrial or business environ- device that is specifically subject to an
ment, exclusive of a device which is emanation requirement in any other
marketed for use by the general public FCC Rule part or an intentional radi-
or is intended to be used in the home. ator subject to subpart C of this part
(i) Class B digital device. A digital de- that contains a digital device is not
vice that is marketed for use in a resi- subject to the standards for digital de-
dential environment notwithstanding vices, provided the digital device is
use in commercial, business and indus- used only to enable operation of the
trial environments. Examples of such radio frequency device and the digital
devices include, but are not limited to, device does not control additional
personal computers, calculators, and functions or capabilities.
676
NOTE: Computer terminals and peripherals terminals, printers, external floppy
that are intended to be connected to a com- disk drives and other data storage de-
puter are digital devices. vices, video monitors, keyboards, inter-
(l) Field disturbance sensor. A device face boards, external memory expan-
that establishes a radio frequency field sion cards, and other input/output de-
in its vicinity and detects changes in vices that may or may not contain dig-
that field resulting from the movement ital circuitry. This definition does not
of persons or objects within its range. include CPU boards, as defined in para-
(m) Harmful interference. Any emis- graph (bb) of this section, even though
sion, radiation or induction that en- a CPU board may connect to an exter-
dangers the functioning of a radio navi- nal keyboard or other components.
gation service or of other safety serv- (s) Personal computer. An electronic
ices or seriously degrades, obstructs or computer that is marketed for use in
repeatedly interrupts a the home, notwithstanding business
radiocommunications service operating applications. Such computers are con-
in accordance with this chapter. sidered Class B digital devices. Com-
(n) Incidental radiator. A device that puters which use a standard TV re-
generates radio frequency energy dur- ceiver as a display device or meet all of
ing the course of its operation al- the following conditions are considered
though the device is not intentionally examples of personal computers:
designed to generate or emit radio fre- (1) Marketed through a retail outlet
quency energy. Examples of incidental or direct mail order catalog.
radiators are dc motors, mechanical (2) Notices of sale or advertisements
light switches, etc. are distributed or directed to the gen-
(o) Intentional radiator. A device that eral public or hobbyist users rather
intentionally generates and emits than restricted to commercial users.
radio frequency energy by radiation or (3) Operates on a battery or 120 volt
induction. electrical supply.
(p) Kit. Any number of electronic If the responsible party can dem-
parts, usually provided with a sche- onstrate that because of price or per-
matic diagram or printed circuit board, formance the computer is not suitable
which, when assembled in accordance for residential or hobbyist use, it may
with instructions, results in a device request that the computer be consid-
subject to the regulations in this part, ered to fall outside of the scope of this
even if additional parts of any type are definition for personal computers.
required to complete assembly. (t) Power line carrier systems. An unin-
(q) Perimeter protection system. A field tentional radiator employed as a car-
disturbance sensor that employs RF rier current system used by an electric
transmission lines as the radiating power utility entity on transmission
source. These RF transmission lines lines for protective relaying, telem-
are installed in such a manner that al- etry, etc. for general supervision of the
lows the system to detect movement power system. The system operates by
within the protected area. the transmission of radio frequency en-
(r) Peripheral device. An input/output ergy by conduction over the electric
unit of a system that feeds data into power transmission lines of the system.
and/or receives data from the central The system does not include those elec-
processing unit of a digital device. Pe- tric lines which connect the distribu-
ripherals to a digital device include tion substation to the customer or
any device that is connected external house wiring.
to the digital device, any device inter- (u) Radio frequency (RF) energy. Elec-
nal to the digital device that connects tromagnetic energy at any frequency
the digital device to an external device in the radio spectrum between 9 kHz
by wire or cable, and any circuit board and 3,000,000 MHz.
designed for interchangeable mount- (v) Scanning receiver. For the purpose
ing, internally or externally, that in- of this part, this is a receiver that
creases the operating or processing automatically switches among two or
speed of a digital device, e.g., ‘‘turbo’’ more frequencies in the range of 30 to
cards and ‘‘enhancement’’ boards. Ex- 960 MHz and that is capable of stopping
amples of peripheral devices include at and receiving a radio signal detected
677
§ 15.5 47 CFR Ch. I (10–1–02 Edition)
on a frequency. Receivers designed with the technical standards specified

solely for the reception of the broad- in § 15.118 and the provisions of
cast signals under part 73 of this chap- § 15.19(d).
ter, for the reception of NOAA broad- (bb) CPU board. A circuit board that
cast weather band signals, or for oper- contains a microprocessor, or fre-
ation as part of a licensed service are quency determining circuitry for the
not included in this definition. microprocessor, the primary function
(w) Television (TV) broadcast receiver. of which is to execute user-provided
A device designed to receive television programming, but not including:
pictures that are broadcast simulta- (1) A circuit board that contains only
neously with sound on the television a microprocessor intended to operate
channels authorized under part 73 of under the primary control or instruc-
this chapter. tion of a microprocessor external to
(x) Transfer switch. A device used to such a circuit board; or
alternate between the reception of (2) A circuit board that is a dedicated
over-the-air radio frequency signals via controller for a storage or input/output
connection to an antenna and the re- device.
ception of radio frequency signals re- (cc) External radio frequency power
ceived by any other method, such as amplifier. A device which is not an inte-
from a TV interface device. gral part of an intentional radiator as
(y) TV interface device. An uninten- manufactured and which, when used in
tional radiator that produces or trans- conjunction with an intentional radi-
lates in frequency a radio frequency ator as a signal source, is capable of
carrier modulated by a video signal de- amplifying that signal.
rived from an external or internal sig- (dd) Test equipment is defined as
nal source, and which feeds the modu- equipment that is intended primarily
lated radio frequency energy by con- for purposes of performing measure-
duction to the antenna terminals or ments or scientific investigations.
other non-baseband input connections Such equipment includes, but is not
of a television broadcast receiver. A TV limited to, field strength meters, spec-
interface device may include a stand- trum analyzers, and modulation mon-
alone RF modulator, or a composite de- itors.
vice consisting of an RF modulator, (ee) Radar detector. A receiver de-
video source and other components designed to signal the presence of radio
vices. Examples of TV interface devices signals used for determining the speed
are video cassette recorders and ter- of motor vehicles. This definition does
minal devices attached to a cable sys- not encompass the receiver incor-
tem or used with a Master Antenna porated within a radar transceiver cer-
(including those used for central dis- tified under the Commission’s rules.
tribution video devices in apartment or
office buildings). [54 FR 17714, Apr. 25, 1989, as amended at 55
(z) Unintentional radiator. A device FR 18340, May 2, 1990; 57 FR 33448, July 29,
1992; 59 FR 25340, May 16, 1994; 61 FR 31048,
that intentionally generates radio fre- June 19, 1996; 62 FR 26242, May 13, 1997; 64 FR
quency energy for use within the de- 22561, Apr. 27, 1999; 65 FR 64391, Oct. 27, 2000;
vice, or that sends radio frequency sig- 66 FR 32582, June 15, 2001; 67 FR 48993, July
nals by conduction to associated equip- 29, 2002]
ment via connecting wiring, but which
EFFECTIVE DATE NOTE: At 65 FR 64391, Oct.
is not intended to emit RF energy by 27, 2000, § 15.3 was amended by revising the
radiation or induction. last sentence in paragraph (aa). This section
(aa) Cable ready consumer electronics contains information collection and record-
equipment. Consumer electronics TV re- keeping requirements and will not become
ceiving devices, including TV receivers, effective until approval has been given by
videocassette recorders and similar de- the Office of Management and Budget.
vices, that incorporate a tuner capable
of receiving television signals and an § 15.5 General conditions of operation.
input terminal intended for receiving (a) Persons operating intentional or
cable television service, and are mar- unintentional radiators shall not be
keted as ‘‘cable ready’’ or ‘‘cable com- deemed to have any vested or recogniz-
patible.’’ Such equipment shall comply able right to continued use of any
678
given frequency by virtue of prior reg- § 15.9 Prohibition against eaves-

istration or certification of equipment, dropping.
or, for power line carrier systems, on Except for the operations of law en-
the basis of prior notification of use forcement officers conducted under
pursuant to § 90.63(g) of this chapter.
lawful authority, no person shall use,
(b) Operation of an intentional, unin- either directly or indirectly, a device
tentional, or incidental radiator is sub- operated pursuant to the provisions of
ject to the conditions that no harmful this part for the purpose of overhearing
interference is caused and that inter- or recording the private conversations
ference must be accepted that may be of others unless such use is authorized
caused by the operation of an author- by all of the parties engaging in the
ized radio station, by another inten-
conversation.
tional or unintentional radiator, by in-
dustrial, scientific and medical (ISM) § 15.11 Cross reference.
equipment, or by an incidental radi-
ator. The provisions of subparts A, H, I, J
(c) The operator of a radio frequency and K of part 2 apply to intentional
device shall be required to cease oper- and unintentional radiators, in addi-
ating the device upon notification by a tion to the provisions of this part.
Commission representative that the Also, a cable system terminal device
device is causing harmful interference. and a cable input selector switch shall
Operation shall not resume until the be subject to the relevant provisions of
condition causing the harmful inter- part 76 of this chapter.
ference has been corrected.
§ 15.13 Incidental radiators.
(d) Intentional radiators that
produce Class B emissions (damped Manufacturers of these devices shall
wave) are prohibited. employ good engineering practices to
minimize the risk of harmful inter-
§ 15.7 Special temporary authority. ference.
(a) The Commission will, in excep- § 15.15 General technical require-
tional situations, consider an indi- ments.
vidual application for a special tem-
porary authorization to operate an in- (a) An intentional or unintentional
cidental, intentional or unintentional radiator shall be constructed in accord-
radiation device not conforming to the ance with good engineering design and
provisions of this part, where it can be manufacturing practice. Emanations
shown that the proposed operation from the device shall be suppressed as
would be in the public interest, that it much as practicable, but in no case
is for a unique type of station or for a shall the emanations exceed the levels
type of operation which is incapable of specified in these rules.
being established as a regular service, (b) An intentional or unintentional
and that the proposed operation can radiator must be constructed such that
not feasibly be conducted under this the adjustments of any control that is
part. readily accessible by or intended to be
(b) No authorization is required in accessible to the user will not cause op-
order to perform testing of equipment eration of the device in violation of the
for determining compliance with these regulations.
regulations. Except as provided in sub- (c) Parties responsible for equipment
part I of part 2 of this chapter, this compliance should note that the limits
provision does not permit the providing specified in this part will not prevent
of equipment to potential users in harmful interference under all cir-
order to determine customer accept- cumstances. Since the operators of
ance of the product or marketing strat- part 15 devices are required to cease op-
egy, nor does this provision permit any eration should harmful interference
type of operation other than a deter- occur to authorized users of the radio
mination of compliance with the regu- frequency spectrum, the parties re-
lations. During this testing, the provi- sponsible for equipment compliance are
sions of §§ 15.5 and 15.205 apply. encouraged to employ the minimum
679
§ 15.17 47 CFR Ch. I (10–1–02 Edition)
field strength necessary for commu- This device complies with part 15 of the
nications, to provide greater attenu- FCC Rules. Operation is subject to the condi-
ation of unwanted emissions than re- tion that this device does not cause harmful
interference.
quired by these regulations, and to ad-
vise the user as to how to resolve (2) A stand-alone cable input selector
harmful interference problems (for ex- switch, shall bear the following state-
ample, see § 15.105(b)). ment in a conspicuous location on the
device:
§ 15.17 Susceptibility to interference.
This device is verified to comply with part
(a) Parties responsible for equipment 15 of the FCC Rules for use with cable tele-
compliance are advised to consider the vision service.
proximity and the high power of non- (3) All other devices shall bear the
Government licensed radio stations, following statement in a conspicuous
such as broadcast, amateur, land mo- location on the device:
bile, and non-geostationary mobile sat-
ellite feeder link earth stations, and of This device complies with part 15 of the
U.S. Government radio stations, which FCC Rules. Operation is subject to the fol-
could include high-powered radar sys- lowing two conditions: (1) This device may
not cause harmful interference, and (2) this
tems, when choosing operating fre- device must accept any interference re-
quencies during the design of their ceived, including interference that may
equipment so as to reduce the suscepti- cause undesired operation.
bility for receiving harmful inter-
ference. Information on non-Govern- (4) Where a device is constructed in
ment use of the spectrum can be ob- two or more sections connected by
tained by consulting the Table of Fre- wires and marketed together, the
quency Allocations in § 2.106 of this statement specified under paragraph
chapter. (a) of this section is required to be af-
(b) Information on U.S. Government fixed only to the main control unit.
operations can be obtained by con- (5) When the device is so small or for
tacting: Director, Spectrum Plans and such use that it is not practicable to
Policy, National Telecommunications place the statement specified under
and Information Administration, De- paragraph (a) of this section on it, the
partment of Commerce, Room 4096, information required by this paragraph
Washington, DC 20230. shall be placed in a prominent location
in the instruction manual or pamphlet
[54 FR 17714, Apr. 25, 1989, as amended at 62 supplied to the user or, alternatively,
FR 4655, Jan. 31, 1997; 63 FR 40835, July 31, shall be placed on the container in
1998] which the device is marketed. However,
the FCC identifier or the unique identi-
§ 15.19 Labelling requirements. fier, as appropriate, must be displayed
(a) In addition to the requirements in on the device.
part 2 of this chapter, a device subject (b) Products subject to authorization
to certification, or verification shall be under a Declaration of Conformity
labelled as follows: shall be labelled as follows:
(1) Receivers associated with the op- (1) The label shall be located in a
eration of a licensed radio service, e.g., conspicuous location on the device and
FM broadcast under part 73 of this shall contain the unique identification
chapter, land mobile operation under described in § 2.1074 of this chapter and
part 90, etc., shall bear the following the following logo:
statement in a conspicuous location on (i) If the product is authorized based
the device: on testing of the product or system; or
680
(ii) If a personal computer is author- cordance with § 15.101(c)(2) or (c)(3), and

ized based on assembly using sepa- the resulting product is not separately
rately authorized components, in ac- tested:
(2) Label text and information should (4) The label shall not be a stick-on,
be in a size of type large enough to be paper label. The label on these prod-
readily legible, consistent with the di- ucts shall be permanently affixed to
mensions of the equipment and the the product and shall be readily visible
label. However, the type size for the to the purchaser at the time of pur-
text is not required to be larger than chase, as described in § 2.925(d) of this
eight point. chapter. ‘‘Permanently affixed’’ means
(3) When the device is so small or for that the label is etched, engraved,
such use that it is not practicable to stamped, silkscreened, indelibly print-
place the statement specified under ed, or otherwise permanently marked
paragraph (b)(1) of this section on it, on a permanently attached part of the
such as for a CPU board or a plug-in equipment or on a nameplate of metal,
circuit board peripheral device, the plastic, or other material fastened to
text associated with the logo may be the equipment by welding, riveting, or
placed in a prominent location in the a permanent adhesive. The label must
instruction manual or pamphlet sup- be designed to last the expected life-
plied to the user. However, the unique time of the equipment in the environ-
identification (trade name and model ment in which the equipment may be
ER19JN96.009</GPH>
number) and the logo must be dis- operated and must not be readily de-
played on the device. tachable.
681
ER19JN96.008</GPH>
§ 15.19 47 CFR Ch. I (10–1–02 Edition)
(c) [Reserved] § 15.118. Devices not marketed as

(d) Consumer electronics TV receiv- ‘‘digital cable ready’’ or ‘‘digital cable
ing devices, including TV receivers, compatible’’ may be accompanied by
videocassette recorders, and similar de- factual statements about the various
vices, that incorporate features in- features of the devices that are in-
tended to be used with cable television tended for use with digital cable serv-
service, but do not fully comply with ice and/or the quality of such features,
the technical standards for cable ready provided that such statements do not
equipment set forth in § 15.118, shall imply that the device is fully compat-
not be marketed with terminology that ible with digital cable service. State-
describes the device as ‘‘cable ready’’ ments relating to product features are
or ‘‘cable compatible,’’ or that other- generally acceptable where they are
wise conveys the impression that the limited to one or more specific features
device is fully compatible with cable of a device, rather than the device as a
service. Factual statements about the whole.
various features of a device that are in- (2) Descriptive Labels for consumer
tended for use with cable service or the electronics TV receiving devices with
quality of such features are acceptable digital signal processing capability.
so long as such statements do not (i) Digital Cable Ready 1 refers to a
imply that the device is fully compat- consumer electronics TV receiving de-
ible with cable service. Statements re- vice capable of receiving analog basic,
lating to product features are generally digital basic and digital premium cable
acceptable where they are limited to television programming by direct con-
one or more specific features of a de- nection to a cable system providing
vice, rather than the device as a whole. digital programming. This device does
This requirement applies to consumer not have a 1394 connector or other dig-
TV receivers, videocassette recorders ital interface. A security card (or POD)
and similar devices manufactured or provided by the cable operator is re-
imported for sale in this country on or quired to view encrypted programming.
after October 31, 1994. (ii) Digital Cable Ready 2 refers to a
(1) Consumer electronics TV receiv- consumer electronics TV receiving de-
ing devices, including TV receivers, vice capable of receiving analog basic,
videocassette recorders, and similar de- digital basic and digital premium cable
vices, that include digital video signal television programming by direct con-
processing capability and incorporate nection to a cable system providing
features intended to be used with dig- digital programming. This receiving
ital cable television service, but do not device will incorporate all features de-
provide one or more of the feature sets fined in Digital Cable Ready 1 and will
described in paragraph (d)(2) of this also include the 1394 digital interface
section shall not be marketed with ter- connector. A security card (or POD)
minology that describes the device as provided by the cable operator is re-
‘‘cable ready’’ or ‘‘cable compatible’’ or quired to view encrypted programming.
otherwise conveys the impression that (iii) Digital Cable Ready 3 refers to a
the device is fully compatible with dig- consumer electronics TV receiving de-
ital cable service. Devices marketed as vice capable of receiving analog basic,
‘‘digital cable ready’’ or ‘‘digital cable digital basic and digital premium cable
compatible’’ or otherwise conveying television programming. This device
the impression that the device is fully will incorporate all features defined in
compatible with digital cable service Digital Cable Ready 1 and will also re-
must offer one or more of the feature ceive advanced and interactive digital
sets (i.e., Digital Cable Ready 1, Digital services by direct connection to a cable
Cable Ready 2, Digital Cable Ready 3) system providing digital programming
specified in paragraph (d)(2) of this sec- and advanced and interactive digital
tion and carry the corresponding de- services and programming. A security
scriptive label or labels. With respect card (or POD) provided by the cable op-
to their analog signal processing capa- erator is required to view encrypted
bilities, these devices must also com- programming.
ply with the technical standards for (3) Consumer electronics TV receiv-
cable ready equipment set forth in ing devices, including TV receivers,
682
videocassette recorders, and similar de- § 15.25 Kits.

vices, that include digital video signal
A TV interface device, including a
processing capability and that provide
cable system terminal device, which is
one or more of the feature sets (i.e.,
Digital Cable Ready 1, Digital Cable marketed as a kit shall comply with
Ready 2, Digital Cable Ready 3) de- the following requirements:
scribed in paragraph (d)(2) of this sec- (a) All parts necessary for the assem-
tion, must carry the label or labels bled device to comply with the tech-
from paragraph (d)(2) of this section nical requirements of this part must be
that describe the feature sets offered supplied with the kit. No mechanism
by the device. The format of the label for adjustment that can cause oper-
or labels shall conform to the provi- ation in violation of the requirements
sions of § 2.925 (d) and (e) of this chap- of this part shall be made accessible to
ter. the builder.
(4) The requirements of this section (b) At least two units of the kit shall
apply to consumer TV receivers, video- be assembled in exact accordance with
cassette recorders and similar devices the instructions supplied with the
manufactured or imported for sale in product to be marketed. If all compo-
this country on or after July 1, 2001. nents required to fully complete the
kit (other than those specified in para-
FR 25341, May 16, 1994; 61 FR 18509, Apr. 26, graph (a) of this section which are
1996; 61 FR 31048, June 19, 1996; 62 FR 41881, needed for compliance with the tech-
Aug. 4, 1997; 63 FR 36602, July 7, 1998; 65 FR nical provisions and must be included
64391, Oct. 27, 2000] with the kit) are not normally fur-
EFFECTIVE DATE NOTE: At 65 FR 64391, Oct. nished with the kit, assembly shall be
27, 2000, § 15.19 was amended by adding para- made using the recommended compo-
graphs (d)(1) through (d)(4). This section con- nents. The assembled units shall be
tains information collection and record- certified or authorized under the Dec-
keeping requirements and will not become laration of Conformity procedure, as
effective until approval has been given by
appropriate, pursuant to the require-
ments of this part.
§ 15.21 Information to user. (1) The measurement data required
for a TV interface device subject to
The users manual or instruction
manual for an intentional or uninten- certification shall be obtained for each
tional radiator shall caution the user of the two units and submitted with an
that changes or modifications not ex- application for certification pursuant
pressly approved by the party respon- to subpart J of part 2 of this chapter.
sible for compliance could void the (2) The measurement data required
user’s authority to operate the equip- for a TV interface device subject to
ment. Declaration of Conformity shall be ob-
tained for the units tested and retained
§ 15.23 Home-built devices. on file pursuant to the provisions of
(a) Equipment authorization is not subpart J of part 2 of this chapter.
required for devices that are not mar- (c) A copy of the exact instructions
keted, are not constructed from a kit, that will be provided for assembly of
and are built in quantities of five or the device shall be submitted with an
less for personal use. application for certification. Those
(b) It is recognized that the indi- parts which are not normally furnished
vidual builder of home-built equipment shall be detailed in the application for
may not possess the means to perform equipment authorization.
the measurements for determining (d) In lieu of the label required by
compliance with the regulations. In § 15.19, the following label, along with
this case, the builder is expected to em- the label bearing the FCC identifier
ploy good engineering practices to and other information specified in
meet the specified technical standards §§ 2.925 and 2.926, shall be included in
to the greatest extent practicable. The the kit with instructions to the builder
provisions of § 15.5 apply to this equip- that it shall be attached to the com-
ment. pleted kit:
683
§ 15.27 47 CFR Ch. I (10–1–02 Edition)
(Name of Grantee) needed special accessories supplied

with the equipment.
(FCC Identifier) (b) If a device requiring special acces-
sories is installed by or under the su-
This device can be expected to comply with pervision of the party marketing the
part 15 of the FCC Rules provided it is as- device, it is the responsibility of that
sembled in exact accordance with the in- party to install the equipment using
structions provided with this kit. Operation the special accessories. For equipment
is subject to the following conditions: (1) requiring professional installation, it is
This device may not cause harmful inter-
ference, and (2) this device must accept any
not necessary for the responsible party
interference received including interference to market the special accessories with
that may cause undesired operation. the equipment. However, the need to
use the special accessories must be de-
(e) For the purpose of this section, tailed in the instruction manual, and it
circuit boards used as repair parts for is the responsibility of the installer to
the replacement of electrically iden- provide and to install the required ac-
tical defective circuit boards are not cessories.
considered to be kits. (c) Accessory items that can be read-
ily obtained from multiple retail out-
[54 FR 17714, Apr. 25, 1989,as amended at 63
FR 36602, July 7, 1998] lets are not considered to be special ac-
cessories and are not required to be
§ 15.27 Special accessories. marketed with the equipment. The
manual included with the equipment
(a) Equipment marketed to a con- must specify what additional compo-
sumer must be capable of complying nents or accessories are required to be
with the necessary regulations in the used in order to ensure compliance
configuration in which the equipment with this part, and it is the responsi-
is marketed. Where special accessories, bility of the user to provide and use
such as shielded cables and/or special those components and accessories.
connectors, are required to enable an (d) The resulting system, including
unintentional or intentional radiator any accessories or components mar-
to comply with the emission limits in keted with the equipment, must com-
this part, the equipment must be mar- ply with the regulations.
keted with, i.e., shipped and sold with,
those special accessories. However, in § 15.29 Inspection by the Commission.
lieu of shipping or packaging the spe- (a) Any equipment or device subject
cial accessories with the unintentional to the provisions of this part, together
or intentional radiator, the responsible with any certificate, notice of registra-
party may employ other methods of en- tion or any technical data required to
suring that the special accessories are be kept on file by the operator, sup-
provided to the consumer, without ad- plier or party responsible for compli-
ditional charge, at the time of pur- ance of the device shall be made avail-
chase. Information detailing any alter- able for inspection by a Commission
native method used to supply the spe- representative upon reasonable re-
cial accessories shall be included in the quest.
application for a grant of equipment (b) The owner or operator of a radio
authorization or retained in the frequency device subject to this part
verification records, as appropriate. shall promptly furnish to the Commis-
The party responsible for the equip- sion or its representative such informa-
ment, as detailed in § 2.909 of this chap- tion as may be requested concerning
ter, shall ensure that these special ac- the operation of the radio frequency
cessories are provided with the equip- device.
ment. The instruction manual for such (c) The party responsible for the com-
devices shall include appropriate in- pliance of any device subject to this
structions on the first page of the text part shall promptly furnish to the
concerned with the installation of the Commission or its representatives such
device that these special accessories information as may be requested con-
must be used with the device. It is the cerning the operation of the device, in-
responsibility of the user to use the cluding a copy of any measurements
684
made for obtaining an equipment au- Computing Devices. Note: This proce-
thorization or demonstrating compli- dure may be used only for testing dig-
ance with the regulations. ital devices for which verification is
(d) The Commission, from time to obtained, or for which an application
time, may request the party respon- for equipment authorization is filed be-
sible for compliance, including an im- fore May 1, 1994. For compliance test-
porter, to submit to the FCC Labora- ing of digital devices on or after May 1,
tory in Columbia, Maryland, various 1994, see paragraph (a)(6) of this sec-
equipment to determine that the equip- tion.
ment continues to comply with the ap- (5) FCC/OET MP–9: FCC Procedure
plicable standards. Shipping costs to for Measuring Cable Television Switch
the Commission’s Laboratory and re- Isolation. Note: This procedure may be
turn shall be borne by the responsible used only for testing devices for which
party. Testing by the Commission will verification is obtained, or for which
be performed using the measurement an application for equipment author-
procedure(s) that was in effect at the ization is filed before June 1, 1995. For
time the equipment was authorized or compliance testing of these devices
verified. after that date, see paragraph (a)(6) of
this section.
§ 15.31 Measurement standards. (6) Digital devices authorized by
(a) The following measurement pro- verification, Declaration of Con-
cedures are used by the Commission to formity, or for which an application for
determine compliance with the tech- equipment authorization is filed on or
nical requirements in this part. Except after May 1, 1994, and intentional and
where noted, copies of these procedures other unintentional radiators for which
are available from the Commission’s verification is obtained, or for which
current duplicating contractor whose an application for equipment author-
name and address are available from ization is filed on or after June 1, 1995
the Commission’s Consumer Assistance are to be measured for compliance
Office at 202–632–7000. using the following procedure exclud-
(1) FCC/OET MP–1: FCC Methods of ing section 5.7, section 9 and section 14:
Measurements for Determining Com- American National Standards Institute
pliance of Radio Control and Security (ANSI) C63.4–1992, entitled ‘‘Methods of
Alarm Devices and Associated Receiv- Measurement of Radio-Noise Emissions
ers. Note: This procedure may be used from Low-Voltage Electrical and Elec-
only for testing devices for which tronic Equipment in the Range of 9
verification is obtained, or for which kHz to 40 GHz,’’ published by the Insti-
an application for equipment author- tute of Electrical and Electronic Engi-
ization is filed before June 1, 1995. For neers, Inc. on July 17, 1992 as document
compliance testing of these devices number SH15180. This incorporation by
after that date, see paragraph (a)(6) of reference was approved by the Director
this section. of the Federal Register in accordance
(2) FCC/OET MP–2: Measurement of with 5 U.S.C. 552(a) and 1 CFR part 51.
UHF Noise Figures of TV Receivers. The Commission encourages the use of
(3) FCC/OET MP–3: FCC Methods of this procedure for testing digital de-
Measurements of Output Signal Level, vices, intentional radiators, and other
Output Terminal Conducted Spurious unintentional radiators as soon as
Emissions, Transfer Switch Character- practical. Copies of ANSI C63.4–1992
istics, and Radio Noise Emissions from may be obtained from: IEEE Standards
TV Interface Devices. Note: This proce- Department, 455 Hoes Lane, P.O. Box
dure may be used only for testing de- 1331, Piscataway, NJ 08855–1331, tele-
vices for which verification is obtained, phone 1–800–678–4333. Copies of C63.4–
or for which an application for equip- 1992 may be inspected during normal
ment authorization is filed before June business hours at the following loca-
1, 1995. For compliance testing of these tions:
devices after that date, see paragraph (i) Federal Communications Commis-
(a)(6) of this section. sion, 445 12th Street, SW., Office of En-
(4) FCC/OET MP–4 (1987): FCC Proce- gineering and Technology, Washington,
dure for Measuring RF Emissions from DC 20554,
685
§ 15.31 47 CFR Ch. I (10–1–02 Edition)
(ii) Federal Communications Com- be performed with the supply voltage

mission Laboratory, 7435 Oakland Mills varied between 85% and 115% of the
Road, Columbia, MD 21046, or nominal rated supply voltage. For bat-
(iii) Office of the Federal Register, tery operated equipment, the equip-
800 North Capitol Street, NW., suite ment tests shall be performed using a
700, Washington, DC. new battery.
NOTE: Digital devices tested to show com- (f) To the extent practicable, the de-
pliance with the provisions of §§ 15.107(e) and vice under test shall be measured at
15.109(g) must be tested following the ANSI the distance specified in the appro-
C63.4 procedure described in paragraph (a)(6) priate rule section. The distance speci-
of this section. fied corresponds to the horizontal dis-
(b) All parties making compliance tance between the measurement an-
measurements on equipment subject to tenna and the closest point of the
the requirements of this part are urged equipment under test, support equip-
to use these measurement procedures. ment or interconnecting cables as de-
Any party using other procedures termined by the boundary defined by
should ensure that such other proce- an imaginary straight line periphery
dures can be relied on to produce meas- describing a simple geometric configu-
urement results compatible with the ration enclosing the system containing
FCC measurement procedures. The de- the equipment under test. The equip-
scription of the measurement proce- ment under test, support equipment
dure used in testing the equipment for and any interconnecting cables shall be
compliance and a list of the test equip- included within this boundary.
ment actually employed shall be made (1) At frequencies at or above 30 MHz,
part of an application for certification measurements may be performed at a
or included with the data required to distance other than what is specified
be retained by the party responsible for provided: measurements are not made
devices authorized pursuant to a Dec- in the near field except where it can be
laration of Conformity or devices sub- shown that near field measurements
ject to verification. are appropriate due to the characteris-
(c) For swept frequency equipment, tics of the device; and it can be dem-
measurements shall be made with the onstrated that the signal levels needed
frequency sweep stopped at those fre- to be measured at the distance em-
quencies chosen for the measurements ployed can be detected by the measure-
to be reported. ment equipment. Measurements shall
(d) Field strength measurements not be performed at a distance greater
shall be made, to the extent possible, than 30 meters unless it can be further
on an open field site. Test sites other demonstrated that measurements at a
than open field sites may be employed distance of 30 meters or less are im-
if they are properly calibrated so that practical. When performing measure-
the measurement results correspond to ments at a distance other than that
what would be obtained from an open specified, the results shall be extrapo-
field site. In the case of equipment for lated to the specified distance using an
which measurements can be performed extrapolation factor of 20 dB/decade
only at the installation site, such as (inverse linear-distance for field
perimeter protection systems, carrier strength measurements; inverse-linear-
current systems, and systems employ- distance-squared for power density
ing a ‘‘leaky’’ coaxial cable as an an- measurements).
tenna, measurements for verification (2) At frequencies below 30 MHz,
or for obtaining a grant of equipment measurements may be performed at a
authorizaton shall be performed at a distance closer than that specified in
minimum of three installations that the regulations; however, an attempt
can be demonstrated to be representa- should be made to avoid making meas-
tive of typical installation sites. urements in the near field. Pending the
(e) For intentional radiators, meas- development of an appropriate meas-
urements of the variation of the input urement procedure for measurements
power or the radiated signal level of performed below 30 MHz, when per-
the fundamental frequency component forming measurements at a closer dis-
of the emission, as appropriate, shall tance than specified, the results shall
686
be extrapolated to the specified dis- in this part shall be performed with all
tance by either making measurements of the devices in the system func-
at a minimum of two distances on at tioning. If an intentional radiator in-
least one radial to determine the prop- corporates more than one antenna or
er extrapolation factor or by using the other radiating source and these radi-
square of an inverse linear distance ex- ating sources are designed to emit at
trapolation factor (40 dB/decade). the same time, measurements of con-
(3) The applicant for a grant of cer- ducted and radiated emissions shall be
tification shall specify the extrapo- performed with all radiating sources
lation method used in the application that are to be employed emitting. A de-
filed with the Commission. For equip- vice which incorporates a carrier cur-
ment subject to Declaration of Con- rent system shall be tested as if the
formity or verification, this informa- carrier current system were incor-
tion shall be retained with the meas- porated in a separate device; that is,
urement data. the device shall be tested for compli-
(4) When measurement distances of 30 ance with whatever rules would apply
meters or less are specified in the regu- to the device were the carrier current
lations, the Commission will test the system not incorporated, and the car-
equipment at the distance specified un- rier current system shall be tested for
less measurement at that distance re- compliance with the rules applicable to
sults in measurements being performed carrier current systems.
in the near field. When measurement (i) If the device under test provides
distances of greater than 30 meters are for the connection of external acces-
specified in the regulations, the Com- sories, including external electrical
mission will test the equipment at a input signals, the device shall be tested
closer distance, usually 30 meters, ex- with the accessories attached. The de-
trapolating the measured field strength vice under test shall be fully exercised
to the specified distance using the with these external accessories. The
methods shown in this section. emission tests shall be performed with
(5) Measurements shall be performed the device and accessories configured
at a sufficient number of radials in a manner that tends to produce
around the equipment under test to de- maximized emissions within the range
termine the radial at which the field of variations that can be expected
strength values of the radiated emis- under normal operating conditions. In
sions are maximized. The maximum the case of multiple accessory external
field strength at the frequency being ports, an external accessory shall be
measured shall be reported in an appli- connected to one of each type of port.
cation for certification. Only one test using peripherals or ex-
(g) Equipment under test shall be ad- ternal accessories that are representa-
justed, using those controls that are tive of the devices that will be em-
readily accessible to or are intended to ployed with the equipment under test
be accessible to the consumer, in such is required. All possible equipment
a manner as to maximize the level of combinations do not need to be tested.
the emissions. For those devices to The accessories or peripherals con-
which wire leads may be attached by nected to the device being tested shall
the consumer, tests shall be performed be unmodified, commercially available
with wire leads attached. The wire equipment.
leads shall be of the length to be used (j) If the equipment under test con-
with the equipment if that length is sists of a central control unit and an
known. Otherwise, wire leads one external or internal accessory(ies)
meter in length shall be attached to (peripheral) and the party verifying the
the equipment. Longer wire leads may equipment or applying for a grant of
be employed if necessary to inter- equipment authorization manufactures
connect to associated peripherals. or assembles the central control unit
(h) For a composite system that in- and at least one of the accessory de-
corporates devices contained either in vices that can be used with that con-
a single enclosure or in separate enclo- trol unit, testing of the control unit
sures connected by wire or cable, test- and/or the accessory(ies) must be per-
ing for compliance with the standards formed using the devices manufactured
687
§ 15.31 47 CFR Ch. I (10–1–02 Edition)
or assembled by that party, in addition A internal peripheral(s) installed but

to any other needed devices which the not active.
party does not manufacture or assem- (l) Measurements of radio frequency
ble. If the party verifying the equip- emissions conducted to the public util-
ment or applying for a grant of equip- ity power lines shall be performed
ment authorization does not manufac- using a 50 ohm/50 uH line-impedance
ture or assemble the central control stabilization network (LISN).
unit and at least one of the accessory NOTE: Receivers tested under the transi-
devices that can be used with that con- tion provisions contained in § 15.37 may be
trol unit or the party can demonstrate tested with a 50 ohm/5 µH LISN.
that the central control unit or acces-
(m) Measurements on intentional ra-
sory(ies) normally would be marketed
diators or receivers, other than TV
or used with equipment from a dif-
broadcast receivers, shall be performed
ferent entity, testing of the central
and, if required, reported for each band
control unit and/or the accessory(ies)
in which the device can be operated
must be performed using the specific
with the device operating at the num-
combination of equipment which is in- ber of frequencies in each band speci-
tended to be marketed or used to- fied in the following table:
gether. Only one test using peripherals
or accessories that are representatve of Number
Frequency range over of fre- Location in the range of
the devices that will be employed with which device operates quen- operation
the equipment under test is required. cies
All possible equipment combinations
1 MHz or less ............... 1 Middle.
are not required to be tested. The ac- 1 to 10 MHz .................. 2 1 near top and 1 near
cessories or peripherals connected to bottom.
the device being tested shall be un- More than 10 MHz ........ 3 1 near top, 1 near mid-
dle and 1 near bot-
modified, commercially available tom.
equipment.
(k) A composite system is a system (n) Measurements on TV broadcast
that incorporates different devices con- receivers shall be performed with the
tained either in a single enclosure or in receiver tuned to each VHF frequency
separate enclosures connected by wire and also shall include the following os-
or cable. If the individual devices in a cillator frequencies: 520, 550, 600, 650,
composite system are subject to dif- 700, 750, 800, 850, 900 and 931 MHz. If
ferent technical standards, each such measurements cannot be made on one
device must comply with its specific or more of the latter UHF frequencies
standards. In no event may the meas- because of the presence of signals from
ured emissions of the composite system licensed radio stations or for other rea-
exceed the highest level permitted for sons to be detailed in the measurement
an individual component. For digital report, measurements shall be made
devices which consist of a combination with the receiver oscillator at a nearby
of Class A and Class B devices, the frequency. If the receiver is not capa-
total combination of which results in a ble of receiving channels above 806
Class A digital device, it is only nec- MHz, the measurements employing the
essary to demonstrate that the equip- oscillator frequencies 900 and 931 MHz
ment combination complies with the may be omitted.
limits for a Class A device. This equip- (o) The amplitude of spurious emis-
ment combination may not be em- sions from intentional radiators and
ployed for obtaining a grant of equip- emissions from unintentional radiators
ment authorization or verifying a Class which are attenuated more than 20 dB
B digital device. However, if the digital below the permissible value need not
device combination consists of a Class be reported unless specifically required
B central control unit, e.g., a personal elsewhere in this part.
computer, and a Class A internal pe- (p) In those cases where the provi-
ripheral(s), it must be demonstrated sions in this section conflict with the
that the Class B central control unit measurement procedures in paragraph
continues to comply with the limits for (a) of this section and the procedures
a Class B digital device with the Class were implemented after June 23, 1989,
688
the provisions contained in the meas- (2) In lieu of the procedure in (a)(1) of
urement procedures shall take prece- this section, CPU boards may be tested
dence. to demonstrate compliance with the
[54 FR 17714, Apr. 25, 1989, as amended at 56 limits in § 15.109 using a specified enclo-
FR 13083, Mar. 29, 1991; 57 FR 24990, June 12, sure with the cover installed. Testing
1992; 57 FR 33448, July 29, 1992; 58 FR 37430, for radiated emissions shall be per-
July 12, 1993; 58 FR 51249, Oct. 1, 1993; 61 FR formed with the CPU board installed in
14502, Apr. 2, 1996; 62 FR 41881, Aug. 4, 1997; 62 a typical system configuration. Addi-
FR 45333, Aug. 27, 1997; 63 FR 36602, July 7,
tional components, including a power
1998; 63 FR 42278, Aug. 7, 1998; 65 FR 58466,
Sept. 29, 2000] supply, peripheral devices, and sub-
assemblies, shall be added, as needed,
§ 15.32 Test procedures for CPU to result in a complete personal com-
boards and computer power sup- puter system. If the oscillator and the
plies. microprocessor circuits are contained
Power supplies and CPU boards used on separate circuit boards, both boards,
with personal computers and for which typical of the combination that would
separate authorizations are required to normally be employed, must be used in
be obtained shall be tested as follows: the test. Testing shall be in accordance
(a) CPU boards shall be tested as fol- with the procedures specified in § 15.31.
lows: Under this procedure, CPU boards that
(1) Testing for radiated emissions comply with the limits in § 15.109 must
shall be performed with the CPU board be marketed together with the specific
installed in a typical enclosure but enclosure used for the test.
with the enclosure’s cover removed so (3) The test demonstrating compli-
that the internal circuitry is exposed ance with the AC power line conducted
at the top and on at least two sides. limits specified in § 15.107 shall be per-
Additional components, including a formed in accordance with the proce-
power supply, peripheral devices, and dures specified in § 15.31 using a enclo-
subassemblies, shall be added, as need- sure, peripherals, power supply and
ed, to result in a complete personal
subassemblies that are typical of the
computer system. If the oscillator and
type with which the CPU board under
the microprocessor circuits are con-
test would normally be employed.
tained on separate circuit boards, both
boards, typical of the combination that (b) The power supply shall be tested
would normally be employed, must be installed in an enclosure that is typical
used in the test. Testing shall be in ac- of the type within which it would nor-
cordance with the procedures specified mally be installed. Additional compo-
in § 15.31. nents, including peripheral devices, a
(i) Under these test conditions, the CPU board, and subassemblies, shall be
system under test shall not exceed the added, as needed, to result in a com-
radiated emission limits specified in plete personal computer system. Test-
§ 15.109 by more than 6 dB. Emissions ing shall be in accordance with the pro-
greater than 6 dB that can be identified cedures specified in § 15.31 and must
and documented to originate from a demonstrate compliance with all of the
component(s) other than the CPU standards contained in this part.
board being tested, may be dismissed.
(ii) Unless the test in paragraph
FR 41881, Aug. 4, 1997]
(a)(1)(i) of this section demonstrates
compliance with the limits in § 15.109, a § 15.33 Frequency range of radiated
second test shall be performed using measurements.
the same configuration described above
but with the cover installed on the en- (a) For an intentional radiator, the
closure. Testing shall be in accordance spectrum shall be investigated from
with the procedures specified in § 15.31. the lowest radio frequency signal gen-
Under these test conditions, the sys- erated in the device, without going
tem under test shall not exceed the ra- below 9 kHz, up to at least the fre-
diated emission limits specified in quency shown in this paragraph:
§ 15.109.
689
§ 15.33 47 CFR Ch. I (10–1–02 Edition)
(1) If the intentional radiator oper- less than 30 MHz and which, in accord-
ates below 10 GHz: to the tenth har- ance with § 15.109, is required to comply
monic of the highest fundamental fre- with standards on the level of radiated
quency or to 40 GHz, whichever is emissions within the frequency range 9
lower. kHz to 30 MHz, such as a CB receiver or
(2) If the intentional radiator oper- a device designed to conduct its radio
ates at or above 10 GHz and below 30 frequency emissions via connecting
GHz: to the fifth harmonic of the high- wires or cables, e.g., a carrier current
est fundamental frequency or to 100 system not intended to radiate, shall
GHz, whichever is lower. be investigated from the lowest radio
(3) If the intentional radiator oper- frequency generated or used in the de-
ates at or above 30 GHz: to the fifth vice, without going below 9 kHz (25
harmonic of the highest fundamental MHz for CB receivers), up to the fre-
frequency or to 200 GHz, whichever is quency shown in the following table. If
lower, unless specified otherwise else- the unintentional radiator contains a
where in the rules. digital device, the upper frequency to
(4) If the intentional radiator con- be investigated shall be that shown in
tains a digital device, regardless of the table below or in the table in para-
whether this digital device controls the graph (b)(1) of this section, as based on
functions of the intentional radiator or both the highest frequency generated
the digital device is used for additional and the highest frequency used in the
control or function purposes other than digital device, whichever range is high-
to enable the operation of the inten- er.
tional radiator, the frequency range
shall be investigated up to the range Upper fre-
Highest frequency generated or used in the de- quency of
specified in paragraphs (a)(1) through vice or on which the device operates or tunes measure-
(a)(3) of this section or the range appli- (MHz) ment range
(MHz)
cable to the digital device, as shown in
paragraph (b)(1) of this section, which- Below 1.705 ....................................................... 30
ever is the higher frequency range of 1.705–10 ............................................................ 400
10–30 ................................................................. 500
investigation.
(b) For unintentional radiators: (3) Except for a CB receiver, a re-
(1) Except as otherwise indicated in ceiver employing superheterodyne
paragraphs (b)(2) or (b)(3) of this sec- techniques shall be investigated from
tion, for an unintentional radiator, in- 30 MHz up to at least the second har-
cluding a digital device, the spectrum monic of the highest local oscillator
shall be investigated from the lowest frequency generated in the device. If
radio frequency signal generated or
such receiver is controlled by a digital
used in the device, without going below
device, the frequency range shall be in-
the lowest frequency for which a radi-
vestigated up to the higher of the sec-
ated emission limit is specified, up to
ond harmonic of the highest local os-
the frequency shown in the following
cillator frequency generated in the de-
table:
vice or the upper frequency of the
Highest frequency generated measurement range specified for the
or used in the device or on Upper frequency of measure- digital device in paragraph (b)(1) of
which the device operates or ment range (MHz)
tunes (MHz) this section.
(c) The above specified frequency
Below 1.705 ........................... 30.
1.705–108 .............................. 1000. ranges of measurements apply to the
108–500 ................................. 2000. measurement of radiated emissions
500–1000 ............................... 5000. and, in the case of receivers, the meas-
Above 1000 ........................... 5th harmonic of the highest
frequency or 40 GHz, urement to demonstrate compliance
whichever is lower. with the antenna conduction limits
specified in § 15.111. The frequency
(2) A unintentional radiator, exclud- range of measurements for AC power
ing a digital device, in which the high- line conducted limits is specified in
est frequency generated in the device, §§ 15.107 and 15.207 and applies to all
the highest frequency used in the de- equipment subject to those regula-
vice and the highest frequency on tions. In some cases, depending on the
which the device operates or tunes are frequency(ies) generated and used by
690
the equipment, only signals conducted detector function. When average radi-
onto the AC power lines are required to ated emission measurements are speci-
be measured. fied in this part, including emission
(d) Particular attention should be measurements below 1000 MHz, there
paid to harmonics and subharmonics of also is a limit on the radio frequency
the fundamental frequency as well as emissions, as measured using instru-
to those frequencies removed from the mentation with a peak detector func-
fundamental by multiples of the oscil- tion, corresponding to 20 dB above the
lator frequency. Radiation at the fre- maximum permitted average limit for
quencies of multiplier states should the frequency being investigated unless
also be checked. a different peak emission limit is oth-
erwise specified in the rules, e.g., see
FR 14502, Apr. 2, 1996; 63 FR 42278, Aug. 7, §§ 15.255, 15.509 and 15.511. Unless other-
1998] wise specified, measurements above
1000 MHz shall be performed using a
§ 15.35 Measurement detector func- minimum resolution bandwidth of 1
tions and bandwidths. MHz. Measurements of AC power line
The conducted and radiated emission conducted emissions are performed
limits shown in this part are based on using a CISPR quasi-peak detector,
the following, unless otherwise speci- even for devices for which average radi-
fied elsewhere in this part: ated emission measurements are speci-
(a) On any frequency or frequencies fied.
below or equal to 1000 MHz, the limits (c) Unless otherwise specified, e.g.
shown are based on measuring equip- § 15.255(b), when the radiated emission
ment employing a CISPR quasi-peak limits are expressed in terms of the av-
detector function and related measure- erage value of the emission, and pulsed
ment bandwidths, unless otherwise operation is employed, the measure-
specified. The specifications for the ment field strength shall be deter-
measuring instrument using the CISPR mined by averaging over one complete
quasi-peak detector can be found in pulse train, including blanking inter-
Publication 16 of the International vals, as long as the pulse train does not
Special Committee on Radio Inter- exceed 0.1 seconds. As an alternative
ference (CISPR) of the International (provided the transmitter operates for
Electrotechnical Commission. As an al- longer than 0.1 seconds) or in cases
ternative to CISPR quasi-peak meas- where the pulse train exceeds 0.1 sec-
urements, the responsible party, at its onds, the measured field strength shall
option, may demonstrate compliance be determined from the average abso-
with the emission limits using meas- lute voltage during a 0.1 second inter-
uring equipment employing a peak de- val during which the field strength is
tector function, properly adjusted for at its maximum value. The exact meth-
such factors as pulse desensitization, od of calculating the average field
as long as the same bandwidths as indi- strength shall be submitted with any
cated for CISPR quasi-peak measure- application for certification or shall be
ments are employed. retained in the measurement data file
for equipment subject to notification
NOTE: For pulse modulated devices with a
or verification.
pulse-repetition frequency of 20 Hz or less
and for which CISPR quasi-peak measure- [54 FR 17714, Apr. 25, 1989, as amended at 56
ments are specified, compliance with the FR 13083, Mar. 29, 1991; 61 FR 14502, Apr. 2,
regulations shall be demonstrated using 1996; 63 FR 42279, Aug. 7, 1998; 67 FR 34855,
measuring equipment employing a peak de- May 16, 2002]
tector function, properly adjusted for such
factors as pulse desensitization, using the § 15.37 Transition provisions for com-
same measurement bandwidths that are indi- pliance with the rules.
cated for CISPR quasi-peak measurements.
Equipment may be authorized, manu-
(b) Unless otherwise stated, on any factured and imported under the rules
frequency or frequencies above 1000 in effect prior to June 23, 1989, in ac-
MHz the radiated limits shown are cordance with the following schedules:
based upon the use of measurement in- (a) For all intentional and uninten-
strumentation employing an average tional radiators, except for receivers:
691
§ 15.37 47 CFR Ch. I (10–1–02 Edition)
Radio frequency equipment verified by of § 15.214(d) of this part, need not be re-
the responsible party or for which an authorized.
application for a grant of equipment (f) The manufacture or importation
authorization is submitted to the Com- of scanning receivers, and frequency
mission on or after June 23, 1992, shall converters designed or marketed for
comply with the regulations specified use with scanning receivers, that do
in this part. Radio frequency equip- not comply with the provisions of
ment that is manufactured or imported § 15.121(a)(1) shall cease on or before
on or after June 23, 1994, shall comply April 26, 1994. Effective April 26, 1993,
with the regulations specified in this the Commission will not grant equip-
part. ment authorization for receivers that
(b) For receivers: Receivers subject to do not comply with the provisions of
the regulations in this part that are § 15.121(a)(1). These rules do not pro-
manufactured or imported on or after hibit the sale or use of authorized re-
June 23, 1999, shall comply with the ceivers manufactured in the United
regulations specified in this part. How- States, or imported into the United
ever, if a receiver is associated with a States, prior to April 26, 1994.
transmitter that could not have been (g) For CPU boards and power sup-
authorized under the regulations in ef- plies designed to be used with personal
fect prior to June 23, 1989, e.g., a trans- computers: The manufacture and im-
mitter operating under the provisions portation of these products shall cease
of § 15.209 or § 15.249 (below 960 MHz), on or before June 19, 1997 unless these
the transition provisions in this sec- products have been authorized under a
tion do not apply. Such receivers must Declaration of Conformity or a grant of
comply with the regulations in this certification, demonstrating compli-
part. In addition, receivers are subject ance with all of the provisions in this
to the provisions in paragraph (f) of part. Limited provisions, as detailed in
this section. § 15.101(d), are provided to permit the
(c) There are no restrictions on the importation and manufacture of these
operation or marketing of equipment products subsequent to this date where
complying with the regulations in ef- the CPU boards and/or power supplies
fect prior to June 23, 1989. are marketed only to personal com-
(d) Prior to May 25, 1991, person shall puter equipment manufacturers.
import, market or operate intentional (h) The manufacture or importation
radiators within the band 902–905 MHz of scanning receivers, and frequency
under the provisions of § 15.249. Until converters designed or marketed for
that date, the Commission will not use with scanning receivers, that do
issue a grant of equipment authoriza- not comply with the provisions of
tion for equipment operating under § 15.121 shall cease on or before October
§ 15.249 if the equipment is designed to 25, 1999. Effective July 26, 1999 the Com-
permit operation within the band 902– mission will not grant equipment au-
905 MHz. thorization for receivers that do not
(e) For cordless telephones: The manu- comply with the provisions of § 15.121.
facture and importation of cordless This paragraph does not prohibit the
telephones not complying with sale or use of authorized receivers man-
§ 15.214(d) of this part shall cease on or ufactured in the United States, or im-
before September 11, 1991. These provi- ported into the United States, prior to
sions will not apply to cordless tele- October 25, 1999.
phones which are repaired or refur- (i) Effective October 16, 2002, an
bished, or re-imported after repair or equipment approval may no longer be
refurbishment. Applications for a grant obtained for medical telemetry equip-
of equipment authorization of cordless ment operating under the provisions of
telephones not complying with § 15.241 or § 15.242. The requirements for
§ 15.214(d) of this part will not be ac- obtaining an approval for medical te-
cepted by the Commission after May lemetry equipment after this date are
10, 1991. Cordless telephones that have found in Subpart H of Part 95 of this
previously received equipment author- chapter.
ization and that, without modification, (j) All radio frequency devices that
already comply with the requirements are authorized under the certification,
692
verification or declaration of con- 2003 may be labeled with the informa-

formity procedures on or after July 12, tion required by §§ 2.925 and 15.19(a) of
2004 shall comply with the conducted this chapter on the individual equip-
limits specified in § 15.107 or § 15.207 as ment carton rather than on the device,
appropriate. All radio frequency de- and are exempt from complying with
vices that are manufactured or im- the requirements of § 15.21.
ported on or after July 11, 2005 shall
comply with the conducted limits spec- [54 FR 17714, Apr. 25, 1989; 54 FR 32339, Aug.
ified in § 15.107 or § 15.207, as appro- 7, 1989; 55 FR 25095, June 20, 1990; 56 FR 3785,
priate. Equipment authorized, im- Jan. 31, 1991; 58 FR 25575, Apr. 27, 1993; 61 FR
31049, June 19, 1996; 64 FR 22561, Apr. 27, 1999;
ported or manufactured prior to these
65 FR 44008, July 17, 2000; 67 FR 45670, July 10,
dates shall comply with the conducted 2002; 67 FR 48993, July 29, 2002]
limits specified in § 15.107 or § 15.207, as
appropriate, or with the conducted lim-
its that were in effect immediately Subpart B—Unintentional Radiators
prior to September 9, 2002.
(k) Radar detectors manufactured or § 15.101 Equipment authorization of
unintentional radiators.
imported after August 28, 2002 and mar-
keted after September 27, 2002 shall (a) Except as otherwise exempted in
comply with the regulations specified §§ 15.23, 15.103, and 15.113, unintentional
in this part. Radar detectors manufac- radiators shall be authorized prior to
tured or imported prior to January 27, the initiation of marketing, as follows:
Type of device Equipment authorization required
TV broadcast receiver ........................................................... Verification.

FM broadcast receiver ........................................................... Verification.
CB receiver ............................................................................ Declaration of Conformity or Certification.
Superregenerative receiver ................................................... Declaration of Conformity or Certification.
Scanning receiver .................................................................. Certification.
Radar detector ....................................................................... Certification.
All other receivers subject to part 15 .................................... Declaration of Conformity or Certification.
TV interface device ................................................................ Declaration of Conformity or Certification.
Cable system terminal device ............................................... Declaration of Conformity.
Stand-alone cable input selector switch ................................ Verification.
Class B personal computers and peripherals ....................... Declaration of Conformity or Certification.1
CPU boards and internal power supplies used with Class B Declaration of Conformity or Certification.1
personal computers.
Class B personal computers assembled using authorized Declaration of Conformity.
CPU boards or power supplies.
Class B external switching power supplies ........................... Verification.
Other Class B digital devices and peripherals ...................... Verification.
Class A digital devices, peripherals and external switching Verification.
power supplies.
All other devices .................................................................... Verification.
Note to table: Where the above table indicates more than one category of authorization for a device, the party responsible for
compliance has the option to select the type of authorization.
1 Applications for this equipment will no longer be accepted by the Commission once domestic Telecommunication Certification
Bodies are available to certificate the equipment. See § 2.960 of this chapter.
(b) Only those receivers that operate exempt from complying with the tech-
(tune) within the frequency range of nical provisions of this part but are
30–960 MHz, CB receivers and radar de- subject to § 15.5.
tectors are subject to the authoriza- (c) Personal computers shall be au-
tions shown in paragraph (a) of this thorized in accordance with one of the
section. However, receivers indicated following methods:
as being subject to Declaration of Con- (1) The specific combination of CPU
formity that are contained within a board, power supply and enclosure is
transceiver, the transmitter portion of tested together and authorized under a
which is subject to certification, shall Declaration of Conformity or a grant of
be authorized under the verification certification;
procedure. Receivers operating above (2) The personal computer is author-
960 MHz or below 30 MHz, except for ized under a Declaration of Conformity
radar detectors and CB receivers, are or a grant of certification, and the CPU
693
§ 15.102 47 CFR Ch. I (10–1–02 Edition)
board or power supply in that com- keted as part of a system in which case
puter is replaced with a CPU board or the resulting system must comply with
power supply that has been separately the applicable regulations. Subassem-
authorized under a Declaration of Con- blies include:
formity or a grant of certification; or (1) Devices that are enclosed solely
(3) The CPU board and power supply within the enclosure housing the dig-
used in the assembly of a personal com- ital device, except for: power supplies
puter have been separately authorized used in personal computers; devices in-
under a Declaration of Conformity or a cluded under the definition of a periph-
grant of certification; and eral device in § 15.3(r); and personal
(4) Personal computers assembled computer CPU boards, as defined in
using either of the methods specified in § 15.3(bb);
paragraphs (c)(2) or (c)(3) of this sec- (2) CPU boards, as defined in
tion must, by themselves, also be au- § 15.3(bb), other than those used in per-
thorized under a Declaration of Con- sonal computers, that are marketed
formity if they are marketed. However, without an enclosure or power supply;
additional testing is not required for and
this Declaration of Conformity, pro- (3) Switching power supplies that are
vided the procedures in § 15.102(b) are separately marketed and are solely for
followed. use internal to a device other than a
(d) Peripheral devices, as defined in personal computer.
§ 15.3(r), shall be authorized under a (f) The procedures for obtaining a
Declaration of Conformity, or a grant grant of certification or notification
of certification, or verified, as appro- and for verification and a Declaration
priate, prior to marketing. Regardless of Conformity are contained in subpart
of the provisions of paragraphs (a) or J of part 2 of this chapter.
(c) of this section, if a CPU board,
power supply, or peripheral device will [54 FR 17714, Apr. 25, 1989, as amended at 61
always be marketed with a specific per- FR 31050, June 19, 1996; 63 FR 36602, July 7,
sonal computer, it is not necessary to 1998; 64 FR 4997, Feb. 2, 1999; 67 FR 48993, July
obtain a separate authorization for 29, 2002]
that product provided the specific com-
§ 15.102 CPU boards and power sup-
bination of personal computer, periph- plies used in personal computers.
eral device, CPU board and power sup-
ply has been authorized under a Dec- (a) Authorized CPU boards and power
laration of Conformity or a grant of supplies that are sold as separate com-
certification as a personal computer. ponents shall be supplied with com-
(1) No authorization is required for a plete installation instructions. These
peripheral device or a subassembly instructions shall specify all of the in-
that is sold to an equipment manufac- stallation procedures that must be fol-
turer for further fabrication; that man- lowed to ensure compliance with the
ufacturer is responsible for obtaining standards, including, if necessary, the
the necessary authorization prior to type of enclosure, e.g., a metal enclo-
further marketing to a vendor or to a sure, proper grounding techniques, the
user. use of shielded cables, the addition of
(2) Power supplies and CPU boards any needed components, and any nec-
that have not been separately author- essary modifications to additional
ized and are designed for use with per- components.
sonal computers may be imported and (1) Any additional parts needed to en-
marketed only to a personal computer sure compliance with the standards,
equipment manufacturer that has indi- except for the enclosure, are considered
cated, in writing, to the seller or im- to be special accessories and, in accord-
porter that they will obtain a Declara- ance with § 15.27, must be marketed
tion of Conformity or a grant of certifi- with the CPU board or power supply.
cation for the personal computer em- (2) Any modifications that must be
ploying these components. made to a personal computer, periph-
(e) Subassemblies to digital devices eral device, CPU board or power supply
are not subject to the technical stand- during installation of a CPU board or
ards in this part unless they are mar- power supply must be simple enough
694
that they can be performed by the av- ference. Operation shall not resume
erage consumer. Parts requiring sol- until the condition causing the harm-
dering, disassembly of circuitry or ful interference has been corrected. Al-
other similar modifications are not though not mandatory, it is strongly
permitted. recommended that the manufacturer of
(b) Assemblers of personal computer an exempted device endeavor to have
systems employing modular CPU the device meet the specific technical
boards and/or power supplies are not standards in this part.
required to test the resulting system (a) A digital device utilized exclu-
provided the following conditions are sively in any transportation vehicle in-
met: cluding motor vehicles and aircraft.
(1) Each device used in the system (b) A digital device used exclusively
has been authorized as required under as an electronic control or power sys-
this part (according to § 15.101(e), some
tem utilized by a public utility or in an
subassemblies used in a personal com-
industrial plant. The term public utility
puter system may not require an au-
includes equipment only to the extent
thorization);
that it is in a dedicated building or
(2) The original label and identifica-
tion on each piece of equipment remain large room owned or leased by the util-
unchanged; ity and does not extend to equipment
(3) Each responsible party’s instruc- installed in a subscriber’s facility.
tions to ensure compliance (including, (c) A digital device used exclusively
if necessary, the use of shielded cables as industrial, commercial, or medical
or other accessories or modifications) test equipment.
are followed when the system is assem- (d) A digital device utilized exclu-
bled; sively in an appliance, e.g., microwave
(4) If the system is marketed, the re- oven, dishwasher, clothes dryer, air
sulting equipment combination is au- conditioner (central or window), etc.
thorized under a Declaration of Con- (e) Specialized medical digital de-
formity pursuant to § 15.101(c)(4) and a vices (generally used at the direction
compliance information statement, as of or under the supervision of a li-
described in § 2.1077(b), is supplied with censed health care practitioner) wheth-
the system. Marketed systems shall er used in a patient’s home or a health
also comply with the labelling require- care facility. Non-specialized medical
ments in § 15.19 and must be supplied devices, i.e., devices marketed through
with the information required under retail channels for use by the general
§§ 15.21, 15.27 and 15.105; and public, are not exempted. This exemp-
(5) The assembler of a personal com- tion also does not apply to digital de-
puter system may be required to test vices used for record keeping or any
the system and/or make necessary purpose not directly connected with
modifications if a system is found to medical treatment.
cause harmful interference or to be (f) Digital devices that have a power
noncompliant with the appropriate consumption not exceeding 6 nW.
standards in the configuration in which (g) Joystick controllers or similar
it is marketed (see §§ 2.909, 15.1, 15.27(d) devices, such as a mouse, used with
and 15.101(e)). digital devices but which contain only
[61 FR 31050, June 19, 1996] non-digital circuitry or a simple cir-
cuit to convert the signal to the format
§ 15.103 Exempted devices. required (e.g., an integrated circuit for
The following devices are subject analog to digital conversion) are
only to the general conditions of oper- viewed as passive add-on devices, not
ation in §§ 15.5 and 15.29 and are exempt themselves directly subject to the
from the specific technical standards technical standards or the equipment
and other requirements contained in authorization requirements.
this part. The operator of the exempted (h) Digital devices in which both the
device shall be required to stop oper- highest frequency generated and the
ating the device upon a finding by the highest frequency used are less than
Commission or its representative that 1.705 MHz and which do not operate
the device is causing harmful inter- from the AC power lines or contain
695
§ 15.105 47 CFR Ch. I (10–1–02 Edition)
provisions for operation while con- interference in a residential installation.

nected to the AC power lines. Digital This equipment generates, uses and can radi-
devices that include, or make provision ate radio frequency energy and, if not in-
for the use of, battery eliminators, AC stalled and used in accordance with the in-
structions, may cause harmful interference
adaptors or battery chargers which
to radio communications. However, there is
permit operation while charging or no guarantee that interference will not occur
that connect to the AC power lines in- in a particular installation. If this equip-
directly, obtaining their power through ment does cause harmful interference to
another device which is connected to radio or television reception, which can be
the AC power lines, do not fall under determined by turning the equipment off and
this exemption. on, the user is encouraged to try to correct
(i) Responsible parties should note the interference by one or more of the fol-
that equipment containing more than lowing measures:
one device is not exempt from the tech- —Reorient or relocate the receiving antenna.
nical standards in this part unless all —Increase the separation between the equip-
of the devices in the equipment meet ment and receiver.
the criteria for exemption. If only one —Connect the equipment into an outlet on a
circuit different from that to which the re-
of the included devices qualifies for ex-
ceiver is connected.
emption, the remainder of the equip-
—Consult the dealer or an experienced radio/
ment must comply with any applicable TV technician for help.
regulations. If a device performs more
than one function and all of those func- (c) The provisions of paragraphs (a)
tions do not meet the criteria for ex- and (b) of this section do not apply to
emption, the device does not qualify digital devices exempted from the tech-
for inclusion under the exemptions. nical standards under the provisions of
§ 15.103.
§ 15.105 Information to the user. (d) For systems incorporating several
(a) For a Class A digital device or pe- digital devices, the statement shown in
ripheral, the instructions furnished the paragraph (a) or (b) of this section
user shall include the following or needs to be contained only in the in-
similar statement, placed in a promi- struction manual for the main control
nent location in the text of the man- unit.
ual:
§ 15.107 Conducted limits.
NOTE: This equipment has been tested and
found to comply with the limits for a Class (a) Except for Class A digital devices,
A digital device, pursuant to part 15 of the for equipment that is designed to be
FCC Rules. These limits are designed to pro- connected to the public utility (AC)
vide reasonable protection against harmful power line, the radio frequency voltage
interference when the equipment is operated
in a commercial environment. This equip- that is conducted back onto the AC
ment generates, uses, and can radiate radio power line on any frequency or fre-
frequency energy and, if not installed and quencies within the band 150 kHz to 30
used in accordance with the instruction MHz shall not exceed the limits in the
manual, may cause harmful interference to following table, as measured using a 50
radio communications. Operation of this µH/50 ohms line impedance stabiliza-
equipment in a residential area is likely to tion network (LISN). Compliance with
cause harmful interference in which case the
user will be required to correct the inter-
the provisions of this paragraph shall
ference at his own expense. be based on the measurement of the
radio frequency voltage between each
(b) For a Class B digital device or pe- power line and ground at the power ter-
ripheral, the instructions furnished the minal. The lower limit applies at the
user shall include the following or band edges.
similar statement, placed in a promi-
nent location in the text of the man- Frequency of emis- Conducted limit (dBµV)
ual: sion (MHz) Quasi-peak Average
NOTE: This equipment has been tested and
0.15–0.5 ................... 66 to 56* ............. 56 to 46*
found to comply with the limits for a Class
0.5–5 ........................ 56 ....................... 46
B digital device, pursuant to part 15 of the
5–30 ......................... 60 ....................... 50
FCC Rules. These limits are designed to pro-
vide reasonable protection against harmful *Decreases with the logarithm of the frequency.
696
(b) For a Class A digital device that tested to demonstrate compliance with
is designed to be connected to the pub- the conducted limits.
lic utility (AC) power line, the radio [54 FR 17714, Apr. 25, 1989, as amended at 57
frequency voltage that is conducted FR 33448, July 29, 1992; 58 FR 51249, Oct. 1,
back onto the AC power line on any 1993; 66 FR 19098, Apr. 13, 2001; 67 FR 45670,
frequency or frequencies within the July 10, 2002]
band 150 kHz to 30 MHz shall not exceed
the limits in the following table, as § 15.109 Radiated emission limits.
measured using a 50 µH/50 ohms LISN. (a) Except for Class A digital devices,
Compliance with the provisions of this the field strength of radiated emissions
paragraph shall be based on the meas- from unintentional radiators at a dis-
urement of the radio frequency voltage tance of 3 meters shall not exceed the
between each power line and ground at following values:
the power terminal. The lower limit Field
applies at the boundary between the Frequency of emission (MHz) strength
(microvolts/
frequency ranges. meter)
Conducted limit (dBµV) 30–88 .................................................................. 100
Frequency of emis-
sion (MHz) 88–216 ................................................................ 150
Quasi-peak Average
216–960 .............................................................. 200
Above 960 ........................................................... 500
0.15–0.5 ................... 79 ....................... 66
0.5–30 ...................... 73 ....................... 60
(b) The field strength of radiated
(c) The limits shown in paragraphs emissions from a Class A digital de-
(a) and (b) of this section shall not vice, as determined at a distance of 10
apply to carrier current systems oper- meters, shall not exceed the following:
ating as unintentional radiators on fre- Field
quencies below 30 MHz. In lieu thereof, strength
Frequency of emission (MHz) (microvolts/
these carrier current systems shall be meter)
subject to the following standards:
30–88 .................................................................. 90
(1) For carrier current systems con- 88–216 ................................................................ 150
taining their fundamental emission 216–960 .............................................................. 210
within the frequency band 535–1705 kHz Above 960 ........................................................... 300
and intended to be received using a
standard AM broadcast receiver: no (c) In the emission tables above, the
limit on conducted emissions. tighter limit applies at the band edges.
(2) For all other carrier current sys- Sections 15.33 and 15.35 which specify
the frequency range over which radi-
tems: 1000 µV within the frequency
ated emissions are to be measured and
band 535–1705 kHz, as measured using a
the detector functions and other meas-
50 µH/50 ohms LISN.
urement standards apply.
(3) Carrier current systems operating (d) For CB receivers, the field
below 30 MHz are also subject to the ra- strength of radiated emissions within
diated emission limits in § 15.109(e). the frequency range of 25–30 MHz shall
(d) Measurements to demonstrate not exceed 40 microvolts/meter at a dis-
compliance with the conducted limits tance of 3 meters. The field strength of
are not required for devices which only radiated emissions above 30 MHz from
employ battery power for operation such devices shall comply with the lim-
and which do not operate from the AC its in paragraph (a) of this section.
power lines or contain provisions for (e) Carrier current systems used as
operation while connected to the AC unintentional radiators or other unin-
power lines. Devices that include, or tentional radiators that are designed
make provision for, the use of battery to conduct their radio frequency emis-
chargers which permit operating while sions via connecting wires or cables
charging, AC adaptors or battery elimi- and that operate in the frequency
nators or that connect to the AC power range of 9 kHz to 30 MHz, including de-
lines indirectly, obtaining their power vices that deliver the radio frequency
through another device which is con- energy to transducers, such as ultra-
nected to the AC power lines, shall be sonic devices not covered under part 18
697
§ 15.111 47 CFR Ch. I (10–1–02 Edition)
of this chapter, shall comply with the (2) If, in accordance with § 15.33 of
radiated emission limits for inten- this part, measurements must be per-
tional radiators provided in § 15.209 for formed above 1000 MHz, compliance
the frequency range of 9 kHz to 30 MHz. above 1000 MHz shall be demonstrated
As an alternative, carrier current sys- with the emission limit in paragraph
tems used as unintentional radiators (a) or (b) of this section, as appro-
and operating in the frequency range of priate. Measurements above 1000 MHz
525 kHz to 1705 kHz may comply with may be performed at the distance spec-
the radiated emission limits provided ified in the CISPR 22 publications for
in § 15.221(a). At frequencies above 30 measurements below 1000 MHz provided
MHz, the limits in paragraph (a), (b), or the limits in paragraphs (a) and (b) of
(g) of this section, as appropriate, this section are extrapolated to the
apply. new measurement distance using an in-
(f) For a receiver which employs ter- verse linear distance extrapolation fac-
minals for the connection of an exter- tor (20 dB/decade), e.g., the radiated
nal receiving antenna, the receiver limit above 1000 MHz for a Class B dig-
shall be tested to demonstrate compli- ital device is 150 uV/m, as measured at
ance with the provisions of this section a distance of 10 meters.
with an antenna connected to the an- (3) The measurement distances shown
tenna terminals unless the antenna in CISPR Pub. 22, including measure-
conducted power is measured as speci- ments made in accordance with this
fied in § 15.111(a). If a permanently at- paragraph above 1000 MHz, are consid-
tached receiving antenna is used, the ered, for the purpose of § 15.31(f)(4) of
receiver shall be tested to demonstrate this part, to be the measurement dis-
compliance with the provisions of this tances specified in this part.
section. (4) If the radiated emissions are
(g) As an alternative to the radiated measured to demonstrate compliance
emission limits shown in paragraphs with the alternative standards in this
(a) and (b) of this section, digital de- paragraph, compliance must also be
vices may be shown to comply with the demonstrated with the conducted lim-
standards contained in the Third Edi- its shown in § 15.107(e).
tion of International Electrotechnical (h) Radar detectors shall comply
Commission (‘‘IEC’’), International with the emission limits in paragraph
Special Committee on Radio Inter- (a) of this section over the frequency
ference (CISPR) Pub. 22 (1997), range of 11.7–12.2 GHz.
‘‘Information Technology Equipment— [54 FR 17714, Apr. 25, 1989, as amended at 56
Radio Disturbance Characteristics— FR 373, Jan. 4, 1991; 58 FR 51249, Oct. 1, 1993;
Limits and Methods of Measurement.’’ 66 FR 19098, Apr. 13, 2001; 67 FR 48993, July 29,
This incorporation by reference was ap- 2002]
proved by the Director of the Federal
Register in accordance with 5 U.S.C. § 15.111 Antenna power conduction
552(a) and 1 CFR part 51. Copies of limits for receivers.
CISPR publications may be purchased (a) In addition to the radiated emis-
from the Global Engineering Docu- sion limits, receivers that operate
ments, P. O. Box 8500 (S–4485), Philadel- (tune) in the frequency range 30 to 960
phia, PA 19178–4485, (303) 792–2181 or MHz and CB receivers that provide ter-
(800) 624–3974. Copies also may be in- minals for the connection of an exter-
spected, but not reproduced, during nal receiving antenna may be tested to
normal business hours at the following demonstrate compliance with the pro-
locations: Federal Communications visions of § 15.109 with the antenna ter-
Commission, Reference Information minals shielded and terminated with a
Center, Room CY–A257, 445 12th Street, resistive termination equal to the im-
SW., Washington, DC, and Office of the pedance specified for the antenna, pro-
Federal Register, 800 North Capitol vided these receivers also comply with
Street, NW., Suite 700, Washington, the following: With the receiver an-
DC. In addition: tenna terminal connected to a resistive
(1) The test procedure and other re- termination equal to the impedance
quirements specified in this part shall specified or employed for the antenna,
continue to apply to digital devices. the power at the antenna terminal at
698
any frequency within the range of proved standards designed to enhance

measurements specified in § 15.33 shall the use of power line carrier systems.
not exceed 2.0 nanowatts. (f) The provisions of this section
(b) CB receivers and receivers that apply only to systems operated by a
operate (tune) in the frequency range power utility for general supervision of
30 to 960 MHz that are provided only the power system and do not permit
with a permanently attached antenna operation on electric lines which con-
shall comply with the radiated emis- nect the distribution substation to the
sion limitations in this part, as meas- customer or house wiring. Such oper-
ured with the antenna attached. ation can be conducted under the other
provisions of this part.
§ 15.113 Power line carrier systems.
[54 FR 17714, Apr. 25, 1989; 54 FR 32339, Aug.
Power line carrier systems, as de- 7, 1989]
fined in § 15.3(t), are subject only to the
following requirements: § 15.115 TV interface devices, includ-
(a) A power utility operating a power ing cable system terminal devices.
line carrier system shall submit the de- (a) Measurements of the radiated
tails of all existing systems plus any emissions of a TV interface device
proposed new systems or changes to ex- shall be conducted with the output ter-
isting systems to an industry-operated minal(s) of the device terminated by a
entity as set forth in § 90.63(g) of this resistance equal to the rated output
chapter. No notification to the FCC is impedance. The emanations of a TV
required. interface device incorporating an in-
(b) The operating parameters of a tentional radiator shall not exceed the
power line carrier system (particularly limits in § 15.109 or subpart C of this
the frequency) shall be selected to part, whichever is higher for each fre-
achieve the highest practical degree of quency. Where it is possible to deter-
compatibility with authorized or li- mine which portion of the device is
censed users of the radio spectrum. The contributing a particular radio fre-
signals from this operation shall be quency emission, the emissions from
contained within the frequency band 9 the TV interface device portion shall
kHz to 490 kHz. A power line carrier comply with the emission limits in
system shall operate on an unpro- § 15.109, and the emissions from the in-
tected, non-interference basis in ac- tentional radiator shall comply with
cordance with § 15.5 of this part. If subpart C of this part.
harmful interference occurs, the elec- (b) Output signal limits:
tric power utility shall discontinue use (1) At any RF output terminal, the
or adjust its power line carrier oper- maximum measured RMS voltage, in
ation, as required, to remedy the inter- microvolts, corresponding to the peak
ference. Particular attention should be envelope power of the modulated signal
paid to the possibility of interference during maximum amplitude peaks
to Loran C operations at 100 kHz. across a resistance (R in ohms) match-
(c) Power line carrier system appa- ing the rated output impedance of the
ratus shall be operated with the min- TV interface device, shall not exceed
imum power possible to accomplish the the following:
desired purpose. No equipment author- (i) For a cable system terminal de-
ization is required. vice or a TV interface device used with
(d) The best engineering principles a master antenna, 692.8 times the
shall be used in the generation of radio square root of (R) for the video signal
frequency currents by power line car- and 155 times the square root of (R) for
rier systems to guard against harmful the audio signal.
interference to authorized radio users, (ii) For all other TV interface de-
particularly on the fundamental and vices, 346.4 times the square root of (R)
harmonic frequencies. for the video signal and 77.5 times the
(e) Power line carrier system appa- square root of (R) for the audio signal.
ratus shall conform to such engineer- (2) At any RF output terminal, the
ing standards as may be promulgated maximum measured RMS voltage, in
by the Commission. In addition, such microvolts, corresponding to the peak
systems should adhere to industry ap- envelope power of the modulated signal
699
§ 15.115 47 CFR Ch. I (10–1–02 Edition)
during maximum amplitude peaks this paragraph regarding frequencies in

across a resistance (R in ohms) match- the range 550 MHz to 806 MHz are appli-
ing the rated output impedance of the cable as of June 30, 1997.
TV interface device, of any emission (ii) For all other TV interface de-
appearing on frequencies removed by vices, the maximum voltage, cor-
more than 4.6 MHz below or 7.4 MHz responding to the peak envelope power
above the video carrier frequency on of the modulated video signal during
which the TV interface device is oper- maximum amplitude peaks, in
ated shall not exceed the following: microvolts, appearing at the receiving
(i) For a cable system terminal de- antenna input terminals when termi-
vice or a TV interface device used with nated with a resistance (R in ohms)
a master antenna, 692.8 times the matching the rated impedance of the
square root of (R). antenna input of the switch, shall not
(ii) For all other TV interface de- exceed 0.346 times the square root of
vices, 10.95 times the square root of (R). (R).
(3) The term master antenna used in
(iii) Measurement to determine com-
this section refers to TV interface de-
pliance with the transfer switch limits
vices employed for central distribution
of television or other video signals shall be made using a connecting cable,
within a building. Such TV interface where required, between the TV inter-
devices must be designed to: face device and the transfer switch of
(i) Distribute multiple television sig- the type and length:
nals at the same time; (A) Provided with the TV interface
(ii) Distribute such signals by cable device,
to outlets or TV receivers in multiple (B) Recommended in the instruction
rooms in the building in which the TV manual, or
interface devices are installed; and, (C) Normally employed by the con-
(iii) Distribute all over-the-air or sumer.
cable signals. (2) A TV interface device shall be de-
NOTE: Cable-ready video cassette recorders signed and constructed, to the extent
continue to be subject to the provisions for practicable, so as to preclude the possi-
general TV interface devices. bility that the consumer may inadvert-
(c) A TV interface device shall be ently attach the output of the device
equipped with a transfer switch for to the receiving antenna, if any, with-
connecting the antenna terminals of a out first going through the transfer
receiver selectively either to the re- switch.
ceiving antenna or to the radio fre- (3) A transfer switch is not required
quency output of the TV interface de- for a TV interface device that, when
vice, subject to the following: connected, results in the user no longer
(1) When measured in any of its set having any need to receive standard
positions, transfer switches shall com- over-the-air broadcast signals via a
ply with the following requirements: separate antenna. A transfer switch is
(i) For a cable system terminal de- not required to be marketed with a
vice or a TV interface device equipped cable system terminal device unless
for use with a cable system or a master that device provides for the connection
antenna, as defined in paragraph (b)(3) of an external antenna. A transfer
of this section, the isolation between switch is not required for a device that
the antenna and cable input terminals is intended to be used as an accessory
shall be at least 80 dB from 54 MHz to to an authorized TV interface device.
216 MHz, at least 60 dB from 216 MHz to (4) An actual transfer switch is not
550 MHz and at least 55 dB from 550 required for a TV interface device, in-
MHz to 806 MHz. The 80 dB standard ap- cluding a cable system terminal device,
plies at 216 MHz and the 60 dB standard that has an antenna input terminal(s);
applies at 550 MHz. In the case of a provided, the circuitry following the
transfer switch requiring a power antenna input terminal(s) has suffi-
source, the required isolation shall be cient bandwidth to allow the reception
maintained in the event the device is of all TV broadcast channels author-
not connected to a power source or ized under part 73 of this chapter and:
power is interrupted. The provisions of For a cable system terminal device
700
that can alternate between the recep- the TV receiver shall be provided by
tion of cable television service and an the responsible party.
antenna, compliance with the isolation (f) A TV interface device which is
requirement specified in paragraph submitted to the Commission as a com-
(c)(1)(i) of this section can be dem- posite device in a single enclosure con-
onstrated; and, for all other TV inter- taining a RF modulator, video source
face devices, the maximum voltage ap- and other component devices shall be
pearing at the antenna terminal(s) does submitted on a single application (FCC
not exceed the limit in paragraph Form 731) and shall be authorized as a
(c)(1)(ii) of this section. single device.
(5) If a transfer switch is not re- (g) An external device or accessory
quired, the following label shall be that is intended to be attached to a TV
used in addition to the label shown in interface device shall comply with the
§ 15.19(a): technical and administrative require-
ments set out in the rules under which
This device is intended to be attached to a it operates. For example, a personal
receiver that is not used to receive over-the- computer must be certificated to show
air broadcast signals. Connection of this de- compliance with the regulations for
vice in any other fashion may cause harmful digital devices.
interference to radio communications and is
(h) Stand-alone switches used to al-
in violation of the FCC Rules, part 15.
ternate between cable service and an
(d) A TV interface device, including a antenna shall provide isolation be-
cable system terminal device, shall in- tween the antenna and cable input ter-
corporate circuitry to automatically minals that is at least 80 dB from 54
prevent emanations from the device MHz to 216 MHz, at least 60 dB from 216
from exceeding the technical specifica- MHz to 550 MHz and at least 55 dB from
tions in this part. These circuits shall 550 MHz to 806 MHz.The 80 dB standard
be adequate to accomplish their func- applies at 216 MHz and the 60 dB stand-
tions when the TV interface device is ard applies at 550 MHz. In the case of
presented, if applicable, with video stand-alone switches requiring a power
input signal levels in the range of one source, the required isolation shall be
to five volts; this requirement is not maintained in the event the device is
applicable to a TV interface device not connected to a power source or
that uses a built-in signal source and power is interrupted. The provisions of
has no provisions for the connection of this paragraph are applicable as of
an external signal source. For devices June 30, 1997.
that contain provisions for an external (i) Switches and other devices in-
signal source but do not contain provi- tended to be used to by-pass the proc-
sions for the input of an external essing circuitry of a cable system ter-
baseband signal, e.g., some cable sys- minal device, whether internal to such
tem terminal devices, compliance with a terminal device or a stand-alone unit,
the provisions of this paragraph shall shall not attenuate the input signal
be demonstrated with a radio fre- more than 6 dB from 54 MHz to 550
quency input signal of 0 to 25 dBmV. MHz, or more than 8 dB from 550 MHz
(e) For cable system terminal devices to 804 MHz. The 6 dB standard applies
and TV interface devices used with a at 550 MHz. The provisions of this para-
master antenna, as defined in paragraph are applicable June 30, 1997.
graph (b)(3) of this section, the holder [54 FR 17714, Apr. 25, 1989, as amended at 57
of the grant of authorization shall FR 33448, July 29, 1992; 59 FR 25341, May 16,
specify in the instruction manual or 1994; 61 FR 18509, Apr. 26, 1996]
pamphlet, if a manual is not provided,
the types of wires or coaxial cables § 15.117 TV broadcast receivers.
necessary to ensure that the unit com- (a) All TV broadcast receivers
plies with the requirements of this shipped in interstate commerce or im-
part. The holder of the grant of author- ported from any foreign country into
ization must comply with the provi- the United States, for sale or resale to
sions of § 15.27. For all other TV inter- the public, shall comply with the provi-
face devices, the wires or coaxial cables sions of this section. The reference in
used to couple the output signals to this section to TV broadcast receivers
701
§ 15.117 47 CFR Ch. I (10–1–02 Edition)
also includes devices, such as TV inter- NOTE: Differences between UHF and VHF
face devices, that incorporate the tuner channel readout that follow directly from
portion of a TV broadcast receiver and the larger number of UHF television chan-
that are equipped with an antenna or nels available are acceptable if it is clear
antenna terminals that can be used for that a good faith effort to comply with the
provisions of this section has been made.
the off-the-air reception of TV broad-
cast signals, as authorized under part (d) If equipment and controls that
73 of this chapter. tend to simplify, expedite or perfect
(b) TV broadcast receivers shall be the reception of television signals (e.g.,
capable of adequately receiving all AFC, visual aids, remote control, or
channels allocated by the Commission signal seeking capability referred to
to the television broadcast service. generally as tuning aids) are incor-
(c) On a given receiver, use of the porated into the VHF portion of a TV
UHF and VHF tuning systems shall broadcast receiver, tuning aids of the
provide approximately the same degree
same type and comparable capability
of tuning accuracy with approximately
and quality shall be provided for the
the same expenditure of time and ef-
UHF portion of that receiver.
fort: Provided, however, That this re-
quirement will be considered to be met (e) If a television receiver has an an-
if the need for routine fine tuning is tenna affixed to the VHF antenna ter-
eliminated on UHF channels. minals, it must have an antenna de-
(1) Basic tuning mechanism. If a TV signed for and capable of receiving all
broadcast receiver is equipped to pro- UHF television channels affixed to the
vide for repeated access to VHF tele- UHF antenna terminals. If a VHF an-
vision channels at discrete tuning posi- tenna is provided with but not affixed
tions, that receiver shall be equipped to a receiver, a UHF antenna shall be
to provide for repeated access to a min- provided with the receiver.
imum of six UHF television channels at (f) The picture sensitivity of a TV
discrete tuning positions. Unless a dis- broadcast receiver averaged for all
crete tuning position is provided for channels between 14 and 69 inclusive
each channel allocated to UHF tele- shall not be more than 8dB larger than
vision, each position shall be readily the peak picture sensitivity of that re-
adjustable to a particular UHF channel ceiver averaged for all channels be-
by the user without the use of tools. If tween 2 and 13 inclusive.
12 or fewer discrete tuning positions (g) The noise figure for any television
are provided, each position shall be ad- channel 14 to 69 inclusive shall not ex-
justable to receive any channel allo- ceed 14 dB. A TV receiver model is con-
cated to UHF television. sidered to comply with this noise fig-
NOTE: The combination of detented rotary ure if the maximum noise figure for
switch and pushbutton controls is accept- channels 14–69 inclusive of 97.5% of all
able, provided UHF channels, after their ini- receivers within that model does not
tial selection, can be accurately tuned with
exceed 14 dB.
an expenditure of time and effort approxi-
mately the same as that used in accurately (1) The responsible party shall meas-
tuning VHF channels. A UHF tuning system ure the noise figure of a number of
comprising five pushbuttons and a separate UHF channels of the test sample to
manual tuning knob is considered to provide give reasonable assurance that the
repeated access to six channels at discrete UHF noise figure for each channel com-
tuning positions. A one-knob (VHF/UHF)
plies with the above limit.
tuning system providing repeated access to
11 or more discrete tuning positions is also (2) The responsible party shall insert
acceptable, provided each of the tuning posi- in his files a statement explaining the
tions is readily adjustable, without the use basis on which it will rely to ensure
of tools, to receive any UHF channel. that at least 97.5% of all production
(2) Tuning controls and channel read- units of the test sample that are manu-
out. UHF tuning controls and channel factured have a noise figure of no
readout on a given receiver shall be greater than 14 dB.
comparable in size, location, accessi- (3) [Reserved]
bility and legibility to VHF controls (4) In the case of a TV tuner built-in
and readout on that receiver. as part of a video tape recorder that
702
uses a power splitter between the an- of § 15.19(d). Until such time as gen-
tenna terminals of the video tape re- erally accepted testing standards are
corder and the input terminals of the developed, paragraphs (c) and (d) of
TV tuner or a TV broadcast receiver this section will apply only to the ana-
that uses a power splitter between the log portion of covered consumer elec-
antenna terminals of two or more UHF tronics TV receiving equipment
tuners contained within that receiver, (b) Cable ready consumer electronics
4 dB may be subtracted from the noise equipment shall be capable of receiving
figure measured at the antenna termi- all NTSC or similar video channels on
nals of the video tape recorder or TV channels 1 through 125 of the channel
broadcast receiver for determining allocation plan set forth in the Elec-
compliance of the UHF tuner(s) with tronics Industries Association’s ‘‘Cable
the 14 dB noise figure limit. Television Channel Identification Plan,
(h) For a TV broadcast receiver EIA IS–132, May 1994’’ (EIA IS–132).
equipped with a cable input selector This incorporation by reference was ap-
switch, the selector switch shall pro- proved by the Director of the Federal
vide, in any of its set positions, isola- Register in accordance with 5 U.S.C.
tion between the antenna and cable 522(a) and 1 CFR part 51. Copies of EIA
input terminals of at least 80 dB from IS–132 may be obtained from: Global
54 MHz to 216 MHz, at least 60 dB from Engineering Documents, 3130 South
216 MHz to 550 MHz and at least 55 dB Harbor Boulevard, Santa Anna, CA
from 550 MHz to 806 MHz. The 80 dB 92704. Copies of EIA IS–132 may be in-
standard applies at 216 MHz and the 60 spected during normal business hours
dB standard applies at 550 MHz. In the at the following locations: Federal
case of a selector switch requiring a Communications Commission, 1919 M
power source, the required isolation Street, NW., Dockets Branch (Room
shall be maintained in the event the 239), Washington, DC, or the Office of
device is not connected to a power the Federal Register, 800 North Capitol
source or power is interrupted. An ac- Street, NW., suite 700, Washington, DC.
tual switch that can alternate between (c) Cable ready consumer electronics
reception of cable television service equipment must meet the following
and an antenna is not required for a TV technical performance requirements.
broadcast receiver, provided compli- Compliance with these requirements
ance with the isolation requirement shall be determined by performing
specified in this paragraph can be dem- measurements at the unfiltered IF out-
onstrated and the circuitry following put port. Where appropriate, the Com-
the antenna input terminal(s) has suffi- mission will consider allowing alter-
cient band-width to allow the reception native measurement methods.
of all TV broadcast channels author- (1) Adjacent channel interference. In
ized under this chapter. The provisions the presence of a lower adjacent chan-
of this paragraph regarding frequencies nel CW signal that is 1.5 MHz below the
in the range 550 MHz to 806 MHz are ap- desired visual carrier in frequency and
plicable as of June 30, 1997. 10 dB below the desired visual carrier
[54 FR 17714, Apr. 25, 1993, as amended at 59 in amplitude, spurious signals within
FR 25341, May 16, 1994; 61 FR 30532, June 17, the IF passband shall be attenuated at
1996] least 55 dB below the visual carrier of
the desired signal. The desired input
§ 15.118 Cable ready consumer elec- signal shall be an NTSC visual carrier
tronics equipment. modulated with a 10 IRE flat field with
(a) All consumer electronics TV re- color burst and the aural carrier which
ceiving equipment marketed in the is 10 dB below the visual carrier should
United States as cable ready or cable be unmodulated. Measurements are to
compatible shall comply with the pro- be performed for input signal levels of
visions of this section. Consumer elec- 0 dBmV and +15 dBmV, with the re-
tronics TV receiving equipment that ceiver tuned to ten evenly spaced EIA
includes features intended for use with IS–132 channels covering the band 54
cable service but does not fully comply MHz to 804 MHz.
with the provisions of this section are (2) Image channel interference. Image
subject to the labelling requirements channel interference within the IF
703
§ 15.118 47 CFR Ch. I (10–1–02 Edition)
passband shall be attenuated below the visual carrier signal individually set at
visual carrier of the desired channel by +15 dBmV from 54 to 550 MHz. The de-
at least 60 dB from 54 MHz to 714 MHz sired input signal is to be an NTSC sig-
and 50 dB from 714 MHz to 804 MHz. The nal on which the visual carrier is mod-
60 dB standard applies at 714 MHz. In ulated with a 10 IRE flat field with
testing for compliance with this stand- color burst and the aural carrier is
ard, the desired input signal is to be an unmodulated and 10 dB below the vis-
NTSC signal on which the visual car- ual carrier. Measurements shall be
rier is modulated with a 10 IRE flat made with the receiver tuned to at
field with color burst and the aural least seven evenly spaced EIA IS–132
carrier is unmodulated and 10 dB below channels covering the band 54 MHz to
the visual carrier. The undesired test 550 MHz. In addition, spurious signals
signal shall be a CW signal equal in within the IF passband shall be attenu-
amplitude to the desired visual carrier ated at least 51 dB below the visual
and located 90 MHz above the visual carrier of the desired channel using a
carrier frequency of the desired chan- comb spectrum input with each signal
nel. Measurements shall be performed individually set at +15 dBmV from 550
for input signals of 0 dBmV and +15 to 804 MHz. Measurements shall be
dBmV, with the receiver tuned to at made with the receiver tuned to at
least ten evenly spaced EIA IS–132 least three evenly spaced EIA IS–132
channels covering the band 54 MHz to channels covering the band 550 MHz to
804 MHz. 804 MHz.
(3) Direct pickup interference. The di- (5) Cable input conducted emissions. (i)
rect pickup (DPU) of a co-channel Conducted spurious emissions that ap-
interfering ambient field by a cable pear at the cable input to the device
ready device shall not exceed the fol- must meet the following criteria. The
lowing criteria. The ratio of the desired input shall be an NTSC video carrier
to undesired signal levels at the IF modulated with a 10 IRE flat field with
passband on each channel shall be at color burst at a level of 0 dBmV and
least 45 dB. The average ratio over the with a visual to aural ratio of 10 dB.
six channels shall be at least 50 dB. The The aural carrier shall be
desired input signal shall be an NTSC unmodulated. The peak level of the
signal having a visual carrier level of 0 spurious signals will be measured using
dBmV. The visual carrier is modulated a spectrum analyzer connected by a di-
with a 10 IRE flat field with color rectional coupler to the cable input of
burst, visual to aural carrier ratio of 10 the equipment under test. Spurious sig-
dB, aural carrier unmodulated. The nal levels must not exceed the limits in
equipment under test (EUT) shall be the following table:
placed on a rotatable table that is one From 54 MHz up to and including 300 MHz–26
meter in height. Any excess length of dBmV
the power cord and other connecting From 300 MHz up to and including 450 MHz–
leads shall be coiled on the floor under 20 dBmV
the table. The EUT shall be immersed From 450 MHz up to and including 804 MHz-
15 dBmV
in a horizontally polarized uniform CW
field of 100 mV/m at a frequency 2.55 (ii) The average of the measurements
MHz above the visual carrier of the on multiple channels from 450 MHz up
EUT tuned channel. Measurements to and including 804 MHz shall be no
shall be made with the EUT tuned to greater than -20 dBmV. Measurements
six EIA IS–132 channels, two each in shall be made with the receiver tuned
the low VHF, high VHF and UHF to at least four EIA IS–132 channels in
broadcast bands. On each channel, the each of the above bands. The test chan-
levels at the IF passband due to the de- nels are to be evenly distributed across
sired and interfering signals are to be each of the bands. Measurements for
measured. conducted emissions caused by sources
(4) Tuner overload. Spurious signals internal to the device are to be made in
within the IF passband shall be attenu- a shielded room. Measurements for
ated at least 55 dB below the visual conducted emissions caused by exter-
carrier of the desired channel using a nal signal sources shall be made in an
comb-like spectrum input with each ambient RF field whose field strength
704
is 100 mV/m, following the same test data in either of two operating chan-
conditions as described in paragraph nels, referred to in this document as C1
(c)(3) of this section. and C2. The television receiver must
(d) The field strength of radiated decode both C1 and C2 captioning, and
emissions from cable ready consumer must display the captioning for which-
electronics equipment shall not exceed ever channel the user selects. The TV
the limits in § 15.109(a) when measured Mode of operation allows the video to
in accordance with the applicable pro- be viewed in its original form. The Cap-
cedures specified in §§ 15.31 and 15.35 for tion and Text Modes define one or more
unintentional radiators, with the fol- areas (called ‘‘boxes’’) on the screen
lowing modifications. During testing within which caption or text char-
the NTSC input signal level is to be +15 acters are displayed.
dBmV, with a visual to aural ratio of 10
dB. The visual carrier is to be modu- NOTE: For more information regarding
lated by a 10 IRE flat field with color Text mode, see ‘‘Television Captioning for
the Deaf: Signal and Display Specifications’’,
burst; the aural carrier is to be
Engineering Report No. E–7709–C, Public
unmodulated. Measurements are to be Broadcasting Service, dated May 1980, and
taken on six EIA IS–132 channels even- ‘‘TeleCaption II Decoder Module Perform-
ly spaced across the required RF input ance Specification’’, National Captioning In-
range of the equipment under test. stitute, Inc., dated November 1985. These
documents are available, respectively, from
NOTE: The provisions of paragraphs (a)
the Public Broadcasting Service, 1320 Brad-
through (d) of this section are applicable as
dock Place, Alexandria, VA 22314 and from
of June 30, 1997.
the National Captioning Institute, Inc., 5203
[59 FR 25341, May 16, 1994, as amended at 61 Leesburg Pike, Falls Church, VA 22041.
FR 18509, Apr. 26, 1996; 65 FR 64391, Oct. 27,
2000] (d) Screen format. The display area for
captioning and text shall fall approxi-
EFFECTIVE DATE NOTE: At 65 FR 64391, Oct.
27, 2000, § 15.118 was amended by adding a new
mately within the safe caption area as
sentence at the end of paragraph (a). This defined in paragraph (n)(12) of this sec-
section contains information collection and tion. This display area will be further
recordkeeping requirements and will not be- divided into 15 character rows of equal
come effective until approval has been given height and 32 columns of equal width,
by the Office of Management and Budget. to provide accurate placement of text
on the screen. Vertically, the display
§ 15.119 Closed caption decoder re-
quirements for analog television re- area begins on line 43 and is 195 lines
ceivers. high, ending on line 237 on an inter-
laced display. All captioning and text
(a) Effective July 1, 1993, all TV shall fall within these established col-
broadcast receivers with picture umns and rows. The characters must be
screens 33 cm (13 in) or larger in diame- displayed clearly separated from the
ter shipped in interstate commerce, video over which they are placed. In
manufactured, assembled, or imported addition, the user must have the capa-
from any foreign country into the bility to select a black background
United States shall comply with the over which the captioned letters are
provisions of this section. displaced.
NOTE: This paragraph places no restriction (1) Caption mode. In the Caption
on the shipping or sale of television receivers Mode, text can appear on up to 4 rows
that were manufactured before July 1, 1993. simultaneously anywhere on the screen
(b) Transmission format. Closed-cap- within the defined display area. In ad-
tion information is transmitted on line dition, a solid space equal to one col-
21 of field 1 of the vertical blanking in- umn width may be placed before the
terval of television signals, in accord- first character and after the last char-
ance with § 73.682(a)(22) of this chapter. acter of each row to enhance legibility.
(c) Operating modes. The television re- The caption area will be transparent
ceiver will employ customer-selectable anywhere that either:
modes of operation for TV and Caption. (i) No standard space character or
A third mode of operation, Text, may other character has been addressed and
be included on an optional basis. The no accompanying solid space is needed;
Caption and Text Modes may contain or,
705
§ 15.119 47 CFR Ch. I (10–1–02 Edition)
(ii) An accompanying solid space is (f) Caption Mode. There are three
used and a ‘‘transparent space’’ special styles of presenting text in Caption
character has been addressed which Mode: roll-up, pop-on, and paint-on.
does not immediately precede or follow Character display varies significantly
a displayed character. with the style used, but certain rules of
(2) [Reserved] character erasure are common to all
(e) Presentation format. In analyzing styles. A character can be erased by ad-
the presentation of characters, it is dressing another character to the same
convenient to think in terms of a non- screen location or by backspacing over
visible cursor which marks the screen the character from a subsequent loca-
position at which the next event in a tion on the same row. The entire dis-
given mode and data channel will played memory will be erased instantly
occur. The receiver remembers the by receipt of an Erase Displayed Mem-
cursor position for each mode even ory command. Both displayed memory
when data are received for a different and non-displayed memory will be en-
address in an alternate mode or data tirely erased simultaneously by either:
channel. The user switching receiver channels
(1) Screen addressing. Two kinds of or data channels (C1/C2) or fields (F1/
control codes are used to move the F2) in decoders so equipped; the loss of
cursor to specific screen locations. In valid data (see paragraph (j) of this sec-
tion); or selecting non-captioning re-
Caption Mode, these addressing codes
ceiver functions which use the display
will affect both row and column posi-
memory of the decoder. Receipt of an
tioning. In Text Mode, the codes affect
End of Caption command will cause a
only column positioning. In both
displayed caption to become non-dis-
modes, the addressing codes are op-
played (and vice versa) without being
tional. Default positions are defined for
erased from memory. Changing the re-
each mode and style when no address-
ceiver to a non-captioning mode which
ing code is provided.
does not require use of the decoder’s
(i) The first type of addressing code is display memory will leave that mem-
the Preamble Address Code (PAC). It ory intact, and the decoder will con-
assigns a row number and one of eight tinue to process data as if the caption
‘‘indent’’ figures. Each successive in- display were selected.
dent moves the cursor four columns to (1) Roll-up. Roll-up style captioning
the right (starting from the left mar- is initiated by receipt of one of three
gin). Thus, an indent of 0 places the Miscellaneous Control Codes that de-
cursor at Column 1, an indent of 4 sets termine the maximum number of rows
it at Column 5, etc. The PAC indent is displayed simultaneously, either 2, 3 or
non-destructive to displayable char- 4 contiguous rows. These are the three
acters. It will not affect the display to Roll-Up Caption commands.
the left of the new cursor position on (i) The bottom row of the display is
the indicated row. Note that Preamble known as the ‘‘base row’’. The cursor
Address Codes also set initial at- always remains on the base row. Rows
tributes for the displayable characters of text roll upwards into the contig-
which follow. See paragraph (h) of this uous rows immediately above the base
section and the Preamble Address Code row to create a ‘‘window’’ 2 to 4 rows
table. high.
(ii) The second type of addressing (ii) The Roll-Up command, in normal
code is the Tab Offset, which is one of practice, will be followed (not nec-
three Miscellaneous Control Codes. Tab essarily immediately) by a Preamble
Offset will move the cursor one, two, or Address Code indicating the base row
three columns to the right. The char- and the horizontal indent position. If
acter cells skipped over will be unaf- no Preamble Address Code is received,
fected; displayable characters in these the base row will default to Row 15 or,
cells, if any, will remain intact while if a roll-up caption is currently dis-
empty cells will remain empty, in the played, to the same base row last re-
same manner that a PAC indent is non- ceived, and the cursor will be placed at
destructive. Column 1. If the Preamble Address
(2) [Reserved] Code received contains a different base
706
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47

Containing a codification of documents

A Special Edition of the Federal Register

For sale by the Superintendent of Documents, U.S. Government Printing Office

Chapter I—Federal Communications Commission .......................... 3

Material Approved for Incorporation by Reference ............................ 787

Table of CFR Titles and Chapters ....................................................... 789

Alphabetical List of Agencies Appearing in the CFR ......................... 807

List of CFR Sections Affected ............................................................. 817

To cite the regulations in

Title 47—TELECOMMUNICATION is composed of five volumes. The parts in these

Part 73 contains a numerical designation of FM broadcast channels (§ 73.201)

CHAPTER I—FEDERAL COMMUNICATIONS COMMISSION ............... 0

PART 0—COMMISSION OFFICE OF ADMINISTRATIVE LAW JUDGES

DEFENSE AND EMERGENCY PREPAREDNESS

WIRELINE COMPETITION BUREAU 0.271 Authority delegated.

0.91 Functions of the Bureau. CHIEF, MEDIA BUREAU

CABLE SERVICES BUREAU 0.283 Authority delegated.

ADMINISTRATIVE LAW JUDGES PUBLIC INFORMATION AND INSPECTION OF

(3) Office of General Counsel. ters warranting the Commission’s con-

fraud and other serious problems, OFFICE OF LEGISLATIVE AFFAIRS

(l) To advise the Commission in the domestic and international satellite

evaluating basic rate regulation cer- reserved to the Commission under

whose diversity reflects the diverse equal employment opportunity and

responsibility of the Bureau. Before 157°59′44.1″ W. Longitude

oversight of coordinator actions and Commission’s decision-making proc-

issues of interest to all consumers. En- Brokerage and Affiliation Agreements,

requirements of section 11 of the Ad- (g) In the event of enemy attack, or

Subpart B—Delegations of are set forth in §§ 1.101, 1.102, 1.104,

NOTE TO PARAGRAPH (a)(2): Interlocutory § 0.203 Authority of person, panel, or

(b) Authority of subordinate officials. cally advise the Commission on these

§ 0.261 Authority delegated. chapter and to coordinate its efforts

Wireline Competition Bureau, shall § 0.304 Authority for determinations of

reported to the responsible Bureau or representative to determine operating

or requests, whether or not accom- (1) Designate radio protection areas

§§ 0.333–0.337 [Reserved] appropriate cases. See 47 CFR 1.244 of

parties to a proceeding concur in hold- Bureau, described in § 0.141, provided

§ 0.387 Other national security and ferences, meetings, and negotiations on

§ 0.405 Statutory provisions. for example, part 2 is followed by part

practice and procedure. Except as ex- persons involved in hearing pro-

require notification of proposed con- for the Commission information collec-

3060–0089 ......................................... FCC 503 ................................................................................................... 10/30/01

3060–0270 ......................................... Sec. 90.443 .............................................................................................. 11/30/03

3060–0435 ......................................... Sec. 80.361 .............................................................................................. 09/30/02

3060–0700 ......................................... FCC 1275 ................................................................................................. 12/31/03

3060–0820 ......................................... Transfers of Control Involving Telecommunications Carriers .................. 09/30/01

3060–0918 ......................................... FCC 161 ................................................................................................... 08/31/03

3060–0973 ......................................... Sec. 64.1120(e) ........................................................................................ 11/30/01

[66 FR 48973, Sept. 25, 2001]

§ 0.409 Commission policy on private printed, a marginal notation must be

§ 0.416 The Federal Communications [40 FR 17254, Apr. 18, 1975]

§ 0.420 Other Commission publica- LISTS CONTAINING INFORMATION

Commission’s duplicating contractor. mission’s main office in Washington,

available in the Commission’s Labora- Service) and Digital Electronic Mes-

be withheld from public inspection it is unnecessary for persons submit-

public inspection. To the extent that Interagency and intra-agency memo-

specified location during the office organizational unit having custody of

and an institution of vocational edu- GS–1 .................................................................. 10.72

§ 0.501 General. (b) Upon a determination by the bu-

Subpart E—Privacy Act § 0.552 Notice identifying Commission

systems of records identified in the in- granted an individual appearing in per-

records maintained by the Commission Any request to amend should contain

for Work Force Information, Compli- manager is erroneous or inequitable;

members); one elected or appointed 1.14 Citation of Commission documents.