Telecommunication - Govinfo.gov

47Parts 20 to 39Revised as of October 1, 2001

Telecommunication

Containing a codification of documentsof general applicability and future effect

As of October 1, 2001

With Ancillaries

Published byOffice of the Federal RegisterNational Archives and RecordsAdministration

A Special Edition of the Federal Register

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U.S. GOVERNMENT PRINTING OFFICEWASHINGTON : 2001

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Table of ContentsPage

Explanation ................................................................................................ v

Title 47:

Chapter I—Federal Communications Commission (Continued) ...... 3

Finding Aids:

Table of CFR Titles and Chapters ....................................................... 529

Alphabetical List of Agencies Appearing in the CFR ......................... 547

Table of OMB Control Numbers .......................................................... 557

List of CFR Sections Affected ............................................................. 567


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Cite this Code: CFR

To cite the regulations inthis volume use title,part and section num-ber. Thus, 47 CFR 20.1refers to title 47, part20, section 1.


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Explanation

The Code of Federal Regulations is a codification of the general and permanentrules published in the Federal Register by the Executive departments and agen-cies of the Federal Government. The Code is divided into 50 titles which representbroad areas subject to Federal regulation. Each title is divided into chapterswhich 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 issuedon a quarterly basis approximately as follows:

Title 1 through Title 16..............................................................as of January 1Title 17 through Title 27 .................................................................as of April 1Title 28 through Title 41 ..................................................................as of July 1Title 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 (44U.S.C. 1507). The Code of Federal Regulations is prima facie evidence of the textof 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 issuesof 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, 2001, consult the ‘‘List of CFR Sections Affected (LSA),’’which is issued monthly, and the ‘‘Cumulative List of Parts Affected,’’ whichappears in the Reader Aids section of the daily Federal Register. These two listswill identify the Federal Register page number of the latest amendment of anygiven 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 forthe regulations are referred to by volume number and page number of the FederalRegister 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 theactual 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 effectivedate. In those instances where a regulation published in the Federal Registerstates a date certain for expiration, an appropriate note will be inserted followingthe text.

OMB CONTROL NUMBERS

The Paperwork Reduction Act of 1980 (Pub. L. 96–511) requires Federal agenciesto display an OMB control number with their information collection request.


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Many agencies have begun publishing numerous OMB control numbers as amend-ments to existing regulations in the CFR. These OMB numbers are placed asclose as possible to the applicable recordkeeping or reporting requirements.

OBSOLETE PROVISIONS

Provisions that become obsolete before the revision date stated on the coverof each volume are not carried. Code users may find the text of provisions ineffect on a given date in the past by using the appropriate numerical list ofsections affected. For the period before January 1, 1986, consult either the Listof CFR Sections Affected, 1949–1963, 1964–1972, or 1973–1985, published in seven sep-arate volumes. For the period beginning January 1, 1986, a ‘‘List of CFR SectionsAffected’’ is published at the end of each CFR volume.

CFR INDEXES AND TABULAR GUIDES

A subject index to the Code of Federal Regulations is contained in a separatevolume, revised annually as of January 1, entitled CFR INDEX AND FINDING AIDS.This volume contains the Parallel Table of Statutory Authorities and AgencyRules (Table I). A list of CFR titles, chapters, and parts and an alphabeticallist 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 indexis 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 therevision dates of the 50 CFR titles.

REPUBLICATION OF MATERIAL

There are no restrictions on the republication of material appearing in theCode 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 ofodd–numbered pages.

For inquiries concerning CFR reference assistance, call 202–523–5227 or writeto the Director, Office of the Federal Register, National Archives and RecordsAdministration, Washington, DC 20408 or e-mail [email protected].

SALES

The Government Printing Office (GPO) processes all sales and distribution ofthe CFR. For payment by credit card, call 202–512–1800, M–F 8 a.m. to 4 p.m.e.s.t. or fax your order to 202–512–2250, 24 hours a day. For payment by check,write to the Superintendent of Documents, Attn: New Orders, P.O. Box 371954,Pittsburgh, PA 15250–7954. For GPO Customer Service call 202–512–1803.

ELECTRONIC SERVICES

The full text of the Code of Federal Regulations, the LSA (List of CFR SectionsAffected), The United States Government Manual, the Federal Register, PublicLaws, Public Papers, Weekly Compilation of Presidential Documents and the Pri-vacy Act Compilation are available in electronic format at www.access.gpo.gov/nara (’’GPO Access’’). For more information, contact Electronic Information Dis-semination Services, U.S. Government Printing Office. Phone 202–512–1530, or 888–293–6498 (toll–free). E–mail, [email protected].


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The Office of the Federal Register also offers a free service on the NationalArchives and Records Administration’s (NARA) World Wide Web site for publiclaw numbers, Federal Register finding aids, and related information. Connectto NARA’s web site at www.nara.gov/fedreg. The NARA site also contains linksto GPO Access.

RAYMOND A. MOSLEY,

Director,

Office of the Federal Register.

October 1, 2001.


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THIS TITLE

Title 47—TELECOMMUNICATION is composed of five volumes. The parts in thesevolumes 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 Scienceand Technology Policy and National Security Council, and chapter III—NationalTelecommunications and Information Administration, Department of Commerce.The contents of these volumes represent all current regulations codified underthis title of the CFR as of October 1, 2001.

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 UnitedStates, its territories, and possessions (§ 73.202). Part 73 also contains a numericaldesignation of television channels (§ 73.603) and a table of allotments which con-tain channels designated for the listed communities in the United States, itsterritories, 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 reprintedin the Finding Aids section of the second through fifth volumes.

A redesignation table appears in the Finding Aids section of the volume con-taining part 80 to End.


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Title 47—Telecommunication

(This book contains parts 20 to 39)

Part

CHAPTER I—Federal Communications Commission (Contin-ued) .................................................................................... 20

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CHAPTER I—FEDERAL COMMUNICATIONSCOMMISSION (Continued)

SUBCHAPTER B—COMMON CARRIER SERVICES

Part Page20 Commercial mobile radio services .......................... 521 Domestic public fixed radio services ....................... 1922 Public mobile services ............................................. 10723 International fixed public radiocommunication

services ................................................................. 22124 Personal communications services ......................... 24025 Satellite communications ....................................... 28326 General wireless communications service ............... 36127 Miscellaneous wireless communications services ... 37232 Uniform system of accounts for telecommuni-

cations companies ................................................ 40436 Jurisdictional separations procedures; standard

procedures for separating telecommunicationsproperty costs, revenues, expenses, taxes and re-serves for telecommunications companies ........... 478

37—39 [Reserved]

CROSS REFERENCE:Excise taxes on communications services and facilities: Internal Revenue, 26 CFR Part 49.

SUPPLEMENTAL PUBLICATIONS:Annual Reports of the Federal Communications Commission to Congress.Federal Communications Commission Reports of Orders and Decisions.Communications Act of 1934 (with amendments and index thereto), Recap. Version, January

1974, Packets No. 1 through 6.

MISCELLANEOUS PUBLICATIONS:Study Guide and Reference Material for Commercial Radio Operator Examinations, May 1979 edi-

tion.


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SUBCHAPTER B—COMMON CARRIER SERVICES

PART 20—COMMERCIAL MOBILERADIO SERVICES

Sec.20.1 Purpose.20.3 Definitions.20.5 Citizenship.20.6 CMRS spectrum aggregation limit.20.7 Mobile services.20.9 Commercial mobile radio service.20.11 Interconnection to facilities of local

exchange carriers.20.12 Resale and roaming.20.13 State petitions for authority to regu-

late rates.20.15 Requirements under Title II of the

Communications Act.20.18 911 Service.20.20 Conditions applicable to provision of

CMRS service by incumbent Local Ex-change Carriers.

AUTHORITY: 47 U.S.C. 154, 160, 251–254, 303,and 332 unless otherwise noted.

SOURCE: 59 FR 18495, Apr. 19, 1994, unlessotherwise noted.

§ 20.1 Purpose.The purpose of these rules is to set

forth the requirements and conditionsapplicable to commercial mobile radioservice providers.

§ 20.3 Definitions.Automatic Number Identification (ANI).

A system that identifies the billing ac-count for a call. For 911 systems, theANI identifies the calling party andmay be used as a call back number.

Commercial mobile radio service. A mo-bile service that is:

(a)(1) provided for profit, i.e., withthe intent of receiving compensation ormonetary gain;

(2) An interconnected service; and(3) Available to the public, or to such

classes of eligible users as to be effec-tively available to a substantial por-tion of the public; or

(b) The functional equivalent of sucha mobile service described in paragraph(a) of this section.

Designated PSAP. The Public SafetyAnswering Point (PSAP) designated bythe local or state entity that has theauthority and responsibility to des-ignate the PSAP to receive wireless 911calls.

Incumbent Wide Area SMR Licensees.Licensees who have obtained extendedimplementation authorizations in the800 MHz or 900 MHz service, either bywaiver or under Section 90.629 of theserules, and who offer real-time, two-wayvoice service that is interconnectedwith the public switched network.

Handset-based location technology. Amethod of providing the location ofwireless 911 callers that requires theuse of special location-determininghardware and/or software in a portableor mobile phone. Handset-based loca-tion technology may also employ addi-tional location-determining hardwareand/or software in the CMRS networkand/or another fixed infrastructure.

Interconnection or Interconnected. Di-rect or indirect connection throughautomatic or manual means (by wire,microwave, or other technologies suchas store and forward) to permit thetransmission or reception of messagesor signals to or from points in the pub-lic switched network.

Interconnected Service. A service: (a)That is interconnected with the publicswitched network, or interconnectedwith the public switched networkthrough an interconnected service pro-vider, that gives subscribers the capa-bility to communicate to or receivecommunication from all other users onthe public switched network; or

(b) For which a request for suchinterconnection is pending pursuant tosection 332(c)(1)(B) of the Communica-tions Act, 47 U.S.C. 332(c)(1)(B). A mo-bile service offers interconnected serv-ice even if the service allows sub-scribers to access the public switchednetwork only during specified hours ofthe day, or if the service provides gen-eral access to points on the publicswitched network but also restricts ac-cess in certain limited ways. Inter-connected service does not include anyinterface between a licensee’s facilitiesand the public switched network exclu-sively for a licensee’s internal controlpurposes.

Location-capable handsets. Portable ormobile phones that contain special lo-cation-determining hardware and/or


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47 CFR Ch. I (10–1–01 Edition)§ 20.5

software, which is used by a licensee tolocate 911 calls.

Mobile Service. A radio communica-tion service carried on between mobilestations or receivers and land stations,and by mobile stations communicatingamong themselves, and includes:

(a) Both one-way and two-way radiocommunications services;

(b) A mobile service which provides aregularly interacting group of base,mobile, portable, and associated con-trol and relay stations (whether li-censed on an individual, cooperative, ormultiple basis) for private one-way ortwo-way land mobile radio communica-tions by eligible users over designatedareas of operation; and

(c) Any service for which a license isrequired in a personal communicationsservice under part 24 of this chapter.

Network-based Location Technology. Amethod of providing the location ofwireless 911 callers that employs hard-ware and/or software in the CMRS net-work and/or another fixed infrastruc-ture, and does not require the use ofspecial location-determining hardwareand/or software in the caller’s portableor mobile phone.

Private Mobile Radio Service. A mobileservice that is neither a commercialmobile radio service nor the functionalequivalent of a service that meets thedefinition of commercial mobile radioservice. Private mobile radio serviceincludes the following:

(a) Not-for-profit land mobile radioand paging services that serve the li-censee’s internal communicationsneeds as defined in part 90 of this chap-ter. Shared-use, cost-sharing, or coop-erative arrangements, multiple li-censed systems that use third partymanagers or users combining resourcesto meet compatible needs for special-ized internal communications facilitiesin compliance with the safeguards of§ 90.179 of this chapter are presump-tively private mobile radio services;

(b) Mobile radio service offered to re-stricted classes of eligible users. Thisincludes entities eligible in the PublicSafety Radio Pool and Radiolocationservice.

(c) 220–222 MHz land mobile serviceand Automatic Vehicle Monitoring sys-tems (part 90 of this chapter) that do

not offer interconnected service or thatare not-for-profit; and

(d) Personal Radio Services underpart 95 of this chapter (General MobileServices, Radio Control Radio Serv-ices, and Citizens Band Radio Serv-ices); Maritime Service Stations (ex-cluding Public Coast stations) (part 80of this chapter); and Aviation ServiceStations (part 87 of this chapter).

Pseudo Automatic Number Identifica-tion (Pseudo-ANI). A number, con-sisting of the same number of digits asANI, that is not a North AmericanNumbering Plan telephone directorynumber and may be used in place of anANI to convey special meaning. Thespecial meaning assigned to the pseu-do-ANI is determined by agreements,as necessary, between the system origi-nating the call, intermediate systemshandling and routing the call, and thedestination system.

Public Safety Answering Point. A pointthat has been designated to receive 911calls and route them to emergencyservice personnel.

Public Switched Network. Any com-mon carrier switched network, whetherby wire or radio, including local ex-change carriers, interexchange car-riers, and mobile service providers,that use the North American Num-bering Plan in connection with the pro-vision of switched services.

[59 FR 18495, Apr. 19, 1994, as amended at 61FR 38402, July 24, 1996; 61 FR 40352, Aug. 2,1996; 62 FR 18843, Apr. 17, 1997; 63 FR 2637,Jan. 16, 1998; 64 FR 60130, Nov. 4, 1999]

§ 20.5 Citizenship.(a) This rule implements section 310

of the Communications Act, 47 U.S.C.310, regarding the citizenship of licens-ees in the commercial mobile radioservices. Commercial mobile radioservice authorizations may not begranted to or held by:

(1) Any foreign government or anyrepresentative thereof;

(2) Any alien or the representative ofany alien;

(3) Any corporation organized underthe laws of any foreign government;

(4) Any corporation of which morethan one-fifth of the capital stock isowned of record or voted by aliens ortheir representatives or by a foreigngovernment or representative thereof


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Federal Communications Commission § 20.6

or by any corporation organized underthe laws of a foreign country; or

(5) Any corporation directly or indi-rectly controlled by any other corpora-tion of which more than one-fourth ofthe capital stock is owned of record orvoted by aliens, their representatives,or by a foreign government or rep-resentative thereof, or by any corpora-tion organized under the laws of a for-eign country, if the Commission findsthat the public interest will be servedby the refusal or revocation of such li-cense.

(b) The limits listed in paragraph (a)of this section may be exceeded by eli-gible individuals who held ownershipinterests on May 24, 1993, pursuant tothe waiver provisions established insection 332(c)(6) of the CommunicationsAct. Transfers of ownership to anyother person in violation of paragraph(a) of this section are prohibited.

[59 FR 18495, Apr. 19, 1994, as amended at 61FR 55580, Oct. 28, 1996]

§ 20.6 CMRS spectrum aggregationlimit.

(a) Spectrum limitation. No licensee inthe broadband PCS, cellular, or SMRservices (including all parties undercommon control) regulated as CMRS(see 47 CFR 20.9) shall have an attrib-utable interest in a total of more than45 MHz of licensed broadband PCS, cel-lular, and SMR spectrum regulated asCMRS with significant overlap in anygeographic area, except that in RuralService Areas (RSAs), as defined in 47CFR 22.909, no licensee shall have anattributable interest in a total of morethan 55 MHz of licensed broadbandPCS, cellular, and SMR spectrum regu-lated as CMRS with significant overlapin any RSA.

(b) SMR spectrum. To calculate theamount of attributable SMR spectrumfor purposes of paragraph (a) of thissection, an entity must count all 800MHz and 900 MHz channels located atany SMR base station inside the geo-graphic area (MTA or BTA) wherethere is significant overlap. All 800MHz channels located on at least one ofthose identified base stations count as50 kHz (25 kHz paired), and all 900 MHzchannels located on at least one ofthose identified base stations count as25 kHz (12.5 kHz paired); provided that

any discrete 800 or 900 MHz channelshall be counted only once per licenseewithin the geographic area, even if thelicensee in question utilizes the samechannel at more than one locationwithin the relevant geographic area.No more than 10 MHz of SMR spectrumin the 800 and 900 MHz SMR serviceswill be attributed to an entity when de-termining compliance with the cap.

(c) Significant overlap. (1) For pur-poses of paragraph (a) of this section,significant overlap of a PCS licensedservice area and CGSA(s) (as defined in§ 22.911 of this chapter) or SMR servicearea(s) occurs when at least 10 percentof the population of the PCS licensedservice area for the counties containedtherein, as determined by the latestavailable decennial census figures ascomplied by the Bureau of the Census,is within the CGSA(s) and/or SMR serv-ice area(s).

(2) The Commission shall presumethat an SMR service area covers lessthan 10 percent of the population of aPCS service area if none of the basestations of the SMR licensee are lo-cated within the PCS service area. Foran SMR licensee’s base stations thatare located within a PCS service area,the channels licensed at those siteswill be presumed to cover 10 percent ofthe population of the PCS service area,unless the licensee shows that its pro-tected service contour for all of itsbase stations covers less than 10 per-cent of the population of the PCS serv-ice area.

(d) Ownership attribution. For pur-poses of paragraph (a) of this section,ownership and other interests inbroadband PCS licensees, cellular li-censees, or SMR licensees will be at-tributed to their holders pursuant tothe following criteria:

(1) Controlling interest shall be at-tributable. Controlling interest meansmajority voting equity ownership, anygeneral partnership interest, or anymeans of actual working control (in-cluding negative control) over the op-eration of the licensee, in whatevermanner exercised.

(2) Partnership and other ownershipinterests and any stock interestamounting to 20 percent or more of theequity, or outstanding stock, or out-standing voting stock of a broadband


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47 CFR Ch. I (10–1–01 Edition)§ 20.6

PCS, cellular or SMR licensee shall beattributed, except that ownership willnot be attributed unless the partner-ship and other ownership interests andany stock interest amount to at least40 percent of the equity, or outstandingstock, or outstanding voting stock of abroadband PCS, cellular or SMR li-censee if the ownership interest is heldby a small business or a rural tele-phone company, as these terms are de-fined in § 1.2110 of this chapter or otherrelated provisions of the Commission’srules, or if the ownership interest isheld by an entity with a non-control-ling equity interest in a broadbandPCS licensee or applicant that is asmall business.

(3) Investment companies, as definedin 15 U.S.C. 80a–3, insurance companiesand banks holding stock through theirtrust departments in trust accountswill be considered to have an attrib-utable interest only if they hold 40 per-cent or more of the outstanding votingstock of a corporate broadband PCS,cellular or SMR licensee, or if any ofthe officers or directors of thebroadband PCS, cellular or SMR li-censee are representatives of the in-vestment company, insurance companyor bank concerned. Holdings by a bankor insurance company will be aggre-gated if the bank or insurance com-pany has any right to determine howthe stock will be voted. Holdings by in-vestment companies will be aggregatedif under common management.

(4) Non-voting stock shall be attrib-uted as an interest in the issuing enti-ty if in excess of the amounts set forthin paragraph (d)(2) of this section.

(5) Debt and instruments such as war-rants, convertible debentures, options,or other interests (except non-votingstock) with rights of conversion to vot-ing interests shall not be attributedunless and until converted, except thatthis provision does not apply in deter-mining whether an entity is a smallbusiness, a rural telephone company,or a business owned by minorities and/or women, as these terms are defined in§ 1.2110 of this chapter or other relatedprovisions of the Commission’s rules.

(6) Limited partnership interestsshall be attributed to limited partnersand shall be calculated according toboth the percentage of equity paid in

and the percentage of distribution ofprofits and losses.

(7) Officers and directors of abroadband PCS licensee or applicant,cellular licensee, or SMR licensee shallbe considered to have an attributableinterest in the entity with which theyare so associated. The officers and di-rectors of an entity that controls abroadband PCS licensee or applicant, acellular licensee, or an SMR licenseeshall be considered to have an attrib-utable interest in the broadband PCSlicensee or applicant, cellular licensee,or SMR licensee.

(8) Ownership interests that are heldindirectly by any party through one ormore intervening corporations will bedetermined by successive multiplica-tion of the ownership percentages foreach link in the vertical ownershipchain and application of the relevantattribution benchmark to the resultingproduct, except that if the ownershippercentage for an interest in any linkin the chain exceeds 50 percent or rep-resents actual control, it shall betreated as if it were a 100 percent inter-est. (For example, if A owns 20% of B,and B owns 40% of licensee C, then A’sinterest in licensee C would be 8%. If Aowns 20% of B, and B owns 51% of li-censee C, then A’s interest in licenseeC would be 20% because B’s ownershipof C exceeds 50%.)

(9) Any person who manages the op-erations of a broadband PCS, cellular,or SMR licensee pursuant to a manage-ment agreement shall be considered tohave an attributable interest in suchlicensee if such person, or its affiliate,has authority to make decisions orotherwise engage in practices or activi-ties that determine, or significantly in-fluence,

(i) The nature or types of services of-fered by such licensee;

(ii) The terms upon which such serv-ices are offered; or

(iii) The prices charged for such serv-ices.

(10) Any licensee or its affiliate whoenters into a joint marketing arrange-ments with a broadband PCS, cellular,or SMR licensee, or its affiliate shallbe considered to have an attributableinterest, if such licensee, or its affil-iate, has authority to make decisions


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or otherwise engage in practices or ac-tivities that determine, or signifi-cantly influence,




(e) Divestiture. (1) Divestiture of in-terests as a result of a transfer of con-trol or assignment of authorizationmust occur prior to consummating thetransfer or assignment, except that alicensee that meets the requirementsset forth in paragraph (e)(2) of this sec-tion shall have 90 days from final grantto come into compliance with the spec-trum aggregation limit.

(2) An applicant with:(i) Controlling or attributable owner-

ship interests in broadband PCS, cel-lular, and/or SMR licenses where thegeographic license areas cover 20 per-cent or less of the applicant’s servicearea population;

(ii) Attributable interests inbroadband PCS, cellular, and/or SMRlicenses solely due to managementagreements or joint marketing agree-ments; or

(iii) Non-controlling attributable in-terests in broadband PCS, cellular, and/or SMR licenses, regardless of the de-gree to which the geographic licenseareas cover the applicant’s service areapopulation, shall be eligible to have itsapplication granted subject to a condi-tion that the licensee shall come intocompliance with the spectrum limita-tion set out in paragraph (a) withinninety (90) days after final grant. Forpurposes of this paragraph, a ‘‘non-con-trolling attributable interest’’ is one inwhich the holder has less than a fifty(50) percent voting interest and there isan unaffiliated single holder of a fifty(50) percent or greater voting interest.

(3) The applicant for a license that, ifgranted, would exceed the spectrum ag-gregation limitation in paragraph (a)of this section shall certify on its ap-plication that it and all parties to theapplication will come into compliancewith this limitation. If such an appli-cant is a successful bidder in an auc-tion, it must submit with its long-formapplication a signed statement describ-ing its efforts to date and future plans

to come into compliance with the spec-trum aggregation limitation. A similarstatement must also be included withany application for assignment of li-censes or transfer of control that, ifgranted, would exceed the spectrum ag-gregation limit.

(4)(i) Parties holding controlling in-terests in broadband PCS, cellular, and/or SMR licensees that conflict with theattribution threshold or geographicoverlap limitations set forth in thissection will be considered to have comeinto compliance if they have submittedto the Commission an application forassignment of license or transfer ofcontrol of the conflicting licensee (see§§ 24.839 (PCS), 22.39 (cellular), and90.158 of this chapter (SMR)) by which,if granted, such parties no longerwould have an attributable interest inthe conflicting license. Divestituremay be to an interim trustee if a buyerhas not been secured in the requiredperiod of time, as long as the applicanthas no interest in or control of thetrustee, and the trustee may dispose ofthe license as it sees fit. Where partiesto broadband PCS, cellular, or SMR ap-plications hold less than controlling(but still attributable) interests inbroadband PCS, cellular, or SMR li-censee(s), they shall submit a certifi-cation that the applicant and all par-ties to the application have come intocompliance with the limitations onspectrum aggregation set forth in thissection.

(ii) Applicants that meet the require-ments of paragraph (e)(2) of this sec-tion must tender to the Commissionwithin ninety (90) days of final grant ofthe initial license, such an assignmentor transfer application or, in the caseof less than controlling (but still at-tributable) interests, a written certifi-cation that the applicant and all par-ties to the application have come intocompliance with the limitations onspectrum aggregation set forth in thissection. If no such transfer or assign-ment application or certification istendered to the Commission withinninety (90) days of final grant of theinitial license, the Commission mayconsider the certification and the di-vestiture statement to be material, bad


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47 CFR Ch. I (10–1–01 Edition)§ 20.7

faith misrepresentations and shall in-voke the condition on the initial li-cense or the assignment or transfer,cancelling or rescinding it automati-cally, shall retain all monies paid tothe Commission, and, based on thefacts presented, shall take any otheraction it may deem appropriate.

NOTE 1 TO § 20.6: For purposes of the owner-ship attribution limit, all ownership inter-ests in operations that serve at least 10 per-cent of the population of the PCS servicearea should be included in determining theextent of a PCS applicant’s cellular or SMRownership.

NOTE 2 TO § 20.6: When a party owns an at-tributable interest in more than one cellularor SMR system that overlaps a PCS servicearea, the total population in the overlap areawill apply on a cumulative basis.

NOTE 3 TO § 20.6: Waivers of § 20.6(d) may begranted upon an affirmative showing:

(1) That the interest holder has less than a50 percent voting interest in the licensee andthere is an unaffiliated single holder of a 50percent or greater voting interest;

(2) That the interest holder is not likely toaffect the local market in an anticompeti-tive manner;

(3) That the interest holder is not involvedin the operations of the licensee and does nothave the ability to influence the licensee ona regular basis; and

(4) That grant of a waiver is in the publicinterest because the benefits to the public ofcommon ownership outweigh any potentialanticompetitive harm to the market.

[64 FR 54574, Oct. 7, 1999]

§ 20.7 Mobile services.The following are mobile services

within the meaning of sections 3(n) and332 of the Communications Act, 47U.S.C. 153(n), 332.

(a) Public mobile services (part 22 ofthis chapter), including fixed oper-ations that support the mobile sys-tems, but excluding Rural Radio Serv-ice and Basic Exchange Telecommuni-cations Radio Service (part 22, subpartH of this chapter);

(b) Private land mobile services (part90 of this chapter), including secondaryfixed operations, but excluding fixedservices such as call box operations andmeter reading;

(c) Mobile satellite services (part 25of this chapter) including dual-useequipment, terminals capable of trans-mitting while a platform is moving,but excluding satellite facilities pro-vided through a transportable platform

that cannot move when the commu-nications service is offered;

(d) Marine and aviation services(parts 80 and 87 of this chapter), includ-ing fixed operations that support thesemarine and aviation mobile systems;

(e) Personal radio services (part 95 ofthis chapter), but excluding 218–219MHz Service;

(f) Personal communications services(part 24 of this chapter);

(g) Auxiliary services provided bymobile service licensees, and ancillaryfixed communications offered by per-sonal communications service pro-viders;

(h) Unlicensed services meeting thedefinition of commercial mobile radioservice in § 20.3, such as the resale ofcommercial mobile radio services, butexcluding unlicensed radio frequencydevices under part 15 of this chapter(including unlicensed personal commu-nications service devices).

[59 FR 18495, Apr. 19, 1994, as amended at 63FR 54077, Oct. 8, 1998]

§ 20.9 Commercial mobile radio serv-ice.

(a) The following mobile servicesshall be treated as common carriageservices and regulated as commercialmobile radio services (including anysuch service offered as a hybrid serviceor offered on an excess capacity basisto the extent it meets the definition ofcommercial mobile radio service, or of-fered as an auxiliary or ancillary serv-ice), pursuant to Section 332 of theCommunications Act, 47 U.S.C. 332:

(1) Private Paging (part 90 of thischapter), excluding not-for-profit pag-ing systems that serve only the licens-ee’s own internal communicationsneeds;

(2) Stations that offer Industrial/Business Pool (§ 90.35 of this chapter)eligibles for-profit, interconnectedservice;

(3) Land Mobile Systems on 220–222MHz (part 90 of this chapter), exceptservices that are not-for-profit or donot offer interconnected service;

(4) Specialized Mobile Radio servicesthat provide interconnected service(part 90 of this chapter);

(5) Public Coast Stations (part 80,subpart J of this chapter);


11


(6) Paging and Radiotelephone Serv-ice (part 22, subpart E of this chapter).

(7) Cellular Radiotelephone Service(part 22, subpart H of this chapter).

(8) Air-Ground Radiotelephone Serv-ice (part 22, subpart G of this chapter).

(9) Offshore Radiotelephone Service(part 22, subpart I of this chapter).

(10) Any mobile satellite service in-volving the provision of commercialmobile radio service (by licensees or re-sellers) directly to end users, exceptthat mobile satellite licensees andother entities that sell or lease spacesegment capacity, to the extent that itdoes not provide commercial mobileradio service directly to end users, mayprovide space segment capacity tocommercial mobile radio service pro-viders on a non-common carrier basis,if so authorized by the Commission;

(11) Personal Communications Serv-ices (part 24 of this chapter), except asprovided in paragraph (b) of this sec-tion;

(12) Mobile operations in the 218–219MHz Service (part 95, subpart F of thischapter) that provide for-profit inter-connected service to the public;

(13) For-profit subsidiary commu-nications services transmitted on sub-carriers within the FM baseband sig-nal, that provide interconnected serv-ice (47 CFR 73.295 of this chapter); and

(14) A mobile service that is the func-tional equivalent of a commercial mo-bile radio service.

(i) A mobile service that does notmeet the definition of commercial mo-bile radio service is presumed to be aprivate mobile radio service.

(ii) Any interested party may seek toovercome the presumption that a par-ticular mobile radio service is a privatemobile radio service by filing a peti-tion for declaratory ruling challenginga mobile service provider’s regulatorytreatment as a private mobile radioservice.

(A) The petition must show that: (1)The mobile service in question meetsthe definition of commercial mobileradio service; or

(2) The mobile service in question isthe functional equivalent of a servicethat meets the definition of a commer-cial mobile radio service.

(B) A variety of factors will be evalu-ated to make a determination whether

the mobile service in question is thefunctional equivalent of a commercialmobile radio service, including: con-sumer demand for the service to deter-mine whether the service is closelysubstitutable for a commercial mobileradio service; whether changes in pricefor the service under examination, orfor the comparable commercial mobileradio service would prompt customersto change from one service to theother; and market research informa-tion identifying the targeted marketfor the service under review.

(C) The petition must contain spe-cific allegations of fact supported byaffidavit(s) of person(s) with personalknowledge. The petition must beserved on the mobile service provideragainst whom it is filed and contain acertificate of service to this effect. Themobile service provider may file an op-position to the petition and the peti-tioner may file a reply. The generalrules of practice and procedure con-tained in §§ 1.1 through 1.52 of thischapter shall apply.

(b) Licensees of a Personal Commu-nications Service or applicants for aPersonal Communications Service li-cense, and VHF Public Coast Stationgeographic area licensees or appli-cants, proposing to use any PersonalCommunications Service or VHF Pub-lic Coast Station spectrum to offerservice on a private mobile radio serv-ice basis must overcome the presump-tion that Personal CommunicationsService and VHF Public Coast Stationsare commercial mobile radio services.

(1) The applicant or licensee (whomust file an application to modify itsauthorization) seeking authority todedicate a portion of the spectrum forprivate mobile radio service, must in-clude a certification that it will offerPersonal Communications Service orVHF Public Coast Station service on aprivate mobile radio service basis. Thecertification must include a descrip-tion of the proposed service sufficientto demonstrate that it is not withinthe definition of commercial mobileradio service in § 20.3. Any applicationrequesting to use any Personal Com-munications Service or VHF PublicCoast Station spectrum to offer serviceon a private mobile radio service basis


12

47 CFR Ch. I (10–1–01 Edition)§ 20.11

will be placed on public notice by theCommission.

(2) Any interested party may file apetition to deny the application within30 days after the date of public noticeannouncing the acceptance for filing ofthe application. The petition shall con-tain specific allegations of fact sup-ported by affidavit(s) of person(s) withpersonal knowledge to show that theapplicant’s request does not rebut thecommercial mobile radio service pre-sumption. The petition must be servedon the applicant and contain a certifi-cate of service to this effect. The appli-cant may file an opposition with alle-gations of fact supported by affidavit.The petitioner may file a reply. No ad-ditional pleadings will be allowed. Thegeneral rules of practice and procedurecontained in §§ 1.1 through 1.52 of thischapter and § 22.30 of this chapter shallapply.

(c) Any provider of private land mo-bile service before August 10, 1993 (in-cluding any system expansions, modi-fications, or acquisitions of additionallicenses in the same service, even if au-thorized after this date), and any pri-vate paging service utilizing fre-quencies allocated as of January 1,1993, that meet the definition of com-mercial mobile radio service, shall, ex-cept for purposes of § 20.5 (applicableAugust 10, 1993 for the providers listedin this paragraph), be treated as pri-vate mobile radio service until August10, 1996. After this date, these entitieswill be treated as commercial mobileradio service providers regulated underthis part.

[59 FR 18495, Apr. 19, 1994, as amended at 62FR 18843, Apr. 17, 1997; 63 FR 40062, July 27,1998; 64 FR 26887, May 18, 1999; 64 FR 59659,Nov. 3, 1999; 66 FR 10968, Feb. 21, 2001]

§ 20.11 Interconnection to facilities oflocal exchange carriers.

(a) A local exchange carrier mustprovide the type of interconnectionreasonably requested by a mobile serv-ice licensee or carrier, within a reason-able time after the request, unless suchinterconnection is not technically fea-sible or economically reasonable. Com-plaints against carriers under section208 of the Communications Act, 47U.S.C. 208, alleging a violation of thissection shall follow the requirements

of §§ 1.711–1.734 of this chapter, 47 CFR1.711–1.734.

(b) Local exchange carriers and com-mercial mobile radio service providersshall comply with principles of mutualcompensation.

(1) A local exchange carrier shall payreasonable compensation to a commer-cial mobile radio service provider inconnection with terminating trafficthat originates on facilities of the localexchange carrier.

(2) A commercial mobile radio serv-ice provider shall pay reasonable com-pensation to a local exchange carrier inconnection with terminating trafficthat originates on the facilities of thecommercial mobile radio service pro-vider.

(c) Local exchange carriers and com-mercial mobile radio service providersshall also comply with applicable pro-visions of part 51 of this chapter.

[59 FR 18495, Apr. 19, 1994, as amended at 61FR 45619, Aug. 29, 1996]

§ 20.12 Resale and roaming.

(a) Scope of section. This section is ap-plicable to providers of Broadband Per-sonal Communications Services (part24, subpart E of this chapter), CellularRadio Telephone Service (part 22, sub-part H of this chapter), and SpecializedMobile Radio Services in the 800 MHzand 900 MHz bands (included in part 90,subpart S of this chapter) if such pro-viders offer real-time, two-wayswitched voice or data service that isinterconnected with the publicswitched network and utilizes an in-network switching facility that enablesthe provider to reuse frequencies andaccomplish seamless hand-offs of sub-scriber calls. The scope of paragraph(b) of this section, concerning the re-sale rule, is further limited so as to ex-clude from the requirements of thatparagraph those Broadband PersonalCommunications Services C, D, E, andF block licensees that do not own andcontrol and are not owned and con-trolled by firms also holding cellular,A, or B block licenses.

(b) Resale. The resale rule is applica-ble as follows:

(1) Each carrier subject to paragraph(b) of this section shall not restrict theresale of its services, unless the carrier


13


demonstrates that the restriction isreasonable.

(2) The resale requirement shall notapply to customer premises equipment,whether or not it is bundled with serv-ices subject to the resale requirementin this paragraph.

(3) This paragraph shall cease to beeffective five years after the last groupof initial licenses for broadband PCSspectrum in the 1850–1910 and the 1930–1990 MHz bands is awarded; i.e., at theclose of November 24, 2002.

(c) Roaming. Each carrier subject tothis section must provide mobile radioservice upon request to all subscribersin good standing to the services of anycarrier subject to this section, includ-ing roamers, while such subscribers arelocated within any portion of the li-censee’s licensed service area where fa-cilities have been constructed and serv-ice to subscribers has commenced, ifsuch subscribers are using mobileequipment that is technically compat-ible with the licensee’s base stations.

[64 FR 61027, Nov. 9, 1999, as amended at 65FR 58482, Sept. 29, 2000]

§ 20.13 State petitions for authority toregulate rates.

(a) States may petition for authorityto regulate the intrastate rates of anycommercial mobile radio service. Thepetition must include the following:

(1) Demonstrative evidence that mar-ket conditions in the state for commer-cial mobile radio services do not ade-quately protect subscribers to suchservices from unjust and unreasonablerates or rates that are unjustly or un-reasonably discriminatory. Alter-natively, a state’s petition may includedemonstrative evidence showing thatmarket conditions for commercial mo-bile radio services do not protect sub-scribers adequately from unjust andunreasonable rates, or rates that areunjustly or unreasonably discrimina-tory, and that a substantial portion ofthe commercial mobile radio servicesubscribers in the state or a specifiedgeographic area have no alternativemeans of obtaining basic telephoneservice. This showing may include evi-dence of the range of basic telephoneservice alternatives available to con-sumers in the state.

(2) The following is a non-exhaustivelist of examples of the types of evi-dence, information, and analysis thatmay be considered pertinent to deter-mine market conditions and consumerprotection by the Commission in re-viewing any petition filed by a stateunder this section:

(i) The number of commercial mobileradio service providers in the state, thetypes of services offered by commercialmobile radio service providers in thestate, and the period of time that theseproviders have offered service in thestate;

(ii) The number of customers of eachcommercial mobile radio service pro-vider in the state; trends in each pro-vider’s customer base during the mostrecent annual period or other data cov-ering another reasonable period if an-nual data is unavailable; and annualrevenues and rates of return for eachcommercial mobile radio service pro-vider;

(iii) Rate information for each com-mercial mobile radio service provider,including trends in each provider’srates during the most recent annualperiod or other data covering anotherreasonable period if annual data is un-available;

(iv) An assessment of the extent towhich services offered by the commer-cial mobile radio service providers thestate proposes to regulate are substi-tutable for services offered by othercarriers in the state;

(v) Opportunities for new providers toenter into the provision of competingservices, and an analysis of any bar-riers to such entry;

(vi) Specific allegations of fact (sup-ported by affidavit of person with per-sonal knowledge) regarding anti-com-petitive or discriminatory practices orbehavior by commercial mobile radioservice providers in the state;

(vii) Evidence, information, and anal-ysis demonstrating with particularityinstances of systematic unjust and un-reasonable rates, or rates that are un-just or unreasonably discriminatory,imposed upon commercial mobile radioservice subscribers. Such evidenceshould include an examination of therelationship between rates and costs.Additionally, evidence of a pattern of


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47 CFR Ch. I (10–1–01 Edition)§ 20.15

such rates, that demonstrates the in-ability of the commercial mobile radioservice marketplace in the state toproduce reasonable rates through com-petitive forces will be considered espe-cially probative; and

(viii) Information regarding cus-tomer satisfaction or dissatisfactionwith services offered by commercialmobile radio service providers, includ-ing statistics and other informationabout complaints filed with the stateregulatory commission.

(3) Petitions must include a certifi-cation that the state agency filing thepetition is the duly authorized stateagency responsible for the regulationof telecommunication services pro-vided in the state.

(4) Petitions must identify and de-scribe in detail the rules the state pro-poses to establish if the petition isgranted.

(5) States have the burden of proof.Interested parties may file commentsin support or in opposition to the peti-tion within 30 days after public noticeof the filing of a petition by a stateunder this section. Any interestedparty may file a reply within 15 daysafter the expiration of the filing periodfor comments. No additional pleadingsmay be filed. Except for § 1.45 of thischapter, practice and procedure rulescontained in §§ 1.42–1.52 of this chaptershall apply. The provisions of §§ 1.771–1.773 of this chapter do not apply.

(6) The Commission shall act uponany petition filed by a state under thisparagraph not later than the end of thenine-month period after the filing ofthe petition.

(7) If the Commission grants the peti-tion, it shall authorize the state to reg-ulate rates for commercial mobileradio services in the state during a rea-sonable period of time, as specified bythe Commission. The period of timespecified by the Commission will bethat necessary to ensure that rates arejust and reasonable, or not unjustly orunreasonably discriminatory.

(b) States that regulated rates forcommercial mobile services as of June1, 1993, may petition the Commissionunder this section before August 10,1994, to extend this authority.

(1) The petition will be acted upon bythe Commission in accordance with the

provisions of paragraphs (a)(1) through(a)(5) of this section.

(2) The Commission shall act uponthe petition (including any reconsider-ation) not later than the end of the 12-month period following the date of thefiling of the petition by the state in-volved. Commercial mobile radio serv-ice providers offering such service inthe state shall comply with the exist-ing regulations of the state until thepetition and any reconsideration of thepetition are acted upon by the Commis-sion.

(3) The provisions of paragraph (a)(7)of this section apply to any petitiongranted by the Commission under thisparagraph.

(c) No sooner than 18 months fromgrant of authority by the Commissionunder this section for state rate regula-tions, any interested party may peti-tion the Commission for an order todiscontinue state authority for rateregulation.

(1) Petitions to discontinue state au-thority for rate regulation must bebased on recent empirical data or othersignificant evidence demonstratingthat the exercise of rate authority by astate is no longer necessary to ensurethat the rates for commercial mobileare just and reasonable or not unjustlyor unreasonably discriminatory.

(2) Any interested party may filecomments in support of or in opposi-tion to the petition within 30 daysafter public notice of the filing of thepetition. Any interested party may filea reply within 15 days after the timefor filing comments has expired. No ad-ditional pleadings may be filed. Exceptfor 1.45 of this chapter, practice andprocedure rules contained in § 1.42–1.52of this chapter apply. The provisions of§§ 1.771–1.773 of this chapter do notapply.

(3) The Commission shall act uponany petition filed by any interestedparty under this paragraph within ninemonths after the filing of the petition.

§ 20.15 Requirements under Title II ofthe Communications Act.

(a) Commercial mobile radio servicesproviders, to the extent applicable,must comply with sections 201, 202, 206,207, 208, 209, 216, 217, 223, 225, 226, 227,and 228 of the Communications Act, 47


15


U.S.C. 201, 202, 206, 207, 208, 209, 216, 217,223, 225, 226, 227, 228; part 68 of thischapter, 47 CFR part 68; and §§ 1.701–1.748, and 1.815 of this chapter, 47 CFR1.701–1.748, 1.815.

(b) Commercial mobile radio serviceproviders are not required to:

(1) File with the Commission copiesof contracts entered into with othercarriers or comply with other reportingrequirements, or with §§ 1.781 through1.814 and 43.21 of this chapter; exceptthat commercial radio service pro-viders that offer broadband service, asdescribed in § 1.7001(a) or mobile teleph-ony are required to file reports pursu-ant to §§ 1.7000 and 43.11 of this chapterto the extent that they meet thethresholds as set out in §§ 1.7001(b) and43.11(a) of this chapter. For purposes ofthis section mobile, telephony is definedas real-time, two-way switched voiceservice that is interconnected with thepublic switched network utilizing anin-network switching facility that en-ables the provider to reuse frequenciesand accomplish seamless handoff ofsubscriber calls.

(2) Seek authority for interlockingdirectors (section 212 of the Commu-nications Act);

(3) Submit applications for new fa-cilities or discontinuance of existingfacilities (section 214 of the Commu-nications Act).

(c) Commercial mobile radio serviceproviders shall not file tariffs for inter-national and interstate service to theircustomers, interstate access service, orinternational and interstate operatorservice. Sections 1.771 through 1.773and part 61 of this chapter are not ap-plicable to international and interstateservices provided by commercial mo-bile radio service providers. Commer-cial mobile radio service providersshall cancel tariffs for internationaland interstate service to their cus-tomers, interstate access service, andinternational and interstate operatorservice.

(d) Except as specified as in para-graphs (d)(1) and (2), nothing in thissection shall be construed to modifythe Commission’s rules and policies onthe provision of international serviceunder part 63 of this chapter.

(1) Notwithstanding the provisions of§ 63.21(c) of this chapter, a commercial

mobile radio service provider is not re-quired to comply with § 42.10 of thischapter.

(2) A commercial mobile radio serv-ice (CMRS) provider that is classifiedas dominant under § 63.10 of this chap-ter due to an affiliation with a foreigncarrier is required to comply with§ 42.11 of this chapter if the affiliatedforeign carrier collects settlement pay-ments from U.S. carriers for termi-nating U.S. international switchedtraffic at the foreign end of the route.Such a CMRS provider is not requiredto comply with § 42.11, however, if itprovides service on the affiliated routesolely through the resale of an unaffili-ated facilities-based provider’s inter-national switched services.

(3) For purposes of paragraphs (d)(1)and (2) of this section, affiliated and for-eign carrier are defined in § 63.09 of thisChapter.

(e) For obligations of commercialmobile radio service providers to pro-vide local number portability, see § 52.1of this chapter.

[59 FR 18495, Apr. 19, 1994, as amended at 61FR 38637, July 25, 1996; 63 FR 43040, Aug. 11,1998; 65 FR 19685, Apr. 12, 2000; 65 FR 24654,Apr. 27, 2000; 66 FR 16879, Mar. 28, 2001]

§ 20.18 911 Service.(a) Scope of section. The following re-

quirements are only applicable toBroadband Personal CommunicationsServices (part 24, subpart E of thischapter), Cellular Radio TelephoneService (part 22, subpart H of this chap-ter), and Geographic Area SpecializedMobile Radio Services and IncumbentWide Area SMR Licensees in the 800MHz and 900 MHz bands (included inpart 90, subpart S of this chapter). Inaddition, service providers in theseenumerated services are subject to thefollowing requirements solely to theextent that they offer real-time, twoway switched voice service that isinterconnected with the publicswitched network and utilize an in-net-work switching facility which enablesthe provider to reuse frequencies andaccomplish seamless hand-offs of sub-scriber calls.

(b) Basic 911 Service. Licensees subjectto this section must transmit all wire-less 911 calls without respect to theircall validation process to a Public


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47 CFR Ch. I (10–1–01 Edition)§ 20.18

Safety Answering Point, provided that‘‘all wireless 911 calls’’ is defined as‘‘any call initiated by a wireless userdialing 911 on a phone using a compli-ant radio frequency protocol of theserving carrier.’’

(c) TTY Access to 911 Services. Licens-ees subject to this section must be ca-pable of transmitting 911 calls from in-dividuals with speech or hearing dis-abilities through means other than mo-bile radio handsets, e.g., through theuse of Text Telephone Devices (TTY).

NOTE TO PARAGRAPH (c): Operators of dig-ital wireless systems must begin complyingwith the provisions of this paragraph on orbefore June 30, 2002.

(d) Phase I enhanced 911 services. (1)As of April 1, 1998, or within six monthsof a request by the designated PublicSafety Answering Point as set forth inparagraph (j) of this section, whicheveris later, licensees subject to this sec-tion must provide the telephone num-ber of the originator of a 911 call andthe location of the cell site or base sta-tion receiving a 911 call from any mo-bile handset accessing their systems tothe designated Public Safety Answer-ing Point through the use of ANI andPseudo-ANI.

(2) When the directory number of thehandset used to originate a 911 call isnot available to the serving carrier,such carrier’s obligations under theparagraph (d)(1) extend only to deliv-ering 911 calls and available callingparty information to the designatedPublic Safety Answering Point.

NOTE TO PARAGRAPH (d): With respect to 911calls accessing their systems through the useof TTYs, licensees subject to this sectionmust comply with the requirements in para-graphs (d)(1) and (d)(2) of this section, as tocalls made using a digital wireless system, asof October 1, 1998.

(e) Phase II enhanced 911 service. Li-censees subject to this section mustprovide to the designated Public SafetyAnswering Point Phase II enhanced 911service, i.e., the location of all 911 callsby longitude and latitude in conform-ance with Phase II accuracy require-ments (see paragraph (h) of this sec-tion).

(f) Phase-in for network-based locationtechnologies. Licensees subject to thissection who employ a network-based

location technology shall providePhase II 911 enhanced service to atleast 50 percent of their coverage areaor 50 percent of their population begin-ning October 1, 2001, or within 6 monthsof a PSAP request, whichever is later;and to 100 percent of their coveragearea or 100 percent of their populationwithin 18 months of such a request orby October 1, 2002, whichever is later.

(g) Phase-in for handset-based locationtechnologies. Licensees subject to thissection who employ a handset-based lo-cation technology may phase in de-ployment of Phase II enhanced 911service, subject to the following re-quirements:

(1) Without respect to any PSAP re-quest for deployment of Phase II 911enhanced service, the licensee shall:

(i) Begin selling and activating loca-tion-capable handsets no later than Oc-tober 1, 2001;

(ii) Ensure that at least 25 percent ofall new handsets activated are loca-tion-capable no later than December31, 2001;

(iii) Ensure that at least 50 percent ofall new handsets activated are loca-tion-capable no later than June 30,2002; and

(iv) Ensure that 100 percent of allnew digital handsets activated are lo-cation-capable no later than December31, 2002, and thereafter.

(v) By December 31, 2005, achieve 95percent penetration of location-capablehandsets among its subscribers.

(2) Once a PSAP request is received,the licensee shall, in the area served bythe PSAP, within six months or by Oc-tober 1, 2001, whichever is later:

(i) Install any hardware and/or soft-ware in the CMRS network and/orother fixed infrastructure, as needed,to enable the provision of Phase II en-hanced 911 service; and

(ii) Begin delivering Phase II en-hanced 911 service to the PSAP.

(3) For all 911 calls from portable ormobile phones that do not contain thehardware and/or software needed to en-able the licensee to provide Phase IIenhanced 911 service, the licensee shall,after a PSAP request is received, sup-port, in the area served by the PSAP,Phase I location for 911 calls or other


17


available best practice method of pro-viding the location of the portable ormobile phone to the PSAP.

(4) Licensees employing handset-based location technologies shall en-sure that location-capable portable ormobile phones shall conform to indus-try interoperability standards designedto enable the location of such phonesby multiple licensees.

(h) Phase II accuracy. Licensees sub-ject to this section shall comply withthe following standards for Phase II lo-cation accuracy and reliability:

(1) For network-based technologies:100 meters for 67 percent of calls, 300meters for 95 percent of calls;

(2) For handset-based technologies: 50meters for 67 percent of calls, 150 me-ters for 95 percent of calls.

(3) For the remaining 5 percent ofcalls, location attempts must be madeand a location estimate for each callmust be provided to the appropriatePSAP.

(i) Reports on Phase II plans. Licens-ees subject to this section shall reportto the Commission their plans for im-plementing Phase II enhanced 911 serv-ice, including the location-determina-tion technology they plan to employand the procedure they intend to use toverify conformance with the Phase IIaccuracy requirements by November 9,2000. Licensees are required to updatethese plans within thirty days of theadoption of any change. These reportsand updates may be filed electronicallyin a manner to be designated by theCommission.

(j) Conditions for enhanced 911 services.The requirements set forth in para-graphs (d) through (h) of this sectionshall be applicable only if the adminis-trator of the designated Public SafetyAnswering Point has requested theservices required under those para-graphs and is capable of receiving andutilizing the data elements associatedwith the service, and a mechanism forrecovering the Public Safety Answer-ing Point’s costs of the enhanced 911service is in place.

(k) Dispatch service. A service pro-vider covered by this section who offersdispatch service to customers maymeet the requirements of this sectionwith respect to customers who utilizedispatch service either by complying

with the requirements set forth inparagraphs (b) through (e) of this sec-tion, or by routing the customer’semergency calls through a dispatcher.If the service provider chooses the lat-ter alternative, it must make everyreasonable effort to explicitly notifyits current and potential dispatch cus-tomers and their users that they arenot able to directly reach a PSAP bycalling 911 and that, in the event of anemergency, the dispatcher should becontacted.

[63 FR 2637, Jan. 16, 1998, as amended at 64FR 60130, Nov. 4, 1999; 64 FR 72956, Dec. 29,1999; 65 FR 58661, Oct. 2, 2000; 65 FR 82295,Dec. 28, 2000]

§ 20.20 Conditions applicable to provi-sion of CMRS service by incumbentLocal Exchange Carriers.

(a) Separate affiliate. An incumbentLEC providing in-region broadbandCMRS shall provide such servicesthrough an affiliate that satisfies thefollowing requirements:

(1) The affiliate shall maintain sepa-rate books of account from its affili-ated incumbent LEC. Nothing in thissection requires the affiliate to main-tain separate books of account thatcomply with part 32 of this chapter;

(2) The affiliate shall not jointly owntransmission or switching facilitieswith its affiliated incumbent LEC thatthe affiliated incumbent LEC uses forthe provision of local exchange servicein the same in-region market. Nothingin this section prohibits the affiliatefrom sharing personnel or other re-sources or assets with its affiliated in-cumbent LEC; and

(3) The affiliate shall acquire anyservices from its affiliated incumbentLEC for which the affiliated incumbentLEC is required to file a tariff attariffed rates, terms, and conditions.Other transactions between the affil-iate and the incumbent LEC for serv-ices that are not acquired pursuant totariff must be reduced to writing andmust be made on a compensatory,arm’s length basis. All transactions be-tween the incumbent LEC and the affil-iate are subject to part 32 of this chap-ter, including the affiliate transactionrules. Nothing in this section shall pro-hibit the affiliate from acquiring any


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47 CFR Ch. I (10–1–01 Edition)§ 20.20

unbundled network elements or ex-change services for the provision of atelecommunications service from itsaffiliated incumbent LEC, subject tothe same terms and conditions as pro-vided in an agreement approved undersection 252 of the Communications Actof 1934, as amended.

(b) Independence. The affiliate re-quired in paragraph (a) of this sectionshall be a separate legal entity from itsaffiliated incumbent LEC. The affiliatemay be staffed by personnel of its af-filiated incumbent LEC, housed in ex-isting offices of its affiliated incum-bent LEC, and use its affiliated incum-bent LEC’s marketing and other serv-ices, subject to paragraphs (a)(3) and(c) of this section.

(c) Joint marketing. Joint marketingof local exchange and exchange accessservice and CMRS services by an in-cumbent LEC shall be subject to part32 of this chapter. In addition, suchagreements between the affiliate andthe incumbent LEC must be reduced towriting and made available for publicinspection upon request at the prin-ciple place of business of the affiliateand the incumbent LEC. The docu-mentation must include a certificationstatement identical to the certificationstatement currently required to be in-cluded with all Automated Reportingand Management Information Systems(ARMIS) reports. The affiliate mustalso provide a detailed written descrip-tion of the terms and conditions of thetransaction on the Internet within 10days of the transaction through the af-filiate’s home page.

(d) Exceptions. (1) Rural telephonecompanies. Rural telephone companiesare exempted from the requirementsset forth in paragraphs (a), (b) and (c)of this section. A competing tele-communications carrier, inter-connected with the rural telephonecompany, however, may petition theFCC to remove the exemption, or theFCC may do so on its own motion,where the rural telephone company hasengaged in anticompetitive conduct.

(2) Incumbent LECs with fewer than 2percent of subscriber lines. IncumbentLECs with fewer than 2 percent of thenation’s subscriber lines installed inthe aggregate nationwide may petitionthe FCC for suspension or modification

of the requirements set forth in para-graphs (a), (b) and (c) of this section.The FCC will grant such a petitionwhere the incumbent LEC dem-onstrates that suspension or modifica-tion of the separate affiliate require-ment is

(i) Necessary to avoid a significantadverse economic impact on users oftelecommunications services generallyor to avoid a requirement that wouldbe unduly economically burdensome,and

(ii) Consistent with the public inter-est, convenience, and necessity.

(e) Definitions. Terms used in this sec-tion have the following meanings:

Affiliate. ‘‘Affiliate’’ means a personthat (directly or indirectly) owns orcontrols, is owned or controlled by, oris under common ownership with, an-other person. For purposes of this sec-tion, the term ‘‘own’’ means to own anequity interest (or the equivalentthereof) of more than 10 percent.

Broadband Commercial Mobile RadioService (Broadband CMRS). For the pur-poses of this section, ‘‘broadbandCMRS’’ means Cellular RadiotelephoneService (part 22, subpart H of this chap-ter), Specialized Mobile Radio (part 90,subpart S of this chapter), andbroadband Personal CommunicationsServices (part 24, subpart E of thischapter).

Incumbent Local Exchange Carrier (In-cumbent LEC). ‘‘Incumbent LEC’’ hasthe same meaning as that term is de-fined in § 51.5 of this chapter.

In-region. For the purposes of thissection, an incumbent LEC’s broadbandCMRS service is considered ‘‘in-region’’when 10 percent or more of the popu-lation covered by the CMRS affiliate’sauthorized service area, as determinedby the 1990 census figures, is within theaffiliated incumbent LEC’s wirelineservice area.

Rural Telephone Company. ‘‘RuralTelephone Company’’ has the samemeaning as that term is defined in§ 51.5 of this chapter.

(f) Sunset. This section will no longerbe effective after January 1, 2002.

[62 FR 63871, Dec. 3, 1997, as amended at 66FR 10968, Feb. 21, 2001]


19

Federal Communications Commission Pt. 21

PART 21—DOMESTIC PUBLIC FIXEDRADIO SERVICES

Subpart A—General

Sec.21.1 Scope and authority.21.2 Definitions.

Subpart B—Applications and Licenses

GENERAL FILING REQUIREMENTS

21.3 Station authorization required.21.4 Eligibility for station license.21.5 Formal and informal applications.21.6 Filing of applications, fees, and number

of copies.21.7 Standard application form for domestic

public fixed radio service licenses.21.8–21.10 [Reserved]21.11 Miscellaneous forms.21.12 [Reserved]21.13 General application requirements.21.14 [Reserved]21.15 Technical content of applications.21.16 [Reserved]21.17 Certification of financial qualifica-

tions.21.18 [Reserved]21.19 Waiver of rules.21.20 Defective applications.21.21 Inconsistent or conflicting applica-

tions.21.22 Repetitious applications.21.23 Amendment of applications.21.24 [Reserved]21.25 Application for temporary authoriza-

tions.

PROCESSING OF APPLICATIONS

21.26 Receipt of applications.21.27 Public notice period.21.28 Dismissal and return of applications.21.29 Ownership changes and agreements to

amend or to dismiss applications orpleadings.

21.30 Opposition to applications.21.31 Mutually exclusive applications.21.32 Consideration of applications.21.33 Grants by random selection.21.34 [Reserved]21.35 Comparative evaluation of mutually

exclusive applications.21.36—21.37 [Reserved]

LICENSE TRANSFERS, MODIFICATIONS,CONDITIONS AND FORFEITURES

21.38 Assignment or transfer of station au-thorization.

21.39 Considerations involving transfer orassignment applications.

21.40 Modification of station license.21.41 Special processing of applications for

minor facility modifications.21.42 Certain modifications not requiring

prior authorization.

21.43 Period of construction; certification ofcompletion of construction.

21.44 Forfeiture and termination of stationauthorization.

21.45 License period.21.50 Transition of the 2.11–2.13 and 2.16–2.18

GHz bands from Domestic Public FixedRadio Services to emerging technologies.

Subpart C—Technical Standards

21.100 Frequencies.21.101 Frequency tolerance.21.102—21.104 [Reserved]21.105 Bandwidth.21.106 Emission limitations.21.107 Transmitter power.21.108 [Reserved]21.109 Antenna and antenna structures.21.110 Antenna polarization.21.111 Use of common antenna structure.21.112 Marking of antenna structures.21.113 Quiet zones and Arecibo Coordination

Zone.21.114–21.115 [Reserved]21.116 Topographical data.21.117 Transmitter location.21.118 Transmitter construction and instal-

lation.21.119 [Reserved]21.120 Authorization of transmitters.21.121 [Reserved]21.122 Microwave digital modulation.

Subpart D—Technical Operation

21.200 Station inspection.21.201 Posting of station license.21.202—21.208 [Reserved]21.209 Communications concerning safety of

life and property.21.210 Operation during emergency.21.211 Suspension of transmission.

Subpart E—Miscellaneous

21.300 [Reserved]21.301 National defense; free service.21.302 Answers to notices of violation.21.303 Discontinuance, reduction or impair-

ment of service.21.304 Tariffs, reports, and other material

required to be submitted to the Commis-sion.

21.305 Reports required concerning amend-ments to charters and partnership agree-ments.

21.306 Requirement that licensees respondto official communications.

21.307 Equal employment opportunities.

Subpart F—Developmental Authorizations

21.400 Eligibility.21.401 Scope of service.21.402 Adherence to program of research and

development.


20

47 CFR Ch. I (10–1–01 Edition)§ 21.1

21.403 Special procedure for the develop-ment of a new service or for the use offrequencies not in accordance with theprovisions of the rules in this part.

21.404 Terms of grant; general limitations.21.405 Supplementary showing required.21.406 Developmental report required.

Subparts G—J [Reserved]

Subpart K—Multipoint Distribution Service

21.900 Eligibility.21.901 Frequencies.21.902 Interference.21.903 Purpose and permissible service.21.904 EIRP limitations.21.905 Emissions and bandwidth.21.906 Antennas.21.907 [Reserved]21.908 Transmitting equipment.21.909 MDS response stations.21.910 Special procedures for discontinu-

ance, reduction or impairment of serviceby common carrier licensees.

21.911 Annual reports.21.912 Cable television company eligibility

requirements and MDS/cable cross-own-ership.

21.913 Signal booster stations.21.914 Mutually-exclusive MDS applica-

tions.21.915 One-to-a-market requirement.21.920 Applicability of cable television EEO

requirements to MDS and MMDS facili-ties.

21.921 Basis and purpose for electronic filingand competitive bidding process.

21.922 Authorized frequencies.21.923 Eligibility.21.924 Service areas.21.925 Applications for BTA authorizations

and MDS station licenses.21.926 Amendments to long-form applica-

tions.21.927 Sole bidding applicants.21.928 Acceptability of short- and long-form

applications.21.929 Authorization period for station li-

censes.21.930 Five-year build-out requirements.21.931 Partitioned service areas (PSAs).21.932 Forfeiture of incumbent MDS station

licenses.21.933 Protected service areas.21.934 Assignment or transfer of control of

BTA authorizations.21.935 Assignment or transfer of control of

station licenses within a BTA.21.936 Cancellation of authorization.21.937 Negotiated interference protection.21.938 BTA and PSA technical and inter-

ference provisions.21.939 Harmful interference abatement.21.940 Non-subscription MDS service.21.941—21.948 [Reserved]

21.949 Individually licensed 125 kHz channelMDS response stations.

21.950 MDS subject to competitive bidding.21.951 MDS competitive bidding procedures.21.952 Bidding application procedures.21.953 Prohibition of collusion.21.954 Submission of up front payments.21.955 Submission of down payments.21.956 Filing of long-form applications or

statements of intention.21.957 Petitions to deny against long-form

applications; comments on statements ofintention.

21.958 Full payment and issuance of BTAauthorizations.

21.959 Withdrawal, default and disqualifica-tion.

21.960 Designated entity provisions forMDS.

21.961 Definitions applicable to designatedentity provisions.

AUTHORITY: Secs. 1, 2, 4, 201–205, 208, 215,218, 303, 307, 313, 403, 404, 410, 602, 48 Stat. asamended, 1064, 1066, 1070–1073, 1076, 1077, 1080,1082, 1083, 1087, 1094, 1098, 1102; 47 U.S.C. 151,154, 201–205, 208, 215, 218, 303, 307, 313, 314, 403,404, 602; 47 U.S.C. 552, 554.

SOURCE: 44 FR 60534, Oct. 19, 1979, unlessotherwise noted.

Subpart A—General

§ 21.1 Scope and authority.

(a) The purpose of the rules and regu-lations in this part is to prescribe themanner in which portions of the radiospectrum may be made available fordomestic communication common car-rier and multipoint distribution servicenon-common carrier operations whichrequire transmitting facilities on landor in specified offshore coastal areaswithin the continental shelf.

(b) The rules in this part are issuedpursuant to the authority contained inTitles I through III of the Communica-tions Act of 1934, as amended, whichvest authority in the Federal Commu-nications Commission to regulate com-mon carriers of interstate and foreigncommunications, to regulate radiotransmissions and issue licenses forradio stations, and to regulate allinterstate and foreign communicationsby wire and radio necessary to the ac-complishment of the purposes of theAct.

(c) Unless otherwise specified, thesection numbers referenced in this part


21


are contained in chapter I, title 47 ofthe Code of Federal Regulations.

[52 FR 37776, Oct. 9, 1987]

§ 21.2 Definitions.

As used in this part:Antenna power gain. The square of the

ratio of the root-mean-square freespace field intensity produced at onemile in the horizontal plane, inmillivolts per meter for one kilowattantenna input power to 137.6 mV/m.This ratio should be expressed in deci-bels (dB). (If specified for a particulardirection, antenna power gain is basedon the field strength in that directiononly.)

Antenna power input. The radio fre-quency peak or RMS power, as the casemay be, supplied to the antenna fromthe antenna transmission line and itsassociated impedance matching net-work.

Antenna structures. The antenna, itssupporting structure and anything at-tached to it.

Assigned frequency. The centre of thefrequency band assigned to a station.

Authorized bandwidth. The maximumwidth of the band of frequencies per-mitted to be used by a station. This isnormally considered to be the nec-essary or occupied bandwidth, which-ever is greater.

Authorized frequency. The frequency,or frequency range, assigned to a sta-tion by the Commission and specifiedin the instrument of authorization.

Authorized power. The maximumpower a station is permitted to use.This power is specified by the Commis-sion in the station’s authorization.

Bandwidth occupied by an emission.The band of frequencies comprising 99percent of the total radiated power ex-tended to include any discrete fre-quency on which the power is at least0.25 percent of the total radiatedpower.

Basic Trading Area (BTA). The geo-graphic areas by which the MultipointDistribution Service is licensed. BTAboundaries are based on the RandMcNally 1992 Commercial Atlas andMarketing Guide, 123rd Edition, pp. 36–39, and include six additional BTA-likeareas as specified in § 21.924(b).

Bit rate. The rate of transmission ofinformation in binary (two state) formin bits per unit time.

Booster service area. A geographicarea to be designated by an applicantfor a booster station, within which thebooster station shall be entitled to pro-tection against interference as setforth in this part. The booster servicearea must be specified by the applicantso as to not overlap the booster servicearea of any other booster authorized toor proposed by the applicant. However,a booster station may provide serviceto receive sites outside of its boosterservice area, at the licensee’s risk ofinterference.

BTA authorization holder. The indi-vidual or entity authorized by theCommission to provide Multipoint Dis-tribution Service to the population of aBTA.

BTA service area. The area within theboundaries of a BTA to which a BTAauthorization holder may provideMultipoint Distribution Service. Thisarea excludes the protected serviceareas of incumbent MDS stations andpreviously proposed and authorizedITFS facilities, including registered re-ceive sites.

Carrier. In a frequency stabilized sys-tem, the sinusoidal component of amodulated wave whose frequency isindependent of the modulating wave; orthe output of a transmitter when themodulating wave is made zero; or awave generated at a point in the trans-mitting system and subsequently mod-ulated by the signal; or a wave gen-erated locally at the receiving ter-minal which when combined with theside bands in a suitable detector, pro-duces the modulating wave.

Carrier frequency. The output of atransmitter when the modulating waveis made zero.

Channel. Unless otherwise specified, achannel under this part shall refer to a6 MHz frequency block assigned pursu-ant to §§ 21.901(b) or 74.902(a) of thischapter.

Communication common carrier. Anyperson engaged in rendering commu-nication service for hire to the public.

Control point. A control point is anoperating position at which an oper-ator responsible for the operation ofthe transmitter is stationed and which


22

47 CFR Ch. I (10–1–01 Edition)§ 21.2

is under the control and supervision ofthe licensee.

Control station. A fixed station whosetransmissions are used to control auto-matically the emissions or operationsof another radio station at a specifiedlocation, or to transmit automaticallyto an alarm center telemetering infor-mation relative to the operation ofsuch station.

Coordination distance. For the purposeof this part, the expression ‘‘coordina-tion distance’’ means the distance froman earth station, within which there isa possibility of the use of a given trans-mitting frequency at this earth stationcausing harmful interference to sta-tions in the fixed or mobile service,sharing the same band, or of the use ofa given frequency for reception at thisearth station receiving harmful inter-ference from such stations in the fixedor mobile service.

Digital modulation. The process bywhich some characteristic (frequency,phase, amplitude or combinationsthereof) of a carrier frequency is variedin accordance with a digital signal, e.g.one consisting of coded pulses orstates.

Documented complaint. A complaintthat a party is suffering from non-con-sensual interference. A documentedcomplaint must contain a certificationthat the complainant has contactedthe operator of the allegedly offendingfacility and tried to resolve the situa-tion prior to filing. The complaintmust then specify the nature of the in-terference, whether the interference isconstant or intermittent, when the in-terference began and the site(s) mostlikely to be causing the interference.The complaint should be accompaniedby a videotape or other evidence show-ing the effects of the interference. Thecomplaint must contain a motion for atemporary order to have the inter-fering station cease transmitting. Thecomplaint must be filed with the Sec-retary’s office and served on the alleg-edly offending party.

Domestic fixed public service. A fixedservice, the stations of which are opento public correspondence, forradiocommunications originating andterminating solely at points all ofwhich lie within:

(a) The State of Alaska;

(b) The State of Hawaii;(c) The contiguous 48 States and the

District of Columbia; or(d) A single possession of the United

States. Generally, in cases where serv-ice is afforded on frequencies above 72MHz, radio-communications betweenthe contiguous 48 States (including theDistrict of Columbia) and Canada orMexico, or radiocommunications be-tween the State of Alaska and Canada,are deemed to be in the domestic fixedpublic service.

Domestic public radio services. Theland mobile and domestic fixed publicservices the stations which are open topublic correspondence.

NOTE: Part 80 of this chapter is applicableto the maritime services and fixed stationsassociated with the maritime services; part87 of this chapter is applicable to aero-nautical services.

Earth station. A station located eitheron the earth’s surface or within themajor portion of the earth’s atmos-phere and intended for communica-tions:

(a) With one or more space stations;or

(b) With one or more stations of thesame kind by means of one or more re-flecting satellites or other objects inspace.

Effective radiated power (ERP). Theproduct of the power supplied to theantenna and its gain relative to a half-wave dipole in a given direction.

Equivalent Isotropically RadiatedPower (EIRP). The product of the powersupplied to the antenna and the an-tenna gain in a given direction relativeto an isotropic antenna. This productmay be expressed in watts or dB above1 watt (dBW).

Facsimile. A form of telegraphy forthe transmission of fixed images, withor without half-tones, with a view totheir reproduction in a permanentform.

Fixed earth station. An earth stationintended to be used at a specified fixedpoint.

Fixed station. A station in the fixedservice.

Frequency tolerance. The maximumpermissible departure by the centrefrequency of the frequency band occu-pied by an emission from the assigned


23


frequency or, by the characteristic fre-quency of an emission from the ref-erence frequency. The frequency toler-ance is expressed as a percentage or inHertz.

Harmful interference. Interferencewhich endangers the functioning of aradionavigation service or of othersafety services or seriously degrades,obstructs, or repeatedly interrupts aradiocommunication service.

Incumbent. An MDS station that wasauthorized or proposed before Sep-tember 15, 1995, including those sta-tions that are subsequently modified,renewed or reinstated.

Landing area. A landing area meansany locality, either of land or water,including airports and intermediatelanding fields, which is used, or ap-proved for use for the landing and take-off of aircraft, whether or not facilitiesare provided for the shelter, servicing,or repair of aircraft, or for receiving ordischarging passengers or cargo.

Microwave frequencies. As used in thispart, this term refers to frequencies of890 MHz and above.

Multichannel Multipoint DistributionService (MMDS). Those Multipoint Dis-tribution Service Channels that use thefrequency band 2596 MHz to 2644 MHzand associated 125 kHz channels.

Multipoint Distribution Service (MDS).A domestic public radio service ren-dered on microwave frequencies fromone or more fixed stations transmit-ting to multiple receiving facilities lo-cated at fixed points. MDS also mayencompass transmissions from re-sponse stations to response stationhubs or associated fixed stations.

Multipoint Distribution Service responsestation. A fixed station operated by anMDS licensee, the lessee of MDS chan-nel capacity or a subscriber of either tocommunicate with a response stationhub or associated MDS station. A re-sponse station under this part mayshare facilities with other MDS re-sponse stations and/or one or more In-structional Television Fixed Service(ITFS) response stations authorizedpursuant to § 74.939 of this chapter or§ 74.940 of this chapter.

Necessary bandwidth of emission. For agiven class of emission, the width ofthe frequency band that is just suffi-cient to ensure the transmission of in-

formation at the rate and with thequality required under specified condi-tions.

NOTE: The necessary bandwidth for anemission may be calculated using the for-mulas in § 2.202 of this chapter.

Partitioned service area authorizationholder. The individual or entity author-ized by the Commission to provideMultipoint Distribution Service to thepopulation of a partitioned servicearea.

Partitioned service area (PSA). Thearea within the coterminous bound-aries of one of more counties or othergeopolitical subdivisions, drawn from aBTA, to which an authorization holdermay provide Multipoint DistributionService or the area remaining in a BTAupon partitioning any portion of thatBTA. This area excludes the protectedservice areas of incumbent MDS sta-tions and previously proposed and au-thorized ITFS stations, including reg-istered receive sites.

Private line service. A service wherebyfacilities for communication betweentwo or more designated points are setaside for the exclusive use or avail-ability for use of a particular customerand authorized users during stated pe-riods of time.

Public correspondence. Any tele-communication which the offices andstations, by reason of their being atthe disposal of the public, must acceptfor transmission.

Radio station. A separate transmitteror a group of transmitters under simul-taneous common control, including theaccessory equipment required for car-rying on a radiocommunication serv-ice.

Radiocommunication. Telecommuni-cation by means of radio waves.

Rated power output. The term ‘‘ratedpower output’’ of a transmitter meansthe normal radio frequency power out-put capability (Peak or Average Power)of a transmitter, under optimum condi-tions of adjustment and operation,specified by its manufacturer.

Record communication. Any trans-mission of intelligence which is re-duced to visual record form at thepoint of reception.

Reference frequency. A frequency hav-ing a fixed and specified position withrespect to the assigned frequency. The


24

47 CFR Ch. I (10–1–01 Edition)§ 21.3

displacement of this frequency with re-spect to the assigned frequency has thesame absolute value and sign that thedisplacement of the characteristic fre-quency has with respect to the centerof the frequency band occupied by theemission.

Relay station. A fixed station used forthe reception and retransmission of thesignals of another station or stations.

Repeater station. A fixed station es-tablished for the automatic retrans-mission of radiocommunications re-ceived from one or more stations anddirected to a specified receiver site.

Response station hub. A fixed facilitylicensed to an MDS licensee, and oper-ated by an MDS licensee or the lesseeof an MDS facility, for the reception ofinformation transmitted by one ormore MDS response stations that uti-lize digital modulation. A response sta-tion hub licensed under this part mayshare facilities with other MDS re-sponse station hubs, ITFS response sta-tion hubs authorized pursuant to§ 74.939 of this chapter, MDS signalbooster stations, ITFS signal boosterstations, MDS stations, and/or ITFSstations.

Response station hub license. A blan-ket license authorizing the operationof a single response station hub at aspecific location and the operation of aspecified number of associated digitalresponse stations of one or more class-es at unspecified locations within oneor more regions of the response servicearea.

Sectorization. The use of an antennasystem at an MDS station, booster sta-tion and/or response station hub that iscapable of simultaneously transmit-ting multiple signals over the same fre-quencies to different portions of theservice area and/or simultaneously re-ceiving multiple signals over the samefrequencies from different portions ofthe service area.

Signal Booster Station. An MDS sta-tion licensed for use in accordance with§ 21.913 that operates on one or moreMDS channels. Signal booster stationsare intended to augment service aspart of a distributed transmission sys-tem where signal booster stations re-transmit the signals of one or moreMDS stations and/or originate trans-missions on MDS channels. A signal

booster station licensed under this partmay share facilities with other MDSsignal booster stations, ITFS signalbooster stations authorized pursuantto § 74.985 of this chapter, MDS re-sponse station hubs and/or ITFS re-sponse station hubs.

Standby transmitter. A transmitter in-stalled and maintained for use in lieuof the main transmitter only duringperiods when the main transmitter isout of service for maintenance or re-pair.

Symbol rate. Modulation rate inbauds. This rate may be higher thanthe transmitted bit rate as in the caseof coded pulses or lower as in the caseof multilevel transmission.

Television. A form of telecommuni-cation for transmission of transientimages of fixed or moving objects.

Television STL station (studio trans-mitter link). A fixed station used for thetransmission of television program ma-terial and related communicationsfrom a studio to the transmitter of atelevision broadcast station.

[61 FR 26671, May 28, 1996, as amended at 63FR 65100, Nov. 25, 1998; 64 FR 63730, Nov. 22,1999]

Subpart B—Applications andLicenses


§ 21.3 Station authorization required.

(a) No person shall use or operate ap-paratus for the transmission of energyor communications or signals by radioexcept under, and in accordance with,an appropriate authorization grantedby the Federal Communications Com-mission. Except as otherwise providedherein, no construction or modificationof a station may be commenced with-out an authorization from the Commis-sion. Authorizations for domestic pub-lic fixed radio services are governed bythe provisions of this part.

(b) If construction and or operationmay have a significant environmentalimpact as defined by § 1.1307 of theCommission’s rules, the requisite envi-ronmental assessment as prescribed in§ 1.1311 of this chapter must be filedwith the application and Commission


25


environmental review must be com-pleted before construction of the sta-tion is initiated. See § 1.1312 of thischapter.

[52 FR 37777, Oct. 9, 1987, as amended at 55 FR20397, May 16, 1990; 61 FR 26673, May 28, 1996]

§ 21.4 Eligibility for station license.

A station license may not be grantedto or held by:

(a) Any alien or the representative ofany alien.

(b) Any foreign government or therepresentative thereof.

(c) Any corporation organized underthe laws of any foreign government.

(d) Any corporation of which morethan one-fifth of the capital stock isowned of record or voted by: aliens ortheir representatives; a foreign govern-ment or representatives thereof; or anycorporation organized under the lawsof a foreign country.

(e) Any corporation directly or indi-rectly controlled by any other corpora-tion of which more than one-fourth ofthe capital stock is owned of record orvoted by aliens or their representa-tives, or by a foreign government orrepresentative thereof, or by any cor-poration organized under the laws of aforeign government, if the Commissionfinds that the public interest will beserved by the refusal or revocation ofsuch license.

[44 FR 60534, Oct. 19, 1979, as amended at 61FR 55580, Oct. 28, 1996]

§ 21.5 Formal and informal applica-tions.

(a) Except for an authorization underany of the proviso clauses of section308(a) of the Communications Act of1934 (47 U.S.C. 308(a)), the Commissionshall grant the following authoriza-tions only upon written application:Station licenses; modifications of sta-tion licenses; renewals of station li-censes; extensions of time to construct;transfers and assignments of station li-censes or of any rights thereunder.

(b) Except as may be otherwise per-mitted by this part, a separate writtenapplication shall be filed for each in-strument of authorization requested.Applications may be:

(1) ‘‘Formal applications’’ where theCommission has prescribed in this parta standard form; or

(2) ‘‘Informal applications’’ (nor-mally in letter form) where the Com-mission has not prescribed a standardform.

(c) An informal application will beaccepted for filing only if:

(1) A standard form is not prescribedor clearly applicable to the authoriza-tion requested;

(2) It is a document submitted, in du-plicate, with a caption which indicatesclearly the nature of the request, radioservice involved, location of the sta-tion, and the application file number(if known); and

(3) It contains all the technical de-tails and informational showings re-quired by the rules and states clearlyand completely the facts involved andauthorization desired.


§ 21.6 Filing of applications, fees, andnumber of copies.

(a) As prescribed by §§ 21.7 and 21.11 ofthis part, standard formal applicationforms applicable to the radio servicesincluded in this part may be obtainedfrom either:

(1) Federal Communications Commis-sion, Washington, DC 20554; or

(2) Any of the Commission’s field op-erations offices, the addresses of whichare listed in § 0.121.

(b) Applications requiring fees as setforth in part 1, subpart G of this chap-ter must be filed in accordance with§ 0.401(b) of this chapter. Applicationsnot requiring fees shall be submittedto: Federal Communications Commis-sion, Washington, DC 20554.

(c) All correspondence or amend-ments concerning a submitted applica-tion shall clearly identify the radioservice, the name of the applicant, sta-tion location, and the Commission filenumber (if known) or station call signof the application involved. All cor-respondence or amendments con-cerning a submitted application maybe sent directly to the Mass Media Bu-reau.


26

47 CFR Ch. I (10–1–01 Edition)§ 21.7

(d) Except as otherwise specified, allapplications, amendments, and cor-respondence shall be submitted in du-plicate, including exhibits and attach-ments thereto, and shall be signed asprescribed by § 1.743.

(e) Each application shall be accom-panied by the appropriate fee pre-scribed by, and submitted in accord-ance with, subpart G of part 1 of thischapter.

[44 FR 60534, Oct. 19, 1979, as amended at 52FR 10230, Mar. 31, 1987; 52 FR 37777, Oct. 9,1987; 58 FR 19774, Apr. 16, 1993; 61 FR 26673,May 28, 1996]

§ 21.7 Standard application form fordomestic public fixed radio servicelicenses.

Except for the Multipoint Distribu-tion Service, FCC Form 494 ( ‘‘Applica-tion for a New and Modified MicrowaveRadio Station License Under Part 21’’ )shall be submitted and a license grant-ed for each station prior to commence-ment of any proposed station construc-tion. FCC Form 494 also shall be sub-mitted to amend any license applica-tion, to modify any license pursuant to§§ 21.40(a) and 21.41, to notify the Com-mission of modifications made pursu-ant to § 21.42, and to delete licensed fa-cilities. FCC Form 494A shall be sub-mitted to certify completion of con-struction.

[52 FR 37777, Oct. 9, 1987, as amended at 60 FR36551, July 17, 1995]

§§ 21.8–21.10 [Reserved]

§ 21.11 Miscellaneous forms.(a) Licensee qualifications. FCC Form

430 (‘‘Licensee Qualification Report’’)must be filed annually, no later thanMarch 31 for the end of the precedingcalendar year, unless the licensee oper-ates solely on a common carrier basisand service was not offered at any timeduring the preceding year. Each annualfiling must include all changes of infor-mation required by FCC Form 430 thatoccurred during the preceding year. Inthose cases in which there has been nochange in any of the required informa-tion, the applicant or licensee, in lieuof submitting a new form, may so no-tify the Commission by letter.

(b) Additional time to construct—FCCForm 701 (‘‘Application for Additional

Time to Construct Radio Station’’)shall be filed in duplicate by a licenseeprior to the expiration of the time forconstruction noted in a license if a li-censee seeks to modify the license byextending the period of construction.

(c) Renewal of station license. Exceptfor renewal of special temporary au-thorizations, FCC Form 405 (‘‘Applica-tion for Renewal of Station License’’)must be filed in duplicate by the li-censee between thirty (30) and sixty(60) days prior to the expiration date ofthe license sought to be renewed.Whenever a group of station licenses inthe same radio service are to be re-newed simultaneously, a single ‘‘blan-ket’’ application may be filed to coverthe entire group, if the applicationidentifies each station by call sign andstation location and if two copies areprovided for each station affected. Ap-plicants should note also any specialrenewal requirements under the rulesfor each radio service.

(d) Assignment of license. FCC Form305 (‘‘Application for Consent to As-signment of Radio Station Construc-tion Authorization or License (for Sta-tions in Services Other than Broad-cast)’’) must be submitted to assignvoluntarily (as by, for example, con-tract or other agreement) or involun-tarily (as by, for example, death, bank-ruptcy, or legal disability) the stationlicense or conditional license. In thecase of involuntary assignment, the ap-plication must be filed within 30 daysof the event causing the assignment.FCC Form 305 also must be used fornonsubstantial (pro forma) assign-ments. In addition, FCC Form 430 mustbe submitted by the proposed assigneeunless such assignee has a current andsubstantially accurate report on filewith the Commission. Whenever agroup of station licenses or conditionallicenses in the same radio service is tobe assigned to a single assignee, a sin-gle ‘‘blanket’’ application may be filedto cover the entire group, if the appli-cation identifies each station by callsign and station location and if twocopies are provided for each station af-fected. The assignment must be com-pleted within 45 days from the date ofauthorization. Upon consummation ofan approved assignment, the Commis-sion must be notified by letter of the


27


date of consummation within 10 days ofits occurrence.

(e) Partial assignment of license. In themicrowave services, authorization forassignment from one company to an-other of only a part or portions of thefacilities (transmitters) authorizedunder an existing license (as distin-guished from an assignment of the fa-cilities in their entirety) may be grant-ed upon application:

(1) By the assignee on FCC Form 494and

(2) By the assignor on FCC Form 494for deletion of the assigned facilities,indicating concurrence in the assign-ee’s request.The assignment shall be consummatedwithin 45 days from the date of author-ization. In the event that consumma-tion does not occur, FCC Form 494shall be submitted to return the as-signor’s license to its original condi-tion.

EDITORIAL NOTE: At 63 FR 65100, Nov. 25,1999, paragraphs (f) and (g) were redesignatedas paragraphs (e) and (f) and newly des-ignated paragraph (e) was revised. However,paragraph (e) already exists. The text of thenewly redesignated paragraph (e) follows.

(e) Transfer of control of corporationholding a conditional license or license.FCC Form 306 (‘‘Application for Con-sent to Transfer of Control’’) must besubmitted in order to voluntarily or in-voluntarily transfer control (de jure orde facto) of a corporation holding anyconditional licenses or licenses. In thecase of involuntary transfer of control,the application must be filed within 30days of the event causing the transferof control. FCC Form 306 also must beused for nonsubstantial (pro forma)transfers of control. In addition, FCCForm 430 must be submitted by theproposed transferee unless such trans-feree has a current and substantiallyaccurate report on file with the Com-mission. Whenever control of a cor-poration holding a group of station li-censes or conditional licenses in thesame radio service is to be transferredto a single transferee, a single ‘‘blan-ket’’ application may be filed to coverthe entire transfer, if the applicationidentifies each station by call sign andstation location and if two copies areprovided for each station affected. Thetransfer must be completed within 45

days from the date of authorization.Upon consummation of an approvedtransfer, the Commission must be noti-fied by letter of the date of consumma-tion within 10 days of its occurrence.

(f) Antenna Structure Registration.FCC Form 854 (Application for AntennaStructure Registration) accompaniedby a final Federal Aviation Adminis-tration (FAA) determination of ‘‘nohazard’’ must be filed by the antennastructure owner to receive an antennastructure registration number. Criteriaused to determine whether FAA notifi-cation and registration is required fora particular antenna structure are con-tained in Part 17 of this chapter.

[44 FR 60534, Oct. 19, 1979, as amended at 52FR 27554, July 22, 1987; 52 FR 37777, Oct. 9,1987; 56 FR 57815, Nov. 14, 1991; 61 FR 4364,Feb. 6, 1996; 63 FR 65100, Nov. 25, 1998; 64 FR63730, Nov. 22, 1999]

§ 21.12 [Reserved]

§ 21.13 General application require-ments.

(a) Each application for a license orfor consent to assignment or transferof control shall:

(1) Disclose fully the real party (orparties) in interest, including (as re-quired) a complete disclosure of theidentify and relationship of those per-sons or entities directly or indirectlyowning or controlling (or both) the ap-plicant;

(2) Demonstrate the applicant’s legal,financial, technical, and other quali-fications to be a permittee or licensee;

(3) Submit the information requiredby the Commission’s Rules, requests,and application forms;

(4) Except for applications in theMultipoint Distribution Service filedon or after September 15, 1995, statespecifically the reasons why a grant ofthe proposal would serve the public in-terest, convenience, and necessity.

(5) Be maintained by the applicantsubstantially accurate and complete inall significant respects in accordancewith the provisions of § 1.65 of thischapter; and

(6) Show compliance with the specialrequirements applicable to each radioservice and make all special showingsthat may be applicable (e.g., those re-quired by secs. 21.900, 21.912 and 21.913).


28

47 CFR Ch. I (10–1–01 Edition)§ 21.14

(b) Applications filed in theMultipoint Distribution Service shallnot cross-reference previously filed ma-terial.

(c) In addition to the general applica-tion requirements of §§ 21.13 through21.17 of this part, applicants shall sub-mit any additional documents, exhib-its, or signed written statements offact:

(1) As may be required by the otherparts of the Commission’s Rules, andthe other subparts of Part 21 (particu-larly Subpart C and those subparts ap-plicable to the specific radio service in-volved); and

(2) As the Commission, at any timeafter the filing of an application andduring the term of any authorization,may require from any applicant, per-mittee, or licensee to enable it to de-termine whether a radio authorizationshould be granted, denied, or revoked.

(d) Except when the Commission hasdeclared explicitly to the contrary, aninformational requirement does not initself imply the processing treatmentof decisional weight to be accorded theresponse.

(e) All applicants are required to in-dicate at the time their application isfiled whether an authorization of thefacilities is categorically excluded asdefined by § 1.1306 of the Commission’srules. If answered affirmatively, an En-vironmental Assessment as describedby § 1.1311, need not be filed with theapplication.

(f) Whenever an individual applicant,or a partner (in the case of a partner-ship) or a full time manager (in thecase of a corporation) will not activelyparticipate in the day-to-day manage-ment and operation of proposed facili-ties, the applicant or licensee will sub-mit a statement containing the reasonstherefor and disclosing the details ofthe proposed operation, including ademonstration of how control over theradio facilities will be retained by theapplicant. If the operation of a radiostation is to be accomplished by con-tractual arrangement with an entityunrelated to an applicant or licensee,the applicant or licensee shall file acopy of the agreement or contractwhich shall demonstrate that:

(1) The operation is accomplished ac-cording to general instructions pro-vided for by the applicant;

(2) The applicant retains effectivecontrol over the radio facilities andtheir operations; and

(3) The applicant assumes full respon-sibility for both the quality of serviceand for contractor compliance with theCommission’s Rules.

[44 FR 60534, Oct. 19, 1979, as amended at 47FR 29244, July 6, 1982; 51 FR 15003, Apr. 22,1986; 52 FR 37778, Oct. 9, 1987; 55 FR 46008,Oct. 31, 1990; 58 FR 19774, Apr. 16, 1993; 58 FR44894, Aug. 25, 1993; 60 FR 36551, July 17, 1995;61 FR 26673, May 28, 1996]

§ 21.14 [Reserved]

§ 21.15 Technical content of applica-tions.

Applications shall contain all tech-nical information required by the ap-plication form and any additional in-formation necessary to fully describethe proposed facilities and to dem-onstrate compliance with all technicalrequirements of the rules governingthe radio service involved (see subpartsC, F and K as appropriate). The fol-lowing paragraphs describe a number oftechnical requirements.

(a)(1) Except in the case of applicantsfor Multipoint Distribution Service,applicants proposing a new station lo-cation (including receive-only stationsand passive repeaters) must indicatewhether the station site is owned. If itis not owned, its availability for theproposed radio station site must bedemonstrated. Under ordinary cir-cumstances, this requirement will beconsidered satisfied if the site is underlease or under written option to buy orlease.

(2) Where any lease or agreement touse land limits or conditions in anyway the applicant’s access or use of thesite to provide public service, a copy ofthe lease or agreement (which clearlyindicates the limitations or conditions)must be filed with the application, ex-cept in the case of applicants for sta-tions in the Multipoint DistributionService. Multipoint Distribution Serv-ice applicants must instead certifycompliance with the limitations andconditions contained in the lease or op-tion agreement.


31


(3) Except for BTA and PSA author-ization holders, Multipoint Distribu-tion Service applicants proposing anew station location must certify theproposed station site will be availableto the applicant for timely construc-tion of the facilities during the initialconstruction period.

(4) An applicant’s failure to include acertification required under this Sec-tion will result in dismissal of the ap-plication. The submission of a falsecertification will subject the applicantto all remedies available to the Com-mission, including the dismissal withprejudice of all applications filed bythe offending applicant and the revoca-tion of authorizations of the offendingapplicant. Also, if evidence of intentexists, the case will be referred to theDepartment of Justice for criminalprosecution under 18 U.S.C. 1001. In ad-dition, the submission of an inten-tionally falsified certification will betreated as a reflection on an appli-cant’s basic qualifications to becomeor to remain a licensee.

(b) [Reserved](c) Each application involving a new

or modified transmitting antenna sup-porting structure, passive facility, orthe addition or removal of a transmit-ting antenna, or the repositioning of anauthorized antenna for a station mustbe accompanied by a vertical profilesketch of the total structure depictingits structural nature and clearly indi-cating the ground elevation (above sealevel) at the structure site, the overallheight of the structure above ground(including obstruction lights when re-quired, lightning rods, etc.) and, ifmounted on a building, its overallheight above the building. The pro-posed antenna on the structure mustbe clearly identified and its heightabove-ground (measured to the centerof radiation) clearly indicated. Alter-natively, applicants in the MultipointDistribution Service who filed applica-tions on or after September 15, 1995,may provide this information in theMDS long-form application.

(d) Each application proposing a newor modified antenna structure for astation (including a passive repeater orsignal booster station) so as to changeits overall height shall indicate wheth-er any necessary notification of the

FAA has been made. Complete informa-tion as to rules concerning the con-struction, marking and lighting of an-tenna structures is contained in part 17of this chapter. See also § 21.111 if thestructure is used by more than one sta-tion.

(e) Antenna Structure RegistrationNumber. Applications proposing con-struction of a new antenna structure oralteration of the overall height of anexisting antenna structure, where FAAnotification prior to such constructionor alteration is required by part 17 ofthis chapter, must include the FCC An-tenna Structure Registration Numberfor the affected structure. If no suchnumber has been assigned at the timethe application is filed, the applicantmust state in the application whetheror not the antenna structure owner hasnotified the FAA of the proposed con-struction or alteration and applied tothe FCC for an Antenna Structure Reg-istration Number in accordance withPart 17 of this chapter of this structurefor the antenna structure in question.

(f) Except for applicants in theMultipoint Distribution Service whofiled applications on or after Sep-tember 15, 1995, an applicant proposingconstruction of one or more new sta-tions or modification of existing sta-tions where substantial changes in theoperation or maintenance proceduresare involved must submit a showing ofthe general maintenance procedures in-volved to insure the rendition of goodpublic communications service. Theshowing should include but need not belimited to the following.

(1) Location and telephone number (ifknown) of the maintenance center for apoint to point microwave system. Inlieu of providing the location and tele-phone number of the maintenance on acase by case basis, a licensee may filea complete list for all operational sta-tions with the Commission and the En-gineer-In-Charge of the appropriateradio district on an annual basis or atmore frequent intervals as necessary tokeep the information current.

(2) The manner in which technicalpersonnel are made aware of malfunc-tion at any of the stations and the ap-propriate time required for them toreach any of the stations in the eventof an emergency. If fault alarms are to


30

47 CFR Ch. I (10–1–01 Edition)§ 21.16

be used, the items to be alarmed shallbe specified as well as the location ofthe alarm center.

(g) Applications in the MultipointDistribution Service filed before Sep-tember 15, 1995, proposing a new or re-placement antenna (excluding omni-di-rectional antennas) shall include anantenna radiation pattern showing theantenna power gain distribution in thehorizontal plane expressed in decibels,unless such pattern is known to be onfile with the Commission in which casethe applicant may reference in its ap-plication the FCC-ID number that indi-cates that the pattern is on file withthe Commission. Multipoint Distribu-tion Service applicants who filed appli-cations on or after September 15, 1995must provide related information incompleting an MDS long-form applica-tion.

(h) Except for applications in theMultipoint Distribution Service filedon or after September 15, 1995, each ap-plication in the Point-to-Point Radio,Local Television Transmission andDigital Electronic Message Service (ex-cluding user stations) proposing a newor replacement antenna (excludingomni-directional antennas) shall in-clude an antenna radiation patternshowing the antenna power gain dis-tribution in the horizontal plane ex-pressed in decibels, unless such patternis known to be on file with the Com-mission in which case the applicantmay reference in its application theFCC–ID number that indicates that thepattern is on file with the Commission.Multipoint Distribution Service appli-cants who filed applications on or afterSeptember 15, 1995 must provide relatedinformation in completing an MDSlong-form application.

[44 FR 60534, Oct. 19, 1979, as amended at 46FR 23449, Apr. 27, 1981; 52 FR 37778, Oct. 9,1987; 58 FR 11797, Mar. 1, 1993; 60 FR 36551,July 17, 1995; 60 FR 57366, Nov. 15, 1995; 61 FR4364, Feb. 6, 1996; 61 FR 26673, May 28, 1996]

§ 21.16 [Reserved]

§ 21.17 Certification of financial quali-fications.

Each application for a new licenseand each application for a major modi-fication of an existing station shallcontain a certification that the appli-

cant has or will have the financial abil-ity to meet the expected costs of con-structing the facilities within the timeallowed and the estimated operatingexpenses for a period of twelve months.

[52 FR 37778, Oct. 9, 1987]

§ 21.18 [Reserved]

§ 21.19 Waiver of rules.

Waivers of these rules may be grant-ed upon application or on the Commis-sion’s own motion. A request for waiv-er shall contain a statement of reasonssufficient to justify a waiver. A waiverwill not be granted except upon an af-firmative showing that:

(a) The underlying purpose of therule will not be served, or would befrustrated, by its application in theparticular case, and that grant of thewaiver is otherwise in the public inter-est; or

(b) The unique facts and cir-cumstances of a particular case renderapplication of the rule inequitable, un-duly burdensome or otherwise contraryto the public interest. Applicants mustalso show the lack of a reasonable al-ternative.

[52 FR 37778, Oct. 9, 1987]

§ 21.20 Defective applications.

(a) Unless the Commission shall oth-erwise permit, an application will beunacceptable for filing and will be re-turned to the applicant with a briefstatement as to the omissions or dis-crepancies if:

(1) The application is defective withrespect to completeness of answers toquestions, informational showings, exe-cution, or other matters of a formalcharacter; or

(2) The application does not substan-tially comply with the Commission’srules, regulations, specific requests foradditional information, or other re-quirements.

(b) By way of illustration only, andnot in any way limiting the scope ofparagraph (a), the following are exam-ples of common deficiencies which re-sult in defective applications underparagraph (a):

(1) The application is not properly ex-ecuted;


31


(2) The submitted filing fee (if a fil-ing fee is required) is insufficient;

(3) The application does not dem-onstrate how the proposed radio facili-ties will serve the public interest, con-venience or necessity;

(4) The application does not dem-onstrate compliance with the specialrequirements applicable to the radioservice involved;

(5) The application does not certifythe availability of the proposed stationsite.

(6) The application does not includethe environmental assessment requiredfor any significant environmental im-pact under the Commission’s environ-mental rules (part 1, subpart I);

(7) The application does not specifythe polarization and, where applicable,the antenna orientation azimuth anddistance;

(8) The application does not includeall necessary exhibits;

(9) The application is filed after thecutoff date prescribed in § 21.31 or§ 21.914 of this part; or

(10) The application proposes the useof a frequency not allocated to suchuse.

(c) Applications considered defectiveunder paragraph (a) of this section maybe accepted for filing if:

(1) The application is accompanied bya request which sets forth the reasonsin support of a waiver of (or an excep-tion to), in whole or in part, any spe-cific rule, regulation, or requirementwith which the application is in con-flict; or

(2) The Commission, upon its ownmotion, waives (or allows an exceptionto), in whole or in part, any rule, regu-lation or requirement.

(d) If an applicant is requested by theCommission to file any documents orany supplementary or explanatory in-formation not specifically required inthe prescribed application form, a fail-ure to comply with such request withina specified time period will be deemedto render the application defective andwill subject it to dismissal.

[44 FR 60534, Oct. 19, 1979, as amended at 52FR 5294, Feb. 20, 1987; 52 FR 37779, Oct. 9, 1987;55 FR 46009, Oct. 31, 1990; 58 FR 11797, Mar. 1,1993; 61 FR 26674, May 28, 1996]

EFFECTIVE DATE NOTE: At 66 FR 47896,Sept. 14, 2001, § 21.20 was amended by remov-

ing the word ‘‘or’’ at the end of paragraph(b)(9), and by removing the period and byadding ‘‘; or’’ at the end of paragraph (b)(10),and by adding a new paragraph (b)(11), effec-tive Dec. 3, 2001. For the convenience of theuser, the added text is set forth as follows:

§ 21.20 Defective applications.

* * * * *

(b) * * *(11) The application does not contain the

FCC Registration Number (FRN) as requiredunder subpart W of part 1 of this part.

* * * * *

§ 21.21 Inconsistent or conflicting ap-plications.

While an application is pending andundecided, no subsequent inconsistentor conflicting application may be filedby the same applicant, the applicant’ssuccessor or assignee, or on behalf orfor the benefit of the same applicant,the applicant’s successor or assignee.


§ 21.22 Repetitious applications.

(a) Where an applicant has been af-forded an opportunity for a hearingwith respect to a particular applicationfor a new station, or for an extensionor enlargement of a service or facili-ties, and the Commission has, afterhearing or default, denied the applica-tion or dismissed it with prejudice, theCommission will not consider a like ap-plication involving service of the samekind to the same area by the same ap-plicant, or by the applicant’s successoror assignee, or on behalf of or for thebenefit of the original parties in inter-est, until after the lapse of 12 monthsfrom the effective date of the Commis-sion’s order. The Commission may, forgood cause shown, waive the require-ments of this section.

(b) Where an appeal has been takenfrom the action of the Commission de-nying a particular application, anotherapplication for the same class of sta-tion and for the same area, in whole orin part, filed by the same applicant orby the applicant’s successor or as-signee, or on behalf or for the benefit ofthe original parties in interest, will not


32

47 CFR Ch. I (10–1–01 Edition)§ 21.23

be considered until the final disposi-tion of such appeal.


§ 21.23 Amendment of applications.(a)(1) Any pending application may

be amended as a matter of right if theapplication has not been designated forhearing, or for comparative evaluationpursuant to § 21.35, or for the randomselection process, provided, however,that the amendments must complywith the provisions of § 21.29 as appro-priate and the Commission has not oth-erwise forbidden the amendment ofpending applications.

(2) A Multipoint Distribution Serviceapplication tentatively selected forqualification review by the random se-lection process may be amended as amatter of right up to 14 days after thedate of the public notice announcingthe tentative selection, provided, how-ever, that the amendments must com-ply with the provisions of § 21.29 as ap-propriate and the Commission has nototherwise forbidden the amendment ofpending applications.

(3) Provided, however, applicationsmay not be amended if the amend-ments seek more than a pro formachange of ownership or control (bank-ruptcy, death or legal disability) of apending Multipoint Distribution Serv-ice application and any amendment orapplication will be dismissed if theamendment or application seeks morethan a pro forma change of ownershipor control.

(b) Requests to amend an applicationdesignated for hearing or for compara-tive evaluation or for tentative selec-tion for qualification review by therandom selection process may begranted only if a written petition dem-onstrating good cause is submitted andproperly served on the parties ofrecord, except that Multipoint Dis-tribution Service applications ten-tatively selected in a random selectionprocess may be amended as a matter ofright as provided in paragraph (a) ofthis section. Provided, however, re-quests to amend applications will notbe granted that seek more than a proforma change of ownership or control(bankruptcy, death or legal disability)of a pending Multipoint Distribution

Service application and any applica-tion seeking more than a pro formachange of ownership or control will bedismissed.

(c) The Commission will classifyamendments on a case-by-case basis.Whenever previous amendments havebeen filed, the most recent amendmentwill be classified by reference to howthe information in question stood as ofthe latest Public Notice issued whichconcerned the application. An amend-ment will be deemed to be a majoramendment subject to § 21.27 and § 21.31under any of the following cir-cumstances:

(1) If in the Multipoint DistributionService, the amendment results in asubstantial modification of the engi-neering proposal such as (but not nec-essarily limited to):

(i) A change in, or addition of, a radiofrequency channel;

(ii) A change in polarization of thetransmitted signal;

(iii) A change in type of transmitteremission or an increase in emissionbandwidth of more than ten (10) per-cent;

(iv) A change in the geographic co-ordinates of a station’s transmittingantenna of more than ten (10) secondsof latitude or longitude, or both;

(v) Any change which increases theantenna height by 3.0 meters (10 feet)or more;

(vi) Any technical change whichwould increase the effective radiatedpower in any horizontal or vertical di-rection by more than one and one-half(1.5) dB; or

(vii) Any changes or combination ofchanges which would cause harmfulelectrical interference to an authorizedfacility or result in a mutually exclu-sive conflict with another pending ap-plication.

(2) Except during the sixty (60) dayamendment period provided for in§ 21.27(d), any amendment to an appli-cation for a new or modified responsestation hub, booster station or point-to-multipoint I channel(s) station or toan application for a modified main sta-tion that reflects any change in thetechnical specifications of the proposedfacility, includes any new or modifiedanalysis of potential interference to


33


another facility or submits any inter-ference consent from a neighboring li-censee, shall result in the applicationbeing assigned a new file number andbeing treated as newly filed.

(3) If the amendment would convert aproposal, such that it may have a sig-nificant impact upon the environmentunder § 1.1307 of the Commission’srules, which would require the submis-sion of an environmental assessment,see § 1.1311 of this chapter, and Com-mission environmental review, see§§ 1.1308 and 1.1312 of this chapter.

(4) If the amendment results in a sub-stantial and material alteration of theproposed service.

(5) If the amendment specifies a sub-stantial change in benefical ownershipor control (de jure or de facto) of an ap-plicant such that the change would re-quire, in the case of an authorized sta-tion, the filing of a prior assignment ortransfer of control application undersection 310(d) of the CommunicationsAct of 1934 [47 U.S.C. 310(d)]. Such achange would not be considered majorwhere the assignment or transfer ofcontrol is for legitimate business pur-poses other than the acquisition of ap-plications.

(6) If the amendment, or the cumu-lative effect of the amendment, is de-termined by the Commission otherwiseto be substantial pursuant to section309 of the Communications Act of 1934.

(d) The applicant must serve copiesof any amendments or other writtencommunications upon the followingparties:

(1) Any applicant whose applicationappears on its face to be mutually ex-clusive with the application beingamended, including those applicantsoriginally served under § 21.902;

(2) Any applicant whose applicationhas been found by the Commission, aspublished in a public notice, to be mu-tually exclusive with the applicationbeing amended; and

(3) Any party who has filed a petitionto deny the application or other formalobjection, when that petition or formalobjection has not been resolved by theCommission.

(e) The Commission may waive theservice requirements of paragraph (e)of this section and prescribe such alter-native procedures as may be appro-

priate under the circumstances to pro-tect petitioners’ interests and to avoidundue delay in a proceeding, if an ap-plicant submits a request for waiverwhich demonstrates that the servicerequirement is unreasonably burden-some. Requests for waiver shall beserved on petitioners. Oppositions tothe petition may be filed within five (5)days after the petition is filed and shallbe served on the applicant. Replies tooppositions will not be entertained.

(f) Any amendment to an applicationshall be signed and shall be submittedin the same manner, and with the samenumber of copies, as was the originalapplication. Amendments may be madein letter form if they comply in allother respects with the requirements ofthis chapter.

[44 FR 60534, Oct. 19, 1979, as amended at 46FR 23450, Apr. 27, 1981; 50 FR 5992, Feb. 13,1985; 50 FR 45614, Nov. 1, 1985; 52 FR 37779,Oct. 9, 1987; 55 FR 20397, May 16, 1990; 56 FR57816, Nov. 14, 1991; 58 FR 11797, Mar. 1, 1993;58 FR 44894, Aug. 25, 1993; 61 FR 26674, May 28,1996; 64 FR 63730, Nov. 22, 1999; 65 FR 46617,July 31, 2000]

§ 21.24 [Reserved]

§ 21.25 Application for temporary au-thorizations.

(a) In circumstances requiring imme-diate or temporary use of facilities, re-quest may be made for special tem-porary authority to install and/or oper-ate new or modified equipment. Anysuch request may be submitted as aninformal application in the manner setforth in § 21.5 and must contain fullparticulars as to the proposed oper-ation including all facts sufficient tojustify the temporary authority soughtand the public interest therein. Nosuch request will be considered unlessthe request is received by the Commis-sion at least 10 days prior to the dateof proposed construction or operationor, where an extension is sought, expi-ration date of the existing temporaryauthorization.

(b) Special temporary authorizationsmay be granted without regard to the30-day public notice requirement of§ 21.27(c) when:

(1) The authorization is for a periodnot to exceed 30 days and no applica-tion for regular application is con-templated to be filed;


34

47 CFR Ch. I (10–1–01 Edition)§ 21.26

(2) The authorization is for a periodnot to exceed 60 days pending the filingof an application for such regular oper-ation;

(3) The authorization is to permit in-terim operation to facilitate comple-tion of authorized construction or toprovide substantially the same serviceas previously authorized; or

(4) The authorization is made upon afinding that there are extraordinarycircumstances requiring operation inthe public interest and that delay inthe institution of such service wouldseriously prejudice the public interest.

(c) Temporary authorization of oper-ations not to exceed 180 days may begranted under the standards of section309(f) of the Communications Actwhere extraordinary circumstances sorequire. Extensions of the temporaryauthorization for a period of 180 dayseach may also be granted, but the re-newal applicant bears a heavy burdento show that extraordinary cir-cumstances warrant such an extension.

(d) In cases of emergency found bythe Commission, involving danger tolife or property or due to damage ofequipment, or during a national emer-gency proclaimed by the President ordeclared by the Congress or during thecontinuance of any war in which theUnited States is engaged and whensuch action is necessary for the na-tional defense or safety or otherwise infurtherance of the war effort, or incases of emergency where the Commis-sion finds that it would not be feasibleto secure renewal applications from ex-isting licensees or otherwise to follownormal licensing procedure, the Com-mission will grant construction per-mits and station licenses, or modifica-tions or renewals thereof, during theemergency found by the Commission orduring the continuance of any such na-tional emergency or war, as specialtemporary licenses, only for the periodof emergency or war requiring such ac-tion, without the filing of formal appli-cations.

[44 FR 60534, Oct. 19, 1979, as amended at 48FR 27252, June 14, 1983; 52 FR 37779, Oct. 9,1987]


§ 21.26 Receipt of applications.Applications received by the Com-

mission are given a file number for ad-ministrative convenience, which doesnot indicate the acceptance of the ap-plication for filing and processing.After preliminary review those applica-tions covered by § 21.27(a) that appearcomplete will be put on public noticeas accepted for filing. Neither the as-signment of a file number nor the list-ing of the application on public noticeas accepted for filing indicates that theapplication has been found acceptablefor filing or precludes the subsequentreturn or dismissal of the application ifit is found to be defective or not in sub-stantial compliance with the Commis-sion’s rules.

[52 FR 37779, Oct. 9, 1987]

§ 21.27 Public notice period.(a) At regular intervals, the Commis-

sion will issue a public notice listing:(1) The acceptance for filing of appli-

cations and major amendments there-to;

(2) Significant Commission actionsconcerning applications;

(3) The filing of certifications of com-pletion of construction;

(4) The receipt of applications forminor modifications made pursuant to§ 21.41;

(5) Information which the Commis-sion in its discretion believes of publicsignificance; and

(6) Special environmental consider-ations as required by part 1 of thischapter.

(7) The BTAs designated for licensingthrough the competitive bidding proc-ess and the filing date for short-formapplications for those areas;

(8) The auction winners in the com-petitive bidding process;

(b) A public notice will not normallybe issued for any of the following appli-cations:

(1) For authorization of a minor tech-nical change in the facilities of a pro-posed or authorized station where sucha change would not be classified as amajor amendment to a pending appli-cation, as defined by § 21.23, or as a


35


minor modification to a license pursu-ant to § 21.41;

(2) For temporary authorization pur-suant to § 21.25;

(3) For an authorization under any ofthe proviso clauses of section 308(a) ofthe Communications Act of 1934 (47U.S.C. 308(a));

(4) For consent to an involuntary as-signment or transfer of control of aradio authorization; or

(5) For consent to a voluntary assign-ment or transfer of control of a radioauthorization, where the assignment ortransfer does not involve a substantialchange in ownership or control.

(c) Except as otherwise provided inthis part (e.g., § 21.41), no applicationthat has appeared on public notice willbe granted until the expiration of a pe-riod of thirty days following theissuance of the public notice listing theapplication, or any major amendmentthereto, or until the expiration of a pe-riod of thirty days following theissuance of a public notice identifyingthe tentative selectee of a random se-lection process, whichever is later.

(d) Notwithstanding any other provi-sions of this part, effective as of Sep-tember 17, 1998, there shall be one one-week window, at such time as the Com-mission shall announce by public no-tice, for the filing of applications forhigh-power signal booster station, re-sponse station hub and I channelspoint-to-multipoint transmissions li-censes, during which all applicationsshall be deemed to have been filed as ofthe same day for purposes of §§ 21.909,21.913 and 74.939(l) of this chapter. Fol-lowing the publication of a public no-tice announcing the tendering for filingof applications submitted during thatwindow, applicants shall have a periodof sixty (60) days to amend their appli-cations, provided such amendments donot result in any increase in inter-ference to any previously proposed orauthorized station, or to facilities pro-posed during the window, absent con-sent of the applicant for or conditionallicensee or licensee of the station thatwould receive such interference. At theconclusion of that sixty (60) day period,the Commission shall publish a publicnotice announcing the acceptance forfiling of all applications submitted dur-ing the initial window, as amended dur-

ing the sixty (60) day period. All peti-tions to deny such applications mustbe filed within sixty (60) days of suchsecond public notice. On the sixty-first(61st) day after the publication of suchsecond public notice, applications fornew or modified response station hub,booster station and I channels point-to-multipoint transmissions licensesmay be filed and will be processed inaccordance with the provisions of§§ 21.909, 21.913 and 74.939(l) of this chap-ter. Notwithstanding § 21.31, each appli-cation submitted during the initialwindow shall be granted on the sixty-first (61st) day after the Commissionshall have given such public notice ofits acceptance for filing, unless prior tosuch date either a party in interesttimely files a formal petition to denyor for other relief pursuant to § 21.30(a),or the Commission notifies the appli-cant that its application will not begranted. Where an application is grant-ed pursuant to the provisions of thisparagraph, the conditional licensee orlicensee shall maintain a copy of theapplication at the transmitter site orresponse station hub until such time asthe Commission issues a license.

[52 FR 37779, Oct. 9, 1987, as amended at 54 FR10327, Mar. 13, 1989; 60 FR 36552, July 17, 1995;61 FR 26674, May 28, 1996; 63 FR 65101, Nov. 25,1998; 64 FR 4054, Jan. 27, 1999]

§ 21.28 Dismissal and return of appli-cations.

(a) Except as provided under para-graph (c) of this section and under§ 21.29, any application may be dis-missed without prejudice as a matterof right if the applicant requests itsdismissal prior to designation for hear-ing or prior to selection of the com-parative evaluation procedure of § 21.35.An applicant’s request for return of itsapplication after it has been acceptedfor filing will be considered to be a re-quest for dismissal without prejudice.Requests for dismissal shall complywith the provisions of § 21.29 as appro-priate.

(b) A request to dismiss an applica-tion without prejudice will be consid-ered after designation for hearing,after selection of the comparative eval-uation procedure of § 21.35, or after se-lection as a tentative selectee in a ran-dom selection proceeding, only if:


36

47 CFR Ch. I (10–1–01 Edition)§ 21.29

(1) A written petition is submitted tothe Commission and, in the case of ap-plications designated for hearing orcomparative evaluation, is properlyserved upon all parties of record;

(2) The petition is submitted beforethe issuance date of a public notice ofCommission action denying the appli-cation; and

(3) The petition complies with theprovisions of § 21.29 (whenever applica-ble) and demonstrates good cause.

(c) Except as provided under § 21.29,an application designated for inclusionin the random selection process may bedismissed without prejudice as a mat-ter of right if the applicant requests itsdismissal at least 2 days prior to a ran-dom selection proceeding. An appli-cant’s request for return of its applica-tion after it has been accepted for fil-ing will be considered to be a requestfor dismissal without prejudice. Re-quests for dismissal shall comply withthe provisions of § 21.29 as appropriate.

(d) The Commission will dismiss anapplication for failure to prosecute orfor failure to respond substantiallywithin a specified time period to offi-cial correspondence or requests for ad-ditional information. Dismissal will bewithout prejudice prior to designationfor hearing, selection of the compara-tive evaluation procedure of § 21.35, ortentative selection by the random se-lection process, but may be with preju-dice for unsatisfactory compliancewith § 21.29, or after designation forhearing, selection of the comparativeevaluation process, or selection as atentative selectee in a random selec-tion proceeding.

(e) The Commission will dismiss anapplication filed by a cable televisioncompany which fails to comply withthe provisions of § 21.912 of this part.

(f) A Multipoint Distribution Serviceapplication will be dismissed if the ap-plicant seeks to change ownership orcontrol, except in the case of a proforma change of ownership or control(bankruptcy, death, or legal dis-ability).

[44 FR 60534, Oct. 19, 1979, as amended at 50FR 5993, Feb. 13, 1985; 55 FR 46009, Oct. 31,1990; 58 FR 11797, Mar. 1, 1993]

§ 21.29 Ownership changes and agree-ments to amend or to dismiss appli-cations or pleadings.

(a) Except as provided in paragraph(b) of this section, applicants or anyother parties in interest to pending ap-plications shall comply with the provi-sions of this section whenever:

(1) They participate in any agree-ment (or understanding) which in-volves any consideration promised orreceived, directly or indirectly, includ-ing any agreement (or understanding)for merger of interests or the recip-rocal withdrawal of applications; and

(2) The agreement (or understanding)may result in either:

(i) A proposed substantial change inbeneficial ownership or control (de jureor de facto) of an applicant such thatthe change would require, in the caseof an authorized station, the filing of aprior assignment or transfer of controlapplication under section 310(d) of theCommunications Act of 1934 [47 U.S.C.310(d)], or

(ii) Proposed withdrawal, amendmentor dismissal of any application(s),amendment(s), petition(s), pleading(s),or any combination thereof, whichwould thereby permit the grant with-out hearing, comparative evaluationunder of § 21.35, or random selection ofan application previously in contestedstatus.

(b) The provisions of this sectionshall not be applicable to any engineer-ing agreement (or understanding)which:

(1) Resolves frequency conflicts withauthorized stations or other pendingapplications without the creation ofnew or increased frequency conflicts;and

(2) Does not involve any consider-ation promised or received, directly orindirectly (including any merger of in-terests or reciprocal withdrawal of ap-plications), other than the mutual ben-efit of resolving the engineering con-flict.

(c) For any agreement subject to thissection, the applicant of an applicationwhich would remain pending pursuantto such an agreement will be consid-ered responsible for the compliance byall parties with the procedures of thissection. Failure of the parties to com-ply with the procedures of this section


37


shall constitute a defect in those appli-cations which are involved in theagreement and remain in a pendingstatus.

(d) The principals to any agreementor understanding subject to this sec-tion shall comply with the standards ofparagraph (e) of this section in accord-ance with the following procedure:

(1) Within ten (10) days after enteringinto the agreement, the parties theretoshall jointly notify the Commission inwriting of the existence and generalterms of such agreement, the identityof all of the participants and the appli-cations involved;

(2) Within thirty (30) days after en-tering into the agreement, the partiesthereto shall file any proposed applica-tion amendments, motions, or requeststogether with a copy of the agreementwhich clearly sets forth all terms andprovisions, and such other facts and in-formation as necessary to satisfy thestandards of paragraph (e) of this sec-tion. Such submission shall be accom-panied by the certification by affidavitof each principal to the agreement de-claring that the statements made aretrue, complete, and correct to the bestof their knowledge and belief, and aremade in good faith.

(3) The Commission may request anyfurther information which in its judg-ment it believes is necessary for a de-termination under paragraph (e) of thissection.

(e) The Commission will grant an ap-plication (or applications) involved inthe agreement (or understanding) onlyif it finds upon examination of the in-formation submitted, and upon consid-eration of such other matters as maybe officially noticed, that the agree-ment is consistent with the public in-terest, and the amount of any mone-tary consideration and the cash valueof any other consideration promised orreceived is not in excess of those legiti-mate and prudent costs directly assign-able to the engineering, preparation,filing and advocacy of the withdrawn,dismissed, or amended application(s),amendment(s), petition(s), pleading(s),or any combination thereof. Wheresuch costs represent the applicant’s in-house efforts, these costs shall includeonly directly assignable costs and shallexclude general overhead expenses.

[The treatment to be accorded suchconsideration for interstate rate mak-ing purposes will be determined at suchtime as the question may arise in anappropriate rate proceeding.] Anitemized accounting shall be submittedto support the amount of considerationinvolved except where such consider-ation (including the fair market valueof any non-cash consideration) prom-ised or received does not exceed onethousand dollars ($1,000.00). Where con-sideration involves a sale of facilitiesor merger of interests, the accountingshall clearly identify that portion ofthe consideration allocated for such fa-cilities or interests and a detailed de-scription thereof, including estimatedfair market value. The Commissionwill not presume an agreement (or un-derstanding) to be prima facie contraryto the public interest solely because itincorporates a mutual agreement towithdraw pending application(s),amendment(s), petition(s), pleading(s),or any combination thereof.

(f) Notwithstanding § 21.29(e), amend-ments will not be granted that seekmore than a pro forma change of owner-ship or control (bankruptcy, death, orlegal disability) of a pendingMultipoint Distribution Service appli-cation, and any Multipoint Distribu-tion Service application will be dis-missed that seeks more than a proforma change of ownership or control.

[44 FR 60534, Oct. 19, 1979, as amended at 50FR 5993, Feb. 13, 1985; 58 FR 11797, Mar. 1,1993]

§ 21.30 Opposition to applications.(a) Petitions to deny (including peti-

tions for other forms of relief) and re-sponsive pleadings for Commission con-sideration must:

(1) Identify the application or appli-cations (including applicant’s name,station location, Commission file num-bers and radio service involved) withwhich it is concerned;

(2) Be filed in accordance with thepleading limitations, filing periods,and other applicable provisions of§§ 1.41 through 1.52, and 1.821 through1.825;

(3) Contain specific allegations offact (except for those of which officialnotice may be taken), which shall besupported by affidavit of a person or


38

47 CFR Ch. I (10–1–01 Edition)§ 21.31

persons with personal knowledge there-of, and which shall be sufficient todemonstrate that the petitioner (or re-spondent) is a party in interest andthat a grant of, or other Commissionaction regarding, the application wouldbe prima facie inconsistent with thepublic interest;

(4) Except as provided in § 21.902(i)(6)regarding Instructional TelevisionFixed Service licensees and conditionallicensees, in § 21.909 regarding MDS re-sponse station hubs and in § 21.913 re-garding MDS booster stations, be filedwithin thirty (30) days after the date ofpublic notice announcing the accept-ance for filing of any such applicationor major amendment thereto, or identi-fying the tentative selectee of a ran-dom selection proceeding in the Multi-channel Multipoint Distribution Serv-ice or for Multipoint Distribution Serv-ice H-channel stations (unless the Com-mission otherwise extends the filingdeadline); and

(5) Contains a certificate of serviceshowing that it has been mailed to theapplicant no later than the date of fil-ing thereof with the Commission.

(b) The Commission will classify asinformal objections:

(1) Any petition to deny not filed inaccordance with paragraph (a) of thissection;

(2) Any petition to deny (or for otherforms of relief) an application to whichthe thirty (30) day public notice periodof § 21.27(c) does not apply; or

(3) Any comments on, or objectionsto, the grant of an application whenthe comments or objections do not con-form to either paragraph (a) of this sec-tion or other Commission rules and re-quirements.

(c) The Commission will consider in-formal objections, but will not nec-essarily discuss them specifically in aformal opinion if:

(1) The informal objection is filed atleast one day before Commission ac-tion on the application; and

(2) The informal objection is signedby the submitting person (or his rep-resentative) and discloses his interest.

[44 FR 60534, Oct. 19, 1979, as amended at 50FR 5993, Feb. 13, 1985; 50 FR 45614, Nov. 1,1985; 52 FR 37779, Oct. 9, 1987; 55 FR 46009,Oct. 31, 1990; 56 FR 57816, Nov. 14, 1991; 63 FR65101, Nov. 25, 1998]

§ 21.31 Mutually exclusive applica-tions.

(a) Except with respect to applica-tions for new or modified response sta-tions hubs, booster stations, and point-to-multipoint I channel stations, andto applications for modified main sta-tions, filed on the same day or duringthe same window, the Commission willconsider applications to be mutuallyexclusive if their conflicts are suchthat grant of one application would ef-fectively preclude by reason of harmfulelectrical interference, or other prac-tical reason, the grant of one or moreof the other applications.

(b) An application will be entitled tobe included in a random selection proc-ess or to comparative considerationwith one or more conflicting applica-tions only if:

(1) The application is mutually exclu-sive with the other application; and

(2) The application is received by theCommission in a condition acceptablefor filing by whichever ‘‘cut-off’’ dateis earlier:

(i) Sixty (60) days after the date ofthe public notice listing the first of theconflicting applications as accepted forfiling; or

(ii) One (1) business day preceding theday on which the Commission takesfinal action on the previously filed ap-plication (should the Commission actupon such application in the intervalbetween thirty (30) and sixty (60) daysafter the date of its public notice).

(c) Whenever three or more applica-tions are mutually exclusive, but notuniformly so, the earliest filed applica-tion established the date prescribed inparagraph (b)(2) of this section, regard-less of whether or not subsequentlyfiled applications are directly mutuallyexclusive with the first filed applica-tion. [For example, applications A, B,and C are filed in that order. A and Bare directly mutually exclusive, B andC are directly mutually exclusive. Inorder to be considered comparativelywith B, C must be filed within the‘‘cut-off’’ period established by A eventhough C is not directly mutually ex-clusive with A.]

(d) An application otherwise mutu-ally exclusive with one of more pre-viously filed applications, but filedafter the appropriate date prescribed in


39


paragraph (b)(2) of this section, will bereturned without prejudice and will beeligible for refiling only after final ac-tion is taken by the Commission withrespect to the previously filed applica-tion (or applications).

(e) For the purposes of this section,any application (whether mutually ex-clusive or not) will be considered to bea newly filed application if it is amend-ed by a major amendment (as definedby § 21.23), except under any of the fol-lowing circumstances:

(1) The application has been des-ignated for comparative hearing, or forcomparative evaluation (pursuant to§ 21.35), and the Commission or the pre-siding officer accepts the amendmentpursuant to § 21.23(b);

(2) The amendment resolves fre-quency conflicts with authorized sta-tions or other pending applicationswhich would otherwise require resolu-tion by hearing, by comparative eval-uation pursuant to § 21.35, or by randomselection pursuant to § 21.33 providedthat the amendment does not createnew or additional frequency conflicts;

(3) The amendment reflects only achange in ownership or control foundby the Commission to be in the publicinterest, and for which a requested ex-emption from the ‘‘cut-off’’ require-ments of this section is granted, unlessthe amendment is for more than a proforma change of ownership or control(bankruptcy, death or legal disability)of a pending Multipoint DistributionService application in which event theapplication will be dismissed;

(4) The amendment reflects only achange in ownership or control whichresults from an agreement under § 21.29whereby two or more applicants enti-tled to comparative consideration oftheir applications join in one (or more)of the existing applications and requestdismissal of their other application (orapplications) to avoid the delay andcost of comparative consideration, un-less the amendment is for one (ormore) pending Multipoint DistributionService application (or applications) inwhich event the application (or appli-cations) will be dismissed;

(5) The amendment corrects typo-graphical, transcription, or similarclerical errors which are clearly dem-onstrated to be mistakes by reference

to other parts of the application, andwhose discovery does not create new orincreased frequency conflicts; or

(6) The amendment does not createnew or increased frequency conflicts,and is demonstrably necessitated byevents which the applicant could nothave reasonably foreseen at the time offiling, such as, for example:

(i) The loss of a transmitter or re-ceiver site by condemnation, naturalcauses, or loss of lease or option;

(ii) Obstruction of a proposed trans-mission path caused by the erection ofa new building or other structure; or

(iii) The discontinuance or substan-tial technological obsolescence of spec-ified equipment, whenever the applica-tion has been pending before the Com-mission for two or more years from thedate of its filing.

[44 FR 60534, Oct. 19, 1979, as amended at 45FR 65600, Oct. 3, 1980; 45 FR 70468, Oct. 24,1980; 50 FR 5993, Feb. 13, 1985; 52 FR 27554,July 22, 1987; 52 FR 37780, Oct. 9, 1987; 55 FR10462, Mar. 21, 1990; 58 FR 11797, Mar. 1, 1993;61 FR 26674, May 28, 1996; 63 FR 65101, Nov. 25,1998; 64 FR 63730, Nov. 22, 1999; 65 FR 46617,July 31, 2000]

§ 21.32 Consideration of applications.

(a) Applications for an instrument ofauthorization will be granted if, uponexamination of the application andupon consideration of such other mat-ters as it may officially notice, theCommission finds that the grant willserve the public interest, convenience,and necessity.

(b) The grant shall be without a for-mal hearing if, upon consideration ofthe application, any pleadings of objec-tions filed, or other matters which maybe officially noticed, the Commissionfinds that:

(1) The application is acceptable forfiling, and is in accordance with theCommission’s rules, regulations, andother requirements;

(2) The application is not subject tocomparative consideration (pursuantto § 21.31) with another application (orapplications), except where the com-peting applicants have chosen the com-parative evaluation procedure of § 21.35and a grant is appropriate under thatprocedure;


40

47 CFR Ch. I (10–1–01 Edition)§ 21.32

(3) A grant of the application wouldnot cause harmful electrical inter-ference to an authorized station;

(4) There are no substantial and ma-terial questions of fact presented; and

(5) The applicant is legally, tech-nically, financially and otherwisequalified, and a grant of the applica-tion would serve the public interest.

(c) If the Commission should grantwithout a formal hearing an applica-tion for an instrument of authorizationwhich is subject to a petition to denyfiled in accordance with § 21.30, theCommission will deny the petition bythe issuance of a Memorandum Opinionand Order which will concisely reportthe reasons for the denial and disposeof all substantial issues raised by thepetition.

(d) Whenever the Commission, with-out a formal hearing, grants any appli-cation in part, or subject to any termsor conditions other than those nor-mally applied to applications of thesame type, it shall inform the appli-cant of the reasons therefor, and thegrant shall be considered final unlessthe Commission should revise its ac-tion (either by granting the applicationas originally requested, or by desig-nating the application for a formal evi-dentiary hearing) in response to a peti-tion for reconsideration which:

(1) Is filed by the applicant withinthirty (30) days from the date of theletter or order giving the reasons forthe partial or conditioned grant;

(2) Rejects the grant as made and ex-plains the reasons why the applicationshould be granted as originally re-quested; and

(3) Returns the instrument of author-ization.

(e) The Commission will designate anapplication for a formal hearing, speci-fying with particularity the mattersand things in issue, if, upon consider-ation of the application, any pleadingsor objections filed, or other matterswhich may be officially noticed, theCommission determines that:

(1) A substantial and material ques-tion of fact is presented;

(2) The Commission is unable for anyreason to make the findings specifiedin paragraph (a) of this section and theapplication is acceptable for filing,complete, and in accordance with the

Commission’s rules, regulations, andother requirements.

(3) The application is entitled tocomparative consideration (under§ 21.31) with another application (or ap-plications); or

(4) The application is entitled tocomparative consideration (pursuantto § 21.31) and the applicants have cho-sen the comparative evaluation proce-dure of § 21.35 but the Commissiondeems such procedure to be inappro-priate.

(f) The Commission may grant, deny,or take other action with respect to anapplication designated for a formalhearing pursuant to paragraph (e) ofthis section or part 1 of this chapter.

(g) Whenever the public interestwould be served thereby the Commis-sion may grant one or more mutuallyexclusive applications expressly condi-tioned upon final action on the applica-tions, and then either conduct a ran-dom section process (in specified serv-ices under this rules part), designateall of the mutually exclusive applica-tions for a formal evidentiary hearingor (whenever so requested) follow thecomparative evaluation procedures of§ 21.35, as appropriate, if it appears:

(1) That some or all of the applica-tions were not filed in good faith, butwere filed for the purpose of delayingor hindering the grant of another appli-cation;

(2) That the public interest requiresthe prompt establishment of radioservice in a particular community orarea;

(3) That a delay in making a grant toany applicant until after the conclu-sion of a hearing or a random selectionproceeding on all applications mightjeopardize the rights of the UnitedStates under the provision of an inter-national agreement to the use of thefrequency in question; or

(4) That a grant of one applicationwould be in the public interest in thatit appears from an examination of theremaining applications that they can-not be granted because they are in vio-lation of provisions of the Communica-tions Act, other statutes, or of the pro-visions of this chapter.

(h) Reconsideration or review of anyfinal action taken by the Commission


41


will be in accordance with subpart A ofpart 1 of this chapter.

[44 FR 60534, Oct. 19, 1979, as amended at 50FR 5993, Feb. 13, 1985]

§ 21.33 Grants by random selection.(a) If an application for an authoriza-

tion for a Multichannel Multipoint Dis-tribution Service (MMDS) station orfor a Multipoint Distribution Service(MDS) H-channel station is mutuallyexclusive with another such applica-tion, and satisfies the requirements of§§ 21.31 and 21.914, the applicant may beincluded in the random selection proc-ess set forth in §§ 1.821, 1.822 and 1.824 ofthis chapter.

(b) Renewal applications shall not beincluded in a random selection process.

(c) If Multipoint Distribution Serviceapplicants enter into settlements, theapplicants in the settlement must berepresented by one application onlyand will not receive the cumulativenumber of chances in the random selec-tion process that the individual appli-cants would have had if no settlementhad been reached.

[58 FR 11798, Mar. 1, 1993, as amended at 61FR 26674, May 28, 1996]

§ 21.34 [Reserved]

§ 21.35 Comparative evaluation of mu-tually exclusive applications.

(a) In order to expedite action on mu-tually exclusive applications in serv-ices under this rules part where thecompetitive bidding process or randomselection process do not apply, the ap-plicants may request the Commissionto consider their applications withouta formal hearing in accordance withthe summary procedure outlined inparagraph (b) in this section if:

(1) The applications are entitled tocomparative consideration pursuant to§ 21.31;

(2) The applications have not beendesignated for formal evidentiary hear-ing; and

(3) The Commission determines, ini-tially or at any time during the proce-dure outlined in paragraph (b) of thissection, that such procedure is appro-priate, and that, from the informationsubmitted and consideration of suchother matters as may be officially no-ticed, there are no substantial and ma-

terial questions of fact presented(other than those relating to the com-parative merits of the applications)which would preclude a grant underparagraphs (a) and (b) of § 21.32.

(b) Provided that the conditions ofparagraph (a) of this section are satis-fied, applicants may request the Com-mission to act upon their mutually ex-clusive applications without a formalhearing pursuant to the summary pro-cedure outlined below:

(1) To initiate the procedure, each ap-plicant will submit to the Commissiona written statement containing:

(i) A waiver of the applicant’s rightto a formal hearing;

(ii) A request and agreement that, inorder to avoid the delay and expense ofa comparative formal hearing, theCommission should exercise its judg-ment to select from among the mutu-ally exclusive applications that pro-posal (or proposals) which would bestserve the public interest; and

(iii) The signature of a principal (andthe principal’s attorney if represented).

(2) After receipt of the written re-quests of all of the applicants the Com-mission (if it deems this procedure ap-propriate) will issue a notice desig-nating the comparative criteria uponwhich the applications are to be evalu-ated and will request each applicant tosubmit, within a specified period oftime, additional information con-cerning the applicant’s proposal rel-ative to the comparative criteria.

(3) Within thirty (30) days followingthe due date for filing this information,the Commission will accept conciseand factual argument on the competingproposals from the rival applicants, po-tential customers, and other knowl-edgeable parties in interest.

(4) Within fifteen (15) days followingthe due date for the filing of com-ments, the Commission will acceptconcise and factual replies from therival applicants.

(5) From time to time during thecourse of this procedure the Commis-sion may request additional informa-tion from the applicants and hold in-formal conferences at which all com-peting applicants shall have the rightto be represented.

(6) Upon evaluation of the applica-tions, the information submitted, and


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47 CFR Ch. I (10–1–01 Edition)§§ 21.36–21.37

such other matters as may be officiallynoticed the Commission will issue a de-cision granting one (or more) of theproposals which it concludes wouldbest serve the public interest, conven-ience and necessity. The decision willreport briefly and concisely the reasonsfor the Commission’s selection and willdeny the other application(s). This de-cision shall be considered final.

[44 FR 60534, Oct. 19, 1979, as amended at 50FR 5994, Feb. 13, 1985; 52 FR 37780, Oct. 9, 1987;60 FR 36552, July 17, 1995]

§§ 21.36–21.37 [Reserved]

LICENSE TRANSFERS, MODIFICATIONS,CONDITIONS AND FORFEITURES

§ 21.38 Assignment or transfer of sta-tion authorization.

(a) No station license, or any rightsthereunder, shall be transferred, as-signed, or disposed of in any manner,voluntarily or involuntarily, directlyor indirectly, or by transfer of controlof any corporation or any other entityholding any such license, to any personexcept upon application to the Com-mission and upon finding by the Com-mission that the public interest, con-venience and necessity will be servedthereby.

(b) For purposes of this section,transfers of control requiring Commis-sion approval shall include any and alltransactions that:

(1) Change the party controlling theaffairs of the licensee, or

(2) Affect any change in a controllinginterest in the ownership of the li-censee, including changes in legal orequitable ownership, or

(c) Requests for transfer of control orassignment authority shall be sub-mitted on the application form pre-scribed by § 21.11 of this chapter, andshall be accompanied by the applicableshowings required by §§ 21.13, 21.15, 21.17and 21.39 of this chapter.

(d) The Commission shall be prompt-ly notified in writing when a licensee isvoluntarily or involuntarily placed inbankruptcy or receivership and whenan individual licensee, a member of apartnership which is a licensee, or aperson directly or indirectly in controlof a corporation which is a licensee,

dies or becomes legally disabled. With-in thirty days after the occurrence ofsuch bankruptcy, receivership, deathor legal disability, an application of in-voluntary assignment of such license,or involuntary transfer of control ofsuch corporation, shall be filed withthe Commission, requesting assign-ment or transfer to a successor legallyqualified under the laws of the placehaving jurisdiction over the assets in-volved.

(e) The assignor of a station licensedunder this part may retain no right ofreversion or reassignment of the li-cense and may not reserve the right touse the facilities of the station for anyperiod whatsoever. No assignment of li-cense will be granted or authorized ifthere is a contract or understanding,express or implied, pursuant to which aright of reversion or reassignment ofthe license or right to use the facilitiesare retained as partial or full consider-ation for the assignment or transfer.

(f) No special temporary authority,or any rights thereunder, shall be as-signed or otherwise disposed of, di-rectly or indirectly, voluntarily or in-voluntarily, without prior Commissionapproval.

(g) An applicant for voluntary trans-fer of control or assignment under thissection where the subject license wasacquired by the transferor or assignorthrough a system of random selectionshall, together with its application fortransfer of control or assignment, filewith the Commission the associatedcontracts for sale, option agreements,management agreements, or other doc-uments disclosing the total consider-ation that the applicant would receivein return for the transfer or assign-ment of its license. This informationshould include not only a monetarypurchase price, but also any future,contingent, in-kind, or other consider-ation (e.g., management or consultingcontracts either with or without an op-tion to purchase; below-market financ-ing).

[52 FR 37780, Oct. 9, 1987, as amended at 54 FR11953, Mar. 23, 1989; 59 FR 9101, Feb. 25, 1994]


43


§ 21.39 Considerations involving trans-fer or assignment applications.

(a) A Multipoint Distribution Serviceconditional license may not be as-signed or transferred prior to the com-pletion of construction of the facilityand the timely filing of the certifi-cation of completion of construction.However, consent to the assignment ortransfer of control of a Multipoint Dis-tribution Service conditional licensemay be given prior to the completionof construction and the timely filing ofthe certification of completion of con-struction where:

(1) The assignment or transfer doesnot involve a substantial change inownership or control of the authorizedMultipoint Distribution Service facili-ties; or

(2) The assignment or transfer of con-trol is involuntary due to the licensee’sbankruptcy, death, or legal disability.

(b) The Commission will review aproposed transaction to determine ifthe circumstances indicate ‘‘traf-ficking’’ in licenses whenever applica-tions (except those involving pro formaassignment or transfer of control) forconsent to assignment of a license, orfor transfer of control of a licensee, in-volve facilities that were:

(1) Authorized following a compara-tive hearing and have been operatedless than one year, or;

(2) Involve facilities that have notbeen constructed, or;

(3) Involve facilities that were au-thorized following a random selectionproceeding in which the successful ap-plicant received preference and thathave been operated for less than oneyear.At its discretion, the Commission mayrequire the submission of an affirma-tive, factual showing (supported by af-fidavits of a person or persons with per-sonal knowledge thereof) to dem-onstrate that the proposed assignor ortransferor has not acquired an author-ization or operated a station for theprincipal purpose of profitable salerather than public service. This show-ing may include, for example, a dem-onstration that the proposed assign-ment or transfer is due to changed cir-cumstances (described in detail) affect-ing the licensee subsequent to the ac-quisition of the license, or that the

proposed transfer of radio facilities isincidental to a sale of other facilitiesor merger of interests.

(c) If a proposed transfer of radio fa-cilities is incidental to a sale of otherfacilities or merger of interests, anyshowing requested under paragraph (a)of this section shall include an addi-tional exhibit which:

(1) Discloses complete details as tothe sale of facilities or merger of inter-ests;

(2) Segregates clearly by an itemizedaccounting, the amount of consider-ation involved in the sale of facilitiesor merger of interests; and

(3) Demonstrates that the amount ofconsideration assignable to the facili-ties or business interests involved rep-resents their fair market value at thetime of the transaction.

(d) For the purposes of this section,the one year period is calculated usingthe following dates (as appropriate):

(1) The initial date of grant of the li-cense, excluding subsequent modifica-tions;

(2) The date of consummation of anassignment or transfer, if the station isacquired as the result of an assignmentof license, or transfer of control of cor-porate licensee; or

(3) The median date of the applicablecommencement dates (determined pur-suant to paragraphs (c) (1) and (2) ofthis section) if the transaction involvestwo or more stations. (The median dateis that date so selected such that fiftypercent of the commencement dates ofthe total number of stations, when ar-ranged in chronological order, liebelow it and fifty percent lie above it.When the number of stations is an evennumber, the median date will be avalue half way between the two datesclosest to the theoretical median).

[44 FR 60534, Oct. 19, 1979, as amended at 48FR 33900, July 26, 1983; 50 FR 5994, Feb. 13,1985; 52 FR 27554, July 22, 1987. Redesignatedand amended at 52 FR 37780, Oct. 9, 1987; 58FR 11798, Mar. 1, 1993; 61 FR 26674, May 28,1996]

§ 21.40 Modification of station license.(a) Except as provided in §§ 21.41 and

21.42, no modification of a licenseissued pursuant to this part (or the fa-cilities described thereunder) shall bemade except upon application to the


44

47 CFR Ch. I (10–1–01 Edition)§ 21.41

Commission and upon finding by theCommission that:

(1) Such modification will promotethe public interest, convenience andnecessity, or

(2) That the provisions of the Com-munications Act of 1934 or of any trea-ty ratified by the United States will bemore fully complied with if such appli-cation is granted.

(b) No application for modification toextend a license construction periodwill be granted for delays caused bylack of financing or for lack of siteavailability. Applications for time ex-tensions for other reasons must includea verified statement from the applica-tion showing that the licensee hasmade diligent efforts to construct thefacilities and:

(1) That additional time is requireddue to circumstances beyond the appli-cant’s control, in which case the appli-cant must describe such circumstancesand must set forth with specificity andjustify the precise extension period re-quested; or

(2) That there are unique and over-riding public interest concerns thatjustify such an extension, in whichcase the applicant must identify suchinterests and must set forth and justifya precise extension period.

(c) Notwithstanding the provisions ofparagraph (b), when a station licensehas been assigned or transferred pursu-ant to § 21.38, any extension of timewill be limited so that the time left toconstruct after Commission grant ofthe transfer or assignment will be nomore than the time remaining for con-struction at the date of the filing ofthe application for transfer or assign-ment.

[52 FR 37780, Oct. 9, 1987]

§ 21.41 Special processing of applica-tions for minor facility modifica-tions.

(a) Unless an applicant is notified tothe contrary by the Commission, as ofthe twenty-first day following the dateof public notice, any application thatmeets the requirements of paragraph(b) of this section and proposes onlythe change specified in paragraph (c) ofthis section shall be deemed to havebeen authorized by the Commission.

(b) An application may be consideredunder the procedures of this sectiononly if:

(1) It is in the Multipoint Distribu-tion Service;

(2) The cumulative effect of all suchapplications made within any 60 daysperiod does not exceed the appropriatevalues prescribed by paragraph (c) ofthis section;

(3) The facilities to be modified arenot located within 56.3 kilometers (35miles) of the Canadian or Mexican bor-der;

(4) It is acceptable for filing, is con-sistent with all of the Commission’srules, and does not involve a waiver re-quest;

(5) It specifically requests consider-ation pursuant to this section;

(6) Frequency notification proceduresare complied with and a copy of the ap-plication has been served on those whoalso were served under § 21.902; and

(7) In the Multipoint DistributionService, the modified facility wouldnot produce a power flux density thatexceeds ¥73 dBW/m2, pursuant to§§ 21.902 and 21.939 at locations on theboundaries of protected service areasto which there is an unobstructed sig-nal path.

(c) The modifications that may beauthorized under the procedures of thissection are:

(1) Changes in a transmitter and ex-isting transmitter operating character-istics, or protective configuration oftransmitter, provided that:

(i) In the Multipoint DistributionService, any increase in EIRP is oneand one-half dB or less over the pre-viously-authorized power value; or

(ii) The necessary bandwidth is notincreased by more than 10% of the pre-viously authorized necessary band-width.

(2) Changes in the height of an an-tenna, provided that:

(i) In Multipoint Distribution Serv-ice, any increase in antenna height isless than 3.0 meters above the pre-viously authorized height; and

(ii) The overall height of the antennastructure is not increased as a result ofthe antenna extending above theheight of the previously authorizedstructure, except when the new heightof the antenna structure is 6.1 meters


45


or less (above ground or man-madestructure, as appropriate) after thechange is made.

(3) Change in the geographical co-ordinates of a transmit station by tenseconds or less of latitude, longitude orboth, provided that when notice to theFAA of proposed construction is re-quired by part 17 of this chapter for an-tenna structure at the previously au-thorized coordinates (or will be re-quired at the new location) the appli-cant must comply with the provisionsof § 21.15(d).

(d) Upon grant of an applicationunder the procedure of this section andat such time that construction begins,the applicant must keep a completecopy of the application (including thefiling date) with the station license ifconstruction is commenced prior to thereceipt of the authorization.

[52 FR 37780, Oct. 9, 1987, as amended at 55 FR46009, Oct. 31, 1990; 58 FR 44894, Aug. 25, 1993;60 FR 36552, July 17, 1995; 61 FR 4364, Feb. 6,1996; 61 FR 26674, May 28, 1996]

§ 21.42 Certain modifications not re-quiring prior authorization.

(a) Equipment in an authorized radiostation may be replaced without priorauthorization or notification if:

(1) The replacement equipment isidentical (i.e., same manufacturer andmodel number) with the replacementequipment; or

(2) The replacement transmitter,transmitting antenna, transmissionline loss and/or devices between thetransmitter and antenna, or combina-tions of the above, do not change theEIRP of a station in any direction.

(b) Licensees of fixed stations in theMultipoint Distribution Service maymake the facility changes listed inparagraph (c) of this section withoutobtaining prior Commission authoriza-tion, if:

(1) The Multipoint Distribution Serv-ice licensee serves a copy of the notifi-cation described in paragraph (b)(3) ofthis section on those who were servedunder § 21.902, and

(2) The cumulative effect of all facil-ity changes made within any 60 day pe-riod does not exceed the appropriatevalues prescribed by paragraph (c) ofthis section, and

(3) The Commission is notified ofchanges made to facilities by the sub-mission of a completed FCC Form 304within thirty (30) days after thechanges are made.

(4) In the Multipoint DistributionService, the modified facility wouldnot produce a power flux density at theprotected service area boundary thatexceeds ¥73 dBW/m2, pursuant to§§ 21.902 and 21.939.

(c) Modifications that may be madewithout prior authorization underparagraph (b) of this section are:

(1) Change or modification of a trans-mitter, when:

(i) The replacement or modifiedtransmitter is certificated for useunder this part and is installed withoutmodification from the certificated con-figuration;

(ii) The type of modulation is notchanged;

(iii) The frequency stability is equalto or better than the previously au-thorized frequency stability; and

(iv) The necessary bandwidth and theoutput power do not exceed the pre-viously authorized values.

(2) Addition or deletion of a trans-mitter for protection without changingthe authorized power output (e.g. hotstandby transmitters);

(3) Change to an antenna when thenew antenna conforms with § 21.906 andthe EIRP resulting from the new an-tenna does not exceed that resultingfrom the previously authorized an-tenna by more than one dB in any di-rection.

(4) Any technical changes that woulddecrease the effective radiated power.

(5) Change to the height of an an-tenna, when:

(i) The new height (measured at thecenter-of-radiation) is within ±1.5 me-ters (5 feet) of the previously author-ized height; and

(ii) The overall height of the antennastructure is not increased as a result ofthe antenna extending above theheight of the previously authorizedstructure, except when the new heightof the antenna structure is 6.1 meters(20 feet) or less (above ground or man-made structure, as appropriate) afterthe change is made.

(6) Decreases in the overall height ofan antenna structure, provided that,


46

47 CFR Ch. I (10–1–01 Edition)§ 21.43

when notice to the FAA of proposedconstruction was required by part 17 ofthis chapter for the antenna structureat the previously authorized height,the applicant must comply with theprovisions of § 21.15 (d) and (e).

(7) Changes to the transmission lineand other devices between the trans-mitter and the antenna when the effec-tive radiated power of the station isnot increased by more than one dB.

(8) A change to a sectorized antennasystem comprising an array of direc-tional antennas, provided that suchsystem does not change polarization orresult in an increase in radiated powerby more than one dB in any horizontalor vertical direction; provided, how-ever, that notice of such change is pro-vided to the Commission on FCC Form331 within ten (10) days of installation.

(d) Licensees may correct erroneousinformation on a license which doesnot involve a major change (i.e., achange that would be classified as amajor amendment as defined by § 21.23)without obtaining prior Commissionapproval by filing a completed FCCForm 494, or for the Multipoint Dis-tribution Service licensees, by filingthe MDS long-form application.

[52 FR 37781, Oct. 9, 1987, as amended at 58 FR44894, Aug. 25, 1993; 60 FR 36552, July 17, 1995;60 FR 57366, Nov. 15, 1995; 61 FR 4364, Feb. 6,1996; 61 FR 26674, May 28, 1996; 63 FR 36603,July 7, 1998; 63 FR 49870, Sept. 18, 1998; 63 FR65101, Nov. 25, 1998; 64 FR 4054, Jan. 27, 1999;65 FR 46617, July 31, 2000]

§ 21.43 Period of construction; certifi-cation of completion of construc-tion.

(a) Except for Multipoint Distribu-tion Service station licenses granted toBTA and PSA authorization holders,each license for a radio station for theservices included in this part shallspecify as a condition therein the pe-riod during which construction of fa-cilities will be completed and the sta-tion made ready for operation. Con-struction may not commence until thegrant of a license, and must be com-pleted by the date specified in the li-cense as the termination date of theconstruction period. Except as may belimited by § 21.45(b) or otherwise deter-mined by the Commission for any par-ticular application, the maximum con-struction period for all stations li-

censed under this part shall be a max-imum of 12 months from the date of thelicense grant.

(b) Each license for a radio stationfor the services included in this partshall also specify as a condition thereinthat upon the completion of construc-tion, each licensee must file with theCommission a certification of comple-tion of construction using FCC Form494A, certifying that the facilities asauthorized have been completed andthat the station is now operational andready to provide service to the public,and will remain operational during thelicense period, unless the license issubmitted for cancellation.

[52 FR 37782, Oct. 9, 1987, as amended at 60 FR36552, July 17, 1995; 61 FR 26675, May 28, 1996]

§ 21.44 Forfeiture and termination ofstation authorization.

(a) A license shall be automaticallyforfeited in whole or in part withoutfurther notice to the licensee upon:

(1) The expiration of the constructionperiod specified therein, where applica-ble, or after such additional time asmay be authorized by the Commission,unless within 5 days after that datecertification of completion of construc-tion has been filed with the Commis-sion pursuant to § 21.43;

(2) The expiration of the license pe-riod specified therein, unless priorthereto an application for renewal ofsuch license has been filed with theCommission; or

(3) The voluntary removal or alter-ation of the facilities, so as to renderthe station not operational for a periodof 30 days or more.

(b) A license forfeited in whole or inpart under the provisions of paragraph(a)(1) or (a)(2) may be reinstated if theCommission, in its discretion, deter-mines that reinstatement would bestserve the public interest, convenienceand necessity. Petitions for reinstate-ment filed pursuant to this subsectionwill be considered only if:

(1) The petition is filed within 30 daysof the expiration date set forth in para-graph (a)(1) or (a)(2) of this section,whichever is applicable;

(2) The petition explains the failureto timely file such notification or ap-plication as would have preventedautomatic forfeiture; and


47


(3) The petition sets forth with speci-ficity the procedures which have beenestablished to insure timely filings inthe future.

(c) A special temporary authorizationshall automatically terminate uponthe expiration date specified therein,or upon failure to comply with any spe-cial terms or conditions set forththerein. Operation may be extended be-yond such termination date only afterapplication and upon specific author-ization by the Commission.

[52 FR 37782, Oct. 9, 1987, as amended at 60 FR36552, July 17, 1995]

§ 21.45 License period.(a)(1) Licenses for stations in the

Multipoint Distribution Service will beissued for a period not to exceed 10years, except that licenses for develop-mental stations will be issued for a pe-riod not to exceed one year. The expi-ration date of developmental licensesshall be one year from the date of thegrant thereof. Unless otherwise speci-fied by the Commission, the expirationof regular licenses shall be on the fol-lowing date in the year of expiration.

Multipoint Distribution Service—May1.

(2) When a license is granted subse-quent to the last renewal date of theclass of license involved, the licenseshall be issued only for the unexpiredperiod of the current license term ofsuch class.

(b) The Commission reserves theright to grant or renew station licensesin these services for a shorter period oftime than that generally prescribed forsuch stations if, in its judgment, publicinterest, convenience, or necessitywould be served by such action.

(c) Upon the expiration or termi-nation of any station license, any re-lated conditional authorization, whichbears a later expiration date, shall beautomatically terminated concur-rently with the related station license,unless it shall have been determined bythe Commission that the public inter-est, convenience or necessity would beserved by continuing in effect said con-ditional authorization.

[44 FR 60534, Oct. 19, 1979, as amended at 46FR 23450, Apr. 27, 1981; 48 FR 27253, June 14,1983; 61 FR 26675, May 28, 1996]

§ 21.50 Transition of the 2.11–2.13 and2.16–2.18 GHz bands from DomesticPublic Fixed Radio Services toemerging technologies.

(a) Licensees proposing to implementservices using emerging technologies(ET Licensees) may negotiate with Do-mestic Public Fixed Radio Service li-censees (Existing Licensees) in thesebands for the purpose of agreeing toterms under which the Existing Licens-ees would relocate their operations toother fixed microwave bands or toother media, or alternatively, wouldaccept a sharing arrangement with theET Licensee that may result in an oth-erwise impermissible level of inter-ference to the existing licensee’s oper-ations. ET Licensees may also nego-tiate agreements for relocation of theExisting Licensees’ facilities withinthe 2 GHz band in which all interestedparties agree to the relocation of theExisting Licensee’s facilities elsewherewithin these bands. ‘‘All interestedparties’’ includes the incumbent li-censee, the emerging technology pro-vider or representative requesting andpaying for the relocation, and anyemerging technology licensee of thespectrum to which the incumbent’s fa-cilities are to be relocated.

(b) Domestic Public Fixed Radio li-censees in bands allocated for licensedemerging technology services willmaintain primary status in these bandsuntil two years after the Commissioncommences acceptance of applicationsfor an emerging technology services,and until one year after an emergingtechnology service licensee initiatesnegotiations for relocation of the fixedmicrowave licensee’s operations or, inbands allocated for unlicensed emerg-ing technology services, until one yearafter an emerging technology unli-censed equipment supplier or rep-resentative initiates negotiations forrelocation of the fixed microwave li-censee’s operations. When it is nec-essary for an emerging technology pro-vider or representative of unlicenseddevice manufacturers to negotiate witha fixed microwave licensee with oper-ations in spectrum adjacent to that ofthe emerging technology provider, thetransition schedule of the entity re-questing the move will apply.


48

47 CFR Ch. I (10–1–01 Edition)§ 21.100

(c) The Commission will amend theoperating license of the fixed micro-wave operator to secondary status onlyif the following requirements are met:

(1) The service applicant, provider, li-censee, or representative using anemerging technology guarantees pay-ment of all relocation costs, includingall engineering, equipment, site andFCC fees, as well as any reasonable, ad-ditional costs that the relocated fixedmicrowave licensee might incur as aresult of operation in another fixedmicrowave band or migration to an-other medium;

(2) The emerging technology serviceentity completes all activities nec-essary for implementing the replace-ment facilities, including engineeringand cost analysis of the relocation pro-cedure and, if radio facilities are used,identifying and obtaining, on the in-cumbents’ behalf, new microwave fre-quencies and frequency coordination;and

(3) The emerging technology serviceentity builds the replacement systemand tests it for comparability with theexisting 2 GHz system.

(d) The 2 GHz microwave licensee isnot required to relocate until the alter-native facilities are available to it fora reasonable time to make adjust-ments, determine comparability, andensure a seamless handoff.

(e) If within one year after the relo-cation to new facilities the 2 GHzmicrowave licensee demonstrates thatthe new facilities are not comparableto the former facilities, the emergingtechnology service entity must remedythe defects or pay to relocate themicrowave licensee back to its formeror equivalent 2 GHz frequencies.

[58 FR 46549, Sept. 2, 1993, as amended at 59FR 19645, Apr. 25, 1994]

Subpart C—Technical Standards§ 21.100 Frequencies.

The frequencies available for use inthe service covered by this part arelisted in subpart K. Assignment of fre-quencies will be made only in such amanner as to facilitate the rendition ofcommunication service on an inter-ference-free basis in each service area.Unless otherwise indicated, each fre-quency available for use by stations in

this service will be assigned exclu-sively to a single applicant in any serv-ice area. All applicants for, and licens-ees of, stations in this service shall co-operate in the selection and use of thefrequencies assigned in order to mini-mize interference and thereby obtainthe most effective use of the authorizedfacilities. In the event harmful inter-ference occurs or appears likely tooccur between two or more radio sys-tems and such interference cannot beresolved between the licensees thereof,the Commission may, after notice andopportunity for hearing, require the li-censees to make such changes in oper-ating techniques or equipment as itmay deem necessary to avoid such in-terference.

[61 FR 26675, May 28, 1996]

§ 21.101 Frequency tolerance.(a) The carrier frequency of each

transmitter authorized in these serv-ices shall be maintained within the fol-lowing percentage of the reference fre-quency except as otherwise provided inparagraph (b) of this section or in theapplicable subpart of this part (unlessotherwise specified in the instrumentof station authorization the referencefrequency shall be deemed to be the as-signed frequency):

Frequency range (MHz)

Frequencytolerance for

fixed sta-tions (per-

cent)

2,150 to 2,162 1 2 ............................................... 0.0012,596 to 2,680 2 ................................................. 0.005

1 Beginning Aug. 9, 1975, this tolerance will govern the mar-keting of equipment pursuant to §§ 2.803 and 2.805 of thischapter and the issuance of all authorizations for new radioequipment. Until that date new equipment may be authorizedwith a frequency tolerance of 0.03 percent in the frequencyrange 2,200 to 10,500 MHz and equipment so authorized maycontinue to be used for its life provided that it does not causeinterference to the operation of any other licensee. Equipmentauthorized in the frequency range 2,450 to 10,500 MHz priorto June 23, 1969, at a tolerance of 0.05 percent may continueto be used until February 1, 1976 provided it does not causeinterference to the operation of any other licensee.

2 Beginning January 21, 2000, the equipment authorized tobe used at all MDS main stations, and at all MDS booster sta-tions authorized pursuant to § 21.913(b) of this part, shallmaintain a frequency tolerance of 0.001%. MDS booster sta-tions authorized pursuant to § 21.913(e) of this part and MDSresponse stations authorized pursuant to § 21.909 of this partshall employ transmitters with sufficient frequency stability toensure that the emission is, at all times, within the requiredemission mask.

(b) As an additional requirement inany band where the Commission makesassignments according to a specifiedchannel plan, provisions shall be made


49


to prevent the emission included with-in the occupied bandwidth from radi-ating outside the assigned channel at alevel greater than that specified in§ 21.106.

[44 FR 60534, Oct. 19, 1979, as amended at 46FR 23450, Apr. 27, 1981; 48 FR 50329, Nov. 1,1983; 48 FR 50732, Nov. 3, 1983; 49 FR 37775,Sept. 26, 1984; 54 FR 10327, Mar. 13, 1989; 54 FR24905, June 12, 1989; 55 FR 46009, Oct. 31, 1990;56 FR 57816, Nov. 14, 1991; 61 FR 26675, May 28,1996; 63 FR 65101, Nov. 25, 1998; 64 FR 63730,Nov. 22, 1999]

§§ 21.102–21.104 [Reserved]

§ 21.105 Bandwidth.

Each authorization issued pursuantto these rules will show, as the emis-sion designator, a symbol representingthe class of emission which shall beprefixed by a number specifying thenecessary bandwidth. This figure doesnot necessarily indicate the bandwidthactually occupied by the emission atany instant. In those cases where part2 of this chapter does not provide a for-mula for the computation of the nec-essary bandwidth, the occupied band-width may be used in the emission des-ignator.

[49 FR 48700, Dec. 14, 1984]

§ 21.106 Emission limitations.

(a) The mean power of emissionsshall be attenuated below the meanoutput power of the transmitter in ac-cordance with the following schedule:

(1) When using transmissions otherthan those employing digital modula-tion techniques:

(i) On any frequency removed fromthe assigned frequency by more than 50percent up to and including 100 percentof the authorized bandwidth: At least25 decibels;

(ii) On any frequency removed fromthe assigned frequency by more than100 percent up to and including 250 per-cent of the authorized bandwidth: Atleast 35 decibels;

(iii) On any frequency removed fromthe assigned frequency by more than250 percent of the authorized band-width: At least 43+10 Log10 (mean out-put power in watts) decibels, or 80 deci-bels, whichever is the lesser attenu-ation.

(2) When using transmissions employ-ing digital modulation techniques (see§ 21.122(b)) in situations other thanthose covered by subpart K of this part:

(i) For operating frequencies below 15GHz, in any 4 kHz band, the center fre-quency of which is removed from theassigned frequency by more than 50percent up to and including 250 percentof the authorized bandwidth: As speci-fied by the following equation but in noevent less than 50 decibels.A=35+0.8(P;minus;50)+10 Log10 B. (At-tenuation greater than 80 decibels isnot required.)

where:

A=Attenuation (in decibels) below themean output power level.

P=Percent removed from the carrierfrequency.

B=Authorized bandwidth in MHz.

(ii) In any 4 kHz band, the center fre-quency of which is removed from theassigned frequency by more than 250percent of the authorized bandwidth:At least 43+10 Log10 (mean outputpower in watts) decibels, or 80 decibels,whichever is the lesser attenuation.

(b) When an emission outside of theauthorized bandwidth causes harmfulinterference, the Commission may, atits discretion, require greater attenu-ation than specified in paragraph (a) ofthis section.

[44 FR 60534, Oct. 19, 1979, as amended at 46FR 23450, Apr. 27, 1981; 52 FR 23550, June 23,1987; 61 FR 26675, May 28, 1996; 65 FR 46617,July 31, 2000]

§ 21.107 Transmitter power.

(a) The power which a station will bepermitted to use in these services willbe the minimum required for satisfac-tory technical operation commensu-rate with the size of the area to beserved and local conditions which af-fect radio transmission and reception.In cases of harmful interference, theCommission may, after notice and op-portunity for hearing, order a changein the effective radiated power of a sta-tion.

(b) The EIRP of a transmitter stationemployed in this radio service shall notexceed the values shown in the fol-lowing tabulation:


50

47 CFR Ch. I (10–1–01 Edition)§ 21.108

Frequency range (MHz)

MaximumallowableEIRP for a

fixed station(Watts)

2,150 to 2,162 ................................................... 1 20002,596 to 2,680 ................................................... 1 2000

1 When a Multipoint Distribution Service station uses a non-omnidirectional antenna EIRP up to 7943 Watts may be au-thorized pursuant to § 21.904(b) of this Part.

[44 FR 60534, Oct. 19, 1979, as amended at 49FR 37775, Sept. 26, 1984; 52 FR 7140, Mar. 9,1987; 52 FR 37783, Oct. 9, 1987; 54 FR 10328,Mar. 13, 1989; 54 FR 24905, June 12, 1989; 55 FR46009, Oct. 31, 1990; 56 FR 57816, Nov. 14, 1991;58 FR 49224, Sept. 22, 1993; 61 FR 26675, May28, 1996]

§ 21.108 [Reserved]

§ 21.109 Antenna and antenna struc-tures.

(a) In the event harmful interferenceis caused to the operation of other sta-tions, the Commission may, after no-tice and opportunity for hearing, orderchanges to be made in the height, ori-entation, gain and radiation pattern ofthe antenna system.

(b) The Commission may require thereplacement, at the licensee’s expense,of any antenna system of a permanentfixed station operating at 2500 MHz orhigher upon a showing that said an-tenna causes or is likely to cause inter-ference to any other authorized or pro-posed station.

[44 FR 60534, Oct. 19, 1979, as amended at 52FR 37783, Oct. 9, 1987; 61 FR 26675, May 28,1996]

§ 21.110 Antenna polarization.

Stations operating in the radio serv-ices included in this part are not lim-ited as to the type of polarization ofthe radiated signal, provided, however,that in the event interference in excessof permissible levels is caused to theoperation of other stations the Com-mission may, after notice and oppor-tunity for hearing, order the licenseeto change the polarization of the radi-ated signal. No change in polarizationshall be made without prior authoriza-tion from the Commission.

[52 FR 37783, Oct. 9, 1987]

§ 21.111 Use of common antenna struc-ture.

The simultaneous use of a commonantenna structure by more than onestation authorized under this part, orby one or more stations of any otherservice may be authorized. The owner,however, of each antenna structure re-quired to be painted and/or illuminatedunder the provisions of Section 303(q)of the Communications Act of 1934, asamended, shall install and maintainthe antenna structure painting andlighting in accordance with part 17 ofthis chapter. In the event of default bythe owner, each licensee or permitteeshall be individually responsible forconforming to the requirements per-taining to antenna structure paintingand lighting.

[61 FR 4365, Feb. 6, 1996]

§ 21.112 Marking of antenna struc-tures.

No owner, conditional licensee, or li-censee of an antenna structure forwhich obstruction marking or lightingis required and for which an antennastructure registration number has beenobtained, shall discontinue the re-quired painting or lighting withouthaving obtained prior written author-ization therefor from the Commission.(For complete regulations relative toantenna marking requirements, seepart 17 of this chapter.)

[61 FR 4365, Feb. 6, 1996]

§ 21.113 Quiet zones and Arecibo Co-ordination Zone.

Quiet zones are those areas where itis necessary to restrict radiation so asto minimize possible impact on the op-erations of radio astronomy or otherfacilities that are highly sensitive toradio frequency interference. The areasinvolved and procedures required are asfollows:

(a) In order to minimize possibleharmful interference at the NationalRadio Astronomy Observatory site lo-cated at Green Bank, PocahontasCounty, West Virginia, and at theNaval Radio Research Observatory siteat Sugar Grove, Pendleton County,West Virginia, any applicant for a sta-tion authorization other than mobile,


51


temporary base, or temporary fixedseeking authorization for a new stationor to modify an existing station in amanner which would change either thefrequency, power, antenna height or di-rectivity, or location of such a stationwithin the area bounded by 39°15′ N. onthe north, 78°30′ W. on the east, 37°30′ N.on the south, and 80°30′ W. on the westshall, at the time of filing such appli-cation with the Commission, simulta-neously notify the Director, NationalRadio Astronomy Observatory, PostOffice Box No. 2, Green Bank, West Vir-ginia 24944, in writing, of the technicalparticulars of the proposed operation.Such notification shall include the geo-graphical coordinates of the antenna,antenna height, antenna directivity (ifany), proposed frequency, type of emis-sion, and power. In addition, the appli-cant shall indicate in his application tothe Commission the date notificationwas made to the Observatory. After re-ceipt of such applications, the Commis-sion will allow a period of twenty (20)days for comments or objections in re-sponse to the notifications indicated. Ifan objection to the proposed operationis received during the 20-day periodfrom the National Radio AstronomyObservatory for itself or on behalf ofthe Naval Radio Research Observatory,the Commission will consider all as-pects of the problem and take whateveraction is deemed appropriate.

(b) In order to minimize possibleharmful interference at the TableMountain Radio Receiving Zone of theResearch Laboratories of the Depart-ment of Commerce located in BoulderCounty, Colorado, applicants for newor modified radio facilities in the vicin-ity of Boulder County, Colorado are ad-vised to give due consideration prior tofiling applications, to the need to pro-tect the Table Mountain Radio Receiv-ing Zone from harmful interference. Toprevent degradation of this present am-bient radio signal level at the site, theDepartment of Commerce seeks to en-sure that the field strengths of any ra-diated signals (excluding reflected sig-nals) received on this 728.4 hectare (1800acre) site (in the vicinity of coordi-nates 40° 07′ 50″ N Latitude, 105° 15′ 40″W Longitude) resulting from new as-signments (other than mobile stations)or from the modification or relocation

of existing facilities do not exceed thefollowing values:

Frequency range

Fieldstrength

(mV/m) inauthor-

izedband-

width ofservice

Power fluxdensity 1

(dbW/m2) inauthorizedbandwidthof service

Below 540 kHz .............................. 10 ¥65.8540 to 1600 kHz ............................ 20 ¥59.81.6 to 470 MHz .............................. 10 2 ¥65.8470 to 890 MHz ............................. 30 2 ¥54.2Above 890 MHz ............................. 1 2 ¥85.8

1 Equivalent values of power flux density are calculated as-suming free space characteristic impedance of 376.7=120πohms.

2 Space stations shall conform to the power flux density lim-its at the earth’s surface specified in appropriate parts of theFCC rules, but in no case should exceed the above levels inany 4 kHz band for all angles of arrival.

(1) Advance consultation is rec-ommended particularly for those appli-cants who have no reliable data whichindicates whether the field strength orpower flux density figures in the abovetable would be exceeded by their pro-posed radio facilities (except mobilestations). In such instances, the fol-lowing is a suggested guide for deter-mining whether coordination is rec-ommended:

(i) All stations within 2.4. kilometers(1.5 miles);

(ii) Stations within 4.8 kilometers (3miles) with 50 watts or more averageeffective radiated power (ERP) in theprimary plane of polarization in the az-imuthal direction of the Table Moun-tain Radio Receiving Zone;

(iii) Stations within 16.1 kilometers(10 miles) with 1 kW or more averageERP in the primary plane of polariza-tion in the azimuthal direction ofTable Mountain Receiving Zone;

(iv) Stations within 80.5 kilometers(50 miles) with 25 kW or more averageERP in the primary plane of polariza-tion in the azimuthal direction ofTable Mountain Receiving Zone.

(2) Applicants concerned are urged tocommunicate with the Radio Fre-quency Management Coordinator, De-partment of Commerce, Research Sup-port Services, NOAA R/E5X2, BoulderLaboratories, Boulder, CO 80303; tele-phone (303) 497–6548, in advance of fill-ing their applications with the Com-mission.

(3) The Commission will not screenapplications to determine whether ad-vance consultation has taken place.


52

47 CFR Ch. I (10–1–01 Edition)§ 21.113

However, applicants are advised thatsuch consultation can avoid objectionsfrom the Department of Commerce orproceedings to modify any authoriza-tion which may be granted which, infact, delivers a signal at the site in ex-cess of the field strength specifiedherein.

(c) Protection for Federal Commu-nications Commission monitoring sta-tions:

(1) Applicants in the vicinity of anFCC monitoring station for a radio sta-tion authorization to operate newtransmitting facilities or changedtransmitting facilities which would in-crease the field strength produced overthe monitoring station over that pre-viously authorized are advised to giveconsideration, prior to filing applica-tions, to the possible need to protectthe FCC stations from harmful inter-ference. Geographical coordinates ofthe facilities which require protectionare listed in § 0.121(c) of the Commis-sion’s Rules. Applications for stations(except mobile stations) which willproduce on any frequency a direct wavefundamental field strength of greaterthan 10 mV/m in the authorized band-width of service (¥65.8 dBW/m2 powerflux density assuming a free spacecharacteristic impedance of 120 ohms)at the referenced coordinates, may beexamined to determine extent of pos-sible interference. Depending on thetheoretical field strength value and ex-isting root-sum-square or other ambi-ent radio field signal levels at the indi-cated coordinates, a clause protectingthe monitoring station may be addedto the station authorization.

(2) In the event that calculated valueof expected field exceeds 10 mV/m(¥65.8 dBW/m2) at the reference coordi-nates, or if there is any questionwhether field strength levels might ex-ceed the threshold value, advance con-sultation with the FCC to discuss anyprotection necessary should be consid-ered. Prospective applicants may com-municate with: Chief, Compliance andInformation Bureau, Federal Commu-nications Commission, Washington, DC20554, Telephone (202) 632–6980.

(3) Advance consultation is suggestedparticularly for those applicants whohave no reliable data which indicateswhether the field strength or power

flux density figure indicated would beexceeded by their proposed radio facili-ties (except mobile stations). In suchinstances, the following is a suggestedguide for determining whether an ap-plicant should coordinate:

(i) All stations within 2.4 kilometers(1.5 statute miles);

(ii) Stations within 4.8 kilometers (3statute miles) with 50 watts or moreaverage effective radiated power (ERP)in the primary plane of polarization inthe azimuthal direction of the Moni-toring Stations.

(iii) Stations within 16.1 kilometers(10 miles) with 1 kW or more averageERP in the primary plane of polariza-tion in the azimuthal direction of theMonitoring Station.

(iv) Stations within 80.5 kilometers(50 miles) with 25 kW or more averageERP in the primary plane of polariza-tion in the azimuthal direction of theMonitoring Station.

(4) Advance coordination for stationsoperating above 1000 MHz is rec-ommended only where the proposedstation is in the vicinity of a moni-toring station designated as a satellitemonitoring facility in § 0.121(c) of theCommission’s Rules and also meets thecriteria outlined in paragraphs (c) (2)and (3) of this section.

(5) The Commission will not screenapplications to determine whether ad-vance consultation has taken place.However, applicants are advised thatsuch consultation can avoid objectionsfrom the Federal CommunicationsCommission or modification of any au-thorization which will cause harmfulinterference.

(d) Any applicant for a new perma-nent base or fixed station to be locatedon the islands of Puerto Rico,Desecheo, Mona, Vieques, and Culebra,or for a modification of an existing au-thorization which would change thefrequency, power, antenna height, di-rectivity, or location of a station onthese islands and would increase thelikelihood of the authorized facilitycausing interference, shall notify theInterference Office, Arecibo Observ-atory, Post Office Box 995, Arecibo,Puerto Rico 00613, in writing or elec-tronically, of the technical parametersof the proposal. Applicants may wishto consult interference guidelines,


53


which will be provided by Cornell Uni-versity. Applicants who choose totransmit information electronicallyshould e-mail to: [email protected]

(1) The notification to the Inter-ference Office, Arecibo Observatoryshall be made prior to, or simulta-neously with, the filing of the applica-tion with the Commission. The notifi-cation shall state the geographical co-ordinates of the antenna (NAD–83datum), antenna height above ground,ground elevation at the antenna, an-tenna directivity and gain, proposedfrequency and FCC Rule Part, type ofemission, effective radiated power, andwhether the proposed use is itinerant.Generally, submission of the informa-tion in the technical portion of theFCC license application is adequate no-tification. In addition, the applicantshall indicate in its application to theCommission the date notification wasmade to the Arecibo Observatory.

(2) After receipt of such applications,the Commission will allow the AreciboObservatory a period of 20 days forcomments or objections in response tothe notification indicated. The appli-cant will be required to make reason-able efforts in order to resolve or miti-gate any potential interference prob-lem with the Arecibo Observatory andto file either an amendment to the ap-plication or a modification application,as appropriate. If the Commission de-termines that an applicant has satis-fied its responsibility to make reason-able efforts to protect the Observatoryfrom interference, its application maybe granted.

(3) The provisions of this paragraphdo not apply to operations that trans-mit on frequencies above 15 GHz.

[44 FR 60534, Oct. 19, 1979, as amended at 44FR 77167, Dec. 31, 1979; 50 FR 39001, Sept. 26,1985; 52 FR 37783, Oct. 9, 1987; 58 FR 44894,Aug. 25, 1993; 61 FR 8477, Mar. 5, 1996; 62 FR55530, Oct. 27, 1997]

§§ 21.114–21.115 [Reserved]

§ 21.116 Topographical data.Determining the location and height

above sea level of the antenna site, theelevation or contour intervals shall betaken from United States GeologicalSurvey Topographic Quadrangle Maps,United States Army Corps of Engineers

maps or Tennessee Valley Authoritymaps, whichever is the latest, for allareas for which such maps are avail-able. If such maps are not published forthe area in question, the next besttopographic information should beused. Topographic data may sometimesbe obtained from State and municipalagencies. Data from Sectional Aero-nautical Charts (including benchmarks) or railroad depot elevations andhighway elevations from road mapsmay be used where no better informa-tion is available. In cases where lim-ited topographic data is available, usemay be made of an altimeter in a cardriven along roads extending generallyradially from the transmitter site. If itappears necessary, additional data maybe requested. United States GeologicalSurvey Topographic Quadrangle Mapsmay be obtained from the Departmentof the Interior, Geological Survey,Washington, DC 20242. Sectional Aero-nautical Charts are available from theDepartment of Commerce, Coast andGeodetic Survey, Washington, DC20230.


§ 21.117 Transmitter location.(a) The applicant shall determine,

prior to filing an application for aradio station authorization, that theantenna site specified therein is ade-quate to render the service proposed. Incases of questionable antenna loca-tions, it is desirable to conduct propa-gation tests to indicate the field inten-sity which may be expected in the prin-cipal areas or at the fixed points ofcommunication to be served, particu-larly where severe shadow problemsmay be expected. In considering appli-cations proposing the use of such loca-tions, the Commission may require sitesurvey tests to be made pursuant to adevelopmental authorization in theparticular service concerned. In suchcases, propagation tests should be con-ducted in accordance with recognizedengineering methods and should bemade with a transmitting antenna sim-ulating, as near as possible, the pro-posed antenna installation. Full dataobtained from such surveys and itsanalysis, including a description of themethods used and the name, address


54

47 CFR Ch. I (10–1–01 Edition)§ 21.118

and qualifications of the engineer mak-ing the survey, must be supplied to theCommission.

(b) The owner of the antenna struc-ture should locate and construct suchstructure as to avoid making them haz-ardous to air navigation. (See part 17 ofthis chapter for provisions relating toantenna structures.) Such installationshall be maintained in good structuralcondition together with any requiredpainting or lighting.

[44 FR 60534, Oct. 19, 1979, as amended at 61FR 4365, Feb. 6, 1996]

§ 21.118 Transmitter construction andinstallation.

(a) The equipment at the operatingand transmitting positions shall be soinstalled and protected that it is notaccessible to, or capable of being oper-ated by, persons other than those dulyauthorized by the licensee.

(b) In any case where the maximummodulating frequency of a transmitteris prescribed by the Commission, thetransmitter shall be equipped with alow-pass or band-pass modulation filterof suitable performance characteris-tics. In those cases where a modulationlimiter is employed, the modulationfilter shall be installed between thetransmitter stage in which limiting iseffected and the modulated stage of thetransmitter.

(c) Each transmitter employed inthese services shall be equipped withan appropriately labeled pilot lamp ormeter which will provide continuousvisual indication at the transmitterwhen its control circuits have beenplaced in a condition to activate thetransmitter. Such requirement will notbe applicable to MDS response stationsor MDS booster stations authorizedpursuant to § 21.913(e). In addition, fa-cilities shall be provided at each trans-mitter to permit the transmitter to beturned on and off independently of anyremote control circuits associatedtherewith.

(d) [Reserved](e) At each transmitter control point

the following facilities shall be in-stalled:

(1) A carrier operated device whichwill provide continuous visual indica-tion when the transmitter is radiating,or, in lieu thereof, a pilot lamp or

meter which will provide continuousvisual indication when the transmittercontrol circuits have been placed in acondition to activate the transmitter.

(2) Facilities which will permit theoperator to turn transmitter carrier onand off at will.

(f) Transmitter control circuits fromany control point shall be so installedthat grounding or shorting any line inthe control circuit will not cause thetransmitter to radiate: Provided, how-ever, That this provision shall not beapplicable to control circuits of sta-tions which normally operate with con-tinuous radiation or to control circuitswhich are under the effective oper-ational control of responsible oper-ating personnel 24 hours per day.

[44 FR 60534, Oct. 19, 1979, as amended at 52FR 37783, Oct. 9, 1987; 63 FR 65101, Nov. 25,1998]


§ 21.120 Authorization of transmitters.(a) Except for transmitters used at

developmental stations, each trans-mitter shall be a type which has beencertificated by the Commission for useunder the applicable rules of this part.

(b) Any manufacturer of a trans-mitter to be produced for use under therules of this part may request certifi-cation by following the applicable pro-cedures set forth in part 2 of this chap-ter. Type accepted and notified trans-mitters are included in the Commis-sion’s Radio Equipment List.

(c) Certification for an individualtransmitter may also be requested byan applicant for a station authoriza-tion, pursuant to the procedures setforth in part 2 of this chapter.

[44 FR 60534, Oct. 19, 1979, as amended at 49FR 3999, Feb. 1, 1984; 50 FR 7340, Feb. 22, 1985;58 FR 49226, Sept. 22, 1993; 59 FR 19645, Apr.25, 1994; 61 FR 26676, May 28, 1996; 63 FR 36603,July 7, 1998]


§ 21.122 Microwave digital modulation.(a) Microwave transmitters employ-

ing digital modulation techniques andoperating below 15 GHz shall, with ap-propriate multiplex equipment, complywith the following additional require-ment: The bit rate, in bits per second,


55


shall be equal to or greater than thebandwidth specified by the emissiondesignator in Hertz (e.g., to be accept-able, equipment transmitting at a 6Mb/s rate must not require a bandwidthof greater than 6 MHz), except thebandwidth used to calculate the min-imum rate shall not include any au-thorized guard band.

(b) For purposes of compliance withthe emission limitation requirementsof § 21.106(a)(2) of this part and the re-quirements of paragraph (a) of this sec-tion, digital modulation techniques areconsidered as being employed whendigital modulation contributes 50 per-cent or more to the total peak fre-quency deviation of a transmittedradio frequency carrier. The total peakfrequency deviation shall be deter-mined by adding the deviation pro-duced by the digital modulation signaland the deviation produced by any fre-quency division multiplex (FDM) mod-ulation used. The deviation (D) pro-duced by the FDM signal shall be de-termined in accordance with § 2.202(f) ofpart 2 of this chapter.

(c) Transmitters employing digitalmodulation techniques shall effectivelyeliminate carrier spikes or single fre-quency tones in the output signal tothe degree which would be obtainedwithout repetitive patterns occurringin the signal.

[44 FR 60534, Oct. 19, 1979, as amended at 46FR 23451, Apr. 27, 1981; 49 FR 37775, Sept. 26,1984; 58 FR 49226, Sept. 22, 1993; 61 FR 26676,May 28, 1996]

Subpart D—Technical Operation

§ 21.200 Station inspection.The licensee of each station author-

ized in the radio services included inthis part shall make the station avail-able for inspection by representativesof the Commission at any reasonablehour.


§ 21.201 Posting of station license.(a) The instrument of authorization,

a clearly legible photocopy thereof, orthe name, address and telephone num-ber of the custodian of the instrumentof authorization shall be available at

each station, booster station author-ized pursuant to § 21.913(b) and MDS re-sponse station hub. Each operator of anMDS booster station shall post at thebooster station the name, address andtelephone number of the custodian ofthe notification filed pursuant to§ 21.913(e) if such notification is notmaintained at the booster station.

(b) If an MDS station, an MDS boost-er station or an MDS response stationhub is operated unattended, the callsign and name of the licensee shall bedisplayed such that it may be readwithin the vicinity of the transmitterenclosure or antenna structure.

[64 FR 63731, Nov. 22, 1999]

§§ 21.202—21.208 [Reserved]

§ 21.209 Communications concerningsafety of life and property.

(a) Handling and transmission ofmessages concerning the safety of lifeor property which is in imminent dan-ger shall be afforded priority overother messages.

(b) No person shall knowingly causeto be transmitted any false or fraudu-lent message concerning the safety oflife or property, or refuse upon demandimmediately to relinquish the use of aradio circuit to enable the trans-mission of messages concerning thesafety of life or property which is inimminent danger, or knowingly inter-fere or otherwise obstruct the trans-mission of such messages.

§ 21.210 Operation during emergency.The licensee of any station in these

services may, during a period of emer-gency in which normal communicationfacilities are disrupted as a result ofhurricane, flood, earthquake, or simi-lar disaster, utilize such station foremergency communication service in amanner other than that specified in theinstrument of authorization: Provided,That (a) That as soon as possible afterthe beginning of such emergency use,notice be sent to the Commission atWashington, D.C. stating the nature ofthe emergency and the use to whichthe station is being put, and (b) thatthe emergency use of the station shallbe discontinued as soon as substan-tially normal communication facilitiesare again available, and (c) that the


56

47 CFR Ch. I (10–1–01 Edition)§ 21.211

Commission at Washington, D.C. shallbe notified immediately when such spe-cial use of the station is terminated,and (d) that, in no event, shall any sta-tion engage in emergency transmissionon frequencies other than, or withpower in excess of, that specified in theinstrument of authorization or as oth-erwise expressly provided by the Com-mission, or by law, and (e) that theCommission may, at any time, orderthe discontinuance of any such emer-gency communication.


§ 21.211 Suspension of transmission.Transmission shall be suspended im-

mediately upon detection by the sta-tion or operator licensee or upon noti-fication by the Commission of a devi-ation from the technical requirementsof the station authorization and shallremain suspended until such deviationis corrected, except for transmissionconcerning the immediate safety of lifeor property, in which case transmissionshall be suspended immediately afterthe emergency is terminated.

Subpart E—Miscellaneous§ 21.300 [Reserved]

§ 21.301 National defense; free service.Any common carrier or Multipoint

Distribution Service non-common car-rier authorized under the rules of thispart may render to any agency of theUnited States Government free servicein connection with the preparation forthe national defense. Every such car-rier or Multipoint Distribution Servicenon-common carrier rendering anysuch free service shall make and file, induplicate, with the Commission, on orbefore the 31st of July and on or beforethe 31st day of January in each year,reports covering the periods of 6months ending on the 30th of June andthe 31st of December, respectively,next prior to said dates. These reportsshall show the names of the agencies towhich free service was rendered pursu-ant to this rule, the general characterof the communications handled foreach agency, and the charges in dollarswhich would have accrued to the car-rier or Multipoint Distribution Service

non-common carrier for such servicerendered to each agency if charges forsuch communications had been col-lected at the published tariff rates.

[52 FR 27555, July 22, 1987]

§ 21.302 Answers to notices of viola-tion.

Any person receiving official noticeof a violation of the terms of the Com-munications Act of 1934, as amended,any other Federal statute or ExecutiveOrder pertaining to radio or wire com-munications or any international radioor wire communications treaty or con-vention, or regulations annexed there-to to which the United States is aparty, or the rules and regulations ofthe Federal Communications Commis-sion, shall, within 10 days from such re-ceipt, send a written answer to the of-fice of the Commission originating theofficial notice. If an answer cannot besent or an acknowledgment made with-in such 10-day period by reason of ill-ness or other unavoidable cir-cumstances, acknowledgment and an-swer shall be made at the earliest prac-ticable date with a satisfactory expla-nation of the delay. The answer to eachnotice shall be complete in itself andshall not be abbreviated by reference toother communications or answers toother notices. If the notice relates tosome violation that may be due to thephysical or electrical characteristics oftransmitting apparatus, the answershall state fully what steps have beentaken to prevent future violations,and, if any new apparatus is to be in-stalled, the date such apparatus wasordered, the name of the manufacturer,and promised date of delivery. If the in-stallation of such apparatus requires aconstruction permit, the file number ofthe application shall be given or, if afile number has not been assigned bythe Commission, such identification aswill permit ready reference thereto. Ifthe notice of violation relates to inad-equate maintenance resulting in im-proper operation of the transmitter,the name and license number of the op-erator performing the maintenanceshall be given. If the notice of violationrelates to some lack of attention to, orimproper operation of, the transmitterby other employees, the reply shall set


57


forth the steps taken to prevent a re-currence of such lack of attention orimproper operation.

§ 21.303 Discontinuance, reduction orimpairment of service.

(a) If the public communication serv-ice provided by a station subject tothis rule part is involuntarily discon-tinued, reduced or impaired for a pe-riod exceeding 48 hours, the station li-censee shall promptly give notificationthereof in writing to the Mass MediaBureau at Washington, DC 20554. Inevery such case, the licensee shall fur-nish full particulars as to the reasonsfor such discontinuance, reduction orimpairment of service, including astatement as to when normal service isexpected to be resumed. When normalservice is resumed, prompt notificationthereof shall be given in writing to theMass Media Bureau at Washington, DC20554.

(b) No station licensee subject totitle II of the Communications Act of1934, as amended, shall voluntarily dis-continue, reduce or impair public com-munication service to a community orpart of a community without obtainingprior authorization from the Commis-sion pursuant to the procedures setforth in part 63 of this chapter or com-plying with the requirements set forthat § 21.910. In the event that permanentdiscontinuance of service is authorizedby the Commission, the station li-censee shall promptly send the stationlicense for cancellation to the MassMedia Bureau at Washington, DC 20554,except that station licenses need not besurrendered for cancellation if the dis-continuance is a result of a change ofstatus by a Multipoint DistributionService licensee from common carrierto non-common carrier pursuant to§ 21.910.

(c) Any station licensee, not subjectto title II of the Communications Actof 1934, as amended, who voluntarilydiscontinues, reduces or impairs publiccommunication service to a commu-nity or a part of a community shallgive written notification to the Com-mission within 7 days thereof. In theevent of permanent discontinuance ofservice, the station licensee shallpromptly send the station license forcancellation to the Mass Media Bureau

at Washington, DC 20554, except thatMultipoint Distribution Service sta-tion licenses need not be surrenderedfor cancellation if the discontinuanceis a result of a change of status by aMultipoint Distribution Service li-censee from non-common carrier tocommon carrier.

(d) If any radio frequency should notbe used to render any service as au-thorized during a consecutive period oftwelve months at any time after con-struction is completed and a certifi-cation of completion of constructionhas been filed, under circumstancesthat do not fall within the provisionsof paragraph (a), (b) or (c) of this sec-tion, or, if removal of equipment or fa-cilities has rendered the station notoperational, the licensee shall, withinthirty days of the end of such period ofnonuse:

(1) Submit for cancellation the sta-tion license (or licenses) to the Com-mission at Washington, DC 20554.

(2) File an application for modifica-tion of the license (or licenses) to de-lete the unused frequency (or fre-quencies); or

(3) Request waiver of this rule anddemonstrate either that the frequencywill be used (as evidenced by appro-priate requests for service, etc.) withinsix months of the end of the initial pe-riod of nonuse, or that the frequencywill be converted to allow rendition ofother authorized public services withinone year of the end of the initial periodof nonuse by the filing of appropriateapplications within six months of theend of the period of nonuse.If any frequency authorization is can-celled under this paragraph, the Com-mission will declare by public noticethe frequency (or frequencies) vacated.

[44 FR 60534, Oct. 19, 1979, as amended at 52FR 27555, July 22, 1987; 52 FR 37784, Oct. 9,1987; 58 FR 19774, Apr. 16, 1993; 61 FR 26676,May 28, 1996]

§ 21.304 Tariffs, reports, and other ma-terial required to be submitted tothe Commission.

Sections 1.771 through 1.815 of thischapter contain summaries of certainmaterials and reports, including sched-ule of charges and accounting and fi-nancial reports, which, when applica-ble, must be filed with the Commission.


58

47 CFR Ch. I (10–1–01 Edition)§ 21.305

These requirements likewise shallapply to licensees which alternate be-tween rendering service on a commoncarrier and non-common carrier basis.

[63 FR 65102, Nov. 25, 1998; 64 FR 4054, Jan. 27,1999]

§ 21.305 Reports required concerningamendments to charters and part-nership agreements.

Any amendments to charters, arti-cles of incorporation or association, orpartnership agreements shall promptlybe filed at the Commission’s main of-fice in Washington, DC. Such filingshall be directed to the attention of theChief, Common Carrier Bureau.

§ 21.306 Requirement that licensees re-spond to official communications.

All licensees in these services are re-quired to respond to official commu-nications from the Commission withreasonable dispatch and according tothe tenor of such communications.Failure to do so will be given appro-priate consideration in connection withany subsequent applications which theoffending party may file and may re-sult in the designation of such applica-tions for hearing, or in appropriatecases, the institution of proceedingslooking to the modification or revoca-tion of the pertinent authorizations.


§ 21.307 Equal employment opportuni-ties.

(a) General policy. Equal opportuni-ties in employment must be affordedby all common carrier and MultipointDistribution Service non-common car-rier licensees or conditional licenseesto all qualified persons, and no per-sonnel shall be discriminated againstin employment because of sex, race,color, religion, or national origin.

(b) Equal employment opportunity pro-gram. Each licensee or conditional li-censee must establish, maintain, andcarry out, a positive continuing pro-gram of specific practices designed toassure equal opportunity in every as-pect of employment policy and prac-tice. Under the terms of its program, alicensee or conditional licensee must:

(1) Define the responsibility of eachlevel of management to insure a posi-

tive application and vigorous enforce-ment of the policy of equal oppor-tunity, and establish a procedure to re-view and control managerial and super-visory performance.

(2) Inform its employees and recog-nized employee organizations of thepositive equal employment oppor-tunity policy and program and enlisttheir cooperation.

(3) Communicate its equal employ-ment opportunity policy and programand its employment needs to sources ofqualified applicants without regard tosex, race, color, religion, or nationalorigin, and solicit their recruitment as-sistance on a continuing basis.

(4) Conduct a continuing campaign toexclude every form of prejudice or dis-crimination based upon sex, race,color, religion, or national origin, fromthe licensee’s or conditional licensee’spersonnel policies and practices andworking conditions.

(5) Conduct a continuing review ofjob structure and employment prac-tices and adopt positive recruitment,training, job design and other measuresneeded in order to insure genuineequality of opportunity to participatefully in all organizational units, occu-pations and levels of responsibility.

(c) Additional information to be fur-nished to the Commission. (1) Equal Em-ployment Programs to be filed by com-mon carrier and Multipoint Distribu-tion Service non-common carrier li-censees and conditional licensees:

(i) All licensees or conditional licens-ees must file a statement of their equalemployment opportunity program notlater than December 17, 1970, indicatingspecific practices to be followed inorder to assure equal employment op-portunity on the basis of sex, race,color, religion, or national origin insuch aspects of employment practicesas regards recruitment, selection,training, placement, promotion, pay,working conditions, demotion, layoffand termination.

(A) Any changes or amendments toexisting programs should be filed withthe Commission on April 1 of each yearthereafter.

(B) If a licensee or conditional li-censee has fewer than 16 full-time em-ployees, no such statement need befiled.


59


(2) The program should reasonablyaddress itself to such specific areas asset forth below, to the extent that theyare appropriate in terms of licenseesize, location, etc.

(i) To assure nondiscrimination in re-cruiting. (A) Posting notices in the li-censee’s or conditional licensee’s of-fices informing applicants for employ-ment of their equal employment rightsand their right to notify the Equal Em-ployment Opportunity Commission,the Federal Communications Commis-sion, or other appropriate agency.Where a substantial number of appli-cants are Spanish-surnamed Americanssuch notice should be posted in Spanishand English.

(B) Placing a notice in bold type onthe employment application informingprospective employees that discrimina-tion because of sex, race, color, reli-gion, or national origin is prohibitedand that they may notify the EqualEmployment Opportunity Commission,the Federal Communications Commis-sion or other appropriate agency ifthey believe they have been discrimi-nated against.

(C) Placing employment advertise-ments in media which have significantcirculation among minority-group peo-ple in the recruiting area.

(D) Recruiting through schools andcolleges with significant minoritygroup enrollments.

(E) Maintaining systematic contactswith minority and human relations or-ganizations, leaders, and spoksmen toencourage referral of qualified minor-ity or female applicants.

(F) Encouraging present employeesto refer minority or female applicants.

(G) Making known to the appropriaterecruitment sources in the employer’simmediate area that qualified minoritymembers are being sought for consider-ation whenever the licensee or condi-tional licensee hires.

(ii) To assure nondiscrimination in se-lection and hiring. (A) Instructing per-sonally those on the staff of the li-censee or conditional licensee whomake hiring decisions that all appli-cants for all jobs are to be consideredwithout discrimination.

(B) Where union agreements exist,cooperating with the union or unionsin the development of programs to as-

sure qualified minority persons or fe-males of equal opportunity for employ-ment, and including an effective non-discrimination clause in new or renego-tiated union agreements.

(C) Avoiding use of selection tech-niques or tests which have the effect ofdiscriminating against minority groupsor females.

(iii) To assure nondiscriminatory place-ment and promotions. (A) Instructingpersonally those of the licensee’s orconditional licensee’s staff who makedecisions on placement and promotionthat minority employees and femalesare to be considered without discrimi-nation, and that job areas in whichthere is little or no minority or femalerepresentation should be reviewed todetermine whether this results fromdiscrimination.

(B) Giving minority groups and fe-male employees equal opportunity forpositions which lead to higher posi-tions. Inquiring as to the interest andskills of all lower-paid employees withrespect to any of the higher-paid posi-tions, followed by assistance, coun-seling, and effective measures to en-able employees with interest and po-tential to qualify themselves for suchpositions.

(C) Reviewing seniority practices toinsure that such practices are non-discriminatory and do not have a dis-criminatory effect.

(D) Avoiding use of selection tech-niques or tests, which have the effectof discriminating against minoritygroups or females.

(iv) To assure nondiscrimination inother areas of employment practices. (A)Examining rates of pay and fringe ben-efits for present employees with equiv-alent duties, and adjusting any inequi-ties found.

(B) Providing opportunity to performovertime work on a basis that does notdiscriminate against qualified minor-ity groups or female employees.

(d) Report of complaints filed against li-censees and conditional licensees. (1) Alllicensees or conditional licensees mustsubmit an annual report to the FCC nolater than May 31 of each year indi-cating whether any complaints regard-ing violations by the licensee or condi-tional licensee or equal employment


60

47 CFR Ch. I (10–1–01 Edition)§ 21.307

provisions of Federal, State, Terri-torial, or local law have been filed be-fore anybody having competent juris-diction.

(i) The report should state the par-ties involved, the date filing, thecourts or agencies before which thematters have been heard, the appro-priate file number (if any), and the re-spective disposition or current statusof any such complaints.

(ii) Any licensee or conditional li-censee who has filed such informationwith the EEOC need not do so with theCommission, if such previous filing isindicated.

(e) Complaints of violations of equal em-ployment programs. (1) Complaints al-leging employment discriminationagainst a common carrier orMultipoint Distribution Service non-common carrier licensee or conditionallicensee will be considered by the Com-mission in the following manner:

(i) If a complaint raising an issue ofdiscrimination is received against a li-censee or conditional licensee who iswithin the jurisdiction of the EEOC, itwill be submitted to that agency. TheCommission will maintain a liaisonwith that agency which will keep theCommission informed of the disposi-tion of complaints filed against any ofthe common carrier or Multipoint Dis-tribution Service non-common carrierlicensees or conditional licensees.

(ii) Complaints alleging employmentdiscrimination against a common car-rier or Multipoint Distribution Servicenon-common carrier licensee or condi-tional licensee who does not fall underthe jurisdiction of the EEOC but is cov-ered by appropriate enforceable Statelaw, to which penalties apply, may besubmitted by the Commission to therespective state agency.

(iii) Complaints alleging employmentdiscrimination against a common car-rier or Multipoint Distribution Servicenon-common carrier licensee or condi-tional licensee who does not fall underthe jurisdiction of the EEOC or an ap-propriate State law, will be accordedappropriate treatment by the FCC.

(iv) The Commission will consultwith the EEOC on all matters relatingto the evaluation and determination ofcompliance with the common carrierand Multipoint Distribution Service

non-common carrier licensees or condi-tional licensees with the principles ofequal employment as set forth herein.

(2) Complaints indicating a generalpattern of disregard of equal employ-ment practices which are receivedagainst a licensee or conditional li-censee who is required to file an em-ployment report to the Commissionunder § 1.815(a) of this chapter, will beinvestigated by the Commission.

(f) Records available to the public—(1)Commission records. A copy of every an-nual employment report, equal em-ployment opportunity programs, andreports on complaints regarding viola-tions of equal employment provisionsof Federal, State, territorial, or locallaw, and copies of all exhibits, letters,and other documents filed as partthereof, all amendments thereto, allcorrespondence between the condi-tional licensee or licensee and theCommission pertaining to the reportsafter they have been filed and all docu-ments incorporated therein by ref-erence, are open for public inspectionat the offices of the Commission.

(2) Records to be maintained locally forpublic inspection by licensees or condi-tional licensees—(i) Records to be main-tained. Each common carrier orMultipoint Distribution Service non-common carrier licensee or conditionallicensee required to file annual em-ployment reports, equal employmentopportunity programs, and annual re-ports on complaints regarding viola-tions of equal employment provisionsof Federal, State, territorial, or locallaw must maintain, for public inspec-tion, in the same manner and in thesame locations as required for thekeeping and posting of tariffs as setforth in § 61.72 of this chapter, a filecontaining a copy of each such reportand copies of all exhibits, letters, andother documents filed as part thereto,all correspondence between the condi-tional licensee or licensee and theCommission pertaining to the reportsafter they have been filed and all docu-ments incorporated therein by ref-erence.

(ii) Period of retention. The documentsspecified in paragraph (f)(2)(i) of thissection shall be maintained for a pe-riod of 2 years.


61


(g) Cross reference. Applicability ofcable television EEO requirements toMDS and MMDS facilities, see § 21.920.

[44 FR 60534, Oct. 19, 1979, as amended at 56FR 57816, Nov. 14, 1991; 58 FR 42249, Aug. 9,1993]

Subpart F—DevelopmentalAuthorizations

§ 21.400 Eligibility.

Developmental authorizations forstations in the radio services includedin this part will be issued only to exist-ing and proposed communication com-mon carriers who are legally, finan-cially and otherwise qualified to con-duct experimentation utilizing hertz-ian waves for the development of engi-neering or operational data, or tech-niques, directly related to a proposedpart 21 radio service or to a regularlyestablished radio service regulated bythe rules of this part.

§ 21.401 Scope of service.

Developmental authorizations maybe issued for:

(a) Field strength surveys relative toor precedent to the filing of applica-tions for licenses, in connection withthe selection of suitable locations forstations proposed to be established inany of the regularly established radioservices regulated by the rules of thispart; or

(b) The testing of existing or author-ized antennas, wave guides, or trans-mission paths.


§ 21.402 Adherence to program of re-search and development.

The program of research and develop-ment, as stated by an applicant in theapplication for license or stated in theinstrument of station authorization,shall be substantially adhered to unlessthe licensee is otherwise authorized bythe Commission.


§ 21.403 Special procedure for the de-velopment of a new service or forthe use of frequencies not in ac-cordance with the provisions of therules in this part.

(a) An authorization for the develop-ment of a new common carrier servicenot in accordance with the provisionsof the rules in this part may be grantedfor a limited time, but only after theCommission has made a preliminarydetermination with respect to the fac-tors set forth in this paragraph, aseach case may require. This procedurealso applies to any application that in-volves use of a frequency which is notin accordance with the provisions ofthe rules in this part, although in ac-cordance with the Table of FrequencyAllocations contained in part 2 of thischapter. (An application which in-volves use of a frequency which is notin accordance with the Table of Fre-quency Allocations in part 2 of thischapter should be filed in accordancewith the provisions of part 5 of thischapter, Experimental Radio Services(other than Broadcast).) The factorswith respect to which the Commissionwill make a preliminary determinationbefore acting on an application filedunder this paragraph are as follows:

(1) That the public interest, conven-ience or necessity warrants consider-ation of the establishment of the pro-posed service or the use of the proposedfrequency;

(2) That the proposed operation ap-pears to warrant consideration to ef-fect a change in the provisions of therules in this part; and/or

(3) That some operational datashould be developed for considerationin any rule making proceeding whichmay be initiated.

(b) Applications for stations whichare intended to be used in the develop-ment of a proposed service shall be ac-companied by a petition to amend theCommission’s rules with respect to fre-quencies and such other items as maybe necessary to provide for the regularestablishment of the proposed service.



62

47 CFR Ch. I (10–1–01 Edition)§ 21.404

§ 21.404 Terms of grant; general limita-tions.

(a) Developmental authorizationsnormally shall be issued for one year,or such shorter term as the Commis-sion may deem appropriate in any par-ticular case, and shall be subject tocancellation without hearing by theCommission at any time upon notice tothe licensee.

(b) Where some phases of the develop-mental program are not covered by thegeneral rules of the Commission or bythe rules of this part, the Commissionmay specify supplemental or additionalrequirements or conditions in eachcase as it may deem necessary in thepublic interest, convenience or neces-sity.

(c) Frequencies allocated to the serv-ice toward which such development isdirected will be assigned for develop-mental operation on the basis that nointerference will be caused to the reg-ular services of stations operating inaccordance with the Commission’sTable of Frequency Allocations (§ 2.106of this chapter).

(d) The rendition of communicationservice for hire is not permitted underany developmental authorizations un-less specifically authorized by theCommission.

(e) The grant of a developmental au-thorization carries with it no assur-ance that the developmental program,if successful, will be authorized on apermanent basis either as to the serv-ice involved or the use of the fre-quencies assigned or any other fre-quencies.

§ 21.405 Supplementary showing re-quired.

(a) Authorizations for development ofa proposed radio service in the servicesincluded in this part will be issued onlyupon a showing that the applicant hasa definite program of research and de-velopment, the details of which shallbe set forth, which has reasonablepromise of substantial contribution tothese services within the term of suchauthorization. A specific showingshould be made as to the factors whichqualify the applicant technically toconduct the research and developmentprogram, including a description of thenature and extent of engineering facili-

ties that the applicant has availablefor such purposes.

(b) Expiring developmental author-izations may be renewed only upon theapplicant’s compliance with the appli-cable requirements of § 21.406 (a) and (b)relative to the authorization sought tobe renewed and upon a factual showingthat further progress in the program ofresearch and development requires fur-ther radio transmission and that thepublic interest, convenience or neces-sity would be served by renewal of suchauthorization.


§ 21.406 Developmental report re-quired.

(a) Upon completion of the programof research and development, or, in anyevent, upon the expiration of the in-strument of station authorizationunder which such investigations werepermitted, or at such times during theterm of the station authorization asthe Commission may deem necessaryto evaluate the progress of the develop-mental program, the licensee shall sub-mit, in duplicate, a comprehensive re-port on the following items, in theorder designated:

(1) Report on the various phases ofthe project which were investigated.

(2) Total number of hours of oper-ation on each frequency assigned.

(3) Copies of any publication on theproject.

(4) A listing of any patents appliedfor, including copies of any patentsissued as a consequence of the activi-ties carried forth under the authoriza-tion.

(5) Detailed analysis of the result ob-tained.

(6) Any other pertinent information.(b) In addition to the information re-

quired by paragraph (a) of this section,the developmental report of a stationauthorized for the development of aproposed radio service shall includecomprehensive information on the fol-lowing items:

(1) Probable public support and meth-ods of its determination.

(2) Practicability of service oper-ations.

(3) Interference encountered.


63


(4) Pertinent information relative tomerits of the proposed service.

(5) Propagation characteristics of fre-quencies used, particularly with re-spect to the service objective.

(6) Frequencies believed to be moresuitable and reasons therefor.

(7) Type of signals or communica-tions employed in the experimentalwork.

(c) Normally, developmental reportswill be made a part of the Commis-sion’s public records. However, an ap-plicant may request that the Commis-sion withhold from the public certainreports and associated material rel-ative to the accomplishments achievedunder developmental authorization,and, if it appears that such informationshould be withheld, the Commissionwill so direct.

Subparts G—J [Reserved]

Subpart K—Multipoint DistributionService

§ 21.900 Eligibility.(a) Authorizations for stations in this

service will be granted to existing andproposed communications common car-riers and non-common carriers. An ap-plication will be granted only in caseswhere it can be shown that:

(1) The applicant is legally, finan-cially, technically, and otherwisequalified to render the proposed serv-ice; and

(2) There are frequencies available toenable the applicant to render a satis-factory service; and

(3) The public interest, convenienceand necessity would be served by agrant thereof.

(b) The applicant shall state whetherservice will be provided initially on acommon carrier basis or on a non-com-mon carrier basis. An applicant pro-posing to provide initially commoncarrier service shall state whetherthere is any affiliation or relationshipto any intended or likely subscriber orprogram originator.

[63 FR 65102, Nov. 25, 1998; 64 FR 4054, Jan. 27,1999, as amended at 64 FR 63731, Nov. 22, 1999]

EFFECTIVE DATE NOTE: At 63 FR 65103, Nov.25, 1998, § 21.900 was revised. Paragraph (a)(2)contains information and recordkeeping re-

quirements and will not become effectiveuntil approval has been given by the Office ofManagement and Budget.

§ 21.901 Frequencies.(a) Frequencies in the bands 2150–2162

MHz, 2596–2644 MHz, 2650–2656 MHz,2662–2668 MHz, 2674–2680 MHz and 2686–2690 MHz are available for assignmentto fixed stations in this service. Fre-quencies in the band 2150–2160 MHz areshared with nonbroadcastomnidirectional radio systems licensedunder other parts of the Commission’sRules, and frequencies in the band 2160–2162 MHz are shared with directionalradio systems authorized in other com-mon carrier services. Frequencies inthe 2596–2644 MHz band are shared withInstructional Television Fixed Servicestations licensed under part 74 of theCommission’s Rules. Channels I5, I13,I6 and I14, listed in § 74.939(j) of thischapter, are assigned to fixed stationsin the 2596–2620 band, and are sharedwith Instructional Television FixedService Stations licensed under part 74of the Commission’s Rules to operatein this band; grandfathered channelsI21, I29, I22 and I30, listed in § 74.939(j) ofthis chapter, are licensed under part 21or part 74 of the Commission’s Rules,as applicable.

(b) Applicants may be assigned achannel(s) according to one of the fol-lowing frequency plans:

(1) At 2150–2156 MHz (designated asChannel 1), or

(2) At 2156–2162 MHz (designated asChannel 2), or

(3) At 2156–2160 MHz (designated asChannel 2A), or

(4) At 2596–2602 MHz, 2608–2614 MHz,2620–2626 MHz, and 2632–2638 MHz (des-ignated as Channels E1, E2, E3 and E4,respectively, with the four channels tobe designated the E-group channels),and Channels I5 and I13 listed in§ 74.939(j) of this chapter,1 or

(5) At 2602–2608 MHz, 2614–2620 MHz,2626–2632 MHz and 2638–2644 MHz (des-ignated as Channels F1, F2, F3 and F4,respectively, with the four channels tobe designated the F-group channels),and Channels I6 and I14, listed in§ 74.939(j) of this chapter,1 or

(6) At 2650–2656 MHz, 2662–2668 MHzand 2674–2680 MHz (designated as Chan-nels H1, H2 and H3, respectively, with


64

47 CFR Ch. I (10–1–01 Edition)§ 21.901

1 No 125 kHz channels are provided forChannels E3, E4, F3, F4, H1, H2 and H3, ex-cept for those grandfathered for Channels E3,E4, F3 and F4. The 125 kHz channels associ-ated with Channels E3, E4, F3, F4, H1, H2 andH3 are allocated to the Private OperationalFixed Point-to-Point Microwave Service,pursuant to § 101.147(g) of this chapter.

the three channels to be designated theH-group channels).1

(c) Channel 2 will be assigned onlywhere there is evidence that no harm-ful interference will occur to any au-thorized point-to-point facility in the2160–2162 MHz band. Channel 2 may beassigned only if the transmitting an-tenna of the station is to be locatedwithin 16.1 kilometers (10 miles) of thecoordinates of the following metropoli-tan areas:

Principal City Coordinates

Akron, Ohio .............. Lat. 41°05′06″ N., long. 81°31′06″ W.Albany-Schenectady-

Troy, N.Y.Lat. 42°39′00″ N., long. 73°45′24″ W.

Anaheim-Santa Ana-Garden Grove,Calif.

Lat. 33°46′30″ N., long. 117°54′48″W.

Atlanta, Ga ............... Lat. 33°45′00″ N., long. 84°23′12″ W.Baltimore, Md ........... Lat. 39°17′18″ N., long. 76°37′00″ W.Birmingham, Ala ....... Lat. 33°30′42″ N., long. 86°48′24″ W.Boston, Mass ........... Lat. 42°21′42″ N., long. 71°03′30″ W.Buffalo, N.Y .............. Lat. 42°53′12″ N., long. 78°52′30″ W.Chicago, Ill ............... Lat. 41°53′00″ N., long. 87°37′30″ W.Cincinnati, Ohio ........ Lat. 39°06′00″ N., long. 84°30′48″ W.Cleveland, Ohio ....... Lat. 41°29′48″ N., long. 81°42′00″ W.Columbus, Ohio ....... Lat. 39°57′42″ N., long. 83°00′06″ W.Dallas, Tex ............... Lat. 32°46′36″ N., long. 96°48′42″ W.Dayton, Ohio ............ Lat. 39°45′24″ N., long. 84°11′42″ W.Denver, Colo ............ Lat. 39°44′24″ N., long. 104°59′18″

W.Detroit, Mich ............. Lat. 42°20′00″ N., long. 83°03′00″ W.Fort Worth, Tex ........ Lat. 32°45′00″ N., long. 97°17′42″ W.Gary, Ind .................. Lat. 41°36′00″ N., long. 87°20′00″ W.Hartford, Conn ......... Lat. 41°46′00″ N., long. 72°40′30″ W.Houston, Tex ............ Lat. 29°45′48″ N., long. 95°21′42″ W.Indianapolis, Ind ....... Lat. 39°46′12″ N., long. 86°09′18″ W.Kansas City, Mo ....... Lat. 39°06′00″ N., long. 94°34′42″ W.Los Angeles-Long

Beach, Calif.Lat. 34°03′18″ N., long. 118°15′00″

W.Louisville, Ky ............ Lat. 38°14′48″ N., long. 85°45′42″ W.Memphis, Tenn ........ Lat. 35°07′30″ N., long. 90°03′24″ W.Miami, Fla ................ Lat. 25°46′30″ N., long. 80°11′24″ W.Milwaukee, Wis ........ Lat. 43°02′18″ N., long. 87°54′48″ W.Minneapolis-St. Paul,

Minn.Lat. 44°59′00″ N., long. 93°15′48″ W.

New Orleans, La ...... Lat. 29°57′48″ N., long. 90°03′48″ W.New York City, N.Y.-

Newark-JerseyCity-Paterson, N.J.

Lat. 40°42′30″ N., long. 74°00′00″ W.

Norfolk, Va ............... Lat. 36°50′42″ N., long. 76°17′12″ W.Oklahoma City, Okla Lat. 35°29′30″ N., long. 97°30′12″ W.Philadelphia, Pa ....... Lat. 39°57′00″ N., long. 75°09′48″ W.Phoenix, Ariz ............ Lat. 33°27′18″ N., long. 112°04′24″

W.Pittsburgh, Pa .......... Lat. 40°26′12″ N., long. 80°00′30″ W.Portland, Oreg .......... Lat. 45°32′06″ N., long. 122°37′12″

W.Providence, R.I ........ Lat. 41°49′00″ N., long. 71°24′24″ W.

Principal City Coordinates

Rochester, N.Y ......... Lat. 43°09′30″ N., long. 77°36′30″ W.Sacramento, Calif .... Lat. 38°35′06″ N., long. 121°29′24″

W.San Antonio, Tex ..... Lat. 29°25′24″ N., long. 98°29′43″ W.San Bernardino-Riv-

erside, Calif.Lat. 34°06′30″ N., long. 117°18′36″

W.San Diego, Calif ....... Lat. 32°42′48″ N., long. 117°09′12″

W.San Francisco-Oak-

land, Calif.Lat. 37°46′30″ N., long. 122°25′00″

W.San Jose-Palo Alto-

Sunnyvale, Calif.Lat. 37°22′36″ N., long. 122°02′00″

W.Seattle-Everett,

Wash.Lat. 47°35′48″ N., long. 122°19′48″

W.St. Louis, Mo ............ Lat. 38°37′00″ N., long. 90°11′36″ W.Syracuse, N.Y .......... Lat. 43°03′06″ N., long. 76°09′00″ W.Tampa-St. Peters-

burg, Fla.Lat. 27°57′06″ N., long. 82°27′00″ W.

Toledo, Ohio ............ Lat. 41°38′48″ N., long. 83°32′30″ W.Washington, D.C ...... Lat. 38°53′30″ N., long. 77°02′00″ W.

(d) An MDS licensee or conditionallicensee may apply to exchange evenlyone or more of its assigned channelswith another MDS licensee or condi-tional licensee in the same system, orwith an ITFS licensee or conditional li-censee in the same system. The licens-ees or conditional licensees seeking toexchange channels shall file in tandemwith the Commission separate proforma assignment of license applica-tions, each attaching an exhibit whichclearly specifies that the application isfiled pursuant to a channel exchangeagreement. The exchanged channel(s)shall be regulated according to the re-quirements applicable to the assignee.

(e) Frequencies in the band segments18,580–18,820 MHz and 18,920–19,160 MHzthat were licensed or had applicationspending before the Commission as ofSeptember 18, 1998 may continue thoseoperations for point-to-point returnlinks from a subscriber’s location on ashared co-primary basis with otherservices under parts 25, 74, 78 and 101 ofthis chapter until June 8, 2010. Prior toJune 8, 2010, such stations are subjectto relocation by licensees in the fixed-satellite service. Such relocation issubject to the provisions of §§ 101.85through 101.97 of this chapter. AfterJune 8, 2010, such operations are notentitled to protection from fixed-sat-ellite service operations and must notcause unacceptable interference tofixed-satellite service station oper-ations. No new licenses will be grantedin these bands after June 8, 2000.

(f) MDS H-channel applications. Fre-quencies in the bands 2650–2656 MHz,


65


2662–2668 MHz, or 2674–2680 MHz must beassigned only in accordance with thefollowing conditions: All applicationsfor MDS H-channel stations mustspecify either the H1, H2, or H3 channelfor which an application is filed; how-ever, the Commission may on its owninitiative assign different channels inthese frequency bands if it is deter-mined that such action would serve thepublic interest.

(g) Frequencies in the bands 2150–2162MHz, 2596–2644 MHz, 2650–2656 MHz,2662–2668 MHz and 2674–2680 MHz areavailable for point-to-multipoint useand/or for communications betweenMDS response stations and responsestation hubs when authorized in ac-cordance with the provisions of § 21.909,provided that such frequencies may beemployed for MDS response stationsonly when transmitting using digitalmodulation.

[44 FR 60534, Oct. 19, 1979, as amended at 48FR 33900, July 26, 1983; 49 FR 25479, June 21,1984; 49 FR 37777, Sept. 26, 1984; 55 FR 46009,Oct. 31, 1990; 56 FR 57598, Nov. 13, 1991; 56 FR57817, Nov. 14, 1991; 58 FR 11798, Mar. 1, 1993;58 FR 44895, Aug. 25, 1993; 60 FR 36552, July 17,1995; 61 FR 26676, May 28, 1996; 63 FR 65102,Nov. 25, 1998; 64 FR 4054, Jan. 27, 1999; 64 FR63731, Nov. 22, 1999; 65 FR 54169, Sept. 7, 2000]

§ 21.902 Interference.(a) All applicants, conditional licens-

ees, and licensees shall make excep-tional efforts to avoid harmful inter-ference to other users and to avoidblocking potential adjacent channeluse in the same city and cochannel usein nearby cities. In areas where majorcities are in close proximity, carefulconsideration should be given to min-imum power requirements and to thelocation, height, and radiation patternof the transmitting antenna. Licensees,conditional licensees, and applicantsare expected to cooperate fully in at-tempting to resolve problems of poten-tial interference before bringing thematter to the attention of the Commis-sion.

(b) As a condition for use of fre-quency in this service, each applicant,conditional licensee, and licensee is re-quired to:

(1) Not enter into any lease or con-tract or otherwise take any action thatwould unreasonably prohibit locationof another station’s transmitting an-

tenna at any given site inside its ownprotected service area.

(2) Cooperate fully and in good faithto resolve interference and trans-mission security problems.

(3) Engineer the system to provide atleast 45 dB of cochannel interferenceprotection within the 56.33 km (35 mile)protected service area of any author-ized or previously-proposed ITFS or in-cumbent MDS station, and at each pre-viously-registered ITFS receive siteregistered as of September 17, 1998 (orthe appropriate value for bandwidthsother than 6 MHz.)

(4) Engineer the station to provide atleast 0 dB of adjacent channel inter-ference protection within the 56.33 km(35 mile) protected service area of anyauthorized or previously-proposedITFS or incumbent MDS station, andat each previously-registered ITFS re-ceive site registered as of September17, 1998 (or the appropriate value forbandwidths other than 6 MHz.)

(5)(i) Engineer the station to limitthe calculated free space power fluxdensity to ¥73 dBW/m 2 (or the appro-priate value for bandwidth other than 6MHz) at the boundary of a 56.33 km (35mile) protected service area, wherethere is an unobstructed signal pathfrom the transmitting antenna to theboundary; or alternatively, obtain thewritten consent of the entity author-ized for the adjoining area to exceedthe ¥73 dBW/m 2 limiting signalstrength at the common boundary.

(ii) In determining signal path condi-tions, the following shall be used: a 9.1meter (30 feet) receiving antennaheight, the transmitting antennaheight, terrain elevations and 4/3 earthradius propagation conditions.

(6) If a proposed station is within 80km (50 miles) of the Canadian or Mexi-can border, the station must be de-signed to meet the requirements setforth in international treaties.

(7) Notwithstanding the above, main,booster and response stations shall usethe following formulas, as applicable,for determining compliance with: (1)Radiated field contour limits wherebandwidths other than 6 MHz are em-ployed at stations utilizing digitalemissions; and (2) Cochannel and adja-cent channel D/U ratios where thebandwidths in use at the interfering


66

47 CFR Ch. I (10–1–01 Edition)§ 21.902

and protected stations are unequal andboth stations are utilizing digital mod-ulation or one station is utilizing dig-ital modulation and the other stationis utilizing either 6 MHz NTSC analogmodulation or 125 kHz analog modula-tion (I channels only).

(i) Contour limit: ¥73 dBW/m2 + 10log(X/6) dBW/m2, where X is the band-width in MHz of the digital channel.

(ii) Co-channel D/U: 45 dB + 10 log(X1/X2) dB, where X1 is the bandwidth inMHz of the protected channel and X2 isthe bandwidth in MHz of the inter-fering channel.

(iii) Adjacent channel D/U: 0 dB + 10log(X1/X2), dB where X1 is the band-width in MHz of the protected channeland X2 is the bandwidth in MHz of theinterfering channel.

(c) The following interference studiesmust be prepared:

(1) An analysis of the potential forharmful interference within the 56.33km (35 mile) protected service areas ofany authorized or previously proposedincumbent station:

(i) If the coordinates of the appli-cant’s proposed transmitter are within160.94 km (100 miles) of the center co-ordinates of any authorized or pre-viously proposed incumbent stationwith protected service area of 56.33 km(35 miles) as specified in § 21.902(d); or

(ii) If the great circle path betweenthe applicant’s proposed transmitterand the protected service area of anyauthorized, or previously-proposed, co-channel or adjacent-channel station(s)is within 241.4 kilometers or less and 90percent or more of the path is overwater or within 16.1 kilometers of thecoast or shoreline of the AtlanticOcean, the Pacific Ocean, the Gulf ofMexico, any of the Great Lakes, or anybay associated with any of the above(see §§ 21.901(a) and 74.902 of this chap-ter);

(2) Applicants may design inter-ference studies in any manner thatdemonstrates the avoidance of harmfulinterference, as defined in this subpart.

(i) In lieu of interference studies, ap-plicants may submit in accordancewith § 21.938 a written statement of noobjection to the operation of the MDSstation.

(ii) The Commission may direct ap-plicants to submit interference studiesof a specific nature.

(3) Except for new stations proposedin applications filed after September15, 1995, in the case of a proposal to op-erate a non-colocated station withinthe protected service area of an author-ized, or previously proposed, adjacentchannel station, an analysis that iden-tifies the areas within the protectedservice areas of both the authorized orpreviously proposed adjacent channelstation and the proposed station thatcannot be protected as specified in§ 21.902(b)(4) and an explanation of whythe proposed station cannot be co-located with the existing or previouslyproposed station.

(4) In the case of a proposal for use ofchannel 2, an analysis of the potentialfor harmful interference with any au-thorized point-to-point station locatedwithin 80.5 kilometers (50 miles) whichutilizes the 2160–2162 MHz band; and

(d)(1) Subject to the limitations con-tained in paragraph (e) of this section,each MDS station licensee shall be pro-tected from harmful electrical inter-ference, as determined by the theo-retical calculations, within a protectedservice area of which the boundary willbe 56.3255 kilometers (35 miles) fromthe transmitter site.

(2) As of September 15, 1995, the loca-tion of these protected service areaboundaries shall become fixed. Thecenter of the circular area shall be thegeographic latitude and longitude ofthe transmitting antenna site specifiedin station authorizations or previouslyproposed applications filed at the Com-mission before September 15, 1995. Sub-sequent transmitter site changes willnot change the location of the 56.3255kilometers (35 mile) protected servicearea boundaries.

(e) No MDS licensee will be protectedfrom harmful interference caused by:

(1) Any station with an earlier filingdate.

(2) Any station that was authorizedbefore July 1984.

(3) Any multichannel MDS stationwhose application was pending on Sep-tember 9, 1983.


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(f) In addressing potential harmfulinterference in this service, the fol-lowing definitions, procedures andother criteria shall apply:

(1) Cochannel interference is definedas the ratio of the desired signal to theundesired signal present in the desiredchannel, at the output of a referencereceiving antenna oriented to receivethe maximum desired signal. Harmfulinterference will be considered presentwhen a calculation using a terrain sen-sitive signal propagation model deter-mines that this ratio is less than 45 dB(or the appropriate value forbandwidths other than 6 MHz.)

(2) Adjacent channel interference isdefined as the ratio of the desired sig-nal to undesired signal present in anadjacent channel, at the output of areference receiving antenna oriented toreceive the maximum desired signallevel.

(i) Harmful interference will be con-sidered present when a calculationusing a terrain sensitive model deter-mines that this ratio is less than 0dB(or the appropriate value forbandwidths other than 6 MHz.)

(ii) In the alternative, harmful inter-ference will be considered present foran ITFS station constructed beforeMay 26, 1983, when a calculation usinga terrain-sensitive propagation model

determines that this ratio is less than10 dB (or the appropriate value forbandwidths other than 6 MHz.) unless:

(A) The individual receive site underconsideration has been subsequentlyupgraded with up-to-date receptionequipment, in which case the ratioshall be less than 0 dB. Absent informa-tion presented to the contrary, how-ever, the Commission will assume thatreception equipment installation oc-curred simultaneously with originalstation equipment; or

(B) The license for an MDS station isconditioned on the proffer to the af-fected ITFS station licensee of equip-ment capable of providing a ratio of 0dB or more at no expense to the ITFSstation licensee, and also conditioned,if necessary, on the proffer of installa-tion of such equipment; and there hasbeen no showing by the affected ITFSstation licensee demonstrating goodcause and that the proposed equipmentwill not provide a ratio of 0 dB or more,or that installation of such equipment,at no expense to the ITFS station li-censee, is not possible or has not beenproffered.

(3) For purposes of this section all in-terference calculations involving re-ceive antenna performance shall usethe reference antenna characteristicsshown in figure 1.


68

47 CFR Ch. I (10–1–01 Edition)§ 21.902

(4) For purposes of this section, thereceived signal power level (RSL)dBW atthe output of the FCC reference receiv-ing antenna is obtained from the fol-

lowing formulas (or an equivalent ad-aptation):

(RSL)dBW=(EIRP)dBW¥(LFS)dB+(GAR)dB

where the free space loss (LFS) is


69


(LFS)dB=20 log (4d/)dB

in which the parameters are defined as fol-lows:(RSL)dBW is the received power in decibels

referenced to one watt.(EIRP)dBW is the equivalent isotropically ra-

diated power in decibels above one watt.d is the distance of the signal path in meters.λ is the wavelength of the signal in meters.GAR is the dB gain of the reference receiving

antenna above an isotropic antenna (ob-tained from Figure 1 of this section.)

(5) A determination of signal pathconditions shall use a 9.1 meters (30feet) receiving antenna height, thetransmitting antenna height, terrainelevation, and assume 4/3 earth radiuspropagation conditions.

(6) An application will not be accept-ed for filing if cochannel or adjacentchannel interference is predicted at theboundary of the 56.33 km (35 mile) pro-tected service area of an authorized orpreviously proposed incumbent stationbased on the following criteria:

(i) Interference calculations shall bemade only for directions where there isan unobstructed signal path from thesite of a proposed station to the bound-ary of any protected area.

(ii) Calculations of received powerlevels in units of dBW from the pro-posed station will be made at one de-gree intervals around the protectedservice area.

(iii) The assumed value of the desiredsignal level at the boundary of an in-cumbent station shall be ¥83 dBW,which is the calculated received powerin free space at a distance of 56.33 km(35 miles), given at EIRP of 2000 wattsand a receiver antenna gain of 20 dBi.

(iv) Harmful interference will be con-sidered to occur at locations along theboundary wherever the ratio betweenthe desired signal level of ¥83 dBw andthe received power from a proposed co-channel or adjacent channel station isless than 45 dB or 0 dB for cochannel oradjacent channel proposals, respec-tively.

(7) Alternatively, MDS applicationswill be accepted on the basis of an exe-cuted written interference agreementbetween potentially affected partiesfiled in accordance with § 21.938.

(g)(1) All interference studies pre-pared pursuant to paragraph (c) of thissection must be served on all licensees,conditional licensees, and applicants

for the stations required to be studiedby this section. This service must in-clude a copy of the FCC applicationand occur on or before the date the ap-plication is filed with the Commission.

(2) MDS licensees, conditional licens-ees and applicants of facilities with56.33 km (35 mile) protected serviceareas shall notify in writing the hold-ers of authorizations for adjoiningBTAs or PSAs of application filings formodified station licenses, provided theproposed facility would produce an un-obstructed signal path to any locationwithin the adjoining BTA or PSA. Thisservice must include a copy of the FCCapplication and occur on or before thedate the application is filed with theCommission.

(h) For purposes of § 21.31(a), an MDSapplication, except for those applica-tions filed on or after September 15,1995, filed for a facility that wouldcause harmful electrical interferencewithin the protected service area ofany authorized or previously proposedstation will be presumed to be mutu-ally exclusive with the application forsuch authorized or previously proposedstation.

(i)(1) For each application for a newstation, or amendment thereto, pro-posing MDS facilities, filed on October1, 1995, or thereafter, on or before theday the application or amendment isfiled, the applicant must prepare ananalysis demonstrating that operationof the MDS applicant’s transmitterwill not cause harmful electrical inter-ference to each receive site registeredas of September 17, 1998, nor within aprotected service area as defined inparagraph (d)(1) of this section, of anycochannel or adjacent channel ITFSstation licensed, with a conditional li-cense, or proposed in a pending applica-tion on the day such MDS applicationis filed, with an ITFS transmitter sitewithin 50 miles of the coordinates ofthe MDS station’s proposed trans-mitter site.

(2) For each application described inparagraph (i)(1) of this section, the ap-plicant must serve, by certified mail,return receipt requested, on or beforethe day the application or amendment


70

47 CFR Ch. I (10–1–01 Edition)§ 21.902

described in paragraph (i)(1) of this sec-tion is filed initially with the Commis-sion, a copy of the complete MDS ap-plication or amendment, includingeach exhibit and interference study, de-scribed in paragraph (i)(1) of this sec-tion, on each ITFS licensee, condi-tional licensee, or applicant describedin paragraph (i)(1) of this section.

(3) For each application described inparagraph (i)(1) of this section, the ap-plicant must certify and file, with theapplication or amendment, its certifi-cation of its compliance with the re-quirements of paragraph (i)(2) of thissection.

(4) For each application described inparagraph (i)(1) of this section, the ap-plicant must file with the Commissionin Washington, DC, on or before the30th day after the application oramendment described in paragraph(i)(1) of this section is filed initiallywith the Commission, a written noticewhich contains the following:

(i) Caption—ITFS Service Notice;(ii) Applicant’s name, address, pro-

posed service area and channel group,and application file number, if known;

(iii) A list of each ITFS licensee andconditional licensee described in para-graph (i)(1) of this section;

(iv) The address used for service toeach ITFS licensee and conditional li-censee described in paragraph (i)(1) ofthis section; and

(v) A list of the date each ITFS li-censee and conditional licensee de-scribed in paragraph (i)(1) of this sec-tion received a copy of the completeapplication or amendment described inparagraph (i)(1) of this section; or a no-tation of lack of receipt by the ITFS li-censee or conditional licensee of a copyof the complete application or amend-ment, on or before such 30th day, to-gether with a description of the appli-cant’s efforts for receipt by each suchlicensee or conditional licensee lackingreceipt of the application.

(5) The public notices described inparagraph (i)(6) of this section are asfollows:

(i) For initial applications for newMDS stations which participate in alottery, this public notice is the noticeannouncing the selection of the appli-cant’s application by lottery for quali-fication review.

(ii) For initial applications for newMDS stations which participate in acompetitive bidding process, this pub-lic notice is the notice announcing theapplication of the winning bidder inthe competitive bidding process hasbeen accepted for filing.

(iii) For initial applications for newMDS stations which do not participatein a lottery or a competitive biddingprocess, this public notice is the noticeannouncing that the applicant’s appli-cation is not mutually-exclusive withother MDS applications.

(iv) For MDS modification applica-tions, this public notice is the noticeannouncing that the modification ap-plication has been accepted for filing.

(6)(i) Notwithstanding the provisionsof Sections 1.824(c) and 21.30(a)(4), foreach application described in para-graph (i)(1) of this section, each ITFSlicensee and each ITFS conditional li-censee described in paragraph (i)(1) ofthis section may file with the Commis-sion, on or before the 30th day after thepublic notice described in paragraph(i)(5) of this section, a petition to denythe MDS application.

(ii) Except for the requirements as tothe filing time deadline, this petitionto deny must otherwise comply withthe provisions of Section 21.30.

(iii) In addition, this ITFS petition todeny must:

(A) Identify the subject MDS applica-tion, including the applicant’s name,station location, channel group, andapplication file number;

(B) Include a certificate of servicedemonstrating service on the subjectMDS applicant by certified mail, re-turn receipt requested, on or before the30th day after the MDS public noticedescribed in paragraph (i)(5) of this sec-tion;

(C) Include a demonstration that itmade efforts to reach agreement withthe MDS applicant but was unable todo so;

(D) Include an engineering analysisthat operation of the proposed MDSstation will cause harmful interferenceto its ITFS station;

(E) Include a demonstration, in thosecases in which the MDS applicant’sanalysis is dependent upon modifica-tion(s) to the ITFS facility, that theharmful interference cannot be avoided


71


by the proposed substitution of new ormodified equipment to be supplied andinstalled by the MDS applicant, at noexpense to the ITFS licensee or condi-tional licensee; and

(F) Be limited to raising objectionsconcerning the potential for harmfulinterference to its ITFS station, orconcerning a failure by the MDS appli-cant to serve the ITFS licensee or con-ditional licensee with a copy of thecomplete application or amendmentdescribed in paragraph (i)(1) of this sec-tion.

(iv) The Commission will presume anITFS licensee or conditional licenseedescribed in paragraph (i)(1) of this sec-tion has no objection to operation ofthe MDS station, if the ITFS licenseeor conditional licensee fails to file apetition to deny by the deadline pre-scribed in paragraph (i)(6)(i) of this sec-tion.

(j) If the initial application for facili-ties in the 2596–2644 frequency band wasfiled on September 9, 1983, an applicantproposing to modify such facilitiesmust include with its modification ap-plication:

(1) An analysis demonstrating thatthe modification will not increase thesize of the geographic area sufferingharmful interference within the pro-tected service area of existing or pro-posed co-channel or adjacent-channelfacilities in the 2596–2644 MHz fre-quency band with a transmitter sitewithin 80.5 km (50 miles) of the modi-fying station’s transmitter site of theinitial application for the interfered-with station was filed on September 9,1983; and

(2) An analysis demonstrating thatthe modification will not cause harm-ful interference to any new portion ofthe protected service area of existingor proposed co-channel or adjacent-channel facilities in the 2596–2644 fre-quency band with a transmitter sitewithin 80.5 km (50 miles) of the modi-fying station’s transmitter site, if theinitial application for the interfered-with station was filed on September 9,1983.

(k) If an initial application for facili-ties in the 2596–2644 frequency band wasfiled on September 9, 1983, a licenseeproposing to modify a constructed sta-tion may request exclusion from the

interference analysis prescribed at§ 21.902(c) (1) and (2) with respect to an-other specified application for E or Fchannel facilities, if the modifying li-censee files as part of its modificationapplication a demonstration that:

(1) The MDS application for whichexclusion is requested was proposed byan initial application filed on Sep-tember 9, 1983;

(2) The MDS application for whichexclusion is requested is not yet per-fected by the submission of the infor-mation necessary for processing, as ofthe date of filing of the modificationapplication; and

(3) A copy of the licensee’s modifica-tion application, including the dem-onstration specified in this paragraph,was served on the MDS applicant forwhich exclusion is requested, on or be-fore the date of filing of the modifica-tion application.

(l) Specific rules relating to responsestation hubs, booster stations, and 125kHz channels are set forth in §§ 21.909,21.913, 21.940, 74.939 of this chapter,74.940 of this chapter and 74.985 of thischapter. To the extent those specificrules are inconsistent with any rulesset forth above, those specific rulesshall control.

(m) The following information for-mats and storage media are to be usedin connection with applications for newand modified MDS and ITFS stations:

(1) The data file prepared for submis-sion to the Commission’s ReferenceRoom pursuant to the requirements setout at paragraph 74 of Appendix D tothe Report and Order in MM Docket 97–217, FCC 98–231, must be in ASCII for-mat on either CD–ROMs or 3.5″ disk-ettes. Any supplementary informationsubmitted in connection with AppendixD may be in either ASCII or PDF for-mat (graphics must be in PDF format)on either CD–ROMs or 3.5″ diskettes.Applicants serving such data/informa-tion on other applicants and/or licens-ees should do so using the same for-mat(s) and media as used in their sub-mission to the Commission’s ReferenceRoom.

(2) Demonstrations and certificationsprepared for submission to the Com-mission’s Reference Room may be ineither hard copy or in ASCII or PDFformat on CD–ROM’s or 3.5″ diskettes.


72

47 CFR Ch. I (10–1–01 Edition)§ 21.903

(Graphics must be either hard copy orPDF format) Applicants serving suchdemonstrations and certifications onother applicants and/or licenseesshould do so using the same format(s)and media as used in their submissionto the Commission’s Reference Room.

[44 FR 60534, Oct. 19, 1979, as amended at 48FR 33901, July 26, 1983; 49 FR 25479, June 21,1984; 52 FR 27556, July 22, 1987; 55 FR 46010,Oct. 31, 1990; 56 FR 57598, Nov. 13, 1991; 56 FR57818, Nov. 14, 1991; 56 FR 65191, Dec. 16, 1991;58 FR 11798, Mar. 1, 1993; 58 FR 44895, Aug. 25,1993; 60 FR 36553, July 17, 1995; 60 FR 36739,July 18, 1995; 60 FR 57367, Nov. 15, 1995; 61 FR18098, Apr. 24, 1996; 61 FR 26676, May 28, 1996;63 FR 65102, Nov. 25, 1998; 64 FR 63731, Nov. 22,1999; 65 FR 46617, July 31, 2000]

EFFECTIVE DATE NOTE: At 65 FR 46617, July31, 2000, § 21.902 was amended by adding para-graph (m). This paragraph contains informa-tion collection and recordkeeping require-ments and will not become effective until ap-proval has been given by the Office of Man-agement and Budget.

§ 21.903 Purpose and permissible serv-ice.

(a) Multipoint Distribution Servicechannels are available for trans-missions from MDS stations and asso-ciated MDS signal booster stations toreceive locations, and from MDS re-sponse stations to response stationhubs. When service is provided on acommon carrier basis, subscriber sup-plied information is transmitted topoints designated by the subscriber.When service is provided on a non-com-mon carrier basis, transmissions mayinclude information originated by per-sons other than the licensee, licensee-manipulated information supplied byother persons, or information origi-nated by the licensee. Point-to-pointradio return links from a subscriber’slocation to a MDS operator’s facilitiesmay also be authorized in the 18,580through 18,820 MHz and 18,920 through19,160 MHz bands. Rules governing suchoperation are contained in subpart I ofpart 101 of this chapter, the Point-to-Point Microwave Radio Service.

(b) Unless otherwise directed or con-ditioned in the applicable instrumentof authorization, Multipoint Distribu-tion Service stations may render anykind of communications service con-sistent with the Commission’s rules on

a common carrier or on a non-commoncarrier basis, Provided That:

(1) Unless service is rendered on anon-common carrier basis, the commoncarrier controls the operation of all re-ceiving facilities (e.g., including anyequipment necessary to convert thesignal to a standard television channel,but excluding the television receiver);and

(2) Unless service is rendered on anon-common carrier basis, the commoncarrier’s tariff allows the subscriberthe option of owning the receivingequipment (except for the decoder) solong as:

(i) The customer provides the type ofequipment as specified in the tariff;

(ii) Such equipment is in suitablecondition for the rendition of satisfac-tory service; and

(iii) Such equipment is installed,maintained, and operated pursuant tothe common carrier’s instructions andcontrol.

(c) The carrier’s tariff shall fully de-scribe the parameters of the service tobe provided, including the degree ofprivacy of communications a sub-scriber can expect in ordinary service.If the ordinary service does not providefor complete security of transmission,the tariff shall make provision forservice with such added protectionupon request.

(d) An MDS licensee also may alter-nate, without further authorization re-quired, between rendering service on acommon carrier and non-common car-rier basis, provided that the licenseenotifies the Commission of any servicestatus changes at least 30 days in ad-vance of such changes. The notificationshall state whether there is any affili-ation or relationship to any intendedor likely subscriber or program origi-nator.

[44 FR 60534, Oct. 19, 1979, as amended at 52FR 27556, July 22, 1987; 61 FR 26676, May 28,1996; 63 FR 65103, Nov. 25, 1998; 64 FR 4054,Jan. 27, 1999; 64 FR 63732, Nov. 22, 1999]

§ 21.904 EIRP limitations.(a) The maximum EIRP of a main or

booster station shall not exceed 33 dBW+ 10log(X/6) dBW, where X is the actualbandwidth if other than 6 MHz, exceptas provided in paragraph (b) of this sec-tion.


73


(b)(i) If a main or booster stationsectorizes or otherwise uses one ormore transmitting antennas with anon-omnidirectional horizontal planeradiation pattern, the maximum EIRPin a given direction shall be deter-mined by the following formula:EIRP = 33 dBW + 10 log(X/6) dBW + 10

log(360/beamwidth) dBW, where X isthe channel width in MHz and 10log(360/beamwidth) ≤ 6 dB.

(ii) Beamwidth is the total horizontalplane beamwidth of the individualtransmitting antenna for the station orany sector measured at the half-powerpoints.

(c) An increase in station EIRP,above currently-authorized or pre-viously-proposed values, to the max-imum values provided in paragraphs (a)and (b) of this section may be author-ized, if the requested increase wouldnot cause harmful interference to anyauthorized or previously-proposed, co-channel or adjacent channel station en-titled to interference protection underthe Commission’s rules, or if an appli-cant demonstrates that:

(1) A station that must be protectedfrom interference could compensate forinterference by increasing its EIRP;and

(2) The interfered-with station mayincrease its own EIRP consistent withthe rules and without causing harmfulinterference to any cochannel or adja-cent channel main or booster stationprotected service area, response stationhub or BTA/PSA, for which consent forthe increased interference has not beenobtained; and

(3) The applicant requesting author-ization of an EIRP increase agrees topay all expenses associated with the in-crease in EIRP by the interfered-withstation.

(d) For television transmission if theauthorized bandwidth is 4.0 MHz ormore for the visual and accompanyingaural signal, the peak power of the ac-companying aural signal must not ex-ceed 10 percent of the peak visualpower of the transmitter. The Commis-sion may order a reduction in auralsignal power to diminish the potentialfor harmful interference.

(e) For main, booster and responsestations utilizing digital emissionswith non-uniform power spectral den-

sity (e.g. unfiltered QPSK), the powermeasured within any 100 kHz resolu-tion bandwidth within the 6 MHz chan-nel occupied by the non-uniform emis-sion cannot exceed the power per-mitted within any 100 kHz resolutionbandwidth within the 6 MHz channel ifit were occupied by an emission withuniform power spectral density, i.e., ifthe maximum permissible power of astation utilizing a perfectly uniformpower spectral density across a 6 MHzchannel were 2000 watts EIRP, thiswould result in a maximum permissiblepower flux density for the station of2000/60 = 33.3 watts EIRP per 100 kHzbandwidth. If a non-uniform emissionwere substituted at the station, stationpower would still be limited to a max-imum of 33.3 watts EIRP within any 100kHz segment of the 6 MHz channel, ir-respective of the fact that this wouldresult in a total 6 MHz channel powerof less than 2000 watts EIRP.

[64 FR 63732, Nov. 22, 1999]

§ 21.905 Emissions and bandwidth.

(a) A station transmitting a tele-vision signal shall not exceed a band-width of 6 MHz (for both visual signaland accompanying aural signal), andwill normally employ vestigial side-band, amplitude modulation (C3F) forthe visual signal, and frequency modu-lation (F3E) or (G3E) for the accom-panying aural signal.

(b) Quadrature amplitude modulation(QAM), digital vestigial sideband mod-ulation (VSB), quadrature phase shiftkey modulation (QPSK), code divisionmultiple access (CDMA), and orthog-onal frequency division multiplex(OFDM) emissions may be employed,subject to compliance with the policiesset forth in the Declaratory Ruling andOrder, 11 FCC Rcd 18839 (1996). Use ofOFDM also is subject to the subsequentDeclaratory Ruling and Order, DA 99–554 (Mass Med. Bur. rel. Mar. 19, 1999).Other digital emissions may be addedto those authorized above, includingemissions with non-uniform powerspectral density, if the applicant pro-vides information in accordance withthe guidelines and procedures set forthin the Declaratory Ruling and Order


74

47 CFR Ch. I (10–1–01 Edition)§ 21.906

which clearly demonstrates the spec-tral occupancy and interference char-acteristics of the emission. The li-censee may subchannelize its author-ized bandwidth, provided that digitalmodulation is employed and the aggre-gate power does not exceed the author-ized power for the channel, and mayutilize all or a portion of its authorizedbandwidth for MDS response stationsauthorized pursuant to § 21.909 of thispart. The licensee may also, jointlywith affected adjacent channel licens-ees, transmit utilizing bandwidth in ex-cess of its authorized frequencies, pro-vided that digital modulation is em-ployed, all power spectral density re-quirements set forth in this part aremet and the out-of-band emissions re-strictions set forth in § 21.908 of thispart are met at and beyond the edges ofthe channels employed. The widerchannels thus created may be redividedto create narrower channels.

(c) Any licensee of a station in the2150–2162 MHz or 2596–2644 MHz, 2650–2656 MHz, 2662–2668 MHz, or 2674–2680MHz frequency bands, after notice andopportunity for hearing, may be re-quired to use the frequency offset tech-nique to avoid or to minimize harmfulinterference to another licensed sta-tion in the 2150–2162 MHz and 2596–2544MHz, 2650–2656 MHz, 2662–2668 MHz, and2674–2680 MHz frequency bands or tomake other changes as provided in§§ 21.100, 21.107, 21.900, 21.901, 21.902,21.904, 21.905(a), 21.905(b), 21.906, 21.907,and 21.908 of this part.

(d) Notwithstanding the above, anydigital emission which complies withthe out-of-band emission restrictions of§ 21.908 of this part may be used in thefollowing circumstances:

(1) At any MDS main or booster sta-tion transmitter which is located morethan 160.94 km (100 miles) from thenearest boundary of all cochannel andadjacent channel ITFS and MDS pro-tected service areas, including BasicTrading Areas and Partitioned ServiceAreas; and

(2) At all MDS response stationtransmitters within a response servicearea if all points along the responseservice area boundary line are morethan 160.94 km (100 miles) from thenearest boundary of all cochannel andadjacent channel ITFS and MDS pro-

tected service areas, including BasicTrading Areas and Partitioned ServiceAreas; and

(3) At any MDS transmitter where allparties entitled by this part to inter-ference protection from that trans-mitter have mutually consented to theuse at that transmitter of such emis-sions.

[44 FR 60534, Oct. 19, 1979, as amended at 49FR 48700, Dec. 14, 1984; 55 FR 46011, Oct. 31,1990; 56 FR 57818, Nov. 14, 1991; 63 FR 65104,Nov. 25, 1998; 64 FR 4054, Jan. 27, 1999; 64 FR63732, Nov. 22, 1999]

§ 21.906 Antennas.(a) Main and booster station trans-

mitting antennas shall beomnidirectional, except that a direc-tional antenna with a main beam suffi-ciently broad to provide adequate serv-ice may be used either to avoid possibleinterference with other users in thefrequency band, or to provide coveragemore consistent with distribution ofpotential receiving points. In lieu of anomnidirectional antenna, a stationmay employ an array of directional an-tennas in order to reuse spectrum effi-ciently. When an applicant proposes toemploy a directional antenna, or a li-censee notifies the Commission pursu-ant to § 21.42 of the installation of asectorized antenna system, the appli-cant shall provide the Commissionwith information regarding the ori-entation of the directional antenna(s),expressed in degree of azimuth, withrespect to true north, and the makeand model of such antenna(s).

(b) The use of horizontal or verticalplane wave polarization, or right handor left hand rotating elliptical polar-ization may be used to minimize thehazard of harmful interference betweensystems.

(c) Transmitting antennas locatedwithin 56.3 kilometers (35 miles) of theCanadian border should be directed soas to minimize, to the extent that ispractical, emissions toward the border.

(d) Directive receiving antennas shallbe used at all points other than re-sponse station hubs and response sta-tions operating with an EIRP no great-er than ¥6 dBW per 6 MHz channel andshall be elevated no higher than nec-essary to assure adequate service. Re-ceiving antenna height shall not exceed


75


the height criteria of Part 17 of thischapter, unless authorization for use ofa specific maximum height (aboveground and mean sea level) for each lo-cation has been obtained from theCommission prior to the erection of theantenna. (See part 17 of this chapterconcerning construction, marking andlighting of antenna structures.) A re-sponse station operating with an EIRPno greater than ¥6 dBW per 6 MHzchannel may use an omnidirectionalreceiving antenna. However, for thepurpose of interference protection,such response stations will be treatedas if utilizing a receive antenna meet-ing the requirements of the referencereceiving antenna of Figure 1 of§ 21.902(f)(3).

[44 FR 60534, Oct. 19, 1979, as amended at 52FR 37786, Oct. 9, 1987; 58 FR 44896, Aug. 25,1993; 63 FR 65104, Nov. 25, 1998; 64 FR 4054,Jan. 27, 1999; 64 FR 63733, Nov. 22, 1999; 65 FR46617, July 31, 2000]


§ 21.908 Transmitting equipment.(a) Except as otherwise provided in

this section, the requirements of para-graphs (a), (b), (c), (d), and (e) of § 73.687of this chapter shall apply to stationsin this service transmitting standardtelevision signals.

EDITORIAL NOTE: At 63 FR 65104, Nov. 25,1999, paragraph (b) was redesignated as para-graph (a) and newly designated paragraph (a)was revised. However, paragraph (a) alreadyexists. The text of the newly redesignatedparagraph (a) follows:

(a) The maximum out-of-band powerof an MDS station transmitter orbooster transmitting on a single 6 MHzchannel with an EIRP in excess of ¥9dBW employing analog modulationshall be attenuated at the channeledges by at least 38 dB relative to thepeak visual carrier, then linearly slop-ing from that level to at least 60 dB ofattenuation at 1 MHz below the lowerband edge and 0.5 MHz above the upperband edge, and attenuated at least 60dB at all other frequencies. The max-imum out-of-band power of an MDSstation transmitter or booster trans-mitting on a single 6 MHz channel or aportion thereof with an EIRP in excessof ¥9 dBW (or, when subchannels areused, the appropriately adjusted value

based upon the ratio of the channel-to-subchannel bandwidths) employing dig-ital modulation shall be attenuated atthe 6 MHz channel edges at least 25 dBrelative to the licensed average 6 MHzchannel power level, then attenuatedalong a linear slope to at least 40 dB at250 kHz beyond the nearest channeledge, then attenuated along a linearslope from that level to at least 60 dBat 3 MHz above the upper and below thelower licensed channel edges, and at-tenuated at least 60 dB at all other fre-quencies. Notwithstanding the fore-going, in situations where an MDS sta-tion or booster station transmits, orwhere adjacent channel licensees joint-ly transmit, a single signal over morethan one contiguous 6 MHz channelutilizing digital modulation with anEIRP in excess of ¥9 dBW (or, whensubchannels or superchannels are used,the appropriately adjusted value basedupon the ratio of 6 MHz to the sub-channel or superchannel bandwidth),the maximum out-of-band power shallbe attenuated at the channel edges ofthose combined channels at least 25 dBrelative to the power level of eachchannel, then attenuated along a linearslope from that level to at least 40 dBat 250 kHz above or below the channeledges of those combined channels, thenattenuated along a linear slope fromthat level to at least 60 dB at 3 MHzabove the upper and below the loweredges of those combined channels, andattenuated at least 60 dB at all otherfrequencies. However, should harmfulinterference occur as a result of emis-sions outside the assigned channel, ad-ditional attenuation may be required.A transmitter licensed prior to Novem-ber 1, 1991, that remains at the stationsite initially licensed, and does notcomply with this paragraph, may con-tinue to be used for its life if it doesnot cause harmful interference to theoperation of any other licensee. Anynon-conforming transmitter replacedafter November 1, 1991, must be re-placed by a transmitter meeting the re-quirements of this paragraph.

(b) A booster transmitting on mul-tiple contiguous or non-contiguouschannels carrying separate signals (a‘‘broadband’’ booster) with an EIRP inexcess of ¥9 dBW per 6 MHz channeland employing analog, digital or a


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combination of these modulations shallhave the following characteristics:

(1) For broadband boosters operatingin the frequency range of 2.150–2.160/2GHz, the maximum out-of-band powershall be attenuated at the upper andlower channel edges forming the bandedges by at least 25 dB relative to thelicensed analog peak visual carrier ordigital average power level (or, whensubchannels are used, the appro-priately adjusted value based on uponthe ratio of the channel-to-subchannelbandwidths), then linearly sloping fromthat level to at least 40 dB of attenu-ation at 0.25 MHz above and below theband edges, then linearly sloping fromthat level to at least 60 dB of attenu-ation at 3.0 MHz above and below theband edges, and attenuated at least 60dB at all other frequencies.

(2) For broadband boosters operatingin the frequency range of 2.500–2.690GHz, the maximum out-of-band powershall be attenuated at the upper andlower channel edges forming the bandedges by at least 25 dB relative to thelicensed analog peak visual carrier ordigital average power level (or, whensubchannels are used, the appro-priately adjusted value based on uponthe ratio of the channel-to-subchannelbandwidths), then linearly sloping fromthat level to at least 40 dB of attenu-ation at 0.25 MHz above and below theband edges, then linearly sloping fromthat level to at least 50 dB of attenu-ation at 3.0 MHz above and below theband edges, then linearly sloping fromthat level to at least 60 dB of attenu-ation at 20 MHz above and below theband edges, and attenuated at least 60dB at all other frequencies.

(3) Within unoccupied channels in thefrequency range of 2.500–2.690 GHz, themaximum out-of-band power shall beattenuated at the upper and lowerchannel edges of an unoccupied channelby at least 25 dB relative to the li-censed analog peak visual carrierpower level or digital average powerlevel of the occupied channels (or,when subchannels or 125 kHz channelsare used, the appropriately adjustedvalue based upon the ratio of the chan-nel-to-subchannel bandwidths), thenlinearly sloping from that level to atleast 40 dB of attenuation at 0.25 MHzabove and below the occupied channel

edges, then linearly sloping from thatlevel to at least 50 dB of attenuation at3.0 MHz above and below the occupiedchannel edges, and attenuated at least50 dB at all other unoccupied fre-quencies.

(c) Boosters operating with an EIRPless than -9 dBW per 6 MHz channelshall have no particular out-of-bandpower attenuation requirement, exceptthat if they cause harmful inter-ference, their operation shall be termi-nated within 2 hours of notification bythe Commission until the interferencecan be cured.

(d) The maximum out-of-band powerof an MDS response station using all orpart of a 6 MHz channel, employingdigital modulation and transmittingwith an EIRP greater than –6 dBW per6 MHz channel shall be attenuated (asmeasured in accordance with para-graph (e) of this section) at the 6 MHzchannel edges at least 25 dB relative tothe average 6 MHz channel power level,then attenuated along a linear slope toat least 40 dB at 250 kHz beyond thenearest channel edge, then attenuatedalong a linear slope from that level toat least 60 dB at 3 MHz above the upperand below the lower licensed channeledges, and attenuated at least 60 dB atall other frequencies. The maximumout-of-band power of an MDS responsestation using all or part of a 6 MHzchannel, employing digital modulationand transmitting with an EIRP nogreater than –6 dBW per 6 MHz channelshall be attenuated (as measured in ac-cordance with paragraph (e) of this sec-tion) at the channel edges at least 25dB relative to the average 6 MHz chan-nel transmitter output power level (P),then attenuated along a linear slope toat least 40 dB or 33+10log(P) dB, which-ever is the lesser attenuation, at 250kHz beyond the nearest channel edge,then attenuated along a linear slopefrom that level to at least 60 dB or43+10log(P) dB, whichever is the lesserattenuation, at 3 MHz above the upperand below the lower licensed channeledges, and attenuated at least 60 dB or43+10log(P) dB, whichever is the lesserattenuation, at all other frequencies.Where MDS response stations with dig-ital modulation utilize all or part ofmore than one contiguous 6 MHz chan-nel to form a larger channel (e.g., a


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channel of width 12 MHz), the above-specified attenuations shall be appliedonly at the upper and lower edges ofthe overall combined channel. Notwith-standing these provisions, shouldharmful interference occur as a resultof emissions outside the assigned chan-nel(s), additional attenuation may berequired by the Commission.

(e) In measuring compliance with theout-of-band emissions limitations, thelicensee shall employ one of two meth-ods in each instance: (1) absolute powermeasurement of the average signalpower with one instrument, with meas-urement of the spectral attenuation ona separate instrument; or (2) relativemeasurement of both the averagepower and the spectral attenuation ona single instrument. The formula forabsolute power measurements is to beused when the average signal power isfound using a separate instrument,such as a power meter; the formulagives the amount by which the meas-ured power value is to be attenuated tofind the absolute power value to beused on the spectrum analyzer orequivalent instrument at the spectralpoint of concern. The formula for rel-ative power measurements is to be usedwhen the average signal power is foundusing the same instrument as used tomeasure the attenuation at the speci-fied spectral points, and allows dif-ferent resolution bandwidths to be ap-plied to the two parts of the measure-ment; the formula gives the requiredamplitude separation (in dB) betweenthe flat top of the (digital) signal andthe point of concern.

For absolute power measurements:

Attenuation in dB (below channelpower) = A + 10log (CBW / RBw)

For relative power measurements:

Attenuation in dB (below flat top) = A+ 10log (RBW1 / RBW2)

Where:

A = Attenuation specified for spectral point(e.g., 25, 35, 40, 60 dB)

CBW = Channel bandwidth (for absolute powermeasurements)

RBW = Resolution bandwidth (for absolutepower measurements)

RBW1 = Resolution bandwidth for flat top meas-urement (relative)

RBW2 = Resolution bandwidth for spectral pointmeasurement (relative)

[55 FR 46011, Oct. 31, 1990, as amended at 56FR 57818, Nov. 14, 1991; 63 FR 65105, Nov. 25,1998; 65 FR 46617, July 31, 2000]

§ 21.909 MDS response stations.(a) An MDS response station is au-

thorized to provide communication byvoice, video and/or data signals with itsassociated MDS response station hubor MDS station. An MDS response sta-tion may be operated only by the li-censee of an MDS station, by any les-see of the MDS station or response sta-tion hub, or by a subscriber of either.The authorized channel may be dividedto provide distinct subchannels foreach of more than one response sta-tion, provided that digital modulationis employed and the aggregate powerdoes not exceed the authorized powerfor the channel. An MDS response sta-tion may also, jointly with other li-censees, transmit utilizing bandwidthin excess of that authorized to the sta-tion, provided that digital modulationis employed, all power spectral densityrequirements set forth in this part aremet, and the out-of-band emissions re-strictions set forth in § 21.908(b) orparagraph (j) of this section are com-plied with. When a 125 kHz channel isemployed, the specific channel whichmay be used by the response station isdetermined in accordance with §§ 21.901and 74.939(j) of this chapter.

(b) MDS response stations that uti-lize the 2150–2162 MHz band, the 2500–2686 MHz band, and/or the 125 kHz chan-nels may be installed and operatedwithout an individual license, to com-municate with a response station hub,provided that the conditions set forthin paragraph (g) of this section are metand that the MDS response stations’technical parameters are consistentwith all applicable rules in this partand with the terms and conditions setout in the Commission’s DeclaratoryRuling and Order, 11 FCC Rcd 18839(1996).

(c) An applicant for a response sta-tion hub license, or for modificationthereto where not subject to § 21.41 or§ 21.42, shall:

(1) File FCC Form 331 with MellonBank, and certify on that form that ithas complied with the requirements of


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paragraphs (c)(2) and (d) of this sectionand that the interference data sub-mitted under paragraph (d) of this sec-tion is complete and accurate. Failureto certify compliance and to complycompletely with the requirements ofparagraphs (c)(2) and (d) of this sectionshall result in dismissal of the applica-tion or revocation of the response sta-tion hub license, and may result in im-position of a monetary forfeiture; and

(2) Submit the following (see§ 21.902(m) for permissible formats andmedia) to the Commission’s ReferenceRoom:

(i) The data files required by Appen-dix D to the Report and Order in MMDocket 97–217, FCC 98–231, ‘‘MethodsFor Predicting Interference From Re-sponse Station Transmitters And ToResponse Station Hubs And For Sup-plying Data on Response Station Sys-tems’’; and

(ii) The demonstrations and certifi-cations required by paragraph (d) ofthis section.

(d) An applicant for a response sta-tion hub license shall prepare the fol-lowing:

(1) A demonstration describing thesystem channel plan, to the extentthat such information is not containedin the data file required in (c)(2)(i) ofthis section; and

(2) A demonstration that:(i) The proposed response station hub

is within a protected service area, asdefined in § 21.902(d) or § 21.933, to whichthe applicant is entitled either:

(A) By virtue of its being the licenseeof an incumbent MDS station whosechannels are being converted for MDSresponse station use; or

(B) By virtue of its holding a BasicTrading Area or Partitioned ServiceArea authorization. In the case of anapplication for response stations toutilize one or more of the 125 kHz re-sponse channels, such demonstrationshall establish that the response sta-tion hub is within the protected servicearea of the station authorized to utilizethe associated E-Group or F-Groupchannel(s); and

(ii) The entire proposed responseservice area is within a protected serv-ice area to which the applicant is enti-tled either (A) by virtue of its beingthe licensee of an incumbent MDS sta-

tion whose channels are being con-verted for MDS response station use; or(B) by virtue of its holding a BasicTrading Area or Partitioned ServiceArea authorization. In the alternative,the applicant may demonstrate thatthe licensee entitled to any cochannelprotected service area which is over-lapped by the proposed response servicearea has consented to such overlap. Inthe case of an application for responsestations to utilize one or more of the125 kHz response channels, such dem-onstration shall establish that the re-sponse service area is entirely withinthe protected service area of the sta-tion authorized to utilize the associ-ated E-Group or F-Group channel(s),or, in the alternative, that the licenseeentitled to any cochannel protectedservice area which is overlapped by theproposed response service area has con-sented to such overlap; and

(iii) The combined signals of all si-multaneously operating MDS responsestations within all response serviceareas and oriented to transmit towardstheir respective response station hubs,and all cochannel MDS stations andbooster stations licensed to or appliedfor by the applicant will not generate apower flux density in excess of ¥73dBW/m2 (or the appropriately adjustedvalue based on the actual bandwidthused if other than 6 MHz, see§ 21.902(b)(7)(i)) outside the boundariesof the applicant’s protected servicearea, as measured at locations forwhich there is an unobstructed signalpath, except to the extent that consentof affected licensees has been obtainedor consents have been granted pursu-ant to paragraph (d)(3)(ii) of this sec-tion to an extension of the responseservice area beyond the boundaries ofthe protected service area; and

(iv) The combined signals of all si-multaneously operating MDS responsestations within all response serviceareas and oriented to transmit towardstheir respective response station hubs,and all cochannel MDS stations andbooster stations licensed to or appliedfor by the applicant, will result in a de-sired to undesired signal ratio of atleast 45 dB (or the appropriately ad-justed value based on the actual band-width used if other than 6 MHz, see§ 21.902(b)(7)(ii)):


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(A) within the protected service areaof any authorized or previously-pro-posed cochannel MDS or ITFS stationwith a 56.33 km (35 mile) protectedservice area with center coordinates lo-cated within 160.94 km (100 miles) ofthe proposed response station hub; and

(B) within the booster service area ofany cochannel booster station entitledto such protection pursuant to§§ 21.913(f) or 74.985(f) of this chapterand located within 160.94 km (100 miles)of the proposed response station hub;and

(C) at any registered receive site ofany authorized or previously-proposedcochannel ITFS station or booster sta-tion located within 160.94 km (100miles) of the proposed response stationhub, or, in the alternative, that the li-censee of or applicant for such co-channel station or hub consents to theapplication; and

(v) The combined signals of all simul-taneously operating MDS response sta-tions within all response service areasand oriented to transmit towards theirrespective response station hubs, andall cochannel MDS stations and boost-er stations licensed to or applied for bythe applicant, will result in a desiredto undesired signal ratio of at least 0dB (or the appropriately adjusted valuebased on the actual bandwidth used ifother than 6 MHz, see § 21.902(b)(7)(iii)):

(A) within the protected service areaof any authorized or previously-pro-posed adjacent channel MDS or ITFSstation with a 56.33 km (35 mile) pro-tected service area with center coordi-nates located within 160.94 km (100miles) of the proposed response stationhub; and

(B) within the booster service area ofany adjacent channel booster stationentitled to such protection pursuant to§§ 21.913(f) or 74.985(f) of this chapterand located within 160.94 km (100 miles)of the proposed response station hub;and

(C) at any registered receive site ofany authorized or previously-proposedadjacent channel ITFS station orbooster station located within 160.94km (100 miles) of the proposed responsestation hub, or, in the alternative, thatthe licensee of or applicant for such ad-jacent channel station or hub consentsto the application; and

(vi) The combined signals of all si-multaneously operating MDS responsestations within all response serviceareas and oriented to transmit towardstheir respective response station huband all cochannel MDS stations andbooster stations licensed to or appliedfor by the applicant will comply withthe requirements of paragraph (i) ofthis section and § 74.939(i) of this chap-ter.

(3) A certification that the applica-tion has been served upon

(i) the holder of any cochannel or ad-jacent channel authorization with aprotected service area which is over-lapped by the proposed response servicearea;

(ii) the holder of any cochannel or ad-jacent channel authorization with aprotected service area that adjoins theapplicant’s protected service area;

(iii) the holder of a cochannel or ad-jacent channel authorization for anyBTA or PSA inside whose boundariesare locations for which there is an un-obstructed signal path for combinedsignals from within the response sta-tion hub applicant’s protected servicearea; and

(iv) every licensee of, or applicantfor, any cochannel or adjacent channel,authorized or previously-proposed, in-cumbent MDS station with a 56.33 km(35 mile) protected service area withcenter coordinates located within 160.94km (100 miles) of the proposed responsestation hub;

(v) every licensee of, or applicant for,any cochannel or adjacent channel, au-thorized or previously-proposed ITFSstation (including any booster stationor response station hub) located within160.94 km (100 miles) of the proposed re-sponse station hub; and

(vi) every licensee of any non-co-channel or non-adjacent channel ITFSstation (including any booster station)with one or more registered receivesites in, or within 1960 feet of the pro-posed response station service area.

(e) Except as set forth in § 21.27(d),applications for response station hublicenses may be filed at any time. Not-withstanding any other provision ofpart 21 (including § 21.31), applicationsfor response station hub licenses meet-ing the requirements of paragraph (c)


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47 CFR Ch. I (10–1–01 Edition)§ 21.909

of this section shall cut-off applica-tions that are filed on a subsequent dayfor facilities that would cause harmfulelectromagnetic interference to theproposed response station hubs. A re-sponse station hub shall not be entitledto protection from interference causedby facilities proposed on or prior to theday the application for the responsestation hub license is filed. Responsestations shall not be required to pro-tect from interference facilities pro-posed on or after the day the applica-tion for the response station hub li-cense is filed.

(f) Notwithstanding the provisions of§ 21.30(b)(4) and except as set forth in§ 21.27(d), any petition to deny an appli-cation for a response station hub li-cense shall be filed no later than thesixtieth (60th) day after the date ofpublic notice announcing the filing ofsuch application or major amendmentthereto. Notwithstanding § 21.31 and ex-cept as provided in § 21.27(d), an appli-cation for a response station hub li-cense that meets the requirements ofthis section shall be granted on thesixty-first (61st) day after the Commis-sion shall have given public notice ofthe acceptance for filing of it, or of amajor amendment to it if such majoramendment has been filed, unless priorto such date either a party in interesttimely files a formal petition to denyor for other relief pursuant to § 21.30(a),or the Commission notifies the appli-cant that its application will not begranted. Where an application is grant-ed pursuant to the provisions of thisparagraph, the conditional licensee orlicensee shall maintain a copy of theapplication at the response station hubuntil such time as the Commissionissues a response station hub license.

(g) An MDS response station hub li-cense shall be conditioned upon com-pliance with the following:

(1) No MDS response station shall belocated beyond the response servicearea of the response station hub withwhich it communicates; and

(2) No MDS response station shall op-erate with a transmitter output powerin excess of 2 watts; and

(3) No response station shall operatewith an EIRP in excess of that speci-fied in the application for the responsestation hub for the particular regional

class of characteristics with which theresponse station is associated, and suchresponse station shall not operate withan EIRP in excess of 33 dBW + 10log(X/6) dBW, where X is the channel widthin MHz, and

(4) Each response station shall em-ploy a transmission antenna orientedtowards the response station hub withwhich the response station commu-nicates and such antenna shall be noless directive than the worst-case outerenvelope pattern specified in the appli-cation for the response station hub forthe regional class of characteristicswith which the response station is as-sociated; and

(5) The combined out-of-band emis-sions of all response stations using allor part of one or multiple contiguous 6MHz channels and employing digitalmodulation shall comply with§ 21.908(d). The combined out-of-bandemissions of all response stations usingall or part of one or multiple contig-uous 125 kHz channels shall complywith paragraph (j) of this section. How-ever, should harmful interference occuras a result of emissions outside the as-signed channel, additional attenuationmay be required; and

(6) The response stations transmit-ting simultaneously at any given timewithin any given region of the responseservice area utilized for purposes ofanalyzing the potential for inter-ference by response stations shall con-form to the numerical limits for eachclass of response station proposed inthe application for the response stationhub license. Notwithstanding the fore-going, where a response station hub li-censee subchannelizes pursuant to§ 21.909(a) and limits the maximumEIRP emitted by any individual re-sponse station proportionately to thefraction of the channel that the re-sponse station occupies, the licenseemay operate simultaneously on eachsubchannel the number of response sta-tions specified in the license. More-over, the licensee of a response stationhub may alter the number of responsestations of any class operated simulta-neously in a given region, withoutprior Commission authorization, pro-vided that the licensee:

(i) Files with the Commission (see§ 21.902(m) for permissible format(s) and


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media) a demonstration indicating thenumber of response stations of suchclass(es) to be operated simultaneouslyin such region and a certification thatit has complied with the requirementsof paragraphs (g)(6)(ii) and (iii) of thissection and that the interference datasubmitted pursuant to paragraph(g)(6)(ii) is complete and accurate; and

(ii) Provides the Commission’s Ref-erence Room (see § 21.902(m) for permis-sible formats and media) with an up-date of the previously-filed responsestation data and with a demonstrationthat such alteration will not result inany increase in interference to the pro-tected service area or protected receivesites of any existing or previously-pro-posed, cochannel or adjacent channelMDS or ITFS station or booster sta-tion, to the protected service area ofany MDS Basic Trading Area or Parti-tioned Service Area licensee entitled toprotection pursuant to paragraph (d)(3)of this section, or to any existing orpreviously-proposed, cochannel or adja-cent channel response station hub, orresponse station under § 21.949 or § 74.949of this chapter; or that the applicantfor or licensee of such facility has con-sented to such interference; and

(iii) Serves a copy of such demonstra-tion and certification upon each partyentitled to be served pursuant to para-graph (d)(3) of this section; and

(7) Where an application is grantedunder this section, if a facility oper-ated pursuant to that grant causesharmful, unauthorized interference toany cochannel or adjacent channel fa-cility, it must promptly remedy the in-terference or immediately cease oper-ations of the interfering facility, re-gardless of whether any petitions todeny or for other relief were filedagainst the application during the ap-plication process. The burden of prov-ing that a facility operated under thissection is not causing harmful, unau-thorized interference lies on the li-censee of the alleged interfering facil-ity, following the filing of a docu-mented complaint of interference by anaffected party; and

(8) In the event any MDS or ITFS re-ceive site suffers interference due toblock downconverter overload, the li-censee of each non-co/adjacent re-sponse station hub with a response

service area within five miles of suchreceive site shall cooperate in goodfaith to expeditiously identify thesource of the interference. Each li-censee of a response station hub withan associated response station contrib-uting to such interference shall bearthe joint and several obligation topromptly remedy all blockdownconverter overload interference atany ITFS registered receive site or atany receive site within an MDS orITFS protected service area applied forprior to the submission of the applica-tion for the response station hub li-cense, regardless of whether the receivesite suffering the interference was con-structed prior to or after the construc-tion of the response station(s) causingthe downconverter overload; provided,however, that the licensee of the reg-istered ITFS receive site or the MDS orITFS protected service area must co-operate fully and in good faith with ef-forts by the response station hub li-censee to prevent interference beforeconstructing response stations and/orto remedy interference that may occur.In the event that the associated re-sponse station(s) of more than one re-sponse station hub licensee con-tribute(s) to block downconverter in-terference at an MDS or ITFS receivesite, such hub licensees shall cooperatein good faith to remedy promptly theinterference.

(h) Applicants must comply withPart 17 of this chapter concerning noti-fication to the Federal Aviation Ad-ministration of proposed antenna con-struction or alteration for all hub sta-tions and associated response stations.

(i) Response station hubs shall beprotected from cochannel and adjacentchannel interference in accordancewith the following criteria:

(1) An applicant for any new or modi-fied MDS or ITFS station (includingany high-power booster station or re-sponse station hub) shall be required todemonstrate interference protection toa response station hub within 160.94 km(100 miles) of the proposed facilities. Inlieu of the interference protection re-quirements set forth in §§ 21.902(b)(3)through (b)(5), 21.938(b)(1) and (2) and(c), and 74.903 of this chapter, suchdemonstration shall establish that theproposed facility will not increase the


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effective power flux density of theundesired signals generated by the pro-posed facility and any associated mainstations, booster stations or responsestations at the response station hubantenna for any sector. In lieu of theforegoing, an applicant for a new MDSor ITFS main station license or for anew or modified response station hubor booster license may demonstratethat the facility will not increase thenoise floor at a reception antenna ofthe response station hub by more than1 dB for cochannel signals and 45 dB foradjacent channel signals, providedthat:

(i) The entity submitting the applica-tion may only invoke this alternativeonce per response station hub receptionsector; or

(ii) The licensee of the affected re-sponse station hub may consent to re-ceive a certain amount of interferenceat its hub.

(2) Commencing upon the filing of anapplication for an MDS response sta-tion hub license and until such time asthe application is dismissed or deniedor, if the application is granted, a cer-tification of completion of construc-tion is filed, the MDS station whosechannels are being utilized shall be en-titled both to interference protectionpursuant to §§ 21.902(b)(3) through(b)(5), 21.938(b)(1) and (2) and (c), and74.903 of this chapter, and to protectionof the response station hub pursuant tothe preceding paragraph. Unless the ap-plication for the response station hublicense specifies that the same fre-quencies also will be employed for dig-ital and/or analog point-to-multipointtransmissions by MDS stations and/orMDS booster stations, upon the filingof a certification of completion of con-struction of an MDS response stationhub where the channels of an MDS sta-tion are being utilized as response sta-tion transmit frequencies, the MDSstation whose channels are being uti-lized for response station transmissionsshall no longer be entitled to inter-ference protection pursuant to§§ 21.902(b)(3) through (b)(5), 21.938(b)(1)and (2) and (c), and 74.903 of this chap-ter within the response service areawith regard to any portion of any 6MHz channel employed solely for re-sponse station communications. Upon

the certification of completion of con-struction of an MDS response stationhub where the channels of an MDS sta-tion are being utilized for response sta-tion transmissions and the applicationfor the response station hub licensespecifies that the same frequencies willbe employed for point-to-multipointtransmissions, the MDS station whosechannels are being utilized shall be en-titled both to interference protectionpursuant to §§ 21.902(b)(3) through(b)(5), 21.938(b)(1) and (2) and (c), and74.903 of this chapter, and to protectionof the response station hub pursuant tothe preceding provisions of this para-graph.

(j) 125 kHz wide response channelsshall be subject to the following re-quirements: The 125 kHz wide channelshall be centered at the assigned fre-quency. If amplitude modulation isused, the carrier shall not be modu-lated in excess of 100%. If frequencymodulation is used, the deviation shallnot exceed ±25 kHz. Any emissions out-side the channel shall be attenuated atthe channel edges at least 35 dB belowpeak output power when analog modu-lation is employed or 35 dB below li-censed average output power when dig-ital modulation is employed (or, whensubchannels are used, the appro-priately adjusted value based upon theratio of the channel-to-subchannelbandwidths). Any emissions more than125 kHz from either channel edge, in-cluding harmonics, shall be attenuatedat least 60 dB below peak output powerwhen analog modulation is employed,or at least 60 dB below licensed averageoutput power when digital modulationis employed (or, when subchannels areused, the appropriately adjusted valuebased upon the ratio of the channel-to-subchannel bandwidths). Notwith-standing the foregoing, in situationswhere adjacent channel licensees joint-ly transmit over more than one contig-uous channel utilizing digital modula-tion, the maximum out-of-band powershall be attenuated at the edges ofthose combined channels at least 35 dBrelative to the licensed average powerlevel of each channel. Emissions morethan 125 kHz from either edge of thecombined channels, includingharmonics, shall be attenuated at least


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60 dB below peak analog power or aver-age digital power of each channel, asappropriate.

(k) A response station may be oper-ated unattended. The overall perform-ance of the response station trans-mitter shall be checked by the hub li-censee as often as necessary to ensurethat it is functioning in accordancewith the requirements of the Commis-sion’s rules. The licensee of a responsestation hub is responsible for the prop-er operation of all associated responsestation transmitters. Each responsestation hub licensee is responsible formaintaining, and making available tothe Commission upon request, a listcontaining all customer names and ad-dresses, plus the technical parameters(EIRP, emission, bandwidth, antennapattern/ height/ orientation/ polariza-tion) pertinent to each class of re-sponse station within the responseservice area.

(l) The transmitting apparatus em-ployed at MDS response stations shallhave received type certification.

(m) An MDS response station shall beoperated only when engaged in commu-nications with its associated MDS re-sponse station hub or MDS station orbooster station, or for necessary equip-ment or system tests and adjustments.Upon initial installation, and upon re-location and reinstallation, a responsestation transmitter shall be incapableof emitting radiation unless, and until,it has been activated by reception of asignal from the associated MDS stationor booster station. A hub station li-censee shall be capable of remotely de-activating any and all response stationtransmitters within its RSA by meansof signals from the associated MDS sta-tion or booster station. Radiation of anunmodulated carrier and other unnec-essary transmissions are forbidden.

(n) All response stations utilizing anEIRP greater than 18 dBW shall be in-stalled by the associated hub licenseeor by the licensee’s employees oragents. For the purposes of this sec-tion, all EIRP dBW values assume theuse of a 6 MHz channel. For channelbandwidths other than 6 MHz, theEIRP dBW values should be adjusted up(channel >6 MHz) or down (channel <6MHz) by 10 log(X/6) dBW, where X isthe channel width in MHz. For re-

sponse stations located within 1960 feetof an ITFS receive site registered andbuilt prior to the filing of the applica-tion for the hub station license, thehub licensee must notify the licenseeof the ITFS receive site at least onebusiness day prior to the activation ofthese response stations. The notifica-tion must contain, for each responsestation to be activated, the followinginformation: name and telephone num-ber of a contact person who will be re-sponsible for coordinating the resolu-tion of any interference problems;street address; geographic coordinatesto the nearest second; channels/sub-channels (transmit only); and transmitantenna pattern, EIRP, orientationand height AMSL. (If transmit antennapattern, EIRP, orientation or heightAMSL are not known with specificityat the time of notification, the hub li-censee may, instead, specify the worst-case values for the class of responsestation being activated.) Such noticeto the ITFS licensee shall be given inwriting by certified mail unless theITFS licensee has requested deliveryby email or facsimile. The ITFS li-censee may waive the notification re-quirement on a site-specific basis or ona system-wide basis. The notificationprovisions of this section shall notapply if:

(1) The response station will operateat an EIRP no greater than ¥6 dBW; or

(2) The response station will operateat an EIRP greater than ¥6 dBW andno more than 18 dBW and:

(i) The channels being received at theITFS site are neither the same as, nordirectly adjacent to, the channel(s) tobe transmitted from the response sta-tion; and

(ii) The hub station licensee has re-placed, at its expense, the frequencydownconverters used at all ITFS re-ceive sites registered and constructedprior to the filing of the hub stationapplication which are within 1960 feetof the hub station’s response servicearea; and

(iii) The downconverters, at a min-imum, conform to the following speci-fications:

(A) A frequency of operation coveringthe 2150–2162 MHz band or the 2500–2686MHz band; and


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47 CFR Ch. I (10–1–01 Edition)§ 21.910

(B) A third-order intercept point of 30dBm; and

(C) A conversion gain of 32 dB, or thesame conversion gain as the existingITFS downconverter, whichever isleast; and

(D) A noise figure of no greater than2.5 dB, or no more than 1 dB greaterthan the noise figure of the existingITFS downconverter, whichever isgreater; and

(iv) The proposal to upgrade theITFS downconverter was made in writ-ing and served upon the affected ITFSlicensee, conditional licensee or appli-cant at the same time the applicationfor the response station hub licensewas served on cochannel and adjacentchannel ITFS parties and no objectionwas made within the 60-day period al-lowed for petitions to deny the hub sta-tion application.

(o) Interference calculations shall beperformed in accordance with AppendixD (as amended) to the Report and Orderin MM Docket 97–217, FCC 98–231,‘‘Methods For Predicting InterferenceFrom Response Station Transmittersand To Response Station Hubs and ForSupplying Data on Response StationSystems.’’ (Note: This document is sub-ject to change and will be updated/amended as needed without prior noti-fication. Applicants should always uti-lize the most current version of thedocument, as found at the Commis-sion’s internet web site, http://www.fcc.gov/mmb/vsd/files/method-ology.doc). Compliance with out-of-band emission limitations shall be es-tablished in accordance with § 21.908(e).

[63 FR 65105, Nov. 25, 1998; 64 FR 4054, Jan. 27,1999, as amended at 64 FR 63733, Nov. 22, 1999;65 FR 46618, July 31, 2000]

§ 21.910 Special procedures for dis-continuance, reduction or impair-ment of service by common carrierlicensees.

(a) Any licensee who has electedcommon carrier status and who seeksto discontinue service on a commoncarrier basis and instead provide serv-ice on a non-common carrier basis, orwho otherwise intends to reduce or im-pair service the carrier shall notify allaffected customers of the planned dis-continuance, reduction or impairmenton or before the date that the licensee

provides notice to the Commission pur-suant to § 21.903(d).

(b) Notice shall be in writing to eachaffected customer unless the Commis-sion authorizes in advance, for goodcause shown, another form of notice.Notice shall include the following:

(1) Name and address of carrier; and(2) Date of planned service dis-

continuance, reduction or impairment;and

(3) Points or geographic areas of serv-ice affected; and

(4) How many and which channels areaffected.

[64 FR 63735, Nov. 22, 1999]

§ 21.911 Annual reports.(a) No later than March 1 of each

year for the preceding calendar year,each licensee in the Multipoint Dis-tribution Service shall file with theCommission two copies of a reportwhich must include the following:

(1) Name and address of licensee;(2) Station(s) call letters and primary

geographic service area(s);(3) The following statistical informa-

tion, preferably in tabular form, for thelicensee’s station (and each channelthereof);

(i) The total number of separate sub-scribers served during the calendaryear;

(ii) The total hours of transmissionservice rendered during the calendaryear to all subscribers;

(iii) The total hours of transmissionservice rendered during the calendaryear in the following categories: enter-tainment, education and training, pub-lic service, data transmission, andother services;

(iv) A list of each period of time dur-ing the calendar year in which a sta-tion was not operational due to re-moval or alteration of equipment or fa-cilities; and

(v) A list of each period of time dur-ing the calendar year in which the sta-tion rendered no service as authorized,if the time period was a consecutive pe-riod longer than 48 hours.

(b) The licensee, by an appropriatecorporate officer, controlling partner,or individual proprietor, must certifythis report as to the accuracy and com-pleteness of the information containedtherein.


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(c) A copy of each year’s report shallbe retained in the principal office ofthe licensee and shall be readily avail-able to the public for reference and in-spection.

[55 FR 46011, Oct. 31, 1990]

§ 21.912 Cable television company eli-gibility requirements and MDS/cable cross-ownership.

(a) Nothwithstanding the provisionsof § 21.900 of this part, initial or modi-fied authorizations for stations in the2150-2162 MHz and 2596–2680 MHz fre-quency bands may not be granted to acable operator if a portion of theMultipoint Distribution Service (MDS)station’s protected services area iswithin the portion of the franchise areaactually served by the cable operator’scable system. No cable operator mayacquire such authorization either di-rectly, or indirectly through an affil-iate owned operated, or controlled byor under common control with a cableoperator.

(b) No licensee of a station in thisservice may lease transmission time orcapacity to a cable operator either di-rectly, or indirectly through an affil-iate owned, operated, controlled by, orunder common control with a cable op-erator, if a portion of the MultipointDistribution Service (MDS) station’sprotected services area is within theportion of the franchise area actuallyserved by the cable operator’s cablesystem.

(c) Applications for new stations, sta-tion modifications, assignments ortransfers of control by cable operatorsof stations in the 2150–2162 MHz and2596–2680 MHz frequency bands shall in-clude a showing that no portion of theprotected service area of the MDS sta-tion is within the portion of the fran-chise area actually served by the cableoperator’s cable system, or of any enti-ty indirectly affiliated, owned, oper-ated, controlled by, or under commoncontrol with the cable operator.

NOTE 1 TO § 21.912: In applying the provi-sions of this section, ownership and other in-terests in MDS licensees or cable televisionsystems will be attributed to their holdersand deemed cognizable pursuant to the fol-lowing criteria:

(a) Except as otherwise provided herein,partnership and direct ownership interests

and any voting stock interest amounting to5% or more of the outstanding voting stockof a corporate MDS licensee or cable tele-vision system will be cognizable;

(b) Investment companies, as defined in 15U.S.C. 80a–3, insurance companies and banksholding stock through their trust depart-ments in trust accounts will be considered tohave a cognizable interest only if they hold20% or more of the outstanding voting stockof a corporate MDS licensee or cable tele-vision system, or if any of the officers or di-rectors of the MDS licensee or cable tele-vision system are representatives of the in-vestment company, insurance company orbank concerned. Holdings by a bank or insur-ance company will be aggregated if the bankor insurance company has any right to deter-mine how the stock will be voted. Holdingsby investment companies will be aggregatedif under common management.

(c) Attribution of ownership interests in anMDS licensee or cable television system thatare held indirectly by any party through oneor more intervening corporations will be de-termined by successive multiplication of theownership percentages for each link in thevertical ownership chain and application ofthe relevant attribution benchmark to theresulting product, except that wherever theownership percentage for any link in thechain exceeds 50%, it shall not be includedfor purposes of this multiplication. For pur-poses of paragraph (i) of this note, attribu-tion of ownership interests in an MDS li-censee or cable television system that areheld indirectly by any party through one ormore intervening organizations will be de-termined by successive multiplication of theownership percentages for each link in thevertical ownership chain and application ofthe relevant attribution benchmark to theresulting product, and the ownership per-centage for any link in the chain that ex-ceeds 50% shall be included for purposes ofthis multiplication. [For example, except forpurposes of paragraph (i) of this note, if Aowns 10% of company X, which owns 60% ofcompany Y, which owns 25% of ‘‘Licensee,’’then X’s interest in ‘‘Licensee’’ would be 25%(the same as Y’s interest because X’s inter-est in Y exceeds 50%), and A’s interest in‘‘Licensee’’ would be 2.5% (0.1 x 0.25). Underthe 5% attribution benchmark, X’s interestin ‘‘Licensee’’ would be cognizable, while A’sinterest would not be cognizable. For pur-poses of paragraph (i) of this note, X’s inter-est in ‘‘Licensee’’ would be 15% (0.6 x 0.25)and A’s interest in ‘‘Licensee’’ would be 1.5%(0.1 x 0.6 x 0.25). Neither interest would be at-tributed under paragraph (i) of this note.]

(d) Voting stock interests held in trustshall be attributed to any person who holdsor shares the power to vote such stock, toany person who has the sole power to sellsuch stock, and to any person who has theright to revoke the trust at will or to replace


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the trustee at will. If the trustee has a famil-ial, personal or extra-trust business relation-ship to the grantor or the beneficiary, thegrantor or beneficiary, as appropriate, willbe attributed with the stock interests held intrust. An otherwise qualified trust will be in-effective to insulate the grantor or bene-ficiary from attribution with the trust’s as-sets unless all voting stock interests held bythe grantor or beneficiary in the relevantMDS licensee or cable television system aresubject to said trust.

(e) Subject to paragraph (i) of this note,holders of non-voting stock shall not be at-tributed an interest in the issuing entity.Subject to paragraph (i) of this note, holdersof debt and instruments such as warrants,convertible debentures, options or other non-voting interests with rights of conversion tovoting interests shall not be attributed un-less and until conversion is effected.

(f)(1) A limited partnership interest shallbe attributed to a limited partner unlessthat partner is not materially involved, di-rectly or indirectly, in the management oroperation of the MDS or cable television ac-tivities of the partnership and the licensee orsystem so certifies. An interest in a LimitedLiability Company (‘‘LLC’’) or RegisteredLimited Liability Partnership (‘‘RLLP’’)shall be attributed to the interest holder un-less that interest holder is not materially in-volved, directly or indirectly, in the manage-ment or operation of the MDS or cable tele-vision activities of the partnership and thelicensee or system so certifies.

(2) For a licensee or system that is a lim-ited partnership to make the certificationset forth in paragraph (f)(1) of this note, itmust verify that the partnership agreementor certificate of limited partnership, with re-spect to the particular limited partner ex-empt from attribution, establishes that theexempt limited partner has no material in-volvement, directly or indirectly, in themanagement or operation of the MDS orcable television activities of the partnership.For a licensee or system that is an LLC orRLLP to make the certification set forth inparagraph (f)(1) of this note, it must verifythat the organizational document, with re-spect to the particular interest holder ex-empt from attribution, establishes that theexempt interest holder has no material in-volvement, directly or indirectly, in themanagement or operation of the MDS orcable television activities of the LLC orRLLP. The criteria which would assume ade-quate insulation for purposes of this certifi-cation are described in the MemorandumOpinion and Order in MM Docket No. 83–46,50 FR 27438, July 3, 1985, as modified on re-consideration in the Memorandum Opinionand Order in MM Docket No. 83–46, 52 FR1630, January 15, 1987. Irrespective of theterms of the certificate of limited partner-ship or partnership agreement, or other or-

ganizational document in the case of an LLCor RLLP, however, no such certificationshall be made if the individual or entitymaking the certification has actual knowl-edge of any material involvement of the lim-ited partners, or other interest holders in thecase of an LLC or RLLP, in the managementor operation of the MDS or cable televisionbusinesses of the partnership or LLC orRLLP.

(3) In the case of an LLC or RLLP, the li-censee or system seeking installation shallcertify, in addition, that the relevant statestatute authorizing LLCs permits an LLCmember to insulate itself as required by ourcriteria.

(g) Officers and directors of an MDS li-censee or cable television system are consid-ered to have a cognizable interest in the en-tity with which they are so associated. Ifany such entity engages in businesses in ad-dition to its primary business of MDS orcable television service, it may request theCommission to waive attribution for any of-ficer or director whose duties and respon-sibilities are wholly unrelated to its primarybusiness. The officers and directors of a par-ent company of an MDS licensee or cable tel-evision system, with an attributable interestin any such subsidiary entity, shall bedeemed to have a cognizable interest in thesubsidiary unless the duties and responsibil-ities of the officer or director involved arewholly unrelated to the MDS licensee orcable television system subsidiary, and astatement properly documenting this fact issubmitted to the Commission. [This state-ment may be included on the Licensee Quali-fication Report.] The officers and directorsof a sister corporation of an MDS licensee orcable television system shall not be attrib-uted with ownership of these entities by vir-tue of such status.

(h) Discrete ownership interests will be ag-gregated in determining whether or not aninterest is cognizable under this section. Anindividual or entity will be deemed to have acognizable investment if:

(1) The sum of the interests held by orthrough ‘‘passive investors’’ is equal to orexceeds 20 percent; or

(2) The sum of the interests other thanthose held by or through ‘‘passive investors’’is equal to or exceeds 5 percent; or

(3) The sum of the interests computedunder paragraph (h)(1) of this note plus thesum of the interests computed under para-graph (h)(2) of this note is equal to or ex-ceeds 20 percent.

(i) Notwithstanding paragraphs (e) and (f)of this note, the holder of an equity or debtinterest or interests in an MDS licensee orcable television system subject to the MDS/cable cross-ownership rule (‘‘interest hold-er’’) shall have that interest attributed if:

(1) the equity (including all stockholdings,whether voting or nonvoting, common or


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preferred) and debt interest or interests, inthe aggregate, exceed 33 percent of the totalasset value (all equity plus all debt) of thatMDS licensee or cable television system; and

(2) The interest holder also holds an inter-est in an MDS licensee or cable televisionsystem that is attributable under paragraphsof this note other than this paragraph (i) andwhich operates in any portion of the fran-chise area served by that cable operator’scable system.

(j) The term ‘‘area served by a cable sys-tem’’ means any area actually passed by thecable operator’s cable system and which canbe connected for a standard connection fee.

(k) As used in this section ‘‘cable oper-ator’’ shall have the same definition as in§ 76.5 of this chapter.

NOTE 2 TO § 21.912: The Commission will en-tertain requests to waive the restrictions inparagraph (a) of this section where necessaryto ensure that all significant portions of thefranchise area are able to obtain multi-channel video service. Such waiver requestsshould be filed in accordance with special re-lief procedures set forth in § 76.7.

(d) The provisions of paragraphs (a)through (c) of this section will notapply to one MDS or MMDS channelused to provide locally-produced pro-gramming to cable headends. Locally-produced programming is programmingproduced in or near the cable opera-tor’s franchise area and not broadcaston a television station available withinthat franchise area. A cable operatorwill be permitted one MDS channel inan MMDS protected service area forthis purpose, and no more than oneMDS channel in an MMDS protectedservice area may be used by a cable tel-evision company or its affiliate or les-sor pursuant to this paragraph. The li-censee for a cable operator providinglocal programming pursuant to a leasemust include in a notice filed with theCommon Carrier Bureau a cover letterexplicitly identifying itself or its lesseeas a local cable operator and statingthat the lease was executed to facili-tate the provision of local program-ming. The first application or the firstlease notification in an area filed withthe Commission will be entitled to theexemption. The limitations on oneMDS channel per party and per area in-clude any cable/MDS operations grand-fathered pursuant to paragraph (f) ofthis section or cable/ITFS operationsgrandfathered pursuant to § 74.931(e) ofthis chapter.1 The cable operator mustdemonstrate in its MDS/MMDS appli-

cation that the proposed local pro-gramming will be provided within oneyear from the date its application isgranted. Local programming servicepursuant to a lease must be providedwithin one year of the date of the leaseor one year of grant of the licensee’sapplication for the leased channel,whichever is later. If an MDS licensefor these purposes is granted and theprogramming is subsequently discon-tinued, the license will be automati-cally forfeited the day after local pro-gramming service is discontinued.

(e) Applications filed by cable tele-vision companies, or affiliates, forMDS channels prior to February 8, 1990,will not be subject to the prohibitionsof this section. Applications filed onFebruary 8, 1990, or thereafter will bereturned. Lease arrangements betweencable and MDS entities for which alease or a firm agreement was signedprior to February 8, 1990, will also notbe subject to the prohibitions of thissection. Leases between cable tele-vision companies, or affiliates, andMDS/MMDS station licensees, condi-tional licensees, or applicansts exe-cuted on February 8, 1990, or there-after, are invalid.

(1) Applications filed by cable opera-tors, or affiliates, for MMDS channelsprior to February 8, 1990, will not besubject to the prohibitions of this sec-tion. Except as provided in paragraph(e)(2) below, applications filed on Feb-ruary 8, 1990, or thereafter will be re-turned. Lease arrangements betweencable and MDS entities for which alease or a firm agreement was signedprior to February 8, 1990, will also notbe subject to the prohibitions of thissection. Except as provided in para-graph (e)(2) below, leases between cableoperators, or affiliates, and MDS/MMDS station licensees, conditional li-censees, or applicants executed on orbefore February 8, 1990, or thereafterare invalid.

(2) Applications filed by cable opera-tors, or affiliates for MDS channelsafter February 8, 1990, and prior to Oc-tober 5, 1992, will not be subject to theprohibition of this section, if, pursuantto the then existing overbuild or ruralexceptions, the applications were al-lowed under the then existing cable/MMDs cross-ownership prohibitions.


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Lease arrangements between cable op-erators and MDS entities for which alease or firm agreement was signedafter February 8, 1990, and prior to Oc-tober 5, 1992, will not be subject to theprohibitions of this section, if, pursu-ant to the then existing rural and over-build exceptions, the lease arrange-ments were allowed.

(3) The limitations on cable tele-vision ownership in this section do notapply to any cable operator in anyfranchise area in which a cable oper-ator is subject to effective competitionas determined under section 623(l) ofthe Communications Act.

(f) Interested persons may file a peti-tion to deny an application filed pursu-ant to paragraph (d) of this sectionwithin 30 days after the Commissiongives public notice that the applicationor petition has been filed. Petitionsmust be served upon the applicant, andmust contain a complete and detailedshowing, supported by affidavit, of anyfacts or considerations relied upon. Theapplicant may file an opposition to thepetition to deny within 30 days afterthe filing of the petition, and mustserve copies upon all persons who havefiled petitions to deny. The Commis-sion, after consideration of the plead-ings, will determine whether the publicinterest, convenience and necessitywould be served by the grant or denialof the application, in whole or in part.The Commission may specify otherprocedures, such as oral argument, evi-dentiary hearing or further writtensubmission directed to particular as-pects, as it deems appropriate.

NOTES: In these grandfathered situations,we will consider granting waivers to permitthe use of a second MDS channel for the de-livery of locally produced programming. Be-cause allocating a second channel to this usewould further reduce the channel capacityavailable for wireless cable service, we willrequire an applicant for the second channelto demonstrate, at a minimum, that it isready and able to provide additional locallyproduced programming to area cable sys-tems, and that no other practical means ofdelivering the programming are available toit. In considering requests for waiver, we willalso take into account the competitive envi-ronment for the production and delivery of

locally produced programming in the rel-evant markets.

[55 FR 46011, Oct. 31, 1990, as amended at 56FR 57818, Nov. 14, 1991; 58 FR 42018, Aug. 6,1993; 58 FR 45064, Aug. 26, 1993; 61 FR 15387,Apr. 8, 1996; 64 FR 50644, Sept. 17, 1999; 66 FR9971, Feb. 13, 2001]

§ 21.913 Signal booster stations.

(a) An MDS booster station mayreuse channels to repeat the signals ofMDS stations or to originate signals onMDS channels. The aggregate powerflux density generated by an MDS sta-tion and all associated signal boosterstations and all simultaneously oper-ating cochannel response stations maynot exceed ¥73 dBW/m2 (or the appro-priately adjusted value based on theactual bandwidth used if other than 6MHz, see § 21.902(b)(7)(i)) at or beyondthe boundary of the protected servicearea, as defined in §§ 21.902(d) and 21.933,of the main MDS station whose chan-nels are being reused, as measured atlocations for which there is an unob-structed signal path, unless the con-sent of the affected cochannel licenseeis obtained.

(b) A licensee or conditional licenseeof an MDS station, or the capacity les-see of such MDS station upon the writ-ten consent of the licensee or condi-tional licensee, may secure a licensefor a high power signal booster stationthat has a maximum EIRP in excess of¥9 dBW + 10 log(X/6) dBW where X isthe channel width in MHz, if it com-plies with the out-of-band emission re-quirements of § 21.908. Any licensee of ahigh-power booster station that is a ca-pacity lessee shall, upon terminationor expiration of the capacity lease,automatically assign the booster sta-tion license to the licensee or condi-tional licensee of the MDS station byand upon written notice to the Com-mission signed by the lessee and suchlicensee or conditional licensee. If upontermination or expiration of the capac-ity lease the licensee or conditional li-censee no longer desires or needs thehigh-power booster station license,such a license must be returned to theCommission. The applicant for a high-power station, or for modificationthereto, where not subject to § 21.41 or§ 21.42, shall file FCC Form 331 withMellon Bank, and certify on that form


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that the applicant has complied withthe additional requirements of thisparagraph (b), and that the inter-ference data submitted under this para-graph is complete and accurate. Fail-ure to certify compliance and to com-ply completely with the following re-quirements of this paragraph (b) shallresult in dismissal of the application orrevocation of the high-power MDS sig-nal booster station license, and may re-sult in imposition of a monetary for-feiture. The applicant is additionallyrequired to submit (see § 21.902(m) forpermissible format(s) and media) to theCommission’s Reference Room the fol-lowing information:

(1) A demonstration that the pro-posed signal booster station site iswithin the protected service area, asdefined in §§ 21.902(d) and 21.933, of theMDS station whose channels are to bereused; and

(2) A study which demonstrates thatthe aggregate power flux density of theMDS station and all associated boosterstations and simultaneously operatingcochannel response stations licensed toor applied for by the applicant, meas-ured at or beyond the boundary of theprotected service area of the MDS sta-tion whose channels are to be reused,does not exceed ¥73 dBW/m2 (or the ap-propriately adjusted value based on theactual bandwidth used if other than 6MHz, see § 21.902(b)(7)(i)) at locationsfor which there is an unobstructed sig-nal path, unless the consent of the af-fected licensees has been obtained; and

(3) In lieu of the requirements of§ 21.902(c) and (i), a study which dem-onstrates that the proposed boosterstation will cause no harmful inter-ference (as defined in § 21.902(f)) to co-channel and adjacent channel, author-ized or previously-proposed ITFS andMDS stations with protected servicearea center coordinates as specified in§ 21.902(d), to any authorized or pre-viously-proposed response station hubs,booster stations or I channel stationsassociated with such ITFS and MDSstations, or to any ITFS receive sitesregistered as of September 17, 1998,within 160.94 kilometers (100 miles) ofthe proposed booster station’s trans-mitter site. Such study shall considerthe undesired signal levels generatedby the proposed signal booster station,

the main station, all other licensed orpreviously-proposed associated boosterstations, and all simultaneously oper-ating cochannel response stations li-censed to or applied for by the appli-cant. In the alternative, a statementfrom the affected MDS or ITFS li-censee or conditional licensee statingthat it does not object to operation ofthe high-power MDS signal booster sta-tion may be submitted; and

(4) A description of the booster serv-ice area; and

(5) A demonstration either(i) That the booster service area is

entirely within the protected servicearea to which the licensee of a stationwhose channels are being reused is en-titled by virtue of its being the licenseeof an incumbent MDS station, or byvirtue of its holding a Basic TradingArea or Partitioned Service Area au-thorization; or

(ii) That the licensee entitled to anycochannel protected service area whichis overlapped by the proposed boosterservice area has consented to suchoverlap; and

(6) A demonstration that the pro-posed booster service area can beserved by the proposed booster withoutinterference; and

(7) A certification that copies of thematerials set forth in paragraph (b) ofthis section have been served upon thelicensee or conditional licensee of eachstation (including each response sta-tion hub and booster station) requiredto be studied pursuant to paragraph(b)(3) of this section, and upon any af-fected holder of a Basic Trading Areaor Partitioned Service Area authoriza-tion pursuant to paragraph (b)(2) ofthis section.

(8) If the applicant is a capacity les-see, a certification that:

(i) The licensee or conditional li-censee has provided its written consentto permit the capacity lessee to applyfor the booster station license; and

(ii) The applicant and the licensee orconditional licensee have entered intoa lease that is in effect at the time ofsuch filing.

(c) Except as provided in § 21.27(d), ap-plications for high-power MDS signalbooster station licenses may be filed atany time. Notwithstanding any otherprovision of part 21 (including § 21.31),


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applications for high-power MDS signalbooster station licenses meeting the re-quirements of paragraph (b) of this sec-tion shall cut-off applications that arefiled on a subsequent day for facilitiesthat would cause harmful electro-magnetic interference to the proposedbooster stations.

(d) Notwithstanding the provisions of§ 21.30(a)(4) and except as provided in§ 21.27(d), any petition to deny an appli-cation for a high-power MDS signalbooster station license shall be filed nolater than the sixtieth (60th) day afterthe date of public notice announcingthe filing of such application or majoramendment thereto. Notwithstanding§ 21.31 and except as provided in§ 21.27(d), an application for a high-power MDS signal booster station li-cense that meets the requirements ofparagraph (b) of this section shall begranted on the sixty-first (61st) dayafter the Commission shall have givenpublic notice of the acceptance for fil-ing of it, or of a major amendment toit if such major amendment has beenfiled, unless prior to such date either aparty in interest timely files a formalpetition to deny or for other relief pur-suant to § 21.30(a), or the Commissionnotifies the applicant that its applica-tion will not be granted. Where an ap-plication is granted pursuant to theprovisions of this paragraph, the condi-tional licensee or licensee shall main-tain a copy of the application at theMDS booster station until such time asthe Commission issues a high-powerMDS signal booster station license.

(e) A licensee or conditional licenseeof an MDS station, or the capacity li-censee of such MDS station upon thewritten consent of the licensee or con-ditional licensee, shall be eligible to in-stall and operate a low power signalbooster station that has a maximumEIRP of ¥9 dBW + log10(X/6) dBW,where X is the channel width in MHz. Alow-power MDS signal booster stationmay operate only on one or more MDSchannels that are licensed to the li-censee of the MDS booster station, butmay be operated by a third party witha fully-executed lease or consent agree-ment with the MDS conditional li-censee or licensee. Any licensee of alow-power booster station that is a ca-pacity lessee shall, upon termination

or expiration of the capacity lease,automatically assign the booster sta-tion license to the licensee or condi-tional licensee of the MDS station byand upon written notice to the Com-mission signed by the lessee and suchlicensee or conditional licensee. If upontermination or expiration of the capac-ity lease the licensee or conditional li-censee no longer desires or needs thelow-power booster station license, sucha license must be returned to the Com-mission. An MDS licensee, conditionallicensee, or capacity lessee thereof,may install and commence operation ofa low-power MDS signal booster sta-tion for the purpose of retransmittingthe signals of the MDS station or fororiginating signals. Such installationand operation shall be subject to thecondition that for sixty (60) days afterinstallation and commencement of op-eration, no objection or petition todeny is filed by the licensee of a, or ap-plicant for a previously-proposed, co-channel or adjacent channel ITFS orMDS station with a transmitter within8.0 kilometers (5 miles) of the coordi-nates of the low-power MDS signalbooster station. An MDS licensee, con-ditional licensee, or capacity lesseethereof seeking to install a low-powerMDS signal booster station under thisrule must submit a FCC Form 331 tothe Commission within 48 hours afterinstallation. In addition, the MDS li-censee, conditional licensee, or capac-ity lessee must submit the followinginformation (see § 21.902(m) for permis-sible format(s) and media) to the Com-mission’s Reference Room:

(1) A description of the booster serv-ice area; and

(2) A demonstration either(i) That the booster service area is

entirely within the protected servicearea to which each licensee of a stationwhose channels are being reused is en-titled by virtue of its being the licenseeof an incumbent MDS station, or byvirtue of its holding a Basic TradingArea or Partitioned Service Area au-thorization; or

(ii) That the licensee entitled to anycochannel protected service area whichis overlapped by the proposed boosterservice area has consented to suchoverlap; and


91


(3) A demonstration that the pro-posed booster service area can beserved by the proposed booster withoutinterference; and

(4) A certification that:(i) The maximum power level of the

signal booster transmitter does not ex-ceed ¥9 dBW + 10 log(X/6) dBW, whereX is the channel width in MHz; and

(ii) Where the booster is operating onchannel D4, E1, F1, E2, F2, E3, F3, E4,F4 and/or G1, no registered receiver ofan ITFS E or F channel station, con-structed prior to May 26, 1983, is lo-cated within a 1.61 km (1 mile) radiusof the coordinates of the booster, or inthe alternative, that a consent state-ment has been obtained from the af-fected ITFS licensee; and

(iii) The applicant has complied with§ 1.1307 of this chapter; and

(iv) Each MDS and/or ITFS station li-censee (including the licensees ofbooster stations and response stationhubs) with protected service areas and/or registered receivers within a 8 km (5mile) radius of the coordinates of thebooster has been given notice of its in-stallation; and

(v) The signal booster site is withinthe protected service area of the MDSstation whose channels are to be re-used; and

(vi) The aggregate power flux densityof the MDS station and all associatedbooster stations and simultaneouslyoperating cochannel response stationslicensed to or applied for by the appli-cant, measured at or beyond the bound-ary of the protected service areas ofthe MDS stations whose channels areto be reused, does not exceed ¥73 dBW/m2 (or the appropriately adjusted valuebased on the actual bandwidth used ifother than 6 MHz, see § 21.902(b)(7)(i)) atlocations for which there is an unob-structed signal path, unless the con-sent of the affected licensees has beenobtained; and

(vii) The antenna structure will ex-tend less than 6.10 meters (20 feet)above the ground or natural formationor less than 6.10 meters (20 feet) abovean existing manmade structure (otherthan an antenna structure); and

(viii) The applicant understands andagrees that, in the event harmful inter-ference is claimed by the filing of anobjection or petition to deny, it must

terminate operation within two (2)hours of notification by the Commis-sion, and must not recommence oper-ation until receipt of written author-ization to do so by the Commission;and

(ix) If the applicant is a capacity les-see, a certification that:

(A) The licensee or conditional li-censee has provided its written consentto permit the capacity lessee to applyfor the booster station license; and

(B) The applicant and the licensee orconditional licensee have entered intoa lease that is in effect at the time ofsuch filing.

(f) Commencing upon the filing of anapplication for a high-power MDS sig-nal booster station license and untilsuch time as the application is dis-missed or denied or, if the applicationis granted, a certification of comple-tion of construction is filed, an appli-cant for any new or modified MDS orITFS station (including a response sta-tion hub, high-power booster station,or I Channels station) shall dem-onstrate compliance with the inter-ference protection requirements setforth in §§ 21.902 (b)(3) through (b)(5),21.938 (b) (1) and (2) and (c), or 74.903 ofthis chapter with respect to any pre-viously-proposed or authorized boosterservice area both using the trans-mission parameters of the high-powerMDS signal booster station (e.g., EIRP,polarization(s) and antenna height) andthe transmission parameters of theMDS station whose channels are to bereused by the high-power MDS signalbooster station. Upon the filing of acertification of completion of construc-tion of an MDS booster station appliedfor pursuant to paragraph (b) of thissection, or upon the submission of anMDS booster station notification pur-suant to paragraph (e) of this section,the MDS station whose channels arebeing reused by the MDS signal boostershall no longer be entitled to inter-ference protection pursuant to §§ 21.902(b)(3) through (b)(5), 21.938 (b) (1) and (2)and (c), and 74.903 of this chapter with-in the booster service area based on thetransmission parameters of the MDSstation whose channels are being re-used. A booster station shall not be en-titled to protection from interferencecaused by facilities proposed on or


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47 CFR Ch. I (10–1–01 Edition)§ 21.914

prior to the day the application or no-tification for the booster station isfiled. A booster station shall not be re-quired to protect from interference fa-cilities proposed on or after the day theapplication or notification for thebooster station is filed.

(g) Where an application is grantedunder paragraph (d) of this section, if afacility operated pursuant to thatgrant causes harmful, unauthorized in-terference to any cochannel or adja-cent channel facility, it must promptlyremedy the interference or imme-diately cease operations of the inter-fering facility, regardless of whetherany petitions to deny or for other reliefwere filed against the application dur-ing the application process. The burdenof proving that a high-power MDS sig-nal booster station is not causingharmful, unauthorized interference lieson the licensee of the alleged inter-fering facility, following the filing of adocumented complaint of interferenceby an affected party.

(h) In the event any MDS or ITFS re-ceive site suffers interference due toblock downconverter overload, the li-censee of each non-co/adjacent channelsignal booster station within five milesof such receive site shall cooperate ingood faith to expeditiously identify thesource of the interference. Each li-censee of a signal booster station con-tributing to such interference shallbear the joint and several obligation toremedy promptly all interference re-sulting from block downconverter over-load at any ITFS registered receivesite or at any receive site within anMDS or ITFS protected service areaapplied for prior to the submission ofthe application or notification for thesignal booster station, regardless ofwhether the receive site suffering theinterference was constructed prior toor after the construction of the signalbooster station(s) causing thedownconverter overload; provided,however, that the licensee of the reg-istered ITFS receive site or the MDS orITFS protected service area must co-operate fully and in good faith with ef-forts by signal booster station licens-ees to prevent interference before con-structing the signal booster stationand/or to remedy interference that mayoccur. In the event that more than one

signal booster station licensee contrib-utes to block downconverter inter-ference at an MDS or ITFS receive site,such licensees shall cooperate in goodfaith to remedy promptly the inter-ference.

[63 FR 65109, Nov. 25, 1998; 64 FR 4054, Jan. 27,1999, as amended at 64 FR 63736, Nov. 22, 1999;65 FR 46619, July 31, 2000]

EFFECTIVE DATE NOTE: At 65 FR 46619, July31, 2000, § 24.913 was amended by revisingparagraphs (b) introductory text, (b)(8), and(e)(4)(ix). These paragraphs contain informa-tion collection and recordkeeping require-ments and will not become effective until ap-proval has been given by the Office of Man-agement and Budget.

§ 21.914 Mutually-exclusive MDS appli-cations.

Notwithstanding the provisions of§ 21.31 (b)(2)(i) and (ii) of this part, to beentitled to be included in a random se-lection process or to comparative con-sideration with one or more conflictingapplications, an application for fre-quencies at 2150–2162 MHz, 2596–2644MHz, 2650–2656 MHz, 2662–2668 MHz, or2674–2680 MHz must be received by theCommission in a condition acceptablefor filing on the same calendar day asthe first of the conflicting applicationsis received by the Commission in a con-dition acceptable for filing.

[55 FR 46012, Oct. 31, 1990, as amended at 56FR 57819, Nov. 14, 1991]

§ 21.915 One-to-a-market requirement.Each applicant may file only a single

Multipoint Distribution Service appli-cation for the same channel or channelgroup in each area. The stockholders,partners, owners, trustees, bene-ficiaries, officers, directors, or anyother person or entity holding, directlyor indirectly, any interest in one appli-cant or application for an area andchannel or channel group, must nothave any interest, directly or indi-rectly, in another applicant or applica-tion for that same area and channel orchannel group.

[58 FR 11799, Mar. 1, 1993]

§ 21.920 Applicability of cable tele-vision EEO requirements to MDSand MMDS facilities.

Notwithstanding other EEO provi-sions within § 1.815 of this chapter and


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§ 21.307, an entity that uses an owned orleased MDS, MMDS and/or ITFS facil-ity to provide more than one channelof video programming directly to thepublic must comply with the equal em-ployment opportunity requirements setforth in part 76, subparts E and U ofthis chapter, if such entity exercisescontrol (as defined in part 76, subpartsE and U of this chapter) over the videoprogramming it distributes.

[58 FR 42249, Aug. 9, 1993, as amended at 65FR 53614, Sept. 5, 2000]

§ 21.921 Basis and purpose for elec-tronic filing and competitive bid-ding process.

(a) Basis. The rules for competitivebiding procedures for the MultipointDistribution Service (MDS) in this partare promulgated under the provisionsof the Communications Act of 1934, asamended, which vests authority in theFederal Communications Commissionto regulate radio transmission and toissue licenses for radio stations, and§ 309(j) of the Act, which vests author-ity in the Commission to conduct com-petitive bidding.

(b) Purpose. This part states the con-ditions under which portions of theradio spectrum are made available andlicensed for Multipoint DistributionService via the competitive biddingprocedures.

(c) Scope. The rules in this part applyonly to authorizations and station li-censes granted under the competitivebidding procedures of this section. Thissubpart contains some of the proce-dures and requirements for theissuance of authorizations to constructand operate multipoint distributionservices. One also should consult part1, subpart Q of the Commission’s rules,§§ 21.1 through 21.406 and 21.900 through21.920 of this part, and other Commis-sion rules of importance with respectto the licensing and operation of MDSstations.

[60 FR 36554, July 17, 1995]

§ 21.922 Authorized frequencies.The frequencies in the MDS service

through the competitive bidding proc-ess are in the frequency allocationstable of § 21.901 of this part.

[60 FR 36555, July 17, 1995]


Any individual or entity, other thanthose precluded by §§ 21.4 and 21.912 ofthis part, is eligible to receive a BasicTrading Area (BTA) authorization anda station license for each individualMDS station within the BTA. There isno restriction on the number of BTAauthorizations or MDS station li-censes, including multiple cochannelstation licenses, sought by or awardedto a qualified individual or entity.

[60 FR 36555, July 17, 1995]

§ 21.924 Service areas.

(a) MDS service areas are regionalBasic Trading Areas (BTAs) which arebased on the Rand McNally 1992 Com-mercial Atlas & Marketing Guide, 123rdEdition, at pages 38–39. The BTA Mapis available for public inspection at theReference Information Center, Con-sumer Information Bureau, FederalCommunications Commission, 445 12thStreet, SW, Washington, DC 20554.

(b) The following additions will beavailable for licensing separately asBTA-like areas: American Samoa;Guam; Northern Mariana Islands; SanJuan, Puerto Rico; Mayagüez/Agua-dilla-Ponce, Puerto Rico; and theUnited States Virgin Islands.

(c) The area within the boundaries ofa BTA to which a BTA authorizationholder may provide Multipoint Dis-tribution Service excludes the pro-tected service areas of any incumbentMDS stations and previously proposedand authorized ITFS facilities, includ-ing registered receive sites.

[60 FR 36555, July 17, 1995, as amended at 60FR 57367, Nov. 15, 1995; 64 FR 60726, Nov. 8,1999]

§ 21.925 Applications for BTA author-izations and MDS station licenses.

(a)(1) An applicant must file a short-form application and, when necessary,the short-form application supplement,identifying each BTA service author-ization sought.

(2) For purposes of conducting com-petitive bidding procedures, short-formapplications are considered to be mutu-ally exclusive with each other if theywere filed for, and specified, the sameBTA service area.


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47 CFR Ch. I (10–1–01 Edition)§ 21.926

(b) Separate long-form applicationsmust be filed for each individual MDSstation license sought within the pro-tected service area of a BTA or PSA,including:

(1) An application for each E-channelgroup, F-channel group, and single H,1, and 2A channel station licensesought;

(2) An application for each site whereone or more MDS response station hublicense(s) is/are sought, provided thatthe technical parameters of each MDSresponse station hub are the same;

(3) An application for each site whereone or more MDS booster station(s)will operate with an EIRP in excess of¥9 dBW (or, when subchannels orsuperchannels, or 125 kHz channels, areused, the appropriately adjusted valuebased upon the ratio of 6 MHz to thesubchannel or superchannel, or 125kHz, bandwidth);

(4) An application for authority tooperate at an MDS station in the areavacated by an MDS station incumbentthat has forfeited its station license;and

(5) An application for each ITFS-channel group station license sought inaccordance with §§ 74.990 and 74.991 ofthis chapter.

(c) The Commission shall grant BTAauthorizations to auction winners asset forth in § 21.958.

(d) No long-form application filed bythe BTA authorization holder will beaccepted prior to completion of thecompetitive bidding process and nolong-form application will be granteduntil expiration of the 30-day petitionto deny period following the public no-tice listing of the application as beingaccepted for filing

(e) Applicants may use the electronicfiling procedures to file both theMultipoint Distribution Service short-form and long-form applications withthe Commission.

[60 FR 36555, July 17, 1995, as amended at 60FR 57367, Nov. 15, 1995; 63 FR 65112, Nov. 25,1998]

§ 21.926 Amendments to long-form ap-plications.

(a) A Multipoint Distribution Servicelong-form application may be amendedas a matter of right up to the date ofthe public notice announcing the appli-

cation has been accepted for filing pro-vided that:

(1) The proposed amendments do notamount to more than a pro formachange of ownership and control;

(2) The Commission has not other-wise forbidden the amendment of pend-ing applications.

(b) Requests to amend a long-formapplication placed on public notice asbeing accepted for filing may be grant-ed only if a written petition dem-onstrating good cause is submitted andproperly served on the parties ofrecord.

[60 FR 36555, July 17, 1995]

§ 21.927 Sole bidding applicants.Where the deadline for filing MDS

short-form applications has expiredand a particular BTA service area hasbeen specified in a single short-formapplication only, the applicant shall benamed the auction winner for thatBTA authorization.

[60 FR 36555, July 17, 1995]

§ 21.928 Acceptability of short- andlong-form applications.

The acceptability of short- and long-form applications will be determinedaccording to the requirements of§§ 21.13, 21.15, 21.20, 21.21 and 21.952.

[60 FR 36555, July 17, 1995]

§ 21.929 Authorization period for sta-tion licenses.

(a)(1) A BTA authorization will begranted for a term of ten years, termi-nating ten years from the date of theCommission declared bidding closed inthe MDS auction.

(2) A BTA authorization shall auto-matically terminate without furthernotice to the licensee upon expirationof the ten-year license term unlessprior thereto an application for re-newal of such license has been filedwith the Commission.

(b) Notwithstanding § 21.45, each newMDS station licensed within a BTA orPSA will be granted for a term of tenyears, terminating ten years from thedate the Commission declared biddingclosed in the MDS auction.

[60 FR 36555, July 17, 1995, as amended at 60FR 57367, Nov. 15, 1995]


95


§ 21.930 Five-year build-out require-ments.

(a)(1) A BTA authorization holder hasa five-year build-out period, beginningon the date of the grant of the BTA au-thorization and terminating on the 5thyear anniversary of the grant of theauthorization, within which it may de-velop and expand MDS station oper-ations within its service area.

(2) This period is not extended by thegrant of subsequent authorizations(i.e., grant of a station license or modi-fication).

(3) Timely certifications of comple-tion of construction for each MDS sta-tion within a BTA or partitioned serv-ice area must be filed upon completionof construction of a station.

(b) Each BTA authorization holderhas the exclusive right to build, de-velop, expand and operate MDS sta-tions within its BTA service area dur-ing the five-year build-out period. TheCommission will not accept competingapplications for MDS station licenseswithin the BTA service area duringthis period.

(c)(1) Within five years of the grantof a BTA authorization, the authoriza-tion holder must construct MDS sta-tions to provide signals pursuant to§ 21.907 that are capable of reaching atleast two-thirds of the population ofthe applicable service area, excludingthe populations within protected serv-ice areas of incumbent stations.

(2) Sixty days prior to the end of thefive-year build out period, the BTA au-thorization holder must file with theCommission proof that demonstratesthe holder has met the requirements of§ 21.930(c)(1). The most recent censusfigures available from the U.S. Depart-ment of Commerce, Bureau of Censusprior to the expiration of the author-ization holder’s five-year build-out pe-riod will be used to determine compli-ance with population-based require-ments. In no event shall census figuresgathered prior to 1990 be used.

(d)(1) If the Commission finds thatthe BTA authorization holder has dem-onstrated that it has met the require-ments of § 21.930(c)(1), the Commissionwill issue a declaration that the holderhas met such requirements.

(2) If the Commission finds that theBTA authorization holder has not pro-

vided a signal as required in§ 21.930(c)(1), the Commission shall par-tition from the BTA any unserved area,using county lines as a guide, and shallre-authorize service to the unservedarea pursuant to the MDS competitivebidding procedures of this subpart. Ap-plications for such unserved areas arenot acceptable for filing until a filingdate is announced through a public no-tice.

(i) The competitive bidding proce-dures set forth in §§ 21.950 to 21.961 shallbe followed by applicants seeking au-thority to provide MDS service to theunserved partitioned area.

(ii) The BTA authorization holderoriginally authorized to provide serviceis ineligible to participate in the com-petitive bidding process for theunserved areas partitioned from itsBTA.

[60 FR 36555, July 17, 1995]

§ 21.931 Partitioned service areas(PSAs).

(a)(1) The holder of a BTA authoriza-tion may enter into contracts with eli-gible parties to partition any portionof its service area according to countyboundaries, or according to other geo-political subdivision boundaries, ormultiple contiguous counties or geo-political subdivisions within the BTAservice area.

(2)(i) Partitioning contracts must befiled with the Commission within 30days of the date that such agreementsare reached.

(ii) The contracts must include de-scriptions of the areas being parti-tioned and include any documentationnecessary to convey to the Commissionthe precise boundaries of the parti-tioned area.

(3) Parties to partitioning contractsmust file concurrently with such con-tracts one of the following, where ap-propriate:

(i) An MDS long-form application forauthority to operate a new MDS sta-tion within the PSA;

(ii) Applications for assignment ortransfer of existing stations with thePSA; or

(iii) A statement of intention as de-fined in § 21.956(a) along with a com-pleted FCC Form 430.


96

47 CFR Ch. I (10–1–01 Edition)§ 21.932

(b) The eligibility requirements ap-plicable to BTA authorization holdersalso apply to those individuals and en-tities seeking PSA authorizations.

(c) Any individual or entity acquiringthe rights to a partitioned area of aBTA also acquires the rights to anypreviously authorized individual sta-tions located within the partitionedarea that were held by the previous au-thorization holder, provided thatgrantable applications for assignmentand transfer of control, FCC Forms 702and 704, are filed for existing stationsand that acceptable amendments topending long-form applications arefiled. Pending long-form applicationsfiled by the previous authorizationholder for transmitter sites within thePSA may also be dismissed withoutprejudice at the applicant’s request.

(d) Authorizations for PSAs will beissued in accordance with § 21.958; how-ever, when individual stations withinan PSA are assigned along with thepartitioned area, the authorization willbe granted concurrently with the grantof the applications for assignment andtransfer of the existing stations.

(e) Subsequent to issuance of the au-thorization for a PSA, thee partitionedarea will be treated as a separate pro-tected service area.

(f)(1) When any area within a BTA be-comes a PSA, the remaining countiesand other geopolitical subdivisionswithin that BTA will also be subse-quently treated and classified as aPSA(s).

(2) At the time a BTA is partitioned,the Commission shall cancel the BTAauthorization initially issued and issuea PSA authorization to the formerBTA authorization holder.

(g) The duties and responsibilitiesimposed upon BTA authorization hold-ers in this part and throughout theCommission’s rules, such as§ 21.930(c)(1), apply to the holders ofPSA authorizations.

(h) The build-out period for PSAs vol-untarily partitioned shall be the re-mainder of the five-year build-out pe-riod applicable to the BTA or PSAfrom which the PSA was drawn. ForPSA authorizations issued pursuant to§ 21.930(d)(2) and the competitive bid-ding process, the build-out period isfive years, beginning on the date of the

grant of the PSA authorization. Therequirements of § 21.930(c)(1) also applyto the holders of authorizations forPSAs.

[60 FR 36556, July 17, 1995]

§ 21.932 Forfeiture of incumbent MDSstation licenses.

(a) If the license for a incumbentMDS station is forfeited, absent the fil-ing and grant of a petition for rein-statement pursuant to § 21.44(b), the56.33 km (35 mile) protected servicearea of the incumbent station shall dis-solve and the protected service areashall become part of the BTA or PSAsurrounding it.

(b) If upon forfeiture the protectedservice area of a forfeited license ex-tends across the boundaries of morethan one BTA or PSA, the portions ofthe protected service area of the in-cumbent station shall merge with theoverlapping BTAs or PSAs.

(c) The holder of the authorizationfor the BTA or PSA with which theservice area of the forfeited incumbentstation has merged has the exclusiveright to file a long-form application tooperate a station within the mergedarea and may modify the locations ofits stations to serve the forfeited area.

[60 FR 36556, July 17, 1995]

§ 21.933 Protected service areas.(a) The stations licensed to the hold-

er of a BTA authorization shall have aprotected service area that is cotermi-nous with the boundaries of that BTA,subject to the exclusion of the 56.33 km(35 mile) protected service area of in-cumbent MDS stations and of pre-viously proposed and authorized ITFSfacilities within that BTA, even ifthese protected service areas extendinto adjacent BTAs. The protectedservice area also includes registered re-ceive sites.

(b) The stations licensed to the hold-er of a PSA authorization shall have aprotected service area that is cotermi-nous with the boundaries of the coun-ties or other geopolitical subdivisionscomprising the PSA, subject to the ex-clusion of the 56.33 km (35 mile) pro-tected service area of incumbent MDSstations and of previously proposed andauthorized ITFS facilities within that


97


PSA, even if these protected serviceareas extend into adjacent BTAs. Theprotected service area also includesregistered receive sites.

[60 FR 57367, Nov. 15, 1995]

§ 21.934 Assignment or transfer of con-trol of BTA authorizations.

(a)(1) A BTA or PSA authorizationholder seeking approval for a transferof control or assignment of its author-ization within three years of receivingsuch authorization through a competi-tive bidding procedure must, togetherwith its application for transfer of con-trol or assignment, file with the Com-mission a statement indicating that itsauthorization was obtained throughcompetitive bidding.

(2) Such applicant must also file withthe Commission the associated con-tracts for sale, option agreements,management agreements, or other doc-uments disclosing the total consider-ation that the applicant would receivein return for the transfer or assign-ment of its authorization. This infor-mation should include not only a mon-etary price, but also any future, con-tingent, in-kind, or other consideration(e.g., management or consulting con-tracts either with or without an optionto purchase; below market financing).

(b) Transfers of control or assign-ments of BTA or PSA authorizationsare subject to the limitations of §§ 21.4,21.900 and 21.912 of this subpart.

(c) The anti-trafficking provision of§ 21.39 does not apply to the assignmentor transfer of control of a BTA or PSAauthorization, which was granted pur-suant to the Commission’s competitivebidding procedures.

[60 FR 36556, July 17, 1995]

§ 21.935 Assignment or transfer of con-trol of station licenses within aBTA.

Licenses for individual stations with-in a BTA or PSA area issued to author-ization holders may not be transferredor assigned unless they are acquired aspart of a PSA.

[60 FR 36557, July 17, 1995]

§ 21.936 Cancellation of authorization.(a) The Commission may revoke or

cancel a BTA or PSA authorization for

gross misconduct, misrepresentation orbad faith on the part of the authoriza-tion holder.

(b) Cancellation of a BTA or PSA au-thorization shall result in terminationof any rights the authorization holderholds in individual proposed or author-ized stations within the BTA or PSA.

[60 FR 36557, July 17, 1995]

§ 21.937 Negotiated interference pro-tection.

(a) The level of acceptable electro-magnetic interference that occurs at orwithin the boundaries of BTAs, PSAs,or an incumbent MDS station’s 56.33km (35 mile) protected service area canbe negotiated and established by anagreement between the appropriateparties, provided that:

(1) The parties to such an agreementfile with the Commission a writtenstatement of no objection, acknowl-edging that the parties have agreed toaccept a level of interference that doesnot meet the protection standards setforth in §§ 21.902 or 21.938 of the Com-mission’s rules;

(2) The statement bears the signa-tures of all parties to the agreement,or the signatures of their representa-tive agents; and

(3) The statement is filed with theCommission within 30 days of its ratifi-cation or file in conjunction with anapplication with which the agreementis associated, whichever is earliest.

[60 FR 36557, July 17, 1995]

§ 21.938 BTA and PSA technical andinterference provisions.

(a) BTA or PSA authorization hold-ers are expected to cooperate with oneanother by designing their stations ina manner that protects service in ad-joining BTAs and PSAs including con-sideration of interference abatementtechniques such as cross polarization,frequency offset, directional antennas,antenna beam tilt, EIRP decrease, re-duction of antenna height, and terrainshielding.

(b) Unless the affected parties haveexecuted a written interference agree-ment in accordance with § 21.937, andsubject to the provisions of §§ 21.909,21.913, 21.949, 74.939 of this chapter,74.949 of this chapter and 74.985 of this


98

47 CFR Ch. I (10–1–01 Edition)§ 21.938

chapter regarding the protection of re-sponse station hubs, booster serviceareas and 125 kHz channels from harm-ful electromagnetic interference, sta-tions licensed to a BTA or PSA author-ization holder must not cause harmfulelectromagnetic interference to thefollowing:

(1) The protected service area ofother authorization holders in adjoin-ing BTAs or PSAs.

(2) The 56.33 km (35 mile) protectedservice areas of authorized or pre-viously proposed MDS stations (incum-bents).

(3) Registered receive sites and pro-tected service areas of authorized orpreviously proposed stations in the In-structional Television Fixed Servicepursuant to the manner in which inter-ference is defined in § 74.903(a).

(c)(1) ITFS applicants may locate anew station in an unused portion of aBTA or PSA where interference to apreviously-proposed or authorized MDSstation of a BTA or PSA authorizationholder would not be predicted.

(2) With respect to ITFS applicationsonly and for purposes of determiningthe existence of harmful electro-magnetic interference as caused toMDS stations licensed to BTA or PSAauthorization holders by subsequentlyproposed ITFS stations within thatBTA, MDS stations licensed to BTAand PSA authorization holders and willhave a protected service area of 56.33km (35 miles), centered on the antennasite of the MDS stations.

(3) The 56.33 km (35 mile) protectedservice area afforded to a previously-proposed or authorized MDS station ofa BTA or PSA authorization holderwith respect to a subsequently pro-posed ITFS station is entitled to theinterference protection standards of§ 21.902.

(4) An ITFS station authorized beforeSeptember 15, 1995 may be modified,provided the power flux density of thatstation does not exceed ¥73 dBW/m2 (orthe appropriate value for bandwidthother than 6 MHz) at locations alongthe 56.33 km (35 mile) circle centeredon the then-existing transmitting an-tenna site or service area of a collo-cated incumbent MDS station, as appli-cable.

(d) Unless the affected parties haveexecuted a written interference agree-ment in accordance with § 21.937, itshall be the responsibility of a BTA orPSA authorization holder to correct atits expense any condition of harmfulelectromagnetic interference caused toauthorized MDS service at locationswithin other BTAs or PSAs or withinthe 56.33 km (35 mile) protected serviceareas of authorized or previously pro-posed ITFS and MDS stations (incum-bents), or at authorized or previouslyproposed ITFS receive sites.

(e) Unless specifically excepted, BTAor PSA authorization holders are gov-erned by the interference protectionand other technical provisions applica-ble to MDS.

(f) The calculated free space powerflux density from an MDS station,other than an incumbent MDS station,may not exceed ¥73 dBW/m2 (or the ap-propriate value for bandwidth otherthan 6 MHz) at locations on BTA orPSA boundaries for which there is anunobstructed signal path from thetransmitting antenna to the boundary,unless the applicant has obtained thewritten consent of the authorizationholder for the affected BTA or PSA.

(g)(1) Authorization holders for BTAsor PSAs must notify authorizationholders of adjoining areas of their ap-plication filings for new or modifiedstations; provided the proposed facilitywould produce an unobstructed signalpath anywhere within the adjoiningBTA or PSA.

(2) This service of written notifica-tion must include a copy of the FCCapplication and occur on or before thedate the application is filed with theCommission.

(3) With regard to incumbent MDSstations, authorization holders forBTAs or PSAs must comply with therequirements of § 21.902.

(h) Where a PSA adjoins a BTA andboth authorizations are held by thesame individual or entity, the PSAshall be considered an extension of theprotected service area of the BTA re-garding the interference protection,limiting signal strength, and notifica-tion provisions of this section.

[60 FR 36557, July 17, 1995, as amended at 60FR 57367, Nov. 15, 1995; 63 FR 65112, Nov. 25,1998; 64 FR 63737, Nov. 22, 1999]


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§ 21.939 Harmful interference abate-ment.

In the event harmful interference oc-curs or appears to occur, after noticeand an opportunity for a hearing, Com-mission staff may require anyMultipoint Distribution Service condi-tional licensee or licensee to:

(a) Modify the station to use crosspolarization, frequency offset tech-niques, directional antenna, antennabeam tilt, or

(b) Order an equivalent isotropicallyradiated power decrease, a reduction oftransmitting antenna height, a changeof antenna location, a change of an-tenna radiation pattern, or a reductionin aural signal power.

[60 FR 36557, July 17, 1995]

§ 21.940 Non-subscription MDS service.

The Commission must be notified,and prior Commission approval ob-tained, before Multipoint DistributionService or Multichannel MultipointDistribution Service may be providedon a non-subscription basis.

[63 FR 29668, June 1, 1998]

§§ 21.941–21.948 [Reserved]

§ 21.949 Individually licensed 125 kHzchannel MDS response stations.

(a) The provisions of § 21.909(a), (e),(h), (j), (l) and (m) and § 74.939(j) of thischapter shall also apply with respect toauthorization of 125 kHz channel MDSresponse stations not authorized undera response station hub license. The ap-plicant shall comply with the require-ments of § 21.902 and § 21.938 where ap-propriate, as well as with the provi-sions of §§ 21.909, 21.913, 74.939 and 74.985of this chapter regarding the protec-tion of response stations hubs andbooster (and primary) service areasfrom harmful electromagnetic inter-ference, using the appropriately ad-justed interference protection valuesbased upon the ratios of thebandwidths involved.

(b) An application for a license to op-erate a new or modified 125 kHz chan-nel MDS response station not under aresponse station hub license shall befiled with Mellon Bank on FCC Form331. The applicant shall supply the fol-

lowing information and certificationon that form for each response station:

(1) The geographic coordinates andstreet address of the MDS response sta-tion transmitting antenna; and

(2) The manufacturer’s name, typenumber, operating frequency, andpower output of the proposed MDS re-sponse station transmitter; and

(3) The type of transmitting antenna,power gain, azimuthal orientation andpolarization of the major lobe of radi-ation in degrees measured clockwisefrom True North; and

(4) A sketch giving pertinent detailsof the MDS response station transmit-ting antenna installation includingground elevation of the transmittersite above mean sea level; overallheight above ground, including appur-tenances, of any ground-mounted toweror mast on which the transmitting an-tenna will be mounted or, if the toweror mast is or will be located on an ex-isting building or other manmadestructure, the separate heights aboveground of the building and the tower ormast including appurtenances; the lo-cation of the tower or mast on thebuilding; the location of the transmit-ting antenna on the tower or mast; andthe overall height of the transmittingantenna above ground.

(5) A certification that all licenseesand applicants appropriately coveredunder the provisions of (a), above, havebeen served with copies of the applica-tion.

(c) Each MDS response station li-censed under this section shall complywith the following:

(1) No MDS response station shall belocated beyond the protected servicearea of the MDS station with which itcommunicates; and

(2) No MDS response station shall op-erate with a transmitter output powerin excess of 2 watts; and

(3) No MDS response station shall op-erate at an excess of 16 dBW EIRP.

(d) During breaks in communica-tions, the unmodulated carrier fre-quency of an analog transmission shallbe maintained within 35 kHz of the as-signed frequency at all times. Adequatemeans shall be provided to insure com-pliance with this rule.


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47 CFR Ch. I (10–1–01 Edition)§ 21.950

(e) Each MDS response station shallemploy a directive transmitting an-tenna oriented towards the transmittersite of the associated MDS station ortowards the response station hub withwhich the MDS response station com-municates. The beamwidth betweenhalf power points shall not exceed 15°and radiation in any minor lobe of theantenna radiation pattern shall be atleast 20 dB below the power in the mainlobe of radiation.

(f) A response station may be oper-ated unattended. The overall perform-ance of the response station trans-mitter shall be checked by the licenseeof the station or hub receiving the re-sponse signal, or by the licensee’s em-ployees or agents, as often as necessaryto ensure that the transmitter is func-tioning in accordance with the require-ments of the Commission’s rules. Thelicensee of the station or hub receivingthe response signal is responsible forthe proper operation of the responsestation and must have reasonable andtimely access to the response stationtransmitter. The response station shallbe installed and maintained by the li-censee of the associated station or hub,or the licensee’s employees or agents,and protected in such manner as toprevent tampering or operation by un-authorized persons. No response sta-tion which has not been installed by anauthorized person may lawfully com-municate with any station or hub.

[63 FR 65112, Nov. 25, 1998; 64 FR 4055, Jan. 27,1999, as amended at 64 FR 63737, Nov. 22, 1999]

EFFECTIVE DATE NOTE: At 63 FR 65112, Nov.25, 1998, § 21.949 was added. Paragraphs (b)and (f) contain information and record-keeping requirements and will not becomeeffective until approval has been given bythe Office of Management and Budget.

§ 21.950 MDS subject to competitivebidding.

Mutually exclusive MDS initial ap-plications are subject to competitivebidding. The general procedures setforth in 47 CFR chapter I, part 1, sub-part Q are applicable to competitivebidding proceedings used to selectamong mutually exclusive MDS appli-cants, unless otherwise provided in 47CFR chapter I, part 21, subpart K.

[60 FR 36557, July 17, 1995]

§ 21.951 MDS competitive bidding pro-cedures.

(a) The following competitive biddingprocedures will generally be used inMDS auctions. Additional, specific pro-cedures may be set forth by public no-tice. The Commission may also designand test alternative procedures. See 47CFR 1.2103 and 1.2104.

(1) Competitive bidding design. Si-multaneous multiple round biddingwill be used in MDS auctions, unlessthe Commission specifies by public no-tice the use of sequential oral (openoutcry) bidding or sealed bidding (ei-ther sequential or simultaneous).Combinatorial bidding may also beused with any type of auction design.

(2) Competitive bidding mechanisms.The Commission may utilize the fol-lowing mechanisms in MDS auctions:

(i) Sequencing. The Commission willestablish and may vary the sequence inwhich the BTA service areas will beauctioned.

(ii) Grouping. In the event the Com-mission uses either a simultaneousmultiple round competitive bidding de-sign or combinational bidding, theCommission will determine which BTAservice areas will be auctioned simul-taneously or in combination.

(iii) Reservation price. The Commis-sion may establish a reservation price,either disclosed or undisclosed, belowwhich a BTA service area subject toauction will not be awarded.

(iv) Minimum bid increments. TheCommission will, by announcement be-fore or during an MDS auction, requireminimum bid increments in dollar orpercentage terms.

(v) Stopping rules. The Commissionwill establish stopping rules before orduring multiple round MDS auctions inorder to terminate an auction within areasonable time.

(vi) Activity Rules. The Commissionwill establish activity rules which re-quire a minimum amount of biddingactivity. In the event that the Commis-sion establishes an activity rule in con-nection with a simultaneous multipleround auction, the Commission willallow bidders to request and to receiveautomatically waivers of such rule, thenumber of which will be determined bythe Commission.


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(vii) Suggested minimum bid. TheCommission may establish suggestedminimum bids on each BTA servicearea subject to auction. Bids below thesuggested minimum bid would count asactivity under the activity rule only ifno bids at or above the suggested min-imum bid are received.

(b) Identities of bidders. The Com-mission will generally release informa-tion concerning the identities of bid-ders before each auction but maychoose, on an auction-by-auction basis,to withhold the identity of the biddersassociated with bidder identificationnumbers. The Commission will an-nounce by public notice before theMDS auction where the bidders’ identi-ties will be revealed.

(c) Commission control of auction.The Commission may delay, suspend,or cancel an MDS auction in the eventof a natural disaster, technical obsta-cle, evidence of security breach, unlaw-ful bidding activity, administrative ne-cessity, or for any other reason that af-fects the fair and efficient conduct ofthe competitive bidding. The Commis-sion also has the authority, at its solediscretion, to resume the competitivebidding starting from the beginning ofthe current or some previous round orcancel the competitive bidding in itsentirety.

[60 FR 36557, July 17, 1995]

§ 21.952 Bidding application proce-dures.

(a) Short-form applications. To par-ticipate in MDS auctions, all appli-cants must submit short-form applica-tions, along with all required certifi-cations and exhibits specified by suchforms, pursuant to the provisions of§ 1.2105(a) and any Commission publicnotices. See 47 CFR 1.2105(a).

(b) Filing of short-form applications.Prior to any MDS auction, the Com-mission will issue a public notice an-nouncing the availability of BTA serv-ice areas and, in the event that mutu-ally exclusive short-form applications(as defined by § 21.925(a)(2)) are filed,the date of the auction for those BTAservice areas. This public notice alsowill specify the date on or before whichapplicants intending to participate inan MDS auction must file their short-form applications in order to be eligi-

ble for that auction, and it will containinformation necessary for completionof the application as well as other im-portant information such as the mate-rial which must accompany the forms,any filing fee that must accompany theapplication or any upfront paymentthat will need to be submitted, and thelocation where the application must befiled.

(c) Modification and dismissal ofshort-form applications.

(1) Any short-form application that isnot signed in some manner or form, in-cluding by electronic means, and doesnot contain all requisite certificationsis unacceptable for filing and cannot becorrected subsequent to any applicablefiling deadline. Such short-form appli-cation will be dismissed with prejudice.

(2) The Commission will provide bid-ders a limited opportunity to cure cer-tain defects specified herein and to re-submit an amended short-form applica-tion. For MDS, we classify all amend-ments to a short-form application asmajor, except those to correct minorerrors or defects, such as typographicalerrors, or those to reflect ownershipchanges or formation of bidding con-sortia or joint bidding arrangementsspecifically permitted under § 21.953. Ashort-form application may be modi-fied to make minor amendments. How-ever, applicants who fail to correct de-fects in their short-form applicationsin a timely manner as specified by pub-lic notice will have their applicationsdismissed with no opportunity for re-submission.

(3) A short-form application will beconsidered to be a newly filed applica-tion if it is amended by a major amend-ment and may not be resubmitted afterapplicable filing deadlines.

[60 FR 36558, July 17, 1995]

§ 21.953 Prohibition of collusion.(a) Except as provided in paragraphs

(b), (c) and (d) of this section, after thefiling of short-form applications, allapplicants in an MDS auction are pro-hibited from cooperating, collabo-rating, discussing or disclosing in anymanner the substance of their bids orbidding strategies, or discussing or ne-gotiating settlement agreements, withother applicants until after the win-ning bidder makes the required down


102

47 CFR Ch. I (10–1–01 Edition)§ 21.954

payment, unless such applicants aremembers of a bidding consortium orother joint bidding arrangement identi-fied on the applicant’s short-form ap-plication. Communications among ap-plicants concerning matters unrelatedto the MDS auction will be permittedafter the filing of short-form applica-tions.

(b) Applicants may modify theirshort-form applications to reflect for-mation of consortia or changes in own-ership at any time before or during anauction, provided such changes do notresult in a change in control of the ap-plicant, and provided that the partiesforming consortia or entering intoownership agreements have not appliedfor the same BTA service area.

(c) After the filing of short-form ap-plications, applicants may make agree-ments to bid jointly for BTA serviceareas, provided the parties to theagreement have not applied for thesame service areas.

(d) After the filing of short-form ap-plications, a holder of a non-control-ling attributable interest in an entitysubmitting a short-form applicationmay, under the circumstances specifiedin § 1.2105(c)(4), acquire an ownershipinterest in, form a consortium with, orenter into a joint bidding arrangementwith, other applicants for the sameBTA service areas. See 47 CFR1.2105(c)(4).

(e) To reflect the changes in owner-ship or in the membership of consortiaor joint bidding arrangements specifiedin paragraphs (b), (c) and (d) of thissection, applicants must amend theirshort-form applications by submittinga revised short-form application, filedwithin two business days of any suchchange; such modifications will not beconsidered major amendments of theapplications within the meaning of§ 21.952(c)(2). However, any amendmentwhich results in the change of controlof an applicant will be considered amajor amendment of the short-form.

(f) For purposes of this section, theterms ‘‘applicant’’ and ‘‘bids or biddingstrategies’’ are defined as set forth in47 CFR 1.2105(c)(5).

[60 FR 36558, July 17, 1995]

§ 21.954 Submission of up front pay-ments.

(a) The Commission will require ap-plicants to submit an upfront paymentprior to the MDS auction. The amountof the upfront payment for each BTAservice area being auctioned and theprocedures for submitting it will be setforth in a public notice. Upfront pay-ments may be made by wire transfer orby cashier’s check drawn in U.S. dol-lars from a financial institution whosedeposits are insured by the Federal De-posit Insurance Corporation and mustbe made payable to the Federal Com-munications Commission. No interestwill be paid on upfront payments.

(b) For MDS auctions, the Commis-sion will require each applicant to sub-mit an upfront payment equal to thelargest combination of activity units(as defined in the Commission’s activ-ity rules established pursuant to§ 21.951(a)(2)(vi)) associated with theBTAs on which the applicant antici-pates being active in any single roundor bidding. Applicants who are smallbusinesses eligible for reduced upfrontpayments will be required to submit anupfront payment amount in accordancewith § 21.960(c). If an upfront paymentis not in compliance with the Commis-sion’s rules, or if insufficient funds aretendered to constitute a valid upfrontpayment, the applicant shall have alimited opportunity to correct its sub-mission to bring it up to the minimumvalid upfront payment prior to the auc-tion. An applicant who fails to submita sufficient upfront payment to qualifyit to bid on any BTA service area beingauctioned will be ineligible to bid, itsapplication will be dismissed, and anyupfront payment it has made will bereturned.

(c) The upfront payment(s) of a bid-der will be credited toward any downpayment required for the BTA serviceareas on which the bidder is the win-ning bidder. Where the upfront pay-ment amount exceeds the requireddown payment of a winning bidder, theCommission may refund the excessamount after determining that no bidwithdrawal payments are owned bythat bidder. In the event a payment isassessed pursuant to § 21.959(a) for bidwithdrawal or default, upfront pay-ments or down payments on deposit


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with the Commission will be used tosatisfy the bid withdrawal or defaultpayment before being applied towardany additional payment obligationsthat the winning bidder may have.

[60 FR 36559, July 17, 1995]

§ 21.955 Submission of down payments.(a) After bidding has ended on all

BTA service areas, the Commissionwill identify and notify the winningbidders and declare the bidding closedin the MDS auction. Within five (5)business days after being notified thatit is a winning bidder on a particularBTA service area(s), a winning biddermust submit to the Commission’slockbox bank such additional funds asare necessary to bring its total depos-its (upfront payment plus down pay-ment) up to twenty (20) percent of itswinning bid(s). This down paymentmay be made by wire transfer or bycashier’s check in U.S. dollars from afinancial institution whose deposits areinsured by the Federal Deposit Insur-ance Corporation and must be madepayable to the Federal Communica-tions Commission.

(b) Winning bidders who are smallbusinesses eligible for installment pay-ments under § 21.960(b) are only re-quired to bring their total deposits upto ten (10) percent of their winningbids. Such small businesses must paythe remainder of the twenty (20) per-cent down payment within five (5) busi-ness days following release of the pub-lic notice stating that their BTA au-thorizations are ready to be issued.

(c) Down payments will be held bythe Commission until the winning bid-der has been issued its BTA authoriza-tion and has paid the remaining bal-ance of its winning bid, in which case itwill not be returned, or until the win-ning bidder is found unqualified to be astation licensee or has defaulted, inwhich case it will be returned, less ap-plicable default payments. No interestwill be paid on any down payment.

[60 FR 36559, July 17, 1995]

§ 21.956 Filing of long-form applica-tions or statements of intention.

(a)(1) Within 30 business days of beingnotified of its status as a winning bid-der, each winning bidder for a BTA

service area will be required to submiteither:

(i) An initial long-form applicationfor an MDS station license, along withany required exhibits; or

(ii) A statement of intention with re-gard to the BTA service area, alongwith any required exhibits, showingthe encumbered nature of the BTA,identifying all previously authorized orproposed MDS and ITFS facilities, anddescribing in detail the winning bid-der’s plan for obtaining the previouslyauthorized and/or proposed MDS sta-tions within the BTA.

(2) A winning bidder that fails to sub-mit either the initial long-form appli-cation or statement of intention as re-quired under this section, and fails toestablish good cause for any late-filedapplication or statement, shall bedeemed to have defaulted and will besubject to the payments set forth in§ 21.959(a).

(b) Each initial long-form applicationfor an MDS station license within anauction winner’s BTA service area, andeach statement of intention with re-gard to an auction winner’s BTA serv-ice area, must also include the fol-lowing:

(1) FCC Form 430;(2) An exhibit detailing the terms and

conditions and parties involved in anybidding consortia, joint venture, part-nership or other agreement or arrange-ment the winning bidder had enteredinto relating to the competitive bid-ding process prior to the time biddingwas completed (see 47 CFR 1.207(d));

(3) An exhibit complying with 47 CFR1.2110(i) and 21.960(e), if the winningbidder submitting the long-form appli-cation or statement of intention claimsstatus as a designated entity.

(c) Subsequent long-form applica-tions for additional MDS station li-censes within the BTA service areas ofwinning bidders may be submitted atany time during the five year build-outperiod and need not contain the exhib-its specified in paragraphs (b)(2)through (3) of this section.

[60 FR 36559, July 17, 1995, as amended at 61FR 18098, Apr. 24, 1996]]


104

47 CFR Ch. I (10–1–01 Edition)§ 21.957

§ 21.957 Petitions to deny against long-from applications; comments onstatements of intention.

(a) Within thirty (30) days after theCommission gives public notice that along-form application for an MDS sta-tion license submitted by a winningbidder within its BTA service area hasbeen accepted for filing, petitions todeny that application may be filed.Any such petitions and oppositionsthereto must comply with the require-ments of 47 CFR 1.2108 and 21.30.

(b) Parties wishing to comment on oroppose the issuance of a BTA author-ization issued in connection with thefiling of a statement of intention by awinning bidder must do so prior to theCommission’s issuance of the BTA au-thorization.

[60 FR 36559, July 17, 1995]

§ 21.958 Full payment and issuance ofBTA authorizations.

Each winning bidder, except for smallbusinesses eligible for installment pay-ments under § 21.960(b), must pay thebalance of its winning bid for its BTAservice area(s) in a lump sum withinfive (5) business days following the re-lease of the public notice stating thatthe BTA authorization(s) is ready to beissued. A winning bidder who sub-mitted a long-form application for anMDS station license within its BTAservice area pursuant to § 21.956(a) willreceive its BTA authorization concur-rent with the grant of its MDS condi-tional station license within its BTAservice area. A winning bidder who sub-mitted a statement of intention withregard to its BTA service area pursu-ant to § 21.956(a) will receive its BTAauthorization following the Commis-sion’s review of its statement of inten-tion. The Commission will issue a BTAauthorization to a winning bidder with-in ten (10) business days following noti-fication of receipt of full payment ofthe amount of the winning bid.

[60 FR 36559, July 17, 1995]

§ 21.959 Withdrawal, default and dis-qualification.

(a) When the Commission conductsan MDS simultaneous multiple roundauction, the Commission will imposeadditional payment requirements on

bidders who withdraw high bids duringthe course of an auction, who defaulton down or full payments due after anauction closes, or who are disqualified.The withdrawal and default paymentsset forth below will be deducted fromany upfront payments or down pay-ments that the withdrawing, defaultingor disqualified bidder has depositedwith the Commission.

(1) Bid withdrawal prior to close ofauction. A bidder who withdraws ahigh bid during the course of an auc-tion will be subject to a payment equalto the difference between the amountbid and the amount of the winning bidthe next time the license is offered bythe Commission. No withdrawal pay-ment will be assessed if the subsequentwinning bid exceeds the withdrawn bid.

(2) Default or disqualification afterclose of auction. See § 1.2104 (g)(2) of thischapter.

(b) If the Commission were to con-duct a sequential oral (open outcry)auction or sealed bid auction for MDS,the Commission may modify the pay-ments set forth in paragraph (a) of thissection to be paid in the event of bidwithdrawal, default or disqualification;provided, however, that such paymentsshall not exceed the payments specifiedin paragraph (a) of this section.

(1) In the case of sealed bidding:(i) If a bid is withdrawn before the

Commission releases the initial publicnotice announcing the winning bid-der(s), no bid withdrawal payment willbe assessed.

(ii) If a bid is withdrawn after theCommission release the initial publicnotice announcing the winning bid-der(s), the bid withdrawal payment willbe equal to the difference between thehigh bid amount and the amount of thenext highest bid. Losing bidders willonly be subject to this bid withdrawalpayment for a period of thirty (30) daysafter the Commission release the ini-tial public notice announcing the win-ning bidders.

(2) In the case of oral sequential(open outcry) bidding:

(i) If a bid is withdrawn before thebidder has declared the bidding to beclosed for the BTA service area bid on,no bid withdrawal payment will be as-sessed.


105


(ii) If a bid is withdrawn after theCommission has declared the biddingto be closed for the BTA service areabid on, the bid withdrawal payment ofparagraphs (a) (1) and (2) of this sectionwill apply.

(c) If a winning bidder withdraws itbid after the Commission has declaredcompetitive bidding closed or fails toremit the required down payment with-in five (5) business days after the Com-mission has declared competitive bid-ding closed, the bidder will be deemedto have defaulted, its application willbe dismissed, and it will be liable forthe default payment specified in para-graph (a)(2) of this section. In suchevent, the Commission may either re-auction the BTA service area to exist-ing or new applicants or offer it to theother highest bidders (in descendingorder) at their final bids.

(d) A winning bidder who is found un-qualified to be an MDS station li-censee, fails to remit the balance of itswinning bid in a timely manner, or de-faults or is disqualified for any reasonafter having made the required downpayment, will be deemed to have de-faulted and will be liable for the pay-ment set forth in paragraph (a)(2) ofthis section. In such event, the Com-mission will generally conduct anotherauction for the BTA service area, af-fording new parties an opportunity tofile applications for such service area.

(e) Bidders who are found to have vio-lated the antitrust laws or the Com-mission’s rules in connection withtheir participation in the MDS com-petitive bidding process may be sub-ject, in addition to any other applica-ble sanctions, to loss of their upfrontpayment, down payment or full bidamount, and may be prohibited fromparticipating in future auctions.

[60 FR 36560, July 17, 1995, as amended at 63FR 2348, Jan. 15, 1998]

§ 21.960 Designated entity provisionsfor MDS.

(a) Designated entities. As specified inthis section, designated entities thatare winning bidders for BTA serviceareas are eligible for special incentivesin the auction process. See 47 CFR1.2110.

(b) Installment payments. Small busi-nesses and small business consortia

may elect to pay the full amount oftheir winning bids for BTA serviceareas in installments over a ten (10)year period running from the date thattheir BTA authorizations are issued.

(1) Each eligible winning bidder pay-ing for its BTA authorization(s) on aninstallment basis must deposit by wiretransfer or cashier’s check in the man-ner specified in § 21.955 sufficient addi-tional funds as are necessary to bringits total deposits to ten (10) percent ofits winning bid(s) within five (5) busi-ness days after the Commission has de-clared it the winning bidder and closedthe bidding. Failure to remit the re-quired payment will make the bidderliable for the payments set forth in§ 21.959(a)(2).

(2) Within five (5) business days fol-lowing release of the public noticestating that the BTA authorization ofa winning bidder eligible for install-ment payments is ready to be issued,the winning bidder shall pay anotherten (10) percent of its winning bid,thereby commencing the eligible bid-der’s installment payment plan. TheCommission will issue the BTA author-ization to the eligible winning bidderwithin ten (10) business days followingnotification of receipt of this addi-tional ten (10) percent payment. Fail-ure to remit the required payment willmake the bidder liable for the pay-ments set forth in § 21.959(a)(2).

(3) Upon issuance of a BTA authoriza-tion to a winning bidder eligible for in-stallment payments, the Commissionwill notify such eligible BTA author-ization holder of the terms of its in-stallment payment plan. For MDS,such installment payment plans will:

(i) Impose interest based on the rateof ten (10) year U.S. Treasury obliga-tions at the time of issuance of theBTA authorization, plus two and onehalf (2.5) percent;

(ii) Allow installment payments for aten (10) year period running from thedate that the BTA authorization isissued;

(iii) Begin with interest-only pay-ments for the first two (2) years; and

(iv) Amortize principal and interestover the remaining years of the ten (10)year period running from the date thatthe BTA authorization is issued.


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47 CFR Ch. I (10–1–01 Edition)§ 21.960

(4) Conditions and obligations. See§ 1.2110(f)(4) of this chapter.

(5) Unjust enrichment. (i) If an eligi-ble BTA authorization holder that uti-lizes installment financing under thisparagraph seeks to assign or transfercontrol of its BTA authorization to anentity not meeting the eligibilitystandards for installment payments,the holder must make full payment ofthe remaining unpaid principal and anyunpaid interest accrued through thedate of assignment or transfer as a con-dition of approval. If an eligible BTAauthorization holder that utilizes in-stallment financing under this sub-section seeks to partition, pursuant to§ 21.931, a portion of its BTA containingone-third or more of the population ofthe area within its control in the li-censed BTA to an entity not meetingthe eligibility standards for install-ment payments, the holder must makefull payment of the remaining unpaidprincipal and any unpaid interest ac-crued through the date of partition asa condition of approval.

(ii) If a BTA authorization holderthat utilizes installment financingunder this subsection seeks to makeany change in ownership structure thatwould result in the holder losing eligi-bility for installment payments, theholder shall first seek Commission ap-proval and must make full payment ofthe remaining unpaid principal and anyunpaid interest accrued through thedate of the change in ownership struc-ture as a condition of approval. In-creases in gross revenues that resultfrom revenues from operations, busi-ness development or expanded serviceshall not be considered changes in own-ership structure under this paragraph.

(c) Reduced upfront payments. A pro-spective bidder that qualifies as asmall business, or as a small businessconsortia, is eligible for a twenty-five(25) percent reduction in the amount ofthe upfront payment required by§ 21.954. To be eligible to bid on a par-ticular BTA, a small business will berequired to submit an upfront paymentequal to seventy-five (75) percent of theupfront payment amount specified forthat BTA in the public notice listingthe upfront payment amounts cor-responding to each BTA service areabeing auctioned.

(d) Bidding credits. A winning bidderthat qualifies as a small business, or asa small business consortia, may use abidding credit of fifteen (15) percent tolower the cost of its winning bid on anyof the BTA authorizations awarded inthe MDS auction.

(1) Unjust enrichment. See § 1.2111 ofthis chapter.

(2) [Reserved](e) Short-form application certification;

Long-form application or statement of in-tention disclosure. An MDS applicantclaiming designated entity status shallcertify on its short-form applicationthat it is eligible for the incentivesclaimed. A designated entity that is awinning bidder for a BTA servicearea(s) shall, in addition to informa-tion required by § 21.956(b), file an ex-hibit to either its initial long-form ap-plication for an MDS station license, orto its statement of intention with re-gard to the BTA, which discloses thegross revenues for each of the pastthree years of the winning bidder andits affiliates. This exhibit shall de-scribe how the winning bidder claimingstatus as a designated entity satisfiesthe designated entity eligibility re-quirements, and must list and summa-rize all agreements that affect des-ignated entity status, such as partner-ship agreements, shareholder agree-ments, management agreements andother agreements, including oral agree-ments, which establish that the des-ignated entity will have both de factoand de jure control of the entity. See 47CFR 1.2110(i).

(f) Records maintenance. All holders ofBTA authorizations acquired by auc-tion that claim designated entity sta-tus shall maintain, at their principalplace of business or with their des-ignated agent, an updated documen-tary file of ownership and revenue in-formation necessary to establish theirstatus. Holders of BTA authorizationsor their successors in interest shallmaintain such files for a ten (10) yearperiod running from the date that theirBTA authorizations are issued. Thefiles must be made available to theCommission upon request.

(g) Audits. BTA authorization holdersclaiming eligibility under designatedentity provisions shall be subject toaudits by the Commission, using in-


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house or contract resources. Selectionfor an audit may be random, on infor-mation, or on the basis of other fac-tors. Consent to such audits is part ofthe certification included in the short-form application. Such consent shallinclude consent to the audit of theholders’ books, documents and othermaterial (including accounting proce-dures and practices), regardless of formor type, sufficient to confirm that suchholders’ representations are, and re-main, accurate. Such consent shall alsoinclude inspection at all reasonabletimes of the facilities, or parts thereof,engaged in providing and transactingbusiness or keeping records regardinglicensed MDS offerings, and shall alsoinclude consent to the interviewing ofprincipals, employees, customers, andsuppliers of the BTA authorizationholders.

[60 FR 36560, July 17, 1995, as amended at 60FR 57367, Nov. 15, 1995; 63 FR 2348, Jan. 15,1998]

§ 21.961 Definitions applicable to des-ignated entity provisions.

(a) Scope. The definitions in this sec-tion apply to § 21.960, unless otherwisespecified in that section.

(b) Small business; consortium ofsmall businesses.

(1) A small business is an entity thattogether with its affiliates has averageannual gross revenues that are notmore than $40 million for the precedingthree calendar years.

(2) Aggregation of gross revenues.(i) Except as specified in paragraph

(b)(2)(ii) of this section, the gross reve-nues of the applicant (or BTA author-ization holder) and its affiliates shallbe considered on a cumulative basisand aggregated for purposes of deter-mining whether the applicant (or hold-er) is a small business.

(ii) Where an applicant (or BTA au-thorization holder) is a consortium ofsmall businesses, the gross revenues ofeach small business shall not be aggre-gated.

(3) A small business consortium is aconglomerate organization formed as ajoint venture between mutually-inde-pendent business firms, each of whichindividually satisfies the definition ofa small business.

(c) Gross revenues shall mean all in-come received by an entity, whetherearned or passive, before any deduc-tions are made for costs of doing busi-ness (e.g., cost of goods sold), as evi-denced by audited financial statementsfor the preceding relevant number ofcalendar years, or, if audited financialstatements were not prepared on a cal-endar-year basis, for the preceding rel-evant number of fiscal years. If an enti-ty was not in existence for all or partof the relevant period, gross revenuesshall be evidenced by the audited fi-nancial statements of the entity’spredecessor-in-interest or, if there is noidentifiable predecessor-in-interest,unaudited financial statements cer-tified by the applicant as accurate.

(d) The definition of an affiliate of anapplicant is set forth in 47 CFR1.2110(b)(4).

[60 FR 36562, July 17, 1995, as amended at 60FR 57368, Nov. 15, 1995]

PART 22—PUBLIC MOBILE SERVICES

Subpart A—Scope and Authority

Sec.22.1 Basis and purpose.22.3 Authorization required.22.5 Citizenship.22.7 General eligibility.22.13 Long-form application (FCC Form 601).22.99 Definitions.

Subpart B—Licensing Requirements andProcedures

APPLICATIONS AND NOTIFICATIONS

22.107 General application requirements.22.131 Procedures for mutually exclusive ap-

plications.22.143 Construction prior to grant of appli-

cation.22.150 Standard pre-filing technical coordi-

nation procedure.22.157 Distance computation.22.159 Computation of average terrain ele-

vation.22.161 Application requirements for ASSB.22.165 Additional transmitters for existing

systems.22.169 Internal coordination of channel as-

signments.

COMPETITIVE BIDDING PROCEDURES

22.201 Scope of competitive bidding rules.22.203 Competitive bidding design for paging

licensing.22.205 Competitive bidding mechanisms.


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22.207 Withdrawal, default, and disqualifica-tion payments.

22.209 Bidding applications (FCC Form 175and 175–S Short-form).

22.211 Submission of upfront payments anddown payments.

22.213 Long-form application (FCC Form601).

22.215 Authorization grant, denial, default,and disqualification.

22.217 Bidding credits for small businesses.22.221 Eligibility for partitioned licenses.22.223 Definitions concerning competitive

bidding process.22.225 Certifications, disclosures, records

maintenance and audits.22.227 Petitions to deny and limitations on

settlements.

Subpart C—Operational and TechnicalRequirements

OPERATIONAL REQUIREMENTS

22.301 Station inspection.22.303 Retention of station authorizations;

identifying transmitters.22.305 Operator and maintenance require-

ments.22.307 Operation during emergency.22.313 Station identification.22.317 Discontinuance of station operation.22.321 Equal employment opportunities.22.323 Incidental communication services.22.325 Control points.

TECHNICAL REQUIREMENTS

22.351 Channel assignment policy.22.352 Protection from interference.22.353 Blanketing interference.22.355 Frequency tolerance.22.357 Emission types.22.359 Emission masks.22.361 Standby facilities.22.363 Directional antennas.22.365 Antenna structures; air navigation

safety.22.367 Wave polarization.22.371 Disturbance of AM broadcast station

antenna patterns.22.373 Access to transmitters.22.377 Certification of transmitters.22.379 Replacement of equipment.22.381 Auxiliary test transmitters.22.383 In-building radiation systems.

Subpart D—Developmental Authorizations

22.401 Description and purposes of develop-mental authorizations.

22.403 General limitations.22.409 Developmental authorization for a

new Public Mobile Service or technology.22.411 Developmental authorization of 43

MHz paging transmitters.22.413 Developmental authorization of 72–76

MHz fixed transmitters.

22.415 Developmental authorization of 928–960 MHz fixed transmitters.

22.417 Developmental authorization of me-teor burst systems.

Subpart E—Paging and RadiotelephoneService

22.501 Scope.22.503 Paging geographic area authoriza-

tions.22.507 Number of transmitters per station.22.509 Procedures for mutually exclusive ap-

plications in the Paging and Radio-telephone Service.

22.511 Construction period for the Pagingand Radiotelephone Service.

22.513 Partitioning and disaggregation.22.515 Permissible communications paths.22.527 Signal boosters.22.529 Application requirements for the

Paging and Radiotelephone Service.

PAGING OPERATION

22.531 Channels for paging operation.22.535 Effective radiated power limits.22.537 Technical channel assignment cri-

teria.22.539 Additional channel policies.22.551 Nationwide network paging service.22.559 Paging application requirements.

ONE-WAY OR TWO-WAY MOBILE OPERATION

22.561 Channels for one-way or two-way mo-bile operation.

22.563 Provision of rural radiotelephoneservice upon request.

22.565 Transmitting power limits.22.567 Technical channel assignment cri-

teria.22.569 Additional channel policies.22.571 Responsibility for mobile stations.22.573 Use of base transmitters as repeaters.22.575 Use of mobile channel for remote con-

trol of station functions.22.577 Dispatch service.22.579 Operation of mobile transmitters

across U.S.-Canada border.22.589 One-way or two-way application re-

quirements.

POINT-TO-POINT OPERATION

22.591 Channels for point-to-point oper-ation.

22.593 Effective radiated power limits.22.599 Assignment of 72–76 MHz channels.22.601 Assignment of microwave channels.22.602 Transition of the 2110–2130 and 2160–

2180 MHz channels to emerging tech-nologies.

22.603 488–494 MHz fixed service in Hawaii.

POINT-TO-MULTIPOINT OPERATION

22.621 Channels for point-to-multipoint op-eration.

22.623 System configuration.


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22.625 Transmitter locations.22.627 Effective radiated power limits.

470–512 MHZ TRUNKED MOBILE OPERATION

22.651 470–512 MHz channels for trunked mo-bile operation.

22.653 Eligibility.22.655 Channel usage.22.657 Transmitter locations.22.659 Effective radiated power limits.

Subpart F—Rural Radiotelephone Service

22.701 Scope.22.702 Eligibility.22.703 Separate rural subscriber station au-

thorization not required.22.705 Rural radiotelephone system configu-

ration.22.709 Rural radiotelephone service applica-

tion requirements.22.711 Provision of information to appli-

cants.22.713 Construction period for rural radio-

telephone stations.22.715 Technical channel assignment cri-

teria for rural radiotelephone stations.22.717 Procedure for mutually exclusive ap-

plications in the Rural RadiotelephoneService.

22.719 Additional channel policy for ruralradiotelephone stations.

CONVENTIONAL RURAL RADIOTELEPHONESTATIONS

22.721 Geographic area authorizations.22.723 Secondary site-by-site authoriza-

tions.22.725 Channels for conventional rural ra-

diotelephone stations.22.727 Power limits for conventional rural

radiotelephone transmitters.22.729 Meteor burst propagation modes.22.731 Emission limitations.22.733 Priority of service.22.737 Temporary fixed stations.

BASIC EXCHANGE TELEPHONE RADIO SYSTEMS

22.757 Channels for basic exchange tele-phone radio systems.

22.759 Power limit for BETRS.

Subpart G—Air-Ground RadiotelephoneService

22.801 Scope.22.803 Air-ground application requirements.

GENERAL AVIATION AIR-GROUND STATIONS

22.805 Channels for general aviation air-ground service.

22.809 Transmitting power limits.22.811 Idle tone.22.813 Technical channel pair assignment

criteria.

22.815 Construction period for general avia-tion ground stations.

22.817 Additional channel policies.22.819 AGRAS compatibility requirement.

COMMERCIAL AVIATION AIR-GROUND SYSTEMS

22.857 Channel plan for commercial aviationair-ground systems.

22.859 Geographical channel block layout.22.861 Emission limitations.22.863 Transmitter frequency tolerance.22.865 Automatic channel selection proce-

dures.22.867 Effective radiated power limits.22.869 Assignment of control channels.22.871 Control channel transition period.22.873 Construction period for commercial

aviation air-ground systems.22.875 Commercial aviation air-ground sys-

tem application requirements.

Subpart H—Cellular RadiotelephoneService

22.900 Scope.22.901 Cellular service requirements and

limitations.22.905 Channels for cellular service.22.907 Coordination of channel usage.22.909 Cellular markets.22.911 Cellular geographic service area.22.912 Service area boundary extensions.22.913 Effective radiated power limits.22.915 Modulation requirements.22.917 Emission limitations for cellular.22.919 Electronic serial numbers.22.921 911 Call Processing Procedures; 911-

Only Calling Mode.22.923 Cellular system configuration.22.925 Prohibition on airborne operation of

cellular telephones.22.927 Responsibility for mobile stations.22.929 Application requirements for the Cel-

lular Radiotelephone Service.22.933 Cellular system compatibility speci-

fication.22.935 Procedures for comparative renewal

proceedings.22.936 Dismissal of applications in cellular

renewal proceedings.22.937 Demonstration of financial qualifica-

tions.22.939 Site availability requirements for ap-

plications competing with cellular re-newal applications.

22.940 Criteria for comparative cellular re-newal proceedings.

22.941 System identification numbers.22.942 Limitations on interests in licensees

for both channel blocks in an area.22.943 Limitations on assignments and

transfers of cellular authorizations.22.945 Interests in multiple applications.22.946 Service commencement and construc-

tion periods for cellular systems.22.947 Five year build-out period.22.948 Partitioning and Disaggregation.


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47 CFR Ch. I (10–1–01 Edition)§ 22.1

22.949 Unserved area licensing process.22.951 Minimum coverage requirement.22.953 Content and form of applications.22.955 Canadian condition.22.957 Mexican condition.22.959 Rules governing processing of appli-

cations for initial systems.22.960 Cellular unserved area radiotelephone

licenses subject to competitive bidding.22.961 Competitive bidding design for cel-

lular unserved area radiotelephone li-censing.

22.962 Competitive bidding mechanisms.22.963 Withdrawal, default and disqualifica-

tion payments.22.964 Bidding application (FCC Form 175).22.965 Submission of upfront payments and

down payments.22.967 License grant, denial, default, and

disqualification.

Subpart I—Offshore RadiotelephoneService

22.1001 Scope.22.1003 Eligibility.22.1005 Priority of service.22.1007 Channels for offshore radiotelephone

systems.22.1009 Transmitter locations.22.1011 Antenna height limitations.22.1013 Effective radiated power limitations.22.1015 Repeater operation.22.1025 Permissible communications.22.1031 Temporary fixed stations.22.1035 Construction period.22.1037 Application requirements for off-

shore stations.

Subpart J—Required New Capabilities Pur-suant to the Communications Assist-ance for Law Enforcement Act(CALEA)

22.1100 Purpose.22.1101 Scope.22.1102 Definitions.22.1103 Capabilities that must be provided

by a cellular telecommunications car-rier.

AUTHORITY: 47 U.S.C. 154, 222, 303, 309, and332.

SOURCE: 59 FR 59507, Nov. 17, 1994, unlessotherwise noted.

Subpart A—Scope and Authority

§ 22.1 Basis and purpose.This section contains a concise gen-

eral statement of the basis and purposeof the rules in this part, pursuant to 5U.S.C. 553(c).

(a) Basis. These rules are issued pur-suant to the Communications Act of1934, as amended, 47 U.S.C. 151 et. seq.

(b) Purpose. The purpose of theserules is to establish the requirementsand conditions under which domesticcommon carrier radio stations may belicensed and used in the Public MobileServices.

§ 22.3 Authorization required.

Stations in the Public Mobile Serv-ices must be used and operated only inaccordance with the rules in this partand with a valid authorization grantedby the FCC under the provisions of thispart.

(a) The holding of an authorizationdoes not create any rights beyond theterms, conditions and period specifiedin the authorization. Authorizationsmay be granted upon proper applica-tion, provided that the FCC finds thatthe applicant is qualified in regard tocitizenship, character, financial, tech-nical and other criteria, and that thepublic interest, convenience and neces-sity will be served. See 47 U.S.C. 301,308, and 309.

(b) Authority for subscribers to oper-ate mobile or fixed stations in the Pub-lic Mobile Services, except for certainstations in the Rural RadiotelephoneService and the Air-Ground Radio-telephone Service, is included in theauthorization held by the common car-rier providing service to them. Sub-scribers are not required to apply for,and the FCC does not accept applica-tions from subscribers for, individualmobile or fixed station authorizationsin the Public Mobile Services, exceptas follows:

(1) Individual authorizations are re-quired to operate general aviation air-borne mobile stations in the Air-Ground Radiotelephone Service. See§ 22.821.

(2) Individual authorizations are re-quired to operate rural subscriber sta-tions in the Rural RadiotelephoneService, except as provided in § 22.703.

§ 22.5 Citizenship.

The rules in this section implementsection 310 of the Communications Actof 1934, as amended (47 U.S.C. § 310), inregard to the citizenship of licensees inthe Public Mobile Services.


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(a) Foreign governments. The FCC willnot grant an authorization in the Pub-lic Mobile Services to any foreign gov-ernment or any representative thereof.

(b) Alien ownership or control. TheFCC will not grant an authorization inthe Public Mobile Services to:

(1) Any alien or the representative ofany alien;

(2) Any corporation organized underthe laws of any foreign government;

(3) Any corporation of which morethan one-fifth of the capital stock isowned of record or voted by aliens ortheir representatives or by a foreigngovernment or representative thereof,or by any corporation organized underthe laws of a foreign country;

(4) Any corporation directly or indi-rectly controlled by any other corpora-tion of which more than one-fourth ofthe capital stock is owned of record orvoted by aliens, their representatives,or by a foreign government or rep-resentative thereof, or by any corpora-tion organized under the laws of a for-eign country, if the FCC finds that thepublic interest will be served by the re-fusal or revocation of such license.

[59 FR 59507, Nov. 17, 1994, as amended at 61FR 55580, Oct. 28, 1996]

§ 22.7 General eligibility.Except as otherwise provided in this

part, existing and proposed commoncarriers are eligible to hold authoriza-tions in the Public Mobile Services.Applications are granted only if the ap-plicant is legally, financially, tech-nically and otherwise qualified torender the proposed service.

§ 22.99 Definitions.Terms used in this part have the fol-

lowing meanings:Air-Ground Radiotelephone Service. A

radio service in which common carriersare authorized to offer and provideradio telecommunications service forhire to subscribers in aircraft.

Airborne station. A mobile station inthe Air-Ground Radiotelephone Serviceauthorized for use on aircraft while inflight or on the ground.

Antenna structure. A structure com-prising an antenna, the tower or otherstructure that exists solely to supportantennas, and any surmounting appur-

tenances (attachments such as beaconsor lightning rods).

Antenna. A device that converts radiofrequency electrical energy to radiatedelectromagnetic energy and vice versa;in a transmitting station, the devicefrom which radio waves are emitted.

Authorized bandwidth. The necessaryor occupied bandwidth of an emission,whichever is more.

Authorized spectrum. The spectralwidth of that portion of the electro-magnetic spectrum within which theemission power of the authorized trans-mitter(s) must be contained, in accord-ance with the rules in this part. Theauthorized spectrum comprises onechannel bandwidth or the bandwidthsof two or more contiguous channels.

Auxiliary test transmitter. A fixedtransmitter used to test Public Mobilesystems.

Base transmitter. A stationary trans-mitter that provides radio tele-communications service to mobile and/or fixed receivers, including those asso-ciated with mobile stations.

Blanketing interference. Disturbancein consumer receivers located in theimmediate vicinity of a transmitter,caused by currents directly inducedinto the consumer receiver’s circuitryby the relatively high field strength ofthe transmitter.

Build-out transmitters. In the CellularRadiotelephone Service, transmittersadded to the first cellular system au-thorized on a channel block in a cel-lular market during the five yearbuild-out period in order to expand thecoverage of the system within the mar-ket.

Cardinal radials. Eight imaginarystraight lines extending radially on theground from an antenna location in thefollowing azimuths with respect to trueNorth: 0°, 45°, 90°, 135°, 180°, 225°, 270°,315°.

Carrier frequency. The frequency ofthe unmodulated electrical wave at theoutput of an amplitude modulated(AM), frequency modulated (FM) orphase modulated (PM) transmitter.

Cell. The service area of an individualtransmitter location in a cellular sys-tem.

Cellular Geographic Service Area. Thegeographic area served by a cellularsystem, within which that system is


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47 CFR Ch. I (10–1–01 Edition)§ 22.99

entitled to protection and adverse ef-fects are recognized, for the purpose ofdetermining whether a petitioner hasstanding. See § 22.911.

Cellular markets. Standard geographicareas used by the FCC for administra-tive convenience in the licensing of cel-lular systems. See § 22.909.

Cellular Radiotelephone Service. Aradio service in which common carriersare authorized to offer and provide cel-lular service for hire to the generalpublic. This service was formerly titledDomestic Public Cellular Radio Tele-communications Service.

Cellular repeater. In the Cellular Ra-diotelephone Service, a stationarytransmitter or device that automati-cally re-radiates the transmissions ofbase transmitters at a particular cellsite and mobile stations commu-nicating with those base transmitters,with or without channel translation.

Cellular service. Radio telecommuni-cation services provided using a cel-lular system.

Cellular system. An automated high-capacity system of one or more multi-channel base stations designed to pro-vide radio telecommunication servicesto mobile stations over a wide area ina spectrally efficient manner. Cellularsystems employ techniques such as lowtransmitting power and automatichand-off between base stations of com-munications in progress to enablechannels to be reused at relativelyshort distances. Cellular systems mayalso employ digital techniques such asvoice encoding and decoding, data com-pression, error correction, and time orcode division multiple access in orderto increase system capacity.

Center frequency. The frequency ofthe middle of the bandwidth of a chan-nel.

Central office transmitter. A fixedtransmitter in the Rural Radio-telephone Service that provides serviceto rural subscriber stations.

CGSA. See Cellular Geographic ServiceArea.

Channel. The portion of the electro-magnetic spectrum assigned by theFCC for one emission. In certain cir-cumstances, however, more than oneemission may be transmitted on achannel. See, for example, § 22.161.

Channel bandwidth. The spectralwidth of a channel, as specified in thispart, within which 99% of the emissionpower must be contained.

Channel block. A group of channelsthat are assigned together, not individ-ually.

Channel pair. Two channels that areassigned together, not individually. Inthis part, channel pairs are indicatedby an ellipsis between the center fre-quencies.

Communications channel. In the Cel-lular Radiotelephone and Air-groundRadiotelephone Services, a channelused to carry subscriber communica-tions.

Construction period. The period be-tween the date of grant of an author-ization and the date of required com-mencement of service.

Control channel. In the Cellular Ra-diotelephone Service and the Air-ground Radiotelephone Service, a chan-nel used to transmit information nec-essary to establish or maintain com-munications. In the other Public Mo-bile Services, a channel that may beassigned to a control transmitter.

Control point. A location where theoperation of a public mobile station issupervised and controlled by the li-censee of that station.

Control transmitter. A fixed trans-mitter in the Public Mobile Servicesthat transmits control signals to oneor more base or fixed stations for thepurpose of controlling the operation ofthe base or fixed stations, and/or trans-mits subscriber communications to oneor more base or fixed stations that re-transmit them to subscribers.

Dead spots. Small areas within a serv-ice area where the field strength islower than the minimum level for reli-able service. Service within dead spotsis presumed.

Dispatch service. A radiotelephoneservice comprising communications be-tween a dispatcher and one or moremobile units. These communicationsnormally do not exceed one minute induration and are transmitted directlythrough a base station, without passingthrough mobile telephone switching fa-cilities.

Effective radiated power (ERP). The ef-fective radiated power of a transmitter(with antenna, transmission line,


113


duplexers etc.) is the power that wouldbe necessary at the input terminals ofa reference half-wave dipole antenna inorder to produce the same maximumfield intensity. ERP is usually cal-culated by multiplying the measuredtransmitter output power by the speci-fied antenna system gain, relative to ahalf-wave dipole, in the direction of in-terest.

Emission. The electromagnetic energyradiated from an antenna.

Emission designator. An internation-ally accepted symbol for describing anemission in terms of its bandwidth andthe characteristics of its modulation, ifany. See § 2.201 of this chapter for de-tails.

Emission mask. The design limits im-posed, as a condition or certification,on the mean power of emissions as afunction of frequency both within theauthorized bandwidth and in the adja-cent spectrum.

Equivalent isotropically radiated power(EIRP). The equivalent isotropicallyradiated power of a transmitter (withantenna, transmission line, duplexersetc.) is the power that would be nec-essary at the input terminals of a ref-erence isotropic radiator in order toproduce the same maximum field in-tensity. An isotropic radiator is a theo-retical lossless point source of radi-ation with unity gain in all directions.EIRP is usually calculated by multi-plying the measured transmitter out-put power by the specified antenna sys-tem gain, relative to an isotropic radi-ator, in the direction of interest.

Extension. In the Cellular Radio-telephone Service, an area within theservice area boundary of a cellular sys-tem, but outside of the market bound-ary. See §§ 22.911(c) and 22.912.

Facsimile service. Transmission of stillimages from one place to another bymeans of radio.

Fill-in transmitters. Transmittersadded to a station, in the same areaand transmitting on the same channelor channel block as previously author-ized transmitters, that do not expandthe existing service area, but are estab-lished for the purpose of improving re-ception in dead spots.

Five year build-out period. A five yearperiod during which the licensee of thefirst cellular system authorized on

each channel block in each cellularmarket may expand the system withinthat market. See § 22.947.

Fixed transmitter. A stationary trans-mitter that communicates with otherstationary transmitters.

Frequency. The number of cycles oc-curring per second of an electrical orelectromagnetic wave; a number rep-resenting a specific point in the elec-tromagnetic spectrum.

Ground station. In the Air-ground Ra-diotelephone Service, a stationarytransmitter that provides service toairborne mobile stations.

Height above average terrain (HAAT).The height of an antenna above the av-erage elevation of the surroundingarea.

In-building radiation systems. Supple-mentary systems comprising low powertransmitters, receivers, indoor anten-nas and/or leaky coaxial cable radi-ators, designed to improve service reli-ability inside buildings or structureslocated within the service areas of sta-tions in the Public Mobile Services.

Initial cellular applications. Applica-tions for authority to construct andoperate a new cellular system, exclud-ing applications for interim operatingauthority.

Interfering contour. The locus ofpoints surrounding a transmitterwhere the predicted median fieldstrength of the signal from that trans-mitter is the maximum field strengththat is not considered to cause inter-ference at the service contour of an-other transmitter.

Interoffice transmitter. A fixed trans-mitter in the Rural RadiotelephoneService that communicates with otherinteroffice transmitters for the purposeof interconnecting rural central of-fices.

Meteor burst propagation mode. A longdistance VHF radio communicationpath occurring as a result of the refrac-tion of electromagnetic waves by ion-ized meteor trails.

Mobile station. One or more transmit-ters that are capable of operation whilein motion.

Necessary bandwidth. The calculatedspectral width of an emission. Calcula-tions are made using procedures setforth in part 2 of this chapter. Thebandwidth so calculated is considered


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47 CFR Ch. I (10–1–01 Edition)§ 22.99

to be the minimum necessary to con-vey information at the desired ratewith the desired accuracy.

Occupied bandwidth. The measuredspectral width of an emission. Themeasurement determines occupiedbandwidth as the difference betweenupper and lower frequencies where 0.5%of the emission power is above theupper frequency and 0.5% of the emis-sion power is below the lower fre-quency.

Offshore central transmitter. A fixedtransmitter in the Offshore Radio-telephone Service that provides serviceto offshore subscriber stations.

Offshore Radiotelephone Service. Aradio service in which common carriersare authorized to offer and provideradio telecommunication services forhire to subscribers on structures in theoffshore coastal waters of the Gulf ofMexico.

Offshore subscriber station. One ormore fixed and/or mobile transmittersin the Offshore Radiotelephone Servicethat receive service from offshore cen-tral transmitters.

Pager. A small radio receiver de-signed to be carried by a person and togive an aural, visual or tactile indica-tion when activated by the reception ofa radio signal containing its specificcode. It may also reproduce sounds and/or display messages that were alsotransmitted. Some pagers also trans-mit a radio signal acknowledging thata message has been received.

Paging geographic area authorization.An authorization conveying the exclu-sive right to establish and expand oneor more stations throughout a paginggeographic area or, in the case of a par-titioned geographic area, throughout aspecified portion of a paging geo-graphic area, on a specified channel al-located for assignment in the Pagingand Radiotelephone Service. These aresubject to the conditions that no inter-ference may be caused to existing co-channel stations operated by other li-censees within the paging geographicarea and that no interference may becaused to existing or proposed co-chan-nel stations of other licensees in ad-joining paging geographic areas.

Paging geographic areas. Standard ge-ographic areas used by the FCC for ad-ministrative convenience in the licens-

ing of stations to operate on channelsallocated for assignment in the Pagingand Radiotelephone Service. See§ 22.503(b).

Paging and Radiotelephone Service. Aradio service in which common carriersare authorized to offer and provide pag-ing and radiotelephone service for hireto the general public. This service wasformerly titled Public Land MobileService.

Paging service. Transmission of codedradio signals for the purpose of acti-vating specific pagers; such trans-missions may include messages and/orsounds.

Partitioned cellular market. A cellularmarket with two or more authorizedcellular systems on the same channelblock during the five year build-out pe-riod, as a result of settlements duringinitial licensing or contract(s) betweenthe licensee of the first cellular systemand the licensee(s) of the subsequentsystems. See § 22.947(b).

Public Mobile Services. Radio servicesin which common carriers are author-ized to offer and provide mobile and re-lated fixed radio telecommunicationservices for hire to the public.

Radio common carrier. A telecommuni-cations common carrier that providesradio communications services but isnot engaged in the business of pro-viding landline local exchange tele-phone service.

Radio telecommunication services. Com-munication services provided by theuse of radio, including radiotelephone,radiotelegraph, paging and facsimileservice.

Radiotelegraph service. Transmissionof messages from one place to anotherby means of radio.

Radiotelephone service. Transmissionof sound from one place to another bymeans of radio.

Repeater. A fixed transmitter that re-transmits the signals of other stations.

Roamer. A mobile station receivingservice from a station or system in thePublic Mobile Services other than oneto which it is a subscriber.

Rural Radiotelephone Service. A radioservice in which common carriers areauthorized to offer and provide radiotelecommunication services for hire to


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subscribers in areas where it is not fea-sible to provide communication serv-ices by wire or other means.

Rural subscriber station. One or morefixed transmitters in the Rural Radio-telephone Service that receive servicefrom central office transmitters.

Service area. The geographic area con-sidered by the FCC to be reliablyserved by a station in the Public Mo-bile Services.

Service contour. The locus of pointssurrounding a transmitter where thepredicted median field strength of thesignal from that transmitter is theminimum field strength that is consid-ered sufficient to provide reliable serv-ice to mobile stations.

Service to subscribers. Service to atleast one subscriber that is not affili-ated with, controlled by or related tothe providing carrier.

Signal booster. A stationary devicethat automatically reradiates signalsfrom base transmitters without chan-nel translation, for the purpose of im-proving the reliability of existing serv-ice by increasing the signal strength indead spots.

Station. A station equipped to engagein radio communication or radio trans-mission of energy (47 U.S.C. 153(k)).

Telecommunications common carrier.An individual, partnership, association,joint-stock company, trust or corpora-tion engaged in rendering radio tele-communications services to the gen-eral public for hire.

Temporary fixed station. One or morefixed transmitters that normally donot remain at any particular locationfor longer than 6 months.

Universal licensing system. The Uni-versal Licensing System (ULS) is theconsolidated database, application fil-ing system, and processing system forall Wireless Radio Services. ULS sup-ports electronic filing of all applica-tions and related documents by appli-cants and licensees in the WirelessRadio Services, and provides public ac-cess to licensing information.

Unserved areas. With regard to achannel block allocated for assignmentin the Cellular Radiotelephone Service:Geographic area in the District of Co-lumbia, or any State, Territory or pos-session of the United States of Americathat is not within the CGSA of any cel-

lular system authorized to transmit onthat channel block. With regard to achannel allocated for assignment in thePaging and Radiotelephone Service:Geographic area within the District ofColumbia, or any State, Territory orpossession of the United States ofAmerica that is not within the servicecontour of any base transmitter in anystation authorized to transmit on thatchannel.

Wireline common carrier. A tele-communications common carrier thatis also engaged in the business of pro-viding landline local exchange tele-phone service.

[59 FR 59507, Nov. 17, 1994, as amended at 61FR 31050, June 19, 1996; 61 FR 54098, Oct. 17,1996; 62 FR 11628, Mar. 12, 1997; 63 FR 36603,July 7, 1998; 63 FR 68943, Dec. 14, 1998]

Subpart B—LicensingRequirements and ProceduresAPPLICATIONS AND NOTIFICATIONS

§ 22.107 General application require-ments.

In general, applications for author-izations, assignments of authoriza-tions, or consent to transfer of controlof licensees in the Public Mobile Serv-ices must:

(a) Demonstrate the applicant’squalifications to hold an authorizationin the Public Mobile services;

(b) State how a grant would serve thepublic interest, convenience, and ne-cessity;

(c) Contain all information requiredby FCC rules or application forms;

(d) Propose operation of a facility incompliance with all rules governingthe Public Mobile service;

(e) Be amended as necessary to re-main substantially accurate and com-plete in all significant respects, in ac-cordance with the provisions of § 1.65 ofthis chapter; and,

(f) Be signed in accordance with§ 1.743 of this chapter.

§ 22.131 Procedures for mutually ex-clusive applications.

Two or more pending applications aremutually exclusive if the grant of oneapplication would effectively precludethe grant of one or more of the othersunder Commission rules governing the


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47 CFR Ch. I (10–1–01 Edition)§ 22.131

Public Mobile Services involved. TheCommission uses the general proce-dures in this section for processing mu-tually exclusive applications in thePublic Mobile Services. Additional spe-cific procedures are prescribed in thesubparts of this part governing the in-dividual Public Mobile Services (see§§ 22.509, 22.717, and 22.949) and in part 1of this chapter.

(a) Separate applications. Any appli-cant that files an application knowingthat it will be mutually exclusive withone or more applications should not in-clude in the mutually exclusive appli-cation a request for other channels orfacilities that would not, by them-selves, render the application mutuallyexclusive with those other applica-tions. Instead, the request for suchother channels or facilities should befiled in a separate application.

(b) Filing groups. Pending mutuallyexclusive applications are processed infiling groups. Mutually exclusive appli-cations in a filing group are given con-current consideration. The Commissionmay dismiss as defective (pursuant to§ 1.945 of this chapter) any mutually ex-clusive application(s) whose filing dateis outside of the date range for inclu-sion in the filing group. The types offiling groups used in day-to-day appli-cation processing are specified in para-graph (c)(3) of this section. A filinggroup is one of the following types:

(1) Renewal filing group. A renewal fil-ing group comprises a timely-filed ap-plication for renewal of an authoriza-tion and all timely-filed mutually ex-clusive competing applications (see§ 1.935 of this chapter).

(2) Same-day filing group. A same-dayfiling group comprises all mutually ex-clusive applications whose filing dateis the same day, which is normally thefiling date of the first-filed applica-tion(s).

(3) Thirty-day notice and cut-off filinggroup. A 30-day notice and cut-off filinggroup comprises mutually exclusiveapplications whose filing date is nolater than thirty (30) days after thedate of the Public Notice listing thefirst-filed application(s) (according tothe filing dates) as acceptable for fil-ing.

(4) Window filing group. A window fil-ing group comprises mutually exclu-

sive applications whose filing date iswithin an announced filing window. Anannounced filing window is a period oftime between and including two spe-cific dates, which are the first and lastdates on which applications (or amend-ments) for a particular purpose may beaccepted for filing. In the case of a one-day window, the two dates are thesame. The dates are made known to thepublic in advance.

(c) Procedures. Generally, the Com-mission may grant one application in afiling group of mutually exclusive ap-plications and dismiss the other appli-cation(s) in the filing that are excludedby that grant, pursuant to § 1.945 of thischapter.

(1) Selection methods. In selecting theapplication to grant, the Commissionwill use competitive bidding.

(2) Dismissal of applications. The Com-mission may dismiss any application ina filing group that is defective or oth-erwise subject to dismissal under § 1.945of this chapter, either before or afteremploying selection procedures.

(3) Type of filing group used. Except asotherwise provided in this part, thetype of filing group used in the proc-essing of two or more mutually exclu-sive applications depends upon the pur-pose(s) of the applications.

(i) If one of the mutually exclusiveapplications is a timely-filed applica-tion for renewal of an authorization, arenewal filing group is used.

(ii) If any mutually exclusive appli-cation filed on the earliest filing dateis an application for modification andnone of the mutually exclusive applica-tions is a timely-filed application forrenewal, a same-day filing group isused.

(iii) If all of the mutually exclusiveapplications filed on the earliest filingdate are applications for initial author-ization, a 30-day notice and cut-off fil-ing group is used, except that, forPhase I unserved area applications inthe Cellular Radiotelephone Service, aone-day window filing group is used(see § 22.949).

(4) Disposition. If there is only one ap-plication in any type of filing group,the Commission may grant that appli-cation and dismiss without prejudiceany mutually exclusive applicationsnot in the filing group. If there is more


117


than one mutually exclusive applica-tion in a filing group, the Commissiondisposes of these applications as fol-lows:

(i) Applications in a renewal filinggroup. All mutually exclusive applica-tions in a renewal filing group are des-ignated for comparative considerationin a hearing.

(ii) Applications in a 30-day notice andcut-off filing group.

(A) If all of the mutually exclusiveapplications in a 30-day notice and cut-off filing group are applications for ini-tial authorization, the FCC admin-isters competitive bidding proceduresin accordance with § 22.201 through§ 22.227 and subpart Q of part 1 of thischapter, as applicable. After such pro-cedures, the application of the success-ful bidder may be granted and theother applications may be dismissedwithout prejudice.

(B) If any of the mutually exclusiveapplications in a 30-day notice and cut-off filing group is an application formodification, the Commission may at-tempt to resolve the mutual exclu-sivity by facilitating a settlement be-tween the applicants. If a settlement isnot reached within a reasonable time,the FCC may designate all applicationsin the filing group for comparativeconsideration in a hearing. In thisevent, the result of the hearing dis-poses all of the applications in the fil-ing group.

(iii) Applications in a same-day filinggroup. If there are two or more mutu-ally exclusive applications in a same-day filing group, the Commission mayattempt to resolve the mutual exclu-sivity by facilitating a settlement be-tween the applicants. If a settlement isnot reached within a reasonable time,the Commission may designate all ap-plications in the filing group for com-parative consideration in a hearing. Inthis event, the result of the hearingdisposes of all of the applications inthe filing group.

(iv) Applications in a window filinggroup. Applications in a window filinggroup are processed in accordance withthe procedures for a 30-day notice andcut-off filing group in paragraph(c)(4)(ii) of this section.

(d) Terminology. For the purposes ofthis section, terms have the followingmeanings:

(1) The filing date of an application isthe date on which that application wasreceived in a condition acceptable forfiling or the date on which the most re-cently filed major amendment to thatapplication was received, whichever islater, excluding major amendments inthe following circumstances:

(i) The major amendment reflectsonly a change in ownership or controlfound by the Commission to be in thepublic interest;

(ii) The major amendment as re-ceived is defective or otherwise foundunacceptable for filing; or

(iii) The application being amendedhas been designated for hearing and theCommission or the presiding officer ac-cepts the major amendment.

(2) An application for initial authoriza-tion is:

(i) Any application requesting an au-thorization for a new system or sta-tion;

(ii) Any application requesting au-thorization for an existing station tooperate on an additional channel, un-less the additional channel is for pairedtwo-way radiotelephone operation, isin the same frequency range as the ex-isting channel(s), and will be oper-ationally integrated with the existingchannel(s) such as by trunking;

(iii) Any application requesting au-thorization for a new transmitter at alocation more than 2 kilometers (1.2miles) from any existing transmittersof the applicant licensee on the re-quested channel or channel block; or

(iv) Any application to expand theCGSA of a cellular system (as definedin § 22.911), except during the five-yearbuild-out period.

(v) Any ‘‘short-form’’ application(filed on FCC Form 175) requesting anew paging geographic area authoriza-tion.

[59 FR 59954, Nov. 21, 1994, as amended at 62FR 11629, Mar. 12, 1997; 63 FR 68943, Dec. 14,1998]

§ 22.143 Construction prior to grant ofapplication.

Applicants may construct facilitiesin the Public Mobile services prior togrant of their applications, subject to


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47 CFR Ch. I (10–1–01 Edition)§ 22.150

the provisions of this section, but mustnot operate such facilities until theFCC grants an authorization. If theconditions stated in this section arenot met, applicants must not begin toconstruct facilities in the Public Mo-bile Services.

(a) When applicants may begin con-struction. An applicant may begin con-struction of a facility 35 days after thedate of the Public Notice listing theapplication for that facility as accept-able for filing, except that an applicantwhose application to operate a new cel-lular system was selected in a randomselection process may begin construc-tion of that new cellular system 35days after the date of the Public Noticelisting it as the tentative selectee.

(b) Notification to stop. If the FCC forany reason determines that construc-tion should not be started or should bestopped while an application is pend-ing, and so notifies the applicant, oral-ly (followed by written confirmation)or in writing, the applicant must notbegin construction or, if constructionhas begun, must stop construction im-mediately.

(c) Assumption of risk. Applicants thatbegin construction pursuant to thissection before receiving an authoriza-tion do so at their own risk and haveno recourse against the United Statesfor any losses resulting from:

(1) Applications that are not granted;(2) Errors or delays in issuing Public

Notices;(3) Having to alter, relocate or dis-

mantle the facility; or(4) Incurring whatever costs may be

necessary to bring the facility intocompliance with applicable laws, orFCC rules and orders.

(d) Conditions. Except as indicated,all pre-grant construction is subject tothe following conditions:

(1) The application is not mutuallyexclusive with any other application,except for successful bidders and ten-tative selectees in the Cellular Radio-telephone Service;

(2) No petitions to deny the applica-tion have been filed;

(3) The application does not include arequest for a waiver of one or moreFCC rules;

(4) For any construction or alter-ation that would exceed the require-

ments of § 17.7 of this chapter, the li-censee has notified the appropriate Re-gional Office of the Federal AviationAdministration (FAA Form 7460–1),filed a request for antenna heightclearance and obstruction marking andlighting specifications (FCC Form 854)with the FCC, PRB, Support ServicesBranch, Gettysburg, PA 17325;

(5) The applicant has indicated in theapplication that the proposed facilitywould not have a significant environ-mental effect, in accordance with§§ 1.1301 through 1.1319 of this chapter;and,

(6) Under applicable internationalagreements and rules in this part, indi-vidual coordination of the proposedchannel assignment(s) with a foreignadministration is not required.

§ 22.150 Standard pre-filing technicalcoordination procedure.

For operations on certain channels inthe Public Mobile Services, carriersmust attempt to coordinate the pro-posed use of spectrum with other spec-trum users prior to filing an applica-tion for authority to operate a station.Rules requiring this procedure for spe-cific channels and types of stations arecontained in the subparts governingthe individual Public Mobile Services.

(a) Coordination comprises twosteps—notification and response. Eachstep may be accomplished orally or inwriting.

(b) Notification must include rel-evant technical details of the proposal.At minimum, this should include thefollowing:

(1) Geographical coordinates of theantenna site(s).

(2) Transmitting and receiving chan-nels to be added or changed.

(3) Transmitting power, emissiontype and polarization.

(4) Transmitting antenna pattern andmaximum gain.

(5) Transmitting antenna heightabove ground level.

(c) Applicants and licensees receivingnotification must respond promptly,even if no channel usage conflicts areanticipated. If any notified party failsto respond within 30 days, the appli-cant may file the application without aresponse from that party.


119


(d) The 30-day period begins on thedate the notification is submitted tothe Commission via the ULS. If the no-tification is by mail, this date may beascertained by:

(1) The return receipt on certifiedmail,

(2) The enclosure of a card to bedated and returned by the party beingnotified, or

(3) A reasonable estimate of the timerequired for the mail to reach its des-tination. In this case, the date whenthe 30-day period will expire must bestated in the notification.

(e) All channel usage conflicts dis-covered during the coordination proc-ess should be resolved prior to filing ofthe application. If the applicant is un-able or unwilling to resolve a par-ticular conflict, the application may beaccepted for filing if it contains astatement describing the unresolvedconflict and a brief explanation of thereasons why a resolution was notachieved.

(f) If a number of changes in the tech-nical parameters of a proposed facilitybecome necessary during the course ofthe coordination process, an attemptshould be made to minimize the num-ber of separate notifications. If thechanges are incorporated into a com-pletely revised notice, the items thatwere changed from the previous noticeshould be identified.

(g) In situations where subsequentchanges are not numerous or complex,the party receiving the changed notifi-cation should make an effort to re-spond in less than 30 days. If the appli-cant believes a shorter response time isreasonable and appropriate, it shouldso indicate in the notice and suggest aresponse date.

(h) If a subsequent change in thetechnical parameters of a proposed fa-cility could not affect the facilities ofone or more of the parties that re-ceived an initial notification, the ap-plicant is not required to coordinatethat change with these parties. How-ever, these parties must be advised ofthe change and of the opinion that co-ordination is not required.

[59 FR 59507, Nov. 17, 1994, as amended at 63FR 68944, Dec. 14, 1998]

§ 22.157 Distance computation.The method given in this section

must be used to compute the distancebetween any two locations, exceptthat, for computation of distance in-volving stations in Canada and Mexico,methods for distance computationspecified in the applicable inter-national agreement, if any, must beused instead. The method set forth inthis paragraph is considered to be suffi-ciently accurate for distances not ex-ceeding 475 km (295 miles).

(a) Convert the latitudes and lon-gitudes of each reference point fromdegree-minute-second format to de-gree-decimal format by dividing min-utes by 60 and seconds by 3600, thenadding the results to degrees.

LATX DDMM SS

LONX DDDMM SS

dd

dd

= + +

= + +

60 3600

60 3600(b) Calculate the mean geodetic lati-

tude between the two reference pointsby averaging the two latitudes:

MLLAT LATdd dd=

+1 2

2(c) Calculate the number of kilo-

meters per degree latitude differencefor the mean geodetic latitude cal-culated in paragraph (b) of this sectionas follows:

KPDlat = −

+

11113209 0 56605. . cos 2ML

0.00120 cos 4ML(d) Calculate the number of kilo-

meters per degree of longitude dif-ference for the mean geodetic latitudecalculated in paragraph (b) of this sec-tion as follows:

KPDlon =

−

+

111 41513

0 09455

.

.

cos ML

cos 3ML

0.00012 cos 5ML(e) Calculate the North-South dis-

tance in kilometers as follows:

NS KPD LAT LATlat dd dd= × −( )1 2


120

47 CFR Ch. I (10–1–01 Edition)§ 22.159

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

EW KPD LON LONlon dd dd= × −( )1 2(g) Calculate the distance between

the locations by taking the square rootof the sum of the squares of the East-West and North-South distances:

DIST NS EW= +2 2

(h) Terms used in this section are de-fined as follows:

(1) LAT1dd and LON1dd are the coordi-nates of the first location in degree-decimal format.

(2) LAT2dd and LON2dd are the coordi-nates of the second location in degree-decimal format.

(3) ML is the mean geodetic latitudein degree-decimal format.

(4) KPDlat is the number of kilometersper degree of latitude at a given meangeodetic latitude.

(5) KPDlon is the number of kilo-meters per degree of longitude at agiven mean geodetic latitude.

(6) NS is the North-South distance inkilometers.

(7) DIST is the distance between thetwo locations, in kilometers.

§ 22.159 Computation of average ter-rain elevation.

Average terrain elevation must becalculated by computer using ele-vations from a 30 second point or bet-ter topographic data file. The file mustbe identified. If a 30 second point datafile is used, the elevation data must beprocessed for intermediate points usinginterpolation techniques; otherwise,the nearest point may be used. In casesof dispute, average terrain elevationdeterminations can also be done manu-ally, if the results differ significantlyfrom the computer derived averages.

(a) Radial average terrain elevationis calculated as the average of the ele-vation along a straight line path from3 to 16 kilometers (2 and 10 miles) ex-tending radially from the antenna site.If a portion of the radial path extendsover foreign territory or water, suchportion must not be included in thecomputation of average elevation un-less the radial path again passes overUnited States land between 16 and 134kilometers (10 and 83 miles) away from

the station. At least 50 evenly spaceddata points for each radial should beused in the computation.

(b) Average terrain elevation is theaverage of the eight radial average ter-rain elevations (for the eight cardinalradials).

(c) For locations in Dade andBroward Counties, Florida, the methodprescribed above may be used or aver-age terrain elevation may be assumedto be 3 meters (10 feet).

§ 22.161 Application requirements forASSB.

Applications for base stations em-ploying amplitude compandored singlesideband modulation (ASSB) must con-tain the following information:

(a) The application must describefully the modulation characteristics,emission and occupied bandwidth, andspecify the center frequency of theemission for each channel, carrier fre-quency, and pilot channels, if any. Theemission must fall completely within achannel assignable for two-way oper-ation in the Paging and Radio-telephone Service, Rural Radio-telephone Service or Offshore Radio-telephone Service.

(b) The application must contain in-terference studies between stationswithin an authorized bandwidth,whether FM-to-ASSB, ASSB-to-FM, orASSB-to-ASSB in accordance with thefollowing: For ASSB stations, thetransmitter nearest to the protectedstation must be used. The effective ra-diated power in the direction of theprotected station must be the sum ofthe peak effective radiated power of alltransmitters in the group, in the direc-tion of the protected station. The an-tenna center of radiation height aboveaverage terrain must be the highest an-tenna center of radiation height of anytransmitter in the group in the direc-tion of the protected station. The chan-nel of the group is assumed to be thesame as that of the protected station(co-channel), and studies must be madein accordance with § 22.567.

§ 22.165 Additional transmitters for ex-isting systems.

A licensee may operate additionaltransmitters at additional locations onthe same channel or channel block as


121


its existing system without obtainingprior Commission approval provided:

(a) International coordination. The lo-cations and/or technical parameters ofthe additional transmitters are suchthat individual coordination of thechannel assignment(s) with a foreignadministration, under applicable inter-national agreements and rules in thispart, is not required.

(b) Antenna structure registration. Cer-tain antenna structures must be reg-istered with the Commission prior toconstruction or alteration. Registra-tion requirements are contained inpart 17 of this chapter.

(c) Environmental. The additionaltransmitters must not have a signifi-cant environmental effect as defined by§§ 1.1301 through 1.1319 of this chapter.

(d) Paging and Radiotelephone Service.The provisions in this paragraph applyfor stations in the Paging and Radio-telephone Service.

(1) The interfering contours of theadditional transmitter(s) must be to-tally encompassed by the compositeinterfering contour of the existing sta-tion (or stations under common controlof the applicant) on the same channel,except that this limitation does notapply to nationwide network pagingstations or in-building radiation sys-tems.

(2) Additional transmitters in the 43MHz frequency range operate under de-velopmental authority, subject to theconditions set forth in § 22.411.

(3) The additional transmitters mustnot operate on control channels in the72–76 MHz, 470–512 MHz, 928 MHz, 932MHz, 941 MHz or 959 MHz frequencyranges.

(e) Cellular radiotelephone service. Dur-ing the five-year build-out period, theservice area boundaries of the addi-tional transmitters, as calculated bythe method set forth in § 22.911(a), mustremain within the market, except thatthe service area boundaries may extendbeyond the market boundary into thearea that is part of the CGSA or is al-ready encompassed by the service areaboundaries of previously authorized fa-cilities. After the five-year build-outperiod, the service area boundaries ofthe additional transmitters, as cal-culated by the method set forth in§ 22.911(a), must remain within the

CGSA. Licensees must notify the Com-mission (FCC Form 601) of any trans-mitters added under this section thatcause a change in the CGSA boundary.The notification must include full sizeand reduced maps, and supporting engi-neering, as described in § 22.953(a)(5)(i)through (iii). If the addition of trans-mitters involves a contract servicearea boundary (SAB) extension (see§ 22.912), the notification must includea statement as to whether the five-yearbuild-out period for the system on therelevant channel block in the marketinto which the SAB extends haselapsed and whether the SAB extendsinto any unserved area in the market.The notification must be made elec-tronically via the ULS, or delivered tothe filing place (see § 1.913 of this chap-ter) no later than 15 days after the ad-dition is made.

(f) Air-ground Radiotelephone Service.Ground stations may be added to Com-mercial Aviation air-ground systems atpreviously established ground stationlocations, pursuant to § 22.859, subjectto compliance with the applicable tech-nical rules. This section does not applyto General Aviation air-ground sta-tions.

(g) Rural Radiotelephone Service. A‘‘service area’’ and ‘‘interfering con-tours’’ must be determined using thesame method as for stations in thePaging and Radiotelephone Service.The service area and interfering con-tours so determined for the additionaltransmitter(s) must be totally encom-passed by the similarly determinedcomposite service area contour andpredicted interfering contour, respec-tively, of the existing station on thesame channel. This section does notapply to Basic Exchange Telecommuni-cations Radio Systems.

(h) Offshore Radiotelephone Service.This section does not apply to stationsin the Offshore Radiotelephone Serv-ice.

(i) Provision of information upon re-quest. Upon request by the FCC, licens-ees must supply administrative ortechnical information concerning theadditional transmitters. At the timetransmitters are added pursuant tothis section, licensees must make arecord of the pertinent technical andadministrative information so that


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47 CFR Ch. I (10–1–01 Edition)§ 22.169

such information is readily available.See § 22.303.

[59 FR 59507, Nov. 17, 1994; 59 FR 64856, Dec.16, 1994; as amended at 62 FR 11629, Mar. 12,1997; 63 FR 68944, Dec. 14, 1998; 64 FR 53240,Oct. 1, 1999]

§ 22.169 International coordination ofchannel assignments.

Channel assignments under this partare subject to the applicable provisionsand requirements of treaties and otherinternational agreements between theUnited States government and the gov-ernments of Canada and Mexico.

COMPETITIVE BIDDING PROCEDURES

SOURCE: 62 FR 11629, Mar. 12, 1997, unlessotherwise noted.

§ 22.201 Scope of competitive biddingrules.

Sections 22.201 through 22.227, inclu-sive (and, unless otherwise specified inthis part, the procedures set forth inpart 1, subpart Q, of this chapter),apply only to competitive bidding(‘‘auction’’) procedures for authoriza-tions as follows:

(a) Paging geographic area authoriza-tions issued pursuant to this part or topart 90 of this chapter.

(b) [Reserved].

§ 22.203 Competitive bidding designfor paging licensing.

A simultaneous multiple round auc-tion will be used to choose from amongmutually exclusive initial applicationsfor paging geographic area authoriza-tions, unless the FCC specifies other-wise by Public Notice prior to the com-petitive bidding procedure.

§ 22.205 Competitive bidding mecha-nisms.

(a) Sequencing. The FCC will establishand may vary the sequence in whichpaging geographic area authorizationsare auctioned.

(b) Grouping. The FCC will determinewhich licenses will be auctioned simul-taneously or in combination based oninterdependency and administrativecircumstances.

(c) Minimum Bid Increments. The FCCmay, by public announcement before orduring an auction, require minimum

bid increments in dollar or percentageterms.

(d) Stopping Rules. The FCC may es-tablish stopping rules before or duringan auction in order to terminate theauction within a reasonable time.

(e) Activity Rules. The FCC may es-tablish activity rules which require aminimum amount of bidding activity.In the event that the FCC establishesan activity rule in connection with asimultaneous multiple round auction,each bidder may request waivers ofsuch rule during the auction. The FCCmay, by public announcement eitherbefore or during an auction, specify orvary the number of waivers availableto each bidder.

§ 22.207 Withdrawal, default, and dis-qualification payments.

The FCC will impose payments onbidders who withdraw high bids duringthe course of an auction, who defaulton payments due after an auction ter-minates, or who are disqualified. Whenthe FCC conducts a simultaneous mul-tiple round auction, payments will becalculated as set forth in §§ 1.2104(g)and 1.2109 of this chapter. When theamount of such a payment cannot bedetermined, a deposit of up to 20 per-cent of the amount bid on the licensewill be required.

§ 22.209 Bidding applications (FCCForm 175 and 175–S Short-form).

Each applicant to participate in com-petitive bidding for paging geographicarea authorizations must submit an ap-plication (FCC Forms 175 and 175–S)pursuant to the provisions of § 1.2105 ofthis chapter.

§ 22.211 Submission of upfront pay-ments and down payments.

(a) The FCC will require applicantsto submit an upfront payment prior tothe start of a paging auction. Theamount of the upfront payment foreach geographic area license auctionedand the procedures for submitting itwill be set forth by the Wireless Tele-communications Bureau in a PublicNotice in accordance with § 1.2106 ofthis chapter.

(b) Each winning bidder in a pagingauction must submit a down paymentto the FCC in an amount sufficient to


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bring its total deposits up to 20 percentof its winning bid. All winning biddersexcept small businesses will be re-quired to make such payment withinten business days following the releaseof a Public Notice announcing the closeof bidding. Small businesses must bringtheir deposits up to 10 percent of theirwinning bids within ten business daysfollowing the release of a Public Noticeannouncing the close of bidding, andmust pay an additional 10 percent priorto licensing, by a date and time to bespecified by Public Notice.

§ 22.213 Long-form application (FCCForm 601).

Each successful bidder for a paginggeographic area authorization mustsubmit a ‘‘long-form’’ application(Form 601) within ten (10) business daysafter being notified by Public Noticethat it is the winning bidder. Applica-tions for paging geographic area au-thorizations on FCC Form 601 must besubmitted in accordance with § 1.2107and § 1.2112 of this chapter, all applica-ble procedures set forth in the rules inthis part, and any applicable PublicNotices that the FCC may issue in con-nection with an auction. After an auc-tion, the FCC will not accept long-formapplications for paging geographic areaauthorizations from anyone other thanthe auction winners and parties seek-ing partitioned authorizations pursu-ant to agreements with auction win-ners under § 22.221 of this part.

[64 FR 33781, June 24, 1999]

§ 22.215 Authorization grant, denial,default, and disqualification.

(a) Each winning bidder will be re-quired to pay the full balance of itswinning bid no later than ten (10) busi-ness days following the release date ofa Public Notice establishing the pay-ment deadline. If a winning bidder failsto pay the balance of its winning bidsin a lump sum by the applicable dead-line as specified by the Commission, itwill be allowed to make payment nolater than ten (10) business days afterthe payment deadline, provided that italso pays a late fee equal to five (5) per-cent of the amount due. When a win-ning bidder fails to pay the balance ofits winning bid by the late paymentdeadline, it is considered to be in de-

fault on its authorization(s) and sub-ject to the applicable default pay-ments. Authorizations will be awardedupon the full and timely payment ofwinning bids and any applicable latefees.

(b) A bidder that withdraws its bidsubsequent to the close of bidding, de-faults on a payment due, or is disquali-fied, is subject to the payments speci-fied in § 22.207, § 1.2104(g), or § 1.2109 ofthis chapter, as applicable.

[59 FR 59507, Nov. 17, 1994, as amended at 64FR 33781, June 24, 1999]

§ 22.217 Bidding credits for small busi-nesses.

(a) A winning bidder that qualifies asa small business or a consortium ofsmall businesses as defined in§ 22.223(b)(1)(i) of this part may use abidding credit of thirty-five (35) per-cent to lower the cost of its winningbid. A winning bidder that qualifies asa small business or a consortium ofsmall businesses as defined in§ 22.223(b)(1)(ii) of this part may use abidding credit of twenty-five (25) per-cent to lower the cost of its winningbid.

(b) Unjust Enrichment:(1) If a small business that utilizes a

bidding credit under this section seeksto transfer control or assign an author-ization to an entity that is not a smallbusiness under § 22.223(b)(1), or seeks tomake any other change in ownershipthat would result in the licensee losingeligibility as a small business, thesmall business must seek FCC approvaland reimburse the U.S. government forthe amount of the bidding credit (plusinterest at the rate imposed for install-ment financing at the time the licensewas awarded), as a condition of ap-proval of such assignment, transfer, orother ownership change.

(2) If a small business that utilizes abidding credit under this section seeksto transfer control or assign an author-ization to a small business meeting theeligibility standards for a lower bid-ding credit, or seeks to make any otherchange in ownership that would resultin the licensee qualifying for a lowerbidding credit under this section, thelicensee must seek FCC approval andreimburse the U.S. government for thedifference between the amount of the


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47 CFR Ch. I (10–1–01 Edition)§ 22.221

bidding credit obtained by the licenseeand the bidding credit for which the as-signee, transferee, or licensee is eligi-ble under this section (plus interest atthe rate imposed for installment fi-nancing at the time the license wasawarded), as a condition of the ap-proval of such assignment, transfer, orother ownership change.

(3) The amount of payments madepursuant to paragraphs (b)(1) and (b)(2)of this section will be reduced overtime as follows: A transfer in the firsttwo years of the license term will re-sult in a forfeiture of 100 percent of thevalue of the bidding credit (or the dif-ference between the bidding credit ob-tained by the original licensee and thebidding credit for which the post-trans-fer licensee is eligible); in year 3 of thelicense term the payment will be 75percent; in year 4 the payment will be50 percent; and in year 5 the paymentwill be 25 percent, after which therewill be no assessment.

(4) If a small business that utilizes abidding credit under this section parti-tions its authorization or disaggregatesits spectrum to an entity not meetingthe eligibility standards for the samebidding credit, the partitioning ordisaggregating licensee will be subjectto the provisions concerning unjust en-richment as set forth in § 1.2111(e) (2)and (3) of this chapter.


§ 22.221 Eligibility for partitioned li-censes.

If partitioned licenses are being ap-plied for in conjunction with a li-cense(s) to be awarded through com-petitive bidding procedures—

(a) The applicable procedures for fil-ing short-form applications and forsubmitting upfront payments and downpayments contained in this chaptershall be followed by the applicant, whomust disclose as part of its short-formapplication all parties to agreement(s)with or among other entities to parti-tion the license pursuant to this sec-tion, if won at auction (see 47 CFR1.2105(a)(2)(viii));

(b) Each party to an agreement topartition the authorization must file along-form application (FCC Form 601)for its respective, mutually agreed-

upon geographic area together with theapplication for the remainder of theMEA or EA filed by the auction win-ner.

(c) If the partitioned authorization isbeing applied for as a partial assign-ment of the MEA or EA authorizationfollowing grant of the initial author-ization, request for authorization forpartial assignment of an authorizationshall be made pursuant to § 1.948 of thispart.


§ 22.223 Definitions concerning com-petitive bidding process.

(a) Scope. The definitions in this sec-tion apply to §§ 22.201 through 22.227,unless otherwise specified in those sec-tions.

(b) Small business; consortium of smallbusinesses. (1) A small business is an en-tity that either:

(i) Together with its affiliates andcontrolling interests has average grossrevenues that are not more than $3million for the preceding three years;or

(ii) Together with its affiliates andcontrolling interests has average grossrevenues that are not more than $15million for the preceding three years.

(2) For purposes of determiningwhether an entity meets either the $3million or $15 million average annualgross revenues size standard set forthin paragraph (b)(1) of this section, thegross revenues of the entity, its affili-ates, and controlling interests shall beconsidered on a cumulative basis andaggregated.

(3) A consortium of small businessesis a conglomerate organization formedas a joint venture between or amongmutually independent business firms,each of which individually satisfies thedefinition of a small business in para-graph (b)(1) of this section. Each indi-vidual member must establish its eligi-bility as a small business, as defined inthis section. Where an applicant (or li-censee) is a consortium of small busi-nesses, the gross revenues of eachsmall business shall not be aggregated.

(4) Applicants without identifiablecontrolling interests. Where an appli-cant (or licensee) cannot identify con-trolling interests under the standards


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set forth in this section, the gross reve-nues of all interest holders in the appli-cant, and their affiliates, will be at-tributable.

(c) Gross Revenues. Gross revenuesshall mean all income received by anentity, whether earned or passive, be-fore any deductions are made for costsof doing business (e.g., cost of goodssold). Gross revenues are evidenced byaudited financial statements for therelevant number of calendar or fiscalyears preceding the filing of the appli-cant’s short-form application. If an en-tity was not in existence for all or partof the relevant period, gross revenuesshall be evidenced by the audited fi-nancial statements of the entity’spredecessor-in-interest or, if there is noidentifiable predecessor-in-interest,unaudited financial statements cer-tified by the applicant as accurate.When an applicant does not otherwiseuse audited financial statements, itsgross revenues may be certified by itschief financial officer or its equivalent.

(d) Affiliate.—(1) Basis for Affiliation.An individual or entity is an affiliateof an applicant if such individual or en-tity:

(i) Directly or indirectly controls orhas the power to control the applicant,or

(ii) Is directly or indirectly con-trolled by the applicant, or

(iii) Is directly or indirectly con-trolled by a third party or parties whoalso control or have the power to con-trol the applicant, or

(iv) Has an ‘‘identity of interest’’with the applicant.

(2) Nature of control in determining af-filiation. (i) Every business concern isconsidered to have one or more partieswho directly or indirectly control orhave the power to control it. Controlmay be affirmative or negative and itis immaterial whether it is exercised solong as the power to control exists.

Example for paragraph (d)(2)(i). An appli-cant owning 50 percent of the voting stock ofanother concern would have negative powerto control such concern since such party canblock any action of the other stockholders.Also, the bylaws of a corporation may per-mit a stockholder with less than 50 percentof the voting stock to block any actionstaken by the other stockholders in the otherentity. Affiliation exists when the applicanthas the power to control a concern while at

the same time another person, or persons,are in control of the concern at the will ofthe party or parties with the power of con-trol.

(ii) Control can arise through stockownership; occupancy of director, offi-cer or key employee positions; contrac-tual or other business relations; orcombinations of these and other fac-tors. A key employee is an employeewho, because of his/her position in theconcern, has a critical influence in orsubstantive control over the operationsor management of the concern.

(iii) Control can arise through man-agement positions if the voting stockis so widely distributed that no effec-tive control can be established.

Example for paragraph (d)(2)(iii). In a cor-poration where the officers and directorsown various size blocks of stock totaling 40percent of the corporation’s voting stock,but no officer or director has a block suffi-cient to give him/her control or the power tocontrol and the remaining 60 percent is wide-ly distributed with no individual stockholderhaving a stock interest greater than 10 per-cent, management has the power to control.If persons with such management control ofthe other entity are controlling principals ofthe applicant, the other entity will bedeemed an affiliate of the applicant.

(3) Identity of interest between andamong persons. Affiliation can arise be-tween or among two or more personswith an identity of interest, such asmembers of the same family or personswith common investments. In deter-mining if the applicant controls or iscontrolled by a concern, persons withan identity of interest will be treatedas though they were one person.

(i) Spousal affiliation. Both spousesare deemed to own or control or havethe power to control interests owned orcontrolled by either of them, unlessthey are subject to a legal separationrecognized by a court of competent ju-risdiction in the United States.

(ii) Kinship affiliation. Immediatefamily members will be presumed toown or control or have the power tocontrol interests owned or controlledby other immediate family members.In this context ‘‘immediate familymember’’ means father, mother, hus-band, wife, son, daughter, brother, sis-ter, father- or mother-in-law, son- ordaughter-in-law, brother- or sister-in-law, step-father, or -mother, step-


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47 CFR Ch. I (10–1–01 Edition)§ 22.223

brother, or -sister, step-son, or -daugh-ter, half-brother or -sister. This pre-sumption may be rebutted by showingthat:

(A) The family members are es-tranged,

(B) The family ties are remote, or(C) The family members are not

closely involved with each other inbusiness matters.

Example for paragraph (d)(3)(ii). A owns acontrolling interest in Corporation X. A’ssister-in-law, B, has a controlling interest ina paging geographic area authorization ap-plication. Because A and B have a presump-tive kinship affiliation, A’s interest in Cor-poration X is attributable to B, and thus tothe applicant, unless B rebuts the presump-tion with the necessary showing.

(4) Affiliation through stock ownership.(i) An applicant is presumed to controlor have the power to control a concernif he/she owns or controls or has thepower to control 50 percent or more ofits voting stock.

(ii) An applicant is presumed to con-trol or have the power to control a con-cern even though he/she owns, controls,or has the power to control less than 50percent of the concern’s voting stock,if the block of stock he/she owns, con-trols, or has the power to control islarge as compared with any other out-standing block of stock.

(iii) If two or more persons eachowns, controls or has the power to con-trol less than 50 percent of the votingstock of a concern, such minority hold-ings are equal or approximately equalin size, and the aggregate of these mi-nority holdings is large as comparedwith any other stock holding, the pre-sumption arises that each one of thesepersons individually controls or hasthe power to control the concern; how-ever, such presumption may be rebut-ted by a showing that such control orpower to control, in fact, does notexist.

(5) Affiliation arising under stock op-tions, convertible debentures, and agree-ments to merge. Stock options, convert-ible debentures, and agreements tomerge (including agreements in prin-ciple) are generally considered to havea present effect on the power to controlthe concern. Therefore, in making asize determination, such options, de-bentures, and agreements will gen-

erally be treated as though the rightsheld thereunder had been exercised.However, neither an affiliate nor an ap-plicant can use such options and deben-tures to appear to terminate its con-trol over another concern before it ac-tually does so.

Example 1 for paragraph (d)(5). If company Bholds an option to purchase a controlling in-terest in company A, who holds a controllinginterest in a paging geographic area author-ization application, the situation is treatedas though company B had exercised itsrights and had become owner of a controllinginterest in company A. The gross revenues ofcompany B must be taken into account indetermining the size of the applicant.

Example 2 for paragraph (d)(5). If a largecompany, BigCo, holds 70% (70 of 100 out-standing shares) of the voting stock of com-pany A, who holds a controlling interest in apaging geographic area authorization appli-cation, and gives a third party, SmallCo, anoption to purchase 50 of the 70 shares ownedby BigCo, BigCo will be deemed to be an af-filiate of company A, and thus the applicant,until SmallCo actually exercises its optionsto purchase such shares. In order to preventBigCo from circumventing the intent of therule which requires such options to be con-sidered on a fully diluted basis, the option isnot considered to have present effect in thiscase.

Example 3 for paragraph (d)(5). If companyA has entered into an agreement to mergewith company B in the future, the situationis treated as though the merger has takenplace.

(6) Affiliation under voting trusts. (i)Stock interests held in trust shall bedeemed controlled by any person whoholds or shares the power to vote suchstock, to any person who has the solepower to sell such stock, and to anyperson who has the right to revoke thetrust at will or to replace the trusteeat will.

(ii) If a trustee has a familial, per-sonal or extra-trust business relation-ship to the grantor or the beneficiary,the stock interests held in trust will bedeemed controlled by the grantor orbeneficiary, as appropriate.

(iii) If the primary purpose of a vot-ing trust, or similar agreement, is toseparate voting power from beneficialownership of voting stock for the pur-pose of shifting control of or the powerto control a concern in order that suchconcern or another concern may meetthe Commission’s size standards, suchvoting trust shall not be considered


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valid for this purpose regardless ofwhether it is or is not recognized with-in the appropriate jurisdiction.

(7) Affiliation through common manage-ment. Affiliation generally arises whereofficers, directors, or key employeesserve as the majority or otherwise asthe controlling element of the board ofdirectors and/or the management of an-other entity.

(8) Affiliation through common facili-ties. Affiliation generally arises whereone concern shares office space and/oremployees and/or other facilities withanother concern, particularly wheresuch concerns are in the same or re-lated industry or field of operations, orwhere such concerns were formerly af-filiated, and through these sharing ar-rangements one concern has control, orpotential control, of the other concern.

(9) Affiliation through contractual rela-tionships. Affiliation generally ariseswhere one concern is dependent uponanother concern for contracts and busi-ness to such a degree that one concernhas control, or potential control, of theother concern.

(10) Affiliation under joint venture ar-rangements. (i) A joint venture for sizedetermination purposes is an associa-tion of concerns and/or individuals,with interests in any degree or propor-tion, formed by contract, express orimplied, to engage in and carry out asingle, specific business venture forjoint profit for which purpose theycombine their efforts, property, money,skill and knowledge, but not on a con-tinuing or permanent basis for con-ducting business generally. The deter-mination whether an entity is a jointventure is based upon the facts of thebusiness operation, regardless of howthe business operation may be des-ignated by the parties involved. Anagreement to share profits/losses pro-portionate to each party’s contributionto the business operation is a signifi-cant factor in determining whether thebusiness operation is a joint venture.

(ii) The parties to a joint venture areconsidered to be affiliated with eachother.

(e) Controlling interest. (1) For pur-poses of this section, controlling inter-est includes individuals or entitieswith de jure and de facto control of theapplicant. De jure control is greater

than 50 percent of the voting stock of acorporation, or in the case of a partner-ship, the general partner. De facto con-trol is determined on a case-by-casebasis. An entity must disclose its eq-uity interest and demonstrate at leastthe following indicia of control to es-tablish that it retains de facto controlof the applicant:

(i) The entity constitutes or appointsmore than 50 percent of the board of di-rectors or management committee;

(ii) The entity has authority to ap-point, promote, demote, and fire seniorexecutives that control the day-to-dayactivities of the licensee; and

(iii) The entity plays an integral rolein management decisions.

(2) Calculation of certain interests. (i)Ownership interests shall be calculatedon a fully diluted basis; all agreementssuch as warrants, stock options andconvertible debentures will generallybe treated as if the rights thereunderalready have been fully exercised.

(ii) Partnership and other ownershipinterests and any stock interest eq-uity, or outstanding stock, or out-standing voting stock shall be attrib-uted as specified below.

(iii) Stock interests held in trustshall be attributed to any person whoholds or shares the power to vote suchstock, to any person who has the solepower to sell such stock, and, to anyperson who has the right to revoke thetrust at will or to replace the trusteeat will. If the trustee has a familial,personal, or extra-trust business rela-tionship to the grantor or the bene-ficiary, the grantor or beneficiary, asappropriate, will be attributed with thestock interests held in trust.

(iv) Non-voting stock shall be attrib-uted as an interest in the issuing enti-ty.

(v) Limited partnership interestsshall be attributed to limited partnersand shall be calculated according toboth the percentage of equity paid inand the percentage of distribution ofprofits and losses.

(vi) Officers and directors of an enti-ty shall be considered to have an at-tributable interest in the entity. Theofficers and directors of an entity thatcontrols a licensee or applicant shallbe considered to have an attributableinterest in the licensee or applicant.


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47 CFR Ch. I (10–1–01 Edition)§ 22.225

(vii) Ownership interests that areheld indirectly by any party throughone or more intervening corporationswill be determined by successive mul-tiplication of the ownership percent-ages for each link in the vertical own-ership chain and application of the rel-evant attribution benchmark to the re-sulting product, except that if the own-ership percentage for an interest in anylink in the chain exceeds 50 percent orrepresents actual control, it shall betreated as if it were a 100 percent inter-est.

(viii) Any person who manages theoperations of an applicant or licenseepursuant to a management agreementshall be considered to have an attrib-utable interest in such applicant or li-censee if such person or its affiliatepursuant to paragraph (d) of this sec-tion has authority to make decisionsor otherwise engage in practices or ac-tivities that determine, or signifi-cantly influence,

(A) The nature or types of servicesoffered by such an applicant or li-censee;

(B) The terms upon which such serv-ices are offered; or

(C) The prices charged for such serv-ices.

(ix) Any licensee or its affiliate whoenters into a joint marketing arrange-ment with an applicant or licensee, orits affiliate, shall be considered to havean attributable interest, if such appli-cant or licensee, or its affiliate, has au-thority to make decisions or otherwiseengage in practices or activities thatdetermine, or significantly influence,





§ 22.225 Certifications, disclosures,records maintenance and audits.

(a) Short-form applications: certifi-cations and disclosure. In addition tocertifications and disclosures requiredby part 1, subpart Q, of this chapter,each applicant for a paging licensewhich qualifies as a small business or

consortium of small businesses shallappend the following information as anexhibit to its FCC Form 175:

(1) The identity of the applicant’scontrolling interests and affiliates,and, if a consortium of small busi-nesses, the members of the joint ven-ture; and

(2) The applicant’s gross revenues,computed in accordance with § 22.223.

(b) Long form applications: certifi-cations and disclosure. Each applicantsubmitting a long-form application fora paging geographic area authorizationand qualifying as a small businessshall, in an exhibit to its long-form ap-plication:

(1) Disclose separately and in the ag-gregate the gross revenues, computedin accordance with § 22.223, for each ofthe following: the applicant, the appli-cant’s affiliates, the applicant’s con-trolling interests, and, if a consortiumof small businesses, the members of thejoint venture;

(2) List and summarize all agree-ments or other instruments (with ap-propriate references to specific provi-sions in the text of such agreementsand instruments) that support the ap-plicant’s eligibility as a small businessunder §§ 22.217 through 22.223, includingthe establishment of de facto and dejure control; such agreements and in-struments include, but are not limitedto, articles of incorporation and by-laws, shareholder agreements, votingor other trust agreements, franchiseagreements, and any other relevantagreements, including letters of intent,oral or written; and

(3) List and summarize any investorprotection agreements, includingrights of first refusal, supermajorityclauses, options, veto rights, and rightsto hire and fire employees and to ap-point members to boards of directors ormanagement committees.

(c) Records maintenance. All winningbidders qualifying as small businessesshall maintain at their principal placeof business an updated file of owner-ship, revenue, and asset information,including any documents necessary toestablish eligibility as a small businessand/or consortium of small businessesunder § 22.223. Licensees (and their suc-cessors-in-interest) shall maintain such


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files for the term of the license. Appli-cants that do not obtain the license(s)for which they applied shall maintainsuch files until the grant of such li-cense(s) is final, or one year from thedate of the filing of their short-formapplication (FCC Form 175), whicheveris earlier.

(d) Audits. (1) Applicants and licens-ees claiming eligibility as a small busi-ness or consortium of small businessesunder §§ 22.217 through 22.223 shall besubject to audits by the Commission.Selection for audit may be random, oninformation, or on the basis of otherfactors.

(2) Consent to such audits is part ofthe certification included in the short-form application (FCC Form 175). Suchconsent shall include consent to theaudit of the applicant’s or licensee’sbooks, documents and other material(including accounting procedures andpractices) regardless of form or type,sufficient to confirm that such appli-cant’s or licensee’s representations are,and remain, accurate. Such consentshall include inspection at all reason-able times of the facilities, or partsthereof, engaged in providing andtransacting business, or keepingrecords regarding licensed paging serv-ice and shall also include consent tothe interview of principals, employees,customers and suppliers of the appli-cant or licensee.

(e) Definitions. The terms affiliate,small business, consortium of smallbusinesses, gross revenues, and control-ling interest used in this section aredefined in § 22.223.


§ 22.227 Petitions to deny and limita-tions on settlements.

(a) Procedures regarding petitions todeny long-form applications in the pag-ing service will be governed by§§ 1.2108(b) through 1.2108(d) of thischapter, § 22.130, and § 90.163.

(b) The consideration that an indi-vidual or an entity will be permitted toreceive for agreeing to withdraw an ap-plication or a petition to deny will belimited by the provisions set forth in§ 22.129, § 90.162, and § 1.2105(c) of thischapter.

Subpart C—Operational andTechnical Requirements

OPERATIONAL REQUIREMENTS

§ 22.301 Station inspection.

Upon reasonable request, the licenseeof any station authorized in the PublicMobile Services must make the stationand station records available for in-spection by authorized representativesof the Commission at any reasonablehour.

[59 FR 59955, Nov. 21, 1994]

§ 22.303 Retention of station authoriza-tions; identifying transmitters.

The current authorization for eachstation, together with current adminis-trative and technical information con-cerning modifications to facilities pur-suant to § 22.163 and added facilitiespursuant to § 22.165 must be retained asa permanent part of the stationrecords. A clearly legible photocopy ofthe authorization must be available ateach regularly attended control pointof the station, or in lieu of this photo-copy, licensees may instead makeavailable at each regularly attendedcontrol point the address or locationwhere the licensee’s current authoriza-tion and other records may be found.The station call sign must be clearlyand legibly marked on or near everytransmitting facility, other than mo-bile transmitters, of the station.

§ 22.305 Operator and maintenance re-quirements.

FCC operator permits and licensesare not required to operate, repair ormaintain equipment authorized in thePublic Mobile Services. Station licens-ees are responsible for the proper oper-ation and maintenance of their sta-tions, and for compliance with FCCrules.

§ 22.307 Operation during emergency.

Licensees of stations in the PublicMobile services may, during a period ofemergency in which normal commu-nications facilities are disrupted as aresult of hurricane, flood, earthquakeor other natural disaster, civil unrest,


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47 CFR Ch. I (10–1–01 Edition)§ 22.313

widespread vandalism, national emer-gencies or emergencies declared by Ex-ecutive Order of the President, usetheir stations to temporarily provideemergency communications services ina manner or configuration not nor-mally allowed by this part, providedthat such operations comply with theprovisions of this section.

(a) Technical limitations. Public Mo-bile stations providing temporaryemergency communications servicemust not transmit:

(1) On channels other than those au-thorized for normal operations.

(2) With power in excess of that au-thorized for normal operations;

(3) Emission types other than thoseauthorized for normal operations.

(b) Discontinuance. Temporary emer-gency use of Public Mobile stationsmust be discontinued as soon as nor-mal communication facilities are re-stored. The FCC may, at any time,order the discontinuance of any suchemergency communication services.

§ 22.313 Station identification.The licensee of each station in the

Public Mobile Services must ensurethat the transmissions of that stationare identified in accordance with therequirements of this section.

(a) Station identification is not re-quired for transmission by:

(1) Stations in the Cellular Radio-telephone Service;

(2) General aviation ground stationsin the Air-ground Radiotelephone Serv-ice;

(3) Rural subscriber stations usingmeteor burst propagation mode com-munications in the Rural Radio-telephone Service;

(4) Stations using Basic ExchangeTelephone Radio Systems in the RuralRadiotelephone Service;

(5) Nationwide network paging sta-tions operating on 931 MHz channels;or,

(6) Stations operating pursuant topaging geographic area authorizations.

(b) For all other stations in the Pub-lic Mobile Services, station identifica-tion must be transmitted each hourwithin five minutes of the hour, orupon completion of the first trans-mission after the hour. Transmission ofstation identification may be tempo-

rarily delayed to avoid interruptingthe continuity of any public commu-nication in progress, provided that sta-tion identification is transmitted atthe conclusion of that public commu-nication.

(c) Station identification must betransmitted by telephony using theEnglish language or by telegraphyusing the international Morse code,and in a form that can be receivedusing equipment appropriate for themodulation type employed, and under-stood without the use of unscramblingdevices, except that, alternatively, sta-tion identification may be transmitteddigitally, provided that the licenseeprovides the Commission with informa-tion sufficient to decode the digitaltransmission to ascertain the call sign.Station identification comprises trans-mission of the call sign assigned by theCommission to the station, however,the following may be used in lieu of thecall sign.

(1) For transmission from subscriberoperated transmitters, the telephonenumber or other designation assignedby the carrier, provided that a writtenrecord of such designations is main-tained by the carrier;

(2) For general aviation airborne mo-bile stations in the Air-Ground Radio-telephone Service, the official FAAregistration number of the aircraft;

(3) For stations in the Paging andRadiotelephone Service, a call sign as-signed to another station within thesame system.

[59 FR 59507, Nov. 17, 1994, as amended at 59FR 59955, Nov. 21, 1994; 62 FR 11633, Mar. 12,1997]

§ 22.317 Discontinuance of station op-eration.

If the operation of a Public MobileServices station is permanently discon-tinued, the licensee shall send author-ization for cancellation by electronicfiling via the ULS on FCC Form 601.For purposes of this section, any sta-tion that has not provided service tosubscribers for 90 continuous days isconsidered to have been permanentlydiscontinued, unless the applicant noti-fied the FCC otherwise prior to the endof the 90 day period and provided a dateon which operation will resume, which


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date must not be in excess of 30 addi-tional days.

[59 FR 59507, Nov. 17, 1994, as amended at 61FR 54099, Oct. 17, 1996; 63 FR 68944, Dec. 14,1998]


Public Mobile Services licenseesshall afford equal opportunity in em-ployment to all qualified persons, andpersonnel must not be discriminatedagainst in employment because of sex,race, color, religion, or national origin.

(a) Equal employment opportunity pro-gram. Each licensee shall establish,maintain, and carry out a positive con-tinuing program of specific practicesdesigned to assure equal opportunity inevery aspect of employment policy andpractice.

(1) Under the terms of its program,each licensee shall:

(i) Define the responsibility of eachlevel of management to insure a posi-tive application and vigorous enforce-ment of the policy of equal oppor-tunity, and establish a procedure to re-view and control managerial and super-visory performance.

(ii) Inform its employees and recog-nized employee organizations of thepositive equal employment oppor-tunity policy and program and enlisttheir cooperation.

(iii) Communicate its equal employ-ment opportunity policy and programand its employment needs to sources ofqualified applicants without regard tosex, race, color, religion or national or-igin, and solicit their recruitment as-sistance on a continuing basis.

(iv) Conduct a continuing campaignto exclude every form of prejudice ordiscrimination based upon sex, race,color, religion, or national origin, fromthe licensee’s personnel policies andpractices and working conditions.

(v) Conduct a continuing review ofjob structure and employment prac-tices and adopt positive recruitment,training, job design and other measuresneeded in order to ensure genuineequality of opportunity to participatefully in all organizational units, occu-pations and levels of responsibility.

(2) The program must reasonably ad-dress specific concerns through policiesand actions as set forth in this para-

graph, to the extent that they are ap-propriate in consideration of licenseesize, location and other factors.

(i) To assure nondiscrimination in re-cruiting. (A) Posting notices in the li-censee’s offices informing applicantsfor employment of their equal employ-ment rights and their right to notifythe Equal Employment OpportunityCommission (EEOC), the Federal Com-munications Commission (FCC), orother appropriate agency. Where a sub-stantial number of applicants areSpanish-surnamed Americans, such no-tice should be posted in both Spanishand English.

(B) Placing a notice in bold type onthe employment application informingprospective employees that discrimina-tion because of sex, race, color, reli-gion or national origin is prohibited,and that they may notify the EEOC,the FCC or other appropriate agency ifthey believe they have been discrimi-nated against.

(C) Placing employment advertise-ments in media which have significantcirculation among minority groups inthe recruiting area.

(D) Recruiting through schools andcolleges with significant minoritygroup enrollments.

(E) Maintaining systematic contactswith minority and human relations or-ganizations, leaders and spokespersonsto encourage referral of qualified mi-nority or female applicants.

(F) Encouraging present employeesto refer minority or female applicants.

(G) Making known to the appropriaterecruitment sources in the employer’simmediate area that qualified minoritymembers are being sought for consider-ation whenever the licensee hires.

(ii) To assure nondiscrimination in se-lection and hiring. (A) Instructing em-ployees of the licensee who make hir-ing decisions that all applicants for alljobs are to be considered without dis-crimination.

(B) Where union agreements exist,cooperating with the union or unionsin the development of programs to as-sure qualified minority persons or fe-males of equal opportunity for employ-ment, and including an effective non-discrimination clause in new or renego-tiated union agreements.


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47 CFR Ch. I (10–1–01 Edition)§ 22.321

(C) Avoiding use of selection tech-niques or tests that have the effect ofdiscriminating against minority groupsor females.

(iii) To assure nondiscriminatory place-ment and promotion. (A) Instructing em-ployees of the licensee who make deci-sions on placement and promotion thatminority employees and females are tobe considered without discrimination,and that job areas in which there is lit-tle or no minority or female represen-tation should be reviewed to determinewhether this results from discrimina-tion.

(B) Giving minority groups and fe-male employees equal opportunity forpositions which lead to higher posi-tions. Inquiring as to the interest andskills of all lower-paid employees withrespect to any of the higher-paid posi-tions, followed by assistance, coun-seling, and effective measures to en-able employees with interest and po-tential to qualify themselves for suchpositions.

(C) Reviewing seniority practices toinsure that such practices are non-discriminatory and do not have a dis-criminatory effect.

(D) Avoiding use of selection tech-niques or tests that have the effect ofdiscriminating against minority groupsor females.

(iv) To assure nondiscrimination inother areas of employment practices. (A)Examining rates of pay and fringe ben-efits for present employees with equiv-alent duties and adjusting any inequi-ties found.

(B) Providing opportunity to performovertime work on a basis that does notdiscriminate against qualified minor-ity groups or female employees.

(b) EEO statement. Each licensee hav-ing 16 or more full-time employeesshall file with the FCC, no later thanMay 31st following the grant of that li-censee’s first Public Mobile Servicesauthorization, a statement describingfully its current equal employment op-portunity program, indicating specificpractices to be followed in order to as-sure equal employment opportunity onthe basis of sex, race, color, religion ornational origin in such aspects of em-ployment practices as regards recruit-ment, selection, training, placement,promotion, pay, working conditions,

demotion, layoff and termination. Anylicensee having 16 or more full-timeemployees that changes its existingequal employment opportunity pro-gram shall file with the FCC, no laterthan May 31st thereafter, a revisedstatement reflecting the change(s).

NOTE TO PARAGRAPH (b) OF § 22.321: Licens-ees having 16 or more full-time employeesthat were granted their first Public MobileServices authorization prior to January 1,1995, and do not have a current EEO state-ment on file with the FCC, must file suchstatement, required by paragraph (b) of thissection, no later than May 31, 1995.

(c) Report of complaints filed against li-censees. Each licensee, regardless ofhow many employees it has, shall sub-mit an annual report to the FCC nolater than May 31st of each year indi-cating whether any complaints regard-ing violations by the licensee or equalemployment provisions of Federal,State, Territorial, or local law havebeen filed before anybody having com-petent jurisdiction.

(1) The report should state the par-ties involved, the date filing, thecourts or agencies before which thematters have been heard, the appro-priate file number (if any), and the re-spective disposition or current statusof any such complaints.

(2) Any licensee who has filed suchinformation with the EEOC may file anotification of such filing with the FCCin lieu of a report.

(d) Complaints of violations of EqualEmployment Programs. Complaints al-leging employment discriminationagainst a common carrier licensee areconsidered by the FCC in the followingmanner:

(1) If a complaint raising an issue ofdiscrimination is received against a li-censee who is within the jurisdiction ofthe EEOC, it is submitted to that agen-cy. The FCC maintains a liaison withthat agency that keeps the FCC in-formed of the disposition of complaintsfiled against common carrier licensees.

(2) Complaints alleging employmentdiscrimination against a common car-rier licensee who does not fall underthe jurisdiction of the EEOC but is cov-ered by appropriate enforceable Statelaw, to which penalties apply, may besubmitted by the FCC to the respectiveState agency.


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(3) Complaints alleging employmentdiscrimination against a common car-rier licensee who does not fall underthe jurisdiction of the EEOC or an ap-propriate State law, are accorded ap-propriate treatment by the FCC.

(4) The FCC will consult with theEEOC on all matters relating to theevaluation and determination of com-pliance by the common carrier licens-ees with the principles of equal em-ployment as set forth herein.

(5) Complaints indicating a generalpattern of disregard of equal employ-ment practices which are receivedagainst a licensee that is required tofile an employment report to the FCCunder § 1.815(a) of this chapter are in-vestigated by the FCC.

(e) FCC records. A copy of every an-nual employment report, equal em-ployment opportunity program state-ment, reports on complaints regardingviolation of equal employment provi-sions of Federal, State, Territorial, orlocal law, and copies of all exhibits,letters, and other documents filed aspart thereof, all amendments thereto,all correspondence between the li-censee and the FCC pertaining to thereports after they have been filed andall documents incorporated therein byreference, are open for public inspec-tion at the offices of the FCC.

(f) Licensee records. Each licensee re-quired to file annual employment re-ports (pursuant to § 1.815(a) of thischapter), equal employment oppor-tunity program statements, and annualreports on complaints regarding viola-tions of equal employment provisionsof Federal, State, Territorial, or locallaw shall maintain for public inspec-tion a file containing a copy of eachsuch report and copies of all exhibits,letters, and other documents filed aspart thereto, all correspondence be-tween the licensee and the FCC per-taining to the reports after they havebeen filed and all documents incor-porated therein by reference. The docu-ments must be retained for a period of2 years.

§ 22.323 Incidental communicationservices.

Carriers authorized to operate sta-tions in the Public Mobile radio serv-ices may use these stations to provide

other communications services inci-dental to the primary public mobileservice for which the authorizationswere issued, provided that:

(a) The costs and charges of sub-scribers who do not wish to use inci-dental services are not increased as aresult of provision of incidental serv-ices to other subscribers;

(b) The quality of the primary publicmobile service does not materially de-teriorate as a result of provision of in-cidental services, and neither growthnor availability of the primary publicmobile service is significantly dimin-ished as a result of provision of inci-dental services; and

(c) The provision of the incidentalservices is not inconsistent with theCommunications Act of 1934, as amend-ed, or with FCC rules and policies.

[59 FR 59507, Nov. 17, 1994, as amended at 63FR 68944, Dec. 14, 1998; 65 FR 49202, Aug. 11,2000]

§ 22.325 Control points.Each station in the Public Mobile

Services must have at least one controlpoint and a person on duty who is re-sponsible for station operation. Thissection does not require that the per-son on duty be at the control point orcontinuously monitor all transmissionsof the station. However, the controlpoint must have facilities that enablethe person on duty to turn off thetransmitters in the event of a malfunc-tion.

TECHNICAL REQUIREMENTS

§ 22.351 Channel assignment policy.The channels allocated for use in the

Public Mobile Services are listed in theapplicable subparts of this part. Chan-nels and channel blocks are assigned insuch a manner as to facilitate the ren-dition of service on an interference-freebasis in each service area. Except asotherwise provided in this part, eachchannel or channel block is assignedexclusively to one common carrier ineach service area. All applicants for,and licensees of, stations in the PublicMobile Services shall cooperate in theselection and use of channels in orderto minimize interference and obtainthe most efficient use of the allocatedspectrum.


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47 CFR Ch. I (10–1–01 Edition)§ 22.352

§ 22.352 Protection from interference.

Public Mobile Service stations oper-ating in accordance with FCC rulesthat provide technical channel assign-ment criteria for the radio service andchannels involved, all other applicableFCC rules, and the terms and condi-tions of their authorizations are nor-mally considered to be non-interfering.If the FCC determines, however, thatinterference that significantly inter-rupts or degrades a radio service isbeing caused, it may, in accordancewith the provisions of sections 303(f)and 316 of the Communications Act of1934, as amended, (47 U.S.C. 303(f), 316),require modifications to any PublicMobile station as necessary to elimi-nate such interference.

(a) Failure to operate as authorized.Any licensee causing interference tothe service of other stations by failingto operate its station in full accord-ance with its authorization and appli-cable FCC rules shall discontinue alltransmissions, except those necessaryfor the immediate safety of life orproperty, until it can bring its stationinto full compliance with the author-ization and rules.

(b) Intermodulation interference. Li-censees should attempt to resolve suchinterference by technical means.

(c) Situations in which no protection isafforded. Except as provided elsewherein this part, no protection from inter-ference is afforded in the following sit-uations:

(1) Interference to base receivers frombase or fixed transmitters. Licenseesshould attempt to resolve such inter-ference by technical means or oper-ating arrangements.

(2) Inteference to mobile receivers frommobile transmitters. No protection isprovided against mobile-to-mobile in-terference.

(3) Interference to base receivers frommobile transmitters. No protection isprovided against mobile-to-base inter-ference.

(4) Interference to fixed stations. Li-censees should attempt to resolve suchinterference by technical means or op-erating arrangements.

(5) Anomalous or infrequent propaga-tion modes. No protection is providedagainst interference caused by tropo-

spheric and ionospheric propagation ofsignals.

(6) Facilities for which the Commissionis not notified. No protection is providedagainst interference to the service ofany additional or modified transmitteroperating pursuant to §§ 1.929 or 22.165,unless and until the licensee modifiesits authorization using FCC Form 601.

(7) In-building radiation systems. Noprotection is provided against inter-ference to the service of in-building ra-diation systems (see § 22.383).


§ 22.353 Blanketing interference.

Licensees of Public Mobile Servicesstations are responsible for resolvingcases of blanketing interference in ac-cordance with the provisions of thissection.

(a) Except as provided in paragraph(c) of this section, licensees must re-solve any cases of blanketing inter-ference in their area of responsibilitycaused by operation of their trans-mitter(s) during a one-year period fol-lowing commencement of service fromnew or modified transmitter(s). Inter-ference must be resolved promptly atno cost to the complainant.

(b) The area of responsibility is thatarea in the immediate vicinity of thetransmitting antenna of stations wherethe field strength of the electro-magnetic radiation from such stationsequals or exceeds 115 dBµV/m. To deter-mine the radial distance to the bound-ary of this area, the following formulamust be used:

d p= ×0 394.where d is the radial distance to the bound-

ary, in kilometersp is the radial effective radiated power, in

kilowatts

The maximum effective radiated powerin the pertinent direction, without con-sideration of the antenna’s vertical ra-diation pattern or height, must be usedin the formula.

(c) Licensees are not required to re-solve blanketing interference to mobile


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receivers or non-RF devices or blan-keting interference occurring as a re-sult of malfunctioning or mistuned re-ceivers, improperly installed consumerantenna systems, or the use of highgain antennas or antenna booster am-plifiers by consumers.

(d) Licensees that install transmit-ting antennas at a location where thereare already one or more transmittingantennas are responsible for resolvingany new cases of blanketing inter-ference in accordance with this section.

(e) Two or more licensees that con-currently install transmitting anten-nas at the same location are jointly re-sponsible for resolving blanketing in-terference cases, unless the FCC canreadily determine which station iscausing the interference, in which casethe licensee of that station is held fullyresponsible.

(f) After the one year period of re-sponsibility to resolve blanketing in-terference, licensees must provide uponrequest technical information to com-plainants on remedies for blanketinginterference.

§ 22.355 Frequency tolerance.Except as otherwise provided in this

part, the carrier frequency of eachtransmitter in the Public Mobile Serv-ices must be maintained within the tol-erances given in Table C–1 of this sec-tion.

TABLE C–1.—FREQUENCY TOLERANCE FORTRANSMITTERS IN THE PUBLIC MOBILE SERVICES

Frequency range(MHz)

Base, fixed(ppm)

Mobile ≤3watts(ppm)

Mobile≤3 watts

(ppm)

25 to 50 ............. 20.0 20.0 50.050 to 450 ........... 5.0 5.0 50.0450 to 512 ......... 2.5 5.0 5.0821 to 896 ......... 1.5 2.5 2.5928 to 929 ......... 5.0 n/a n/a929 to 960 ......... 1.5 n/a n/a2110 to 2220 ..... 10.0 n/a n/a

[61 FR 54099, Oct. 17, 1996]

§ 22.357 Emission types.Any authorized station in the Public

Mobile Services may transmit anyemission type provided that the result-ing emission complies with the appro-priate emission mask. See §§ 22.359,22.861 and 22.917.

[61 FR 54099, Oct. 17, 1996]

§ 22.359 Emission masks.

Unless otherwise indicated in therules governing a specific radio service,all transmitters intended for use in thePublic Mobile Services must be de-signed to comply with the emissionmasks outlined in this section. If anemission outside of the authorizedbandwidth causes harmful interference,the FCC may, at its discretion, requiregreater attenuation than specified inthis section.

(a) Analog modulation. For transmit-ters other than those employing digitalmodulation techniques, the mean orpeak envelope power of adjacent chan-nel emissions must be attenuatedbelow the output mean or peak enve-lope power of the total emission (P, inWatts) in accordance with the fol-lowing schedule:

(1) On any frequency removed fromthe center frequency of the assignedchannel by more than 50 percent up toand including 100 percent of the au-thorized bandwidth:

at least 25 dB:

(2) On any frequency removed fromthe center frequency of the assignedchannel by more than 100 percent up toand including 250 percent of the au-thorized bandwidth:

at least 35 dB:

(3) On any frequency removed fromthe center frequency of the assignedchannel by more than 250 percent ofthe authorized bandwidth:

at least 43 + 10 log P dB, or 80 dB,whichever is the lesser attenuation.

(b) Digital modulation. For transmit-ters not equipped with an audio lowpass filter and for transmitters em-ploying digital modulation techniques,the mean or peak envelope power ofsideband emissions must be attenuatedbelow the mean or peak envelope powerof the total emission (P, in Watts) inaccordance with the following sched-ule:

(1) For transmitters that operate inthe frequency ranges 35 to 44 MHz, 72 to73 MHz, 75.4 to 76.0 MHz and 152 to 159MHz,

(i) On any frequency removed fromthe center frequency of the assignedchannel by a displacement frequency fd


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47 CFR Ch. I (10–1–01 Edition)§ 22.361

(in kHz) of more than 5 kHz but notmore than 10 kHz:

at least 83 log (fd÷5) dB;

(ii) On any frequency removed fromthe center frequency of the assignedchannel by a displacement frequency fd

(in kHz) of more than 10 kHz but notmore than 250 percent of the authorizedbandwidth:

at least 29 log fd2÷11) dB or 50 dB,whichever is the lesser attenuation;

(iii) On any frequency removed fromthe center frequency of the assignedchannel by more than 250 percent ofthe authorized bandwidth:


(2) For transmitters that operate inthe frequency ranges 450 to 512 MHzand 929 to 932 MHz,

(i) On any frequency removed fromthe center frequency of the assignedchannel by a displacement frequency fd

(in kHz) of more than 5 kHz but notmore than 10 kHz:

at least 83 log (fd÷5) dB;

(ii) On any frequency removed fromthe center frequency of the assignedchannel by a displacement frequency fd

(in kHz) of more than 10 kHz but notmore than 250 percent of the authorizedbandwidth:

at least 116 log (fd÷6.1) dB, or 50 + 10 logP dB, or 70 dB, whichever is the lesserattenuation;

(iii) On any frequency removed fromthe center frequency of the assignedchannel by more than 250 percent ofthe authorized bandwidth:


(c) Measurement procedure. Eitherpeak or average power may be used,provided that the same technique isused for both the adjacent channel orsideband emissions and the total emis-sion. The resolution bandwidth of themeasuring instrument must be set to300 Hz for measurements on any fre-quency removed from the center fre-quency of the assigned channel by nomore than 250 percent of the authorizedbandwidth and 30 kHz for measure-ments on any frequency removed fromthe center frequency of the assigned

channel by more than 250 percent ofthe authorized bandwidth.

§ 22.361 Standby facilities.Licensees of stations in the Public

Mobile Services may install standbytransmitters for the purpose of con-tinuing service in the event of failureor during required maintenance of reg-ular transmitters without obtainingseparate authorization, provided thatoperation of the standby transmitterswould not increase the service areas orinterference potential of the stations,and that such standby transmitters usethe same antenna as the regular trans-mitters they temporarily replace.

TABLE C–2.—TECHNICAL REQUIREMENTS FORDIRECTIONAL ANTENNAS

Frequency range Maximumbeamwidth Suppression

35 to 512 MHz 80° 10 dB

512 to 1500 MHz 20° 13 dB

1500 to 2500 MHz 12° 13 dB

[59 FR 59507, Nov. 17, 1994; 60 FR 9889, Feb. 22,1995]

§ 22.363 Directional antennas.Fixed transmitters for point-to-point

operation must use a directional trans-mitting antenna with the major lobe ofradiation in the horizontal plane di-rected toward the receiving antenna orpassive reflector of the station forwhich the transmissions are intended.Directional antennas used in the Pub-lic Mobile Services must meet thetechnical requirements given in TableC–2 to § 22.361.

(a) Maximum beamwidth is for themajor lobe at the half power points.

(b) Suppression is the minimum at-tenuation for any secondary lobe ref-erenced to the main lobe.

(c) An omnidirectional antenna maybe used for fixed transmitters wherethere are two or more receive locationsat different azimuths.

§ 22.365 Antenna structures; air navi-gation safety.

Licensees that own their antennastructures must not allow these an-tenna structures to become a hazard toair navigation. In general, antenna


137


structure owners are responsible forregistering antenna structures withthe FCC if required by part 17 of thischapter, and for installing and main-taining any required marking andlighting. However, in the event of de-fault of this responsibility by an an-tenna structure owner, each FCC per-mittee or licensee authorized to use anaffected antenna structure will be heldresponsible by the FCC for ensuringthat the antenna structure continuesto meet the requirements of part 17 ofthis chapter. See § 17.6 of this chapter.

(a) Marking and lighting. Antennastructures must be marked, lighted andmaintained in accordance with Part 17of this chapter and all applicable rulesand requirements of the Federal Avia-tion Administration.

(b) Maintenance contracts. Antennastructure owners (or licensees and per-mittees, in the event of default by anantenna structure owner) may enterinto contracts with other entities tomonitor and carry out necessary main-tenance of antenna structures. An-tenna structure owners (or licenseesand permittees, in the event of defaultby an antenna structure owner) thatmake such contractual arrangementscontinue to be responsible for themaintenance of antenna structures inregard to air navigation safety.

[61 FR 4365, Feb. 6, 1996]

§ 22.367 Wave polarization.Public mobile station antennas must

be of the correct type and properly in-stalled such that the electromagneticemissions have the polarization re-quired by this section.

(a) Vertical. Waves radiated by thefollowing must be vertically polarized:

(1) Base, mobile, dispatch, and auxil-iary test transmitters in the Pagingand Radiotelephone Service;

(2) Transmitters in the Offshore Ra-diotelephone Service;

(3) Transmitters on channels in the72–76 MHz frequency range;

(4) Base, mobile and auxiliary testtransmitters in the Cellular Radio-telephone Service;

(5) Control and repeater transmitterson channels in the 900–960 MHz fre-quency range;

(6) Rural subscriber stations commu-nicating with base transmitters in the

Paging and Radiotelephone Servicepursuant to § 22.563.

(7) Ground and airborne mobile trans-mitters in the Air-ground Radio-telephone Service.

(b) Horizontal. Waves radiated bytransmitters in the Public MobileServices, other than transmitters re-quired by paragraph (a) of this sectionto radiate a vertically polarized wavemust be horizontally polarized, exceptas otherwise provided in paragraphs (c)and (d) of this section.

(c) Circular. If communications effi-ciency would be improved and/or inter-ference reduced, the FCC may author-ize transmitters other than those listedin paragraphs (a)(1) through (a)(7) ofthis section to radiate a circularly po-larized wave.

(d) Any polarization. Public Land Mo-bile stations transmitting on channelshigher than 960 MHz are not limited asto wave polarization.

§ 22.371 Disturbance of AM broadcaststation antenna patterns.

Public Mobile Service licensees thatconstruct or modify towers in the im-mediate vicinity of AM broadcast sta-tions are responsible for measures nec-essary to correct disturbance of theAM station antenna pattern whichcauses operation outside of the radi-ation parameters specified by the FCCfor the AM station, if the disturbanceoccurred as a result of such construc-tion or modification.

(a) Non-directional AM stations. Iftower construction or modification isplanned within 1 kilometer (0.6 mile) ofa non-directional AM broadcast stationtower, the Public Mobile Service li-censee must notify the licensee of theAM broadcast station in advance of theplanned construction or modification.Measurements must be made to deter-mine whether the construction ormodification affected the AM stationantenna pattern. The Public MobileService licensee is responsible for theinstallation and continued mainte-nance of any detuning apparatus nec-essary to restore proper non-direc-tional performance of the AM stationtower.

(b) Directional AM stations. If towerconstruction or modification isplanned within 3 kilometers (1.9 miles)


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47 CFR Ch. I (10–1–01 Edition)§ 22.373

of a directional AM broadcast stationarray, the Public Mobile Service li-censee must notify the licensee of theAM broadcast station in advance of theplanned construction or modification.Measurements must be made to deter-mine whether the construction ormodification affected the AM stationantenna pattern. The Public MobileService licensee is responsible for theinstallation and continued mainte-nance of any detuning apparatus nec-essary to restore proper performance ofthe AM station array.

§ 22.373 Access to transmitters.Unless otherwise provided in this

part, the design and installation oftransmitters in the Public MobileServices must meet the requirementsof this section.

(a) Transmitters and control points,other than those used with in-buildingradiation systems, must be installedsuch that they are readily accessibleonly to persons authorized by the li-censee to operate or service them.

(b) Transmitters must be designedand installed such that any adjust-ments or controls that could cause thetransmitter to deviate from its author-ized operating parameters are readilyaccessible only to persons authorizedby the licensee to make such adjust-ments.

(c) Transmitters (other than hand-carried or pack-carried mobile trans-mitters) and control points must beequipped with a means of indicatingwhen the control circuitry has beenput in a condition that should causethe transmitter to radiate.

(d) Transmitters must be designedsuch that they can be turned off inde-pendently of any remote control cir-cuits.

(e) Transmitters used with in-build-ing radiation systems must be installedsuch that, to the extent possible, theyare readily accessible only to personsauthorized by the licensee to accessthem.

(f) Transmitters used with in-build-ing radiation systems must be designedsuch that, in the event an unauthorizedperson does gain access, that personcan not cause the transmitter to devi-

ate from its authorized operating pa-rameters in such a way as to cause in-terference to other stations.

§ 22.377 Certification of transmitters.

Except as provided in paragraph (b)of this section, transmitters used inthe Public Mobile Services, includingthose used with signal boosters, in-building radiation systems and cellularrepeaters, must be certificated for usein the radio services regulated underthis part. Transmitters must be certifi-cated when the station is ready forservice, not necessarily at the time offiling an application.

(a) The FCC may list as certificatedonly transmitters that are capable ofmeeting all technical requirements ofthe rules governing the service inwhich they will operate. The procedurefor obtaining certification is set forthin part 2 of this chapter.

(b) Transmitters operating under adevelopmental authorization (see sub-part D of this part) do not have to becertificated.

(c) In addition to the technical stand-ards contained in this part, transmit-ters intended for operation in the Cel-lular Radiotelephone Service must bedesigned to comply with the technicalrequirements contained in the cellularsystem compatibility specification (see§ 22.933) and the electronic serial num-ber rule (see § 22.919).

[59 FR 59507, Nov. 17, 1994, as amended at 61FR 31051, June 19, 1996; 63 FR 36603, July 7,1998]

§ 22.379 Replacement of equipment.

Licensees may replace any equip-ment in Public Mobile Service stationswithout applying for authorization ornotifying the FCC, provided that:

(a) If a transmitter is replaced, thereplacement transmitter must be cer-tificated for use in the Public MobileServices;

(b) The antenna structure must notbecome a hazard to air navigation andits height must not be not increased;

(c) The interference potential of thestation must not be increased;


139


(d) The Effective radiated power,emission type, antenna radiation pat-tern and center of radiation heightabove average terrain are not changed.

[59 FR 59507, Nov. 17, 1994, as amended at 63FR 36603, July 7, 1998]

§ 22.381 Auxiliary test transmitters.

Auxiliary test transmitters may beused only for testing the performanceof fixed receiving equipment locatedremotely from the control point. Auxil-iary test transmitters may transmitonly on channels designated for mobiletransmitters.

§ 22.383 In-building radiation systems.

Licensees may install and operate in-building radiation systems without ap-plying for authorization or notifyingthe FCC, provided that the locations ofthe in-building radiation systems arewithin the protected service area of thelicensee’s authorized transmitter(s) onthe same channel or channel block.

Subpart D—DevelopmentalAuthorizations

§ 22.401 Description and purposes ofdevelopmental authorizations.

Communications common carriersmay apply for, and the FCC may grant,authority to construct and operate oneor more transmitters subject to therules in this subpart and other limita-tions, waivers and/or conditions thatmay be prescribed. Authorizationsgranted on this basis are develop-mental authorizations. In general, theFCC grants developmental authoriza-tions in situations and circumstanceswhere it cannot reasonably be deter-mined in advance whether a particulartransmitter can be operated or a par-ticular service can be provided withoutcausing interference to the service ofexisting stations. For example, theFCC may grant developmental author-izations for:

(a) Field strength surveys to evaluatethe technical suitability of antenna lo-cations for stations in the Public Mo-bile Services;

(b) Experimentation leading to thepotential development of a new PublicMobile Service or technology; or,

(c) Stations transmitting on channelsin certain frequency ranges, to providea trial period during which it can be in-dividually determined whether suchstations can operate without causingexcessive interference to existing serv-ices.

§ 22.403 General limitations.

The provisions and requirements ofthis section are applicable to all devel-opmental authorizations.

(a) Developmental authorizations aregranted subject to the condition thatthey may be cancelled by the FCC atany time, upon notice to the licensee,and without the opportunity for ahearing.

(b) Except as otherwise indicated inthis subpart, developmental authoriza-tions normally terminate one yearfrom the date of grant. The FCC may,however, specify a different term.

(c) Stations operating under develop-mental authorizations must not inter-fere with the services of regularly au-thorized stations.

(d) A grant of a developmental au-thorization does not provide any assur-ance that the FCC will grant an appli-cation for regular authorization to op-erate the same transmitter(s), even ifoperation during the developmental pe-riod has not caused interference and/orthe developmental program is success-ful.

§ 22.409 Developmental authorizationfor a new Public Mobile Service ortechnology.

The FCC may grant applications fordevelopmental authority to constructand operate transmitters for the pur-pose of developing a new Public MobileService or a new technology not regu-larly authorized under this part, sub-ject to the requirements of this sec-tion. Such applications may requestthe use of any portion of the spectrumallocated for Public Mobile Services inthe Table of Frequency Allocationscontained in part 2 of this chapter, re-gardless of whether that spectrum isregularly available under this part. Re-quests to use any portion of the spec-trum for a service or purpose otherthan that indicated in the Table of Fre-quency Allocations in part 2 of this


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chapter may be made only in accord-ance with the provisions of part 5 ofthis chapter.

(a) Preliminary determination. TheFCC will make a preliminary deter-mination with respect to the factors inparagraphs (a)(1) through (a)(3) of thissection before acting on an applicationfor developmental authority pursuantto this section. These factors are:

(1) That the public interest, conven-ience or necessity warrants consider-ation of the establishment of the pro-posed service or technology;

(2) That the proposal appears to havepotential value to the public that couldwarrant the establishment of the newservice or technology;

(3) That some operational datashould be developed for considerationin any rule making proceeding whichmay be initiated to establish such serv-ice or technology.

(b) Petition required. Applications fordevelopmental authorizations pursuantto this section must be accompanied bya petition for rule making requestingthe FCC to amend its rules as may benecessary to provide for the establish-ment of the proposed service or tech-nology.

(c) Application requirements. Author-izations for developmental authoritypursuant to this section will be issuedonly upon a showing that the applicanthas a definite program of research anddevelopment which has reasonablepromise of substantial contribution tothe services authorized by this part.The application must contain an ex-hibit demonstrating the applicant’stechnical qualifications to conduct theresearch and development program, in-cluding a description of the nature andextent of engineering facilities thatthe applicant has available for suchpurpose. Additionally, the FCC may, inits discretion, require a showing of fi-nancial qualification.

(d) Communication service for hire pro-hibited. Stations authorized under de-velopmental authorizations grantedpursuant to this section must not beused to provide communication servicefor hire, unless otherwise specificallyauthorized by the FCC.

(e) Adherence to program. Carriersgranted developmental authorizationpursuant to this section must substan-

tially adhere to the program of re-search and development described intheir application for developmental au-thorization, unless the FCC directsotherwise.

(f) Report requirements. Upon comple-tion of the program of research and de-velopment, or upon the expiration ofthe developmental authorization underwhich such program was permitted, orat such times during the term of thestation authorization as the FCC maydeem necessary to evaluate theprogress of the developmental pro-gram, the licensee shall submit a com-prehensive report, containing:

(1) A description of the progress ofthe program and a detailed analysis ofany result obtained;

(2) Copies of any publications pro-duced by the program;

(3) A listing of any patents appliedfor, including copies of any patentsissued;

(4) Copies of any marketing surveysor other measures of potential publicdemand for the new service;

(5) A description of the carrier’s expe-riences with operational aspects of theprogram including—

(i) The duration of transmissions oneach channel or frequency range andthe technical parameters of such trans-missions; and,

(ii) Any interference complaints re-ceived as a result of operation and howthese complaints were investigated andresolved.

(g) Confidentiality. Normally, applica-tions and developmental reports are apart of the FCC’s public records. How-ever, an applicant or licensee may re-quest that the FCC withhold from pub-lic records specific exhibits, reportsand other material associated with adevelopmental authorization.

(h) Renewal. Expiring developmentalauthorizations issued pursuant to thissection may be renewed if the carrier—

(1) Shows that further progress in theprogram of research and developmentrequires additional time to operateunder developmental authorization;

(2) Complied with the reporting re-quirements of paragraph (f) of this sec-tion; and,


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(3) Immediately resolved to theFCC’s satisfaction all complaints of in-terference caused by the station oper-ating under developmental authority.

[59 FR 59507, Nov. 17, 1994, as amended at 61FR 54099, Oct. 17, 1996]

§ 22.411 Developmental authorizationof 43 MHz paging transmitters.

Because of the potential for inter-ference to the intermediate frequencystages of receivers in broadcast tele-vision sets and video recorders, 43 MHzpaging channels are assigned onlyunder developmental authorizationssubject to the requirements of this sec-tion, except as provided in paragraph(d) of this section.

(a) Carrier responsibility. Carriers soauthorized shall operate the 43 MHzpaging service under developmental au-thority for a period of two years. Dur-ing the two year developmental period,carriers must resolve any broadcasttelevision receiver intermediate fre-quency interference problems that mayoccur as a result of operation of the 43MHz paging transmitter(s). Carriersshall inform subscribers receiving serv-ice on the channels assigned under de-velopmental authority during the de-velopmental period that this servicecould be terminated by the FCC onshort notice if such action were to be-come necessary to eliminate inter-ference. Carriers shall notify the appro-priate FCC Field Office, in advance, ofthe date on which service to sub-scribers is to begin.

(b) Periodic surveys. To determine theextent of any interference to broadcasttelevision receivers resulting from op-eration of 43 MHz paging stations au-thorized pursuant to this section, car-riers shall conduct semi-annual sur-veys during the first two years of oper-ation. The first such survey is to beginon the date when service to subscriberscommences. For each survey, the car-rier shall contact at least 25 televisionviewers to determine whether theyhave experienced interference.

(1) The carrier shall contact viewerslocated throughout the geographic areaencompassed by a 3 kilometer (2 mile)radius of the 43 MHz paging trans-mitter antenna site. The carrier mustnot attempt to obtain a misleadingsurvey by contacting only viewers less

likely to be experiencing interference.For example, the carrier must not con-tact only the viewers located most dis-tant from the paging transmitter an-tenna site. Instead, the carrier shallcontact viewers located near the pag-ing transmitter antenna site.

(2) The carrier shall not, in subse-quent surveys, contact viewers whowere contacted in a previous survey;provided that, in the event that all ofthe viewers within 3 kilometers (2miles) have been contacted, viewers lo-cated near the paging transmitter an-tenna site shall be contacted again.

(c) Periodic reports. Following eachsurvey, the carrier shall submit to theFCC a written report disclosing andevaluating the extent of any inter-ference. These reports must include:

(1) The number of the report (1 to 4);(2) The station call sign;(3) The file number of the application

that resulted in the developmental au-thorization;

(4) An exact description of the trans-mitter location(s);

(5) The date(s) and time of day whenthe survey was conducted;

(6) The survey method used (e.g. tele-phone, on-site, etc.);

(7) The names, addresses and tele-phone numbers of the viewers con-tacted;

(8) If interference resulted from oper-ation of the 43 MHz paging station, asummary of how the interference prob-lem was resolved;

(9) The names and telephone numbersof any technical personnel consultedand/or employed to resolve interferenceproblems.

(d) Exceptions. The FCC may grant aregular authorization in the Pagingand Radiotelephone Service for a 43MHz paging station in the followingcircumstances:

(1) After the two-year developmentalperiod, provided that broadcast TV in-terference complaints have been re-solved by the carrier in a satisfactorymanner. Licensees that hold a develop-mental authorization for a 43 MHz pag-ing station and wish to request a reg-ular authorization must file an applica-tion using FCC Form 601 via the ULSprior to the expiration of the develop-mental period.


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47 CFR Ch. I (10–1–01 Edition)§ 22.413

(2) In the case of the assignment of ora transfer of control of a regular au-thorization of a 43 MHz paging stationin the Paging and RadiotelephoneService, provided that the station hasbeen in continuous operation providingservice with no substantial interrup-tions.

[59 FR 59507, Nov. 17, 1994, as amended at 59FR 59954, Nov. 21, 1994; 63 FR 68944, Dec. 14,1998]

§ 22.413 Developmental authorizationof 72–76 MHz fixed transmitters.

Because of the potential for inter-ference with the reception by broadcasttelevision sets and video recorders offull service TV stations transmittingon TV Channels 4 and 5, 72–76 MHzchannels are assigned for use within 16kilometers (10 miles) of the antenna ofany full service TV station transmit-ting on TV Channel 4 or 5 only underdevelopmental authorizations subjectto the requirements of this section, ex-cept as provided in paragraph (b) ofthis section.

(a) Carrier responsibility. Carriers soauthorized shall operate the 72–76 MHzfixed station under developmental au-thority for a period of at least sixmonths. During the developmental pe-riod, carriers must resolve any broad-cast television receiver interferenceproblems that may occur as a result ofoperation of the 72–76 MHz trans-mitter(s).

(b) Exceptions. The FCC may grant aregular authorization in the Pagingand Radiotelephone Service for a 72–76MHz fixed station under the followingcircumstances:

(1) After six months of operationunder developmental authorization,and provided that broadcast TV inter-ference complaints have been resolvedby the carrier in a satisfactory man-ner. Licensees that hold a develop-mental authorization for a 72–76 MHzfixed station and wish to request a reg-ular authorization must file an applica-tion using FCC Form 601 via the ULSprior to the expiration of the develop-mental authorization.

(2) In the case of the assignment of ora transfer of control of a regular au-thorization of a 72–76 MHz fixed stationin the Paging and RadiotelephoneService, the FCC may grant such as-

signment or consent to such transfer ofcontrol provided that the station hasbeen in continuous operation providingservice with no substantial interrup-tions.

(3) If a proposed 72–76 MHz fixedtransmitter antenna is to be locatedwithin 50 meters (164 feet) of the an-tenna of the full service TV stationtransmitting on TV Channel 4 or 5, theFCC may grant a regular authorizationinstead of a developmental authoriza-tion.


§ 22.415 Developmental authorizationof 928–960 MHz fixed transmitters.

Channels in the 928–929 MHz and 952–960 MHz ranges may be assigned underdevelopmental authorizations to fixedtransmitters in point-to-multipointsystems at locations that are short-spaced (i.e. do not meet the 113 kilo-meter (70 mile) separation requirementof § 22.625), subject to the requirementsof this section.

(a) Carrier responsibility. Applicationsfor developmental authorizations pur-suant to this section must contain anengineering analysis that shows thatno interference will be caused or re-ceived. Carriers so authorized shall op-erate the short-spaced transmitter fora period of one year.

(b) Exceptions. The FCC may grant aregular authorization in the Pagingand Radiotelephone Service for a short-spaced fixed station under the fol-lowing circumstances:

(1) After one year of operation underdevelopmental authorization, and pro-vided that no interference has beencaused. Licensees that hold a develop-mental authorization and wish to re-quest a regular authorization must filean application using FCC Form 601prior to the expiration of the develop-mental authorization.

(2) In the case of the assignment of ora transfer of control of a regular au-thorization of a short-spaced fixed sta-tion in the Paging and RadiotelephoneService, the FCC may grant such as-signment or consent to such transfer ofcontrol provided that the station hasbeen in continuous operation providing


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service and no interference has beencaused.


§ 22.417 Developmental authorizationof meteor burst systems.

Because of the potential for inter-ference to other 42–46 MHz operations,central office and rural subscriber sta-tions in Alaska are authorized to usemeteor burst propagation modes toprovide rural radiotelephone serviceonly under developmental authoriza-tions subject to the requirements ofthis section, except as provided inparagraph (b) of this section. See also§§ 22.725(c) and 22.729.

(a) Carrier responsibility. Carriers andsubscribers so authorized shall operatethe station under developmental au-thority for a period of at least oneyear.

(b) Exceptions. The FCC may grant aregular authorization in the Rural Ra-diotelephone Service for a central of-fice or rural subscriber to use meteorburst propagation modes to providerural radiotelephone service under thefollowing circumstances:

(1) After six months of operationunder developmental authorization,and provided that no interference hasbeen caused to other operations. Li-censees that hold a developmental au-thorization to use meteor burst propa-gation modes to provide rural radio-telephone service and wish to request aregular authorization must file an ap-plication using FCC Form 601 prior tothe expiration of the developmentalauthorization.

(2) In the case of the assignment of ora transfer of control of a regular au-thorization of a central office or ruralsubscriber station authorizing the useof meteor burst propagation modes inthe Rural Radiotelephone Service, theFCC may grant such assignment orconsent to such transfer of control pro-vided that the station has been in oper-ation providing service with no sub-stantial interruptions.


Subpart E—Paging andRadiotelephone Service

§ 22.501 Scope.The rules in this subpart govern the

licensing and operation of public mo-bile paging and radiotelephone sta-tions. The licensing and operation ofthese stations are also subject to ruleselsewhere in this part that apply gen-erally to the Public Mobile Services.However, in case of conflict, the rulesin this subpart govern.

§ 22.503 Paging geographic area au-thorizations.

The FCC considers applications forand issues paging geographic area au-thorizations in the Paging and Radio-telephone Service in accordance withthe rules in this section. Each paginggeographic area authorization containsconditions requiring compliance withparagraphs (h) and (i) of this section.

(a) Channels. The FCC may issue apaging geographic area authorizationfor any channel listed in § 22.531 of thispart or for any channel pair listed in§ 22.561 of this part.

(b) Paging geographic areas. The pag-ing geographic areas are as follows:

(1) The Nationwide paging geographicarea comprises the District of Colum-bia and all States, Territories and pos-sessions of the United States of Amer-ica.

(2) Major Economic Areas (MEAs)and Economic Areas (EAs) are definedbelow. EAs are defined by the Depart-ment of Commerce, Bureau of Eco-nomic Analysis. See Final Redefinitionof the MEA Economic Areas, 60 FR13114 (March 10, 1995). MEAs are basedon EAs. In addition to the Departmentof Commerce’s 172 EAs, the FCC shallseparately license Guam and theNorthern Mariana Islands, Puerto Ricoand the United States Virgin Islands,and American Samoa, which have beenassigned FCC-created EA numbers 173–175, respectively, and MEA numbers 49–51, respectively.

(3) The 51 MEAs are composed of oneor more EAs as defined in the followingtable:

MEAs EAs

1 (Boston) .............................. 1–3.2 (New York City) .................. 4–7, 10.


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47 CFR Ch. I (10–1–01 Edition)§ 22.503

MEAs EAs

3 (Buffalo) .............................. 8.4 (Philadelphia) ...................... 11–12.5 (Washington) ...................... 13–14.6 (Richmond) ......................... 15–17, 20.7 (Charlotte-Greensboro-

Greenville-Raleigh).18–19, 21–26, 41–42, 46.

8 (Atlanta) .............................. 27–28, 37–40, 43.9 (Jacksonville) ...................... 29, 35.10 (Tampa-St. Petersburg-Or-

lando).30, 33–34.

11 (Miami) .............................. 31–32.12 (Pittsburgh) ....................... 9, 52–53.13 (Cincinnati-Dayton) ........... 48–50.14 (Columbus) ....................... 51.15 (Cleveland) ....................... 54–55.16 (Detroit) ............................. 56–58, 61–62.17 (Milwaukee) ...................... 59–60, 63, 104–105, 108.18 (Chicago) .......................... 64–66, 68, 97, 101.19 (Indianapolis) .................... 67.20 (Minneapolis-St. Paul) ...... 106–107, 109–114, 116.21 (Des Moines-Quad Cities) 100, 102–103, 117.22 (Knoxville) ......................... 44–45.23 (Louisville-Lexington-

Evansville).47, 69–70, 72.

24 (Birmingham) .................... 36, 74, 78–79.25 (Nashville) ......................... 71.26 (Memphis-Jackson) .......... 73, 75–77.27 (New Orleans-Baton

Rouge).80–85.

28 (Little Rock) ...................... 90–92, 95.29 (Kansas City) .................... 93, 99, 123.30 (St. Louis) ......................... 94, 96, 98.31 (Houston) .......................... 86–87, 131.32 (Dallas-Fort Worth) ........... 88–89, 127–130, 135, 137–

138.33 (Denver) ............................ 115, 140–143.34 (Omaha) ........................... 118–121.35 (Wichita) ........................... 122.36 (Tulsa) .............................. 124.37 (Oklahoma City) ............... 125–126.38 (San Antonio) ................... 132–134.39 (El Paso-Albuquerque) ..... 136, 139, 155–157.40 (Phoenix) .......................... 154, 158–159.41 (Spokane-Billings) ............ 144–147, 168.42 (Salt Lake City) ................. 148–150, 152.43 (San Francisco-Oakland-

San Jose).151, 162–165.

44 (Los Angeles-San Diego) 153, 160–161.45 (Portland) .......................... 166–167.46 (Seattle) ............................ 169–170.47 (Alaska) ............................ 171.48 (Hawaii) ............................ 172.49 (Guam and the Northern

Mariana Islands).173.

50 (Puerto Rico and U.S. Vir-gin Islands).

174.

51 (American Samoa) ........... 175.

(c) Availability. The FCC may deter-mine whether to issue a paging geo-graphic area authorization for any spe-cific channel or channel pair in anyspecific paging geographic area. TheFCC may replace existing site specificauthorizations for facilities on a chan-nel or channel pair located in a paginggeographic area with a paging geo-graphic area authorization for thatchannel or channel pair, if in its solediscretion, the FCC determines that

the public interest would be served bysuch replacement.

(d) Filing windows. The FCC acceptsapplications for paging geographic areaauthorizations only during filing win-dows. The FCC issues Public Noticesannouncing in advance the dates of thefiling windows, and the specific paginggeographic areas and channels forwhich applications may be accepted.

(e) One grant per geographic area. TheFCC may grant one and only one appli-cation for a paging geographic area au-thorization for any specific channel orchannel pair in any specific paging geo-graphic area defined in paragraph (b) ofthis section. Selection from among mu-tually exclusive applications for a pag-ing geographic area authorization willbe made in accordance with the proce-dures in §§ 22.131 and 22.200 through22.299. If after the selection process butprior to filing a ‘‘long form’’ applica-tion, a successful bidder decides to par-tition the paging geographic area, theFCC may require and accept multiple‘‘long form’’ applications from the con-sortium members.

(f) Exclusive right to expand. Duringthe term of a paging geographic areaauthorization, the FCC does not ac-cept, from anyone other than the pag-ing geographic area licensee, anymajor application for authorization tooperate a facility that would serveunserved area within the paging geo-graphic area specified in that paginggeographic area authorization, on thechannel specified in that paging geo-graphic area authorization, unless anyextension of the interfering contour ofthe proposed facility falls:

(1) Within the composite interferingcontour of another licensee; or,

(2) Into unserved area and the paginggeographic area licensee consents tosuch extension.

(g) Subsequent applications not accept-ed. During the term of a paging geo-graphic area authorization, the FCCdoes not accept any application for au-thorization relating to a facility thatis or would be located within the pag-ing geographic area specified in thatpaging geographic area authorization,on the channel specified in that paginggeographic area authorization, exceptin the following situations:


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(1) FCC grant of an application au-thorizing the construction of the facil-ity could have a significant environ-mental effect as defined by § 1.1307 ofthis chapter. See § 22.115(a)(5).

(2) Specific international coordina-tion procedures are required, prior toassignment of a channel to the facility,pursuant to a treaty or other agree-ment between the United States gov-ernment and the government of Canadaor Mexico. See § 22.169.

(3) The paging geographic area li-censee or another licensee of a systemwithin the paging geographic area ap-plies to assign its authorization or forFCC consent to a transfer of control.

(h) Adjacent geographic area coordina-tion required. Before constructing a fa-cility for which the interfering contour(as defined in § 22.537 or § 22.567 of thispart, as appropriate for the channel in-volved) would extend into another pag-ing geographic area, a paging geo-graphic area licensee must obtain theconsent of the relevant co-channel pag-ing geographic area licensee, if any,into whose area the interfering contourwould extend. Licensees are expectedto cooperate fully and in good faith at-tempt to resolve potential interferenceproblems before bringing matters tothe FCC. In the event that there is noco-channel paging geographic area li-censee from whom to obtain consent inthe area into which the interferingcontour would extend, the facility maybe constructed and operated subject tothe condition that, at such time as theFCC issues a paging geographic areaauthorization for that adjacent geo-graphic area, either consent must beobtained or the facility modified oreliminated such that the interferingcontour no longer extends into the ad-jacent geographic area.

(i) Protection of existing service. All fa-cilities constructed and operated pur-suant to a paging geographic area au-thorization must provide co-channelinterference protection in accordancewith § 22.537 or § 22.567, as appropriatefor the channel involved, to all author-ized co-channel facilities of exclusivelicensees within the paging geographicarea. Non-exclusive licensees on thethirty-five exclusive 929 MHz channelsare not entitled to exclusive status,and will continue to operate under the

sharing arrangements established withthe exclusive licensees and other non-exclusive licensees that were in effectprior to February 19, 1997. MEA, EA,and nationwide geographic area licens-ees have the right to share with non-exclusive licensees on the thirty-fiveexclusive 929 MHz channels on a non-interfering basis.

(j) Site location restriction. The trans-mitting antenna of each facility con-structed and operated pursuant to apaging geographic area authorizationmust be located within the paging geo-graphic area specified in the authoriza-tion.

(k) Coverage requirements. Failure byan MEA or EA licensee to meet eitherthe coverage requirements in para-graphs (k)(1) and (k)(2) of this section,or alternatively, the substantial serv-ice requirement in paragraph (k)(3) ofthis section, will result in automatictermination of authorizations for thosefacilities that were not authorized,constructed, and operating at the timethe geographic area authorization wasgranted. MEA and EA licensees havethe burden of showing when their fa-cilities were authorized, constructed,and operating, and should retain nec-essary records of these sites until cov-erage requirements are fulfilled. Forthe purpose of this paragraph, to‘‘cover’’ area means to include geo-graphic area within the composite ofthe service contour(s) determined bythe methods of §§ 22.537 or 22.567 as ap-propriate for the particular channel in-volved. Licensees may determine thepopulation of geographic areas in-cluded within their service contoursusing either the 1990 census or the 2000census, but not both.

(1) No later than three years afterthe initial grant of an MEA or EA geo-graphic area authorization, the li-censee must construct or otherwise ac-quire and operate sufficient facilitiesto cover one third of the population inthe paging geographic area. The li-censee must notify the FCC at the endof the three-year period pursuant to§ 1.946 of this chapter, either that it hassatisfied this requirement or that itplans to satisfy the alternative require-ment to provide substantial service inaccordance with paragraph (k)(3) ofthis section.


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47 CFR Ch. I (10–1–01 Edition)§ 22.507

(2) No later than five years after theinitial grant of an MEA or EA geo-graphic area authorization, the li-censee must construct or otherwise ac-quire and operate sufficient facilitiesto cover two thirds of the population inthe paging geographic area. The li-censee must notify the FCC at the endof the five year period pursuant to§ 1.946 of this chapter, either that it hassatisfied this requirement or that ithas satisfied the alternative require-ment to provide substantial service inaccordance with paragraph (k)(3) ofthis section.

(3) As an alternative to the coveragerequirements of paragraphs (k)(1) and(k)(2) of this section, the paging geo-graphic area licensee may demonstratethat, no later than five years after theinitial grant of its paging geographicarea authorization, it provides substan-tial service to the paging geographicarea. ‘‘Substantial service’’ meansservice that is sound, favorable, andsubstantially above a level of mediocreservice that would barely warrant re-newal.

[62 FR 11633, Mar. 12, 1997, as amended at 63FR 68945, Dec. 14, 1998; 64 FR 33782, June 24,1999]

§ 22.507 Number of transmitters perstation.

This section concerns the number oftransmitters licensed under each sta-tion authorization in the Paging andRadiotelephone Service, other thanpaging geographic area authorizations.

(a) Operationally related transmitters.Each station must have at least onetransmitter. There is no limit to thenumber of transmitters that a stationmay comprise. However, transmitterswithin a station should be operation-ally related and/or should serve thesame general geographical area. Oper-ationally related transmitters arethose that operate together as a sys-tem (e.g., trunked systems, simulcastsystems), rather than independently.

(b) Split of large systems. The FCC maysplit wide-area systems into two ormore stations for administrative con-venience. Except for nationwide pagingand other operationally related trans-mitters, transmitters that are widelyseparated geographically are not li-censed under a single authorization.

(c) Consolidation of separate stations.The FCC may consolidate site-specificcontiguous authorizations upon re-quest (FCC Form 601) of the licensee, ifappropriate under paragraph (a) of thissection. Paging licensees may includeremote, stand-alone transmitters underthe single system-wide authorization,if the remote, stand-alone transmitteris linked to the system via a control/re-peater facility or by satellite. Includ-ing a remote, stand-alone transmitterin a system-wide authorization doesnot alter the limitations providedunder § 22.503(f) on entities other thanthe paging geographic area licensee. Inthe alternative, paging licensees maymaintain separate site-specific author-izations for stand-alone or remotetransmitters. The earliest expirationdate of the authorizations that makeup the single system-wide authoriza-tion will determine the expiration datefor the system-wide authorization. Li-censees must file timely renewal appli-cations for site-specific authorizationsincluded in a single system-wide au-thorization request until the request isapproved. Renewal of the system-wideauthorization will be subject to § 1.949of this chapter.

(d) Replacement of site-by-site author-izations with single authorization. Aftera paging geographic area authorizationfor a channel has been issued, the FCCmay, on its own motion, replace theauthorization(s) of any other licensee(for facilities located within that pag-ing geographic area on that channel)with a single replacement authoriza-tion.

[62 FR 11634, Mar. 12, 1997, as amended at 63FR 68945, Dec. 14, 1998; 64 FR 33784, June 24,1999]

§ 22.509 Procedures for mutually ex-clusive applications in the Pagingand Radiotelephone Service.

Mutually exclusive applications inthe Paging and Radiotelephone Serv-ice, including those that are mutuallyexclusive with applications in theRural Radiotelephone Service, areprocessed in accordance with § 22.131and with this section.

(a) Applications in the Paging andRadiotelephone Service may be mutu-ally exclusive with applications in theRural Radiotelephone Service if they


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seek authorization to operate facilitieson the same channel in the same area,or the technical proposals are other-wise in conflict. See § 22.567.

(b) A modification application in ei-ther service filed on the earliest filingdate may cause all later-filed mutuallyexclusive applications of any type ineither service to be ‘‘cut off’’ (excludedfrom a same-day filing group) and dis-missed, pursuant to § 22.131(c)(3)(ii) and§ 22.131(c)(4).

[59 FR 59956, Nov. 21, 1994; as amended at 61FR 54099, Oct. 17, 1996; 64 FR 33784, June 24,1999]

§ 22.511 Construction period for thePaging and Radiotelephone Service.

The construction period for stationsin the Paging and RadiotelephoneService is one year.

§ 22.513 Partitioning anddisaggregation.

MEA and EA licensees may apply topartition their authorized geographicservice area or disaggregate their au-thorized spectrum at any time fol-lowing grant of their geographic areaauthorizations. Nationwide geographicarea licensees may apply to partitiontheir authorized geographic servicearea or disaggregate their authorizedspectrum at any time as of August 23,1999.

(a) Application required. Parties seek-ing approval for partitioning and/ordisaggregation shall apply for partialassignment of a license pursuant to§ 1.948 of this chapter.

(b) Partitioning. In the case of parti-tioning, requests for authorization forpartial assignment of a license mustinclude, as attachments, a descriptionof the partitioned service area and acalculation of the population of thepartitioned service area and the au-thorized geographic service area. Thepartitioned service area shall be de-fined by 120 sets of geographic coordi-nates at points at every 3 degrees azi-muth from a point within the parti-tioned service area along the parti-tioned service area boundary unless ei-ther an FCC-recognized service area isused (e.g., MEA or EA) or county linesare followed. The geographical coordi-nates must be specified in degrees,minutes, and seconds to the nearest

second latitude and longitude, andmust be based upon the 1983 NorthAmerican Datum (NAD83). In the casewhere FCC-recognized service areas orcounty lines are used, applicants needonly list the specific area(s) throughuse of FCC designations or countynames that constitute the partitionedarea.

(c) Disaggregation. Spectrum may bedisaggregated in any amount.

(d) Combined partitioning anddisaggregation. Licensees may apply forpartial assignment of authorizationsthat propose combinations of parti-tioning and disaggregation.

(e) License term. The license term fora partitioned license area and fordisaggregated spectrum shall be the re-mainder of the original licensee’s li-cense term as provided for in § 1.955 ofthis chapter.

(f) Coverage requirements for parti-tioning. (1) Parties to a partitioningagreement must satisfy at least one ofthe following requirements:

(i) The partitionee must satisfy theapplicable coverage requirements setforth in § 22.503(k)(1), (2) and (3) for thepartitioned license area; or

(ii) The original licensee must meetthe coverage requirements set forth in§ 22.503(k)(1), (2) and (3) for the entiregeographic area. In this case, thepartitionee must meet only the re-quirements for renewal of its author-ization for the partitioned license area.

(2) Parties seeking authority to par-tition must submit with their partialassignment application a certificationsigned by both parties stating which ofthe above options they select.

(3) Partitionees must submit sup-porting documents showing compliancewith their coverage requirements asset forth in § 22.503(k)(1), (2) and (3).

(4) Failure by any partitionee tomeet its coverage requirements will re-sult in automatic cancellation of thepartitioned authorization without fur-ther Commission action.

(g) Coverage requirements fordisaggregation. (1) Parties to adisaggregation agreement must satisfyat least one of the following require-ments:

(i) Either the disaggregator ordisaggregatee must satisfy the cov-erage requirements set forth in § 22.503


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(k)(1), (2) and (3) for the entire licensearea; or

(ii) Parties must agree to share re-sponsibility for meeting the coveragerequirements set forth in § 22.503 (k)(1),(2) and (3) for the entire license area.

(2) Parties seeking authority todisaggregate must submit with theirpartial assignment application a cer-tification signed by both parties stat-ing which of the above requirementsthey meet.

(3) Disaggregatees must submit sup-porting documents showing compliancewith their coverage requirements asset forth in § 22.503 (k)(1), (2) and (3).

(4) Parties that accept responsibilityfor meeting the coverage requirementsand later fail to do so will be subject toautomatic license cancellation withoutfurther Commission action.

[64 FR 33784, June 24, 1999]

§ 22.515 Permissible communicationspaths.

Mobile stations may communicateonly with and through base stations.Base stations may communicate onlywith mobile stations and receivers onland or surface vessels.

§ 22.527 Signal boosters.Licensees may install and operate

signal boosters on channels listed in§ 22.531 only in accordance with the pro-visions of § 22.165 governing additionaltransmitters for existing systems. Li-censees must not allow any signalbooster that they operate to cause in-terference to the service or operationof any other authorized stations or sys-tems.

[61 FR 31051, June 19, 1996]

§ 22.529 Application requirements forthe Paging and RadiotelephoneService.

In addition to information requiredby subparts B and D of this part, appli-cations for authorization in the Pagingand Radiotelephone Service contain re-quired information as described in theinstructions to the form. Site coordi-nates must be referenced to NAD83 andbe correct to +-1 second.

(a) Administrative information. The fol-lowing information, associated withForm 601, is required as indicated.

Each application of any type, includingapplications for paging geographic areaauthorizations, must contain one andonly one Schedule A.

(1) The purpose of the filing is re-quired for each application of any type.

(2) The geographic area designator,channel and geographic area name arerequired only for each application for apaging geographic area authorization.

(3) The FCC control point number, ifany, the location (street address, cityor town, state), the telephone numberand an indication of the desired data-base action are required only for eachapplication proposing to add or delete acontrol point.

(4) The FCC location number, filenumber and location (street address,city or town, state) of authorized fa-cilities that have not been constructedare required only for each applicationrequesting an extension of time to con-struct those facilities.

(b) Technical data. The followingdata, associated with FCC Form 601,are required as indicated for each ap-plication. Applications for a paging ge-ographic area authorization must notcontain Schedule B. Other type of ap-plications may contain as many Sched-ule Bs as are necessary for the intendedpurpose.

(1) For each transmitting antennasite to be added, deleted or modified,the following are required: an indica-tion of the desired database action, theCommission location number, if any,the street address or other descriptionof the transmitting antenna site, thecity, county and state, the geographiccoordinates (latitude and longitude),correct to ±1 second, of the transmit-ting antenna site (NAD83), and in thecase of a proposed relocation of atransmitting antenna, the Commissionlocation number and geographic co-ordinates, correct to ±1 second, of thetransmitting antenna site (NAD83) towhich the geographic coordinates ofthe current location are referenced.

(2) For each transmitting antennasite to be added, deleted or modified,the following supplementary informa-tion is required: An indication as towhether or not the transmitting an-tenna site is within 200 kilometers (124miles) of the U.S.-Mexico border, andan indication as to whether or not the


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transmitting antenna site is North ofLine A or East of Line C. Line A andLine C are defined in § 2.1 of this chap-ter. For each adjacent geographic areawithin 200 kilometers (124 miles) ofeach transmitting antenna site to beadded, deleted or modified, the geo-graphic area designator and name, andthe shortest distance (in kilometers) tothe boundary of that geographic area.

(3) The height (in meters) above aver-age terrain of the center of radiation ofthe antenna, the beamwidth of themain lobe of the horizontal radiationpattern of the electric field of the an-tenna, the height (in meters) to the tipof the antenna above ground level, apolar plot of the horizontal gain pat-tern of the antenna, the antenna gainin the maximum lobe and the electricfield polarization of the wave emittedby the antenna when installed as pro-posed.

(i) The center frequency of the re-quested channel, the transmitter clas-sification (e.g. base, fixed mobile), thedesignator for any non-standard emis-sion type to be used, including band-width and modulation type, and themaximum effective radiated power.

(ii) For each of the eight cardinalradials, the antenna height above theaverage elevation along the radial, andthe effective radiated power of eachtransmitter in the direction of the ra-dial.

(iii) For each transmitter proposed totransmit on a channel reserved forpoint-to-multipoint operation involv-ing transmission to four or more pointsof communications (i.e. base transmit-ters), the following is required for eachpoint of communication: an indicationof the desired database action, the lo-cation (city or town, state), and thegeographical coordinates (latitude andlongitude, NAD 83).

(c) Upon request by an applicant, li-censee, or the Commission, a part 22applicant or licensee of whom the re-quest is made shall furnish the antennatype, model, and the name of the an-tenna manufacturer to the requestingparty within ten (10) days of receivingwritten notification.

[62 FR 11635, Mar. 12, 1997, as amended at 63FR 68945, Dec. 14, 1998; 64 FR 53240, Oct. 1,1999]

EFFECTIVE DATE NOTE: At 64 FR 53240, Oct.1, 1999, § 22.529 was amended by adding para-graph (c). This paragraph contains informa-tion collection and recordkeeping require-ments and will not become effective until ap-proval has been given by the Office of Man-agement and Budget.

PAGING OPERATION

§ 22.531 Channels for paging oper-ation.

The following channels are allocatedfor assignment to base transmittersthat provide paging service, either in-dividually or collectively under a pag-ing geographic area authorization. Un-less otherwise indicated, all channelshave a bandwidth of 20 kHz and are des-ignated by their center frequencies inMegaHertz.

Low VHF Channels

35.20 35.46 43.20 43.4635.22 35.50 43.22 43.5035.24 35.54 43.24 43.5435.26 35.56 43.26 43.5635.30 35.58 43.30 43.5835.34 35.60 43.34 43.6035.38 35.62 43.38 43.6235.42 35.66 43.42 43.66

High VHF Channels

152.24 152.84 158.10 158.70

UHF Channels

931.0125 931.2625 931.5125 931.7625931.0375 931.2875 931.5375 931.7875931.0625 931.3125 931.5625 931.8125931.0875 931.3375 931.5875 931.8375931.1125 931.3625 931.6125 931.8625931.1375 931.3875 931.6375 931.8875931.1625 931.4125 931.6625 931.9125931.1875 931.4375 931.6875 931.9375931.2125 931.4625 931.7125 931.9625931.2375 931.4875 931.7375 931.9875

(a) The 43 MHz channels may be as-signed under developmental authoriza-tions, pursuant to the requirements of§ 22.411.

(b) Channels 931.8875, 931.9125, and931.9375 MHz may be assigned only totransmitters providing nationwide net-work paging service.

(c) Upon application using FCC Form601, common carriers may be author-ized to provide one-way paging serviceusing the leased subcarrier facilities ofbroadcast stations licensed under part73 of this chapter.

(d) Occasionally in case law andother formal and informal documents,


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the low VHF channels have been re-ferred to as ‘‘lowband’’ channels, andthe high VHF channels have been re-ferred to as ‘‘guardband’’ channels.

(e) Pursuant to the U.S.-Canada In-terim Coordination Considerations for929–932 MHz, as amended, only the fol-lowing UHF channels may be assignedin the continental United States Northof Line A or in the State of AlaskaEast of Line C, within the indicatedlongitudes:

(1) From longitude W.73° to longitudeW.75° and from longitude W.78° to lon-gitude W.81°:931.0125 931.1125 931.1875 931.2625931.0375 931.1375 931.2125 931.8625931.0625 931.1625 931.2375

(2) From longitude W.81° to longitudeW.85°:931.0125 931.2125 931.3875 931.5875931.0375 931.2375 931.4125 931.6125931.0625 931.2625 931.4625 931.6375931.1125 931.2875 931.4875 931.8625931.1375 931.3125 931.5125931.1625 931.3375 931.5375931.1875 931.3625 931.5625

(3) Longitudes other than specified inparagraphs (e)(1) and (e)(2) of this sec-tion:931.0125 931.1625 931.2875 931.4125931.0375 931.1875 931.3125 931.4625931.0625 931.2125 931.3375 931.8625931.1125 931.2375 931.3625931.1375 931.2625 931.3875

(4) At any longitude, with authoriza-tion condition requiring coordinated,shared use and equal access by licens-ees in both countries:931.4375 931.8875 931.9125 931.9375

(f) For the purpose of issuing paginggeographic authorizations, the paginggeographic areas used for UHF chan-nels are the MEAs, and the paging geo-graphic areas used for the low and highVHF channels are the EAs (see§ 22.503(b)).

[59 FR 59507, Nov. 17, 1994, as amended at 59FR 59954, Nov. 21, 1994; 62 FR 11635, Mar. 12,1997; 63 FR 68945, Dec. 14, 1998; 64 FR 33784,June 24, 1999]

§ 22.535 Effective radiated power lim-its.

The effective radiated power (ERP) oftransmitters operating on the channelslisted in § 22.531 must not exceed thelimits in this section.

(a) Maximum ERP. The ERP must notexceed the applicable limits in thisparagraph under any circumstances.

Frequency range (MHz) MaximumERP (Watts)

35–36 ................................................................. 60043–44 ................................................................. 500152–159 ............................................................. 1400931–932 ............................................................. 3500

(b) Basic power limit. Except as pro-vided in paragraph (d) of this section,the ERP of transmitters on the VHFchannels must not exceed 500 Watts.

(c) Height-power limit. Except as pro-vided in paragraph (d) of this section,the ERP of transmitters on the VHFchannels must not exceed the amountthat would result in an average dis-tance to the service contour of 32.2 kil-ometers (20 miles). The average dis-tance to the service contour is cal-culated by taking the arithmetic meanof the distances determined using theprocedures specified in § 22.537 for theeight cardinal radial directions, ex-cluding cardinal radial directions forwhich 90% or more of the distance socalculated is over water.

(d) Encompassed interfering contourareas. Transmitters are exempt fromthe basic power and height-power lim-its of this section if the area withintheir interfering contours is totally en-compassed by the interfering contoursof operating co-channel base transmit-ters controlled by the same licensee.For the purpose of this paragraph, op-erating transmitters are authorizedtransmitters that are providing serviceto subscribers.

(e) Adjacent channel protection. TheERP of transmitters must not exceed500 Watts if they:

(1) Transmit on a channel in the 152–159 MHz frequency range and are lo-cated less than 5 kilometers (3.1 miles)from any station licensed in the Pri-vate Radio Services that receives on anadjacent channel; or,

(2) Transmit on channel 158.10 or158.70 MHz and are located less than 5kilometers (3.1 miles) from any stationlicensed in the Public Mobile Servicesthat receives on either of the followingadjacent channels: 158.07 MHz or 158.67MHz.

(f) Signal boosters. The effective radi-ated power of signal boosters must not


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exceed 5 watts ERP under any normaloperating condition.


§ 22.537 Technical channel assignmentcriteria.

The rules in this section establishtechnical assignment criteria for thechannels listed in § 22.531. These cri-teria permit channel assignments to bemade in a manner such that receptionby public paging receivers of signalsfrom base transmitters, within theservice area of such base transmitters,is protected from interference causedby the operation of independent co-channel base transmitters.

(a) Contour overlap. The FCC maygrant an application requesting assign-ment of a channel to a proposed basetransmitter only if:

(1) The interfering contour of theproposed transmitter does not overlapthe service contour of any protectedco-channel transmitter controlled by acarrier other than the applicant, unlessthat carrier has agreed in writing toaccept any interference that may re-sult from operation of the proposedtransmitter; and,

(2) The service contour of the pro-posed transmitter does not overlap theinterfering contour of any protectedco-channel transmitter controlled by acarrier other than the applicant, unlessthe applicant agrees to accept any in-terference that may result from oper-ation of the protected co-channeltransmitter; and,

(3) The area and/or population towhich service would be provided by theproposed transmitter is substantial,and service gained would exceed thatlost as a result of agreements to acceptinterference.

(b) Protected transmitter. For the pur-poses of this section, protected trans-mitters are authorized transmitters forwhich there is a current FCC publicrecord and transmitters proposed inprior-filed pending applications.

(c) VHF service contour. For pagingstations transmitting on the VHFchannels, the distance from the trans-mitting antenna to the service contouralong each cardinal radial is calculatedas follows:d=1.243×h0.40×p0.20

where d is the radial distance in kilo-meters

h is the radial antenna HAAT in me-ters

p is the radial ERP in Watts(1) Whenever the actual HAAT is less

than 30 meters (98 feet), 30 must beused as the value for h in the above for-mula.

(2) The value used for p in the aboveformula must not be less than 27 dBless than the maximum ERP in any di-rection or 0.1 Watt, whichever is more.

(3) The distance from the transmit-ting antenna to the service contouralong any radial other than the eightcardinal radials is routinely calculatedby linear interpolation of distance as afunction of angle. However, in resolv-ing petitions to deny, the FCC may cal-culate the distance to the service con-tour using the formula in paragraph (c)of this section with actual HAAT andERP data for the inter-station radialand additional radials above and belowthe inter-station radial at 2.5° inter-vals.

(d) VHF interfering contour. For pag-ing stations transmitting on the VHFchannels, the distance from the trans-mitting antenna to the interfering con-tour along each cardinal radial is cal-culated as follows:d=6.509×h0.28×p0.17

where d is the radial distance in kilo-meters

h is the radial antenna HAAT in me-ters

p is the radial ERP in Watts(1) Whenever the actual HAAT is less

than 30 meters (98 feet), 30 must beused as the value for h in the above for-mula.

(2) The value used for p in the aboveformula must not be less than 27 dBless than the maximum ERP in any di-rection or 0.1 Watt, whichever is more.

(3) The distance from the transmit-ting antenna to the interfering contouralong any radial other than the eightcardinal radials is routinely calculatedby linear interpolation of distance as afunction of angle. In resolving peti-tions to deny, however, the FCC maycalculate the distance to the inter-fering contour using the formula inparagraph (d) of this section with ac-tual HAAT and ERP data for the inter-station radial and additional radials


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above and below the inter-station ra-dial at 2.5° intervals.

(e) 931 MHz service contour. For pag-ing stations transmitting on the 931

MHz channels, the service contour is acircle, centered on the transmittingantenna, with a radius determinedfrom Table E–1 of this section.

TABLE E–1.—931 MHZ PAGING SERVICE RADII

Service radius km (miles) Effective radiated power (Watts)

Antenna HAAT meters (feet) 0–125 126–250 251–500 501–1000 1001–1860 1861–3500

0–177 .................................................... 32.2 (20) 32.2 (20) 32.2 (20) 32.2 (20) 32.2 (20) 32.2 (20)(0–581)178–305 ................................................ 32.2 (20) 32.2 (20) 32.2 (20) 32.2 (20) 37.0 (23) 41.8 (26)(582–1001)306–427 ................................................ 32.2 (20) 32.2 (20) 37.0 (23) 41.8 (26) 56.3 (35) 56.3 (35)(1002–1401)428–610 ................................................ 32.2 (20) 37.0 (23) 41.8 (26) 56.3 (35) 56.3 (35) 56.3 (35)(1402–2001)611–861 ................................................ 37.0 (23) 41.8 (26) 41.8 (26) 56.3 (35) 83.7 (52) 83.7 (52)(2002–2825)862–1219 .............................................. 41.8 (26) 56.3 (35) 56.3 (35) 83.7 (52) 83.7 (52) 83.7 (52)(2826–3999)1220+ .................................................... 56.3 (35) 56.3 (35) 83.7 (52) 83.7 (52) 83.7 (52) 83.7 (52)(4000+)

(f) 931 MHz interfering contour. Forpaging stations transmitting on the 931MHz channels, the interfering contour

is a circle, centered on the transmit-ting antenna, with a radius determinedfrom Table E–2 of this section.

TABLE E–2.—931 MHZ PAGING INTERFERING RADII

Interfering radius km (miles) Effective radiated power (Watts)

Antenna HAAT meters (feet) 0–125 126–250 251–500 501–1000 1001–1860 1861–3500

0–177 .................................................... 80.5 (50) 80.5 (50) 80.5 (50) 80.5 (50) 80.5 (50) 80.5 (50)(0–581)178–305 ................................................ 80.5 (50) 80.5 (50) 80.5 (50) 80.5 (50) 88.5 (55) 96.6 (60)(582–1001)306–427 ................................................ 80.5 (50) 80.5 (50) 88.5 (55) 96.6 (60) 130.4 (81) 130.4 (81)(1002–1401)428–610 ................................................ 80.5 (50) 88.5 (55) 96.6 (60) 130.4 (81) 130.4 (81) 130.4 (81)(1402–2001)611–861 ................................................ 88.5 (55) 96.6 (60) 96.6 (60) 130.4 (81) 191.5 (119) 191.5 (119)(2002–2825)862–1219 .............................................. 96.6 (60) 130.4 (81) 130.4 (81) 191.5 (119) 191.5 (119) 191.5 (119)(2826–3999)1220+(4000+) .................................................. 130.4 (81) 130.4 (81) 191.5 (119) 191.5 (119) 191.5 (119) 191.5 (119)

(g) In-building radiation systems. Thelocations of in-building radiation sys-tems must be within the service con-tour(s) of the licensee’s authorizedtransmitter(s) on the same channel. In-building radiation systems are not pro-tected facilities, and therefore do nothave service or interfering contours.

(h) Signal boosters on 931 MHz chan-nels. For the purpose of compliancewith § 22.165 and notwithstanding para-graphs (e) and (f) of this section, signalboosters operating on the 931 MHzchannels with an antenna HAAT notexceeding 30 meters (98 feet) are

deemed to have as a service contour acircle with a radius of 1.0 kilometer (0.6mile) and as an interfering contour acircle with a radius of 10 kilometers(6.2 miles).


§ 22.539 Additional channel policies.

The rules in this subsection governthe processing of applications for apaging channel when the applicant hasapplied for or been granted an author-ization for other paging channels in the


153


same geographic area. This section ap-plies to applications proposing to usethe channels listed in § 22.531, excludingthe nationwide network paging chan-nels and broadcast station subcarriers,or the channels listed in § 22.561, wherethe application proposes to use thosechannels to provide paging serviceonly. The general policy of the Com-mission is to assign one paging channelin an area to a carrier per applicationcycle. That is, a carrier must apply forone paging channel, receive the author-ization, construct the station, provideservice to the subscribers, and notifythe Commission of commencement ofservice to subscribers by using FCCForm 601 before applying for an addi-tional paging channel in that area.This notification must be sent by elec-tronic filing via the ULS.

(a) VHF transmitters in same area. Anytransmitter on any VHF channel listedin § 22.531 is considered to be in thesame geographic area as another trans-mitter on any other VHF channel list-ed in § 22.531 if:

(1) One transmitter location is withinthe service area of the other trans-mitter; or,

(2) The area within the overlap of theservice contours of the two transmit-ters constitutes 50 percent or more ofthe service area of either of the trans-mitters.

(b) 931 MHz transmitters in same area.Any transmitter on any 931 MHz chan-nel is considered to be in the same geo-graphic area as another transmitter onany channel listed in § 22.531 if it is lo-cated less than 64.4 kilometers (40miles) from the transmitter. Likewise,any transmitter on any channel listedin § 22.531 is considered to be in thesame geographic area as another trans-mitter on any 931 MHz channel if it islocated less than 64.4 kilometers (40miles) from that transmitter.

(c) Initial channel. The FCC will notassign more than one channel for newpaging stations. Paging stations areconsidered to be new if there are no au-thorized transmitters on any channellisted in § 22.531 controlled by the appli-cant in the same geographic area.

(d) Additional channel. Applicationsfor transmitters to be located in thesame geographic area as an authorizedstation controlled by the applicant, but

to operate on a different channel, areconsidered as requesting an additionalchannel for the authorized station, un-less paragraph (e) of this section ap-plies.

(e) Additional transmitters on samechannel. Notwithstanding other provi-sions of this section, the following ap-plications are not considered to be re-quests for an additional paging chan-nel:

(1) Applications for transmitters tobe located in the same geographic areaas an authorized station controlled bythe applicant, and to operate on thesame paging channel;

(2) Applications for transmitters tobe located within a paging geographicarea for which the applicant holds thepaging geographic area authorizationfor the requested channel; and,

(3) Applications for paging geo-graphic area authorizations.

(f) Amendment of pending application.If the FCC receives and accepts for fil-ing an application for a transmitter tobe located in the same geographic areaas a transmitter proposed in a pendingapplication previously filed by the ap-plicant, but on a different channel, thesubsequent application is considered asa major amendment to change thetechnical proposal of the prior applica-tion, unless paragraph (e) applies. Thefiling date of any application soamended is the date the FCC receivedthe subsequent application.

(g) Dismissal of premature applicationsfor additional channel. If the FCC re-ceives an application requesting an ad-ditional channel for an authorized sta-tion prior to receiving notificationthat the station is providing service tosubscribers on the authorized chan-nel(s), the FCC may dismiss that appli-cation without prejudice in accordancewith § 22.128.


§ 22.551 Nationwide network pagingservice.

The rules in this section govern theapplication for and provision of nation-wide network paging service on thechannels reserved specifically for suchservice in § 22.531(b).


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47 CFR Ch. I (10–1–01 Edition)§ 22.559

(a) Nationwide network providers; orga-nizers. If and when a nationwide net-work paging channel becomes availablefor assignment, the FCC will issue aPublic Notice inviting applicationsfrom eligibles seeking to provide or or-ganize a nationwide network pagingservice. The Public Notice will providecomplete details regarding applicationrequirements and procedures.

(b) Licensing. The FCC may issue apaging geographic area authorizationto the nationwide network provider ororganizer. All transmissions of nation-wide network messages on the channelsreserved for such service in § 22.531(b)are authorized solely under the author-ization(s) of the nationwide networkprovider or organizer, notwithstandingwhether or not the messages passthrough facilities owned, operated orlicensed to affiliated local carriers.

[62 FR 11636, Mar. 12, 1997]

§ 22.559 Paging application require-ments.

In addition to information requiredby subparts B and D and § 22.529, appli-cations for authorization to operate apaging transmitter on the channelslisted in § 22.531, other than applica-tions for a paging geographic area au-thorization, must contain the applica-ble supplementary information de-scribed in this section.

(a) Interference exhibit. Except as pro-vided in paragraph (b) of this section,an exhibit demonstrating compliancewith § 22.537 with regard to protectedtransmitters is required for applica-tions to operate a transmitter on theVHF channels. This exhibit must:

(1) Identify each protected trans-mitter located within 109 kilometers(68 miles) of the proposed transmitterin directions in which the distance tothe interfering contour is 76.5 kilo-meters (47.5 miles) or less, and within178 kilometers (111 miles) of the pro-posed transmitter in directions inwhich the distance to the interferingcontour exceeds 76.5 kilometers (47.5miles).

(2) For each protected transmitteridentified, show the results of distancecalculations indicating that therewould be no overlap of service andinterfering contours, or alternatively,indicate that the licensee of or appli-

cant for the protected transmitter and/or the applicant, as required, haveagreed in writing to accept any inter-ference resulting from operation of theproposed transmitter.

(b) Encompassment exhibit. An exhibitshowing that the area within the inter-fering contour of the proposed trans-mitter would be totally encompassedby interfering contours of operating co-channel base transmitters controlledby the applicant is required for appli-cations to operate a transmitter withERP exceeding the basic power andheight-power limits of § 22.535. For VHFtransmitters, this encompassment ex-hibit may substitute for the inter-ference exhibit required in paragraph(a) of this section.

[59 FR 59507, Nov. 17, 1994, as amended at 62FR 11636, Mar. 12, 1997]

ONE-WAY OR TWO-WAY MOBILEOPERATION

§ 22.561 Channels for one-way or two-way mobile operation.

The following channels are allocatedfor paired assignment to transmittersthat provide (or support other trans-mitters that provide) one-way or two-way public land mobile service, eitherindividually or collectively under apaging geographic area authorization.The paging geographic areas used forthese channels are the EAs (see§ 22.503(b)(3)). These channels may beassigned for use by mobile or basetransmitters as indicated, and or byfixed transmitters (including control,repeater or other fixed transmitters).The mobile channels may also be as-signed for use by base or fixed trans-mitters under certain circumstances(see § 22.567(h)). Unless otherwise indi-cated, all channels have a bandwidth of20 kHz and are designated by their cen-ter frequencies in MegaHertz.

Base Mobile Base Mobile

VHF Channels

152.03 ......... 158.49 152.57 ......... 157.83152.06 ......... 158.52 152.60 ......... 157.86152.09 ......... 158.55 152.63 ......... 157.89152.12 ......... 158.58 152.66 ......... 157.92152.15 ......... 158.61 152.69 ......... 157.95152.18 ......... 158.64 152.72 ......... 157.98152.21 ......... 158.67 152.75 ......... 158.01


155



152.51 ......... 157.77 152.78 ......... 158.04152.54 ......... 157.80 152.81 ......... 158.07

UHF Channels

454.025 ....... 459.025 454.350 ....... 459.350454.050 ....... 459.050 454.375 ....... 459.375454.075 ....... 459.075 454.400 ....... 459.400454.100 ....... 459.100 454.425 ....... 459.425454.125 ....... 459.125 454.450 ....... 459.450454.150 ....... 459.150 454.475 ....... 459.475454.175 ....... 459.175 454.500 ....... 459.500454.200 ....... 459.200 454.525 ....... 459.525454.225 ....... 459.225 454.550 ....... 459.550454.250 ....... 459.250 454.575 ....... 459.575454.275 ....... 459.275 454.600 ....... 459.600454.300 ....... 459.300 454.625 ....... 459.625454.325 ....... 459.325 454.650 ....... 459.650

[59 FR 59507, Nov. 17, 1994; 60 FR 9889, Feb. 22,1995, as amended at 62 FR 11636, Mar. 12, 1997]

§ 22.563 Provision of rural radio-telephone service upon request.

Channels in the frequency ranges152.03–152.81, 157.77–158.67, 454.025–454.650and 459.025–459.650 MHz, inclusive, arealso allocated for assignment in theRural Radiotelephone Service. Stationsin the Paging and RadiotelephoneService that provide two-way publicmobile service on these channels mustalso provide rural radiotelephone serv-ice upon request from a subscriber.

§ 22.565 Transmitting power limits.The transmitting power of base, mo-

bile and fixed transmitters operatingon the channels listed in § 22.561 mustnot exceed the limits in this section.

(a) Maximum ERP. The effective radi-ated power (ERP) of base and fixedtransmitters must not exceed the ap-plicable limits in this paragraph underany circumstances.

Frequency range (MHz) MaximumERP (watts)

152–153 ............................................................. 1400157–159 ............................................................. 150454–455 ............................................................. 3500459–460 ............................................................. 150

(b) Basic power limit. Except as pro-vided in paragraph (d) of this section,the ERP of base transmitters must notexceed 500 Watts.

(c) Height-power limits. Except as pro-vided in paragraph (d) of this section,

the ERP of base transmitters must notexceed the amount that would result inan average distance to the service con-tour of 41.6 kilometers (26 miles) forVHF channels or 30.7 kilometers (19miles) for UHF channels. The averagedistance to the service contour is cal-culated by taking the arithmetic meanof the distances determined using theprocedures specified in § 22.567 for theeight cardinal radial directions, ex-cluding cardinal radial directions forwhich 90% or more of the distance socalculated is over water.

(d) Encompassed interfering contourareas. Base transmitters are exemptfrom the basic power and height-powerlimits of this section if the area withintheir interfering contours is totally en-compassed by the interfering contoursof operating co-channel based trans-mitters controlled by the same li-censee. For the purpose of this para-graph, operating transmitters are au-thorized transmitters that are pro-viding service to subscribers.

(e) Adjacent channel protection. TheERP of base and fixed transmittersmust not exceed 500 Watts if theytransmit on channel 454.025 MHz andare located less than 7 kilometers (4.3miles) from any Private Radio Servicesstation receiving on adjacent channel454.0000 MHz.

(f) Mobile transmitters. The trans-mitter output power of mobile trans-mitters must not exceed 60 watts.

(g) Other transmitters. The ERP of dis-patch and auxiliary test transmittersmust not exceed 100 watts.

§ 22.567 Technical channel assignmentcriteria.

The rules in this section establishtechnical assignment criteria for thechannels listed in § 22.561. The criteriain paragraphs (a) through (f) of thissection permit channel assignments tobe made in a manner such that recep-tion by public mobile receivers of sig-nals from base transmitters, within theservice area of such base transmitters,is protected from interference causedby the operation of independent co-channel base and fixed transmitters inthe Paging and Radiotelephone Serviceand central office stations, including


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47 CFR Ch. I (10–1–01 Edition)§ 22.567

Basic Exchange Telephone Radio Sys-tems (BETRS), in the Rural Radio-telephone Service. Additional criteriain paragraph (g) of this section permitchannel assignments to be made in amanner such that BETRS communica-tions are protected from interferencecaused by the operation of independentco-channel base and fixed transmittersin the Paging and RadiotelephoneService and other central office sta-tions in the Rural RadiotelephoneService. Separate criteria in paragraph(h) of this section apply only to assign-ment of the channels designated in§ 22.561 as mobile channels to base andfixed transmitters, and permit thesechannel assignments to be made in amanner such that reception by publicbase and fixed receivers of signals fromassociated mobile and fixed transmit-ters is protected from interferencecaused by the operation of independentco-channel base and fixed transmitters.

(a) Contour overlap. The FCC maygrant an application requesting assign-ment of a channel to a proposed base,fixed or central office station trans-mitter only if:

(1) The interfering contour of theproposed transmitter does not overlapthe service contour of any protectedco-channel transmitter controlled by acarrier other than the applicant, unlessthat carrier has agreed in writing toaccept any interference that may re-sult from operation of the proposedtransmitter; and

(2) The service contour of the pro-posed transmitter does not overlap theinterfering contour of any protectedco-channel transmitter controlled by acarrier other than the applicant, unlessthe application contains a statementthat the applicant agrees to accept anyinterference that may result from oper-ation of the protected co-channeltransmitter; and

(3) The area and/or population towhich service would be provided by theproposed transmitter is substantial,and service gained would exceed thatlost as a result of agreements to acceptinterference.

(b) Protected transmitter. For the pur-poses of this section, protected trans-mitters are authorized transmitters forwhich there is a current FCC publicrecord and transmitters proposed in

prior-filed pending applications, in thePaging and Radiotelephone Service andthe Rural Radiotelephone Service.

(c) VHF service contour. For base sta-tions transmitting on the VHF chan-nels, the radial distance from thetransmitting antenna to the servicecontour along each cardinal radial iscalculated as follows:d=1.609×h0.40 ×p0.20

where:d is the radial distance in kilometersh is the radial antenna HAAT in me-

tersp is the radial ERP in Watts

(1) Whenever the actual HAAT is lessthan 30 meters (98 feet), 30 must beused as the value for h in the above for-mula.

(2) The value used for p in the aboveformula must not be less than 27 dBless than the maximum ERP in any di-rection, or 0.1 Watt, whichever is more.

(3) The distance from the transmit-ting antenna to the service contouralong any radial other than the eightcardinal radials is routinely calculatedby linear interpolation of distance as afunction of angle. However, in resolv-ing petitions to deny, the FCC may cal-culate the distance to the service con-tour using the formula in paragraph (c)of this section with actual HAAT andERP data for the inter-station radialand additional radials above and belowthe inter-station radial at 2.5° inter-vals.

(d) VHF interfering contour. For baseand fixed stations transmitting on theVHF channels, the radial distance fromthe transmitting antenna to the inter-fering contour along each cardinal ra-dial is calculated as follows:

(1) If the radial antenna HAAT is lessthan 150 meters:d=8.577×h0.24×p0.19



Whenever the actual HAAT is lessthan 30 meters (98 feet), 30 must beused as the value for h in the above for-mula.

(2) If the radial antenna HAAT is 150meters or more:d=12.306×h0.23×p0.14


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where:

d is the radial distance in kilometersh is the radial antenna HAAT in me-


(3) The value used for p in the aboveformulas must not be less than 27 dBless than the maximum ERP in any di-rection, or 0.1 Watt, whichever is more.

(4) The distance from the transmit-ting antenna to the interfering contouralong any radial other than the eightcardinal radials is routinely calculatedby linear interpolation of distance as afunction of angle. However, in resolv-ing petitions to deny, the FCC may cal-culate the distance to the interferingcontour using the appropriate formulain paragraph (d) of this section with ac-tual HAAT and ERP data for the inter-station radial and additional radialsabove and below the inter-station ra-dial at 2.5° intervals.

(e) UHF service contour. For base sta-tions transmitting on the UHF chan-nels, the radial distance from thetransmitting antenna to the servicecontour along each cardinal radial iscalculated as follows:

d=1.726×h0.35×p0.18

where:



(1) Whenever the actual HAAT is lessthan 30 meters (98 feet), 30 must beused as the value for h in the above for-mula.


(3) The distance from the transmit-ting antenna to the service contouralong any radial other than the eightcardinal radials is routinely calculatedby linear interpolation of distance as afunction of angle. However, in resolv-ing petitions to deny, the FCC may cal-culate the distance to the service con-tour using the formula in paragraph (e)of this section with actual HAAT andERP data for the inter-station radialand addition radials above and belowthe below the inter-station radial at2.5° intervals.

(f) UHF interfering contour. For baseand fixed stations transmitting on theUHF channels, the radial distance fromthe transmitting antenna to the inter-fering contour along each cardinal ra-dial is calculated as follows:

(1) If the radial antenna HAAT is lessthan 150 meters:d=9.471×h0.23×p0.15



Whenever the actual HAAT is lessthan 30 meters (98 feet), 30 must beused as the value for h in the above for-mula.

(2) If the radial antenna HAAT is 150meters or more:d=6.336×h0.31×p0.15




(4) The distance from the transmit-ting antenna to the interfering contouralong any radial other than the eightcardinal radials is routinely calculatedby linear interpolation of distance as afunction of angle. However, in resolv-ing petitions to deny, the FCC may cal-culate the distance to the interferingcontour using the appropriate formulain paragraph (f) of this section with ac-tual HAAT and ERP data for the inter-station radial and additional radialsabove and below the inter-station ra-dial at 2.5° intervals.

(g) Protection for BETRS. In applyingthe provisions of paragraph (a) of thissection, if either or both of the trans-mitters involved is a BETRS centraloffice station, the following contoursubstitutions must be used:

(1) The service contour of the BETRScentral office station(s) is a circle, cen-tered on the central office station an-tenna, with a radius of 40 kilometers(25 miles).

(2) The interfering contour of anystation of any type, when determiningwhether it would overlap the service


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contour of a BETRS central office sta-tion, is calculated as follows:

d=36.364×h0.2× p0.1

where:



Whenever the actual HAAT is lessthan 30 meters (98 feet), 30 must beused as the value for h in the above for-mula. The value used for p in the aboveformula must not be less than 27 dBless than the maximum ERP in any di-rection, or 0.1 Watt, whichever is more.

(h) Assignment of mobile channels tobase or fixed transmitters. Mobile chan-nels may be assigned to base or fixedtransmitters if the following criteriaare met:

(1) The paired base channel, as des-ignated in § 22.561, is assigned to basetransmitters in the same geographicalarea operated by the same licensee.

(2) The authorization is granted sub-ject to the condition that no inter-ference be caused to fixed receivers inuse on or prior to the date of the grant.

§ 22.569 Additional channel policies.

The rules in this section govern theprocessing of applications for a mobilechannel when the applicant has appliedor been granted an authorization forother mobile channels in the same geo-graphic area. This section applies toapplications proposing to use the chan-nels listed in § 22.561, except applica-tions that propose to use these chan-nels to provide paging service only,which are subject to § 22.539, instead ofthis section. The general policy of theFCC is to assign no more than twochannels in an area to a carrier per ap-plication cycle. That is, a carrier mustapply for no more than two channels,receive the authorization, constructthe station, provide service to sub-scribers, and notify the FCC of com-mencement of service to subscribers(FCC Form 489) before applying for ad-ditional mobile channels in that area.

(a) Transmitters in same area. Anytransmitter on any channel listed in§ 22.561 is considered to be in the samegeographic area as another transmitteror any other channel listed in § 22.561 if:

(1) One transmitter location is withinthe service area of the other trans-mitter; or,

(2) The area within the overlap of theservice contours of the two transmit-ters constitutes 50 percent or more ofthe service area of either of the trans-mitters.

(b) Initial channel. The FCC will notassign more than two channels for newstations. Stations are considered to benew if there are no authorized trans-mitters on any channel listed in § 22.561controlled by the applicant in the samegeographic area.

(c) Additional channel. Applicationsfor transmitters to be located in thesame geographic area as an authorizedstation controlled by the applicant, butto operate on a different channel, areconsidered as requests for an additionalchannel for the authorized station, un-less paragraph (d) of this section ap-plies.

(d) Additional transmitters on samechannel. Notwithstanding other provi-sions of this section, the following ap-plications are not considered to be re-quests for an additional channel:

(1) Applications for transmitters tobe located in the same geographic areaas an authorized station controlled bythe applicant, and to operate on thesame paging channel;

(2) Applications for transmitters tobe located within a paging geographicarea for which the applicant holds thepaging geographic area authorizationfor the requested channel; and,

(3) Applications for paging geo-graphic area authorizations.

(e) [Reserved](f) Dismissal of application constituting

cumulative request for more than twochannels. If the FCC receives an appli-cation for a transmitter to be locatedin the same geographic area as a trans-mitter proposed in a pending applica-tion previously filed by the applicant,but on different channels such that,considered together, the applicationswould constitute a request for morethan two channels, the FCC may dis-miss the subsequent application with-out prejudice.

(g) Dismissal of premature applicationsfor additional channel. If the FCC re-ceives an application requesting twoadditional channels (or one additional


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channel) for an authorized stationprior to receiving notification that thestation is providing service to sub-scribers on all (or all except one) of theauthorized channels, the FCC may dis-miss that application without preju-dice.


§ 22.571 Responsibility for mobile sta-tions.

Mobile stations that are subscribersin good standing to a two-way servicein the Paging and RadiotelephoneService, when receiving service fromthat station, are considered to be oper-ating under the authorization of thatstation. Licensees are responsible forexercising effective operational controlover mobile stations receiving servicethrough their stations. Mobile stationsthat are subscribers in good standingto a two-way service in the Paging andRadiotelephone Service, while receiv-ing service from a different station, areconsidered to be operating under theauthorization of such different station.The licensee of such different station isresponsible, during such temporary pe-riod, for exercising effective oper-ational control over such mobile sta-tions as if they were subscribers to it.

§ 22.573 Use of base transmitters as re-peaters.

As an additional function, base trans-mitters may be used as repeaters. Li-censees must be able to turn the basetransmitter on or off from the controlpoint regardless of whether a sub-scriber-operated transmitter is trans-mitting.

§ 22.575 Use of mobile channel for re-mote control of station functions.

Carriers may remotely control sta-tion functions (e.g. shut down or reac-tivate base transmitters, turn aviationobstruction warning lights on or off,etc.) using a control transmitter oper-ating on a mobile channel, subject tothe conditions in this section and in§ 22.567(h).

(a) The control transmitter must becapable of overriding transmissionsfrom subscriber-operated transmittersif necessary. Subscriber-operatedtransmitters must not be capable of

being used to deliberately or acciden-tally prevent the licensee from control-ling the station.

(b) The licensee must implementmeasures designed to prevent stationfunctions from being controlled by per-sons not authorized by the licensee tocontrol the station.

(c) The control transmitter locationmust be within the composite servicecontour of the licensee’s authorizedstation on the paired base channel.

§ 22.577 Dispatch service.

Carriers licensed under this subpartmay provide dispatch service in accord-ance with the rules in this section.

(a) Installation without prior FCC ap-proval. A station licensee may installor remove dispatch points for sub-scribers without obtaining prior FCCapproval. A station licensee may in-stall or remove dispatch transmittersfor subscribers without applying forspecific authorization, provided thatthe following conditions are met.

(1) Each dispatch transmitter mustbe able to transmit only on the mobilechannel that is paired with the channelused by the base station.

(2) The antenna of the dispatch trans-mitter must not exceed the criteria in§ 17.7 of this chapter that determinewhether the FAA must be notified ofthe proposed construction.

(3) The output power of the dispatchtransmitter must not exceed 10 Watts.

(4) The dispatch transmitter must beincapable of overriding the functioningof any control transmitter that may beusing the same channel.

(5) The dispatch transmitter must beunder the continuous supervision ofthe licensee.

(b) Notification. Licensees must notifythe Commission by filing FCC Form 601whenever a dispatch transmitter is in-stalled pursuant to paragraph (a) ofthis section. The notification must in-clude the name and address of the sub-scriber(s) for which the dispatch trans-mitter was installed, the location ofthe dispatch transmitter, the height ofantenna structure above ground andabove mean sea level, the channel(s)used, and the call sign and location ofthe base station.


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47 CFR Ch. I (10–1–01 Edition)§ 22.579

(c) Termination without hearing. Oper-ation of a dispatch transmitter pursu-ant to paragraphs (a) and (b) of thissection may be terminated by the FCCwithout a hearing upon notice to thelicensee.

(d) Dispatch transmitters requiringauthorization. A dispatch transmitterthat does not meet all of the require-ments of paragraph (a) of this sectionmay be installed only upon the grant ofan application for authorization byelectronically filing FCC Form 601.

(e) Permissible communications. A dis-patch transmitter operated by a sub-scriber may communicate only withmobile transmitters operated by thatsubscriber through the associated basetransmitter.


§ 22.579 Operation of mobile transmit-ters across U.S.-Canada border.

Mobile stations licensed by Canadamay receive two-way service while inthe United States from stations li-censed under this part, after authoriza-tion has been granted by the FCC. Mo-bile stations that normally operateunder the authority of base stations li-censed under this part may receivetwo-way service while in Canada fromstations licensed under this part or byCanada, upon authorization by Canada.

§ 22.589 One-way or two-way applica-tion requirements.

In addition to information requiredby subparts B and D and § 22.529, appli-cations for authorization to operate apaging transmitter on the channelslisted in § 22.531, other than applica-tions for a paging geographic area au-thorization, must contain the applica-ble supplementary information de-scribed in this section.

(a) Interference exhibit. Except as pro-vided in paragraph (b) of this section,an exhibit demonstrating compliancewith § 22.567 with regard to protectedtransmitters is required. This exhibitmust:

(1) For UHF channels, identify eachprotected transmitter located within108 kilometers (67 miles) of the pro-posed transmitter in directions inwhich the distance to the interfering

contour is 76.4 kilometers (47.5 miles)or less, and within 178 kilometers (111miles) of the proposed transmitter indirections in which the distance to theinterfering contour exceeds 76.4 kilo-meters (47.5 miles); and identify eachprotected Basic Exchange TelephoneRadio System central office trans-mitter in the Rural RadiotelephoneService within 231 kilometers (144miles),

(2) For VHF channels, identify eachprotected transmitter located within135 kilometers (84 miles) of the pro-posed transmitter in directions inwhich the distance to the interferingcontour is 93.3 kilometers (58 miles) orless, and within 178 kilometers (111miles) of the proposed transmitter indirections in which the distance to theinterfering contour exceeds 93.3 kilo-meters (58 miles).

(3) For each protected transmitteridentified, show the results of distancecalculations indicating that therewould be no overlap of service andinterfering contours, or alternatively,indicate that the licensee of or appli-cant for the protected transmitter and/or the applicant, as required, haveagreed in writing to accept any inter-ference resulting from operation of theproposed transmitter.

(b) Encompassment exhibit. An exhibitshowing that the area within the inter-fering contour of the proposed trans-mitter would be totally encompassedby interfering contours of operating co-channel base transmitters controlledby the applicant is required for appli-cations to operate a transmitter withERP exceeding the basic power andheight-power limits of § 22.565. This en-compassment exhibit may substitutefor the interference exhibit required inparagraph (a) of this section.


POINT-TO-POINT OPERATION

§ 22.591 Channels for point-to-pointoperation.

The following channels are allocatedfor assignment to fixed transmittersthat support other transmitters thatprovide public mobile service. Unlessotherwise indicated, all channels have


161


a bandwidth of 20 kHz and are des-ignated by their center frequencies inMegaHertz.

VHF Channels

72.02 72.36 72.80 75.6672.04 72.38 72.82 75.6872.06 72.40 72.84 75.7072.08 72.42 72.86 75.7272.10 72.46 72.88 75.7472.12 72.50 72.90 75.7672.14 72.54 72.92 75.7872.16 72.58 72.94 75.8072.18 72.62 72.96 75.8272.20 72.64 72.98 75.84

VHF Channels—Continued72.22 72.66 75.42 75.8672.24 72.68 75.46 75.8872.26 72.70 75.50 75.9072.28 72.72 75.54 75.9272.30 72.74 75.58 75.9472.32 72.76 75.62 75.9672.34 72.78 75.64 75.98

72.10 72.46 72.88 75.7472.12 72.50 72.90 75.7672.14 72.54 72.92 75.7872.16 72.58 72.94 75.8072.18 72.62 72.96 75.8272.20 72.64 72.98 75.8472.22 72.66 75.42 75.8672.24 72.68 75.46 75.8872.26 72.70 75.50 75.9072.28 72.72 75.54 75.9272.30 72.74 75.58 75.9472.32 72.76 75.62 75.9672.34 72.78 75.64 75.98

UHF Channels—State of Hawaii

488.250 .... 491.250 489.750 .... 492.750488.750 .... 491.750 490.250 .... 493.250489.250 .... 492.250 490.750 .... 493.750

MICROWAVE CHANNELS

[Bandwidth individually assigned]

2110.1 2160.12110.2 2160.22110.3 2160.32129.9 2179.9

(a) The 72–76 MHz channels may beassigned under developmental author-ity pursuant to the requirements of§ 22.413. The 72–76 MHz channels mayalso be used in point-to-multipointconfigurations. The 72–76 MHz channelsare also allocated for assignment in thePrivate Radio Services (see part 90 ofthis chapter).

(b) Channels in the frequency ranges2110–2130 and 2160–2180 MHz are also al-located for assignment in thebroadband Personal CommunicationsService (see part 24 of this chapter),

the Multipoint Distribution Serviceand the Point-to-Point MicrowaveRadio Service (see part 21 of this chap-ter). Assignment of channels in theseranges is subject to the transition rulesin § 22.602.

(c) Channels in the frequency ranges488.250–490.750 and 491.250–493.750 MHzmay be assigned only to inter-islandfixed stations located in the State ofHawaii.

[59 FR 59507, Nov. 17, 1994; 60 FR 9889, Feb. 22,1995]


The effective radiated power of fixedstations operating on the channels list-ed in § 22.591 must not exceed 150 Watts.The equivalent isotropic radiatedpower of fixed stations operating in thefrequency ranges 2110–2130 and 2160–2180MHz must not exceed the limits setforth in part 21 of this chapter for sta-tions operating in these frequencyranges.

§ 22.599 Assignment of 72–76 MHzchannels.

Because of the potential for inter-ference to the reception of TV Chan-nels 4 and 5 by broadcast televisionsets and video recorders, assignmentsof the 72–76 MHz channels are subjectto the following conditions:

(a) Assignments of 72–76 MHz chan-nels for use within 129 kilometers (80miles) of a full service TV stationtransmitting on TV Channel 4 or 5 aresubject to the condition that the li-censee must eliminate any interferencecaused to television reception on TVChannels 4 and 5. If the FCC notifiesthe licensee of an interference problemand the licensee does not resolve theproblem within 90 days of such notifi-cation, operation of the interfering 72–76 MHz fixed station must be imme-diately discontinued.

(b) 72–76 MHz channels may be as-signed for use within 16 kilometers (10miles) of a full service TV stationtransmitting on TV Channel 4 or 5under a developmental authorization,pursuant to § 22.413. However, for usewithin 50 meters (164 feet) of a TV sta-tion transmitting on TV Channel 4 or 5,72–76 MHZ channels may be assigned


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47 CFR Ch. I (10–1–01 Edition)§ 22.601

under a regular authorization, ratherthan a developmental authorization.

§ 22.601 Assignment of microwavechannels.

Assignment of the microwave chan-nels listed in § 22.591 is subject to thetransition rules in § 22.602. No new sys-tems will be authorized under thispart.

(a) Coordination required. Before filingapplications for authority to modifyexisting stations on these channels ormajor amendments to such applica-tions, carriers must coordinate theplanned channel usage, using the pro-cedure outlined in § 22.150, with affectedparties in this radio service and thePoint-to-Point Microwave Service andthe Multipoint Distribution Service.Affected parties are licensees and otherapplicants with previously filed pend-ing applications whose stations couldaffect or be affected by the proposedmodification of the existing station interms of interference.

(b) System parameters. In designing asystem modification, the applicantmust select sites, equipment and chan-nels that will avoid harmful inter-ference to other users. All parties mustcooperate fully and make reasonableefforts to resolve technical problemsand conflicts that may inhibit themost effective and efficient use of theradio spectrum; however, a party re-ceiving notification is not obligated tosuggest changes or re-design a proposalin cases involving conflicts. The appli-cant must identify in the applicationall parties with which the technicalproposal was coordinated. In the eventthat technical problems are not re-solved or if an affected party does notrespond to coordination efforts within30 days after notification, an expla-nation must be contained in the appli-cation. Where technical conflicts areresolved by an agreement between theparties that requires special proceduresto reduce the likelihood of harmful in-terference (such as the use of artificialsite shielding), or would result in a re-duction of quality or capacity of eithersystem, the details thereof must becontained in the application.

(c) Bandwidth. Applicants must re-quest the minimum emission band-width necessary. The FCC does not au-

thorize bandwidths larger than 800 kHzunder this part.

§ 22.602 Transition of the 2110–2130and 2160–2180 MHz channels toemerging technologies.

The microwave channels listed in§ 22.591 have been allocated for use byemerging technologies (ET) services.No new systems will be authorizedunder this part. The rules in this sec-tion provide for a transition periodduring which existing Paging and Ra-diotelephone Service (PARS) licenseesusing these channels may relocate op-erations to other media or to otherfixed channels, including those in othermicrowave bands. For PARS licenseesrelocating operations to other micro-wave bands, authorization must be ob-tained under part 101 of this chapter.

(a) Licensees proposing to implementET services may negotiate with PARSlicensees authorized to use these chan-nels, for the purpose of agreeing toterms under which the PARS licenseeswould—

(1) Relocate their operations to otherfixed microwave bands or other media,or alternatively,

(2) Accept a sharing arrangementwith the ET licensee that may result inan otherwise impermissible level of in-terference to the PARS operations.

(b) PARS operations on these chan-nels will continue to be co-primarywith other users of this spectrum untiltwo years after the FCC commences ac-ceptance of applications for ET serv-ices, and until one year after an ET li-censee initiates negotiations for relo-cation of the fixed microwave licens-ee’s operations.

(c) Voluntary Negotiations. During thetwo year voluntary negotiation period,negotiations are strictly voluntary andare not defined by any parameters.However, if the parties have notreached an agreement within one yearafter the commencement of the vol-untary period, the PARS licensee mustallow the ET licensee (if it so chooses)to gain access to the existing facilitiesto be relocated so that an independentthird party can examine the PARS li-censee’s 2 GHz system and prepare anestimate of the cost and the time need-ed to relocate the PARS licensee to


163


comparable facilities. The ET licenseemust pay for any such estimate.

(d) Mandatory Negotiations. If a relo-cation agreement is not reached duringthe two year voluntary period, the ETlicensee may initiate a mandatory ne-gotiation period. This mandatory pe-riod is triggered at the option of theET licensee, but ET licensees may notinvoke their right to mandatory nego-tiation until the voluntary negotiationperiod has expired. Once mandatory ne-gotiations have begun, a PARS licenseemay not refuse to negotiate and allparties are required to negotiate ingood faith. Good faith requires eachparty to provide information to theother that is reasonably necessary tofacilitate the relocation process. Inevaluating claims that a party has notnegotiated in good faith, the FCC willconsider, inter alia, the following fac-tors:

(1) Whether the ET licensee has madea bona fide offer to relocate the PARSlicensee to comparable facilities in ac-cordance with Section 101.75(b) of thischapter;

(2) If the PARS licensee has de-manded a premium, the type of pre-mium requested (e.g., whether the pre-mium is directly related to relocation,such as system-wide relocations andanalog-to-digital conversions, versusother types of premiums), and whetherthe value of the premium as comparedto the cost of providing comparable fa-cilities is disproportionate (i.e., wheth-er there is a lack of proportion or rela-tion between the two);

(3) What steps the parties have takento determine the actual cost of reloca-tion to comparable facilities;

(4) Whether either party has withheldinformation requested by the otherparty that is necessary to estimate re-location costs or to facilitate the relo-cation process. Any party alleging aviolation of our good faith requirementmust attach an independent estimateof the relocation costs in question toany documentation filed with the Com-mission in support of its claim. Anindependent cost estimate must in-clude a specification for the com-parable facility and a statement of thecosts associated with providing that fa-cility to the incumbent licensee.

(e) Involuntary period. After the peri-ods specified in paragraph (b) of thissection have expired, ET licensees mayinitiate involuntary relocation proce-dures under the Commission’s rules.ET licensees are obligated to pay to re-locate only the specific microwavelinks to which their systems pose aninterference problem. Under involun-tary relocation, a PARS licensee is re-quired to relocate, provided that:

(1) The ET applicant, provider, li-censee or representative guaranteespayment of relocation costs, includingall engineering, equipment, site andFCC fees, as well as any legitimate andprudent transaction expenses incurredby the PARS licensee that are directlyattributable to an involuntary reloca-tion, subject to a cap of two percent ofthe hard costs involved. Hard costs aredefined as the actual costs associatedwith providing a replacement system,such as equipment and engineering ex-penses. ET licensees are not required topay PARS licensees for internal re-sources devoted to the relocation proc-ess. ET licensees are not required topay for transaction costs incurred byPARS licensees during the voluntaryor mandatory periods once the involun-tary period is initiated or for fees thatcannot be legitimately tied to the pro-vision of comparable facilities;

(2) The ET applicant, provider, li-censee or representative completes allactivities necessary for implementingthe replacement facilities, includingengineering and cost analysis of the re-location procedure and, if radio facili-ties are involved, identifying and ob-taining, on the incumbents behalf, newchannels and frequency coordination;and,

(3) The ET applicant, provider, li-censee or representative builds the re-placement system and tests it for com-parability with the existing 2 GHz sys-tem.

(f) Comparable Facilities. The replace-ment system provided to an incumbentduring an involuntary relocation mustbe at least equivalent to the existingPARS system with respect to the fol-lowing three factors:

(1) Throughput. Communicationsthroughput is the amount of informa-tion transferred within a system in a


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47 CFR Ch. I (10–1–01 Edition)§ 22.602

given amount of time. If analog facili-ties are being replaced with analog, theET licensee is required to provide thePARS licensee with an equivalentnumber of 4 kHz voice channels. If dig-ital facilities are being replaced withdigital, the ET licensee must providethe PARS licensee with equivalentdata loading bits per second (bps). ETlicensees must provide PARS licenseeswith enough throughput to satisfy thePARS licensee’s system use at the timeof relocation, not match the total ca-pacity of the PARS system.

(2) Reliability. System reliability isthe degree to which information istransferred accurately within a sys-tem. ET licensees must provide PARSlicensees with reliability equal to theoverall reliability of their system. Fordigital data systems, reliability ismeasured by the percent of time thebit error rate (BER) exceeds a desiredvalue, and for analog or digital voicetransmissions, it is measured by thepercent of time that audio signal qual-ity meets an established threshold. Ifan analog voice system is replaced witha digital voice system, only the result-ing frequency response, harmonic dis-tortion, signal-to-noise ratio and its re-liability will be considered in deter-mining comparable reliability.

(3) Operating Costs. Operating costsare the cost to operate and maintainthe PARS system. ET licensees mustcompensate PARS licensees for any in-creased recurring costs associated withthe replacement facilities (e.g. addi-tional rental payments, increased util-ity fees) for five years after relocation.ET licensees may satisfy this obliga-tion by making a lump-sum paymentbased on present value using currentinterest rates. Additionally, the main-tenance costs to the PARS licenseemust be equivalent to the 2 GHz sys-tem in order for the replacement sys-tem to be considered comparable.

(g) The PARS licensee is not requiredto relocate until the alternative facili-ties are available to it for a reasonabletime to make adjustments, determinecomparability, and ensure a seamlesshandoff.

(h) The Commission’s Twelve-MonthTrial Period. If, within one year afterthe relocation to new facilities, thePARS licensee demonstrates that the

new facilities are not comparable tothe former facilities, the ET applicant,provider, licensee or representativemust remedy the defects or pay to relo-cate the PARS licensee to one of thefollowing: its former or equivalent 2GHz channels, another comparable fre-quency band, a land-line system, orany other facility that satisfies the re-quirements specified in paragraph (f) ofthis section. This trial period com-mences on the date that the PARS li-censee begins full operation of the re-placement link. If the PARS licenseehas retained its 2 GHz authorizationduring the trial period, it must returnthe license to the Commission at theend of the twelve months.

(i) After April 25, 1996, all majormodifications and extensions to exist-ing PARS systems operating on chan-nels in the 2110–2130 and 2160–2180 MHzbands will be authorized on a sec-ondary basis to future ET operations.All other modifications will render themodified PARS license secondary to fu-ture ET operations unless the incum-bent affirmatively justifies primarystatus and the incumbent PARS li-censee establishes that the modifica-tion would not add to the relocationcosts of ET licensees. Incumbent PARSlicensees will maintain primary statusfor the following technical changes:

(1) Decreases in power;(2) Minor changes (increases or de-

creases) in antenna height;(3) Minor location changes (up to two

seconds);(4) Any data correction which does

not involve a change in the location ofan existing facility;

(5) Reductions in authorized band-width;

(6) Minor changes (increases or de-creases) in structure height;

(7) Changes (increases or decreases)in ground elevation that do not affectcenterline height;

(8) Minor equipment changes.(j) Sunset. PARS licensees will main-

tain primary status in the 2110–2130 and2160–2180 MHz bands unless and until anET licensee requires use of the spec-trum. ET licensees are not required topay relocation costs after the reloca-tion rules sunset (i.e. ten years afterthe voluntary period begins for thefirst ET licensees in the service). Once


165


the relocation rules sunset, an ET li-censee may require the incumbent tocease operations, provided that the ETlicensee intends to turn on a systemwithin interference range of the incum-bent, as determined by TIA Bulletin 10–F or any standard successor. ET li-censee notification to the affectedPARS licensee must be in writing andmust provide the incumbent with noless than six months to vacate thespectrum. After the six-month noticeperiod has expired, the PARS licenseemust turn its license back into theCommission, unless the parties haveentered into an agreement which al-lows the PARS licensee to continue tooperate on a mutually agreed uponbasis. If the parties cannot agree on aschedule or an alternative arrange-ment, requests for extension will be ac-cepted and reviewed on a case-by-casebasis. The Commission will grant suchextensions only if the incumbent candemonstrate that:

(1) It cannot relocate within the six-month period (e.g., because no alter-native spectrum or other reasonableoption is available), and;

(2) The public interest would beharmed if the incumbent is forced toterminate operations (e.g., if publicsafety communications services wouldbe disrupted).

[61 FR 29689, June 12, 1996]

§ 22.603 488–494 MHz fixed service inHawaii.

Before filing applications for author-ization of inter-island control and/orrepeater stations, applicants must co-ordinate the planned channel usagewith existing licensees and other appli-cants with previously filed applica-tions, using the procedure outlined in§ 22.150. Applicants and licensees shallcooperate fully and make reasonableefforts to resolve any channel usageconflicts. In situations where technicalsolutions to such conflicts cannot bedevised, the FCC may select a channelor channels to assign or may designatethe application(s) for hearing. To beacceptable for filing, applications andmajor technical amendments mustcontain a certification that coordina-tion has been completed and an exhibitlisting the name(s) of the licensees and

applicants with which the plannedchannel usage has been coordinated.

POINT-TO-MULTIPOINT OPERATION

§ 22.621 Channels for point-to-multipoint operation.

The following channels are allocatedfor assignment to transmitters utilizedwithin point-to-multipoint systemsthat support transmitters that providepublic mobile service. Unless otherwiseindicated, all channels have a band-width of 20 kHz and are designated bytheir center frequencies in MegaHertz.No new licenses will be issued for any900 MHz frequencies in this section. Seepart 101, subpart O of this chapter fortreatment of incumbents and for newlicensing procedures. Incumbents underpart 22 are subject to the restrictionsof part 101, subpart O of this chapterbut may make permissible modifica-tions, transfers, assignments, or renewtheir licenses using procedures, forms,fees, and filing requirements of part 22.

Public Mobile Pool

(25 kHz bandwidth)

928.8625 ...... 959.8625 928.9375 ...... 959.9375928.8875 ...... 959.8875 928.9625 ...... 959.9625928.9125 ...... 959.9125 928.9875 ...... 959.9875

(12.5 kHz bandwidth)

928.85625 .... 959.85625 928.93125 .... 959.93125928.86875 .... 959.86875 928.94375 .... 959.94375928.88125 .... 959.88125 928.95625 .... 959.95625928.89375 .... 959.89375 928.96875 .... 959.96875928.90625 .... 959.90625 928.98125 .... 959.98125928.91875 .... 959.91875 928.99375 .... 959.99375

Private Radio General Access Pool

(25 kHz bandwidth)

956.2625 ...... 956.3125 956.3625 ...... 956.4125956.2875 ...... 956.3375 956.3875 ...... 956.4375

928.0125 ...... 952.0125 928.1875 ...... 952.1875928.0375 ...... 952.0375 928.2125 ...... 952.2125928.0625 ...... 952.0625 928.2375 ...... 952.2375928.0875 ...... 952.0875 928.2625 ...... 952.2625928.1125 ...... 952.1125 928.2875 ...... 952.2875928.1375 ...... 952.1375 928.3125 ...... 952.3125928.1625 ...... 952.1625 928.3375 ...... 952.3375


956.25625 .... 956.30625 956.35625 .... 956.40625956.26875 .... 956.31875 956.36875 .... 956.41875956.28125 .... 956.33125 956.38125 .... 956.43125956.29375 .... 956.34375 956.39375 .... 956.44375

928.00625 .... 952.00625 928.18125 .... 952.18125928.01875 .... 952.01875 928.19375 .... 952.19375928.03125 .... 952.03125 928.20625 .... 952.20625928.04375 .... 952.04375 928.21875 .... 952.21875928.05625 .... 952.05625 928.23125 .... 952.23125928.06875 .... 952.06875 928.24375 .... 952.24375928.08125 .... 952.08125 928.25625 .... 952.25625928.09375 .... 952.09375 928.26875 .... 952.26875928.10625 .... 952.10625 928.28125 .... 952.28125928.11875 .... 952.11875 928.29375 .... 952.29375


166

47 CFR Ch. I (10–1–01 Edition)§ 22.621

928.13125 .... 952.13125 928.30625 .... 952.30625928.14375 .... 952.14375 928.31875 .... 952.31875928.15625 .... 952.15625 928.33125 .... 952.33125928.16875 .... 952.16875 928.34375 .... 952.34375

Private Radio Power Pool

(25 kHz bandwidth)

928.3625 ...... 952.3625 928.6125 ...... 952.6125928.3875 ...... 952.3875 928.6375 ...... 952.6375928.4125 ...... 952.4125 928.6625 ...... 952.6625928.4375 ...... 952.4375 928.6875 ...... 952.6875928.4625 ...... 952.4625 928.7125 ...... 952.7125928.4875 ...... 952.4875 928.7375 ...... 952.7375928.5125 ...... 952.5125 928.7625 ...... 952.7625928.5375 ...... 952.5375 928.7875 ...... 952.7875928.5625 ...... 952.5625 928.8125 ...... 952.8125928.5875 ...... 952.5875 928.8375 ...... 952.8375


928.35625 .... 952.35625 928.60625 .... 952.60625928.36875 .... 952.36875 928.61875 .... 952.61875928.38125 .... 952.38125 928.63125 .... 952.63125928.39375 .... 952.39375 928.64375 .... 952.64375928.40625 .... 952.40625 928.65625 .... 952.65625928.41875 .... 952.41875 928.66875 .... 952.66875928.43125 .... 952.43125 928.68125 .... 952.68125928.44375 .... 952.44375 928.69375 .... 952.69375928.45625 .... 952.45625 928.70625 .... 952.70625928.46875 .... 952.46875 928.71875 .... 952.71875928.48125 .... 952.48125 928.73125 .... 952.73125928.49375 .... 952.49375 928.74375 .... 952.74375928.50625 .... 952.50625 928.75625 .... 952.75625928.51875 .... 952.51875 928.76875 .... 952.76875928.53125 .... 952.53125 928.78125 .... 952.78125928.54375 .... 952.54375 928.79375 .... 952.79375928.55625 .... 952.55625 928.80625 .... 952.80625928.56875 .... 952.56875 928.81875 .... 952.81875928.58125 .... 952.58125 928.83125 .... 952.83125928.59375 .... 952.59375 928.84375 .... 952.84375

Public, Private, Government Shared Pool


932.00625 .... 941.00625 932.25625 .... 941.25625932.01875 .... 941.01875 932.26875 .... 941.26875932.03125 .... 941.03125 932.28125 .... 941.28125932.04375 .... 941.04375 932.29375 .... 941.29375932.05625 .... 941.05625 932.30625 .... 941.30625932.06875 .... 941.06875 932.31875 .... 941.31875932.08125 .... 941.08125 932.33125 .... 941.33125932.09375 .... 941.09375 932.34375 .... 941.34375932.10625 .... 941.10625 932.35625 .... 941.35625932.11875 .... 941.11875 932.36875 .... 941.36875932.13125 .... 941.13125 932.38125 .... 941.38125932.14375 .... 941.14375 932.39375 .... 941.39375932.15625 .... 941.15625 932.40625 .... 941.40625932.16875 .... 941.16875 932.41875 .... 941.41875932.18125 .... 941.18125 932.43125 .... 941.43125932.19375 .... 941.19375 932.44375 .... 941.44375932.20625 .... 941.20625 932.45625 .... 941.45625932.21875 .... 941.21875 932.46875 .... 941.46875932.23125 .... 941.23125 932.48125 .... 941.48125932.24375 .... 941.24375 932.49375 .... 941.49375

UHF Channels in Specified Urban Areas

Boston

470.0125 ...... 473.0125 482.0125 ...... 485.0125470.0375 ...... 473.0375 482.0375 ...... 485.0375470.0625 ...... 473.0625 482.0625 ...... 485.0625470.0875 ...... 473.0875 482.0875 ...... 485.0875470.1125 ...... 473.1125 482.1125 ...... 485.1125470.1375 ...... 473.1375 482.1375 ...... 485.1375470.1625 ...... 473.1625 482.1625 ...... 485.1625470.1875 ...... 473.1875 482.1875 ...... 485.1875470.2125 ...... 473.2125 482.2125 ...... 485.2125470.2375 ...... 473.2375 482.2375 ...... 485.2375470.2625 ...... 473.2625 482.2625 ...... 485.2625

470.2875 ...... 473.2875 482.2875 ...... 485.2875

Chicago, Cleveland

470.0125 ...... 473.0125 476.0125 ...... 479.0125470.0375 ...... 473.0375 476.0375 ...... 479.0375470.0625 ...... 473.0625 476.0625 ...... 479.0625470.0875 ...... 473.0875 476.0875 ...... 479.0875470.1125 ...... 473.1125 476.1125 ...... 479.1125470.1375 ...... 473.1375 476.1375 ...... 479.1375470.1625 ...... 473.1625 476.1625 ...... 479.1625470.1875 ...... 473.1875 476.1875 ...... 479.1875470.2125 ...... 473.2125 476.2125 ...... 479.2125470.2375 ...... 473.2375 476.2375 ...... 479.2375470.2625 ...... 473.2625 476.2625 ...... 479.2625470.2875 ...... 473.2875 476.2875 ...... 479.2875

New York-Northeastern New Jersey

470.0125 ...... 470.1625 476.0125 ...... 476.1625470.0375 ...... 470.1875 476.0375 ...... 476.1875470.0625 ...... 470.2125 476.0625 ...... 476.2125470.0875 ...... 470.2375 476.0875 ...... 476.2375470.1125 ...... 470.2625 476.1125 ...... 476.2625470.1375 ...... 470.2875 476.1375 ...... 476.2875

Dallas-Forth Worth

482.0125 ...... 482.1625 485.0125 ...... 485.1625482.0375 ...... 482.1875 485.0375 ...... 485.1875482.0625 ...... 482.2125 485.0625 ...... 485.2125482.0875 ...... 482.2375 485.0875 ...... 485.2375482.1125 ...... 482.2625 485.1125 ...... 485.2625482.1375 ...... 482.2875 485.1375 ...... 485.2875

Detroit

476.0125 ...... 479.0125 482.0125 ...... 485.0125476.0375 ...... 479.0375 482.0375 ...... 485.0375476.0625 ...... 479.0625 482.0625 ...... 485.0625476.0875 ...... 479.0875 482.0875 ...... 485.0875476.1125 ...... 479.1125 482.1125 ...... 485.1125476.1375 ...... 479.1375 482.1375 ...... 485.1375476.1625 ...... 479.1625 482.1625 ...... 485.1625476.1875 ...... 479.1875 482.1875 ...... 485.1875476.2125 ...... 479.2125 482.2125 ...... 485.2125476.2375 ...... 479.2375 482.2375 ...... 485.2375476.2625 ...... 479.2625 482.2625 ...... 485.2625476.2875 ...... 479.2875 482.2875 ...... 485.2875

Houston

488.1625 ...... 491.1625 488.2375 ...... 491.2375488.1875 ...... 491.1875 488.2625 ...... 491.2625488.2125 ...... 491.2125 488.2875 ...... 491.2875

Los Angeles

470.0125 ...... 473.0125 506.0625 ...... 509.0625470.0375 ...... 473.0375 506.0875 ...... 509.0875506.0125 ...... 509.0125 506.1125 ...... 509.1125506.0375 ...... 509.0375 .

Miami

470.0125 ...... 470.1625 473.0125 ...... 473.1625470.0375 ...... 470.1875 473.0375 ...... 473.1875470.0625 ...... 470.2125 473.0625 ...... 473.2125470.0875 ...... 470.2375 473.0875 ...... 473.2375470.1125 ...... 470.2625 473.1125 ...... 473.2625470.1375 ...... 470.2875 473.1375 ...... 473.2875

Philadelphia

500.0125 ...... 503.0125 506.0125 ...... 509.0125500.0375 ...... 503.0375 506.0375 ...... 509.0375500.0625 ...... 503.0625 506.0625 ...... 509.0625500.0875 ...... 503.0875 506.0875 ...... 509.0875500.1125 ...... 503.1125 506.1125 ...... 509.1125500.1375 ...... 503.1375 506.1375 ...... 509.1375500.1625 ...... 503.1625 506.1625 ...... 509.1625500.1875 ...... 503.1875 506.1875 ...... 509.1875500.2125 ...... 503.2125 506.2125 ...... 509.2125500.2375 ...... 503.2375 506.2375 ...... 509.2375500.2625 ...... 503.2625 506.2625 ...... 509.2625


167


500.2875 ...... 503.2875 506.2875 ...... 509.2875

Pittsburgh

470.0125 ...... 470.1625 473.0125 ...... 473.1625470.0375 ...... 470.1875 473.0375 ...... 473.1875470.0625 ...... 470.2125 473.0625 ...... 473.2125470.0875 ...... 470.2375 473.0875 ...... 473.2375470.1125 ...... 470.2625 473.1125 ...... 473.2625470.1375 ...... 470.2875 473.1375 ...... 473.2875

San Francisco

482.0125 ...... 485.0125 488.0125 ...... 491.0125482.0375 ...... 485.0375 488.0375 ...... 491.0375482.0625 ...... 485.0625 488.0625 ...... 491.0625482.0875 ...... 485.0875 488.0875 ...... 491.0875482.1125 ...... 485.1125 488.1125 ...... 491.1125482.1375 ...... 485.1375 488.1375 ...... 491.1375482.1625 ...... 485.1625 488.1625 ...... 491.1625482.1875 ...... 485.1875 488.1875 ...... 491.1875482.2125 ...... 485.2125 488.2125 ...... 491.2125482.2375 ...... 485.2375 488.2375 ...... 491.2375482.2625 ...... 485.2625 488.2625 ...... 491.2625482.2875 ...... 485.2875 488.2875 ...... 491.2875

Washington, DC

488.0125 ...... 491.0125 494.0125 ...... 497.0125488.0375 ...... 491.0375 494.0375 ...... 497.0375488.0625 ...... 491.0625 494.0625 ...... 497.0625488.0875 ...... 491.0875 494.0875 ...... 497.0875488.1125 ...... 491.1125 494.1125 ...... 497.1125488.1375 ...... 491.1375 494.1375 ...... 497.1375488.1625 ...... 491.1625 494.1625 ...... 497.1625488.1875 ...... 491.1875 494.1875 ...... 497.1875488.2125 ...... 491.2125 494.2125 ...... 497.2125488.2375 ...... 491.2375 494.2375 ...... 497.2375488.2625 ...... 491.2625 494.2625 ...... 497.2625488.2875 ...... 491.2875 494.2875 ...... 497.2875

[59 FR 59507, Nov. 17, 1994; 60 FR 9890, Feb. 22,1995, as amended at 61 FR 54099, Oct. 17, 1996;65 FR 17448, Apr. 3, 2000]

§ 22.623 System configuration.This section requires a minimum

configuration for point-to-multipointsystems using the channels listed in§ 22.621.

(a) 928–960 MHz. The channels may beassigned, individually or paired, onlyto fixed transmitters in a system thatcontrols at least four public mobilebase transmitters that transmit on thesame channel. If a 932–933 MHz channeland a 941–942 MHz channel are assignedas a pair, the 941–942 MHz channel mustbe assigned only to control transmit-ters; the 932–933 MHz channel may beassigned to control or fixed relaytransmitters.

(b) 470–512 MHz. These channels maybe assigned only individually (un-paired), to control transmitters thatdirectly control at least four publicmobile base transmitters that transmiton the same channel. Fixed relaytransmitters are not authorized.

(c) Selection and assignment. The FCCselects and assigns a channel when

granting applications for authorizationto operate a new station to transmit inthe 470–512, 932–933 and 941–942 MHz fre-quency ranges. Applicants having apreference may request the assignmentof a specific channel or channel pair,but the FCC may in some cases be un-able to satisfy such requests.

§ 22.625 Transmitter locations.This section governs where point-to-

multipoint transmitters on the chan-nels listed in § 22.621 may be located.

(a) 928–960 MHz. In this frequencyrange, the required minimum distanceseparation between co-channel fixedtransmitters is 113 kilometers (70miles). However, this requirement maybe waived if the applicant submits anengineering analysis that shows thatno interference would be caused to ei-ther system. In such a case, a develop-mental authorization may be issued(see § 22.415). If no interference is expe-rienced during the term of the develop-mental authorization, the licensee mayapply for a regular authorization.

(b) 470–512 MHz. The purpose of therule in paragraph (b)(1) of this sectionis to define the areas in which the 470–512 MHz channels are allocated for pub-lic mobile use. The purpose of the rulesin paragraphs (b)(2) and (b)(3) of thissection is to reduce the likelihood thatinterference to television receptionfrom public mobile operations on thesechannels will occur.

(1) Control transmitter locations. Con-trol transmitter locations must bewithin 80 kilometers (50 miles) of thedesignated locations in this paragraph.

Urban area N. latitude W. longitude

Boston, MA ............................ 42°21′24.4″ 71°03′22.2″Chicago, IL ............................ 41°52′28.1″ 87°38′22.2″Cleveland, OH ....................... 41°29′51.2″ 81°41′49.5″Dallas, TX .............................. 32°47′09.5″ 96°47′38.0″Detroit, MI .............................. 42°19′48.1″ 83°02′56.7″Houston, TX .......................... 29°45′26.8″ 95°21′37.8″Los Angeles, CA ................... 34°03′15.0″ 18°14′31.3″Miami, FL ............................... 25°46′38.6″ 80°11′31.2″New York, NY ........................ 40°45′6.4″ 73°59′37.5″Philadelphia, PA .................... 39°56′58.4″ 75°09′19.6″Pittsburgh, PA ....................... 40°26′19.2″ 79°59′59.2″San Francisco-Oakland, CA .. 37°46′38.7″ 122°24′43.9″Washington, DC .................... 38°53′51.4″ 77°00′31.9″

Note: Coordinates are referenced to North American Datum1983 (NAD 83).

(2) Protection from intermodulation in-terference. Control transmitter loca-tions must be at least 1.6 kilometers (1


168

47 CFR Ch. I (10–1–01 Edition)§ 22.627

mile) from the main transmitter loca-tions of all TV stations transmittingon TV channels separated by 2, 3, 4, 5,7, or 8 TV channels from the TV chan-nel containing the frequencies onwhich the control station will trans-mit. This requirement is intended toreduce the likelihood of intermodula-tion interference.

(3) Co-channel protection from controltransmitters with high antennas. Thisparagraph applies only to controltransmitters that utilize an antennaheight of more than 152 meters (500feet) above average terrain. The dis-tance between the location of such acontrol transmitter and the applicableprotected TV station location specifiedin this paragraph must equal or exceedthe sum of the distance from the con-trol transmitter location to the radiohorizon in the direction of the specifiedlocation and 89 kilometers (55 miles—representing the distance from themain transmitter location of the TVstation to its Grade B contour in thedirection of the control transmitter).The protected TV station locations inthis paragraph are the locations ofrecord as of September 1974, and thesedo not change even though the TV sta-tions may have been subsequently relo-cated.

(i) The protected TV station loca-tions are as follows:

Controltransmitterfrequency

range

Protected TV station location

470–476MHz.

Washington, DC 38°57′17″ 77°00′17″

476–482MHz.

Lancaster, PA 40°15′45″ 76°27′49″

(ii) The distance to the radio horizonis calculated using the following for-mula:

d h= ×17where

d is the distance to the radio horizon inkilometers

h is the height of the antenna center ofradiation above ground level in me-ters



The effective radiated power (ERP) oftransmitters operating on the channelslisted in § 22.621 must not exceed thelimits in this section.

(a) Maximum ERP. The ERP must notexceed the applicable limits in thisparagraph under any circumstances.


470–512 ............................................................. 1000928–929 ............................................................. 50932–933 ............................................................. 30941–942 ............................................................. 600952–960 ............................................................. 150

(b) 470–512 MHz limits. The purpose ofthe rules in paragraphs (b)(1) through(b)(3) of this section is to reduce thelikelihood that interference to tele-vision receiption from public mobileoperations on these channels willoccur. The protected TV station loca-tions specified in this section are thelocations of record as of September1974, and these do not change eventhough the TV stations may have beensubsequently relocated.

(1) Co-channel protection. The ERP ofcontrol transmitters must not exceedthe limits in the tables in paragraphs(b)(1)(ii) and (b)(1)(iii) of this section.The limits depend upon the heightabove average terrain of the controltransmitter antenna and the distancebetween the control transmitter andthe nearest protected TV station loca-tion in paragraph (b)(1)(i) of this sec-tion.

(i) The protected TV station loca-tions are as follows (all coordinates arereferenced to North American Datum1983 (NAD83)):

Control transmitter frequency range Protected TVstation location

470–476 MHz ............................................. Jacksonville, IL,39°45′52.2″ N.Lat.90°30′29.5″W. Long.

Mt. Pleasant, MI,43°34′24.1″ N.Lat.84°46′21.1″W. Long.


169


Control transmitter frequency range Protected TVstation location

476–482 MHz .............................................482–488 MHz .............................................488–494 MHz .............................................494–500 MHz .............................................500–506 MHz .............................................506–512 MHz .............................................

Oxford, OH,39°30′26.2″ N.Lat. 84°44′8.8″ W. Long.

Washington, DC,38°57′ 17.4″N. Lat. 77°00′15.9″ W.Long.

Champaign, IL,40°04′11.1″ N.Lat. 87°54′45.1″ W.Long.

Madison, WI,43°03′01.0″ N.Lat. 89°29′15.4″ W.Long.

Parkersburg,WV,39°20′50.3″ N.Lat. 81°33′55.5″ W.Long.

Fort Wayne, IN,41°05′35.2″ N.Lat. 85°10′41.9″ W.Long.

Lancaster, PA,40°15′45.3″ N.Lat. 76°27′47.9″ W.Long.

South Bend, IN,41°36′26.2″ N.Lat. 86°27′48.1″ W.Long.

Philadelphia, PA,40°02′30.4″ N.Lat. 75°14′22.6″ W.Long.

None.Johnstown, PA,

40°19′47.3″ N.Lat. 78°53′44.1″ W.Long.

Washington, DC,38°57′49.4″ N.Lat. 77°06′16.9″ W.Long.

Waterbury, CT,41°31′2.3″ N.Lat. 73°00′58.4″ W.Long.

(ii) Table E–3 and E–4 apply to con-trol transmitters in the New York–Northeastern New Jersey and Cleve-land urban areas that transmit onchannels in the 476–482 MHz range andto control transmitters in the Detroiturban area that transmit on channelsin the 482–488 MHz range.

(iii) Tables E–5 and E–6 apply to allcontrol transmitters except those towhich Tables E–3 and E–4 apply.

(2) Adjacent channel protection. TheERP of control transmitters must notexceed the limits in Table E–7. Thelimits depend upon the height aboveaverage terrain of the control trans-mitter antenna and the distance be-tween the control transmitter and thenearest protected TV station locationlisted in this paragraph. The protectedTV station locations are as follows (allcoordinates are referenced to NorthAmerican Datum 1983 (NAD83)):

Controltrans-

mitter fre-quencyrange

Protected TV station location TVchannel

470–476MHz.

Hanover, NH, 43°42′30.3″ N. Lat.72°09′14.3″ W. Long..

(15)

Madison, WI, 43°03′01.0″ N. Lat.89°29′15.4″ W. Long..

(15)

Champaign, IL, 40°04′11.1″ N. Lat.87°54′45.1″ W. Long..

(15)

San Diego, CA, 32°41′48.2″ N. Lat.116°56′13.1″ W. Long..

(15)

Lancaster, PA, 40°15′45.3″ N. Lat.76°27′47.9″ W. Long..

(15)

Parkersburg, WV, 39°20′50.3″ N. Lat.81°33′55.5″ W. Long..

(15)

476–482MHz.

South Bend, IN, 41°36′26.2″ N. Lat.86°27′48.1″ W. Long..

(16)

Pittsburgh, PA, 40°26′46.2″ N. Lat.79°57′50.2″ W. Long..

(16)

Mt. Pleasant, MI, 43°34′24.1″ N. Lat.84°46′21.1″ W. Long..

(14)

Scranton, PA, 41°10′58.3″ N. Lat.75°52′19.7″ W. Long..

(16)

482–488MHz.

Hanover, NH, 43°42′30.3″ N. Lat.72°09′14.3″ W. Long..

(15)

Fort Wayne, IN, 41°05′35.2″ N. Lat.85°10′41.9″ W. Long..

(15)

488–494MHz.

Salisbury, MD, 38°24′15.4″ N. Lat.75°34′43.7″ W. Long..

(16)

494–500MHz.

Philadelphia, PA, 40°02′30.4″ N. Lat.75°14′22.6″ W. Long..

(17)

500–506MHz.

Washington, DC, 38°57′17.4″ N. Lat.77°00′15.9″ W. Long..

(20)

506–512MHz.

Harrisburg, PA, 40°20′44.3″ N. Lat.76°52′07.9″ W. Long..

(21)

(c) Los Angeles area. This paragraphapplies only to control transmitters inthe Los Angeles urban area that utilizean antenna height of 457 or more me-ters (1500 or more feet) above mean sealevel. The ERP of such transmittersmust not exceed the following limits:

Antenna height ERP

AMSL in meters (feet) (Watts)

457 (1500) to 610 (2000) .................................... 155611 (2001) to 762 (2500) .................................... 100763 (2501) to 914 (3000) .................................... 70915 (3001) to 1067 (3500) .................................... 50


170

47 CFR Ch. I (10–1–01 Edition)§ 22.627

Antenna height ERP


1068 (3501) to 1219 (4000) .................................... 401220 (4001) to 1372 (4500) .................................... 30

Antenna height ERP


1373 (4501) and above ........................................... 25

TABLE E–3.—MAXIMUM ERP (WATTS) FOR CONTROL TRANSMITTERS (HAAT 152 METERS OR LESS)

Distance to protected TV sta-tion in kilometers (miles)

Antenna height above average terrain in meters (feet)

15(50)

30(100)

46(150)

61(200)

76(250)

91(300)

107(350)

122(400)

137(450)

152(500)

209 (130) .............................. 1000 1000 1000 1000 1000 1000 1000 1000 1000 1000201 (125) .............................. 1000 1000 1000 1000 1000 1000 1000 850 750 725193 (120) .............................. 1000 1000 1000 1000 900 750 675 600 550 500185 (115) .............................. 1000 1000 800 725 600 525 475 425 375 350177 (110) .............................. 850 700 600 500 425 375 325 300 275 225169 (105) .............................. 600 475 400 325 275 250 225 200 175 150161 (100) .............................. 400 325 275 225 175 150 140 125 110 100153 (95) ................................ 275 225 175 125 110 95 80 70 60 50145 (90) ................................ 175 125 100 75 50 ............ ............ ............ ............ ............

See § 22.627(b)(1)(ii). This table is for antenna heights of 152 meters (500 feet) or less above average terrain. For antennaheights between those in the table, use the next higher antenna height. For distances between those in the table, use the nextlower distance.

TABLE E–4.—MAXIMUM ERP (WATTS) FOR CONTROL TRANSMITTERS (HAAT MORE THAN 152METERS)

Distance to protected TV station in kilometers (miles)


152(500)

305(1000)

457(1500)

610(2000)

762(2500)

914(3000)

209 (130) ............................................................................................... 1000 447 219 117 71 46193 (120) ............................................................................................... 500 209 95 50 30 19177 (110) ............................................................................................... 225 91 35 19 11 8161 (100) ............................................................................................... 100 30 10 5 3 2153 (95) ................................................................................................. 50 13 5 3 2 1

See § 22.627(b)(1)(ii). This table is for antenna heights of more than 152 meters (500 feet) above average terrain. For inter-mediate values of height and/or distance, use linear interpolation to obtain the maximum permitted ERP.

TABLE E–5.—MAXIMUM ERP (WATTS) FOR CONTROL TRANSMITTERS (HAAT 152 METERS OR LESS)


Antenna Height Above Average Terrain in meters (feet)

15(50)

30(100)

46(150)

61(200)

76(250)

91(300)

107(350)

122(400)

137(450)

152(500)

261 (162) .............................. 1000 1000 1000 1000 1000 1000 1000 1000 1000 1000257 (160) .............................. 1000 1000 1000 1000 1000 1000 1000 1000 1000 800249 (155) .............................. 1000 1000 1000 1000 1000 875 775 700 625 575241 (150) .............................. 1000 1000 950 775 725 625 550 500 450 400233 (145) .............................. 850 750 650 575 500 440 400 350 320 300225 (140) .............................. 600 575 465 400 350 300 275 250 230 225217 (135) .............................. 450 400 335 300 255 240 200 185 165 150209 (130) .............................. 350 300 245 200 185 160 145 125 120 100201 (125) .............................. 225 200 170 150 125 110 100 90 80 75193 (120) .............................. 175 150 125 105 90 80 70 60 55 50

AAAAASee § 22.627(b)(1)(iii). This table applies for antenna heights of 152 meters (500 feet) or less above average terrain.For antenna heights between those in the table, use the next higher antenna height. For distances between those in the table,use the next lower distance.

TABLE E–6.—MAXIMUM ERP (WATTS) FOR CONTROL TRANSMITTERS (HAAT MORE THAN 152METERS)



152(500)

305(1000)

457(1500)

610(2000)

762(2500)

914(3000)

261 (162) ............................................................................................... 1000 501 282 170 110 71241 (150) ............................................................................................... 400 209 110 60 36 23225 (140) ............................................................................................... 225 102 50 28 16 10209 (130) ............................................................................................... 100 48 21 11 7 5


171


TABLE E–6.—MAXIMUM ERP (WATTS) FOR CONTROL TRANSMITTERS (HAAT MORE THAN 152METERS)—Continued



152(500)

305(1000)

457(1500)

610(2000)

762(2500)

914(3000)

193 (120) ............................................................................................... 50 19 9 5 3 2

AAAAASee § 22.627(b)(1)(iii). This table is for antenna heights of more than 152 meters (500 feet) above average terrain. Forintermediate values of height and/or distance, use linear interpolation to obtain the maximum permitted ERP.

TABLE E–7.—MAXIMUM ERP (WATTS) FOR CONTROL TRANSMITTERS

Distance to protected TV station in kilo-meters (miles)


30(100)

46(150)

61(200)

76(250)

91(300)

107(350)

122(400)

137(450)

152(500)

108 (67) ................................................. 1000 1000 1000 1000 1000 1000 1000 1000 1000106 (66) ................................................. 1000 1000 1000 1000 1000 1000 1000 1000 750105 (65) ................................................. 1000 1000 1000 1000 1000 1000 825 650 600103 (64) ................................................. 1000 1000 1000 1000 1000 775 625 500 400101 (63) ................................................. 1000 1000 1000 1000 440 400 350 320 300100 (62) ................................................. 1000 1000 1000 525 375 250 200 150 12598 (61) ................................................... 1000 700 450 250 200 125 100 75 5097 (60) ................................................... 1000 425 225 125 100 75 50 ............ ............

See § 22.627(b)(2). This table applies to control transmitters in the Boston, Chicago, Cleveland, Detroit, Los Angeles, NewYork-Northeastern New Jersey, Philadelphia, Pittsburgh and Washington, DC urban areas. This table is for antenna heights of152 meters (500 feet) or less above average terrain. For antenna heights between those in the table, use the next higher an-tenna height. For distances between those in the table, use the next lower distance.

[59 FR 59507, Nov. 17, 1994; 60 FR 9890, Feb. 22,1995; 63 FR 68946, Dec. 14, 1998]

470–512 MHZ TRUNKED MOBILEOPERATION

§ 22.651 470–512 MHz channels fortrunked mobile operation.

The following channels are allocatedfor assignment to transmitters pro-viding trunked public mobile servicewithin the specified urban areas. Allchannels have a bandwidth of 20 kHzand are designated by their center fre-quencies in MegaHertz.

Houston

488.0125 ...... 491.0125 488.0875 ...... 491.0875488.0375 ...... 491.0375 488.1125 ...... 491.1125488.0625 ...... 491.0625 488.1375 ...... 491.1375

New York-Northern New Jersey

473.0125 ...... 479.0125 473.1625 ...... 479.1625473.0375 ...... 479.0375 473.1875 ...... 479.1875473.0625 ...... 479.0625 473.2125 ...... 479.2125473.0875 ...... 479.0875 473.2375 ...... 479.2375473.1125 ...... 479.1125 473.2625 ...... 479.2625473.1375 ...... 479.1375 473.2875 ...... 479.2875

[59 FR 59507, Nov. 17, 1994; 60 FR 9891, Feb. 22,1995]

§ 22.653 Eligibility.Only licensees already authorized to

provide trunked mobile service or theirsuccessors in interest are eligible to

apply for additional use of these chan-nels for trunked mobile service, andthen only in the urban areas alreadyauthorized.

§ 22.655 Channel usage.

The FCC is redesignating the publicmobile channels in the 470–512 MHzrange from trunked mobile operationto point-to-multipoint operation as thedemand for trunked mobile service de-creases.

(a) The licensees in each marketshall measure channel usage at leastonce every 3 months. These measure-ments shall be reported to the FCCwithin 30 days. Measurements shall betaken during the busiest 12-hour peri-ods on 3 days (within a 7-day period)having normal usage. The informationmust be reported separately for each ofthe 3 days selected, must be reportedby dates, and must disclose the fol-lowing:

(1) The number of mobile units inservice during each of the days speci-fied;

(2) The number of calls completedeach hour;

(3) The total number of minutes dur-ing each hour that the channels were


172

47 CFR Ch. I (10–1–01 Edition)§ 22.657

utilized for communications by themobile units;

(4) The average channel usage for thebusiest hour for the 3 days measured;and

(5) Any additional information thatmore accurately reflects channelusage.

(b) If the measured probability ofblocking decreases below 25%, the FCCwill redesignate channels not needed tomaintain blocking at 25% or less. Thenumber of channels needed to maintainblocking below 25% will be determinedfrom the channel usage reports and theErlang C tables.

(c) Although two or more channelsare necessary to provide trunked serv-ice, the FCC may, pursuant to this sec-tion, reduce to one the number of chan-nels assigned. In such cases, the li-censee may provide non-trunked two-way public mobile service on the oneremaining channel.

§ 22.657 Transmitter locations.The purpose of the rules in para-

graphs (a) and (b) of this section is todefine the areas in which the 470–512MHz channels are allocated for publicmobile use. The purpose of the rules inparagraphs (c) through (f) of this sec-tion is to reduce the likelihood that in-terference to television reception frompublic mobile operations on thesechannels will occur. The protected TVstation locations specified in para-graphs (d), (e)(1) and (f) of this sectionare the locations of record as of Sep-tember 1974, and these do not changeeven though the TV stations may havebeen subsequently relocated.

(a) Base transmitter locations. Basetransmitter locations must be within80 kilometers (50 miles) of the des-ignated locations in this paragraph.Mobile transmitters must not be oper-ated at locations more than 129 kilo-meters (80 miles) from the designatedlocations in this paragraph. Note: Allcoordinates are referenced to NorthAmerican Datum 1983 (NAD83).

Urban area N. latitude W. longitude

Houston, TX .............................. 29°45′26.8″ 95°21′37.8″New York, NY–NE NJ ............... 40°45′06.4″ 73°59′37.5″

(b) Mobile area of operation. Mobiletransmitters must not be operated at

locations more than 48 kilometers (30miles) from all associated base sta-tions.

(c) Protection from intermodulation in-terference. Base transmitter locationsmust be at least 1.6 kilometers (1 mile)from the current main transmitter lo-cations of all TV stations transmittingon TV channels separated by 2, 3, 4, 5,7, or 8 TV channels from the TV chan-nel containing the frequencies onwhich the base station will transmit.This requirement is intended to reducethe likelihood of intermodulation in-terference.

(d) Adjacent channel protection frommobile transmitters. Base transmitterlocations must be at least 145 kilo-meters (90 miles) from the applicableprotected TV station locations speci-fied in this paragraph. This require-ment is intended to provide a 0 dB min-imum desired to undesired signalstrength ratio at the Grade B contourof an adjacent channel TV station.Note: All coordinates are referenced toNorth American Datum 1983 (NAD83).

Controltrans-

mitter fre-quencyrange

Protected TV station location TVchannel

470–476MHz.

Lancaster, PA, 40°15′45.3″ N. Lat.76°27′47.9″ W. Long..

(15)

476–482MHz.

Scranton, PA, 41°10′58.3″ N. Lat.75°52′19.7″ W. Long..

(16)

(e) Co-channel protection from mobiletransmitters. Base transmitter locationsmust be at least the distance specifiedin paragraph (e)(2) of this section fromthe applicable protected TV station lo-cations specified in paragraph (e)(1) ofthis section. This requirement is in-tended to provide a 40 dB minimum de-sired to undesired signal strength ratioat the Grade B contour of a co-channelTV station.

(1) The protected TV station loca-tions are as follows (all coordinates arereferenced to North American Datum1983 (NAD83)):


range


470–476MHz.

Washington, DC, 38°57′17.4″ N. Lat.77°00′15.9″ W. Long.

476–482MHz.

Lancaster, PA, 40°15′45.3″ N. Lat. 76°27′47.9″W. Long.


173


(2) The required minimum distancedepends upon the effective radiatedpower (ERP) of the most powerful mo-bile transmitter(s) in the system:

Mobile unit ERP (watts)

Minimum distance

Kilo-meters Miles

60 ....................................................... 193 (120)50 ....................................................... 185 (115)25 ....................................................... 177 (110)10 ....................................................... 169 (105)5 ......................................................... 161 (100)

(f) Co-channel protection from basetransmitters with high antennas. Thisparagraph applies only to base trans-mitter locations in the New York-Northeastern New Jersey urban areathat utilize an antenna height of morethan 152 meters (500 feet) above averageterrain. The distance between the loca-tion of such a base transmitter and the

applicable protected TV station loca-tion specified in this paragraph mustequal or exceed the sum of the distancefrom the base transmitter location tothe radio horizon in the direction ofthe specified location and 89 kilo-meters (55 miles—representing the dis-tance from the main transmitter loca-tion of the TV station to its Grade Bcontour in the direction of the basetransmitter). The distance to the radiohorizon is calculated as follows:

d h= ×17Where d is the distance to the radio ho-

rizon in kilometers h is the heightof the antenna center of radiationabove ground level in meters

NOTE: All coordinates are referenced toNorth American Datum 1983 (NAD83)):

Control transmitter frequency range Protected TV station location

470–476 MHz .............................................. Washington, DC, 38°57′17.4″ N. Lat. 77°00′15.9″ W. Long.476–482 MHz .............................................. Lancaster, PA, 40°15′45.3″ N. Lat. 76°27′47.9″ W. Long.

(g) The FCC may waive specific dis-tance separation requirements of para-graphs (d) through (f) of this section ifthe applicant submits an engineeringanalysis which demonstrates that ter-rain effects and/or operation with lesseffective radiated power would satisfythe applicable minimum desired toundesired signal strength ratios at theGrade B contours of the protected TVstations. For this purpose, the Grade Bcontour of a TV station is deemed to bea circle with a 89 kilometer (55 mile)radius, centered on the protected TVstation location, and along which themedian TV signal field strength is 64dBµV/m. In any showing intended todemonstrate compliance with the min-imum desired to undesired signal ratiorequirements of this section, all pre-dicted field strengths must have beendetermined using the UHF TV propaga-tion curves contained in part 73 of thischapter.



The purpose of the rules in this sec-tion, which limit effective radiatedpower (ERP), is to reduce the likeli-hood that interference to television re-ception from public mobile operationson these channels will occur. The pro-tected TV station locations specified inthis section are the locations of recordas of September 1974, and these do notchange even though the TV stationsmay have been subsequently relocated.

(a) Maximum ERP. The ERP of basetransmitters must not exceed 100 Wattsunder any circumstances. The ERP ofmobile transmitters must not exceed 60Watts under any circumstances.

(b) Co-channel protection from basetransmitters. The ERP of base transmit-ters in the New York-NortheasternNew Jersey urban area must not exceedthe limits in the tables referenced inparagraphs (b)(2) and (b)(3) of this sec-tion. The limits depend upon theheight above average terrain of thebase transmitter antenna and the dis-tance between the base transmitterand the nearest protected TV station


174

47 CFR Ch. I (10–1–01 Edition)§ 22.659

location in paragraph (b)(1) of this sec-tion.



range


470–476MHz.

Washington, DC, 38°57′17.4″ N. Lat.77°00′15.9″ W. Long.

476–482MHz.

Lancaster, PA, 40°15′45.3″ N. Lat. 76°27′47.9″W. Long.

(2) Tables E–8 and E–9 of this sectionapply to base transmitters in the NewYork-Northeastern New Jersey urbanarea that transmit on channels in the476–482 MHz range.

(3) Tables E–10 and E–11 of this sec-tion apply to base transmitters in theNew York-Northeastern New Jerseyurban area that transmit on channelsin the 470–476 MHz range.

(c) Adjacent channel protection frombase transmitters. The ERP of basetransmitters must not exceed the lim-its in Table E–12 of this section. Thelimits depend upon the height aboveaverage terrain of the base transmitterantenna and the distance between thebase transmitter and the nearest pro-tected TV station location specified inparagraph (c)(1) of this section.


Control transmitter fre-quency range Protected TV station location TV channel

470–476 MHz ............ Hanover, NH, 43°42′30.3″ N. Lat. 72°09′14.3″ W. Long ...................................................... (15)476–482 MHz ............482–488 MHz ............

Lancaster, PA, 40°15′45.3″ N. Lat. 76°27′47.9″ W. Long .................................................... (15)

Scranton, PA, 41°10′58.3″ N. Lat. 75°52′19.7″ W. Long ..................................................... (16)Hanover, NH, 43°42′30.3″ N. Lat. 72°09′14.3″ W. Long ...................................................... (15)

Note: Coordinates are referenced to North American Datum 1983 (NAD83).

(2) Table E–12 of this section appliesto base transmitters in the New York-Northeastern New Jersey urban area.

TABLE E–8.—MAXIMUM ERP (WATTS) FOR BASE TRANSMITTERS (HAAT 152 METERS OR LESS)



15(50)

30(100)

46(150)

61(200)

76(250)

91(300)

107(350)

122(400)

137(450)

152(500)

209 (130) .............................. 1000 1000 1000 1000 1000 1000 1000 1000 1000 1000201 (125) .............................. 1000 1000 1000 1000 1000 1000 1000 850 750 725193 (120) .............................. 1000 1000 1000 1000 900 750 675 600 550 500185 (115) .............................. 1000 1000 800 725 600 525 475 425 375 350177 (110) .............................. 850 700 600 500 425 375 325 300 275 225169 (105) .............................. 600 475 400 325 275 250 225 200 175 150161 (100) .............................. 400 325 275 225 175 150 140 125 110 100153 (95) ................................ 275 225 175 125 110 95 80 70 60 50145 (90) ................................ 175 125 100 75 50 ............ ............ ............ ............ ............

See § 22.659(b)(2). This table is for antenna heights of 152 meters (500 feet) or less above average terrain. For antennaheights between those in the table, use the next higher antenna height. For distances between those in the table, use the nextlower distance.

TABLE E–9.—MAXIMUM ERP (WATTS) FOR BASE TRANSMITTERS (HAAT MORE THAN 152 METERS)



152(500)

305(1000)

457(1500)

610(2000)

762(2500)

914(3000)

209 (130) ............................................................................................... 1000 447 219 117 71 46193 (120) ............................................................................................... 500 209 95 50 30 19177 (110) ............................................................................................... 225 91 35 19 11 8161 (100) ............................................................................................... 100 30 10 5 3 2


175


TABLE E–9.—MAXIMUM ERP (WATTS) FOR BASE TRANSMITTERS (HAAT MORE THAN 152METERS)—Continued



152(500)

305(1000)

457(1500)

610(2000)

762(2500)

914(3000)

153 (95) ................................................................................................. 50 13 5 3 2 1

See § 22.659(b)(2). This table is for antenna heights of more than 152 meters (500 feet) above average terrain. For inter-mediate values of height and/or distance, use linear interpolation to obtain the maximum permitted ERP.

TABLE E–10.—MAXIMUM ERP (WATTS) FOR BASE TRANSMITTERS (HAAT 152 METERS OR LESS)



15(50)

30(100)

46(150)

61(200)

76(250)

91(300)

107(350)

122(400)

137(450)

152(500)

261 (162) .............................. 1000 1000 1000 1000 1000 1000 1000 1000 1000 1000257 (160) .............................. 1000 1000 1000 1000 1000 1000 1000 1000 1000 800249 (155) .............................. 1000 1000 1000 1000 1000 875 775 700 625 575241 (150) .............................. 1000 1000 950 775 725 625 550 500 450 400233 (145) .............................. 850 750 650 575 500 440 400 350 320 300225 (140) .............................. 600 575 465 400 350 300 275 250 230 225217 (135) .............................. 450 400 335 300 255 240 200 185 165 150209 (130) .............................. 350 300 245 200 185 160 145 125 120 100201 (125) .............................. 225 200 170 150 125 110 100 90 80 75193 (120) .............................. 175 150 125 105 90 80 70 60 55 50

See § 22.659(b)(3). This table applies for antenna heights of 152 meters (500 feet) or less above average terrain. For antennaheights between those in the table, use the next higher antenna height. For distances between those in the table, use the nextlower distance.

TABLE E–11.—MAXIMUM ERP (WATTS) FOR BASE TRANSMITTERS (HAAT MORE THAN 152 METERS)



152(500)

305(1000)

457(1500)

610(2000)

762(2500)

914(3000)

261 (162) ............................................................................................... 1000 501 282 170 110 71241 (150) ............................................................................................... 400 209 110 60 36 23225 (140) ............................................................................................... 225 102 50 28 16 10209 (130) ............................................................................................... 100 48 21 11 7 5193 (120) ............................................................................................... 50 19 9 5 3 2

See § 22.659(b)(3). This table is for antenna heights of more than 152 meters (500 feet) above average terrain. For inter-mediate values of height and/or distance, use linear interpolation to obtain the maximum permitted ERP.

TABLE E–12.—MAXIMUM ERP (WATTS) FOR BASE TRANSMITTERS

Distance to protected TV station in kilo-meters (miles)


30(100)

46(150)

61(200)

76(250)

91(300)

107(350)

122(400)

137(450)

152(500)

108 (67) ................................................. 1000 1000 1000 1000 1000 1000 1000 1000 1000106 (66) ................................................. 1000 1000 1000 1000 1000 1000 1000 1000 750105 (65) ................................................. 1000 1000 1000 1000 1000 1000 825 650 600103 (64) ................................................. 1000 1000 1000 1000 1000 775 625 500 400101 (63) ................................................. 1000 1000 1000 1000 440 400 350 320 300100 (62) ................................................. 1000 1000 1000 525 375 250 200 150 12598 (61) ................................................... 1000 700 450 250 200 125 100 75 5097 (60) ................................................... 1000 425 225 125 100 75 50 ............ ............

See § 22.659(c)(2). This table applies to base transmitters in the New York-Northeastern New Jersey urban areas. This tableis for antenna heights of 152 meters (500 feet) or less above average terrain. For antenna heights between those in the table,use the next higher antenna height. For distances between those in the table, use the next lower distance.


176

47 CFR Ch. I (10–1–01 Edition)§ 22.701


Subpart F—Rural RadiotelephoneService


licensing and operation of stations andsystems in the Rural RadiotelephoneService. The licensing and operation ofthese stations and systems is also sub-ject to rules elsewhere in this part thatapply generally to the Public MobileServices. In case of conflict, however,the rules in this subpart govern.

§ 22.702 Eligibility.Existing and proposed communica-

tions common carriers are eligible tohold authorizations to operate conven-tional central office, interoffice andrural stations in the Rural Radio-telephone Service. Only local exchangecarriers that have been state certifiedto provide basic exchange telephoneservice (or others having state ap-proval to provide such service) in thepertinent area are eligible to hold au-thorizations for Basic Exchange Tele-phone Radio Systems (BETRS). Sub-scribers are also eligible to hold au-thorizations to operate rural subscriberstations in the Rural RadiotelephoneService.

§ 22.703 Separate rural subscriber sta-tion authorization not required.

A separate authorization is not re-quired for rural subscriber stations forwhich the effective radiated power doesnot exceed 60 Watts and for which FAAnotification of construction or alter-ation of the antenna structure is notrequired (see criteria in § 17.7 of thischapter). Authority to operate suchrural subscriber stations is conferredby the authorization of the central of-fice or base station from which they re-ceive service.

§ 22.705 Rural radiotelephone systemconfiguration.

Stations in the Rural RadiotelephoneService are authorized to communicateas follows:

(a) Rural subscriber stations are au-thorized to communicate with andthrough the central office station(s)

with which they are associated. How-ever, where the establishment of a cen-tral office station in this service is notfeasible, rural subscriber stations maybe authorized to communicate withand through a base station in the Pag-ing and Radiotelephone Service.

(b) Central office stations may com-municate only with rural subscriberstations.

(c) Interoffice stations may commu-nicate only with other interoffice sta-tions.

§ 22.709 Rural radiotelephone serviceapplication requirements.

In addition to information requiredby Subparts B and D of this part, FCCForm 601 applications for authorizationto operate a station in the Rural Ra-diotelephone Service must contain theapplicable supplementary informationdescribed in this section.

(a) Interoffice stations. Applicationsfor authority to operate a new inter-office station or to add transmitters orpoints of communications to an exist-ing interoffice station must contain anexhibit demonstrating that the re-quested facilities would be used onlyfor interconnecting central office sta-tions and explaining why the use of al-ternative existing radio or wire facili-ties is not feasible.

(b) Technical information required. Foreach transmitter in the Rural Radio-telephone Service, the following infor-mation is required by FCC Form 601:

(1) Location description: city; coun-ty; state; geographic coordinates cor-rect to ±1 second, the datum used(NAD83), site elevation above mean sealevel, proximity to adjacent marketboundaries and international borders;

(2) Antenna height to tip aboveground level, the height of the centerof radiation of the antenna above theaverage terrain, the height of the an-tenna center of radiation above the av-erage elevation of the terrain alongeach of the 8 cardinal radials, antennagain in the maximum lobe, the beam-width of the maximum lobe of the an-tenna, a polar plot of the horizontalgain pattern of the antenna, the elec-tric field polarization of the wave emit-ted by the antenna when installed asproposed;


177


(c) No landline facilities. Each applica-tion for a central office station mustcontain an exhibit showing that it isimpracticable to provide the requiredcommunication service by means oflandline facilities.

(d) Interference exhibit. Applicationsfor central office, interoffice and relaystations must include an exhibit iden-tifying co-channel facilities and dem-onstrating, in accordance with § 22.715that the proposed station, if author-ized, would not cause interference tothe service of those co-channel facili-ties. This exhibit must:

(1) For UHF channels, identify eachprotected transmitter located within108 kilometers (67 miles) of the pro-posed transmitter in directions inwhich the distance to the interferingcontour is 76.4 kilometers (47.5 miles)or less, and within 178 kilometers (111miles) of the proposed transmitter indirections in which the distance to theinterfering contour exceeds 76.4 kilo-meters (47.5 miles); and identify eachprotected Basic Exchange TelephoneRadio System central office trans-mitter in the rural RadiotelephoneService within 231 kilometers (144miles).

(2) For VHF channels, identify eachprotected transmitter located within135 kilometers (84 miles) of the pro-posed transmitter in directions inwhich the distance to the interferingcontour is 93.3 kilometers (58 miles) orless, and within 178 kilometers (111miles) of the proposed transmitter indirections in which the distance to theinterfering contour exceeds 93.3 kilo-meters (58 miles).

(3) For each protected transmitteridentified, show the results of distancecalculations indicating that therewould be no overlap of service andinterfering contours, or alternatively,indicate that the licensee of or appli-cant for the protected transmitter and/or the applicant, as required, haveagreed in writing to accept any inter-ference resulting from operation of theproposed transmitter.

(e) Blocking probability. Applicationsfor authority to operate basic exchangetelephone radio systems (BETRS) thatrequest more than two channel pairsmust include an exhibit containing cal-culations showing that the number of

channels requested is the minimumnecessary to achieve the required gradeof service (in terms of blocking prob-ability), and that there will be ade-quate spectrum available in the area tomeet realistic estimates of current andfuture demand for paging, two-way mo-bile and rural radiotelephone services(see § 22.719(c)). Applications for au-thority to operate new conventionalrural radiotelephone systems that re-quest more than two channel pairsmust include a statement explainingwhy BETRS technology is not beingproposed.

(f) Antenna Information. Upon requestby an applicant, licensee, or the Com-mission, a part 22 applicant or licenseeof whom the request is made shall fur-nish the antenna type, model, and thename of the antenna manufacturer tothe requesting party within ten (10)days of receiving written notification.

[59 FR 59507, Nov. 17, 1994, as amended at 59FR 59954, Nov. 21, 1994; 63 FR 68948, Dec. 14,1998; 64 FR 53240, Oct. 1, 1999]

EFFECTIVE DATE NOTES: 1. At 63 FR 68948,Dec. 14, 1998, § 22.709 was amended in part byrevising paragraph (b)(2). This section con-tains information collection and record-keeping requirements and will not becomeeffective until approval has been given bythe Office of Management and Budget.

2. At 64 FR 53240, Oct. 1, 1999, § 22.709 wasamended by adding paragraph (f). This para-graph contain information collection andrecordkeeping requirements and will not be-come effective until approval has been givenby the Office of Management and Budget.

§ 22.711 Provision of information toapplicants.

Licensees in the Rural Radio Servicemust, upon request by a bona-fide pro-spective applicant, provide to such ap-plicant the information required by§ 22.709 regarding the portion of the li-censee’s operations that potentiallycould affect, or be affected by, the pro-spective applicant’s proposed station,if such information is not already onfile with the FCC. This informationmust be provided to the bona-fide pro-spective applicant no later than 30 daysafter receipt of the information re-quest.

[59 FR 59954, Nov. 21, 1994]


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47 CFR Ch. I (10–1–01 Edition)§ 22.713

§ 22.713 Construction period for ruralradiotelephone stations.

The construction period for stationsin the Rural Radiotelephone Service is12 months.

§ 22.715 Technical channel assignmentcriteria for rural radiotelephonestations.

Channels are assigned in the RuralRadiotelephone Service using the pro-cedures in § 22.567.

§ 22.717 Procedure for mutually exclu-sive applications in the Rural Ra-diotelephone Service.

Mutually exclusive applications inthe Rural Radiotelephone Service, in-cluding those that are mutually exclu-sive with applications in the Pagingand Radiotelephone Service, are proc-essed in accordance with § 22.131 andwith this section.

(a) Applications in the Rural Radio-telephone Service may be mutually ex-clusive with applications in the Pagingand Radiotelephone Service if theyseek authorization to operate facilitieson the same channel in the same area,or the technical proposals are other-wise in conflict. See § 22.567.

(b) A modification application in ei-ther service filed on the earliest filingdate may cause all later-filed mutuallyexclusive applications of any type ineither service to be ‘‘cut off’’ (excludedfrom a same-day filing group) and dis-missed, pursuant to § 22.131(c)(3)(ii) and§ 22.131(c)(4).


§ 22.719 Additional channel policy forrural radiotelephone stations.

The rules in this section govern theprocessing of applications for centraloffice stations that request a rural ra-diotelephone channel pair when the ap-plicant has applied for or been grantedan authorization for other rural radio-telephone channel pairs in the samearea. The general policy of the FCC isto promote effective use of the spec-trum by encouraging the use of spec-trum-efficient technologies (i.e.BETRS) and by assigning the minimumnumber of channels necessary to pro-vide service.

(a) Transmitters in same area. Any cen-tral office station transmitter on anychannel pair listed in § 22.725 is consid-ered to be in the same area as anothercentral office station transmitter onany other channel pair listed in § 22.725if the transmitting antennas are lo-cated within 10 kilometers (6.2 miles)of each other.

(b) Initial channel pairs. The FCC doesnot assign more than two channel pairsfor new central office stations, unlessthere are more than eight rural sub-scriber stations to be served. Stationsare considered to be new if there are noauthorized transmitters on any chan-nel listed in § 22.725 controlled by theapplicant in the same geographic area.

(c) Additional channel pairs. Applica-tions for central office station trans-mitters to be located in the same areaas an authorized central office stationcontrolled by the applicant, but to op-erate on a different channel pair(s) areconsidered as requests for additionalchannel pair(s) for the authorized cen-tral office station. The FCC may grantapplications for additional channelpairs provided that the need for eachadditional channel pair (after the firsttwo) is established and fully justifiedin terms of achieving the requiredgrade of service (blocking probability),and the applicant demonstrates thatthere will still be adequate spectrumavailable in the area to meet realisticestimates of current and future de-mand for paging, two-way mobile andrural radiotelephone services. In thecase of conventional rural radio-telephone central office stations, anexplanation must be provided as towhy BETRS technology is not beingused instead of additional channelpairs.

CONVENTIONAL RURAL RADIOTELEPHONESTATIONS

§ 22.721 Geographic area authoriza-tions.

Eligible persons may apply for a pag-ing geographic area authorization inthe Rural Radiotelephone Service, onthe channel pairs listed in § 22.725, byfollowing the procedures and require-ments set forth in § 22.503 for paging ge-ographic area authorizations.

[62 FR 11636, Mar. 12, 1997]


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§ 22.723 Secondary site-by-site author-izations.

Authorizations for new facilities (in-cluding new sites and additional chan-nel pairs for existing sites) in the RuralRadiotelephone Service (includingBETRS facilities) may be granted afterMay 12, 1997 only on the condition thatsuch authorizations shall be secondaryto any existing or future co-channelpaging geographic area authorizationin the Paging and RadiotelephoneService or the Rural RadiotelephoneService. If the paging geographic arealicensee notifies the Rural Radio-telephone Service licensee that oper-ation of a co-channel secondary facil-ity must be discontinued because itmay cause interference to existing orplanned facilities, the Rural Radio-telephone Service licensee must dis-continue operation of that facility onthe particular channel pair involved nolater than six months after such no-tice.

[62 FR 11636, Mar. 12, 1997]

§ 22.725 Channels for conventionalrural radiotelephone stations.

The following channels are allocatedfor paired assignment to transmittersthat provide conventional rural radio-telephone service. These channels maybe assigned for use by central office orrural subscriber stations as indicated,and interoffice stations. These chan-nels may be assigned also for use byrelay stations in systems where itwould be impractical to provide ruralradiotelephone service without the useof relay stations. All channels have abandwidth of 20 kHz and are designatedby their center frequencies in Mega-Hertz.

Centraloffice

Rural sub-scriber

Centraloffice

Rural sub-scriber

VHF Channels

152.03 ........ 158.49 152.57 ........ 157.83152.06 ........ 158.52 152.60 ........ 157.86152.09 ........ 158.55 152.63 ........ 157.89152.12 ........ 158.58 152.66 ........ 157.92152.15 ........ 158.61 152.69 ........ 157.95152.18 ........ 158.64 152.72 ........ 157.98152.21 ........ 158.67 152.75 ........ 158.01152.51 ........ 157.77 152.78 ........ 158.04152.54 ........ 157.80 152.81 ........ 158.07

Centraloffice

Rural sub-scriber

Centraloffice

Rural sub-scriber

UHF Channels

454.025 ...... 459.025 454.350 ...... 459.350454.050 ...... 459.050 454.375 ...... 459.375454.075 ...... 459.075 454.400 ...... 459.400454.100 ...... 459.100 454.425 ...... 459.425454.125 ...... 459.125 454.450 ...... 459.450454.150 ...... 459.150 454.475 ...... 459.475454.175 ...... 459.175 454.500 ...... 459.500454.200 ...... 459.200 454.525 ...... 459.525454.225 ...... 459.225 454.550 ...... 459.550454.250 ...... 459.250 454.575 ...... 459.575454.275 ...... 459.275 454.600 ...... 459.600454.300 ...... 459.300 454.625 ...... 459.625454.325 ...... 459.325 454.650 ...... 459.650

(a) The channels listed in this sectionare also allocated for assignment in thePaging and Radiotelephone Service.

(b) In Puerto Rico and the Virgin Is-lands, channels in the 154.04–154.46 MHzand 161.40–161.85 MHz frequency rangesmay be assigned to transmitters pro-viding rural radiotelephone service;channels in these ranges are also allo-cated for assignment in the Inter-national Fixed Public and Aero-nautical Fixed radio services.

(c) In Alaska, channels 42.40, 44.10,44.20 and 45.90 MHz are allocated for as-signment to transmitters providingrural radiotelephone service using me-teor burst propagation modes, subjectto the provisions of § 22.729.

[59 FR 59507, Nov. 17, 1994; 60 FR 9891, Feb. 22,1995]

§ 22.727 Power limits for conventionalrural radiotelephone transmitters.

The transmitting power of transmit-ters operating on the channels listed in§ 22.725 must not exceed the limits inthis section.

(a) Maximum ERP. The effective radi-ated power (ERP) of central office andrural subscriber station transmittersmust not exceed the applicable limitsin this paragraph under any cir-cumstances.


152–153 ............................................................. 1400157–159 ............................................................. 150454–455 ............................................................. 3500459–460 ............................................................. 150

(b) Basic power limit. Except as pro-vided in paragraph (d) of this section,


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47 CFR Ch. I (10–1–01 Edition)§ 22.729

the ERP of central office station trans-mitters must not exceed 500 Watts.

(c) Height-power limits. Except as pro-vided in paragraph (d) of this section,the ERP of central office station trans-mitters must not exceed the amountthat would result in an average dis-tance to the ‘‘service contour’’ of 41.6kilometers (26 miles) for VHF channelsor 30.7 kilometers (19 miles) for UHFchannels. The average distance to the‘‘service contour’’ is calculated by tak-ing the arithmetic mean of the dis-tances determined using the proceduresspecified in § 22.567 for the eight car-dinal radial directions, excluding car-dinal radial directions for which 90% ormore of the distance so calculated isover water.

(d) Encompassed interfering contourareas. Central office station transmit-ters are exempt from the basic powerand height-power limits of this sectionif the area within their interfering con-tours is totally encompassed by theinterfering contours of operating co-channel central office station trans-mitters controlled by the same li-censee. For the purpose of this para-graph, operating transmitters are au-thorized transmitters that are pro-viding service to subscribers.

(e) Adjacent channel protection. TheERP of central office station transmit-ters must not exceed 500 Watts if theytransmit on channel 454.025 MHz andare located less than 7 kilometers (4.3miles) from any Private Radio Servicesstation receiving on adjacent channel454.000 MHz.

(f) Meteor burst stations. The trans-mitter output power for stations usingmeteor burst propagation modes mustnot exceed 2000 Watts for central officestations and 500 Watts for rural sub-scriber stations.

§ 22.729 Meteor burst propagationmodes.

The rules in this section govern sta-tions in this service that use meteorburst propagation modes to providerural radiotelephone service in Alaska.

(a) Channel assignments. The channels42.40 and 44.10 MHz may be assigned tocentral office stations and rural sub-scriber stations, respectively, on a pri-mary basis. The channels 44.20 and 45.90MHz may be assigned to central office

and rural subscriber stations, respec-tively, on a secondary basis to PrivateRadio services stations using meteorburst propagation modes.

(b) Transmitting power. The trans-mitter output power must not exceed2000 Watts for central office stationsand 500 Watts for rural subscriber sta-tions.

(c) Station locations. Co-channel cen-tral office stations of different licens-ees must be at least 241 kilometers (150miles) apart. A rural subscriber stationand a central office station of differentlicensees must be at least 241 kilo-meters (150 miles) apart if the ruralsubscriber stations of the different li-censees operate on the same channel.The FCC may waive the requirementsof this paragraph if the affected usersagree to a cooperative sharing arrange-ment.

(d) Emission type. Only type F1Demission is authorized.

(e) Bandwidth. The authorized band-width is 20 kHz.

(f) Station identification. Station iden-tification is required only for the cen-tral office station.

(g) Interference. Stations authorizedunder the provisions of this sectionmust not cause harmful interference tothe service of stations in other radioservices.

(h) Developmental authorization. Me-teor burst communications systemsmay be authorized under develop-mental authorizations pursuant to§ 22.419.

§ 22.731 Emission limitations.Upon application for multichannel

operation, the FCC may authorizeemission bandwidths wider than thosespecified in § 22.357, provided that spec-trum utilization is equal to or betterthan that achieved by single channeloperation.

§ 22.733 Priority of service.Within the Rural Radiotelephone

Service, the channels listed in § 22.725are intended primarily for use in ren-dition of public message service be-tween rural subscriber and central of-fice stations and to provide radiotrunking facilities between central of-fices. The channels may also be used,however, for the rendition of private


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leased-line communication service pro-vided that such usage would not reduceor impair the extent or quality of com-munication service that would beavailable, in the absence of privateleased-line service, to the general pub-lic receiving or subsequently request-ing public message service from a cen-tral office.

§ 22.737 Temporary fixed stations.

The FCC may, upon proper applica-tion therefor, authorize the construc-tion and operation of temporary fixedstations. Temporary fixed stations areto be used as rural subscriber, inter-office, or central office stations whenthose stations are unavailable or whenservice from those stations is disruptedby storms or emergencies.

(a) Six month limitation. If it is nec-essary for a temporary fixed station toremain at the same location for morethan six months, the licensee of thatstation must apply for authorization tooperate the station at the specific loca-tion at least 30 days before the end ofthe six month period.

(b) International communications.Communications between the UnitedStates and Canada or Mexico must notbe carried using a temporary fixed sta-tion without prior authorization fromthe FCC. Licensees desiring to carrysuch communications should apply suf-ficiently in advance to allow for thetime necessary to coordinate with Can-ada or Mexico.

BASIC EXCHANGE TELEPHONE RADIO

SYSTEMS

§ 22.757 Channels for basic exchangetelephone radio systems.

The channels listed in § 22.725 are alsoallocated for paired assignment totransmitters in basic exchange tele-phone radio systems. In addition, thefollowing channels are allocated forpaired assignment to transmitters inbasic exchange telephone radio sys-tems. All channels have a bandwidth of20 kHz and are designed by their centerfrequencies in MegaHertz.

UHF CHANNELS—SHARED WITH PRIVATE RADIOSERVICES

Rural sub-scriber

Centraloffice

Rural sub-scriber

Centraloffice

816.2375 ....... 861.2375 816.1125 ...... 861.1125817.2375 ....... 862.2375 817.1125 ...... 862.1125818.2375 ....... 863.2375 818.1125 ...... 863.1125819.2375 ....... 864.2375 819.1125 ...... 864.1125820.2375 ....... 865.2375 820.1125 ...... 865.1125

816.2125 ....... 861.2125 816.0875 ...... 861.0875817.2125 ....... 862.2125 817.0875 ...... 862.0875818.2125 ....... 863.2125 818.0875 ...... 863.0875819.2125 ....... 864.2125 819.0875 ...... 864.0875820.2125 ....... 865.2125 820.0875 ...... 865.0875

816.1875 ....... 861.1875 816.0625 ...... 861.0625817.1875 ....... 862.1875 817.0625 ...... 862.0625818.1875 ....... 863.1875 818.0625 ...... 863.0625819.1875 ....... 864.1875 819.0625 ...... 864.0625820.1875 ....... 865.1875 820.0625 ...... 865.0625

816.1625 ....... 861.1625 816.0375 ...... 861.0375817.1625 ....... 862.1625 817.0375 ...... 862.0375818.1625 ....... 863.1625 818.0375 ...... 863.0375819.1625 ....... 864.1625 819.0375 ...... 864.0375820.1625 ....... 865.1625 820.0375 ...... 865.0375

816.1375 ....... 861.1375 816.0125 ...... 861.0125817.1375 ....... 862.1375 817.0125 ...... 862.0125818.1375 ....... 863.1375 818.0125 ...... 863.0125819.1375 ....... 864.1375 819.0125 ...... 864.0125820.1375 ....... 865.1375 820.0125 ...... 865.0125

(a) Channels are assigned in groups,as listed in this section.

(b) Channel groups in the 816–865 Mhzfrequency range are not assigned toRural Radio Service stations located:

(1) Within 161 kilometers (100 miles)of the borders of the largest 54 MSAs(see § 22.909).

(2) North of Line A or East of Line C;or,

(3) Within 110 kilometers (68 miles) ofthe Mexican border.

(c) Channel groups in the 816–865 MHzfrequency range are not assigned tocentral office stations located within113 kilometers (70 miles) of anotherstation authorized to operate on thesame channels or on channels with cen-ter frequencies offset by 12.5 kHz.

(d) Technical parameters governingthe use of these channels are containedin subpart S of part 90 of this chapter.

(e) The Common Carrier Bureau co-ordinates the availability of channelsin the 816–865 MHz frequency rangewith the Private Radio Bureau.

[59 FR 59507, Nov. 17, 1994; 60 FR 9891, Feb. 22,1995]


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47 CFR Ch. I (10–1–01 Edition)§ 22.759

§ 22.759 Power limit for BETRS.

The effective radiated power of cen-tral office and rural subscriber stationtransmitters used in basic exchangetelephone radio systems must not ex-ceed the limits in this section.

(a) Maximum ERP. The effective radi-ated power (ERP) of central office andrural subscriber station transmittersin BETRS must not exceed the applica-ble limits in this paragraph under anycircumstances.


152–153 ............................................................. 1400157–159 ............................................................. 150454–455 ............................................................. 3500459–460 ............................................................. 150

(b) Height-power limit. The ERP ofcentral office stations in BETRS mustnot exceed the amount calculated asfollows:

ERPw=557,418÷hm2where ERPw is the effective radiated

power in Wattshm is the average (eight cardinal radial)

antenna height above average ter-rain in meters

Subpart G—Air-GroundRadiotelephone Service

§ 22.801 Scope.

The rules in this subpart govern thelicensing and operation of public air-ground radiotelephone stations andsystems. The licensing and operation ofthese stations and systems is also sub-ject to rules elsewhere in this part thatapply generally to the Public Mobileservices. In case of conflict, however,the rules in this subpart govern.

§ 22.803 Air-ground application re-quirements.

In addition to information requiredby Subparts B and D of this part, FCCForm 601 applications for authorizationto operate an air-ground station or sys-tem in the Air-ground RadiotelephoneService must contain the applicablesupplementary information describedin this section.

(a) Administrative information. The fol-lowing information is required by FCCForm 601.

(1) The number of transmitter sitesfor which authorization is requested.

(2) The call sign(s) of other facilitiesin the same area that are ultimatelycontrolled by the real party in interestto the application.

(b) Technical information required. Foreach transmitter in the Rural Radio-telephone Service, the following infor-mation is required by FCC Form 601:

(1) Location description: city; coun-ty; state; geographic coordinates cor-rect to ±1 second, the datum used(NAD83), site elevation above mean sealevel, proximity to adjacent marketboundaries and international borders;

(2) Antenna height to tip aboveground level, the height of the centerof radiation of the antenna above theaverage terrain, the height of the an-tenna center of radiation above the av-erage elevation of the terrain alongeach of the 8 cardinal radials, antennagain in the maximum lobe, the beam-width of the maximum lobe of the an-tenna, a polar plot of the horizontalgain pattern of the antenna, the elec-tric field polarization of the wave emit-ted by the antenna when installed asproposed;

(3) The center frequency of eachchannel requested, the maximum effec-tive radiated power, any non-standardemission types to be used, includingbandwidth and modulation type andthe transmitter classification (e.g.ground or signaling).

(c) Upon request by an applicant, li-censee, or the Commission, a part 22applicant or licensee of whom the re-quest is made shall furnish the antennatype, model, and the name of the an-tenna manufacturer to the requestingparty within ten (10) days of receivingwritten notification.


EFFECTIVE DATE NOTES: 1. At 63 FR 68948,Dec. 14, 1998, § 22.803 was amended in part byrevising paragraph (b)(2). This paragraphcontains information collection require-ments and will not become effective until ap-proval has been given by the Office of Man-agement and Budget.

2. At 64 FR 53240, Oct. 1, 1999, § 22.803 wasamended by adding paragraph (c). This para-graph contains information collection re-quirements and will not become effective


183


until approval has been given by the Office ofManagement and Budget.

GENERAL AVIATION AIR-GROUNDSTATIONS

§ 22.805 Channels for general aviationair-ground service.

The following channels are allocatedfor the provision of radiotelephoneservice to airborne mobile subscribersin general aviation aircraft. Thesechannels have a bandwidth of 20 kHzand are designated by their center fre-quencies in MegaHertz.

SIGNALLING CHANNEL PAIR

Ground Airborne mobile

454.675 459.675

COMMUNICATION CHANNEL PAIRS

Ground Airborne mobile

454.700 459.700454.725 459.725454.750 459.750454.775 459.775454.800 459.800454.825 459.825454.850 459.850454.875 459.875454.900 459.900454.925 459.925454.950 459.950454.975 459.975

(a) Channel 454.675 MHz is assigned toeach and every ground station, to beused only for automatically alertingairborne mobile stations of incomingcalls.

(b) All airborne mobile channels areassigned for use by each and every air-borne mobile station.

§ 22.809 Transmitting power limits.The transmitting power of ground

and airborne mobile transmitters oper-ating on the channels listed in § 22.805must not exceed the limits in this sec-tion.

(a) Ground station transmitters. The ef-fective radiated power of ground sta-tions must not exceed 100 Watts andmust not be less than 50 Watts, exceptas provided in § 22.811.

(b) Airborne mobile transmitters. Thetransmitter power output of airbornemobile transmitters must not exceed 25Watts and must not be less than 4Watts.

§ 22.811 Idle tone.Whenever a ground station trans-

mitter authorized to transmit on anyof the communications channels listedin § 22.805 is available for service but isnot providing service, a modulated sig-nal must be continuously transmittedon the communication channel as-signed to that transmitter. While thismodulated signal is transmitted, thetransmitter power must be between 10and 20 dB lower than the normal trans-mitting power.

§ 22.813 Technical channel pair assign-ment criteria.

The rules in this section establishtechnical assignment criteria for thechannel pairs listed in § 22.805. Thesecriteria are intended to provide sub-stantial service volumes over areasthat have significant local and regionalgeneral aviation activity, while main-taining the continuous nationwide in-route coverage of the original geo-graphical layout.

(a) Distance separation for co-channelground stations. The FCC may grant anapplication requesting assignment of acommunication channel pair to a pro-posed ground transmitter only if theproposed antenna location is at least800 kilometers (497 miles) from the an-tenna location of the nearest co-chan-nel ground transmitter in the UnitedStates, its territories and possessions;and 1000 kilometers (621 miles) fromthe antenna location of the nearest co-channel ground transmitter in Canada.

(b) Dispersion. The FCC may grant anapplication requesting assignment of acommunication channel pair to a pro-posed ground transmitter only if thereare no more than five different commu-nication channel pairs already assignedto ground transmitters with antennalocations within a 320 kilometer (199mile) radius of the proposed antennalocation.

§ 22.815 Construction period for gen-eral aviation ground stations.

The construction period (see § 22.142)for general aviation ground stations is12 months.

§ 22.817 Additional channel policies.The rules in this section govern the

processing of applications for authority


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47 CFR Ch. I (10–1–01 Edition)§ 22.819

to operate a ground station trans-mitter on any ground station commu-nication channel listed in § 22.805 whenthe applicant has applied or beengranted an authorization for otherground station communication chan-nels in the same area. The general pol-icy of the FCC is to assign one groundstation communication channel in anarea to a carrier per application cycle,up to a maximum of six ground stationcommunication channels per area.That is, a carrier must apply for oneground station communication chan-nel, receive the authorization, con-struct the station, and notify the FCCof commencement of service before ap-plying for an additional ground stationcommunication channel in that area.

(a) Air-ground transmitters in samearea. Any transmitter on any of theground station channels listed in§ 22.805 is considered to be in the samearea as another transmitter on anyground station channel listed in § 22.805if it is located less than 350 kilometers(217 miles) from that transmitter.

(b) Initial channel. The FCC will notassign more than one ground stationcommunication channel for new groundstations. Ground stations are consid-ered to be new if there are no author-ized ground station transmitters onany channel listed in § 22.805 controlledby the applicant in the same area.

(c) Additional channel. Applicationsfor ground transmitters to be locatedin the same area as an authorizedground station controlled by the appli-cant, but to operate on a differentground station communication chan-nel, are considered as requesting an ad-ditional channel for the authorized sta-tion.

(d) Amendment of pending application.If the FCC receives and accepts for fil-ing an application for a ground stationtransmitter to be located in the samearea as a ground station transmitterproposed in a pending application pre-viously filed by the applicant, but on adifferent ground station communica-tion channel, the subsequent applica-tion is treated as a major amendmentto change the technical proposal of theprior application. The filing date ofany application so amended is the datethe FCC received the subsequent appli-cation.

(e) Dismissal of premature applicationsfor additional channel. If the FCC re-ceives an application requesting an ad-ditional ground station communicationchannel for an authorized ground sta-tion prior to receiving notificationthat the station is providing service tosubscribers on the authorized chan-nel(s), the FCC may dismiss that appli-cation without prejudice.

(f) Dismissal of applications for seventhchannel. If the FCC receives an applica-tion requesting an additional groundstation communication channel for anauthorized ground station whichwould, if granted, result in that stationbeing assigned more than six groundstation communication channels in thesame area, the FCC may dismiss thatapplication without prejudice.

§ 22.819 AGRAS compatibility require-ment.

Except as provided in paragraph (a)of this section, stations transmittingon the channels listed in § 22.805 mustoperate in compliance with the tech-nical and operational requirementscontained in the document, ‘‘TechnicalReference, Air-ground RadiotelephoneAutomated Service (AGRAS), SystemOperation and Equipment Characteris-tics’’, dated April 12, 1985.

(a) Until January 1, 1996, stationsmay continue to operate in compliancewith the previous standard adopted inDocket 16073.

(b) Copies of the document referencedin this section may be obtained fromthe FCC’s copying contractor.

COMMERCIAL AVIATION AIR-GROUND

SYSTEMS

§ 22.857 Channel plan for commercialaviation air-ground systems.

The 849–851 and 894–896 MHz fre-quency ranges are allocated for blockassignment to nationwide air-groundsystems providing radiotelephone serv-ice to passengers aboard commercialaircraft. These frequency ranges mayalso be used to provide service to per-sons in general aviation or other air-craft. Ground stations transmit onchannels in the 849–851 MHz range. Air-borne mobile stations transmit on


185


channels in the 894–896 MHz range. Sys-tems using these channels must con-form to the channel plan described inthis section.

(a) Channel blocks. The spectrum allo-cated for commercial aviation air-ground systems is divided into tenchannel blocks, numbered 1 through 10.All ground stations in each geo-graphical area must use the same chan-nel block for communication with air-borne mobile stations in flight, in ac-cordance with § 22.859.

(1) Each channel block is subdividedinto 6 control channels labeled P–1through P–6, and 29 communicationschannels labeled C–1 through C–29.

(2) The authorized channelbandwidths are as follows:

(i) Each control channel has a band-width of 3.2 kHz.

(ii) Each communications channelhas a bandwidth of 6 kHz.

(b) The center frequencies (in Mega-Hertz) of the communications and con-trol channels are listed in Tables G–1and G–2 of this section.

TABLE G–1.—GROUND STATION CHANNELS

Channel block

10 9 8 7 6 5 4 3 2 1

C–1 849.0055 849.2055 849.4055 849.6055 849.8055 850.0055 850.2055 850.4055 850.6055 850.8055C–2 849.0115 849.2115 849.4115 849.6115 849.8115 850.0115 850.2115 850.4115 850.6115 850.8115C–3 849.0175 849.2175 849.4175 849.6175 849.8175 850.0175 850.2175 850.4175 850.6175 850.8175C–4 849.0235 849.2235 849.4235 849.6235 849.8235 850.0235 850.2235 850.4235 850.6235 850.8235C–5 849.0295 849.2295 849.4295 849.6295 849.8295 850.0295 850.2295 850.4295 850.6295 850.8295C–6 849.0355 849.2355 849.4355 849.6355 849.8355 850.0355 850.2355 850.4355 850.6355 850.8355C–7 849.0415 849.2415 849.4415 849.6415 849.8415 850.0415 850.2415 850.4415 850.6415 850.8415C–8 849.0475 849.2475 849.4475 849.6475 849.8475 850.0475 850.2475 850.4475 850.6475 850.8475C–9 849.0535 849.2535 849.4535 849.6535 849.8535 850.0535 850.2535 850.4535 850.6535 850.8535C–

10 849.0595 849.2595 849.4595 849.6595 849.8595 850.0595 850.2595 850.4595 850.6595 850.8595C–

11 849.0655 849.2655 849.4655 849.6655 849.8655 850.0655 850.2655 850.4655 850.6655 855.8655C–

12 849.0715 849.2715 849.4715 849.6715 849.8715 850.0715 850.2715 850.4715 850.6715 850.8715C–

13 849.0775 849.2775 849.4775 849.6775 849.8775 850.0775 850.2775 850.4775 850.6775 850.8775C–

14 849.0835 849.2835 849.4835 849.6835 849.8835 850.0835 850.2835 850.4835 850.6835 850.8835C–

15 849.0895 849.2895 849.4895 849.6895 849.8895 850.0895 850.2895 850.4895 850.6895 850.8895C–

16 849.0955 849.2955 849.4955 849.6955 849.8955 850.0955 850.2955 850.4955 850.6955 850.8955C–

17 849.1015 849.3015 849.5015 849.7015 849.9015 850.1015 850.3015 850.5015 850.7015 850.9015C–

18 849.1075 849.3075 849.5075 849.7075 849.9075 850.1075 850.3075 850.5075 850.7075 850.9075C–

19 849.1135 849.3135 849.5135 849.7135 849.9135 850.1135 850.3135 850.5135 850.7135 850.9135C–

20 849.1195 849.3195 849.5195 849.7195 849.9195 850.1195 850.3195 850.5195 850.7195 850.9195C–

21 849.1255 849.3255 849.5255 849.7255 849.9255 850.1255 850.3255 850.5255 850.7255 850.9255C–

22 849.1315 849.3315 849.5315 849.7315 849.9315 850.1315 850.3315 850.5315 850.7315 850.9315C–

23 849.1375 849.3375 849.5375 849.7375 849.9375 850.1375 850.3375 850.5375 850.7375 850.9375C–

24 849.1435 849.3435 849.5435 849.7435 849.9435 850.1435 850.3435 850.5435 850.7435 850.9435C–

25 849.1495 849.3495 849.5495 849.7495 849.9495 850.1495 850.3495 850.5495 850.7495 850.9495C–

26 849.1555 849.3555 849.5555 849.7555 849.9555 850.1555 850.3555 850.5555 850.7555 850.9555C–

27 849.1615 849.3615 849.5615 849.7615 849.9615 850.1615 850.3615 850.5615 850.7615 850.9615C–

28 849.1675 849.3675 849.5675 849.7675 849.9675 850.1675 850.3675 850.5675 850.7675 850.9675C–

29 849.1735 849.3735 849.5735 849.7735 849.9735 850.1735 850.3735 850.5735 850.7735 850.9735P–6 849.1813 849.3813 849.5813 849.7813 849.9813 850.1813 850.3813 850.5813 850.7813 850.9813P–5 849.1845 849.3845 849.5845 849.7845 849.9845 850.1845 850.3845 850.5845 850.7845 850.9845P–4 849.1877 849.3877 849.5877 849.7877 849.9877 850.1877 850.3877 850.5877 850.7877 850.9877


186

47 CFR Ch. I (10–1–01 Edition)§ 22.857

TABLE G–1.—GROUND STATION CHANNELS—Continued

Channel block

10 9 8 7 6 5 4 3 2 1

P–3 849.1909 849.3909 849.5909 849.7909 849.9909 850.1909 850.3909 850.5909 850.7909 850.9909P–2 849.1941 849.3941 849.5941 849.7941 849.9941 850.1941 850.3941 850.5941 850.7941 850.9941P–1 849.1973 849.3973 849.5973 849.7973 849.9973 850.1973 850.3973 850.5973 850.7973 850.9973

TABLE G–2.—AIRBORNE MOBILE STATION CHANNELS

Channel block

10 9 8 7 6 5 4 3 2 1

C–1 894.0055 894.2055 894.4055 894.6055 894.8055 895.0055 895.2055 895.4055 895.6055 895.8055C–2 894.0115 894.2115 894.4115 894.6115 894.8115 895.0115 895.2115 895.4115 895.6115 895.8115C–3 894.0175 894.2175 894.4175 894.6175 894.8175 895.0175 895.2175 895.4175 895.6175 895.8175C–4 894.0235 894.2235 894.4235 894.6235 894.8235 895.0235 895.2235 895.4235 895.6235 895.8235C–5 894.0295 894.2295 894.4295 894.6295 894.8295 895.0295 895.2295 895.4295 895.6295 895.8295C–6 894.0355 894.2355 894.4355 894.6355 894.8355 895.0355 895.2355 895.4355 895.6355 895.8355C–7 894.0415 894.2415 894.4415 894.6415 894.8415 895.0415 895.2415 895.4415 895.6415 895.8415C–8 894.0475 894.2475 894.4475 894.6475 894.8475 895.0475 895.2475 895.4475 895.6475 895.8475C–9 894.0535 894.2535 894.4535 894.6535 894.8535 895.0535 895.2535 895.4535 895.6535 895.8535C–

10 894.0595 894.2595 894.4595 894.6595 894.8595 895.0595 895.2595 895.4595 895.6595 895.8595C–

11 894.0655 894.2655 894.4655 894.6655 894.8655 895.0655 895.2655 895.4655 895.6655 895.8655C–

12 894.0715 894.2715 894.4715 894.6715 894.8715 895.0715 895.2715 895.4715 895.6715 895.8715C–

13 894.0775 894.2775 894.4775 894.6775 894.8775 895.0775 895.2775 895.4775 895.6775 895.8775C–

14 894.0835 894.2835 894.4835 894.6835 894.8835 895.0835 895.2835 895.4835 895.6835 895.8835C–

15 894.0895 894.2895 894.4895 894.6895 894.8895 895.0895 895.2895 895.4895 895.6895 895.8895C–

16 894.0955 894.2955 894.4955 894.6955 894.8955 895.0955 895.2955 895.4955 895.6955 895.8955C–

17 894.1015 894.3015 894.5015 894.7015 894.9015 895.1015 895.3015 895.5015 895.7015 895.9015C–

18 894.1075 894.3075 894.5075 894.7075 894.9075 895.1075 895.3075 895.5075 895.7075 895.9075C–

19 894.1135 894.3135 894.5135 894.7135 894.9135 895.1135 895.3135 895.5135 895.7135 895.9135C–

20 894.1195 894.3195 894.5195 894.7195 894.9195 895.1195 895.3195 895.5195 895.7195 895.9195C–

21 894.1255 894.3255 894.5255 894.7255 894.9255 895.1255 895.3255 895.5255 895.7255 895.9255C–

22 894.1315 894.3315 894.5315 894.7315 894.9315 895.1315 895.3315 895.5315 895.7315 895.9315C–

23 894.1375 894.3375 894.5375 894.7375 894.9375 895.1375 895.3375 895.5375 895.7375 895.9375C–

24 894.1435 894.3435 894.5435 894.7435 894.9435 895.1435 895.3435 895.5435 895.7435 895.9435C–

25 894.1495 894.3495 894.5495 894.7495 894.9495 895.1495 895.3495 895.5495 895.7495 895.9495C–

26 894.1555 894.3555 894.5555 894.7555 894.9555 895.1555 895.3555 895.5555 895.7555 895.9555C–

27 894.1615 894.3615 894.5615 894.7615 894.9615 895.1615 895.3615 895.5615 895.7615 895.9615C–

28 894.1675 894.3675 894.5675 894.7675 894.9675 895.1675 895.3675 895.5675 895.7675 895.9675C–

29 894.1735 894.3735 894.5735 894.7735 894.9735 895.1735 895.3735 895.5735 895.7735 895.9735P–6 894.1813 894.3813 894.5813 894.7813 894.9813 895.1813 895.3813 895.5813 895.7813 895.9813P–5 894.1845 894.3845 894.5845 894.7845 894.9845 895.1845 895.3845 895.5845 895.7845 895.9845P–4 894.1877 894.3877 894.5877 894.7877 894.9877 895.1877 895.3877 895.5877 895.7877 895.9877P–3 894.1909 894.3909 894.5909 894.7909 894.9909 895.1909 895.3909 895.5909 895.7909 895.9909P–2 894.1941 894.3941 894.5941 894.7941 894.9941 895.1941 895.3941 895.5941 895.7941 895.9941P–1 894.1973 894.3973 894.5973 894.7973 894.9973 895.1973 895.3973 895.5973 895.7973 895.9973


187


§ 22.859 Geographical channel blocklayout.

Except as provided in paragraphs (a)and (b) of this section, each ground sta-tion location must be within 1.6 kilo-meters (one mile) of one of the loca-tions listed in this paragraph. Thechannel block allotted for each loca-tion must be used to provide service toairborne mobile stations in flight andmay be used to provide service to air-borne mobile stations on the ground.

NOTE: All geographic coordinates are ref-erenced to North American Datum 1983(NAD83).

Location N. latitude W. longitudeChan-

nelblock

ALASKA:Anchorage ........ 61°11′04″ 149°54′50″ 8Cordova ............ 60°29′38″ 145°28′17″ 5Ketchikan .......... 55°21′10″ 131°42′20″ 5Juneau .............. 58°21′17″ 134°34′36″ 4Sitka .................. 57°03′03″ 135°20′23″ 7Yakutat ............. 59°32′22″ 139°44′10″ 2

ALABAMA:Birmingham ...... 33°23′24″ 86°39′59″ 2

ARIZONA:Phoenix ............. 33°35′39″ 112°05′15″ 4Winslow ............ 35°01′17″ 110°43′04″ 6

ARKANSAS:Pine Bluff .......... 34°10′56″ 91°56′18″ 8

CALIFORNIA:Burbank ............ 34°11′44″ 118°21′31″ 4Blythe ................ 33°36′39″ 114°42′27″ 10Los Angeles ...... 33°56′45″ 118°23′06″ 3Oakland ............ 37°51′54″ 122°13′15″ 1Red Bluff ........... 40°04′34″ 122°10′38″ 8San Francisco .. 37°41′15″ 122°26′05″ 6San Jose .......... 37°20′56″ 121°54′01″ 5Visalia ............... 36°19′36″ 119°23′25″ 7

COLORADO:Colorado

Springs .......... 38°44′39″ 104°51′48″ 8Bennet .............. 39°51′24″ 104°35′53″ 1Hayden ............. 40°29′04″ 107°13′10″ 6

FLORIDA:Miami ................ 25°48′28″ 80°16′29″ 4Orlando ............. 28°26′54″ 81°21′59″ 2Tallahassee ...... 30°24′03″ 84°21′18″ 7

GEORGIA:Atlanta .............. 33°39′05″ 84°25′54″ 5St Simons Is-

land ............... 31°09′23″ 81°23′13″ 6HAWAII:

Mauna Kapu ..... 21°24′13″ 158°05′52″ 5IDAHO:

Blackfoot ........... 43°11′34″ 112°21′00″ 8Caldwell ............ 43°38′45″ 116°38′47″ 10

ILLINOIS:Chicago ............ 41°46′49″ 87°45′20″ 3Kewanee ........... 41°12′05″ 89°57′33″ 5Schiller Park ..... 41°57′18″ 87°52′57″ 2

INDIANA:Fort Wayne ....... 40°59′16″ 85°11′31″ 7

IOWA:Des Moines ...... 41°31′58″ 93°38′55″ 1


nelblock

KANSAS:Garden City ...... 37°59′35″ 100°54′06″ 3Wichita .............. 37°37′24″ 97°27′16″ 7

KENTUCKY:Fairdale ............. 38°04′48″ 85°47′33″ 6

LOUISIANA:Kenner .............. 30°00′28″ 90°13′49″ 3Shreveport ........ 32°27′10″ 93°49′39″ 5

MASSACHUSETTS:Boston .............. 42°23′15″ 71°01′01″ 7

MICHIGAN:Bellville ............. 42°12′17″ 83°29′09″ 8Flint ................... 42°58′21″ 83°44′22″ 9Sault Saint

Marie ............. 46°28′45″ 84°21′31″ 6MINNESOTA:

Bloomington ...... 44°51′30″ 93°13′20″ 9MISSISSIPPI:

Meridian ............ 32°19′11″ 88°41′33″ 9MISSOURI:

Kansas City ...... 39°18′13″ 94°41′05″ 6St. Louis ........... 38°42′45″ 90°19′19″ 4Springfield ......... 37°14′28″ 93°22′55″ 9

MONTANA:Lewistown ......... 47°02′56″ 109°27′30″ 5Miles City .......... 46°25′30″ 105°52′32″ 8Missoula ........... 47°01′05″ 114°00′44″ 3

NEBRASKA:Grand Island ..... 40°58′00″ 98°19′12″ 2Ogallala ............ 41°07′11″ 101°45′39″ 4

NEVADA:Las Vegas ........ 36°05′35″ 115°10′28″ 1Reno ................. 39°35′13″ 119°55′56″ 4Tonopah ........... 38°03′43″ 117°13′27″ 9Winnemucca ..... 41°00′39″ 117°46′01″ 3

NEW MEXICO:Alamogordo ...... 32°54′46″ 105°56′43″ 8Albuquerque ..... 35°03′05″ 106°37′15″ 10Aztec ................. 36°48′42″ 107°53′50″ 9Clayton ............. 36°27′29″ 103°11′18″ 5

NEW JERSEY:Woodbury ......... 39°50′01″ 75°09′20″ 3

NEW YORK:E. Elmhurst ....... 40°46′21″ 73°52′40″ 1Schuyler ............ 43°09′09″ 75°07′49″ 2Staten Island .... 40°36′05″ 74°06′34″ 9

NORTH CAROLINA:Greensboro ....... 36°05′54″ 79°56′41″ 9Wilmington ........ 34°16′11″ 77°54′23″ 3

NORTH DAKOTA:Dickinson .......... 46°51′05″ 102°47′37″ 7

OHIO:Pataskala .......... 40°04′05″ 82°42′00″ 1

OKLAHOMA:Warner .............. 35°29′31″ 95°18′26″ 4Woodward ........ 36°24′42″ 99°28′51″ 9

OREGON:Albany ............... 44°38′23″ 123°03′40″ 5Klamath Falls .... 42°06′30″ 121°38′04″ 2Pendleton ......... 45°35′44″ 118°31′06″ 7

PENNSYLVANIA:Coraopolis ........ 40°30′33″ 80°13′26″ 4New Cum-

berland .......... 40°11′30″ 76°52′01″ 8SOUTH CAROLINA:

Charleston ........ 32°54′11″ 80°01′19″ 4SOUTH DAKOTA:

Aberdeen .......... 45°27′21″ 98°25′27″ 6Rapid City ......... 44°02′36″ 103°03′38″ 5

TENNESSEE:


188

47 CFR Ch. I (10–1–01 Edition)§ 22.861


nelblock

Elizabethton ...... 36°26′04″ 82°08′05″ 7Memphis ........... 35°01′44″ 89°56′15″ 10Nashville ........... 36°08′07″ 86°41′39″ 3

TEXAS:Bedford ............. 32°′45″ 97°07′20″ 1Houston ............ 29°54′38″ 95°24′40″ 2Lubbock ............ 33°37′06″ 101°52′16″ 7Monahans ......... 31°34′58″ 102°54′20″ 6

UTAH:Abajo Peak ....... 37°50′21″ 109°27′44″ 7Delta ................. 39°23″15′ 112°30′47″ 2Escalante .......... 37°45′19″ 111°52′30″ 5Green River ...... 38°57′54″ 110°13′43″ 3Salt Lake City ... 40°39′11″ 112°12′09″ 1

VIRGINIA:Arlington ........... 38°52′55″ 77°06′17″ 6

WASHINGTON:Seattle .............. 47°26′07″ 122°17′39″ 4Cheney ............. 47°33′14″ 117°43′39″ 1

WEST VIRGINIA:Charleston ........ 38°19′47″ 81°39′35″ 2

WISCONSIN:Stevens Point ... 44°33′06″ 89°25′27″ 8

WYOMING:Riverton ............ 43°03′37″ 108°27′25″ 9

(a) Carriers authorized to constructand operate air-ground radiotelephonesystems on the channels listed in§ 22.857 may also construct and operatelow power ground stations designed toprovide service to airborne mobile sta-tions on the ground, provided that nointerference is caused to service pro-vided by ground stations located in ac-cordance with the geographical chan-nel block layout or with paragraph (b)of this section. The antenna location ofeach such low power ground stationmay be anywhere that is at least 483kilometers (300 miles) from all antennalocations of ground stations using thesame channel block(s) in accordancewith the geographical channel blocklayout or with paragraph (b) of thissection.

(b) Ground station locations may bemore than 1.61 kilometers (one mile)from all of the locations listed in thissection, provided that they are at least885 kilometers (550 miles) from all an-tenna locations of ground stationsusing the same channel block(s) in ac-cordance with the geographical chan-nel block layout or with this para-graph.

[59 FR 59507, Nov. 17, 1994, as amended at 63FR 68948, Dec. 14, 1998; 65 FR 49203, Aug. 11,2000]


Any appropriate emission type maybe used to provide air-ground radio-telephone service on the channels list-ed in § 22.857, provided that the emis-sion limitations of this section aremet.

(a) Emission mask. The emission maskdescribed in this paragraph applies in-stead of those in § 22.359. The power ofany emission in each of the adjacentchannels must be at least 30 dB belowthe power of the total emission. Thepower of any emission in any of thechannels other than the one being usedand the adjacent channels must be atleast 50 dB below the power of the totalemission.

(b) Airborne mobile transmitters. Thepower of any emission in each of theadjacent channels must not exceed –130dBm at any ground station receiver,assuming a 0 dBi receive antenna. Thepower of any emission in any of thechannels other than the one being usedand the adjacent channels must not ex-ceed –148 dBm at any ground stationreceiver, assuming a 0 dBi receive an-tenna.

(c) Ground station transmitters. The ef-fective radiated power (ERP) of anyemission outside of the frequencyranges set forth in § 22.857 must not ex-ceed –10 dBm. The ERP of any emissionin each of the adjacent channels mustnot exceed +10 dBm. The ERP of anyemission in any of the channels otherthan the one being used and the adja-cent channels must not exceed –5 dBm.

(d) If an emission on any frequencyoutside of the authorized bandwidthcauses harmful interference, the FCCmay require greater attenuation ofthat emission than required in para-graph (a) of this section.

§ 22.863 Transmitter frequency toler-ance.

Ground station transmitter fre-quencies must be maintained within 0.1parts per million (ppm) of the channelreference or center frequencies. Dopp-ler shift correction must be used to en-sure that the frequencies of the signalsof airborne mobile stations received atground stations remain within 0.2 ppmof the channel reference or center fre-quencies.


189


§ 22.865 Automatic channel selectionprocedures.

Operation of stations using the chan-nels listed in § 22.857 must be in accord-ance with the procedures in this sec-tion.

(a) A communications channel is notavailable for use by a ground station ifit is already in use by another groundstation at the same location. Groundstation equipment must automaticallydetermine whether channels are in useby other ground stations at the samelocation, and may employ radio fre-quency signal monitoring to do so. Forexample, a communications channelmay be determined to be in use if thereceived signal power on that channelat the ground station exceeds –115dBm, which, assuming a 0 dB gain 895MHz receive antenna, corresponds to afield strength of approximately 19dBµV/m. Ground stations may employan alternative method of determiningwhether a communications channel isin use provided that such procedure isat least as reliable as radio frequencysignal monitoring.

(b) Data indicating which commu-nications channels are available for useare transmitted by ground stations onthe assigned control channels.

(c) A call is originated when an air-borne mobile station selects a commu-nications channel based on the receiveddata from ground stations and otherfactors, and transmits an identificationcode (which identifies the specificground station from which service isrequested) on the selected communica-tions channel. The ground station fromwhich service has been requested maythen obtain any necessary billing infor-mation and complete the call.

(d) A ground station may not trans-mit on a communications channel un-less it has received the proper identi-fication code. After a ground stationhas begun to transmit on a commu-nications channel, that channel is notavailable to ground stations other thanthe one from which service has been re-quested until the call is terminated.

(e) A call is terminated by the groundstation when either a hang-up signal istransmitted by the airborne mobilestation, or the signal from the airbornemobile station on the communicationschannel is lost for a period of 15 contin-

uous seconds. The hang-up signal is theon-off keying (50% duty cycle) of anunmodulated carrier over a period ofone second with pulse duration of 5milliseconds. However, if all carriersauthorized to operate air-ground sys-tems using the channels listed in§ 22.857 agree that an alternative hang-up signal and/or procedure would bemore efficient or beneficial, such alter-native hang-up signal and/or proceduremay be used. The carriers must jointlygive prior notification to the FCC if analternative hang-up signal and/or pro-cedure is used.


The effective radiated power (ERP) ofground and airborne stations operatingon the channels listed in § 22.857 mustnot exceed the limits in this section.

(a) The ERP of airborne mobile sta-tion transmitters must not exceed 30Watts.

(b) The ERP of ground station trans-mitters must not exceed 100 Watts.

(c) The ERP of low power ground sta-tion transmitters operating pursuantto paragraph (a) of § 22.859 must not ex-ceed 1 Watt.

§ 22.869 Assignment of control chan-nels.

The FCC selects and assigns exclu-sively one control channel to eachcommercial aviation air-ground li-censee.

§ 22.871 Control channel transition pe-riod.

The rules in this section provide for aperiod of transition during which theexperimental air-ground system oper-ating on the channels listed in § 22.857will be discontinued and replaced by asystem operating in full compliancewith the rules in this subpart. The ex-perimental system may continue to ex-clusively use a 3.2 kHz control channelcontained within the bandwidth ofcommunications channel C–2 of eachchannel block until September 9, 1996.After that date communications chan-nel C–2 will be available for use by allcarriers authorized to operate an air-ground system on the channels listedin § 22.857.


190

47 CFR Ch. I (10–1–01 Edition)§ 22.873

§ 22.873 Construction period for com-mercial aviation air-ground sys-tems.

Construction of a new commercialaviation air-ground system is consid-ered to be completed for the purpose ofthis section and § 22.142 when the num-ber of ground stations specified in thissection are constructed and oper-ational.

(a) Stage I. At least 25 ground sta-tions must be constructed and oper-ational within 3 years. Licensees mustnotify the Commission by using FCCForm 601 as soon as this requirement ismet.

(b) Stage II. At least 50 ground sta-tions must be constructed and oper-ational within 5 years. Nationwideservice to subscribers must commencewithin 5 years. Licensees must notifythe Commission by using FCC Form 601as soon as this requirement is met.


§ 22.875 Commercial aviation air-ground system application require-ments.

Existing and prospective commoncarriers may file applications for au-thority to construct and operate a newnationwide air-ground system on thechannels listed in § 22.857 only duringwindow filing periods that may be an-nounced by the FCC in Public Notices.In addition to the requirements else-where in this part, such applicationsmust contain the following exhibits:

(a) Written agreement. A signed agree-ment between the applicant and atleast one airline or airline organiza-tion, authorizing the applicant to pro-vide air-ground service on its aircraft.

(b) Financial qualifications. At thetime of filing its application an appli-cant must demonstrate that it has ei-ther a firm financial commitment oravailable financial resources necessaryto construct 50 ground stations and op-erate for one year after initiation ofnationwide air-ground service its pro-posed air-ground system.

(1) The demonstration of commit-ment must include and be sufficient tocover the realistic and prudent esti-mated costs of construction of 50ground stations, operation and otherinitial expenses for one year after initi-

ation of nationwide air-ground service.The estimated costs, operation costsand other initial expenses must beitemized. The estimated costs must in-clude the anticipated costs of construc-tion of each ground station.

(2) The firm financial commitmentrequired above must be obtained from astate or federally chartered bank orsavings and loan association, or the fi-nancial affiliate or subsidiary of anequipment supplier, and must containa statement that the lender:

(i) Has examined the financial condi-tion of the applicant including auditedfinancial statements, and has deter-mined that the applicant is credit wor-thy;

(ii) That the lender is committed toproviding a sum certain to the par-ticular applicant;

(iii) That the lender’s willingness toenter into the commitment is basedsolely on its relationship with the ap-plicant; and

(iv) That the commitment is not inany way guaranteed by any entityother than the applicant.

(3) Applicants intending to rely onpersonal or internal resources mustsubmit:

(i) Audited financial statements cer-tified within one year of the date of theapplication, indicating the availabilityof sufficient net liquid assets to con-struct and operate the proposed air-ground system for one year.

(A) The auditors must be certifiedpublic accountants.

(B) Net liquid assets is considered tobe the excess of current assets (readilyconverted to cash) over current liabil-ities. In order to demonstrate readyconvertibility into cash, the identity,liquidity and value of listed assetsmust be demonstrated. Non-liquid as-sets can be relied on if the market-ability of those assets is documented.

(ii) An audited balance sheet, currentwithin 60 days of filing, which clearlyshows the continued availability of suf-ficient net liquid assets to constructand operate the proposed air-groundsystem for one year after nationwideservice begins.

(c) Service Plan. A service plan con-taining:


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(1) A map or other description of theplanned geographic coverage area, in-cluding air space over the continentalUnited States, Alaska, Hawaii andother United States territories.

(2) A schedule for construction of 50ground stations and provision of na-tionwide service to subscribers within 5years from the grant of the initial au-thorization.

(3) A description of how the systemwill interconnect with the landlinetelephone network and be integratedwith other air-ground systems, includ-ing a statement as to whether the sys-tem will be interconnected with inter-national air-ground systems.

(d) Technical Exhibit. A technical de-scription of the proposed system dem-onstrating compliance with all applica-ble technical requirements and describ-ing how the proposed system would op-erate, if authorized. This exhibit mustprovide the following information:

(1) The number of ground stations tobe used, their locations, and the typeand quantity of equipment proposed forthe system;

(2) A complete description of the pro-cedures and data protocols to be usedon the control channel;

(3) The modulation types to be usedand their spectral characteristics;

(4) The effective radiated power andtransmitter peak envelope power forall transmitters at each ground stationlocation, and the effective radiatedpower of the airborne mobile stations;

(5) Antenna information as follows:(i) For airborne mobile stations, the

antenna type(s) to be used;(ii) For ground stations, vertical and

horizontal radiation patterns, antennaheights above ground level, antennasupport structure heights above groundlevel, ground elevation above mean sealevel and any relevant information(e.g. FAA approval) that may be help-ful in determining whether ground sta-tion antennas require marking andlighting;

(6) Analytical data, including cal-culations, of potential interferencewithin and without the spectrum forthe air-ground system;


EFFECTIVE DATE NOTE: At 63 FR 68904, Dec.14, 1998, § 22.875 was amended by removing

paragraph (d)(5). This paragraph containsmodified information collection require-ments and will not become effective until ap-proved by the Office of Management andBudget.

Subpart H—CellularRadiotelephone Service


licensing and operation of cellular ra-diotelephone systems. Licensing andoperation of these systems are alsosubject to rules elsewhere in this partthat apply generally to the Public Mo-bile Services. In case of conflict, how-ever, the rules in this subpart govern.

§ 22.901 Cellular service requirementsand limitations.

Cellular system licensees must pro-vide cellular mobile radiotelephoneservice upon request to subscribers ingood standing, including roamers, asprovided in § 20.12 of this chapter. Acellular system licensee may refuse orterminate service, however, subject toany applicable state or local require-ments for timely notification, to anysubscriber who operates a cellular tele-phone in an airborne aircraft in viola-tion of § 22.925 or otherwise fails to co-operate with the licensee in exercisingoperational control over mobile sta-tions pursuant to § 22.927.

(a) Service area information. Licenseesmust inform prospective subscribers ofthe area in which reliable service canbe expected.

(b) Lack of capacity. If a licensee re-fuses a request for cellular service be-cause of a lack of system capacity, itmust report that fact to the FCC inwriting, explaining how it plans to in-crease capacity.

(c) Dispatch service. Cellular systemsmay provide dispatch service.

(d) Alternative technologies and co-pri-mary services. Licensees of cellular sys-tems may use alternative cellular tech-nologies and/or provide fixed serviceson a co-primary basis with their mobileofferings, including personal commu-nications services (as defined in part 24of this chapter) on the spectrum withintheir assigned channel block. Cellularcarriers that provide mobile servicesmust make such service available to


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subscribers whose mobile equipmentconforms to the cellular system com-patibility specification (see § 22.933).

(1) Licensees must perform or obtainan engineering analysis to ensure thatinterference to the service of other cel-lular systems will not result from theimplementation of co-primary fixedservices or alternative cellular tech-nologies.

(2) Alternative technology and co-pri-mary fixed services are exempt fromrequirements for incidental commu-nications services of § 22.323, the chan-neling requirements of § 22.905, themodulation requirements of § 22.915, thewave polarization requirements of§ 22.367, the compatibility specificationin § 22.933 and the emission limitationsof §§ 22.357 and 22.917, except for emis-sion limitations that apply to emis-sions outside the assigned channelblock.

[59 FR 59507, Nov. 17, 1994; 59 FR 64856, Dec.16, 1994, as amended at 60 FR 15495, Mar. 24,1995; 61 FR 38403, July 24, 1996; 61 FR 45356,Aug. 29, 1996; 65 FR 49202, Aug. 11, 2000]

§ 22.905 Channels for cellular service.The following channels are allocated

for block assignment in the CellularRadiotelephone Service. All channelshave a bandwidth of 40 kHz and are de-signed by their center frequencies inMegaHertz.


CHANNEL BLOCK A

416 communication channel pairs

869.040 ........ 824.040 890.010 ........ 845.010869.070 ........ 824.070 890.040 ........ 845.040

| | | || | | |

879.990 ........ 834.990 891.480 ........ 846.480

21 control channel pairs

834.390 ........ 879.390834.420 ........ 879.420

| || |

834.990 ........ 879.990

CHANNEL BLOCK B

416 communication channel pairs

880.020 ........ 835.020 891.510 ........ 846.510880.050 ........ 835.050 981.540 ........ 846.540

| | | || | | |

889.980 ........ 844.980 893.970 ........ 848.970

21 control channel pairs

835.020 ........ 880.020835.050 ........ 880.050

| |

| |835.920 ........ 880.620

(a) Each channel block is assignedexclusively to one licensee for use inthat licensee’s cellular geographicservice area (see § 22.911).

(b) Licensees may use any channelpair from the assigned channel block atany of their transmitter locations, sub-ject to the prior coordination require-ments of § 22.907.

[59 FR 59507, Nov. 17, 1994; 60 FR 9891, Feb. 22,1995]

§ 22.907 Coordination of channelusage.

Licensees in the Cellular Radio-telephone Service must coordinate,with the appropriate parties, channelusage at each transmitter locationwithin 121 kilometers (75 miles) of anytransmitter locations authorized toother licensees or proposed by ten-tative selectees or other applicants, ex-cept those with mutually exclusive ap-plications.

(a) Licensees must cooperate andmake reasonable efforts to resolvetechnical problems that may inhibit ef-fective and efficient use of the cellularradio spectrum; however, licensees arenot obligated to suggest extensivechanges to or redesign other licensees’cellular systems. Licensees must makereasonable efforts to avoid blockingthe growth of other cellular systemsthat are likely to need additional ca-pacity in the future.

(b) If technical problems are ad-dressed by an agreement or operatingagreement between the licensees thatwould result in a reduction of qualityor capacity of either system, the li-censees must notify the Commission byupdating FCC Form 601.


§ 22.909 Cellular markets.Cellular markets are standard geo-

graphic areas used by the FCC for ad-ministrative convenience in the licens-ing of cellular systems. Cellular mar-kets comprise Metropolitan StatisticalAreas (MSAs) and Rural Service Areas(RSAs). All cellular markets and thecounties they comprise are listed inPublic Notice Report No. CL–92–40


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‘‘Common Carrier Public Mobile Serv-ices Information, Cellular MSA/RSAMarkets and Counties’’, dated January24, 1992, DA 92–109, 7 FCC Rcd 742 (1992).

(a) MSAs. Metropolitan StatisticalAreas are 306 areas, including New Eng-land County Metropolitan Areas andthe Gulf of Mexico Service Area (waterarea of the Gulf of Mexico, border isthe coastline), defined by the Office ofManagement and Budget, as modifiedby the FCC.

(b) RSAs. Rural Service Areas are 428areas, other than MSAs, established bythe FCC.

§ 22.911 Cellular geographic servicearea.

The Cellular Geographic ServiceArea (CGSA) of a cellular system is thegeographic area considered by the FCCto be served by the cellular system.The CGSA is the area within which cel-lular systems are entitled to protectionand within which adverse effects forthe purpose of determining whether apetitioner has standing are recognized.

(a) CGSA determination. The CGSA isthe composite of the service areas ofall of the cells in the system, excludingany area outside the cellular marketboundary, except as provided in para-graph (c) of this section, and excludingany area within the CGSA of anothercellular system. The service area of acell is the area within its service areaboundary (SAB). The distance to theSAB is calculated as a function of ef-fective radiated power (ERP) and an-tenna center of radiation height aboveaverage terrain (HAAT), height abovesea level (HASL) or height above meansea level (HAMSL).

(1) Except as provided in paragraphs(a)(2) and (b) of this section, the dis-tance from a cell transmitting antennato its SAB along each cardinal radial iscalculated as follows:

d=2.531×h0.34 xp0.17

where:



(2) For the cellular systems author-ized to serve the Gulf of Mexico MSA,the distance from a cell transmitting

antenna to its SAB along each cardinalradial is calculated as follows:d=6.895×h0.30 xp0.15



(3) The value used for h in the for-mula in paragraph (a)(2) of this sectionmust not be less than 8 meters (26 feet)HASL (or HAMSL, as appropriate forthe support structure). The value usedfor h in the formula in paragraph (a)(1)of this section must not be less than 30meters (98 feet) HAAT, except that forunserved area applications proposing acell with an ERP not exceeding 10Watts, the value for h used in the for-mula in paragraph (a)(1) of this sectionto determine the service area boundaryfor that cell may be less than 30 meters(98 feet) HAAT, but not less than 3 me-ters (10 feet) HAAT.

(4) The value used for p in the for-mulas in paragraphs (a)(1) and (a)(2) ofthis section must not be less than 0.1Watt or 27 dB less than (1/500 of) themaximum ERP in any direction,whichever is more.

(5) Whenever use of the formula inparagraph (a)(1) of this section pursu-ant to the exception contained in para-graph (a)(3) of this section results in acalculated distance that is less than 5.4kilometers (3.4 miles), the radial dis-tance to the service area boundary isdeemed to be 5.4 kilometers (3.4 miles).

(6) The distance from a cell transmit-ting antenna to the SAB along any ra-dial other than the eight cardinalradials is calculated by linear inter-polation of distance as a function ofangle.

NOTE TO PARAGRAPH (a) OF § 22.911: On May13, 1994, the United States Court of Appealsfor the District of Columbia Circuit in-structed the FCC to vacate the provisions ofold § 22.903(a), now § 22.911(a), insofar as theyapply to cellular systems licensed to servethe Gulf of Mexico MSA (GMSA), pending re-consideration of an issue remanded to theFCC in that decision. See Petroleum Commu-nications, Inc. v. Federal Communications Com-mission, No. 92–1670 and RVC Services, Inc., D/B/A Coastel Communications Company v. Fed-eral Communications Commission, No. 93–1016,ll F.2d ll, ll (D.C. Cir. 1994). Accord-ingly, notwithstanding the provisions of


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47 CFR Ch. I (10–1–01 Edition)§ 22.911

§ 22.911(a), until further notice, the author-ized CGSAs of the cellular systems licensedto serve the GMSA are those which were au-thorized prior to January 11, 1993.

(b) Alternative CGSA determination. Ifa carrier believes that the method de-scribed in paragraph (a) of this sectionproduces a CGSA that departs signifi-cantly (±20% in the service area of anycell) from the geographic area wherereliable cellular service is actually pro-vided, the carrier may submit, as anexhibit to an application for modifica-tion of the CGSA using FCC Form 601,a depiction of what the carrier believesthe CGSA should be. Such submissionsmust be accompanied by one or moresupporting propagation studies usingmethods appropriate for the 800–900MHz frequency range, including allsupporting data and calculations, and/or by extensive field strength measure-ment data. For the purpose of suchsubmissions, cellular service is consid-ered to be provided in all areas, includ-ing ‘‘dead spots’’, between the trans-mitter location and the locus of pointswhere the predicted or measured me-dian field strength finally drops to 32dBµV/m (i.e. does not exceed 32 dBµV/mfurther out). If, after consideration ofsuch submissions, the FCC finds thatadjustment to a CGSA is warranted,the FCC may grant the application.

(1) The alternative CGSA determina-tion must define the CGSA in terms ofdistances from cell sites to cell SABsalong the eight cardinal radials, withother points along the SAB determinedin accordance with paragraph (a)(6) ofthis section. The distances used for thecardinal radials must be representativeof the coverage within the 45° sectors,as depicted by the alternative CGSAdetermination.

(2) If an uncalibrated predictivemodel is used to depict the CGSA, thealternative CGSA determination mustidentify factors (e.g. terrain roughnessor features) that could plausibly ac-count for the difference between actualcoverage and that defined by the for-mula in paragraph (a)(1) of this section.If actual measurements or a measure-ment-calibrated predictive model areused to depict the CGSA, and this factis disclosed in the alternative CGSAdetermination, it is not necessary tooffer an explanation of the difference

between actual coverage and that de-fined by the formula in paragraph (a)(1)of this section. If the formula in para-graph (a)(1) of this section is clearly in-applicable for the cell(s) in question(e.g. for microcells), this should be dis-closed in the alternative CGSA deter-mination.

(3) The provision for alternativeCGSA determinations was made in rec-ognition that the formula in paragraph(a)(1) of this section is a general modelthat provides a reasonable approxima-tion of coverage in most land areas,but may substantially under-predict orover-predict coverage in specific areaswith unusual terrain roughness or fea-tures, and may be inapplicable for cer-tain purposes, e.g. cells with a radialdistance to the SAB less than 8 kilo-meters (5 miles). In such cases, alter-native methods that utilize more spe-cific models are appropriate. Accord-ingly, the FCC does not consider use ofthe formula in paragraph (a)(1) of thissection with parameters outside of thelimits in paragraphs (a)(3), (a)(4) and(a)(5) of this section or with data forradials other than the cardinal radialsto be a valid alternative method for de-termining the CGSA of a cellular sys-tem.

(c) CGSA extension areas. SAB exten-sions (areas outside of the cellularmarket boundary, but within the serv-ice area as calculated using the meth-ods of paragraph (a) of this section) arepart of the CGSA only under the fol-lowing circumstances:

(1) During the five year build-out pe-riod of the system in the cellular mar-ket containing the extension, the li-censees of systems on the same channelblock in adjacent cellular markets mayagree that the portion of the servicearea of one system that extends intounserved areas in the other system’scellular market is part of the CGSA ofthe former system.

(2) At the end of the five year build-out period of the system in the cellularmarket containing the extension, theportion of the service area that extendsinto unserved areas in another cellularmarket becomes part of the CGSA, pro-vided that the licensee of the system soextended files a system informationupdate in accordance with § 22.947(c).


195


(3) For original systems in MSAs, ex-tensions of the CGSA authorized by theFCC are part of the CGSA to the extentauthorized.

(d) Protection afforded. Within theCGSA determined in accordance withthis section, cellular systems are enti-tled to protection from co-channel andfirst-adjacent channel interference andfrom capture of subscriber traffic byadjacent systems on the same channelblock.

(1) Licensees must cooperate in re-solving co-channel and first-adjacentchannel interference by changing chan-nels used at specific cells or by othertechnical means.

(2) Protection from capture of sub-scriber traffic is applied and limited inaccordance with the following:

(i) Subscriber traffic is captured if anSAB of one cellular system overlapsthe CGSA of another operating cellularsystem. Therefore, cellular licenseesmust not begin to operate any facilitythat would cause an SAB to overlapthe existing CGSA of another cellularsystem on the same channel block,without first obtaining the writtenconsent of the licensee of that system.However, cellular licensees may con-tinue to operate existing facilities thatproduce an SAB overlapping a subse-quently-authorized portion of theCGSA of another cellular system onthe same channel block until the li-censee of that system requests that theSAB be removed from its CGSA. Suchrequest may be made directly to the li-censee of the overlapping system or tothe FCC. In the event such request ismade, the licensee of the overlappingsystem must reduce the transmittingpower or antenna height (or both) atthe pertinent cell site as necessary toremove the SAB from the CGSA of theother system, unless a written consentfrom the licensee of the other systemallowing the SAB to remain is ob-tained. Cellular licensees may enterinto contracts with the licensees ofother cellular systems on the samechannel block to allow SABs to overlapCGSAs.

(ii) Cellular licensees are at most en-titled to have a CGSA free of SABsfrom other cellular systems on thesame channel block.

(e) Unserved areas. Unserved areas areareas outside of all existing CGSAs (oneither of the channel blocks), to whichthe Communications Act of 1934, asamended, is applicable.


§ 22.912 Service area boundary exten-sions.

This section contains rules governingservice area boundary (SAB) exten-sions. SAB extensions are areas outsideof the cellular market boundary, butwithin the service area as calculatedusing the methods of § 22.911(a). Cel-lular systems must be designed to com-ply with the rules in this section. Ap-plications proposing systems thatwould not comply with the rules in thissection are defective. Service withinSAB extensions is not protected frominterference or capture under § 22.911(d)unless and until the area within theSAB extension becomes a part of thecellular geographic service area(CGSA) in accordance with § 22.911(c).

(a) De minimis extensions. Except asrestricted in paragraph (d) of this sec-tion, SABs may extend into adjacentcellular markets if such extensions arede minimis, are demonstrably unavoid-able for technical reasons of sound en-gineering design, and do not extendinto the CGSA of any other licensee’scellular system on the same channelblock (unless the licensee of such othersystem consents to the extension) orinto any adjacent cellular market on achannel block for which the five yearbuild-out period has expired.

(b) Contract extensions. Except as re-stricted in paragraph (d) of this sec-tion, licensees of cellular systems onthe same channel block in adjacent cel-lular markets may, at any time, enterinto contracts with applicants or otherlicensees to allow SAB extensions intotheir CGSA only (not into unservedareas). Except as restricted in para-graph (d) of this section, licensees ofthe first authorized cellular systems onthe same channel block in adjacent cel-lular markets may agree to allow SABextensions into their CGSA and/or


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47 CFR Ch. I (10–1–01 Edition)§ 22.913

unserved areas in their cellular mar-kets during the five year build-out pe-riod of the market into which the SABextends.

(c) Same applicant/licensee. Except asrestricted in paragraph (d) of this sec-tion, licensees of cellular systems thatare also an applicant or licensee on thesame channel block in adjacent cel-lular markets may, at any time, allowor propose SAB extensions from theiradjacent market system into theirCGSH only (not into unserved areas).Except as restricted in paragraph (d) ofthis section, licensees of the first au-thorized cellular systems that are alsoan applicant or licensee on the samechannel block in adjacent cellular mar-kets may allow or propose SAB exten-sions from their adjacent market sys-tem into their CGSA and/or unservedareas in their cellular markets duringthe five year build-out period of themarket into which the SAB extends.

(d) Unserved area systems. Phase I ini-tial cellular applications must not pro-pose SAB extensions. Phase I solemajor modification applications andPhase II applications may propose SABextensions, subject to the conditions inthis section.


The effective radiated power (ERP) oftransmitters in the Cellular Radio-telephone Service must not exceed thelimits in this section.

(a) Maximum ERP. The effective radi-ated power (ERP) of base transmittersand cellular repeaters must not exceed500 Watts. The ERP of mobile trans-mitters and auxiliary test transmittersmust not exceed 7 Watts.

(b) Height-power limit. The ERP ofbase transmitters must not exceed theamount that would result in an aver-age distance to the service area bound-ary of 79.1 kilometers (49 miles) for cel-lular systems authorized to serve theGulf of Mexico MSA and 40.2 kilo-meters (25 miles) for all other cellularsystems. The average distance to theservice area boundary is calculated bytaking the arithmetic mean of the dis-tances determined using the proceduresspecified in § 22.911 for the eight car-dinal radial directions.

(c) Coordination exemption. Licenseesneed not comply with the height-powerlimit in paragraph (b) of this section ifthe proposed operation is coordinatedwith the licensees of all affected cel-lular systems on the same channelblock within 121 kilometers (75 miles)and concurrence is obtained.

§ 22.915 Modulation requirements.

Cellular systems must be capable ofproviding service using the types ofmodulation described in the cellularsystem compatibility specification.

(a) Non-voice modulating signals. Mod-ulating signals other than voice sig-nals, such as data signals, may betransmitted, provided the resultingmodulated emission exhibits spectralcharacteristics not exceeding those re-sulting from voice modulation.

(b) Modulation levels. The levels of themodulating signals must be set to thevalues specified in this paragraph, andmust be maintained within ±10% ofthose values.

(1) The instantaneous frequency devi-ation resulting from the main modu-lating signal must be ±12 kHz.

(2) The instantaneous frequency devi-ation resulting from the supervisoryaudio tones must be ±2 kHz.

(3) The instantaneous frequency devi-ation resulting from the signaling tonemust be ±8 kHz.

(4) The instantaneous frequency devi-ation resulting from wideband data sig-nals must be ±8 kHz.

(c) Deviation limitation circuitry. Cel-lular transmitters must be equippedwith circuitry that automatically pre-vents modulation levels for voicetransmissions from exceeding the lim-its specified in this section.

(d) Audio filter characteristics. Exceptas provided in § 22.917, radiotelephonysignals applied to the modulator fromthe modulation limiter must be attenu-ated as a function of frequency as spec-ified in this paragraph.

(1) For mobile stations, these signalsmust be attenuated, relative to thelevel at 1 kHz, as follows:

(i) In the frequency ranges of 3.0 to5.9 kHz and 6.1 to 15.0 kHz, signals mustbe attenuated by at least 40 log (f÷3)dB, where f is the frequency of the sig-nal in kHz.


197


(ii) In the frequency range of 5.9 to6.1 kHz, signals must be attenuated atleast 35 dB.

(iii) In the frequency range above 15kHz, signals must be attenuated atleast 28 dB.

(2) For base stations, these signalsshall be attenuated, relative to thelevel at 1 kHz, as follows:

(i) In the frequency range of 3 to 15kHz, signals must be attenuated by atleast 40 log (f÷3) dB, where f is the fre-quency of the signal in kHz.

(ii) In the frequency range above 15kHz, signals must be attenuated by atleast 28 dB.

(3) Filtering is not required for thesupervisory audio tones, signalingtones or wideband data signals.

§ 22.917 Emission limitations for cel-lular.

The rules in this section govern thespectral characteristics of emissions inthe Cellular Radiotelephone Service.

(a) Analog radiotelephony emissions.F3E emissions must be used only onthe communication channels.

(b) F3E/F3D emission mask for use withaudio filter. For F3E and F3D emissions,except as provided in paragraph (c) ofthis section, the mean power of emis-sions must be attenuated below themean power of the unmodulated carrierwave (P) as follows:

(1) On any frequency removed fromthe carrier frequency by more than 20kHz but not more than 45 kHz:at least 26 dB;

(2) On any frequency removed fromthe carrier frequency by more than 45kHz, up to the first multiple of the car-rier frequency:at least 60 dB or 43 + 10 log P dB,whichever is the lesser attenuation.

(c) Alternative F3E/F3D emission mask.For F3E and F3D emissions, transmit-ters may comply with the emissionlimitations in this paragraph in lieu ofcompliance with paragraph (b) of thissection and the audio filter require-ment of § 22.915.

(1) The mean power of any emissionremoved from the carrier frequency bya displacement frequency (fd in kHz)must be attenuated below the meanpower of the unmodulated carrier (P)as follows:

(i) On any frequency removed fromthe carrier frequency by more than 12kHz but not more than 20 kHz:at least 117 log (fd÷12) dB;

(ii) On any frequency removed fromthe carrier frequency by more than 20kHz, up to the first multiple of the car-rier frequency:at least 100 log (fd÷11) dB or 60 dB or 43+ 10 log P dB, whichever is the lesserattenuation;

(2) For mobile stations, modulatingsignals other than the supervisoryaudio tone in the frequency range of 5.9to 6.1 kHz must be attenuated, relativeto the level at 1 kHz, at least 35 dB.

(d) F1D emission mask. For F1D emis-sions, the mean power of emissionsmust be attenuated below the meanpower of the unmodulated carrier (P)as follows:



(3) On any frequency removed fromthe carrier frequency by more than 90kHz, up to the first multiple of the car-rier frequency:at least 60 dB or 43+10 log P dB, which-ever is the lesser attenuation.

(e) Out of band emissions. The meanpower of emissions must be attenuatedbelow the mean power of theunmodulated carrier (P) on any fre-quency twice or more than twice thefundamental frequency by:at least 43+10 log P dB.

(f) Mobile emissions in base frequencyrange. The mean power of any emis-sions appearing in the base station fre-quency range from cellular mobiletransmitters operated must be attenu-ated to a level not to exceed ¥80 dBmat the transmit antenna connector.

(g) Interference from spurious emis-sions. If any emission from a trans-mitter operating in this service resultsin interference to users of anotherradio service, the FCC may require agreater attenuation of that emissionthan specified in this section.


198

47 CFR Ch. I (10–1–01 Edition)§ 22.919

(h) Measurement procedure. The fol-lowing spectrum analyzer bandwidthsettings should be used for measure-ment of spurious emissions:

(1) When operating in theradiotelephony mode or the super-visory audio tone mode:

(i) For any emission not more than 45kHz removed from the carrier fre-quency: 300 Hz;

(ii) For any emission more than 45kHz removed from the carrier fre-quency: 30 kHz.

(2) When operating in the widebanddata mode or the signaling tone mode:

(i) For any emission not more than 60kHz removed from the carrier fre-quency: 300 Hz;

(ii) For any emission more than 60kHz removed from the carrier fre-quency: 30 kHz.

§ 22.919 Electronic serial numbers.

The Electronic Serial Number (ESN)is a 32 bit binary number that uniquelyidentifies a cellular mobile transmitterto any cellular system.

(a) Each mobile transmitter in serv-ice must have a unique ESN.

(b) The ESN host component must bepermanently attached to a main cir-cuit board of the mobile transmitterand the integrity of the unit’s oper-ating software must not be alterable.The ESN must be isolated from fraudu-lent contact and tampering. If the ESNhost component does not contain otherinformation, that component must notbe removable, and its electrical con-nections must not be accessible. If theESN host component contains other in-formation, the ESN must be encodedusing one or more of the followingtechniques:

(1) Multiplication or division by apolynomial;

(2) Cyclic coding;(3) The spreading of ESN bits over

various non-sequential memory loca-tions.

(c) The ESN must be factory set andmust not be alterable, transferable, re-movable or otherwise able to be manip-ulated. Cellular mobile equipmentmust be designed such that any at-tempt to remove, tamper with, orchange the ESN chip, its logic system,or firmware originally programmed by

the manufacturer will render the mo-bile transmitter inoperative.

§ 22.921 911 Call Processing Proce-dures; 911-Only Calling Mode.

All mobile phones manufacturedafter February 13, 2000, and capable ofoperating in an analog mode, i.e., incompliance with ‘‘Cellular System Mo-bile Station—Land Station Compat-ibility Specification’’ (April 1981 Ed.)Office of Engineering and TechnologyBulletin No. 53, referenced in § 22.933must incorporate a special procedurefor processing ‘‘9–1–1’’ calls. Such pro-cedure must recognize when a ‘‘9–1–1’’call is made and, at such time, mustoverride any programming in the mo-bile unit that determines the handlingof a non-911 call and permit the call tobe handled by other analog carriers.This special procedure must incor-porate any one or more of the 9–1–1 callsystem selection processes endorsed orapproved by the Commission.

[64 FR 34568, June 28, 1999]

§ 22.923 Cellular system configuration.

Mobile stations communicate withand through base transmitters only.Base transmitters communicate withmobile stations directly or through cel-lular repeaters. Auxiliary test stationsmay communicate with base or mobilestations for the purpose of testingequipment.

§ 22.925 Prohibition on airborne oper-ation of cellular telephones.

Cellular telephones installed in orcarried aboard airplanes, balloons orany other type of aircraft must not beoperated while such aircraft are air-borne (not touching the ground). Whenany aircraft leaves the ground, all cel-lular telephones on board that aircraftmust be turned off. The following no-tice must be posted on or near each cel-lular telephone installed in any air-craft:

‘‘The use of cellular telephones whilethis aircraft is airborne is prohibitedby FCC rules, and the violation of thisrule could result in suspension of serv-ice and/or a fine. The use of cellulartelephones while this aircraft is on theground is subject to FAA regulations.’’


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§ 22.927 Responsibility for mobile sta-tions.

Mobile stations that are subscribersin good standing to a cellular system,when receiving service from that cel-lular system, are considered to be oper-ating under the authorization of thatcellular system. Cellular system licens-ees are responsible for exercising effec-tive operational control over mobilestations receiving service throughtheir cellular systems. Mobile stationsthat are subscribers in good standingto a cellular system, while receivingservice from a different cellular sys-tem, are considered to be operatingunder the authorization of such dif-ferent system. The licensee of such dif-ferent system is responsible, duringsuch temporary period, for exercisingeffective operational control over suchmobile stations as if they were sub-scribers to it.

§ 22.929 Application requirements forthe Cellular Radiotelephone Serv-ice.

In addition to information requiredby subparts B and D of this part, appli-cations for authorization in the Cel-lular Radiotelephone Service containrequired information as described inthe instructions to the form. Site co-ordinates must be referenced to NAD83and be correct to ±1 second.

(a) Administrative information. The fol-lowing information is required eitherby FCC Form 601, or as an exhibit:

(1) Location description; city; coun-ty; state; geographical coordinates cor-rect to ± 1 second, the datum used(NAD 83), site elevation above meansea level, proximity to adjacent mar-ket boundaries and international bor-ders;

(2) Antenna height to tip aboveground level, the height of the centerof radiation of the antenna above theaverage terrain, the height of the an-tenna center of radiation above the av-erage elevation of the terrain alongeach of the 8 cardinal radials, antennagain in the maximum lobe, the beam-width of the maximum lobe of the an-tenna, a polar plot of the horizontalgain pattern of the antenna, the elec-tric field polarization of the wave emit-ted by the antenna when installed asproposed:

(3) The channel block requested, themaximum effective radiated power, theeffective radiated power in each of thecardinal radial directions.

(b) If the application involves a serv-ice area boundary (SAB) extension(§ 22.912 of this chapter), the licenseemust provide a statement as describedin § 22.953.

(c) Maps. If the application proposesa change in the CGSA, it must includefull size and reduced maps, and sup-porting engineering, as described in§ 22.953 (a)(1) through (a)(3).

(d) Antenna Information. Upon requestby an applicant, licensee, or the Com-mission, a cellular applicant or li-censee of whom the request is madeshall furnish the antenna type, model,and the name of the antenna manufac-turer to the requesting party withinten (10) days of receiving written noti-fication.

[63 FR 68951, Dec. 14, 1998, as amended at 64FR 53241, Oct. 1, 1999]

EFFECTIVE DATE NOTES: 1. At 63 FR 68951,Dec. 14, 1998, § 22.929 was revised. This sectioncontains information collection require-ments and will not become effective until ap-proval has been given by the Office of Man-agement and Budget.

2. At 64 FR 53241, Oct. 1, 1999, § 22.929 wasamended by adding paragraph (d). This para-graph contains information collection re-quirements and will not become effectiveuntil approval has been given by the Office ofManagement and Budget.

§ 22.933 Cellular system compatibilityspecification.

Except as provided in § 22.901(d),equipment used in the Cellular Radio-telephone Service must be designed incompliance with the technical speci-fications for compatibility of mobileand base stations in the Cellular Radio-telephone Service contained in ‘‘Cel-lular System Mobile Station-Land Sta-tion Compatibility Specification’’(April 1981 Ed.), Office of Engineeringand Technology Bulletin No. 53. Thisbulletin is contained in Appendix D tothe Report and Order in CC Docket No.79–318, and was published in the FED-ERAL REGISTER of May 21, 1981. Copiesmay be obtained from the FCC’s copy-ing contractor. Special operational fea-tures that have been developed by jointindustry consensus through the Tele-communications Industry Association


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47 CFR Ch. I (10–1–01 Edition)§ 22.935

(TIA) and established as a TIA stand-ard may be activated at the option ofthe cellular licensee, provided that thecompatibility of equipment within theCellular Radiotelephone Service asspecified in OET Bulletin No. 53 is notadversely affected.

§ 22.935 Procedures for comparativerenewal proceedings.

The procedures in this section applyto comparative renewal proceedings inthe Cellular Radiotelephone Service.

(a) If one or more of the applicationscompeting with an application for re-newal of a cellular authorization arefiled, the renewal applicant must filewith the Commission its original re-newal expectancy showing electroni-cally via the ULS. This filing must besubmitted no later than 60 days afterthe date of the Public Notice listing asacceptable for filing the renewal appli-cation and the competing applications.

(b) Interested parties may file peti-tions to deny any of the mutually ex-clusive applications. Any such peti-tions to deny must be filed no laterthan 30 days after the date that the re-newal applicant submitted its renewalexpectancy showing. Applicants mayfile replies to any petitions to deny ap-plications that are filed. Any such re-plies must be filed no later than 15days after the date that the petition(s)to deny was filed. No further pleadingswill be accepted.

(c) In most instances, the renewal ap-plication and any competing applica-tions will be designated for a two-stepprocedure. An Administrative LawJudge (Presiding Judge) will conduct athreshold hearing (step one), in whichboth the licensee and the competingapplicants will be parties, to determinewhether the renewal applicant deservesa renewal expectancy. If the order des-ignating the applications for hearingspecifies any basic qualifying issuesagainst the licensee, those issues willbe tried in this threshold hearing. Ifthe Presiding Judge determines thatthe renewal applicant is basicallyqualified and due a renewal expect-ancy, the competing applicants will befound ineligible for further consider-ation and their applications will be de-nied. If the Presiding Judge determinesthat the renewal applicant does not

merit a renewal expectancy but is oth-erwise qualified, then all of the appli-cations will be considered in a com-parative hearing (step two).

(d) Any competing applicant may re-quest a waiver of the threshold hearing(step one), if such applicant dem-onstrates that its proposal so far ex-ceeds the service already being pro-vided that there would be no purpose inmaking a threshold determination asto whether the renewal applicant de-served a renewal expectancy vis-a-vissuch a competing applicant. Any suchwaiver request must be filed at thetime the requestor’s application isfiled. Petitions opposing such waiverrequests may be filed. Any such peti-tions must be filed no later than 30days after the date that the renewalapplicant submitted its renewal ex-pectancy showing. Replies to any peti-tions opposing such waiver requestsmay be filed. Any such replies must befiled no later than 15 days after thedate that the petition(s) were filed. Nofurther pleadings will be accepted. Anywaiver request submitted pursuant tothis paragraph will be acted upon priorto designating the applications forhearing. If a request to waive thethreshold hearing (step one) is granted,the renewal expectancy issue will bedesignated as part of the comparativehearing (step two), and will remain themost important comparative factor indeciding the case, as provided in§ 22.940(a).

(e) If the Presiding Judge issues aruling in the threshold (step one) thatdenies the licensee a renewal expect-ancy, all of the applicants involved inthe proceeding will be allowed to filedirect cases no later than 90 days afterthe release date of the PresidingJudge’s ruling. Rebuttal cases must befiled no later than 30 days after thedate that the direct cases were filed.

(f) The Presiding Judge shall use theexpedited hearing procedures delin-eated in this paragraph in both thresh-old (step one) and comparative (steptwo) hearings conducted in compara-tive cellular renewal proceedings.

(1) The Presiding Judge will schedulea first hearing session as soon as prac-ticable after the date for filing rebuttalevidence. This first session will be anevidentiary admission session at which


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each applicant will identify and offerits previously circulated direct and re-buttal exhibits, and each party willhave an opportunity to lodge objec-tions.

(2) After accepting the exhibits intoevidence, the Presiding Judge will en-tertain motions to cross-examine andrule whether any sponsoring witnessneeds to be produced for cross-exam-ination.

Determination of what, if any, cross-examination is necessary is within thesound judicial discretion of the Pre-siding Judge, the prevailing standardbeing whether the person requestingcross-examination has persuasivelydemonstrated that written evidence isineffectual to develop proof. If cross-examination is necessary, the Pre-siding Judge will specify a date for theappearance of all witnesses. In addi-tion, if the designation order pointsout an area where additional under-lying data is needed, the PresidingJudge will have the authority to per-mit the limited use of discovery proce-dures. Finally, the Presiding Judgemay find that certain additional testi-mony or cross-examination is neededto provide a complete record for theFCC. If so, the Presiding Judge mayschedule a further session.

(3) After the hearing record is closed,the Presiding Judge may request Pro-posed Findings of Fact and Conclusionsof Law to be filed no later than 30 daysafter the final hearing session. Repliesare not permitted except in unusualcases and then only with respect to thespecific issues named by the PresidingJudge.

(4) The Presiding Judge will thenissue an Initial Decision, preferablywithin 60 days of receipt of the lastpleadings. If mutually exclusive appli-cations are before the Presiding Judge,the Presiding Judge will determinewhich applicant is best qualified. ThePresiding Judge may also rank the ap-plicants in order of merit if there aremore than two.

(5) Parties will have 30 days in whichto file exceptions to the Initial Deci-sion.

[59 FR 59507, Nov. 17, 1994, as amended at 62FR 4172, Jan. 29, 1997; 63 FR 68951, Dec. 14,1998]

§ 22.936 Dismissal of applications incellular renewal proceedings.

Any applicant that has filed an appli-cation in the Cellular RadiotelephoneService that is mutually exclusive withan application for renewal of a cellularauthorization (competing application),and seeks to resolve the mutual exclu-sivity by requesting dismissal of its ap-plication, must obtain the approval ofthe FCC.

(a) If a competing applicant seeks todismiss its application prior to the Ini-tial Decision stage of the hearing on itsapplication, it must submit to theCommission a request for approval ofthe dismissal of its application. Thisrequest for approval of the dismissal ofits application must be submitted andmust also include a copy of any agree-ment related to the withdrawal or dis-missal, and an affidavit setting forth:

(1) A certification that neither thepetitioner nor its principals has re-ceived or will receive any money orother consideration in excess of legiti-mate and prudent expenses in exchangefor the withdrawal or dismissal of theapplication, except that this provisiondoes not apply to dismissal or with-drawal of applications pursuant to bonafide merger agreements;

(2) The exact nature and amount ofany consideration received or prom-ised;

(3) An itemized accounting of the ex-penses for which it seeks reimburse-ment; and

(4) The terms of any oral agreementrelated to the withdrawal or dismissalof the application.

(b) In addition, within 5 days of thefiling date of the applicant or peti-tioner’s request for approval, each re-maining party to any written or oralagreement must submit an affidavitsetting forth:

(1) A certification that neither theapplicant nor its principals has paid orwill pay money or other considerationin excess of the legitimate and prudentexpenses of the petitioner in exchangefor withdrawing or dismissing the ap-plication; and

(2) The terms of any oral agreementrelating to the withdrawal or dismissalof the application.

(c) For the purposes of this section:


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47 CFR Ch. I (10–1–01 Edition)§ 22.937

(1) Affidavits filed pursuant to thissection must be executed by the filingparty, if an individual, a partner hav-ing personal knowledge of the facts, ifa partnership, or an officer having per-sonal knowledge of the facts, if a cor-poration or association.

(2) Applications are deemed to bepending before the FCC from the timethe application is filed with the FCCuntil such time as an order of the FCCgranting, denying or dismissing the ap-plication is no longer subject to recon-sideration by the FCC or to review byany court.

(3) ‘‘Legitimate and prudent ex-penses’’ are those expenses reasonablyincurred by a party in preparing to file,filing, prosecuting and/or settling itsapplication for which reimbursement issought.

(4) ‘‘Other consideration’’ consists offinancial concessions, including, butnot limited to, the transfer of assets orthe provision of tangible pecuniarybenefit, as well as non-financial con-cessions that confer any type of benefiton the recipient.


§ 22.937 Demonstration of financialqualifications.

Except as provided in paragraphs (g)and (h) of this section, each applicantfor a new cellular system must dem-onstrate that it has, at the time theapplication is filed, either a separatemarket-specific firm financial commit-ment or available financial resourcessufficient to construct and operate forone year the proposed cellular system.Each application of reassignment of li-cense or consent to transfer of controlmust demonstrate the financial abilityof the proposed assignee or transfereeto acquire and operate the facilities.

(a) Estimated costs. The demonstra-tion required by this section must in-clude a realistic and prudent estimateof the costs of construction, operatingand other initial expenses for one year.

(b) Source of financing. The firm fi-nancial commitment must be obtainedfrom a state or federally charteredbank or savings and loan association,another recognized financial institu-tion, or the financial arm of a capitalequipment supplier. The firm financial

commitment may be contingent uponthe applicant’s obtaining an authoriza-tion.

(c) Lender’s statement. The firm finan-cial commitment must contain a state-ment that:

(1) The lender has examined the fi-nancial condition of the applicant, in-cluding audited financial statements ifapplicable, and has determined thatthe applicant is creditworthy;

(2) The lender has examined the fi-nancial viability of each proposal forwhich the applicant intends to use thecommitment;

(3) The lender is committed to pro-viding a sum certain to the particularapplicant;

(4) The lender’s willingness to enterinto the commitment is based solely onits relationship with the applicant;and,

(5) The commitment is not in anyway guaranteed by any entity otherthan the applicant.

(d) Showings of financial resources. Ap-plicants relying upon personal or inter-nal financial resources must submitthe following:

(1) Audited financial statements, cer-tified within one year of the date of thecellular application, that show theavailability of sufficient net currentassets to construct and operate for oneyear the proposed cellular system;

(2) A balance sheet current within 60days of the date of filing that showsthe continued availability of sufficientnet current assets to construct and op-erate for one year the proposed cellularsystem; and,

(3) A certification by the applicant oran officer of the applicant organizationattesting to the validity of theunaudited balance sheet.

(e) Parent corporation financing. Ap-plicants relying upon financing ob-tained from parent corporations mustsubmit the showings listed in para-graph (d) of this section as the infor-mation pertains to the parent corpora-tion.

(f) Notice upon default. In addition tothe disclosures required by paragraph(c) of this section, any loan or othercredit arrangement providing for achattel mortgage or secured interest inany proposed cellular system must in-clude a provision for a minimum of ten


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(10) days prior written notification tothe licensee, and to the FCC, beforeany such equipment may be repos-sessed under default provision of theagreement.

(g) Competing applications in cellularrenewal proceedings. Initial cellular ap-plications that are competing against acellular renewal application are sub-ject to the rules in this paragraph in-stead of the rules in paragraphs (a)through (f) of this section.

(1) Any applicant filing a competingapplication against a cellular renewalapplication must demonstrate, at thetime it files its application, that it haseither:

(i) A firm financial commitment, anirrevocable letter of credit or perform-ance bond in the amount of its realisticand prudent estimated costs of con-struction and any other expenses to beincurred during the first year of oper-ating its proposed system (the irrev-ocable letter of credit or performancebond must be from the type of financialinstitution described in paragraph(g)(3) of this section); or,

(ii) Available resources, as defined inparagraph (g)(4) of this section, nec-essary to construct and operate its pro-posed cellular system for one year.

(2) The firm financial commitmentmay be contingent on the applicant ob-taining an authorization. The appli-cant must also list all of its realisticand prudent estimated costs of con-struction and any other expenses to beincurred during the first year of oper-ating its proposed system.

(3) The firm financial commitmentrequired above shall be obtained from astate or federally chartered bank orsavings and loan association, anotherrecognized financial institution, or thefinancial arm of a capital equipmentsupplier; shall specify the terms of theloan or other form of credit arrange-ment, including the amount to be bor-rowed, the interest to be paid, theamount of the commitment fee and thefact that it has been paid, the terms ofrepayment and any collateral required;and shall contain a statement:

(i) That the lender has examined thefinancial conditions of the applicant,including audited financial statementswhere applicable, and has determinedthat the applicant is creditworthy;

(ii) That the lender has examined thefinancial viability of the proposal forwhich the applicant intends to use thecommitment;

(iii) That the lender is committed toproviding a sum certain to the par-ticular applicant;

(iv) That the lender’s willingness toenter into the commitment is basedsolely on its relationship with the ap-plicant; and,

(v) That the commitment is not inany way guaranteed by an entity otherthan the applicant.

(4) Applicants intended to rely onpersonal or internal resources mustsubmit:

(i) Audited financial statements cer-tified within one year of the date of thecellular application, indicating theavailability of sufficient net currentassets to construct and operate theproposed cellular system for one year;

(ii) A balance sheet current within 60days of the date of filing its applicationthat clearly shows the continued avail-ability of sufficient net current assetsto construct and operate the proposedcellular system for one year; and,

(iii) A certification by the applicantor an officer of the applicant organiza-tion attesting to the validity of theunaudited balance sheet.

(5) Applicant intending to rely uponfinancing obtained through a parentcorporation must submit the informa-tion required by paragraph (g)(4) of thissection, as the information pertains tothe parent corporation.

(6) As an alternative to relying upona firm financial commitment, an irrev-ocable letter of credit, or a perform-ance bond from a financial institutionas described in paragraph (g)(3) of thissection, an applicant may state that ithas placed in an escrow account suffi-cient cash to meet its construction andfirst-year operating expenses. Such astatement must specify the amount ofcash, the escrow account number andthe financial institution where the es-crow account is located.

(7) Any competing application filedagainst the renewal application of anincumbent cellular licensee that doesnot demonstrate, at the time it is ini-tially filed, that the competing appli-cant has sufficient funds to construct


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47 CFR Ch. I (10–1–01 Edition)§ 22.939

and operate for one year its proposedcellular system will be dismissed.

(h) Exemptions. Any licensee applyingfor an unserved area adjacent to its ex-isting cellular system, to integratesuch area into the existing system, isexempt from the financial demonstra-tion requirements of this section. Inaddition, modification applications andpro forma assignment and transfer ofcontrol applications are exempt fromthe financial demonstration require-ments of this section.

§ 22.939 Site availability requirementsfor applications competing with cel-lular renewal applications.

In addition to the other requirementsset forth in this part for initial cellularapplications, any application com-peting against a cellular renewal appli-cation must contain, when initiallyfiled, appropriate documentation dem-onstrating that its proposed antennasite(s) will be available. Competing ap-plications that do not include such doc-umentation will be dismissed. If thecompeting applicant does not own aparticular site, it must, at a minimumdemonstrate that the site is availableto it by providing a letter from theowner of the proposed antenna site ex-pressing the owner’s intent to sell orlease the proposed site to the appli-cant. If any proposed antenna site isunder U.S. Government control, the ap-plicant must submit written confirma-tion of the site’s availability from theappropriate Government agency. Appli-cants which file competing applica-tions against incumbent cellular li-censees may not rely on the assump-tion that an incumbent licensee’s an-tenna sites are available for their use.

§ 22.940 Criteria for comparative cel-lular renewal proceedings.

This section sets forth criteria to beused in comparative cellular renewalproceedings. The ultimate issue incomparative renewal proceedings willbe to determine, in light of the evi-dence adduced in the proceeding, whatdisposition of the applications wouldbest serve the public interest, conven-ience and necessity.

(a) Renewal expectancies. The mostimportant comparative factor to beconsidered in a comparative cellular

renewal proceeding is a major pref-erence, commonly referred to as a ‘‘re-newal expectancy.’’

(1) The cellular renewal applicant in-volved in a comparative renewal pro-ceeding will receive a renewal expect-ancy, if its past record for the relevantlicense period demonstrates that:

(i) The renewal applicant has pro-vided ‘‘substantial’’ service during itspast license term. ‘‘Substantial’’ serv-ice is defined as service which is sound,favorable, and substantially above alevel of mediocre service which justmight minimally warrant renewal; and

(ii) The renewal applicant has sub-stantially compiled with applicableFCC rules, policies and the Commu-nications Act of 1934, as amended.

(2) In order to establish its right to arenewal expectancy, a cellular renewalapplicant involved in a comparative re-newal proceeding must submit a show-ing explaining why it should receive arenewal expectancy. At a minimum,this showing must include.

(i) A description of its current servicein terms of geographic coverage andpopulation served, as well as the sys-tem’s ability to accommodate theneeds of roamers;

(ii) An explanation of its record of ex-pansion, including a timetable of theconstruction of new cell sites to meetchanges in demand for cellular service;

(iii) A description of its investmentsin its cellular system; and

(iv) Copies of all FCC orders findingthe licensee to have violated the Com-munications Act or any FCC rule orpolicy; and a list of any pending pro-ceedings that relate to any matter de-scribed in this paragraph.

(3) In making its showing of entitle-ment to a renewal expectancy, a re-newal applicant may claim credit forany system modification applicationsthat were pending on the date it filedits renewal application. Such creditwill not be allowed if the modificationapplication is dismissed or denied.

(b) Additional comparative issues. Thefollowing additional comparativeissues will be included in comparativecellular renewal proceedings, if a fullcomparative hearing is conducted pur-suant to § 22.935(c).


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(1) To determine on a comparativebasis the geographic areas and popu-lation that each applicant proposes toserve; to determine and compare therelative demand for the services pro-posed in said areas; and to determineand compare the ability of each appli-cant’s cellular system to accommodatethe anticipated demand for both localand roamer service;

(2) To determine on a comparativebasis each applicant’s proposal for ex-panding its system capacity in a co-ordinated manner in order to meet an-ticipated increasing demand for bothlocal and roamer service;

(3) To determine on a comparativebasis the nature and extent of the serv-ice proposed by each applicant, includ-ing each applicant’s proposed rates,charges, maintenance, personnel, prac-tices, classifications, regulations andfacilities (including switching capabili-ties); and

(4) To determine on a comparativebasis each applicant’s past perform-ance in the cellular industry or an-other business of comparable type andsize.

(c) Additional showings for competingapplications. With respect to evidenceintroduced pursuant to paragraph (b)(3)of this section, any applicant filing acompeting application against a cel-lular renewal application (competingapplicant) who claims a preference foroffering any service not currently of-fered by the incumbent licensee mustdemonstrate that there is demand forthat new service and also present abusiness plan showing that the com-peting applicant can operate the sys-tem economically. Any competing ap-plicant who proposes to replace analogtechnology with digital technologywill receive no credit for its proposalunless it submits a business plan show-ing how it will operate its system eco-nomically and how it will provide morecomprehensive service than does theincumbent licensee with existing andimplemented cellular technology.

§ 22.941 System identification num-bers.

System identification numbers(SIDs) are 15 bit binary numbers as-signed to cellular systems. SIDs aretransmitted by the cellular systems so

that cellular mobile stations can deter-mine whether the system throughwhich they are communicating is asystem to which they subscribe, orwhether they are considered by thesystem to be roamers.

(a) The FCC assigns one SID to eachcellular system on its initial authoriza-tion. Cellular systems may transmitonly their assigned SID(s) and/or theSIDs assigned to other cellular sys-tems. A cellular system may transmitthe SID assigned to another cellularsystem only if the licensee of that sys-tem concurs with such use of its as-signed SID.

(b) Licensees must notify the Com-mission using FCC Form 601, if theircellular systems transmit SIDs as-signed to other cellular systems. Thenotification must indicate the concur-rence of the licensee(s) of such othersystems with this use of their assignedSID(s). The notification must bemailed or delivered to the filing place(see § 22.106) no later than 15 days afterthe system begins transmitting theSID(s).

(c) Licensees may request that an ad-ditional (previously unassigned) SID beassigned to their system by filing anapplication for minor modification ofstation on FCC Form 601.


§ 22.942 Limitations on interests in li-censees for both channel blocks inan area.

(a) Controlling interests. A licensee, anindividual or entity that owns a con-trolling or otherwise attributable in-terest in a licensee, or an individual orentity that actually controls a licenseefor one channel block in a CGSA mayhave an direct or indirect ownership in-terest of 5 percent or less in the li-censee, an individual or entity thatowns a controlling or otherwise attrib-utable interest in a licensee, or an indi-vidual or entity that actually controlsa licensee for the other channel blockin an overlapping CGSA.

(b) Non-controlling interests. A director indirect non-attributable interest inboth systems is excluded from the gen-eral rule prohibiting multiple owner-ship interests.


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47 CFR Ch. I (10–1–01 Edition)§ 22.943

(c) Divestiture. Divestiture of inter-ests as a result of a transfer of controlor assignment of authorization mustoccur prior to consummating thetransfer or assignment.

(d) Ownership attribution. For pur-poses of paragraphs (a) and (b) of thissection, ownership and other interestscellular licensees will be attributed totheir holders pursuant to the followingcriteria:

(1) Controlling interest shall be at-tributable. Controlling interest meansmajority voting equity ownership, anygeneral partnership interest, or anymeans of actual working control (in-cluding negative control) over the op-eration of the licensee, in whatevermanner exercised.

(2) Partnership and other ownershipinterests and any stock interestamounting to 20 percent or more of theequity, or outstanding stock, or out-standing voting stock of a cellular li-censee shall be attributed.

(3) Non-voting stock shall be attrib-uted as an interest in the issuing enti-ty if in excess of the amounts set forthin paragraph (d)(2) of this section.

(4) Debt and instruments such as war-rants, convertible debentures, options,or other interests (except non-votingstock) with rights of conversion to vot-ing interests shall not be attributedunless and until converted.

(5) Limited partnership interestsshall be attributed to limited partnersand shall be calculated according toboth the percentage of equity paid inand the percentage of distribution ofprofits and losses.

(6) Officers and directors of a cellularlicensee shall be considered to have anattributable interest in the entity withwhich they are so associated. The offi-cers and directors of an entity thatcontrols a cellular licensee shall beconsidered to have an attributable in-terest in the cellular licensee.

(7) Ownership interests that are heldindirectly by any party through one ormore intervening corporations will bedetermined by successive multiplica-tion of the ownership percentages foreach link in the vertical ownershipchain and application of the relevantattribution benchmark to the resultingproduct, except that if the ownershippercentage for an interest in any link

in the chain exceeds 50 percent or rep-resents actual control, it shall betreated as if it were a 100 percent inter-est. (For example, if A owns 20% of B,and B owns 40% of licensee C, then A’sinterest in licensee C would be 8%. If Aowns 20% of B, and B owns 51% of li-censee C, then A’s interest in licenseeC would be 20% because B’s ownershipof C exceeds 50%.)

(8) Any person who manages the op-erations of a cellular licensee pursuantto a management agreement shall beconsidered to have an attributable in-terest in such licensee if such person,or its affiliate, has authority to makedecisions or otherwise engage in prac-tices or activities that determine, orsignificantly influence,




(9) Any licensee or its affiliate whoenters into a joint marketing arrange-ments with a cellular, licensee, or itsaffiliate shall be considered to have anattributable interest, if such licensee,or its affiliate, has authority to makedecisions or otherwise engage in prac-tices or activities that determine, orsignificantly influence,




[64 FR 54576, Oct. 7, 1999]

§ 22.943 Limitations on assignmentsand transfers of cellular authoriza-tions.

The following limitations apply toapplications for consent to transfer ofcontrol or assignment of authoriza-tions in the Cellular RadiotelephoneService.

(a) Trafficking. Applications for con-sent to transfer of control or assign-ment of authorization in the CellularRadiotelephone Service are subject tothe provisions of § 22.139, except for:

(1) Applications reflecting the trad-ing of an ownership interest in an au-thorized but unconstructed cellular


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system in one market for a commensu-rate interest in a cellular system in an-other market; and,

(2) Applications for consent to trans-fer of control or assignment of a cel-lular authorization obtained by ran-dom selection, after commencement ofservice.

(b) Unserved area systems. Except asotherwise provided in paragraph (b)(2)of this section, the FCC does not acceptapplications for consent to transfer ofcontrol or assignment of the authoriza-tion of a cellular system licensed toserve an unserved area until the sys-tem has provided service to subscribersfor at least one year.

(1) Licensees must not enter into anyagreement (e.g. option agreement ormanagement contract) to transfer con-trol of the licensee of the system untilthe system has provided service to sub-scribers for one year.

(2) The FCC may accept that grantapplications for consent to transfer ofcontrol or for assignment of authoriza-tion if the transfer or assignment is proforma and does not involve a change inownership.

(3) An applicant seeking approval fora transfer of control or assignment(otherwise permitted under the Com-mission’s Rules, 47 CFR chapter I) of alicense within three years of receivinga new license through a competitivebidding procedure must, together withits application for transfer of controlor assignment, file with the Commis-sion a statement indicating that its li-cense was obtained through competi-tive bidding. Such applicant must alsofile with the Commission the otherdocuments and information set forth in§ 1.2111 of this chapter.

(c) Systems authorized as result of com-parative renewal proceeding. Except asotherwise provided in paragraphs (c)(1),(c)(2) and (c)(3) of this section, the FCCdoes not accept applications for con-sent to transfer of control or for as-signment of the authorization of a cel-lular system that has been acquired bythe current licensee for the first timeas a result of a comparative renewalproceeding until the system has pro-vided service to subscribers for at leastthree years.

(1) The FCC may accept and grant ap-plications for consent to transfer of

control or for assignment of the au-thorization of a cellular system that isto be transferred as a part of a bonafide sale of an on-going business towhich the cellular operation is inci-dental.

(2) The FCC may accept and grant ap-plications for consent to transfer ofcontrol or for assignment of the au-thorization of a cellular system that isto be transferred as a result of thedeath of the licensee.

(3) The FCC may accept and grant ap-plications for consent to transfer ofcontrol or for assignment of authoriza-tion if the transfer or assignment is proforma and does not involve a change inownership.

[59 FR 59507, Nov. 17, 1994, as amended at 61FR 58339, Nov. 14, 1996]

§ 22.945 Interests in multiple applica-tions.

This section governs interests in ap-plicants with mutually exclusive appli-cations for a new cellular system. Forthe purposes of this section, ‘‘interestin an application’’ means interest inthe applicant.

(a) General. Except as otherwise pro-vided in this section, parties must nothave any interest, direct or indirect, inmore than one application for author-ity to operate a new cellular system inthe same cellular market.

(b) Abutting CGSAs. Licensees of ex-isting systems whose cellular geo-graphic service area (CGSA) abuts aproposed CGSA may each file one ap-plication that is mutually exclusivewith the applications of other such li-censees, even though they share com-mon owners, provided that such licens-ees do not thereby acquire a simulta-neous interest in applications for bothchannel blocks in any geographicalarea.

(c) Publicly traded corporate appli-cants. Parties must not have any inter-est, direct or indirect, in more thanone mutually exclusive initial applica-tion for which the applicant is a pub-licly traded corporation, except thatownership interests of less than 5% arenot considered. Ownership and otherinterests in applicants are attributedto their holder and deemed cognizableas set forth below.


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(1) Passive investors. Investment com-panies, as defined in 15 U.S.C. 80a–3, in-surance companies and banks holdingstock through their trust departmentsin trust accounts are deemed to have acognizable interest in a publicly tradedcellular applicant only if they hold 10%or more of the stock of the applicant.This provision applies only if an appli-cant in which such parties hold an in-terest certifies in its application thatno such party has exerted or attemptedto exert any influence or control overthe officers of the applicant.

(2) Multiplier. Attribution of owner-ship interests in a publicly traded cel-lular applicant that are held indirectlyby any party through one or more in-tervening corporations will be deter-mined by successive multiplication ofthe ownership percentages for eachlink in the vertical ownership chainand application of the relevant attribu-tion benchmark to the resulting prod-uct, except that wherever the owner-ship percentage for any link in thechain exceeds 50 percent, it is not in-cluded in the multiplication.

§ 22.946 Service commencement andconstruction periods for cellularsystems.

(a) Commencement of service. New cel-lular systems must be at least par-tially constructed and begin providingcellular service to subscribers withinthe service commencement periodsspecified in Table H–1 of this section.Service commencement periods beginon the date of grant of the initial au-thorization, and are not extended bythe grant of subsequent authorizationsfor the cellular system (such as formajor modifications). The licenseemust notify the FCC (FCC Form 601)after the requirements of this sectionare met (see § 1.946 of this chapter).

(b) To satisfy the requirement ofparagraph (a) of this section, a cellularsystem must be interconnected withthe public switched telephone network(PSTN) and must be providing serviceto mobile stations operated by its sub-scribers and roamers. A cellular systemis not considered to be providing serv-ice to subscribers if mobile stationscan not make telephone calls tolandline telephones and receive tele-phone calls from landline telephones

through the PSTN, or if the system in-tentionally serves only roamer sta-tions.

(1) [Reserved](2) The licensee must notify the FCC

(FCC Form 489) no later than 15 daysafter the requirements of paragraph (a)of this section are met.

(b) Construction period for specific fa-cilities. The construction period appli-cable to specific new or modified cel-lular facilities for which an authoriza-tion has been granted is one year fromthe date the authorization is granted.Failure to comply with this require-ment results in termination of the au-thorization for the specific new ormodified facility, pursuant to§ 22.144(b).

[59 FR 59507, Nov. 17, 1994, as amended at 63FR 68951, Dec. 14, 1998; 64 FR 53241, Oct. 1,1999]

§ 22.947 Five year build-out period.The licensee of the first cellular sys-

tem authorized on each channel blockin each cellular market is afforded afive year period, beginning on the datethe initial authorization for the systemis granted, during which it may expandthe system within that market.

(a) Exclusive right to expand withinmarket. Except as provided in para-graph (b) of this section, the FCC doesnot accept applications for authorityto operate a new cellular system in anyunserved area in a market on a channelblock during the five year build-out pe-riod.

(b) Partitioned markets. During thefive-year build-out period, the licenseeof the first cellular system on eachchannel block in each market mayenter into contracts with eligible par-ties, allowing such parties to apply byusing FCC Form 601 for a new cellularsystem in that channel block withinthe market. The FCC may grant suchapplications if they are in compliancewith the rules in this part. Marketswith two or more authorized cellularsystems on the same channel blockduring the five year build-out periodare referred to (with respect to the af-fected channel block) as ‘‘partitionedmarkets’’.

(1) Partitioning contracts must de-fine the CGSA of the subsequent cel-lular system in accordance with


209


§ 22.911, including any expansion rightsceded. If not exercised, any such expan-sion rights terminate at the end of thefive year build-out period.

(2) The five year build-out period be-gins on the date the initial authoriza-tion for the first cellular system isgranted, and is not extended or affectedin any way by the initial authorizationof any subsequent cellular systems pur-suant to paragraph (b) of this section.

(c) System information update. Sixtydays before the end of the five yearbuild-out period, the licensee of eachcellular system authorized on eachchannel block in each cellular marketmust file, in triplicate, a system infor-mation update (SIU), comprising a fullsize map, a reduced map, and an ex-hibit showing technical data relevantto determination of the system’sCGSA. Separate maps must be sub-mitted for each market into which theCGSA extends, showing the extensionarea in the adjacent market. Mapsshowing extension areas must be la-beled (i.e. marked with the marketnumber and channel block) for themarket into which the CGSA extends.SIUs must accurately depict the rel-evant cell locations and coverage ofthe system at the end of the five yearbuild-out period. SIUs must be filed atthe Mobile Services Division, CommonCarrier Bureau, Federal Communica-tions Commission, Washington, DC20554. If any changes to the systemoccur after the filing of the SIU, butbefore the end of the five year build-out period, the licensee must file, intriplicate, additional maps and/or dataas necessary to insure that the cell lo-cations and coverage of the system asof the end of the five year build-out pe-riod are accurately depicted.

(1) The scale of the full-size mapmust be 1:500,000, regardless of whetherany different scale is used for the re-duced map. The map must have a leg-end, a distance scale and correctly la-beled latitude and longitude lines. Themap must be clear and legible. Themap must accurately show the cellsites (transmitting antenna locations)which determine the CGSA, the entireCGSA, any extension of the compositeservice are boundary beyond the CGSA(see § 22.911) and the relevant portionsof the cellular market boundary. The

date on which the map depictions areaccurate must appear on the map.

(2) The reduced map must be a pro-portional reduction, to 81⁄2×11 inches, ofthe full-size map required in paragraph(c)(1) of this section, unless it proves tobe impractical to depict the entiremarket by reducing the full-size map.In such instance, an 81⁄2×11 inch map ofa different scale may be substituted,provided that the required features ofthe full-size map are clearly depictedand labeled.


§ 22.948 Partitioning andDisaggregation.

(a) Eligibility. (1) Generally. Partiesseeking approval for partitioning anddisaggregation shall request an author-ization for partial assignment of a li-cense pursuant to § 1.948 of this chap-ter. Cellular licensees may partition ordisaggregate their spectrum to otherqualified entities.

(2) Partitioning. During the five yearbuild-out period, as defined in § 22.947,cellular licensees may partition anyportion of their cellular market toother qualified entities. After the fiveyear build-out period, cellular licenseesand unserved area licensees may parti-tion any portion of their Cellular Geo-graphic Service Area (CGSA), as de-fined by § 22.911, to other qualified enti-ties but may not partition unservedportions of their cellular market.

(3) Disaggregation. After the five yearbuild-out period, as defined in § 22.947,parties obtaining disaggregated spec-trum may only use such spectrum inthat portion of the cellular market en-compassed by the original licensee’sCGSA and may not use such spectrumto provide service to unserved portionsof the cellular market.

(b) Disaggregation. Cellular licenseesand unserved area licensees maydisaggregate spectrum in any amount.

(c) Combined partitioning anddisaggregation. The Commission willconsider requests for partial assign-ment of cellular licenses that proposecombinations of partitioning anddisaggregation.

(d) License Term. The license term forthe partitioned license area and for


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47 CFR Ch. I (10–1–01 Edition)§ 22.949

disaggregated spectrum shall be the re-mainder of the original cellular licens-ee’s or the unserved area licensee’s li-cense term provided for in § 22.144(a).

[65 FR 37057, June 13, 2000]

§ 22.949 Unserved area licensing proc-ess.

This section sets forth the process forlicensing unserved areas in cellularmarkets on channel blocks for whichthe five year build-out period has ex-pired. This process has two phases:Phase I and Phase II.

(a) Phase I. Phase I is a one-timeprocess that provides an opportunityfor eligible parties to file competingapplications for authority to operate anew cellular system in or to expand anexisting cellular system into unservedareas (Phase I initial applications) assoon as these areas become available.In addition, each licensee whose PhaseI initial application is granted is af-forded one opportunity during thePhase I process to file an applicationproposing major modifications to thecellular system authorized by thatgrant (a Phase I major modification ap-plication), without being subject tocompeting applications.

(1) Phase I initial applications mustbe filed on the 31st day after the expi-ration of the five year build-out periodof the authorized system(s) on thechannel block requested in the marketcontaining the unserved area.

(i) Each Phase I application must re-quest authorization for one and onlyone cellular geographic service area(CGSA) in one and only one cellularmarket.

(ii) Applicants must not file morethan one Phase I initial application forany cellular market.

(iii) Phase I initial applications mustnot propose any de minimis or contractservice area boundary (SAB) exten-sions.

(2) Only one Phase I initial applica-tion is granted on each channel blockin each market. Consequently, when-ever two or more acceptable Phase Iinitial applications are timely filed inthe same market on the same channelblock, such Phase I initial applicationsare mutually exclusive, regardless ofany other considerations such as thetechnical proposals. In order to deter-

mine which of such mutually exclusivePhase I initial applications to grant,the Commission administers competi-tive bidding procedures in accordancewith subpart Q of part 1 of this chapter.After such procedures, the applicationof the winning bidder may be grantedand the applications excluded by thatgrant may be dismissed without preju-dice.

NOTE: Notwithstanding the provisions of§ 22.949(a)(2), mutually exclusive Phase I ini-tial applications that were filed betweenMarch 10, 1993 and July 25, 1993, inclusive,are to be included in a random selectionprocess, following which the selected appli-cation may be granted and the applicationsexcluded by that grant may be dismissedwithout prejudice.

(3) Phase I major modification appli-cations (applications filed duringPhase I that propose major modifica-tions to cellular systems authorized bythe grant of Phase I initial applica-tions) must be filed no later than 90days after the grant of the Phase I ini-tial application. Each Phase I licenseemay file only one Phase I major modi-fication application. The FCC will notaccept any competing applications inresponse to a Phase I major modifica-tion application. Phase I licensees maynot sell to a third party any rights toapply for unserved area.

(i) Phase I major modification appli-cations may propose de minimis or con-tract SAB extensions; provided that acontract SAB extension into an adja-cent market may be proposed only if,at the time the Phase I major modi-fication application is filed, the li-censee in the adjacent market (on therequested channel block) has the rightto enter into such a contract (see§ 22.912(c)).

(ii) Phase I major modification appli-cation may propose a CGSA that is notcontiguous with the authorized or pro-posed CGSA, provided that the non-contiguous CGSA meets the minimumcoverage requirement of § 22.951.

(4) Phase I licensees may also file ap-plications for or notifications of minormodifications to its system. However,such minor modifications may not re-duce the size of the CGSA below theminimum coverage requirement of§ 22.951.


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(b) Phase II. Phase II is an on-goingfiling process that allows eligible par-ties to apply for any unserved areasthat may remain in a market after thePhase I process is complete.

(1) If a Phase I initial application isgranted for a market and channelblock, Phase II applications (applica-tions for authority to operate a cel-lular system in any remainingunserved area) for that market andchannel block may be filed on or afterthe 121st day after the Phase I applica-tion was granted. If no Phase I initialapplications are granted for a marketand channel block, Phase II applica-tions for that market and channelblock may be filed on or after the 31stday after the FCC dismissed the lastpending Phase I application. If noPhase I initial applications are re-ceived for a market and channel block,Phase II applications for that marketand channel block may be filed on orafter the 32nd day after the expirationof the relevant five-year build-out pe-riod.

(2) There is no limit to the number ofPhase II applications that may begranted on each channel block in eachmarket. Consequently, Phase II appli-cations are mutually exclusive only ifthe proposed CGSAs would overlap.Mutually exclusive applications areprocessed using the general proceduresin § 22.131.

(3) Phase II applications may proposea CGSA covering more than one cel-lular market. Each Phase II applica-tion must request authorization forone and only one CGSA. Phase II appli-cations may propose de minimis andcontract SAB extensions.

(c) Settlements among some, but notall, applicants with mutually exclusiveapplications for unserved areas (partialsettlements) are prohibited. Settle-ments among all applicants with mutu-ally exclusive applications (full settle-ments) are allowed and must be filedno later than the date that the FCCForm 175 (short-form) is filed.

(d) Limitations on amendments. Not-withstanding the provisions of § 22.122,Phase I applications are subject to thefollowing additional limitations in re-gard to the filing of amendments.

(1) The Commission will not acceptamendments (of any type) to mutually

exclusive Phase I applications prior tothe conclusion of the competitive bid-ding process.

(2) The FCC will not accept majoramendments to Phase I applications.

(3) Minor amendments required by§ 1.65 of this chapter must be filed nolater than thirty (30) days after publicnotice announcing the results of thecompetitive bidding process.

[59 FR 59507, Nov. 17, 1994, as amended at 59FR 59956, Nov. 21, 1994; 61 FR 58339, Nov. 14,1996]

§ 22.951 Minimum coverage require-ment.

Applications for authority to operatea new cellular system in an unservedarea, other than those filed by the li-censee of an existing system that abutsthe unserved area, must propose a con-tiguous cellular geographical servicearea (CGSA) of at least 130 square kilo-meters (50 square miles). Area withincontract SAB extensions counts towardthe minimum coverage requirement.However, area within de minimis SABextensions does not count toward theminimum coverage requirement. Appli-cations for authority to operate a newcellular system in an unserved area,other than those filed by the licenseeof an existing system that abuts theunserved area, must not propose cov-erage of water areas only (or waterareas and uninhabited islands or reefsonly), except for unserved areas in theGulf of Mexico MSA.

§ 22.953 Content and form of applica-tions.

Applications for authority to operatea cellular system in an unserved areamust comply with the specifications inthis section.

(a) Applications for authority to op-erate a cellular system in an unservedarea must include the following infor-mation in addition to the requirementsspecified in §§ 1.919, 1.923 and 1.924. Thefollowing exhibits must be set off bytabs and numbered as follows:

(1) Exhibit I—full-size map. The scaleof the full-size map must be 1:500,000,regardless of whether any differentscale is used for the reduced map re-quired in Exhibit II. The map musthave a legend, a distance scale and cor-rectly labeled latitude and longitude


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47 CFR Ch. I (10–1–01 Edition)§ 22.955

lines. The map must be clear and leg-ible. The map must accurately showthe cell sites (transmitting antenna lo-cations), the entire CGSA, any exten-sion of the composite service areaboundary beyond the CGSA (see § 22.911)and the relevant portions of the cel-lular market boundary.

(2) Exhibit II—reduced map. This mapmust be a proportional reduction, to81⁄2 × 11 inches, of the full-size map re-quired for Exhibit I, unless it proves tobe impractical to depict the entire cel-lular market by reducing the full-sizemap. In such instance, an 81⁄2 x 11 inchmap of a different scale may be sub-stituted, provided that the requiredfeatures of the full-size map are clearlydepicted and labeled.

(3) Exhibit III—engineering. This ex-hibit must contain the data and meth-odology used to calculate the CGSAand service area boundary.

(4) Exhibit IV—channel plan. This ex-hibit must show which specific chan-nels (or groups) are to be used at eachcell site. Any necessary table for con-verting channel numbers to center fre-quencies must be provided.

(5) [Reserved](6) Exhibit VI—service proposal. This

exhibit must describe the services pro-posed for subscribers and roamers, in-cluding the proposed method for han-dling complaints.

(7) Exhibit VII—cellular design. Thisexhibit must show that the proposedsystem design complies with cellularsystem design concepts, and must de-scribe the method proposed to expandthe system in a coordinated fashion asnecessary to address changing demandfor cellular service.

(8) Exhibit VIII—blocking level. Thisexhibit must disclose the blockingprobability or other criteria to be usedto determine whether it is necessary totake measures to increase system ca-pacity to maintain service quality.

(9) Exhibit IX—start-up expenses. Thisexhibit must disclose in detail the pro-jected cost of construction and otherinitial expenses of the proposed sys-tem, and how the applicant intends tomeet these expenses and the costs ofoperation for the first year.

(10) Exhibit X—interconnection ar-rangements. This exhibit is required forapplicants that provide public landline

message telephone service in any por-tion of the proposed CGSA. This ex-hibit must describe exactly how theproposed system would interconnectwith the landline network. The descrip-tion must be of sufficient detail to en-able a competitor to connect with thelandline system in exactly the samemanner, if the competitor so chooses.

(b) Existing systems—major modifica-tions. Licensees making major modi-fications pursuant to § 1.929(h) must fileFCC Form 601 and need only containthe exhibits required by paragraphs(a)(1) through (a)(3) of this section.

(c) Existing systems—minor modifica-tions. Licensees making minor modi-fications pursuant to § 1.929(h)—inwhich the modification causes a changein the CGSA boundary (including theremoval of a transmitter or transmit-ters)—must notify the FCC (using FCCForm 601) and include full-sized maps,reduced maps, and supporting engineer-ing exhibits as described in paragraphs(a)(1)–(3) of this section. If the modi-fication involves a contract SAB exten-sion, it must include a statement as towhether the five-year build-out for thesystem on the relevant channel blockin the market into which the SAB ex-tends has elapsed, and as to whetherthe SAB extends into any unservedarea in that market.


§ 22.955 Canadian condition.

Pursuant to an agreement betweenthe FCC and the Department of Com-munications in Canada, authorizationsfor cellular systems within 72 kilo-meters (45 miles) of the U.S.-Canadianborder must have the following condi-tion attached:

This authorization is subject to the condi-tion that, in the event that cellular systemsusing the same channel block as grantedherein are authorized in adjacent territoryin Canada, coordination of any of your trans-mitter installations which are within 72 kilo-meters (45 miles) of the U.S.-Canadian bordershall be required to eliminate any harmfulinterference that might otherwise exist andto insure continuance of equal access to thechannel block by both countries.


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§ 22.957 Mexican condition.Pursuant to an agreement between

the United States and Mexico, FCC au-thorizations for cellular systems with-in 72 kilometers (45 miles) of theUnited States-Mexican border musthave the following condition attached:

This authorization is subject to the condi-tion that, in the event cellular systems usingthe same frequencies granted herein are au-thorized in adjacent territory in Mexico, co-ordination of your transmitter installationswhich are within 72 kilometers (45 miles) ofthe United States-Mexico border shall be re-quired to eliminate any harmful interferencethat might otherwise exist and to ensurecontinuance of equal access to the fre-quencies by both countries. The operator ofthis system shall not contract with cus-tomers in Mexico, and further, users of thesystem must be advised that operation of amobile unit in Mexico is not permitted atthis time without the express permission ofthe Mexican government. The above condi-tions are subject to modification pendingfurther notice from the FCC.

§ 22.959 Rules governing processing ofapplications for initial systems.

Pending applications for authority tooperate the first cellular system on achannel block in an MSA or RSA mar-ket continue to be processed under therules governing the processing of suchapplications that were in effect whenthose applications were filed, unlessthe Commission determines otherwisein a particular case.

§ 22.960 Cellular unserved area radio-telephone licenses subject to com-petitive bidding.

Mutually exclusive initial applica-tions for cellular unserved area Phase Iand Phase II licenses filed after July26, 1993, are subject to competitive bid-ding procedures. The general competi-tive bidding procedures found in part 1,subpart Q, of this chapter will applyunless otherwise provided in this part.

[61 FR 58339, Nov. 14, 1996]

§ 22.961 Competitive bidding designfor cellular unserved area radio-telephone licensing.

The Commission will employ a simul-taneous multiple round auction designwhen choosing from among mutuallyexclusive initial applications to pro-vide cellular unserved area radio-

telephone service, unless otherwisespecified by the Wireless Telecommuni-cations Bureau before the auction.

[61 FR 58339, Nov. 14, 1996]


(a) Grouping. All cellular unservedarea Phase I and Phase II licenses willbe auctioned simultaneously, unlessthe Wireless Telecommunications Bu-reau announces, by Public Notice priorto the auction, an alternative auctionscheme.

(b) Minimum bid increments. The Wire-less Telecommunications Bureau will,by announcement before or during anauction, require minimum bid incre-ments in dollar or percentage terms.

(c) Stopping rules. The Wireless Tele-communications Bureau will establishstopping rules before or during mul-tiple round auctions in order to termi-nate an auction within a reasonabletime.

(d) Activity rules. The Wireless Tele-communications Bureau will establishactivity rules which require a min-imum amount of bidding activity. Inthe event that the Wireless Tele-communications Bureau establishes anactivity rule in connection with a si-multaneous multiple round auction,each bidder will be entitled to requestand will be automatically granted acertain number of waivers of such ruleduring the auction.

[61 FR 58339, Nov. 14, 1996]

§ 22.963 Withdrawal, default and dis-qualification payments.

(a) During the course of an auctionconducted pursuant to § 22.961, theCommission will impose payments onbidders who withdraw high bids duringthe course of an auction, who defaulton payments due after an auctioncloses, or who are disqualified.

(b) Bid withdrawal prior to close of auc-tion. A bidder who withdraws a high bidduring the course of an auction will besubject to a payment equal to the dif-ference between the amount bid andthe amount of the winning bid the nexttime the license is offered by the Com-mission. No withdrawal payment wouldbe assessed if the subsequent winningbid exceeds the withdrawn bid. This


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payment amount will be deducted fromany upfront payments or down pay-ments that the withdrawing bidder hasdeposited with the Commission.

(c) Default or disqualification afterclose of auction. If a high bidder de-faults or is disqualified after the closeof such an auction, the defaulting bid-der will be subject to the payment inparagraph (a) of this section plus anadditional penalty equal to three (3)percent of the subsequent winning bid.If the subsequent winning bid exceedsthe defaulting bidder’s bid amount, the3 percent payment will be calculatedbased on the defaulting bidder’s bidamount. These amounts will be de-ducted from any upfront payments ordown payments that the defaulting ordisqualified bidder has deposited withthe Commission.

[61 FR 58339, Nov. 14, 1996]

§ 22.964 Bidding application (FCCForm 175).

All applicants who wish to partici-pate in competitive bidding for cellularunserved area radiotelephone licensesmust submit applications on FCC Form175 pursuant to § 1.2105 of this chapter.The Wireless Telecommunications Bu-reau will issue a Public Notice an-nouncing the availability of cellularunserved area Phase I and Phase II li-censes and, in the event that mutuallyexclusive applications are filed, thedate of the auction for those licenses.This Public Notice will specify the dateon or before which applicants intendingto participate in a cellular unservedarea radiotelephone service auctionmust file their applications in order tobe eligible for that auction, and it willcontain information necessary for com-pletion of the application as well asother important information such asthe materials which must accompanythe short form, any upfront paymentthat will need to be submitted, and thelocation where the application must befiled.

[61 FR 58339, Nov. 14, 1996]


(a) Each bidder in the cellularunserved radiotelephone service auc-tion(s) will be required to pay the Com-

mission, immediately prior to the auc-tion, by cashier’s check or by wire, atleast $5,000 in order to get a bidderidentification number. The upfrontmoney will later be counted toward thefull payment of the license.

(b) Each winning bidder in the cel-lular unserved radiotelephone serviceauction(s) will be required to make adown payment to the Commission’slock-box bank in an amount sufficientto bring its total deposits up to 20 per-cent of its winning bid within five busi-ness days after the close of the auction,or by a date specified by Public Notice.The remainder of the full payment forthe license shall be paid within 5 daysfollowing the release of a Public Noticethat will indicate that the Commissionis prepared to award the license(s). TheCommission will grant the license gen-erally within ten (10) business daysafter receiving full payment.

[61 FR 58339, Nov. 14, 1996]

§ 22.967 License grant, denial, default,and disqualification.

(a) Each winning bidder will be re-quired to pay the balance of its win-ning bid in a lump sum payment withinfive (5) business days following PublicNotice that the Commission is pre-pared to award the license. The Com-mission will grant the license gen-erally within ten (10) business daysafter receipt of full and timely pay-ment of the winning bid amount.

(b) A bidder who withdraws its bidsubsequent to the close of bidding, de-faults on a payment due, or is disquali-fied, will be subject to the paymentsspecified in § 22.963 or §§ 1.2104(g) and1.2109 of this chapter, as applicable.

[61 FR 58340, Nov. 14, 1996]

Subpart I—OffshoreRadiotelephone Service


licensing and operation of offshore ra-diotelephone stations. The licensingand operation of these stations andsystems is also subject to rules else-where in this part that apply generallyto the public mobile services. However,in case of conflict, the rules in thissubpart govern.


215



Offshore central station licenses maybe licensed to communications com-mon carriers. Offshore subscriber sta-tions may be licensed to common car-riers or users of the service.

§ 22.1005 Priority of service.

Facilities in the Offshore Radio-telephone Service are intended pri-marily for rendition of public messageservice between offshore subscriber andcentral stations. However, they mayalso be used to render private leasedline communication service, providedthat such usage does not reduce or im-pair the extent or quality of commu-nication service which would be avail-able, in the absence of private leasedline service, to the general public re-ceiving or subsequently requestingpublic message service from an off-shore central station.

§ 22.1007 Channels for offshore radio-telephone systems.

The channels listed in this sectionare allocated for paired assignment totransmitters located in the specifiedgeographical zones that provide off-shore radiotelephone service. All chan-nels have a bandwidth of 20 kHz andare designated by their center fre-quencies in MegaHertz.

(a) Zone A—Southern Louisiana. Thegeographical area in Zone A is boundedas follows:

From longitude W.87°45′ on the East to lon-gitude W.94°00′ on the West and from the 4.8kilometer (3 mile) limit along the Gulf ofMexico shoreline on the North to the limit ofthe Outer Continental Shelf on the South.

(1) These channels may be assignedfor use by offshore central (base/fixed)or subscriber stations (fixed, tem-porary fixed, surface and/or airbornemobile) as indicated, for voice-gradegeneral communications:

Central Subscriber Central Subscriber

488.025 ....... 491.025 488.225 ....... 491.225488.050 ....... 491.050 488.250 ....... 491.250488.075 ....... 491.075 488.275 ....... 491.275488.100 ....... 491.100 488.300 ....... 491.300488.125 ....... 491.125 488.325 ....... 491.325488.150 ....... 491.150 488.350 ....... 491.350488.175 ....... 491.175 488.375 ....... 491.375488.200 ....... 491.200 488.400 ....... 491.400

(2) These channels may be assignedfor use by offshore central (base/fixed)or subscriber stations (fixed, tem-porary fixed, surface and/or airbornemobile) as indicated, for voice-gradegeneral communications and privateline service:


488.425 ....... 491.425 488.575 ....... 491.575488.450 ....... 491.450 488.600 ....... 491.600488.475 ....... 491.475 488.625 ....... 491.625488.500 ....... 491.500 488.650 ....... 491.650488.525 ....... 491.525 488.675 ....... 491.675488.550 ....... 491.550 488.700 ....... 491.700

(3) These channels may be assignedfor use by relay stations in systemswhere it would be impractical to pro-vide offshore radiotelephone servicewithout the use of relay stations.


488.725 ....... 491.725 488.775 ....... 491.775488.750 ....... 491.750 488.800 ....... 491.800

(4) These channels may be assignedfor use by offshore central (base/fixed)or subscriber stations (fixed, tem-porary fixed, surface and/or airbornemobile) as indicated, for emergencycommunications involving protectionof life and property.


488.825 ....... 491.825 488.875 ....... 491.875488.850 ....... 491.850 488.900 ....... 491.900

(5) These channels may be assignedfor use by offshore central (base/fixed)or subscriber stations (fixed, tem-porary fixed, surface and/or airbornemobile) as indicated, for emergencyauto alarm and voice transmission per-taining to emergency conditions only.

Central Subscriber

488.950 ....... 491.950

(6) These channels may be assignedfor use by offshore central (base/fixed)or subscriber stations (fixed, tem-porary fixed, surface and/or airbornemobile) as indicated, for emergencyshut-off remote control telemetry, en-vironmental data acquisition and dis-seminations, or facsimile trans-missions.


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47 CFR Ch. I (10–1–01 Edition)§ 22.1007


489.000 ....... 492.000 489.200 ....... 492.200489.025 ....... 492.025 489.225 ....... 492.225489.050 ....... 492.050 489.250 ....... 492.250489.075 ....... 492.075 489.275 ....... 492.275489.100 ....... 492.100 489.300 ....... 492.300489.125 ....... 492.125 489.325 ....... 492.325489.150 ....... 492.150 489.350 ....... 492.350489.175 ....... 492.175 489.375 ....... 492.375

(7) These channels may be assignedfor use by offshore central (base/fixed)or subscriber stations (fixed, tem-porary fixed, surface and/or airbornemobile) as indicated, for private lineservice:


489.400 ....... 492.400 489.725 ....... 492.725489.425 ....... 492.425 489.750 ....... 492.750489.450 ....... 492.450 489.775 ....... 492.775489.475 ....... 492.475 489.800 ....... 492.800489.500 ....... 492.500 489.825 ....... 492.825489.525 ....... 492.525 489.850 ....... 492.850489.550 ....... 492.550 489.875 ....... 492.875489.575 ....... 492.575 489.900 ....... 492.900489.600 ....... 492.600 489.925 ....... 492.925489.625 ....... 492.625 489.950 ....... 492.950489.650 ....... 492.650 489.975 ....... 492.975489.675 ....... 492.675 490.000 ....... 493.000489.700 ....... 492.700

(8) Interstitial channels. Interstitialchannels are those with center fre-quencies offset by ±12.5 kHz from thelisted center frequencies. The FCC mayassign interstitial channels to offshorestations in Zone A subject to the fol-lowing conditions:

(i) Offshore stations transmitting oninterstitial channels must be locatedeast of W.92° longitude.

(ii) Operations on interstitial chan-nels are considered to be secondary tooperations on channels with the listedcenter frequencies.

(iii) Offshore stations operating oninterstitial channels must be used onlyfor voice grade general communica-tions or to provide for private lineservice.

NOTE TO PARAGRAPH (a) OF § 22.1007: Thesechannels are contained in UHF TV Channel17.

(b) Zone B—Southern Louisiana—Texas. (1) The geographical area inZone B is bounded as follows:

From longitude W.87°45′ on the East to lon-gitude W.95°00′ on the West and from the 4.8kilometer (3 mile) limit along the Gulf ofMexico shoreline on the North to the limit ofthe Outer Continental Shelf on the South.

(2) These channels may be assignedfor use by offshore central (base/fixed)or subscriber stations (fixed, tem-porary fixed, surface and/or airbornemobile) as indicated, for voice-gradegeneral communications and privateline service:


485.025 ....... 482.025 486.025 ....... 483.025485.050 ....... 482.050 486.050 ....... 483.050485.075 ....... 482.075 486.075 ....... 483.075485.100 ....... 482.100 486.100 ....... 483.100485.125 ....... 482.125 486.125 ....... 483.125485.150 ....... 482.150 485.150 ....... 483.150485.175 ....... 482.175 486.175 ....... 483.175485.200 ....... 482.200 486.200 ....... 483.200485.225 ....... 482.225 486.225 ....... 483.225485.250 ....... 482.250 486.250 ....... 483.250485.275 ....... 482.275 486.275 ....... 483.275485.300 ....... 482.300 486.300 ....... 483.300485.325 ....... 482.325 486.325 ....... 483.325485.350 ....... 482.350 486.350 ....... 483.350485.375 ....... 482.375 486.375 ....... 483.375485.400 ....... 482.400 486.400 ....... 483.400485.425 ....... 482.425 486.425 ....... 483.425485.450 ....... 482.450 486.450 ....... 483.450485.475 ....... 482.475 486.475 ....... 483.475485.500 ....... 482.500 486.500 ....... 483.500485.525 ....... 482.525 486.525 ....... 483.525485.550 ....... 482.550 484.550 ....... 483.550485.575 ....... 482.575 486.575 ....... 483.575485.600 ....... 482.600 486.600 ....... 483.600485.625 ....... 482.625 486.625 ....... 483.625485.650 ....... 482.650 486.650 ....... 483.650485.675 ....... 482.675 486.675 ....... 483.675485.700 ....... 482.700 486.700 ....... 483.700485.725 ....... 482.725 486.725 ....... 483.725485.750 ....... 482.750 486.750 ....... 483.750485.775 ....... 482.775 486.775 ....... 483.775485.800 ....... 482.800 486.800 ....... 483.800485.825 ....... 482.825 486.825 ....... 483.825485.850 ....... 482.850 486.850 ....... 483.850485.875 ....... 482.875 486.875 ....... 483.875485.900 ....... 482.900 486.900 ....... 483.900485.925 ....... 482.925 486.925 ....... 483.925485.950 ....... 482.950 486.950 ....... 483.950485.975 ....... 482.975 486.975 ....... 483.975486.000 ....... 483.000 487.050 ....... 480.050

NOTE to paragraph (b) of § 22.1007: Thesechannels are contained in UHF TV Channel16.

(c) Zone C—Southern Texas. The geo-graphical area in Zone C is bounded asfollows:

Longitude W.94°00′ on the East, the 4.8 kil-ometer (3 mile) limit on the North and West,a 282 kilometer (175 mile) radius from thereference point at Linares, N.L., Mexico onthe Southwest, latitude N.26°00′ on theSouth, and the limits of the outer conti-nental shelf on the Southeast.

(1) These channels may be assignedfor use by offshore central (base/fixed)or subscriber stations (fixed, tem-porary fixed, surface and/or airborne


217


mobile) as indicated, for emergencyauto alarm and voice transmission per-taining to emergency conditions only.

Central Subscriber

476.950 ....... 479.950

(2) These channels may be assignedfor use by offshore central (base/fixed)or subscriber stations (fixed, tem-porary fixed, surface and/or airbornemobile) as indicated, for voice-gradegeneral communications and privateline service:476.025 479.025476.050 479.050476.075 479.075476.100 479.100476.125 479.125476.150 479.150476.175 479.175476.200 479.200476.225 479.225476.250 479.250476.275 479.275476.300 479.300476.325 479.325476.350 479.350476.375 479.375476.400 479.400476.425 479.425476.450 479.450476.475 479.475476.500 479.500476.525 479.525476.550 479.550476.575 479.575476.600 479.600476.625 479.625476.650 479.650476.675 479.675476.700 479.700476.725 479.725476.750 479.750476.775 479.775476.800 479.800476.825 479.825476.850 479.850476.875 479.875476.900 479.900477.000 480.000477.025 480.025477.075 480.075477.100 480.100477.125 480.125477.150 480.150477.175 480.175477.200 480.200477.225 480.225

477.250 480.250477.275 480.275477.300 480.300477.325 480.325477.350 480.350477.375 480.375477.400 480.400477.425 480.425477.450 480.450477.475 480.475477.500 480.500477.525 480.525477.550 480.550477.575 480.575477.600 480.600477.625 480.625477.650 480.650477.675 480.675477.700 480.700477.725 480.725477.750 480.750477.775 480.775477.800 480.800477.825 480.825477.850 480.850477.875 480.875477.900 480.900477.925 480.925477.950 480.950477.975 480.975

[59 FR 59507, Nov. 17, 1994; 60 FR 9891, Feb. 22,1995]

§ 22.1009 Transmitter locations.The rules in this section establish

limitations on the locations fromwhich stations in the Offshore Radio-telephone Service may transmit.

(a) All stations. Offshore stationsmust not transmit from locations out-side the boundaries of the appropriatezones specified in § 22.1007. Offshore sta-tions must not transmit from locationswithin 241 kilometers (150 miles) of anyfull-service television station thattransmits on the TV channel con-taining the channel on which the off-shore station transmits.

(b) Airborne subscriber stations. Air-borne subscriber stations must nottransmit from altitudes exceeding 305meters (1000 feet) above mean sea level.Airborne mobile stations in Zone Amust not transmit from locations with-in 129 kilometers (80 miles) of LakeCharles, Louisiana. Airborne mobilestations in Zone B must not transmitfrom locations within 129 kilometers


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47 CFR Ch. I (10–1–01 Edition)§ 22.1011

(80 miles) of Lafayette, Louisiana. Air-borne mobile stations in Zone C mustnot transmit from locations within 129kilometers (80 miles) of Corpus Christior locations within 129 kilometers (80miles) of Houston, Texas.

§ 22.1011 Antenna height limitations.The antenna height of offshore sta-

tions must not exceed 61 meters (200feet) above mean sea level. The an-tenna height of offshore surface mobilestations must not exceed 10 meters (30feet) above the waterline.

§ 22.1013 Effective radiated power lim-itations.

The effective radiated power (ERP) oftransmitters in the Offshore Radio-telephone Service must not exceed thelimits in this section.

(a) Maximum power. The ERP oftransmitters in this service must notexceed 1000 Watts under any cir-cumstances.

(b) Mobile transmitters. The ERP ofmobile transmitters must not exceed100 Watts. The ERP of mobile trans-mitters, when located within 32 kilo-meters (20 miles) of the 4.8 kilometer (3mile) limit, must not exceed 25 Watts.The ERP of airborne mobile stationsmust not exceed 1 Watt.

(c) Protection for TV Reception. TheERP limitations in this paragraph areintended to reduce the likelihood thatinterference to television receptionfrom offshore radiotelephone oper-ations will occur.

(1) Co-channel protection. The ERP ofoffshore stations must not exceed thelimits in Table I–1 of this section. Thelimits depend upon the height abovemean sea level of the offshore trans-mitting antenna and the distance be-tween the antenna location of the off-shore transmitter and the antenna lo-cation of the main transmitter of thenearest full-service television stationthat transmits on the TV channel con-taining the channel on which the off-shore station transmits.

(2) Adjacent channel protection. TheERP of offshore stations located within128.8 kilometers (80 miles) of the maintransmitter antenna of a full serviceTV station that transmits on a TVchannel adjacent to the TV channelwhich contains the channel on which

the offshore station transmits mustnot exceed the limits in the Table I–2of § 22.1015. The limits depend upon theheight above mean sea level of the off-shore transmitting antenna and thedistance between the location of theoffshore transmitter and the 4.8 kilo-meter (3 mile) limit.

TABLE I–1.—MAXIMUM ERP (WATTS)

Distance

30 me-ters(100feet)

45 me-ters(150feet)

61 me-ters(200feet)

338 km (210 mi) ........................ 1000 1000 1000330 km (205 mi) ........................ 1000 900 8002 km (200 mi) ............................ 800 710 630314 km (195 mi) ........................ 590 520 450306 km (190 mi) ........................ 450 400 330298 km (185 mi) ........................ 320 280 240290 km (180 mi) ........................ 250 210 175282 km (175 mi) ........................ 180 150 130274 km (170 mi) ........................ 175 110 100266 km (165 mi) ........................ 95 80 70258 km (160 mi) ........................ 65 55 50249 km (155 mi) ........................ 50 40 35241 km (150 mi) ........................ 35 30 25

§ 22.1015 Repeater operation.Offshore central stations may be used

as repeater stations provided that thelicensee is able to maintain control ofthe station, and in particular, to turnthe transmitter off, regardless ofwhether associated subscriber stationsare transmitting at the time.

TABLE I–2.—MAXIMUM ERP (WATTS)

Distance from the 4.8 km (3 mi) limit

30 me-ters(100feet)

61 me-ters(200feet)

6.4 km (4 mi) ............................................. 25 68.0 km (5 mi) ............................................. 40 109.7 km (6 mi) ............................................. 65 1511.3 km (7 mi) ........................................... 100 2512.9 km (8 mi) ........................................... 150 3514.5 km (9 mi) ........................................... 215 5016.1 km (10 mi) ......................................... 295 7017.7 km (11 mi) ......................................... 400 10019.3 km (12 mi) ......................................... 530 13020.9 km (13 mi) ......................................... 685 17022.5 km (14 mi) ......................................... 870 21524.1 km (15 mi) ......................................... 1000 27025.7 km (16 mi) ......................................... 1000 41527.4 km (17 mi) ......................................... 1000 50529.0 km (18 mi) ......................................... 1000 61030.6 km (19 mi) ......................................... 1000 73032.2 km (20 mi) ......................................... 1000 86533.8 km (21 mi) ......................................... 1000 1000

§ 22.1025 Permissible communications.Offshore central stations must com-

municate only with subscriber stations


219


(fixed, temporary-fixed, mobile and air-borne). Offshore subscriber stationsmust normally communicate only withand through offshore central stations.Stations in the Offshore Radio-telephone Service may communicatethrough relay stations authorized inthis service.

§ 22.1031 Temporary fixed stations.The FCC may, upon proper applica-

tion therefor, authorize the construc-tion and operation of temporary fixedstations in the Offshore Radio-telephone service to be used only whenthe service of permanent fixed stationsis disrupted by storms or emergenciesor is otherwise unavailable.

(a) Six month limitation. If it is nec-essary for a temporary fixed station toremain at the same location for morethan six months, the licensee of thatstation must apply for authorization tooperate the station at the specific loca-tion at least 30 days before the end ofthe six month period.

(b) International communications.Communications between the UnitedStates and Mexico must not be carriedusing a temporary fixed station with-out prior authorization from the FCC.Licensees desiring to carry such com-munications should apply sufficientlyin advance to allow for the time nec-essary to coordinate with Canada orMexico.

§ 22.1035 Construction period.The construction period (see § 22.142)

for offshore stations is 18 months.

§ 22.1037 Application requirements foroffshore stations.

Applications for new Offshore Radio-telephone Service stations must con-tain an exhibit showing that:

(a) The applicant has notified all li-censees of offshore stations locatedwithin 321.8 kilometers (200 miles) ofthe proposed offshore station, by pro-viding the following data, at least 30days before filing the application:

(1) The name, business address, chan-nel coordinator, and telephone numberof the applicant;

(2) The location and geographical co-ordinates of the proposed station;

(3) The channel and type of emission;(4) The height and type of antenna;

(5) The bearing of the main lobe ofthe antenna; and,

(6) The effective radiated power.(b) The proposed station will not

interfere with the primary ORS chan-nels by compliance with the followingseparations:

(1) Co-channel to a distance of 241.4kilometers (150 miles).

(2) If interstitial channels are used,adjacent channels (±12.5 kHz) to a dis-tance of 80.5 kilometers (50 miles).

(3) Third order intermodulation chan-nels (±12.5 kHz) to a distance of 32.2 kil-ometers (20 miles).

(4) If the proposed transmitting an-tenna site is located west of longitudeW.93°40′, and within 32.2 kilometers (20miles) of the shoreline, and proposeduse of the channels listed in § 22.1007(b),no third-order intermodulation inter-ference would be caused to any base ormobile station using the channels be-tween 488 and 494 MHz.

Subpart J—Required New Capa-bilities Pursuant to the Com-munications Assistance forLaw Enforcement Act (CALEA)

SOURCE: 64 FR 51717, Sept. 24, 1999, unlessotherwise noted.

§ 22.1100 Purpose.Pursuant to the Communications As-

sistance for Law Enforcement Act(CALEA), Public Law 103–414, 108 Stat.4279 (1994) (codified as amended in sec-tions of 18 U.S.C. and 47 U.S.C.), thissubpart contains rules that require acellular telecommunications carrier toimplement certain capabilities to en-sure law enforcement access to author-ized communications or call-identi-fying information.

§ 22.1101 Scope.The definitions included in this sub-

part shall be used solely for the pur-pose of implementing CALEA require-ments.

§ 22.1102 Definitions.Call identifying information. Call iden-

tifying information means dialing orsignaling information that identifiesthe origin, direction, destination, ortermination of each communication


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47 CFR Ch. I (10–1–01 Edition)§ 22.1103

generated or received by a subscriberby means of any equipment, facility, orservice of a telecommunications car-rier. Call identifying information is‘‘reasonably available’’ to a carrier if itis present at an intercept access pointand can be made available without thecarrier being unduly burdened withnetwork modifications.

Collection function. The locationwhere lawfully authorized interceptedcommunications and call-identifyinginformation is collected by a law en-forcement agency (LEA).

Content of subject-initiated conferencecalls. Capability that permits a LEA tomonitor the content of conversationsby all parties connected via a con-ference call when the facilities undersurveillance maintain a circuit connec-tion to the call.

Dialed digit extraction. Capability thatpermits a LEA to receive on the calldata channel digits dialed by a subjectwhen a call is connected to anothercarrier’s service for processing androuting.

In-band and out-of-band signaling. Ca-pability that permits a LEA to be in-formed when a network message thatprovides call identifying information(e.g., ringing, busy, call waiting signal,message light) is generated or sent bythe IAP switch to a subject using thefacilities under surveillance. Excludessignals generated by customer prem-ises equipment when no network signalis generated.

Intercept Access Point (IAP). Interceptaccess point is a point within a car-rier’s system where some of the com-munications or call-identifying infor-mation of an intercept subject’s equip-ment, facilities, and services areaccessed.

J–STD–025. The interim standard de-veloped by the Telecommunications In-dustry Association and the Alliance forTelecommunications Industry Solu-tions for wireline, cellular, andbroadband PCS carriers. This standarddefines services and features to supportlawfully authorized electronic surveil-lance, and specifies interfaces nec-essary to deliver intercepted commu-nications and call-identifying informa-tion to a LEA.

LEA. Law enforcement agency; e.g.,the Federal Bureau of Investigation ora local police department.

Party hold, join, drop on conferencecalls. Capability that permits a LEA toidentify the parties to a conference callconversation at all times.

Subject-initiated dialing and signalinginformation. Capability that permits aLEA to be informed when a subjectusing the facilities under surveillanceuses services that provide call identi-fying information, such as call for-warding, call waiting, call hold, andthree-way calling. Excludes signalsgenerated by customer premises equip-ment when no network signal is gen-erated.

Timing information. Capability thatpermits a LEA to associate call-identi-fying information with the content of acall. A call-identifying message mustbe sent from the carrier’s IAP to theLEA’s Collection Function withineight seconds of receipt of that mes-sage by the IAP at least 95% of thetime, and with the call event time-stamped to an accuracy of at least 200milliseconds.

§ 22.1103 Capabilities that must beprovided by a cellular telecommuni-cations carrier.

(a) Except as provided under para-graph (b) of this section, as of June 30,2000, a cellular telecommunicationscarrier shall provide to a LEA the as-sistance capability requirements ofCALEA, see 47 U.S.C. 1002. A carriermay satisfy these requirements bycomplying with publicly availabletechnical requirements or standardsadopted by an industry association orstandard-setting organization, such asJ–STD–025.

(b) As of September 30, 2001, a cel-lular telecommunications carrier shallprovide to a LEA communications andcall-identifying information trans-ported by packet-mode communica-tions and the following capabilities:

(1) Content of subject-initiated con-ference calls;

(2) Party hold, join, drop on con-ference calls;

(3) Subject-initiated dialing and sig-naling information ;

(4) In-band and out-of-band signaling;(5) Timing information;


221


(6) Dialed digit extraction.

PART 23—INTERNATIONAL FIXEDPUBLIC RADIOCOMMUNICATIONSERVICES

FIXED PUBLIC SERVICES

Sec.23.1 Definitions.23.11 Use of radiotelephone emissions by ra-

diotelegraph stations.23.12 Use of radiotelegraph emissions by ra-

diotelephone stations.23.13 Types of emission.23.14 Emission, bandwidth, modulation and

transmission characteristics.23.15 Emission limitations.23.16 Frequency tolerances.23.17 Frequency measurement.23.18 Authorization of power.23.19 Use of directional antennas.23.20 Assignment of frequencies.23.21 Communications by international con-

trol stations.23.23 Use of frequencies for radiotelegraph

communication within the continentalUnited States.

23.24 Correspondents and points of commu-nication.

23.25 Points of communication, limitations.23.26 Use of transmitters.23.27 Experimental research.23.28 Special temporary authorization.23.29 License period and expiration time.23.31 Period of construction.23.32 Equipment and service tests.23.35 Compliance with tariff requirements.23.36 Posting of license.23.37 Station identification.23.38 Experimental points of communica-

tion, limitations.23.39 Antenna structures.23.40 [Reserved]23.41 Quarterly report of frequency usage.23.42 License, simultaneous modification

and renewal.23.43 Maintenance tests of licensed stations.23.44 Station inspection.23.45 Operator license, posting of.23.46 Operators, class required and general

duties.23.47 Station records.23.48 Content of station records.23.49 Discontinuance of operation.23.50 Place of filing applications; fees and

number of copies.23.51 Addressed program material.23.52 Mobile stations, transmission simulta-

neously to.23.53 Addressed press and meteorological

services.23.54 Use of double sideband radiotelephone.23.55 Equal employment opportunities.

AUTHORITY: Secs. 4, 303, 48 Stat. 1066, 1082as amended; 47 U.S.C. 154, 303. Interpret orapply sec. 301, 48 Stat. 1081; 47 U.S.C. 301.

SOURCE: 28 FR 13032, Dec. 5, 1963, as amend-ed at 36 FR 2562, Feb. 6, 1971, unless other-wise noted.

FIXED PUBLIC SERVICES


Assigned frequency. The frequency co-inciding with the center of an author-ized bandwidth of emission.

Authorized bandwidth. The maximumbandwidth authorized to be used by astation as specified in the station li-cense. This shall be occupied band-width or necessary bandwidth, which-ever is greater.

Authorized reference frequency. A fre-quency having a fixed and specific posi-tion with respect to the assigned fre-quency.

Authorized service. The term ‘‘author-ized service’’ of a point-to-point radio-telegraph or radiotelephone stationmeans the transmission of public cor-respondence to a point of communica-tion as defined herein subject to suchspecial provisions as may be containedin the license of the station or in ac-cordance with § 23.53.

Fixed public service. The term ‘‘fixedpublic service’’ means aradiocommunication service carried onbetween fixed stations open to publiccorrespondence.

Fixed public press service. The term‘‘fixed public press service’’ means alimited radio communication servicecarried on between point-to-point tele-graph stations, consisting of trans-missions by fixed stations open to lim-ited public correspondence, of newsitems, or other material related to orintended for publication by press agen-cies, newspapers, or for public dissemi-nation. In addition, these trans-missions may be directed to one ormore fixed points specifically named ina station license, or to unnamed pointsin accordance with the provisions of§ 23.53.

NOTE: This section is not intended as a def-inition of any press classification. Cor-respondence admissible under any press clas-sification is determined by the tariffs of thevarious common carriers on file with theCommission.


222

47 CFR Ch. I (10–1–01 Edition)§ 23.11

Fixed station. The term ‘‘fixed sta-tion’’ in the fixed public or fixed publicpress service includes all apparatusused in rendering the authorized serv-ice at a particular location under a sin-gle instrument of authorization.

Frequency tolerance. The maximumpermissible departure by the centerfrequency of the frequency band occu-pied by an emission from the assignedfrequency or by the carrier, or sup-pressed carrier, from the reference fre-quency.

International fixed publicradiocommunication service. A fixed serv-ice, the stations of which are open topublic correspondence and which, ingeneral, is intended to provideradiocommunication between any oneof the contiguous 48 states (includingthe District of Columbia) and the Stateof Alaska, or the State of Hawaii, orany U.S. possession or any foreignpoint; or between any U.S. possessionand any other point; or between theState of Alaska and any other point; orbetween the State of Hawaii and anyother point. In addition,radiocommunications within the con-tiguous 48 states (including the Dis-trict of Columbia) in connection withthe relaying of international traffic be-tween stations which provide the aboveservice, are also deemed to be theinternational fixed publicradiocommunications service; pro-vided, however, that communicationssolely between Alaska, or any one ofthe contiguous 48 states (including theDistrict of Columbia), and either Can-ada or Mexico are not deemed to be inthe international fixed publicradiocommunication service when suchradiocommunications are transmittedon frequencies above 72 MHz.

International fixed public control serv-ice. A fixed service carried on for thepurpose of communicating betweentransmitting stations, receiving sta-tions, message centers or controlpoints in the international fixed publicradiocommunication service.

Occupied bandwidth. The frequencybandwidth such that, below its lowerand above its upper frequency limits,the mean powers radiated are eachequal to 0.5 percent of the total meanpower radiated by a given emission.

Point-to-point telegraph station. Theterm ‘‘point-to-point telegraph sta-tion’’ means a fixed station authorizedfor radiotelegraph communication.

Point-to-point telephone station. Theterm ‘‘point-to-point telephone sta-tion’’ means a fixed station authorizedfor radiotelephone communication.

Point of communication. The term‘‘point of communication’’ means aspecific location designated in the li-cense to which a station is authorizedto communicate for the transmissionof public correspondence.

Radiotelegraph. The term ‘‘radiotel-egraph’’ as used in this part shall beconstrued to include types N0N, A1A,A2A, A3C, F1B, F2B, and F3C emission.

Radiotelephone. The term ‘‘radio-telephone’’ as used in this part, withrespect to operation on frequenciesbelow 30 MHz, means a system ofradiocommunication for the trans-mission of speech or, in some cases,other sounds by means of amplitudemodulation including double sideband(A3E), single sideband (R3E, H3E, J3E)or independent sideband (B3E) trans-mission.

[38 FR 22478, Aug. 21, 1973, as amended at 49FR 48701, Dec. 14, 1984]

§ 23.11 Use of radiotelephone emis-sions by radiotelegraph stations.

The licensee of a radiotelegraph sta-tion, using frequencies below 30 MHz,may be authorized to use radio-telephone emissions as defined in § 23.1for the following purposes:

(a) Transmission of addressed pro-gram material as set forth in § 23.51.

(b) Controlling the transmission orreception of addressed program mate-rial

(c) Controlling the transmission orreception of facsimile material.

[28 FR 13032, Dec. 5, 1963, as amended at 36FR 2562, Feb. 6, 1971; 38 FR 22479, Aug. 21,1973]

§ 23.12 Use of radiotelegraph emis-sions by radiotelephone stations.

The licensee of a point-to-point ra-diotelephone station may be authorizedto use type N0N, A1A, A2A, F1B, or F2Bemission for identification, for test


223


purposes or for the exchange of servicemessages.

[49 FR 48701, Dec. 14, 1984]

§ 23.13 Types of emission.Stations in the international fixed

public radiocommunication servicesmay be authorized to use any of thetypes of emission or combinationsthereof, described in part 2 of thischapter, as well as new types whichmay be developed: Provided, Thatharmful interference to adjacent oper-ations is not caused thereby, And pro-vided further, That the intelligence tobe transmitted will use the bandwidthrequested to a degree of efficiency com-patible with the current state of theart. A determination of the possibili-ties of interference will be made asoutlined in § 23.20. In certain cases fre-quencies or emissions may be author-ized on a temporary basis to determineif interference will occur. During nor-mal operations, emissions shall be cen-tered about an assigned frequency.Non-centered emissions may be em-ployed for short periods of time asneeded to avoid interfering signals ormeet fluctuating traffic loading: Pro-vided, That the occupied bandwidth ofthese emissions be contained withinthe authorized bandwidth, And providedfurther, That prior to any such use, theCommission be notified of the ref-erence frequency or frequencies pro-posed to be used in lieu of the assignedfrequency.

[38 FR 22479, Aug. 21, 1973]

§ 23.14 Emission, bandwidth, modula-tion and transmission characteris-tics.

In the services under this part emis-sions are designated by their classifica-tion and their necessary bandwidth inaccordance with the following proce-dures:

(a) Designation of emissions in applica-tions. In applying for new frequency as-signments for emissions not presentlyauthorized, the emissions proposed tobe used shall be described and theirbandwidths specified as outlined inpart 2 of this chapter.

(b) Designation of emissions in author-izations. The emission designationsused in authorizations will indicate

only the maximum value of the nec-essary bandwidth for each type of mod-ulation authorized.

(c) New types of emissions. If applica-tion is made for a type of emission notcovered by part 2 of this chapter, a fulldescription of the emission must beprovided and, if possible, measure-ments of its occupied bandwidth.



(a) For all transmitters placed intooperation after September 19, 1973, andfor all transmitters after September 19,1975, which operate on frequenciesbelow 30 MHz:

(1) The occupied bandwidth of emis-sion shall be confined within the leastpossible spectrum space consistentwith the state of the art and the re-quired quality of transmission, and inno event shall be more than the au-thorized bandwidth.

(2) Spurious emissions of transmit-ters of mean power of 50 kilowatts orless shall be attenuated at least 40decibels below the mean power of thefundamental without exceeding thepower of 50 milliwatts.

(3) Spurious emissions of transmit-ters of mean power exceeding 50 kilo-watts shall be attenuated at least 60decibels below the mean power of thefundamental and every effort should bemade to keep the level of spuriousemissions below the power of 50milliwatts.

(b) For all transmitters placed intooperation after September 19, 1973, andfor all transmitters after September 19,1975, which operate on frequenciesabove 30 MHz, the mean powers ofemissions shall be attenuated belowthe mean output power of the trans-mitter in accordance with the fol-lowing schedule:

(1) On any frequency removed fromthe assigned frequency by more than 50percent up to and including 100 percentof the authorized bandwidth: At least25 decibels;

(2) On any frequency removed fromthe assigned frequency by more than100 percent up to and including 250 per-cent of the authorized bandwidth: atleast 35 decibels;


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47 CFR Ch. I (10–1–01 Edition)§ 23.16

(3) On any frequency removed fromthe assigned frequency by more than250 percent of the authorized band-width: at least 43 plus 10 log (mean out-put power in watts) decibels, or 80 deci-bels, whichever is the lesser attenu-ation.

(c) When an emission outside of theauthorized bandwidth causes harmfulinterference, the Commission may, atits discretion, require greater attenu-ation than that specified in this sec-tion.

[38 FR 22479, Aug. 21, 1973; 38 FR 24901, Sept.11, 1973]

§ 23.16 Frequency tolerances.(a) The frequency tolerance for sta-

tions in the International Fixed PublicRadiocommunications Services shallbe maintained as prescribed in the fol-lowing table:

Frequency range

Tolerances applicableto new transmitters in-stalled after September

19, 1973, and to alltransmitters after Sep-

tember 19, 1975

Percent Parts permillion

10 to 50 kHz .................................. .1 100050 to 535 kHz ................................ .02 2001605 to 30,000 kHz ....................... .0015 1530 to 50 MHz ................................. .002 2050 to 000 MHz ............................... .0005 51000 to 1850 MHz ......................... .001 101850 to 1990 MHz ......................... .02 2001990 to 2500 MHz ......................... .001 102500 to 10,500 MHz ...................... .03 30010,500 to 40,000 MHz ................... .05 500

(b) Until September 19, 1975, the fre-quency tolerance of transmitters in-stalled at stations in these services be-fore September 19, 1973, and operatingwithin the frequency bands set forthbelow, shall be maintained within thefollowing limits:

Frequency range Tolerance(percent)

10 to 50 kHz ........................................................ 0.150 to 535 kHz ...................................................... 0.021605 to 30000 kHz .............................................. 0.003Above 30 MHz ..................................................... (1)

1 As set forth in the radio station license.

[38 FR 27386, Oct. 3, 1973]

§ 23.17 Frequency measurement.Each station shall provide for the

measurement of all frequencies as-

signed thereto, and establish a proce-dure for checking them regularly.These measurements shall be made bymeans independent of the frequencycontrol of the transmitter and shall beof accuracy sufficient to detect devi-ation from the assigned frequencywithin one-half of the allowed toler-ance. A record shall be kept of the re-sults and dates of all frequency meas-urements.

[38 FR 22480, Aug. 21, 1973]

§ 23.18 Authorization of power.(a) Authorized power. Power, when

designated in the respective station li-cense for a particular transmitter ortransmitters, is peak envelope powerfor transmitters having full, unkeyedcarrier, single sideband or independentsideband emissions, and mean powerfor transmitters having other emis-sions, unless specifically expressed oth-erwise. Designation of effective radi-ated power may appear in the stationlicense in addition to designation ofpower for a transmitter or transmit-ters, when deemed necessary by theCommission.

(b) Use of minimum power. In the in-terest of avoiding interference to otheroperations, all stations shall radiateonly as much power as is necessary toensure a satisfactory service.

[38 FR 22480, Aug. 21, 1973]

§ 23.19 Use of directional antennas.Insofar as is practicable, directional

antennas, of type consistent with thecurrent state of art, shall be used onall circuits for both transmitting andreceiving.

[38 FR 22480, Aug. 21, 1973]

§ 23.20 Assignment of frequencies.(a) Only those frequencies which are

in accordance with § 2.106 of this chap-ter may be authorized for use by sta-tions in the Fixed Public and FixedPublic Press Services. Selection of spe-cific frequencies within such bandsshall be made by the applicants there-for. After an application has been filedwith the Commission for a particularfrequency, its availability for assign-ment as requested will be determinedby a study of the probabilities of inter-ference to and from existing services


225


assigned on the same or adjacent fre-quencies and, if necessary, by coordina-tion with other agencies utilizing fre-quencies in these ranges. The applicantwill be notified of the results of suchstudy and coordination. All new assign-ments of frequencies may be made sub-ject to certain conditions as may be re-quired to minimize the possibility ofharmful interference to existing serv-ices.

(b) In order to minimize possibleharmful interference at the NationalRadio Astronomy Observatory site lo-cated at Green Bank, PocahontasCounty, West Virginia, and at theNaval Radio Research Observatory siteat Sugar Grove, Pendleton County,West Virginia, any applicant for a sta-tion authorization other than mobile,temporary base, temporary fixed, Per-sonal Radio, Civil Air Patrol, or Ama-teur seeking a station license for a newstation, a construction permit to con-struct a new station or to modify anexisting station license in a mannerwhich would change either the fre-quency, power, antenna height or di-rectivity, or location of such a stationwithin the area bounded by 39°15′ N. onthe north, 78°30′ W. on the east, 37°30′ N.on the south and 80°30′ W. on the westshall, at the time of filing such appli-cation with the Commission, simulta-neously notify the Director, NationalRadio Astronomy Observatory, P. O.Box No. 2, Green Bank, West Virginia,24944, in writing, of the technical par-ticulars of the proposed station. Suchnotification shall include the geo-graphical coordinates of the antenna,antenna height, antenna directivity ifany, proposed frequency, type of emis-sion, and power. In addition, the appli-cant shall indicate in his application tothe Commission the date notificationwas made to the Observatory. After re-ceipt of such applications, the Commis-sion will allow a period of twenty (20)days for comments or objections in re-sponse to the notifications indicated. Ifan objection to the proposed operationis received during the twenty day pe-riod from the National Radio Astron-omy Observatory for itself or on behalfof the Naval Radio Research Observ-atory, the Commission will consider allaspects of the problem and take what-ever action is deemed appropriate.

(c) [Reserved](d) Protection for Table Mountain

Radio Receiving Zone, Boulder County,Colorado: Applicants for a station au-thorization to operate in the vicinityof Boulder County, Colorado under thispart are advised to give due consider-ation, prior to filing applications, tothe need to protect the Table MountainRadio Receiving Zone from harmful in-terference. These are the research lab-oratories of the Department of Com-merce, Boulder County, Colorado. Toprevent degradation of the present am-bient radio signal level at the site, theDepartment of Commerce seeks to en-sure that the field strengths of any ra-diated signals (excluding reflected sig-nals) received on this 728 hectare site(in the vicinity of coordinates 40°07′50″N Latitude, 105°14′40″ W Longitude) re-sulting from new assignments (otherthan mobile stations) or from themodification or relocation of existingfacilities do not exceed the followingvalues:

Frequency range

Fieldstrength

(mV/m) inauthorizedbandwidthof service

Power fluxdensity 1

(dBW/m2) inauthorizedbandwidthof service

Below 540 kHz .......................... 10 65.8540 to 1600 Khz ........................ 20 59.81.6 to 470 MHz .......................... 10 2 65.8470 to 890 MHz ......................... 30 2 56.2Above 890 MHz ......................... 1 2 85.8




(i) All stations within 2.4 kilometers;(ii) Stations within 4.8 kilometers

with 50 watts or more effective radi-ated power (ERP) in the primary planeof polarization in the azimuthal direc-tion of the Table Mountain Radio Re-ceiving Zone;


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47 CFR Ch. I (10–1–01 Edition)§ 23.20

(iii) Stations within 16.1 kilometerswith 1 kW or more ERP in the primaryplane of polarization in the azimuthaldirection of Table Mountain ReceivingZone;

(iv) Stations within 80.5 kilometerswith 25 kW or more ERP in the pri-mary plane or polarization in the azi-muthal direction of Table MountainReceiving Zone.

(2) Applicants concerned are urged tocommunicate with the Radio Fre-quency Management Coordinator, De-partment of Commerce, Research Sup-port Services, NOAA R/E5X2, BoulderLaboratories, Boulder, CO 80303; tele-phone (303) 497–6548, in advance of filingtheir applications with the Commis-sion.

(3) The Commission will not screenapplications to determine whether ad-vance consultation has taken place.However, applicants are advised thatsuch consultation can avoid objectionsfrom the Department of Commerce orproceedings to modify any authoriza-tion which may be granted which, infact, delivers a signal at the site in ex-cess of the field strength specifiedherein.

(e) Protection for Federal Commu-nications Commission monitoring sta-tions:

(1) Applicants in the vicinity of anFCC monitoring station for a radio sta-tion authorization to operate newtransmitting facilities or changedtransmitting facilities which would in-crease the field strength produced overthe monitoring station over that pre-viously authorized are advised to giveconsideration, prior to filing applica-tions, to the possible need to protectthe FCC stations from harmful inter-ference. Geographical coordinates ofthe facilities which require protectionare listed in § 0.121(c) of the Commis-sion’s Rules. Applications for stations(except mobile stations) which willproduce on any frequency a direct wavefundamental field strength of greaterthan 10 mV/m in the authorized band-width of service (¥65.8 dBW/m2 powerflux density assuming a free spacecharacteristic impedance of 120 ohms)at the referenced coordinates, may beexamined to determine extent of pos-sible interference. Depending on thetheoretical field strength value and ex-

isting root-sum-square or other ambi-ent radio field signal levels at the indi-cated coordinates, a clause protectingthe monitoring station may be addedto the station authorization.


(3) Advance consultation is suggestedparticularly for those applicants whohave no reliable data which indicateswhether the field strength or powerflux density figure indicated would beexceeded by their proposed radio facili-ties (except mobile stations). In suchinstances, the following is a suggestedguide for determining whether an ap-plicant should coordinate:

(i) All stations within 2.4 kilometers(1.5 statute miles);

(ii) Stations within 4.8 kilometers (3statute miles) with 50 watts or moreaverage effective radiated power (ERP)in the primary plane of polarization inthe azimuthal direction of the Moni-toring Stations.

(iii) Stations within 16 kilometers (10statute miles) with 1 kW or more aver-age ERP in the primary plane of polar-ization in the azimuthal direction ofthe Monitoring Station;

(iv) Stations within 80 kilometers (50statute miles) with 25 kW or more av-erage ERP in the primary plane of po-larization in the azimuthal direction ofthe Monitoring Station;

(4) Advance coordination for stationsoperating above 1000 MHz is rec-ommended only where the proposedstation is in the vicinity of a moni-toring station designated as a satellitemonitoring facility in § 0.121(c) of theCommission’s Rules and also meets thecriteria outlined in paragraphs (e)(2)and (3) of this section.

(5) The Commission will not screenapplications to determine whether ad-vance consultation has taken place.However, applicants are advised that


227


such consultation can avoid objectionsfrom the Federal CommunicationsCommission or modification of any au-thorization which will cause harmfulinterference.

(f) Any applicant for a new perma-nent base or fixed station to be locatedon the islands of Puerto Rico,Desecheo, Mona, Vieques, and Culebra,or for a modification of an existing au-thorization which would change thefrequency, power, antenna height, di-rectivity, or location of a station onthese islands and would increase thelikelihood of the authorized facilitycausing interference, shall notify theInterference Office, Arecibo Observ-atory, Post Office Box 995, Arecibo,Puerto Rico 00613, in writing or elec-tronically, of the technical parametersof the proposal. Applicants may wishto consult interference guidelines,which will be provided by Cornell Uni-versity. Applicants who choose totransmit information electronicallyshould e-mail to: [email protected]


(2) After receipt of such applications,the Commission will allow the AreciboObservatory a period of 20 days forcomments or objections in response tothe notification indicated. The appli-cant will be required to make reason-able efforts in order to resolve or miti-gate any potential interference prob-lem with the Arecibo Observatory andto file either an amendment to the ap-plication or a modification application,as appropriate. If the Commission de-termines that an applicant has satis-

fied its responsibility to make reason-able efforts to protect the Observatoryfrom interference, its application maybe granted.


[28 FR 13032, Dec. 5, 1963, as amended at 42FR 8329, Feb. 9, 1977; 42 FR 27894, June 1, 1977;44 FR 77167, Dec. 31, 1979; 50 FR 39002, Sept.26, 1985; 58 FR 44904, Aug. 25, 1993; 61 FR 8477,Mar. 5, 1996; 62 FR 55530, Oct. 27, 1997]

§ 23.21 Communications by inter-national control stations.

Stations in the international fixedpublic control service are authorized tocommunicate between transmittingstations, receiving stations, messagecenters or control points operating inthe international fixed publicradiocommunication services for thepurpose of handling service messagesor international traffic between thesepoints: Provided, That only traffic orig-inating in or destined to points outsidethe contiguous states may be handled.Frequencies in bands designated forinternational control stations in Part 2of this chapter may be assigned tothese stations.

[38 FR 22480, Aug. 21, 1973]

§ 23.23 Use of frequencies for radio-telegraph communication withinthe continental United States.

Licensees of point-to-point radio-telegraph stations may use any fre-quency authorized in a station licensefor communication between designatedpoints within the 48 contiguous statesand the District of Columbia upon theexpress condition that the use of anyfrequency above 5000 kHz shall be sub-ject to the limitation that no inter-ference shall be caused to the inter-national service, or to service withAlaska or Hawaii; and in the eventsuch interference is caused the licenseeshall immediately discontinue the useof the frequency or frequencies pro-ducing such interference and operationthereon may be conducted only attimes when such interference will notbe caused.


228

47 CFR Ch. I (10–1–01 Edition)§ 23.24

§ 23.24 Correspondents and points ofcommunication.

Each instrument of authorizationissued for fixed public or fixed publicpress service shall authorize commu-nication to the points of communica-tion and to the organizations, agencies,or persons specified therein only, ex-cept as provided by § 23.53: Provided,however, That in the event of a changein an organization, agency, or personspecified or a change in the effectivecontrol of such organization, agency,or person, the licensee shall imme-diately notify the Commission of suchchange and shall file an application formodification of the instrument of au-thorization: And provided further, Thatwhere such change is occasioned byreason of circumstances beyond thecontrol of the licensee, communicationunder the then outstanding instrumentof authorization shall be permitted tocontinue pending consideration of andaction upon the application for modi-fication of the instrument of authoriza-tion.

§ 23.25 Points of communication, limi-tations.

No point of communication will beregularly authorized in any instrumentof authorization for fixed public orfixed public press service in absence ofan adequate showing that public cor-respondence may be transmitted andreceived from such points, except asprovided in § 23.53.

§ 23.26 Use of transmitters.The licensee of a point-to-point ra-

diotelegraph or radiotelephone stationmay use any transmitter of the stationfor transmission upon any frequencyassigned to the station for communica-tion with any point of communicationauthorized by the station license: Pro-vided, however, That the maximumpower authorized for the specific fre-quency as shown in the license is notexceeded.

§ 23.27 Experimental research.The licensee of a station may be au-

thorized to use a transmitter which islicensed for fixed public or fixed publicpress service for experimental researchin accordance with the rules and regu-lations governing the experimental

service upon the condition that no in-terference will be caused to the publicservice. Experimental (Research) andExperimental (Developmental) Sta-tions authorized to operate as point-to-point telegraph or telephone stationsshall comply with the rules governingfixed public radio services in additionto the rules and regulations governingexperimental radio services.

§ 23.28 Special temporary authoriza-tion.

(a) Requests for special temporaryauthority must be accompanied by ashowing that interference will not becaused to the fixed public or fixed pub-lic press service for which the stationis primarily licensed; and, in addition,such requests must be accompanied bythe following:

(1) A statement of the call signs, lo-cation, and frequencies of the trans-mitting station; The call signs, loca-tion, and frequencies of the receivedstation; and the type or types of emis-sion to be employed by both stations.

(2) A statement as to whether the fre-quencies are to be used for contact con-trol purposes only.

(3) A statement of the period forwhich the temporary authority is de-sired.

(4) A statement describing the serv-ice which is to be rendered.

(b) Temporary authorizations of op-eration not to exceed 180 days may begranted under the standards of section309(f) of the Communications Actwhere extraordinary circumstances sorequire. Extensions of the temporaryauthorizations for a period of 180 daysmay also be granted, but the renewalapplicant bears a heavy burden to showthat extraordinary circumstances war-rant such an extension.

(c) Each application proposing con-struction of one or more new antennastructures or alteration of the overallheight of one or more existing antennastructures, where FAA notificationprior to such construction or alter-ation is required by part 17 of thischapter, must include the FCC An-tenna Structure Registration Num-ber(s) for the affected structure(s). Ifno such number has been assigned atthe time the application(s) is filed, theapplicant must state in the application


229


whether the owner has notified theFAA of the proposed construction oralteration and applied to the FCC foran Antenna Structure RegistrationNumber in accordance with part 17 ofthis chapter. Applications proposingconstruction of one or more new an-tenna structures or alteration of theoverall height of one or more existingantenna structures, where FAA notifi-cation prior to such construction or al-teration is not required by part 17 ofthis chapter, must indicate such and,unless the structure is 6.10-meters orless above ground level (AGL), mustcontain a statement explaining whyFAA notification is not required.

[48 FR 27253, June 14, 1983, as amended at 61FR 4365, Feb. 6, 1996]

§ 23.29 License period and expirationtime.

(a) Licenses for stations operating inthe fixed public radiocommunicationsservices will be issued for a period of 10years unless otherwise stated in the in-strument of authorization. The date ofexpiration of such licenses shall be the1st day of December, and each stationlicense will be issued so as to expire atthe hour 3 a.m., eastern standard time.Unless otherwise ordered, when an ap-plication for a new station license isgranted within three months of the ex-piration date for licenses of the par-ticular class of station involved, the li-cense shall be issued for the unexpiredperiod of the current license term andfor the full succeeding term. If grantedmore than three months from the nor-mal expiration date, the license shallbe issued for the unexpired period ofthe current license term only.

(b) The Commission reserves theright to grant or renew station licensesin these services for a shorter period oftime than that generally prescribed forsuch stations if, in its judgment, thepublic interest, convenience or neces-sity would be served by such action.

[28 FR 13032, Dec. 5, 1963, as amended at 36FR 2562, Feb. 6, 1971; 38 FR 22480, Aug. 21,1973; 48 FR 27253, June 14, 1983]

§ 23.31 Period of construction.Each construction permit for a radio

station in the fixed public service willspecify the date of grant as the earliestdate of commencement of construction

and a maximum of eight months there-after as the time within which con-struction shall be completed and thestation ready for operation, unless oth-erwise determined by the Commissionupon proper showing in any particularcase.

§ 23.32 Equipment and service tests.(a) Upon completion of construction

of a radio station in exact accordancewith the terms of the construction per-mit, the technical provisions of the ap-plication therefor and the other appli-cable provisions of this part and priorto filing of application for license, thepermittee is authorized to test theequipment for a period not to exceed 10days: Provided, That:

(1) The engineer in charge of the dis-trict in which the station is located isnotified 2 days in advance of the begin-ning of tests.

(2) The Commission may notify thepermittee to conduct no tests or maycancel, suspend, or change the date ofbeginning for the period of such testsas and when such action may appear tobe in the public interest, convenience,and necessity.

(b) When construction and equipmenttests are completed in exact accord-ance with the terms of the construc-tion permit, the technical provisions ofthe application therefor, and the otherapplicable provisions of this part, andafter an application for station licensehas been filed with the Commissionshowing the transmitter to be in satis-factory operating condition, the per-mittee is authorized to conduct servicetests in exact accordance with theterms of the construction permit for aperiod not to exceed 30 days: Provided,That:

(1) The engineer in charge of the dis-trict in which the station is located isnotified 2 days in advance of the begin-ning of the tests.

(2) The Commission reserves theright to cancel such tests or suspend,or change the date of beginning for theperiod of such tests as and when suchaction may appear to be in the publicinterest, convenience, and necessity bynotifying the permittee.

(3) Service tests will not be author-ized after the expiration date of theconstruction permit.


230

47 CFR Ch. I (10–1–01 Edition)§ 23.35

(c) The authorization for tests em-bodied in paragraphs (a) and (b) of thissection shall not be construed as con-stituting a license to operate but as anecessary part of the construction.

§ 23.35 Compliance with tariff require-ments.

No licensee authorized to performcommon carrier service by means ofradio communication shall engage insuch service without compliance withall statutory provisions and regula-tions of the Commission relative to thefiling of tariffs; and nothing containedin this part shall be deemed as a waiveror modification of any such statutoryprovision or regulation.

§ 23.36 Posting of license.The license of a station shall be post-

ed in a conspicuous place in the maintransmitter building of the station orkept in such building where it is read-ily available for inspection purposes.

§ 23.37 Station identification.(a) General. Every radiotelegraph or

radiotelephone station in the Inter-national Fixed Public or Fixed PublicPress Service shall transmit, as pro-vided below, the identifying call signor other approved identification signalon each of its assigned frequenciesbelow 30 MHz on which energy is beingradiated.

(b) When required. (1) The call sign as-signed to each frequency shall be trans-mitted on that frequency at the begin-ning and end of each period of use ofthe frequency.

(2) During regular operation on anyfreuency, the call sign or other ap-proved identification signal shall betransmitted at least at hourly inter-vals within the period from 10 minutesbefore to 10 minutes after each hour. Ifidentification during this period wouldrequire an interruption in the trans-mission of a radio-photo, a telephoneconversation, an addressed program ora multiple addressed press message, ora break in the continuity of a ‘‘con-ference’’ or ‘‘leased line’’ type of serv-ice, the identifying signal shall betransmitted at the first break in, atthe conclusion of, or simultaneouslywith, the particular transmission asdescribed below.

(c) Methods of transmission. (1) Allidentifying signals shall be transmittedin such a manner as to permit identi-fication without special equipmentother than communication type receiv-ers, except as provided in paragraph (e)of this section. When emissions arebeing used which are not capable ofidentification without special equip-ment, the identifying signal shall betransmitted by one of the followingmethods:

(i) By interrupting the transmissionand transmitting the call sign in amanner which can be identified with-out special equipment.

(ii) By superimposing the call sign orother approved identification signal onthe emission being transmitted with-out interrupting the transmission asprovided for by paragraphs (e) and (f) ofthis section.

(d) Emissions to be used. (1) Except asotherwise provided, the following emis-sions shall be used for identification:

(i) Radiotelegraph stations. The identi-fying call sign shall be transmitted byInternational Morse code at a speednot to exceed 25 words per minute andshall consist of the signal ‘‘QRA de’’followed by the call sign. This trans-mission shall be made at least threetimes.

(ii) Radiotelegraph stations using tele-phone type emissions. When telephonetype emissions are being used in ac-cordance with § 23.11, identificationmay be made by voice and shall consistof announcing three times in Englishthe call sign of the frequency beingused

(iii) Radiotelephone stations. The iden-tifying transmission may be made uti-lizing either telegraph or telephonetype emissions. When telegraph emis-sion is used, the transmission shall bemade in International Morse Code at aspeed not to exceed 25 words perminute and shall consist of the signal‘‘QRA de’’ followed by the call sign.This transmission shall be made atleast three times. When telephoneemission is used, the identificationshall consist of announcing three timesin English the call sign of the fre-quency being used, provided that allprivacy or secrecy devices shall be re-moved from the circuit during suchtransmissions.


231


(e) Superimposed identification. Radio-telegraph or radiotelephone stationsidentifying simultaneously with trans-mission of traffic: call signs or the gen-eral identification signal described inparagraph (f) of this section may be su-perimposed on the emission beingtransmitted by any method which willmake identification possible with com-munication type receivers providedthat approval of any such method shallfirst have been obtained from the Fed-eral Communications Commission.(Approval by the Federal Communica-tions Commission of any means ofidentification of complex emissions bysuperimposing identification of regulartransmissions will be given upon satis-factory completion of coordinated teststhereof by the applicant and the Com-mission’s Field Engineering Bureau.)Commission approval may be with-drawn if at any subsequent time harm-ful interference to adjacent frequenciesis caused by the superimposed identi-fication. When superimposed identi-fication by call sign is used, the identi-fying signal shall consist of ‘‘QTT de(call sign)’’ transmitted at least threetimes in International Morse Code at aspeed not to exceed 25 words perminute.

(f) General identification signal. Whenan approved method of superimposedidentification is used, the identifica-tion signal shall consist of ‘‘QTT de(abbreviated name of company re-corded with the Commission) (abbre-viated name of station recorded withthe Commission).’’ (It is suggested that‘‘abbreviated company name’’ consistof two to five letters such as the ini-tials of the company name and that‘‘abbreviated name of station’’ consistof two or three letters indicating thename of the city where the licensee’smessage center is located. Both ofthese abbreviations shall be notified tothe Commission before being used foridentification.) This general identifica-tion signal shall be transmitted inInternational Morse Code at a speednot to exceed 25 words per minute andmay be transmitted continuously orintermittently as desired provided thatit shall be transmitted for at least fiveminutes total time during the periodfrom 10 minutes before to 10 minutesafter each hour that energy is being ra-

diated on the frequency. The same sig-nal may be superimposed on all trans-missions being made at a particularstation: Provided, however, That li-censed call signs shall be transmittedon the frequencies to which they areassigned as often as is practicable andreasonable or at least at the beginningand end of each period of use of eachfrequency.

(g) Identification by printer. Notwith-standing the other provisions of thissection with respect to methods oftransmission, when single channelstart-stop 5 unit code printer equip-ment is being used, the identifying callsign may be transmitted by means ofprinter signals. When identification ismade by printer signals, it shall con-sist of the call sign for the particularfrequency being used and shall be madeat least three times at a speed of ap-proximately 60 words per minute.

§ 23.38 Experimental points of commu-nication, limitations.

Experimental (Research) or Experi-mental (Developmental) stations li-censed to operate as point-to-pointtelegraph or telephone stations in thefixed public service may communicateonly with other experimental stationslocated within the continental limitsof the United States (except Alaska):Provided, however, That upon applica-tion the Commission may authorizesuch a station to communicate withone or more specific points in Alaska,Hawaii, possessions of the UnitedStates, or with a specific foreign point.In each such case, the Commission willdetermine the nature of the experi-mental transmissions which may bemade to such point of communication.

§ 23.39 Antenna structures.(a) FAA notification. Before the con-

struction of new antenna structures oralteration in the height of existing an-tenna structures is authorized by theFCC, a Federal Aviation Administra-tion (FAA) determination of ‘‘no haz-ard’’ may be required. To apply for thisdetermination, the FAA must be noti-fied of the planned construction. Cri-teria used to determine whether FAAnotification is required for a particularantenna structure are contained inpart 17 of this chapter. Applications


232

47 CFR Ch. I (10–1–01 Edition)§ 23.40

proposing construction of one or morenew antenna structures or alteration ofthe overall height of one or more exist-ing antenna structures, where FAA no-tification prior to such construction oralteration is not required by part 17 ofthis chapter, must indicate such and,unless the reason is obvious (e.g. struc-ture height is less than 6.10 metersAGL) must contain a statement ex-plaining why FAA notification is notrequired.

(b) Painting and lighting. The owner ofeach antenna structure required to bepainted and/or illuminated under theprovisions of Section 303(q) of the Com-munications Act of 1934, as amended,shall operate and maintain the antennastructure painting and lighting in ac-cordance with part 17 of this chapter.In the event of default by the owner,each licensee or permittee shall be in-dividually responsible for conformingto the requirements pertaining to an-tenna structure painting and lighting.

(c) Antenna Structure RegistrationNumber. Applications proposing con-struction of one or more new antennastructures or alteration of the overallheight of one or more existing struc-tures, where FAA notification prior tosuch construction or alteration is re-quired by part 17 of this chapter, mustinclude the FCC Antenna StructureRegistration Number(s) for the affectedstructure(s). If no such number hasbeen assigned at the time the applica-tion is filed, the applicant must statein the application whether or not theantenna structure owner has notifiedthe FAA of the proposed constructionor alteration and applied to the FCCfor an Antenna Structure RegistrationNumber in accordance with part 17 ofthis chapter for the antenna structurein question.

[61 FR 4366, Feb. 6, 1996]

§ 23.40 [Reserved]

§ 23.41 Quarterly report of frequencyusage.

(a) Transmitted frequencies. Each li-censee in the international fixed radio-communication services shall submit areport of frequency usage for all au-thorized frequencies below 30 MHz foreach station. If more than one stationis operated from a common control

point, reports for the stations may becombined into one. This report shall bedue 40 days after the close of each cal-endar quarter and shall contain the fol-lowing information: Each frequency as-signed to the station or stations andthe number of hours it was used duringthe quarter to each point of commu-nication for each class of service ren-dered (such as telegraph, telephone,program, or radiophoto), the types ofemission normally used to each pointof communication, and the total hourseach frequency was used.

(b) Received frequency report. Uponspecific request by the Commission, li-censees in the international fixed pub-lic radiocommunication services shallfurnish promptly the following infor-mation regarding frequencies receivedfrom all points of communication: Allfrequencies received, including callsigns, location of transmitting station,type and bandwidth of emission nor-mally employed, point of reception,and a symbol from the following tableindicating the amount of usage of theparticular received frequency.

Symbol Usage

D .............. Daily regular use during business days.O .............. Occasional use; not used daily, but offered fre-

quently when required by propagation oroperational conditions.

S .............. Seldom received; where records indicate lightuse during the past year.

L ............... Limited use; limited by solar activity to a part ofthe solar cycle or to a part of each year.

The following criteria shall be used todetermine whether or not a frequencyshall be reported as received:

(1) Report all frequencies regularlyused during the period under consider-ation.

(2) Report frequencies received con-sistently during a substantial part ofany cyclical change in frequency use-fulness even though they may be un-used for considerable periods of timeduring another part of the cycle.

(3) Do not report any frequency, theuse of which is known to have been dis-continued or transferred to another op-eration by a foreign correspondent.

(4) Do not report any frequencywhich has been inactive for a period of6 months or longer, except as indicatedin paragraph (b)(2) of this section.

[38 FR 22480, Aug. 21, 1973]


233


§ 23.42 License, simultaneous modifica-tion and renewal.

When an application is granted bythe Commission necessitating theissuance of a modified license less than60 days prior to the expiration date ofthe license sought to be modified, andan application for renewal of said li-cense is granted subsequent or priorthereto (but within 30 days of expira-tion of the present license) the modi-fied license as well as the renewal li-cense shall be issued to conform to thecombined action of the Commission.

§ 23.43 Maintenance tests of licensedstations.

Station licensees are authorized tocarry on such routine tests as may berequired for the proper maintenance ofthe stations: Provided, That the testsshall be so conducted as not to causeinterference with the service of otherstations.

§ 23.44 Station inspection.The licensee of any radio station

shall make the station available for in-spection by representatives of the Com-mission at any reasonable hour.

§ 23.45 Operator license, posting of.The original license of each station

operator shall be posted at the placewhere he is on duty.

§ 23.46 Operators, class required andgeneral duties.

(a) The operation and control of alltransmitting apparatus licensed at astation in the international fixed pub-lic radiocommunication services shallbe carried on only by a person holdinga valid operator license issued by theCommission, except as provided inother paragraphs of this section.

(b) Classes of operator licenses re-quired are as follows:

(1) Radiotelegraph stations: Radio-telegraph or Radiotelephone first- orsecond-class license: Provided, however:

(i) If manual morse code keying isused for transmitting public cor-respondence, the person manipulatingthe telegraph key shall be the holder ofa radio-telegraph first- or second-classlicense except as provided by paragraph(b)(1)(iv) of this section;

(ii) If manual morse code keying isused only for the purposes of identifica-tion or for sending service messages,the person manipulating the telegraphkey shall be the holder of a radio-telegraph third-class permit or higherclass of radiotelegraph license exceptas provided by paragraph (b)(1)(iv) ofthis section;

(iii) If automatic keying equipmentis used, the operator of such equipmentmay send short service signals (re-quests for repeats, etc.) by manualmorse code without being the holder ofa radio operator license.

(iv) Unlicensed telegraph operators ofappropriate skill as determined by theradio station licensee may manipulatethe telegraph key of radiotelegraphstations provided that properly li-censed radiotelegraph operators are onduty at the transmitting station or au-thorized remote control point and thatsuch licensed operators are fully re-sponsible for the proper operation ofthe transmitting equipment.

(2) Radiotelephone stations: Radio-telephone first- or second-class license:Provided, however, that, if manualmorse code keying is employed in ac-cordance with § 23.12, the person manip-ulating the telegraph key shall be theholder of a valid radiotelegraph third-class permit or higher class of radio-telegraph license.

(3) Radiotelegraph-Radiotelephonestations: Provisions under paragraph(b)(1) of this section are applicable.

(4) International control stations:Radiotelegraph or radiotelephone first-or second-class license.

(c) One or more licensed operators ofthe grade specified in paragraph (b) ofthis section shall be on duty at theplace where the transmitting appa-ratus is located and in actual chargethereof when it is being operated: Pro-vided, however, That:

(1) In case of stations in these serv-ices operating on frequencies above 30MHz, the Commission may authorizeunattended operation upon applicationtherefor and showing that the equip-ment is so designed and constructed asto make such operation feasible. Whensuch unattended operation is author-ized, properly licensed operators shallbe on duty at a terminal of the system


234

47 CFR Ch. I (10–1–01 Edition)§ 23.47

of which the unattended station or sta-tions are a part or shall be available oncall to perform necessary maintenanceduties.

(2) In the case of a station where re-mote control is used, the Commissionmay grant authority to employ an op-erator or operators at the control pointin lieu of the place where the transmit-ting apparatus is located, provided thatthe following conditions are compliedwith:

(i) The transmitter shall be so in-stalled and protected that it is not ac-cessible to other than duly authorizedpersons.

(ii) A device shall be provided at theremote control point which gives acontinuous visual indication wheneverthe control circuits have been placed ina condition to activate the radio trans-mitting apparatus.

(iii) Provision shall be made to mon-itor aurally all transmissions origi-nating under control of the responsibleoperator at the remote point.

(iv) The radiation of the transmittershall be suspended immediately whenthere is a deviation from the terms ofthe station license or applicable provi-sions of this chapter.

(v) When remote control of a trans-mitter is performed from a separate lo-cation such as a message center ortelephone exchange and manual morsecode keying is not used, the operator(s)at that point need not be licensed bythe Commission provided that licensedoperator(s) are on duty at the trans-mitter location or authorized remotecontrol point at all times that the sta-tion is in operation, and they are fullyresponsible for the proper operation ofthe transmitting equipment. If manualmorse code keying is used at a remotecontrol point, the provisions of para-graph (b)(1) of this section shall apply.

(3) When a radio station is radiating,all adjustments or tests during or coin-cident with the installation and serv-icing or maintenance of the trans-mitter and its associated equipmentwhich may affect the quality of trans-mission or possibly cause the stationradiation to exceed the limits specifiedin its instrument of authorization or inthe rules pertaining to such stationshall be made by or under the imme-diate supervision and responsibility of

a person holding the proper license,who shall be responsible for the properfunctioning of the radio facilities. Aradiotelephone station must be underthe supervision of a person holding aradiotelephone or radiotelegraph first-or second-class license, and a radio-telegraph station must be under the su-pervision of a person holding a radio-telegraph first- or second-class license.

(4) When a radio station is not radi-ating, persons of appropriate technicalskill, who are not licensed radio opera-tors, may perform the functions de-scribed in paragraph (c)(3) of this sec-tion without direct supervision afterhaving been authorized to do so by theresponsible licensed operator underwhose immediate supervision the fa-cilities shall thereafter initially beplaced in operation and be determinedto be operating properly.

[38 FR 22480, Aug. 21, 1973]

§ 23.47 Station records.

(a) Station records shall be kept inan orderly manner, and in such detailthat the data required is readily avail-able. Key letters, abbreviations, orsymbols may be used if proper meaningor explanation is set forth in therecord.

(b) Each entry in the records of a sta-tion shall be made by a person quali-fied to do so and having actual knowl-edge of the facts to be recorded, andeach entry shall clearly identify theperson making the entry. Each entryor group of entries shall be certified bythe signature of the person or personsresponsible: Provided, That each phys-ical page contain such certification:And provided further, That any suchgroup of entries contain entries madeonly during a single daily period ofduty.

(c) No record or portions thereofshall be erased, obliterated, or willfullydestroyed within the required reten-tion period. Any necessary correctionmay be made only by the person origi-nating the entry, who shall strike outthe erroneous portion, initial the cor-rections made, and indicate the date ofcorrection.

(d) The records required by this partshall be retained for a period of at least1 year: Provided, that:


235


(1) Records involving communica-tions incident to a disaster or which in-clude communications incident to, orinvolved in, an investigation by theCommission and concerning which thelicensee has knowledge shall be re-tained by the licensee until specificallyauthorized in writing by the Commis-sion to destroy them.

(2) Records incident to or involved inany claim or complaint of which the li-censee has knowledge shall be retainedby the licensee until such claim orcomplaint has been fully satisfied oruntil the same has been barred by stat-ute limiting the time for the filing ofsuit upon such claim.

[38 FR 22481, Aug. 21, 1973]

§ 23.48 Content of station records.(a) For each station in the services

under this part, except stations in theinternational fixed public control serv-ice, the licensee shall maintain a tech-nical log of the station operating show-ing:

(1) Signature of each licensed oper-ator responsible for the operation ofthe transmitting equipment and an in-dication of his hours of duty.

(2) Hours of use of each frequency as-signment and type of emission indi-cating time of beginning and end ofeach period of operation and points ofcommunication to which each fre-quency is used (or area if service is pur-suant to § 23.53).

(3) Hours of use of each transmitterindicating time of beginning and end ofeach period of operation.

(4) Power input to the final stage ofeach transmitter.

(5) Dates and results of each fre-quency measurement.

(b) For stations in the internationalfixed public control service, the li-censee shall maintain a technical logof the station operating showing:

(1) Normal hours of operation anddates and times of interruptions toservice.

(2) Dates and results of each fre-quency measurement.

(3) When service or maintenance du-ties are performed, the responsible op-erator shall sign and date the stationrecord giving pertinent details of allduties performed by him or under hissupervision; his name and the class, se-

rial number, and date of expiration ofhis license.

(c) For each station having an an-tenna structure which is required to beobstruction-lighted, appropriate en-tries shall be made in the station’stechnical log as required by § 23.39.

[38 FR 22481, Aug. 21, 1973]

§ 23.49 Discontinuance of operation.

The licensee of each fixed radio sta-tion except stations operating in Alas-ka, shall notify the Engineer in Chargeof the district where such station is lo-cated of any of the following changesin the status of such station at leasttwo days before such change: (a) Tem-porary discontinuance of operation fora period of ten days or more; (b) thedate of resumption of operation aftertemporary discontinuance of operationfor a period of ten days or more; (c)permanent discontinuance of oper-ation: Provided, however, Where anysuch discontinuance of operation is notvoluntary and results from causes be-yond the control of the licensee, noticethereof shall be given not later thantwo days after such discontinuance ofoperation. In all cases of permanentdiscontinuance of operation the li-censee shall, in addition to notifyingthe engineer of intention to dis-continue operation, immediately for-ward the station license to the Wash-ington, D.C., office of the Commissionfor cancellation.

[28 FR 13002, Dec. 5, 1963, as amended at 30FR 7176, May 28, 1965; 35 FR 10447, June 26,1970. Redesignated at 38 FR 22481, Aug. 21,1973]

§ 23.50 Place of filing application; feesand number of copies.

(a) Standard numbered forms appli-cable to the international fixed publicradiocommunication services discussedwithin the subpart are as follows:

Form No. Description

403 ........... Application for radio station license or modifica-tion thereof.

405 ........... Application for renewal of radio station licensein specified services.

407 ........... Application for radio station construction permit.408 ........... Application for temporary authorization in addi-

tion to authority contained in license.701 ........... Application for additional time to construct radio

station.


236

47 CFR Ch. I (10–1–01 Edition)§ 23.51

Form No. Description

702 ........... Application for consent to assignment of radiostation construction permit or license (for sta-tions in services other than broadcast).

704 ........... Application for consent to transfer of control ofcorporation holding common carrier radio sta-tion construction permit or license.

714 ........... Supplement to application for new or modifiedradio station authorization (concerning an-tenna structure notification to FAA).

These forms may be obtained from theSecretary, Federal CommunicationsCommission, Washington, DC 20554, orfrom any of the Commission’s engi-neering field offices, the addresses ofwhich are listed in § 0.121(a) of thischapter.

(b) Every application for a radio sta-tion authorization and all correspond-ence relating thereto shall be sub-mitted to the Commission’s office atWashington, DC 20554. Applications re-quiring fees as set forth at part 1, sub-part G of this chapter must be filed inaccordance with § 0.401(b) of the rules.

(c) Unless otherwise specified in aparticular case, or for a particularform, each application, including ex-hibits and attachments thereto, shallbe filed in duplicate.

(d) Each application shall be accom-panied by a fee prescribed in subpart Gof part 1 of this chapter.

[38 FR 22481, Aug. 21, 1973, as amended at 52FR 5294, Feb. 20, 1987; 52 FR 10230, Mar. 31,1987]

§ 23.51 Addressed program material.(a) Stations operating in the fixed

public service and in the fixed publicpress service may be authorized totransmit addressed program materialto a fixed point, or points, outside the48 contiguous States and the Districtof Columbia, specifically named in theinstrument of authorization granted tothe licensee, intended for broadcastonly by a broadcast station. Any suchauthorization shall be subject to thecondition that no interference iscaused to the authorized regular serv-ice of the station as defined by § 23.8.

(b) Such stations may also, uponproper application therefor, be author-ized to transmit addressed programmaterial to any such fixed point inSouth or Central America for simulta-neous interception and broadcast by abroadcast station at one or more addi-

tional points in the same general areaupon a showing that public messageservice to such fixed point of commu-nication will not be unduly impaired.Application for such authority shall besubmitted not less than 10 days prior tothe proposed date of the the first inter-ception. Such application shall show,in addition to the proposed interceptand broadcast points, the South orCentral American station or stationsover which the program will be broad-cast, a full description of the arrange-ments made for such intercept andbroadcast, and the period for whichsuch authority is requested. Authoriza-tions will be limited to the period forwhich arrangements for broadcastingby South or Central American stationshave been made and in no event willextend beyond the term of the point-to-point station license.

§ 23.52 Mobile stations, transmissionsimultaneously to.

A point-to-point telegraph station, inaddition to the fixed points of commu-nication specified in an instrument ofauthorization, may be authorized tocommunicate simultaneously with mo-bile stations for the transmission ofpress material destined primarily tofixed points.

§ 23.53 Addressed press and meteoro-logical services.

(a) The licensee of a station in thefixed public or fixed public press serv-ice may be authorized to transmit,without coordinated reception, ad-dressed press messages (including pressfacsimile and photographs) and weath-er maps, charts and photographs for re-ception at overseas or foreign points bymeteorological organizations by fac-simile and radio phototelegraphy, toone or more persons at one or morefixed points not specifically named inits license: Provided, however, That thelicensee, upon institution of addressedpress service to any point, shallpromptly notify the Commission of thefollowing:

(1) The name and location of the per-son subscribing to such service.

(2) The date of institution of suchservice, and


237


(3) The location of the licensee’s sta-tion from which such service is trans-mitted.Any authority, granted under thisparagraph, to transmit addressed pressmessages to any person or to any pointmay be terminated by the Commissionupon notice to the licensee within 30days after notification of institution ofservice to such person or point is filedby the licensee.

(b) In the event of the deletion ofservice to any point or to any person orany change with respect to the factsreported under paragraph (a) (1) or (3)of this section, the licensee shallpromptly notify the Commission ofsuch deletion or change and the datethereof.

(c) On or before the first day of Feb-ruary and the first day of August ofeach year, the licensee shall submit,for each of its stations authorized torender addressed press service in ac-cordance with provisions of this sec-tion, a recapitulative list, as of thefirst day of January and the first dayof July respectively of that year, con-taining the following:

(1) The name and location of eachperson subscribing to such service, and

(2) The date of institution of suchservice to each person at each point.


§ 23.54 Use of double sideband radio-telephone.

Use of double sideband radio-telephone transmissions, on fre-quencies below 30 MHz, shall be held toa minimum with a view towards dis-continuance of such operations as soonas possible. Except in cases where theforeign correspondent is unable to re-ceive single sideband transmissions,double sideband radiotelephone shallnot be transmitted after January 1,1965.


(a) General policy. Equal opportunityin employment shall be afforded by allcommon carrier licensees or permitteesto all qualified persons, and no per-sonnel shall be discriminated againstin employment because of sex, race,color, religion, or national origin.

(b) Equal employment opportunity pro-gram. Each licensee or permittee shallestablish, maintain, and carry out, apositive continuing program of specificpractices designed to assure equal op-portunity in every aspect of employ-ment policy and practice. Under theterms of its program, a licensee or per-mittee shall:

(1) Define the responsibility of eachlevel of management to insure a posi-tive application and vigorous enforce-ment of the policy of equal oppor-tunity, and establish a procedure to re-view and control managerial and super-visory performance.

(2) Inform its employees and recog-nized employee organizations of thepositive equal employment oppor-tunity policy and program and enlisttheir cooperation.

(3) Communicate its equal employ-ment opportunity policy and programand its employment needs to sources ofqualified applicants without regard tosex, race, color, religion, or nationalorigin, and solicit their recruitment as-sistance on a continuing basis.

(4) Conduct a continuing campaign toexclude every form of prejudice or dis-crimination based upon sex, race,color, religion, or national origin, fromthe licensees’ or permittees’ personnelpolicies and practices and working con-ditions.

(5) Conduct a continuing review ofjob structure and employment prac-tices and adopt positive recruitment,training, job design and other measuresneeded in order to insure genuineequality of opportunity to participatefully in all organizational units, occu-pations and levels of responsibility.

(c) Additional information to be fur-nished to the Commission. (1) Equal Em-ployment Programs to be filed by com-mon carrier licensees or permittees.

(i) All licensees or permittees willfile a statement of their equal employ-ment opportunity program not laterthan December 17, 1970, indicating spe-cific practices to be followed in orderto assure equal employment oppor-tunity on the basis of sex, race, color,religion, or national origin in such as-pects of employment practices as re-gards recruitment, selection, training,placement, promotion, pay, working


238

47 CFR Ch. I (10–1–01 Edition)§ 23.55

conditions, demotion, layoff, and ter-mination.

(a) Any changes or amendments toexisting programs should be filed withthe Commission on April 1 of each yearthereafter.

(b) If a licensee or permittee hasfewer than 16 full-time employees, nosuch statement need be filed.

(2) The program should reasonablyaddress itself to such specific areas asset forth below, to the extent that theyare appropriate in terms of licenseesize, location, etc.

(i) To assure nondiscrimination in re-cruiting. (a) Posting notices in the li-censee’s or permittee’s offices inform-ing applicants for employment of theirequal employment rights and theirright to notify the Equal EmploymentOpportunity Commission, the FederalCommunications Commission, or otherappropriate agency. Where a substan-tial number of applicants are Spanish-surnamed Americans such noticeshould be posted in Spanish andEnglish.

(b) Placing a notice in bold type onthe employment application informingprospective employees that discrimina-tion because of sex, race, color, reli-gion, or national origin is prohibitedand that they may notify the EqualEmployment Opportunity Commission,the Federal Communications Commis-sion or other appropriate agency ifthey believe they have been discrimi-nated against.

(c) Placing employment advertise-ments in media which have significantcirculation among minority-group peo-ple in the recruiting area.

(d) Recruiting through schools andcolleges with significant minority-group enrollments.

(e) Maintaining systematic contactswith minority and human relations or-ganizations, leaders, and spokesmen toencourage referral of qualified minor-ity or female applicants.

(f) Encouraging present employees torefer minority or female applicants.

(g) Making known to the appropriaterecruitment sources in the employer’simmediate area that qualified minoritymembers are being sought for consider-ation whenever the licensee hires.

(ii) To assure nondiscrimination in se-lection and hiring. (a) Instructing per-

sonally those on the staff of the li-censee or permittee who make hiringdecisions that all applicants for all jobsare to be considered without discrimi-nation.

(b) Where union agreements exist, co-operating with the union or unions inthe development of programs to assurequalified minority persons or femalesof equal opportunity for employment,and including an effective non-discrimination clause in new or renego-tiated union agreements.

(c) Avoiding use of selection tech-niques or tests which have the effect ofdiscriminating against minority groupsor females.

(iii) To assure nondiscriminatory place-ment and promotion. (a) Instructing per-sonally those of the licensee’s or per-mittee’s staff who make decisions onplacement and promotion that minor-ity employees and females are to beconsidered without discrimination, andthat job areas in which there is littleor no minority or female representa-tion should be reviewed to determinewhether this results from discrimina-tion.

(b) Giving minority groups and fe-male employees equal opportunity forpositions which lead to higher posi-tions. Inquiring as to the interest andskills of all lower-paid employees withrespect to any of the higher-paid posi-tions, followed by assistance, coun-seling, and effective measures to en-able employees with interest and po-tential to qualify themselves for suchpositions.

(c) Reviewing seniority practices toinsure that such practices are non-discriminatory and do not have a dis-criminatory effect.

(d) Avoiding use of selection tech-niques or tests, which have the effectof discriminating against minoritygroups or females.

(iv) To assure nondiscrimination inother areas of employment practices. (a)Examining rates of pay and fringe ben-efits for present employees with equiv-alent duties, and adjusting any inequi-ties found.

(b) Proving opportunity to performovertime work on a basis that does notdiscriminate against qualified minor-ity group or female employees.


239


(d) Report of complaints filed against li-censees and permittees. (1) All licenseesor permittees shall submit an annualreport to the FCC no later than May 31of each year indicating whether anycomplaints regarding violations by thelicensee or permittee of equal employ-ment provisions of Federal, State, Ter-ritorial, or local law have been filed be-fore any body having competent juris-diction.

(i) The report should state the par-ties involved the date filing, the courtsor agencies before which the mattershave been heard, the appropriate filenumber (if any), and the respective dis-position or current status of any suchcomplaints.

(ii) Any licensee or permittee whohas filed such information with theEEOC need not do so with the Commis-sion, if such previous filing is indi-cated.

(e) Complaints of violations of EqualEmployment Programs. (1) Complaintsalleging employment discriminationagainst a common carrier licensee willbe considered by the Commission in thefollowing manner:

(i) If a complaint raising an issue ofdiscrimination is received against a li-censee or permittee who is within thejurisdiction of the EEOC, it will be sub-mitted to that agency. The Commis-sion will maintain a liaison with thatagency which will keep the Commis-sion informed of the disposition ofcomplaints filed against any of thecommon carrier licensees.

(ii) Complaints alleging employmentdiscrimination against a common car-rier licensee of permittee who does notfall under the jurisdiction of the EEOCbut is covered by appropriate enforce-able State law, to which penaltiesapply, may be submitted by the Com-mission to the respective State agency.

(iii) Complaints alleging employmentdiscrimination against a common car-rier licensee or permittee who does notfall under the jurisdiction of the EEOCor an appropriate State law, will be ac-corded appropriate treatment by theFCC.

(iv) The Commission will consultwith the EEOC on all matters relatingto the evaluation and determination ofcompliance by the common carrier li-censees or permittees with the prin-

ciples of equal employment as set forthherein.

(2) Complaints indicating a generalpattern of disregard of equal employ-ment practices which are receivedagainst a licensee or permittee who isrequired to file an employment reportto the Commission under § 1.815(a) ofthis chapter will be investigated by theCommission.

(f) Records available to public—(1) Com-mission records. A copy of every annualemployment report, equal employmentopportunity program, and reports oncomplaints regarding violation of equalemployment provisions of Federal,State, Territorial, or local law, andcopies of all exhibits, letters, and otherdocuments filed as part thereof, allamendments thereto, all correspond-ence between the permittee or licenseeand the Commission pertaining to thereports after they have been filed andall documents incorporated therein byreference, are open for public inspec-tion at the offices of the Commission.

(2) Records to be maintained locally forpublic inspection by licensees or permit-tees—(i) Records to be maintained. Eachlicensee or permittee required to fileannual employment reports, equal em-ployment opportunity programs, andannual reports on complaints regardingviolations of equal employment provi-sions of Federal, State, Territorial, orlocal law shall maintain for public in-spection, in the same manner and inthe same locations as required for thekeeping and posting of tariffs as setforth in § 61.72 of this chapter, a filecontaining a copy of each such reportand copies of all exhibits, letters, andother documents filed as part thereto,all correspondence between the per-mittee or licensee and the Commissionpertaining to the reports after theyhave been filed and all documents in-corporated therein by reference.

(ii) Period of retention. The documentsspecified in paragraph (f)(2)(i) of thissection shall be maintained for a pe-riod of 2 years.

[35 FR 12894, Aug. 14, 1970, as amended at 36FR 3119, Feb. 18, 1971. Redesignated at 38 FR22481, Aug. 21, 1973]


240


PART 24—PERSONALCOMMUNICATIONS SERVICES

Subpart A—General Information

Sec.24.1 Basis and purpose.24.2 Other applicable rule parts.24.3 Permissible communications.24.5 Terms and definitions.



24.10 Scope.24.11 Initial authorization.24.12 Eligibility.24.15 License period.24.16 Criteria for comparative renewal pro-

ceedings.


24.50 Scope.24.51 Equipment authorization.24.52 RF hazards.24.53 Calculation of height above average

terrain (HAAT).24.55 Antenna structures; air navigation

safety.

Subpart D—Narrowband PCS

24.100 Scope.24.101 [Reserved]24.102 Service areas.24.103 Construction requirements.24.104 Partitioning and disaggregation.24.129 Frequencies.24.130 [Reserved]24.131 Authorized bandwidth.24.132 Power and antenna height limits.24.133 Emission limits.24.134 Co-channel separation criteria.24.135 Frequency stability.

Subpart E—Broadband PCS

24.200 Scope.24.202 Service areas.24.203 Construction requirements.24.229 Frequencies.24.232 Power and antenna height limits.24.235 Frequency stability.24.236 Field strength limits.24.237 Interference protection.24.238 Emission limits.

POLICIES GOVERNING MICROWAVE RELOCATIONFROM THE 1850–1990 MHZ BAND

24.239 Cost-sharing requirements forbroadband PCS.

24.241 Administration of the Cost-SharingPlan.

24.243 The cost-sharing formula.24.245 Reimbursement under the Cost-Shar-

ing Plan.

24.247 Triggering a reimbursement obliga-tion.

24.249 Payment issues.24.251 Dispute resolution under the Cost-

Sharing Plan.24.253 Termination of cost-sharing obliga-

tions.APPENDIX I TO SUBPART E—A PROCEDURE FOR

CALCULATING PCS SIGNAL LEVELS ATMICROWAVE RECEIVERS (APPENDIX E OFTHE MEMORANDUM OPINION AND ORDER)

Subpart F—Competitive BiddingProcedures for Narrowband PCS

24.301 Narrowband PCS subject to competi-tive bidding.

24.302–24.309 [Reserved]24.320 [Reserved]24.321 Designated entities.

Subpart G—Interim Application, Licensingand Processing Rules for Narrowband PCS

24.403 Authorization required.24.404 Eligibility.24.405–24.414 [Reserved]24.415 Technical content of applications;

maintenance of list of station locations.24.416–24.429 [Reserved]24.430 Opposition to applications.24.431 Mutually exclusive applications.24.432–24.444 [Reserved]

Subpart H—Competitive BiddingProcedures for Broadband PCS

24.701 Broadband PCS subject to competi-tive bidding.

24.702 Competitive bidding design forBroadband PCS licensing.

24.703 [Reserved]24.704 Withdrawal, default and disqualifica-

tion penalties.24.705 [Reserved]24.706 Submission of upfront payments and

down payments.24.707 [Reserved]24.708 License grant, denial, default, and

disqualification.24.709 Eligibility for licenses for frequency

Blocks C and F.24.710 [Reserved]24.711 Upfront payments, down payments

and installment payments for licensesfor frequency Block C.

24.712 Bidding credits for licenses for fre-quency Block C.

24.713 [Reserved]24.714 Partitioned licenses and

disaggregated spectrum.24.716 Upfront payments, down payments,

and installment payments for licensesfor frequency Block F.

24.717 Bidding credits for licenses for fre-quency Block F.

24.720 Definitions.


241


Subpart I—Interim Application, Licensing,and Processing Rules for Broadband PCS

24.801–24.803 [Reserved]24.804 Eligibility.24.805–24.814 [Reserved]24.815 Technical content of applications;

maintenance of list of station locations.24.816–24.829 [Reserved]24.830 Opposition to applications.24.831 Mutually exclusive applications.24.832 [Reserved]24.833 Post-auction divestitures.24.834–24.838 [Reserved]24.839 Transfer of control or assignment of

license.24.840–24.842 [Reserved]24.843 Extension of time to complete con-

struction.24.844 [Reserved]

Subpart J—Required New Capabilities Pur-suant to the Communications Assist-ance for Law Enforcement Act(CALEA)

24.900 Purpose.24.901 Scope.24.902 Definitions.24.903 Capabilities that must be provided by

a broadband PCS telecommunicationscarrier.

AUTHORITY: 47 U.S.C. 154, 301, 302, 303, 309and 332.

SOURCE: 58 FR 59183, Nov. 8, 1993, unlessotherwise noted. Redesignated at 59 FR 18499,Apr. 19, 1994.


§ 24.1 Basis and purpose.

This section contains the statutorybasis for this part of the rules and pro-vides the purpose for which this part isissued.

(a) Basis. The rules for the personalcommunications services (PCS) in thispart are promulgated under the provi-sions of the Communications Act of1934, as amended, that vests authorityin the Federal Communications Com-mission to regulate radio transmissionand to issue licenses for radio stations.

(b) Purpose. This part states the con-ditions under which portions of theradio spectrum are made available andlicensed for PCS.

(c) Scope. The rules in this part applyonly to stations authorized under thispart. Rules in subparts D and E apply

only to stations authorized under thosesubparts.

[58 FR 59183, Nov. 8, 1993. Redesignated at 59FR 18499, Apr. 19, 1994, and amended at 59 FR32854, June 24, 1994]

§ 24.2 Other applicable rule parts.Other FCC rule parts applicable to li-

censees in the personal communica-tions services include the following:

(a) Part 0. This part describes theCommission’s organization and delega-tions of authority. Part 0 of this chap-ter also lists available Commissionpublications, standards and proceduresfor access to Commission records, andlocation of Commission Field Offices.

(b) Part 1. This part includes rules ofpractice and procedure for license ap-plications, adjudicatory proceedings,procedures for reconsideration and re-view of the Commission’s actions; pro-visions concerning violation noticesand forfeiture proceedings; and the en-vironmental requirements that, if ap-plicable, must be complied with priorto the initiation of construction. Sub-part F includes the rules for the Wire-less Telecommunications Services andthe procedures for filing electronicallyvia the ULS.

(c) Part 2. This part contains theTable of Frequency Allocations andspecial requirements in internationalregulations, recommendations, agree-ments, and treaties. This part also con-tains standards and procedures con-cerning the marketing and importationof radio frequency devices, and for ob-taining equipment authorization.

(d) Part 5. This part contains rulesprescribing the manner in which partsof the radio frequency spectrum maybe made available for experimentation.

(e) Part 15. This part contains rulessetting out the regulations underwhich an intentional, unintentional, orincidental radiator may be operatedwithout an individual license. It alsocontains the technical specifications,administrative requirements and otherconditions relating to the marketing ofpart 15 devices. Unlicensed PCS devicesoperate under subpart D of part 15.

(f) Part 17. This part contains require-ments for construction, marking andlighting of antenna towers.

(g) Part 20 of this chapter governscommercial mobile radio services.


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47 CFR Ch. I (10–1–01 Edition)§ 24.3

(h) Part 21. This part contains rulesconcerning multipoint distributionservice and multichannel multipointdistribution service.

(i) Part 68. This part contains tech-nical standards for connection of ter-minal equipment to the telephone net-work.

(j) Part 101. This part contains rulesconcerning common carrier and privateservices relating to fixed point-to-pointand point-to-multipoint microwavesystems.

[58 FR 59183, Nov. 8, 1993. Redesignated andamended at 59 FR 18499, Apr. 19, 1994, asamended at 63 FR 68952, Dec. 14, 1998; 65 FR38325, June 20, 2000]

§ 24.3 Permissible communications.PCS licensees may provide any mo-

bile communications service on theirassigned spectrum. Fixed services maybe provided on a co-primary basis withmobile operations. Broadcasting as de-fined in the Communications Act isprohibited.

[61 FR 45356, Aug. 29, 1996]

§ 24.5 Terms and definitions.Assigned Frequency. The center of the

frequency band assigned to a station.Authorized Bandwidth. The maximum

width of the band of frequencies per-mitted to be used by a station. This isnormally considered to be the nec-essary or occupied bandwidth, which-ever is greater.

Average Terrain. The average ele-vation of terrain between 3 and 16 kilo-meters from the antenna site.

Base Station. A land station in theland mobile service.

Broadband PCS. PCS services oper-ating in the 1850–1890 MHz, 1930–1970MHz, 2130–2150 MHz, and 2180–2200 MHzbands.

Effective Radiated Power (e.r.p.) (in agiven direction). The product of thepower supplied to the antenna and itsgain relative to a half-wave dipole in agiven direction.

Equivalent Isotropically RadiatedPower (e.i.r.p.). The product of thepower supplied to the antenna and theantenna gain in a given direction rel-ative to an isotropic antenna.

Fixed Service. A radiocommunicationservice between specified fixed points.

Fixed Station. A station in the fixedservice.

Land Mobile Service. A mobile servicebetween base stations and land mobilestations, or between land mobile sta-tions.

Land Mobile Station. A mobile stationin the land mobile service capable ofsurface movement within the geo-graphic limits of a country or con-tinent.

Land Station. A station in the mobileservice not intended to be used while inmotion.

Mobile Service. A radiocommunicationservice between mobile and land sta-tions, or between mobile stations.

Mobile Station. A station in the mo-bile service intended to be used whilein motion or during halts at unspec-ified points.

Narrowband PCS. PCS services oper-ating in the 901–902 MHz, 930–931 MHz,and 940–941 MHz bands.

National Geodetic Reference System(NGRS): The name given to all geodeticcontrol data contained in the NationalGeodetic Survey (NGS) data base.(Source: National Geodetic Survey,U.S. Department of Commerce)

PCS Relocator. A PCS entity thatpays to relocate a fixed microwave linkfrom its existing 2 GHz facility toother media or other fixed channels.

Personal Communications Services(PCS). Radio communications that en-compass mobile and ancillary fixedcommunication that provide servicesto individuals and businesses and canbe integrated with a variety of com-peting networks.

Universal Licensing System. The Uni-versal Licensing System (ULS) is theconsolidated database, application fil-ing system, and processing system forall Wireless Radio Services. ULS sup-ports electronic filing of all applica-tions and related documents by appli-cants and licensees in the WirelessRadio Services, and provides public ac-cess to licensing information.

UTAM. The Unlicensed PCS Ad HocCommittee for 2 GHz Microwave Tran-sition and Management, which coordi-nates relocation in the 1910–1930 MHzband.

Voluntarily Relocating Microwave In-cumbent A microwave incumbent that


243


voluntarily relocates its licensed facili-ties to other media or fixed channels.

[58 FR 59183, Nov. 8, 1993. Redesignated at 59FR 18499, Apr. 19, 1994, and amended at 61 FR29691, June 12, 1996; 62 FR 12757, Mar. 18, 1997;63 FR 68952, Dec. 14, 1998]



§ 24.10 Scope.This subpart contains some of the

procedures and requirements for filingapplications for licenses in the per-sonal communications services. Onealso should consult subparts F and G ofthis part. Other Commission rule partsof importance that may be referred towith respect to licensing and operationof radio services governed under thispart include 47 CFR parts 0, 1, 2, 5, 15,17 and 20.

[59 FR 32854, June 24, 1994]

§ 24.11 Initial authorization.(a) An applicant must file a single ap-

plication for an initial authorizationfor all markets won and frequencyblocks desired.

(b) Blanket licenses are granted foreach market and frequency block. Ap-plications for individual sites are notrequired and will not be accepted.

[59 FR 32854, June 24, 1994, as amended at 63FR 68952, Dec. 14, 1998]

§ 24.12 Eligibility.Any entity, other than those pre-

cluded by section 310 of the Commu-nications Act of 1934, as amended, 47U.S.C. 310, or §§ 99.202(c) or 99.204, is eli-gible to hold a license under this part.

[58 FR 59183, Nov. 8, 1993; 59 FR 15269, Mar. 31,1994]

§ 24.15 License period.Licenses for service areas will be

granted for ten year terms from thedate of original issuance or renewal.

§ 24.16 Criteria for comparative re-newal proceedings.

A renewal applicant involved in acomparative renewal proceeding shallreceive a preference, commonly re-

ferred to as a renewal expectancy,which is the most important compara-tive factor to be considered in the pro-ceeding, if its past record for the rel-evant license period demonstrates thatthe renewal applicant:

(a) Has provided ‘‘substantial’’ serv-ice during its past license term. ‘‘Sub-stantial’’ service is defined as servicewhich is sound, favorable, and substan-tially above a level of mediocre servicewhich might just minimally warrantrenewal; and

(b) Has substantially complied withapplicable Commission rules, policiesand the Communications Act.


§ 24.50 Scope.

This subpart sets forth the technicalrequirements for use of the spectrumand equipment in the personal commu-nications services.

§ 24.51 Equipment authorization.

(a) Each transmitter utilized for op-eration under this part and each trans-mitter marketed, as set forth in § 2.803of this chapter, must be of a type thathas been authorized by the Commissionunder its certification procedure foruse under this part.

(b) Any manufacturer of radio trans-mitting equipment to be used in theseservices may request equipment au-thorization following the proceduresset forth in subpart J of part 2 of thischapter. Equipment authorization foran individual transmitter may be re-quested by an applicant for a stationauthorization by following the proce-dures set forth in part 2 of this chapter.

(c) Applicants for certification oftransmitters that operate in theseservices must determine that theequipment complies with IEEE C95.1–1991, ‘‘IEEE Standards for Safety Lev-els with Respect to Human Exposure toRadio Frequency ElectromagneticFields, 3 kHz to 300 GHz’’ as measuredusing methods specified in IEEE C95.3–1991, ‘‘Recommended Practice for theMeasurement of Potentially HazardousElectromagnetic Fields—RF andMicrowave.’’ The applicant for certifi-cation is required to submit a state-ment affirming that the equipment


244

47 CFR Ch. I (10–1–01 Edition)§ 24.52

complies with these standards as meas-ured by an approved method and tomaintain a record showing the basis forthe statement of compliance with IEEEC.95.1–1991.

[58 FR 59183, Nov. 8, 1993. Redesignated at 59FR 18499, Apr. 19, 1994, as amended at 63 FR36604, July 7, 1998]

§ 24.52 RF hazards.Licensees and manufacturers are sub-

ject to the radiofrequency radiation ex-posure requirements specified in§ 1.1307(b), § 2.1091 and § 2.1093 of thischapter, as appropriate. Applicationsfor equipment authorization of mobileor portable devices operating underthis section must contain a statementconfirming compliance with these re-quirements for both fundamental emis-sions and unwanted emissions. Tech-nical information showing the basis forthis statement must be submitted tothe Commission upon request.

[61 FR 41018, Aug. 7, 1996]

§ 24.53 Calculation of height above av-erage terrain (HAAT).

(a) HAAT is determined by sub-tracting average terrain elevation fromantenna height above mean sea level.

(b) Average terrain elevation shall becalculated using elevation data from a30 arc second or better Digital Ele-vation Models (DEMs). DEM data isavailable from United States Geologi-cal Survey (USGS). The data file shallbe identified. If 30 arc second data isused, the elevation data must be proc-essed for intermediate points using in-terpolation techniques; otherwise, thenearest point may be used. If DEM datais not available, elevation data fromthe Defense Mapping Agency’s DigitalChart of the World (DCW) may be used.

(c) Radial average terrain elevationis calculated as the average of the ele-vation along a straight line path from3 to 16 kilometers extending radiallyfrom the antenna site. At least 50 even-ly spaced data points for each radialshall be used in the computation.

(d) Average terrain elevation is theaverage of the eight radial average ter-rain elevations (for the eight cardinalradials).

(e) The position location of the an-tenna site shall be determined to an ac-

curacy of no less than ±5 meters inboth the horizontal (latitude and lon-gitude) and vertical (ground elevation)dimensions with respect to the Na-tional Geodetic Reference System.

[58 FR 59183, Nov. 8, 1993; 59 FR 15269, Mar. 31,1994]

§ 24.55 Antenna structures; air naviga-tion safety.

Licensees that own their antennastructures must not allow these an-tenna structures to become a hazard toair navigation. In general, antennastructure owners are responsible forregistering antenna structures withthe FCC if required by part 17 of thischapter, and for installing and main-taining any required marking andlighting. However, in the event of de-fault of this responsibility by an an-tenna structure owner, each FCC per-mittee or licensee authorized to use anaffected antenna structure will be heldresponsible by the FCC for ensuringthat the antenna structure continuesto meet the requirements of part 17 ofthis chapter. See § 17.6 of this chapter.

(a) Marking and lighting. Antennastructures must be marked, lighted andmaintained in accordance with part 17of this chapter and all applicable rulesand requirements of the Federal Avia-tion Administration.


[61 FR 4366, Feb. 6, 1996]

Subpart D—Narrowband PCS§ 24.100 Scope.

This subpart sets out the regulationsgoverning the licensing and operationsof personal communications servicesauthorized in the 901–902, 930–931, and940–941 MHz bands (900 MHz band).


245



§ 24.102 Service areas.Narrowband PCS service areas are

nationwide, regional, and Major Trad-ing Areas (MTAs), as defined in thissection. MTAs are based on the RandMcNally 1992 Commercial Atlas & Mar-keting Guide, 123rd Edition, at pages38–39 (MTA Map). Rand McNally orga-nizes the 50 States and the District ofColumbia into 47 MTAs. The MTA Mapis available for public inspection in theFCC’s Library, Room TW–B505, 445 12thStreet SW, Washington, D.C.

(a) The nationwide service area con-sists of the fifty states, the District ofColumbia, American Samoa, Guam,Northern Mariana Islands, PuertoRico, and United States Virgin Islands.

(b) The regional service areas are de-fined as follows:

(1) Region 1 (Northeast): The North-east Region consists of the followingMTAs: Boston-Providence, Buffalo-Rochester, New York, Philadelphia,and Pittsburgh.

(2) Region 2 (South): The South Re-gion consists of the following MTAs:Atlanta, Charlotte-Greensboro-Green-ville-Raleigh, Jacksonville, Knoxville,Louisville-Lexington-Evansville, Nash-ville, Miami-Fort Lauderdale, Rich-mond-Norfolk, Tampa-St. Petersburg-Orlando, and Washington-Baltimore;and, Puerto Rico and United StatesVirgin Islands.

(3) Region 3 (Midwest): The MidwestRegion consists of the following MTAs:Chicago, Cincinnati-Dayton, Cleveland,Columbus, Des Moines-Quad Cities, De-troit, Indianapolis, Milwaukee, Min-neapolis-St. Paul, and Omaha.

(4) Region 4 (Central): The CentralRegion consists of the following MTAs:Birmingham, Dallas-Fort Worth, Den-ver, El Paso-Albuquerque, Houston,Kansas City, Little Rock, Memphis-Jackson, New Orleans-Baton Rouge,Oklahoma City, San Antonio, St.Louis, Tulsa, and Wichita.

(5) Region 5 (West): The West Regionconsists of the following MTAs: Hono-lulu, Los Angeles-San Diego, Phoenix,Portland, Salt Lake City, San Fran-cisco-Oakland-San Jose, Seattle (in-cluding Alaska), and Spokane-Billings;and, American Samoa, Guam, and theNorthern Mariana Islands.

(c) The MTA service areas are basedon the Rand McNally 1992 CommercialAtlas & Marketing Guide, 123rd Edition,at pages 38–39, with the following ex-ceptions and additions:

(1) Alaska is separated from the Se-attle MTA and is licensed separately.

(2) Guam and the Northern MarianaIslands are licensed as a single MTA-like area.

(3) Puerto Rico and the United StatesVirgin Islands are licensed as a singleMTA-like area.

(4) American Samoa is licensed as asingle MTA-like area.

[59 FR 14118, Mar. 25, 1994, as amended at 59FR 46199, Sept. 7, 1994; 65 FR 35852, June 6,2000]

§ 24.103 Construction requirements.(a) Nationwide narrowband PCS li-

censees shall construct base stationsthat provide coverage to a compositearea of 750,000 square kilometers orserve 37.5 percent of the U.S. popu-lation within five years of initial li-cense grant date; and, shall constructbase stations that provide coverage toa composite area of 1,500,000 square kil-ometers or serve 75 percent of the U.S.population within ten years of initiallicense grant date. Licensees may, inthe alternative, provide substantialservice to the licensed area as providedin paragraph (d) of this section.

(b) Regional narrowband PCS licens-ees shall construct base stations thatprovide coverage to a composite area of150,000 square kilometers or serve 37.5percent of the population of the servicearea within five years of initial licensegrant date; and, shall construct basestations that provide coverage to acomposite area of 300,000 square kilo-meters or serve 75 percent of the serv-ice area population within ten years ofinitial license grant date. Licenseesmay, in the alternative, provide sub-stantial service to the licensed area asprovided in paragraph (d) of this sec-tion.

(c) MTA narrowband PCS licenseesshall construct base stations that pro-vide coverage to a composite area of75,000 square kilometers or 25 percentof the geographic area, or serve 37.5percent of the population of the servicearea within five years of initial licensegrant date; and, shall construct base


246

47 CFR Ch. I (10–1–01 Edition)§ 24.104

stations that provide coverage to acomposite area of 150,000 square kilo-meters or 50 percent of the geographicarea, or serve 75 percent of the popu-lation of the service area within tenyears of initial license grant date. Li-censees may, in the alternative, pro-vide substantial service to the licensedarea as provided in paragraph (d) ofthis section.

(d) As an alternative to the require-ments of paragraphs (a), (b), and (c) ofthis section, narrowband PCS licenseesmay demonstrate that, no later thanten years after the initial grant oftheir license, they provide substantialservice to their licensed area. Licens-ees choosing this option must notifythe FCC by filing FCC Form 601, nolater than 15 days after the end of thefive year period following the initialgrant of their license, that they plan tosatisfy the alternative requirement toprovide substantial service. ‘‘Substan-tial service’’ is defined as service thatis sound, favorable, and substantiallyabove a level of mediocre service thatwould barely warrant renewal.

(e) In demonstrating compliance withthe construction requirements setforth in this section, licensees mustbase their calculations on signal fieldstrengths that ensure reliable servicefor the technology utilized. Licenseesmay determine the population of geo-graphic areas included within theirservice contours using either the 1990census or the 2000 census, but not both.

(1) For the purpose of this section,the service radius of a base stationmay be calculated using the followingformula:dkm = 2.53 × hm0.34 × p0.17

where dkm is the radial distance in kilo-meters,

hm is the antenna HAAT of the basestation in meters, and

p is the e.r.p. of the base station inwatts.

(2) Alternatively, licensees may useany service radius contour formula de-veloped or generally used by industry,provided that such formula is based onthe technical characteristics of theirsystem.

(f) Upon meeting the five and tenyear benchmarks in paragraphs (a), (b),and (c) of this section, or upon meetingthe substantial service alternative in

paragraph (d), licensees shall notify theCommission by filing FCC Form 601and including a map and other sup-porting documentation that dem-onstrate the required geographic areacoverage, population coverage, or sub-stantial service to the licensed area.The notification must be filed with theCommission within 15 days of the expi-ration of the relevant period.

(g) If the sale of a license is approved,the new licensee is held to the originalbuild-out requirement.

(h) Failure by a licensee to meet theabove construction requirements shallresult in forfeiture of the license andineligibility to regain it.

[59 FR 14118, Mar. 25, 1994, as amended at 65FR 35852, June 6, 2000]

§ 24.104 Partitioning anddisaggregation.

Nationwide, regional, and MTA li-censees may apply to partition theirauthorized geographic service area ordisaggregate their authorized spectrumat any time following grant of their ge-ographic area authorizations.

(a) Application required. Parties seek-ing approval for partitioning and/ordisaggregation shall apply for partialassignment of a license pursuant to§ 1.948 of this chapter.

(b) Partitioning. In the case of parti-tioning, applicants and licensees mustfile FCC Form 603 pursuant to § 1.948 ofthis chapter and describe the parti-tioned service area on a schedule to theapplication. The partitioned servicearea shall be defined by up to 120 setsof geographic coordinates at points atevery 3 degrees azimuth from a pointwithin the partitioned service areaalong the partitioned service areaboundary unless either an FCC-recog-nized service area is used (e.g., MEA orEA) or county lines are followed. Thegeographical coordinates must be spec-ified in degrees, minutes, and secondsto the nearest second latitude and lon-gitude, and must be based upon the 1983North American Datum (NAD83). Inthe case where FCC-recognized serviceareas or county lines are used, appli-cants need only list the specific area(s)through use of FCC designations orcounty names that constitute the par-titioned area.


247


(c) Disaggregation. Spectrum may bedisaggregated in any amount.

(d) Combined partitioning anddisaggregation. Licensees may apply forpartial assignment of authorizationsthat propose combinations of parti-tioning and disaggregation.

(e) License term. The license term fora partitioned license area and fordisaggregated spectrum shall be the re-mainder of the original licensee’s li-cense term as provided for in § 1.955 ofthis chapter.

(f) Coverage requirements for parti-tioning. (1) Parties to a partitioningagreement must satisfy at least one ofthe following requirements:

(i) The partitionee must satisfy theapplicable coverage requirements setforth in § 24.103 for the partitioned li-cense area; or

(ii) The original licensee must meetthe coverage requirements set forth in§ 24.103 for the entire geographic area.In this case, the partitionee must meetonly the requirements for renewal ofits authorization for the partitioned li-cense area.

(2) Parties seeking authority to par-tition must submit with their partialassignment application a certificationsigned by both parties stating which ofthe options they select.

(3) Partitionees must submit sup-porting documents showing compliancewith their coverage requirements asset forth in § 24.103.

(4) Failure by any partitionee tomeet its coverage requirements will re-sult in automatic cancellation of thepartitioned authorization without fur-ther Commission action.

(g) Coverage requirements fordisaggregation. (1) Parties to adisaggregation agreement must satisfyat least one of the following require-ments:

(i) Either the disaggregator ordisaggregatee must satisfy the cov-erage requirements set forth in § 24.103for the entire license area; or

(ii) Parties must agree to share re-sponsibility for meeting the coveragerequirements set forth in § 24.103 forthe entire license area.

(2) Parties seeking authority todisaggregate must submit with theirpartial assignment application a cer-tification signed by both parties stat-

ing which of the requirements they se-lect.

(3) Disaggregatees must submit sup-porting documents showing compliancewith their coverage requirements asset forth in § 24.103.

(4) Parties that accept responsibilityfor meeting the coverage requirementsand later fail to do so will be subject toautomatic license cancellation withoutfurther Commission action.

[65 FR 35853, June 6, 2000]

EFFECTIVE DATE NOTE: At 65 FR 35853, June6, 2000, § 24.104 was added. This section con-tains information collection and record-keeping requirements and will not becomeeffective until approval has been given bythe Office of Management and Budget.

§ 24.129 Frequencies.The following frequencies are avail-

able for narrowband PCS:(a) Eighteen frequencies are available

for assignment on a nationwide basisas follows:

(1) Seven 50 kHz channels paired with50 kHz channels:

Channel 1: 940.00–940.05 and 901.00–901.05 MHz;Channel 2: 940.05–940.10 and 901.05–901.10 MHz;Channel 3: 940.10–940.15 and 901.10–901.15 MHz;Channel 4: 940.15–940.20 and 901.15–901.20 MHz;Channel 5: 940.20–940.25 and 901.20–901.25 MHz;Channel 19: 930.50–930.55 and 901.30–901.35

MHz; andChannel 20: 930.75–930.80 and 901.90–901.95

MHz.

(2) Three 50 kHz channels paired with12.5 kHz channels:

Channel 6: 930.40–930.45 and 901.7500–901.7625MHz;

Channel 7: 930.45–930.50 and 901.7625–901.7750MHz; and

Channel 8: 940.75–940.80 and 901.7750–901.7875MHz;

(3) Two 50 kHz unpaired channels:

Channel 9: RESERVED;Channel 10: 940.80–940.85 MHz; andChannel 11: 940.85–940.90 MHz.

(4) One 100 kHz unpaired channel:

Channel 18: 940.65–940.75 MHz.

(5) Two 150 kHz channels paired with50 kHz channels:


Channel 22: 930.15–930.30 and 901.60–901.65MHz.


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47 CFR Ch. I (10–1–01 Edition)§ 24.130

(6) Three 100 kHz channels pairedwith 50 kHz channels:

Channel 23: 940.55–940.65 and 901.45–901.50MHz;


Channel 25: 940.45–940.55 and 901.85–901.90MHz.

(b) Five frequencies are available forassignment on a regional basis as fol-lows:

(1) One 50 kHz channel paired with 50kHz channel:

Channel 12: 940.25–940.30 and 901.25–901.30MHz.

Channel 13: RESERVED.

(2) Four 50 kHz channels paired with12.5 kHz channels:

Channel 14: 930.55–930.60 and 901.7875–901.8000MHz;

Channel 15: 930.60–930.65 and 901.8000–901.8125MHz;


Channel 17: 930.70–930.75 and 901.8250–901.8375MHz.

(c) Seven frequencies are availablefor assignment on an MTA basis as fol-lows:

(1) Three 50 kHz unpaired channels:

Channel 26: 901.35–901.40 MHz;Channel 27: 901.40–901.45 MHz; andChannel 28: 940.40–940.45 MHz.

(2) One 50 kHz channel paired with 50kHz channel:

Channel 29: 930.80–930.85 and 901.95–902.00MHz.

(3) One 100 kHz channel paired with50 kHz channel:

Channel 30: 930.30–930.40 and 901.65–901.70MHz.

(4) One 150 kHz channel paired with50 kHz channel:

Channel 31: 930.85–931.00 and 901.7–901.75 MHz.

(5) One 100 kHz channel paired with12.5 kHz channel:

Channel 32: 940.90–941 and 901.8375–901.85 MHz.NOTE TO § 24.129: Operations in markets or

portions of markets which border othercountries, such as Canada and Mexico, willbe subject to on-going coordination arrange-ments with neighboring countries.

[66 FR 29920, June 4, 2001]


§ 24.131 Authorized bandwidth.

The authorized bandwidth ofnarrowband PCS channels will be 10kHz for 12.5 kHz channels and 45 kHzfor 50 kHz channels. For aggregated ad-jacent channels, a maximum author-ized bandwidth of 5 kHz less than thetotal aggregated channel width is per-mitted.

§ 24.132 Power and antenna heightlimits.

(a) Stations transmitting in the 901–902 MHz band are limited to 7 wattse.r.p.

(b) Mobile stations transmitting inthe 930–931 MHz and 940–941 MHz bandsare limited to 7 watts e.r.p.

(c) Base stations transmitting in the930–931 MHz and 940–941 MHz bands arelimited to 3500 watts e.r.p. per author-ized channel and are unlimited in an-tenna height except as provided inparagraph (d) of this section.

(d)(1) MTA and regional base stationslocated between 200 kilometers (124miles) and 80 kilometers (50 miles)from their licensed service area borderare limited to the power levels in thefollowing table:

Antenna HAAT in meters (feet) (see§ 24.53 for HAAT HAAT calculation

method)

Effective radiatedpower (e.r.p.) (watts)

183 (600) and below ......................... 3500183 (600) to 208 (682) ...................... 3500 to 2584208 (682) to 236 (775) ...................... 2584 to 1883236 (775) to 268 (880) ...................... 1883 to 1372268 (880) to 305 (1000) .................... 1372 to 1000305 (1000) to 346 (1137) .................. 1000 to 729346 (1137) to 394 (1292) .................. 729 to 531394 (1292) to 447 (1468) .................. 531 to 387447 (1468) to 508 (1668) .................. 387 to 282508 (1668) to 578 (1895) .................. 282 to 206578 (1895) to 656 (2154) .................. 206 to 150656 (2154) to 746 (2447) .................. 150 to 109746 (2447) to 848 (2781) .................. 109 to 80848 (2781) to 963 (3160) .................. 80 to 58963 (3160) to 1094 (3590) ................ 58 to 421094 (3590) to 1244 (4080) .............. 42 to 311244 (4080) to 1413 (4636) .............. 31 to 22Above 1413 (4636) ............................ 16

(2) For heights between the valueslisted in the table, linear interpolationshall be used to determine maximume.r.p.

(e) MTA and regional base stationslocated less than 80 kilometers (50miles) from the licensed service area


249


border must limit their effective radi-ated power in accordance with the fol-lowing formula:

PW=0.0175xdkm* * 6.6666xhm* * ¥3.1997PW is effective radiated power in wattsdkm is distance in kilometershm is antenna HAAT in meters; see § 24.53 for

HAAT calculation method

(f) All power levels specified in thissection are expressed in terms of themaximum power, averaged over a 100millisecond interval, when measuredwith instrumentation calibrated interms of an rms-equivalent voltagewith a resolution bandwidth equal toor greater than the authorized band-width.

(g) Additionally, PCS stations will besubject to any power limits imposed byinternational agreements.

[58 FR 59183, Nov. 8, 1993; 59 FR 15269, Mar. 31,1994, as amended at 62 FR 27511, May 20, 1997;65 FR 35853, June 6, 2000]

§ 24.133 Emission limits.(a) The power of any emission shall

be attenuated below the transmitterpower (P), as measured in accordancewith § 24.132(f), in accordance with thefollowing schedule:

(1) For transmitters authorized abandwidth greater than 10 kHz:

(i) On any frequency outside the au-thorized bandwidth and removed fromthe edge of the authorized bandwidthby a displacement frequency (fd in kHz)of up to and including 40 kHz: at least116 Log10 ((fd+10)/6.1) decibels or 50 plus10 Log10 (P) decibels or 70 decibels,whichever is the lesser attenuation;

(ii) On any frequency outside the au-thorized bandwidth and removed fromthe edge of the authorized bandwidthby a displacement frequency (fd in kHz)of more than 40 kHz: at least 43+10Log10 (P) decibels or 80 decibels, which-ever is the lesser attenuation.

(2) For transmitters authorized abandwidth of 10 kHz:

(i) On any frequency outside the au-thorized bandwidth and removed fromthe edge of the authorized bandwidthby a displacement frequency (fd in kHz)of up to and including 20 kHz: at least116 × Log10 ((fd+5)/3.05) decibels or50+10×Log10 (P) decibels or 70 decibels,whichever is the lesser attenuation;

(ii) On any frequency outside the au-thorized bandwidth and removed from

the edge of the authorized bandwidthby a displacement frequency (fd in kHz)of more than 20 kHz: at least 43+10 Log10 (P) decibels or 80 decibels, whicheveris the lesser attenuation.

(b) The measurements of emissionpower can be expressed in peak or aver-age values provided they are expressedin the same parameters as the trans-mitter power.

(c) When an emission outside of theauthorized bandwidth causes harmfulinterference, the Commission may, atits discretion, require greater attenu-ation than specified in this section.

(d) The following minimum spectrumanalyzer resolution bandwidth settingswill be used: 300 Hz when showing com-pliance with paragraphs (a)(1)(i) and(a)(2)(i) of this section; and 30 kHzwhen showing compliance with para-graphs (a)(1)(ii) and (a)(2)(ii) of thissection.

[58 FR 59183, Nov. 8, 1993. Redesignated at 59FR 18499, April 19, 1994, as amended at 59 FR14119, Mar. 25, 1994; 66 FR 10968, Feb. 21, 2001]

§ 24.134 Co-channel separation cri-teria.

The minimum co-channel separationdistance between base stations in dif-ferent service areas is 113 kilometers(70 miles). A co-channel separation dis-tance is not required for the base sta-tions of the same licensee or when theaffected parties have agreed to otherco-channel separation distances.

§ 24.135 Frequency stability.

(a) The frequency stability of thetransmitter shall be maintained within± 0.0001 percent (± 1 ppm) of the centerfrequency over a temperature variationof ¥30° Celsius to +50° Celsius at nor-mal supply voltage, and over a vari-ation in the primary supply voltage of85 percent to 115 percent of the ratedsupply voltage at a temperature of 20°Celsius.

(b) For battery operated equipment,the equipment tests shall be performedusing a new battery without any fur-ther requirement to vary supply volt-age.

(c) It is acceptable for a transmitterto meet this frequency stability re-quirement over a narrower tempera-ture range provided the transmitter


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47 CFR Ch. I (10–1–01 Edition)§ 24.200

ceases to function before it exceedsthese frequency stability limits.

Subpart E—Broadband PCS

SOURCE: 59 FR 32854, June 24, 1994, unlessotherwise noted.

§ 24.200 Scope.This subpart sets out the regulations

governing the licensing and operationsof personal communications servicesauthorized in the 1850–1910 and 1930–1990MHz bands.

§ 24.202 Service areas.Broadband PCS service areas are

Major Trading Areas (MTAs) and BasicTrading Areas (BTAs) as defined in thissection. MTAs and BTAs are based onthe Rand McNally 1992 CommercialAtlas & Marketing Guide, 123rd Edi-tion, at pages 38–39 (‘‘BTA/MTA Map’’).Rand McNally organizes the 50 statesand the District of Columbia into 47MTAs and 487 BTAs. The BTA/MTAMap is available for public inspectionat the Office of Engineering and Tech-nology’s Technical Information Center,445 12th Street, SW, Washington, DC20554.

(a) The MTA service areas are basedon the Rand McNally 1992 CommercialAtlas & Marketing Guide, 123rd Edition,at pages 38–39, with the following ex-ceptions and additions:

(1) Alaska is separated from the Se-attle MTA and is licensed separately.

(2) Guam and the Northern MarianaIslands are licensed as a single MTA-like area.

(3) Puerto Rico and the United StatesVirgin Islands are licensed as a singleMTA-like area.

(4) American Samoa is licensed as asingle MTA-like area.

(b) The BTA service areas are basedon the Rand McNally 1992 CommercialAtlas & Marketing Guide, 123rd Edition,at pages 38–39, with the following addi-tions licensed separately as BTA-likeareas: American Samoa; Guam; North-ern Mariana Islands; Mayagüez/Agua-dilla-Ponce, Puerto Rico; San Juan,Puerto Rico; and the United StatesVirgin Islands. The Mayagüez/Agua-dilla-Ponce BTA-like service area con-sists of the following municipios:Adjuntas, Aguada, Aguadilla, Añasco,

Arroyo, Cabo Rojo, Coamo, Guánica,Guayama, Guayanilla, Hormigueros,Isabela, Jayuya, Juana Dı́az, Lajas,Las Marı́as, Mayagüez, Maricao,Maunabo, Moca, Patillas, Peñuelas,Ponce, Quebradillas, Rincón, SabanaGrande, Salinas, San Germán, SantaIsabel, Villalba, and Yauco. The SanJuan BTA-like service area consists ofall other municipios in Puerto Rico.

[59 FR 32854, June 24, 1994; 59 FR 40835, Aug.10, 1994; 63 FR 68952, Dec. 14, 1998; 65 FR 53636,Sept. 5, 2000]

§ 24.203 Construction requirements.

(a) Licensees of 30 MHz blocks mustserve with a signal level sufficient toprovide adequate service to at leastone-third of the population in their li-censed area within five years of beinglicensed and two-thirds of the popu-lation in their licensed area within 10years of being licensed. Licensees maychoose to define population using the1990 census or the 2000 census. Failureby any licensee to meet these require-ments will result in forfeiture or non-renewal of the license and the licenseewill be ineligible to regain it.

(b) Licensees of 10 MHz blocks, in-cluding 10 MHz C block licenses recon-figured pursuant to Amendment of theCommission’s Rules Regarding Install-ment Payment Financing for PersonalCommunications Services (PCS) Li-censees, WT Docket No. 97–82, Sixth Re-port and Order, FCC 00–313, and 15 MHzblocks resulting from thedisaggregation option as provided inthe Commission’s Rules Regarding In-stallment payment Financing for Per-sonal Communications Services (PCS)Licensees, Second Report and Orderand Further Notice of Proposed RuleMaking, WT Docket 97–82, 12 FCC Rcd16436 (1997), as modified by Order on Re-consideration of the Second Report andOrder, WT Docket 97–82, 13 FCC Rcd8345 (1998), must serve with a signallevel sufficient to provide adequateservice to at least one-quarter of thepopulation in their licensed area with-in five years of being licensed, or makea showing of substantial service intheir licensed area within five years ofbeing licensed. Population is defined asthe 1990 population census. Licenseesmay elect to use the 2000 population


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census to determine the five-year con-struction requirement. Failure by anylicensee to meet these requirementswill result in forfeiture of the licenseand the licensee will be ineligible to re-gain it.

(c) Licensees must file maps andother supporting documents showingcompliance with the respective con-struction requirements within the ap-propriate five- and ten-year bench-marks of the date of their initial li-censes.

[58 FR 59183, Nov. 8, 1993, as amended at 64FR 26890, May 18, 1999; 65 FR 53636, Sept. 5,2000]

§ 24.229 Frequencies.

The frequencies available in theBroadband PCS service are listed inthis section in accordance with the fre-quency allocations table of § 2.106 ofthis chapter.

(a) The following frequency blocksare available for assignment on anMTA basis:

Block A: 1850–1865 MHz paired with1930–1945 MHz; and

Block B: 1870–1885 MHz paired with1950–1965 MHz.

(b) The following frequency blocksare available for assignment on a BTAbasis:Block C: 1895–1910 MHz paired with

1975–1990 MHz;Pursuant to Amendment of the Com-

mission’s Rules Regarding Install-ment Payment Financing for Per-sonal Communications Services(PCS) Licensees, WT Docket No. 97–82, Sixth Report and Order, FCC 00–313,all 30 MHz Block C licenses availablefor auction in Auction No. 35 or anysubsequent auction will be reconfig-ured into three 10 MHz C block li-censes as follows: 1895–1900 MHzpaired with 1975–1980 MHz, 1900–1905MHz paired with 1980–1985 MHz, 1905–1910 MHz paired with 1985–1990 MHz;

Block D: 1865–1870 MHz paired with1945–1950 MHz;

Block E: 1885–1890 MHz paired with1965–1970 MHz;

Block F: 1890–1895 MHz paired with1970–1975 MHz;

[59 FR 32854, June 24, 1994, as amended at 60FR 13917, Mar. 15, 1995; 60 FR 26375, May 17,1995; 61 FR 33868, July 1, 1996; 62 FR 660, Jan.6, 1997; 65 FR 53637, Sept. 5, 2000]

§ 24.232 Power and antenna heightlimits.

(a) Base stations are limited to 1640watts peak equivalent isotropically ra-diated power (e.i.r.p.) with an antennaheight up to 300 meters HAAT. See§ 24.53 for HAAT calculation method.Base station antenna heights may ex-ceed 300 meters with a correspondingreduction in power; see Table 1 of thissection. In no case may the peak out-put power of a base station transmitterexceed 100 watts. The service areaboundary limit and microwave protec-tion criteria specified in § 24.236 and§ 24.237 apply.

TABLE 1.—REDUCED POWER FOR BASE STATIONANTENNA HEIGHTS OVER 300 METERS

HAAT in metersMaximum

e.i.r.p.(watts)

≤300 ....................................................................... 1,640≤500 ....................................................................... 1,070≤1,000 .................................................................... 490≤1,500 .................................................................... 270≤2,000 .................................................................... 160

(b) Mobile/portable stations are lim-ited to 2 watts e.i.r.p. peak power andthe equipment must employ means tolimit the power to the minimum nec-essary for successful communications.

(c) Peak transmit power must bemeasured over any interval of contin-uous transmission using instrumenta-tion calibrated in terms of an rms-equivalent voltage. The measurementresults shall be properly adjusted forany instrument limitations, such as de-tector response times, limited resolu-tion bandwidth capability when com-pared to the emission bandwidth, sensi-tivity, etc., so as to obtain a true peakmeasurement for the emission in ques-tion over the full bandwidth of thechannel.


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47 CFR Ch. I (10–1–01 Edition)§ 24.235


The frequency stability shall be suffi-cient to ensure that the fundamentalemission stays within the authorizedfrequency block.

§ 24.236 Field strength limits.

The predicted or measured medianfield strength at any location on theborder of the PCS service area shallnot exceed 47 dBuV/m unless the par-ties agree to a higher field strength.

§ 24.237 Interference protection.

(a) All licensees are required to co-ordinate their frequency usage withthe co-channel or adjacent channel in-cumbent fixed microwave licensees inthe 1850–1990 MHz band. Coordinationmust occur before initiating operationsfrom any base station. Problems thatarise during the coordination processare to be resolved by the parties to thecoordination. Licensees are required tocoordinate with all users possibly af-fected, as determined by Appendix I tothis subpart E (Appendix E of theMemorandum Opinion and Order, GENDocket No. 90–314, FCC 94–144; TIATelecommunications Systems Bulletin10–F, ‘‘Interference Criteria for Micro-wave Systems,’’ May 1994, (TSB10–F));

or an alternative method agreed to bythe parties.

(b) The results of the coordinationprocess need to be reported to the Com-mission only if the parties fail toagree. Because broadband PCS licens-ees are required to protect fixed micro-wave licensees in the 1850–1990 MHzband, the Commission will be involvedin the coordination process only uponcomplaint of interference from a fixedmicrowave licensee. In such a case, theCommission will resolve the issues.

(c) In all other respects, coordinationprocedures are to follow the require-ments of § 101.103(d) of this chapter tothe extent that these requirements arenot inconsistent with those specified inthis part.

(d) The licensee must perform an en-gineering analysis to assure that theproposed facilities will not cause inter-ference to existing OFS stations withinthe coordination distance specified inTable 2 of a magnitude greater thanthat specified in the criteria set forthin paragraph (e) and (f) of this section,unless there is prior agreement withthe affected OFS licensee. Interferencecalculations shall be based on the sumof the power received at the terminalsof each microwave receiver from all ofthe applicant’s current and proposedPCS operations.

TABLE 2.—COORDINATION DISTANCES IN KILOMETERS[PCS Base Station Antenna HAAT in Meters]

e.i.r.p. (W) 5 10 20 50 100 150 200 250 300 500 1000 1500 2000

0.1 ................... 90 93 99 110 122 131 139 146 152 173 210 239 2630.5 ................... 96 100 105 116 128 137 145 152 158 179 216 245 2691 ...................... 99 103 108 119 131 140 148 155 161 182 219 248 2722 ...................... 120 122 126 133 142 148 154 159 164 184 222 250 2745 ...................... 154 157 161 168 177 183 189 194 198 213 241 263 28210 .................... 180 183 187 194 203 210 215 220 225 240 268 291 31020 .................... 206 209 213 221 229 236 242 247 251 267 296 318 33750 .................... 241 244 248 255 264 271 277 282 287 302 331 354 374100 .................. 267 270 274 282 291 297 303 308 313 329 358 382 401200 .................. 293 296 300 308 317 324 330 335 340 356 386 409 ..........500 .................. 328 331 335 343 352 359 365 370 375 391 421 .......... ..........1000 ................ 354 357 361 369 378 385 391 397 402 418 .......... .......... ..........1200 ................ 361 364 368 376 385 392 398 404 409 .......... .......... .......... ..........1640 ................ 372 375 379 338 397 404 410 416 421 .......... .......... .......... ..........

Note: If actual value does not match table values, round to the closest higher value on this table. See Section 24.53 for HAATcalculation method.

(e) For microwave paths of 25 kilo-meters or less, interference determina-tions shall be based on the C/I criteriaset forth in TIA TelecommunicationsSystems Bulletin 10–F, ‘‘Interference

Criteria for Microwave Systems,’’ May1994 (TSB10–F).

(f) For microwave paths longer than25 kilometers, the interference protec-tion criterion shall be such that the


253


interfering signal will not producemore than 1.0 dB degradation of thepractical threshold of the microwavereceiver for analog system, or suchthat the interfering signal will notcause an increase in the bit error rate(BER) from 10E–6 to 10E–5 for digitalsystems.

(g) The development of the C/I ratiosand interference criteria specified inparagraphs (e) and (f) of this sectionand the methods employed to computethe interfering power at the microwavereceivers shall follow generally accept-able good engineering practices. Theprocedures described for computinginterfering signal levels in (Appendix Ito this subpart E Appendix E of theMemorandum Opinion and Order, GENDocket No. 90–314, FCC 94–144) shall beapplied. Alternatively, procedures fordetermining interfering signal levelsand other criteria as may be developedby the Electronics Industries Associa-tion (EIA), the Institute of Electricaland Electronics Engineers, Inc. (IEEE),the American National Standards In-stitute (ANSI) or any other recognizedauthority will be acceptable to theCommission.

[59 FR 32854, June 24, 1994, as amended at 61FR 29691, June 21, 1996]

§ 24.238 Emission limits.(a) On any frequency outside a licens-

ee’s frequency block, the power of anyemission shall be attenuated below thetransmitter power (P) by at least 43 +10 log (P) dB.

(b) Compliance with these provisionsis based on the use of measurement in-strumentation employing a resolutionbandwidth of 1 MHz or greater. How-ever, in the 1 MHz bands immediatelyoutside and adjacent to the frequencyblock a resolution bandwidth of atleast one percent of the emission band-width of the fundamental emission ofthe transmitter may be employed. Theemission bandwidth is defined as thewidth of the signal between two points,one below the carrier center frequencyand one above the carrier center fre-quency, outside of which all emissionsare attenuated at least 26 dB below thetransmitter power.

(c) When measuring the emissionlimits, the nominal carrier frequencyshall be adjusted as close to the licens-

ee’s frequency block edges, both upperand lower, as the design permits.

(d) The measurements of emissionpower can be expressed in peak or aver-age values, provided they are expressedin the same parameters as the trans-mitter power.

(e) When an emission outside of theauthorized bandwidth causes harmfulinterference, the Commission may, atits discretion, require greater attenu-ation than specified in this section.

POLICIES GOVERNING MICROWAVE RELO-CATION FROM THE 1850–1990 MHZ BAND

§ 24.239 Cost-sharing requirements forbroadband PCS.

Frequencies in the 1850–1990 MHzband listed in § 101.147(c) of this chapterhave been allocated for use by PCS. Inaccordance with procedures specified in§§ 101.69 through 101.81 of this chapter,PCS entities (both licensed and unli-censed) are required to relocate the ex-isting Fixed Microwave Services (FMS)licensees in these bands if interferenceto the existing FMS operations wouldoccur. All PCS entities who benefitfrom spectrum clearance by other PCSentities or a voluntarily relocatingmicrowave incumbent, must contributeto such relocation costs. PCS entitiesmay satisfy this requirement by enter-ing into private cost-sharing agree-ments or agreeing to terms other thanthose specified in § 24.243. However,PCS entities are required to reimburseother PCS entities or voluntarily relo-cating microwave incumbents thatincur relocation costs and are not par-ties to the alternative agreement. Inaddition, parties to a private cost-shar-ing agreement may seek reimburse-ment through the clearinghouse (asdiscussed in § 24.241) from PCS entitiesthat are not parties to the agreement.The cost-sharing plan is in effect dur-ing all phases of microwave relocationspecified in § 101.69 of this chapter.

[62 FR 12757, Mar. 18, 1997]

§ 24.241 Administration of the Cost-Sharing Plan.

The Wireless TelecommunicationsBureau, under delegated authority, willselect an entity to operate as a neu-tral, not-for-profit clearinghouse. Thisclearinghouse will administer the cost-


254

47 CFR Ch. I (10–1–01 Edition)§ 24.243

sharing plan by, inter alia, maintainingall of the cost and payment records re-lated to the relocation of each link anddetermining the cost-sharing obliga-tion of subsequent PCS entities. Thecost-sharing rules will not take effectuntil an administrator is selected.

[61 FR 29691, June 12, 1996]

§ 24.243 The cost-sharing formula.A PCS relocator who relocates an

interfering microwave link, i.e. onethat is in all or part of its market areaand in all or part of its frequency bandor a voluntarily relocating microwaveincumbent, is entitled to pro rata reim-bursement based on the following for-mula:

RC

N

TN

m= ×−( )[ ]120

120(a) RN equals the amount of reim-

bursement.(b) C equals the actual cost of relo-

cating the link. Actual relocation costsinclude, but are not limited to, suchitems as: Radio terminal equipment(TX and/or RX—antenna, necessaryfeed lines, MUX/Modems); towers and/or modifications; back-up power equip-ment; monitoring or control equip-ment; engineering costs (design/pathsurvey); installation; systems testing;FCC filing costs; site acquisition andcivil works; zoning costs; training; dis-posal of old equipment; test equipment(vendor required); spare equipment;project management; prior coordina-tion notification under § 101.103(d) ofthis chapter; site lease renegotiation;required antenna upgrades for inter-ference control; power plant upgrade (ifrequired); electrical grounding sys-tems; Heating Ventilation and Air Con-ditioning (HVAC) (if required); alter-nate transport equipment; and leasedfacilities. C also includes voluntarilyrelocating microwave incumbent’sindependent third party appraisal of itscompensable relocation costs and in-cumbent transaction expenses that aredirectly attributable to the relocation,subject to a cap of two percent of the‘‘hard’’ costs involved. C may not ex-ceed $250,000 per link, with an addi-tional $150,000 permitted if a new ormodified tower is required.

(c) N equals the number of PCS enti-ties that would have interfered withthe link. For the PCS relocator, N=1.For the next PCS entity that wouldhave interfered with the link, N=2, andso on. In the case of a voluntarily relo-cating microwave incumbent, N=1 forthe first PCS entity that would haveinterfered with the link. For the nextPCS entity that would have interferedwith the link, N=2, and so on.

(d) Tm equals the number of monthsthat have elapsed between the monththe PCS relocator or voluntarily relo-cating microwave incumbent obtainsreimbursement rights for the link andthe month that the clearinghouse noti-fies a later-entrant of its reimburse-ment obligation for the link. A PCS re-locator obtains reimbursement rightsfor the link on the date that it signs arelocation agreement with a micro-wave incumbent. A voluntarily relo-cating microwave incumbent obtainsreimbursement rights for the link onthe date that the incumbent notifiesthe Commission that it intends to dis-continue, or has discontinued, the useof the link, pursuant to § 101.305 of theCommission’s rules.

[62 FR 12757, Mar. 18, 1997, as amended at 65FR 46113, July 27, 2000]

§ 24.245 Reimbursement under theCost-Sharing Plan.

(a) Registration of reimbursementrights. (1) To obtain reimbursement, aPCS relocator must submit documenta-tion of the relocation agreement to theclearinghouse within ten business daysof the date a relocation agreement issigned with an incumbent.

(2) To obtain reimbursement, a vol-untarily relocating microwave incum-bent must submit documentation ofthe relocation of the link to the clear-inghouse within ten business days ofthe date that the incumbent notifiesthe Commission that it intends to dis-continue, or has discontinued, the useof the link, pursuant to § 101.305 of theCommission’s rules.

(b) Documentation of expenses. Oncerelocation occurs, the PCS relocator orthe voluntarily relocating microwaveincumbent, must submit documenta-tion itemizing the amount spent for


255


items listed in § 24.243(b). The volun-tarily relocating microwave incum-bent, must also submit an independentthird party appraisal of its compen-sable relocation costs. The appraisalshould be based on the actual cost ofreplacing the incumbent’s system withcomparable facilities and should ex-clude the cost of any equipment up-grades or items outside the scope of§ 24.243(b). The PCS relocator or thevoluntarily relocating microwave in-cumbent, must identify the particularlink associated with appropriate ex-penses (i.e., costs may not be averagedover numerous links). If a PCS re-locator pays a microwave incumbent amonetary sum to relocate its own fa-cilities, the PCS relocator must esti-mate the costs associated with relo-cating the incumbent by itemizing theanticipated cost for items listed in§ 24.243(b). If the sum paid to the in-cumbent cannot be accounted for, theremaining amount is not eligible forreimbursement. A PCS relocator maysubmit receipts or other documenta-tion to the clearinghouse for all reloca-tion expenses incurred since April 5,1995.

(c) Full Reimbursement. A PCS re-locator who relocates a microwave linkthat is either fully outside its marketarea or its licensed frequency bandmay seek full reimbursement throughthe clearinghouse of compensablecosts, up to the reimbursement cap asdefined in § 24.243(b). Such reimburse-

ment will not be subject to deprecia-tion under the cost-sharing formula.

[61 FR 29692, June 12, 1996, as amended at 62FR 12757, Mar. 18, 1997; 65 FR 46113, July 27,2000]

§ 24.247 Triggering a reimbursementobligation.

(a) Licensed PCS. The clearinghousewill apply the following test to deter-mine if a PCS entity preparing to ini-tiate operations must pay a PCS re-locator or a voluntarily relocatingmicrowave incumbent in accordancewith the formula detailed in § 24.243:

(1) All or part of the relocated micro-wave link was initially co-channel withthe licensed PCS band(s) of the subse-quent PCS entity;

(2) A PCS relocator has paid the relo-cation costs of the microwave incum-bent; and

(3) The subsequent PCS entity is pre-paring to turn on a fixed base stationat commercial power and the fixed basestation is located within a rectangle(Proximity Threshold) described as fol-lows:

(i) The length of the rectangle shallbe x where x is a line extendingthrough both nodes of the microwavelink to a distance of 48 kilometers (30miles) beyond each node. The width ofthe rectangle shall be y where y is aline perpendicular to x and extendingfor a distance of 24 kilometers (15miles) on both sides of x. Thus, the rec-tangle is represented as follows:


256

47 CFR Ch. I (10–1–01 Edition)§ 24.249

(ii) If the application of the Prox-imity Threshold test indicates that areimbursement obligation exists, theclearinghouse will calculate the reim-bursement amount in accordance withthe cost-sharing formula and notify thesubsequent PCS entity of the totalamount of its reimbursement obliga-tion.

(b) Unlicensed PCS. UTAM’s reim-bursement obligation is triggered ei-ther:

(1) When a county is cleared of micro-wave links in the unlicensed alloca-tion, and UTAM invokes a Zone 1power cap as a result of third party re-location activities; or

(2) A county is cleared of microwavelinks in the unlicensed allocation andUTAM reclassifies a Zone 2 county toZone 1 status.

[61 FR 29692, June 12, 1996, as amended at 62FR 12757, Mar. 18, 1997]

§ 24.249 Payment issues.(a) Timing. On the day that a PCS en-

tity files its prior coordination notice(PCN) in accordance with § 101.103(d) ofthis chapter, it must file a copy of thePCN with the clearinghouse. The clear-inghouse will determine if any reim-bursement obligation exists and notifythe PCS entity in writing of its repay-ment obligation, if any. When the PCSentity receives a written copy of suchobligation, it must pay directly to thePCS relocator or the voluntarily relo-cating microwave incumbent theamount owed within thirty days, withthe exception of those businesses thatqualify for installment payments. Abusiness that qualifies for an install-ment payment plan must make its firstinstallment payment within thirtydays of notice from the clearinghouse.UTAM’s first payment will be due thir-ty days after its reimbursement obliga-tion is triggered, as described in§ 24.247(b).

(b) Eligibility for Installment Payments.PCS licensees that are allowed to payfor their licenses in installments underour designated entity rules will haveidentical payment options available tothem with respect to payments underthe cost-sharing plan. The specificterms of the installment paymentmechanism, including the treatment ofprincipal and interest, are the same as

those applicable to the licensee’s in-stallment auction payments. If, for anyreason, the entity eligible for install-ment payments is no longer eligible forsuch installment payments on its li-cense, that entity is no longer eligiblefor installment payments under thecost-sharing plan. UTAM may makequarterly payments over a five-year pe-riod with an interest rate of prime plus2.5 percent. UTAM may also negotiateseparate repayment arrangements withother parties.

[61 FR 29693, June 12, 1996, as amended at 62FR 12757, Mar. 18, 1997]

§ 24.251 Dispute resolution under theCost-Sharing Plan.

Disputes arising out of the cost-shar-ing plan, such as disputes over theamount of reimbursement required,must be brought, in the first instance,to the clearinghouse for resolution. Tothe extent that disputes cannot be re-solved by the clearinghouse, parties areencouraged to use expedited ADR pro-cedures, such as binding arbitration,mediation, or other ADR techniques.

[61 FR 29693, June 12, 1996]

§ 24.253 Termination of cost-sharingobligations.

The cost-sharing plan will sunset forall PCS entities on April 4, 2005, whichis ten years after the date that vol-untary negotiations commenced for Aand B block PCS entities. Those PCSentities that are paying their portionof relocation costs on an installmentbasis must continue the paymentsuntil the obligation is satisfied.

[61 FR 29693, June 12, 1996]

APPENDIX I TO SUBPART E—A PROCE-DURE FOR CALCULATING PCS SIGNALLEVELS AT MICROWAVE RECEIVERS(APPENDIX E OF THE MEMORANDUMOPINION AND ORDER)

The new Rules adopted in Part 24 stipulatethat estimates of interference to fixedmicrowave operations from a PCS operationwill be based on the sum of signals receivedat a microwave receiver from the PCS oper-ation. This appendix describes a procedurefor computing this PCS level.

In general, the procedure involves foursteps:

1. Determine the geographical coordinatesof all microwave receivers operating on co-


257

Federal Communications Commission Pt. 24, Subpt. E, App. I

channel and adjacent frequencies within thecoordination distance of each base stationand the characteristics of each receiver, i.e.,adjacent channel susceptibility, antennagain, pattern and height, and line and otherlosses.

2. Determine an equivalent isotropicallyradiated power (e.i.r.p.) for each base stationand equivalent e.i.r.p. values for the mobilesand portables associated with each base sta-tion. Determine the values of pertinent cor-rection and weighting factors based on build-ing heights and density and distribution ofportables. Close-in situations, prominenthills, and extra tall buildings require specialtreatment.

3. Based on PCS e.i.r.p. values, correctionand weighting factors, and microwave re-ceiving system characteristics determinedabove, calculate the total interference powerat the input of each microwave receiver,using the Longley-Rice propagation model.

4. Based on the interference power levelcomputed in step 3, determine interferenceto each microwave receiver using criteria de-scribed in Part 24 and EIA/TIA Bulletin 10–F.

The interference from each base stationand the mobiles and portables associatedwith it is calculated as follows:

Prbi=10Log (ptbi)¥Lbi¥UCi+Gmwi¥Ci¥BPi

Prmi=10Log (nmi×ptmi)¥Lmi¥UCi+Gmwi¥Ci

Prpsi=10Log (npsi×ptpsi)¥Lpsi¥UCi+Gmwi¥Ci

Prpbi=10Log (npbi×ptpbi)¥Lpbi¥UCi¥(BPi¥BHi)+Gmwi¥Ci

Prpri=10Log(npri×ptpri)¥Lpri¥(UCi¥BHi)+Gmwi¥Ci

where:P refers to Power in dBmp refers to power in milliwattsPrbi=Power at MW receiver from ith base sta-

tion in dBmptbi=e.i.r.p. transmitted from ith base station

in milliwatts, which equals averagepower per channel x number of channelsx antenna gain with respect to an iso-tropic antenna—line loss

Lbi=Path loss between MW and base stationsite in dB

UCi=Urban correction factor in dBGmwi=Gain of MW antenna in pertinent direc-

tion (dBi)Ci=Channel discrimination of MW system in

dBPrmi=Power at MW receiver from mobiles as-

sociated with ith base station

ptmi=e.i.r.p. transmitted from mobiles associ-ated with ith base station

nmi=Number of mobiles associated with ithbase station

Lmi=Path loss between MW and mobile trans-mitters in dB

Prpsi=Power at MW receiver from outdoorportables (s for sidewalk)

ptpsi=e.i.r.p. transmitted from outdoorportables associated with ith base sta-tion

npsi=Number of outdoor portables associatedwith ith base station

Lpsi=Path loss between MW and outdoorportables in dB

Prpbi=Power at MW receiver from indoorportables (b for building)

ptpbi=e.i.r.p. transmitted from indoorportables associated with ith base sta-tion

npbi=number of indoor portables associatedwith ith base station

Lpbi=Path loss in dB between MW and basestation site (using average buildingheight divided by 2 as effective antennaheight)

Prpri=Power at MW receiver from rooftopportables (r for rooftop)

ptpri=e.i.r.p. transmitted from rooftopportables associated with ith base sta-tion

npri=Number of rooftop portables associatedwith ith base station

Lpri=Path loss in dB between MW and basestation site (using average buildingheight as effective antenna height)

BPi=Building penetration loss at street levelin dB

BHi=Height gain for portables in buildingsdB=2.5×(nf–1), where nf is number offloors

NOTE: where Ci varies from channel-to-channel, which often is the case, the summa-tion process is more complex, requiring sum-mation at a channel level first.

Finally, the total PCS interference powerat a given microwave receiver from all thebase stations in a given frequency band isfound by summing the contributions fromthe individual stations. Likewise, the totalinterference power at a given microwave re-ceiver from all mobiles and portables oper-ating in a given frequency band is found bysumming the contributions from the mobilesand portables associated with each cell.


258

47 CFR Ch. I (10–1–01 Edition)Pt. 24, Subpt. E, App. I

p p

p p p p

rb rbii

rm rpsi rpbi rprii

=

= + + +( )∑

∑

milliwatts

p milliwatts

P = 10 Log(p) dBm

rmi

Base Stations. Interference from each basestation to each microwave should normallybe considered independently. A group of basestations having more or less (within ± 50 per-cent) the same height above average terrain,the same e.i.r.p., basically the same path toa microwave receiving site, and subtendingan angle to that receiving site of less than 5degrees, may be treated as a group, using thetotal power of the group and the average an-tenna height of the group to calculate pathloss, L.

Mobile Stations. The e.i.r.p. from mobiletransmitters is weighted according to thenumber of base station channels expected tobe devoted to mobile operation at any giventime. The antenna height of mobiles used incalculating path loss, L, is assumed to be 2meters.

Portable Stations. The e.i.r.p. from the port-able units associated with each base stationis weighted according to the estimated por-tion of portables associated with that cellexpected to be operated inside buildings atany given time and the portion which couldbe expected to be operating from elevated lo-cations, such as balconies or building roof-tops. For example, in the case of service in-tended for business use in an urban area, onemight expect that perhaps 85 percent of theportables in use at any given time would beoperating from within buildings and perhaps5 percent might be operating from rooftopsor balconies. The remaining 10 percent wouldbe outside at street level.

Calculation of an equivalent e.i.r.p. forcells in suburban areas will involve differentweighting criteria.

Urban Correction Factor. The urban correc-tion factor (UC) depends on the height anddensity of buildings surrounding a base sta-tion. For the core area of large cities, it isassumed to be 35 dB. For medium size citiesand fringe areas of large cities (4- to 6-storybuildings with scattered taller buildings andlower buildings and open spaces) it is as-sumed to be 25 dB; for small cities andtowns, 15 dB, and for suburban residentialareas (one- and two-story, single familyhouses with scattered multiple-story apart-ment buildings, shopping centers and openareas), 10 dB.

The unadjusted urban correction factor,UC, should not be applied to base station an-

tenna heights that are greater than 50 per-cent of the average building height for a cell.

Building Height and Building PenetrationFactors. The building height correction, BH,is a function of the average building heightwithin the nominal coverage area of the basestation. It is used in conjunction with thebuilding penetration loss, BP, to adjust theexpected interference contribution from thatportion of the portables transmitting fromwithin buildings. The adjustment is givenby:BP=20 dB in urban areasBP=10 dB in suburban areasBH=2.5×(nf–1) dBwhere nf is the average height (number offloors) of the buildings in the area.

(Note that this formula implies a net gainwhen the average building height is greaterthan 8 floors). All buildings more than twicethe average height should be considered indi-vidually. The contribution to BH from thatportion of portables in the building abovethe average building height should be in-creased by a factor of 20Log(h) dB, where h isthe height of the portables above the averagebuilding height in meters.

Channel Discrimination Factor. A factorbased on the interference selectivity of themicrowave receiver.

Propagation Model. The PCS to microwavepath loss, L, is calculated using the Longley-Rice propagation model, Version 1.2.2., in thepoint-to-point mode. The Longley-Rice [1]model was derived from NBS Technical Note101 [2], and updated in 1982 by Hufford [3].Version 1.2.2 incorporated modifications de-scribed in a letter by Hufford [4] in 1985. Ter-rain elevations used as input to the modelshould be from the U.S. Geological Survey 3-second digitized terrain database.

Special Situations. If a cell size is large com-pared to the distance between the cell and amicrowave receiving site so that it subtendsan angle greater than 5 degrees, the cellshould be subdivided and calculations shouldbe based on the expected distribution of mo-biles and portables within each subdivision.

If terrain elevations within a cell differ bymore than a factor of two-to-one, the cellshould be subdivided and microwave inter-ference calculations should be based on theaverage terrain elevation for each subdivi-sion.


259


If a co-channel PCS base station lies with-in the main beam of a microwave antenna (±5degrees), there is no intervening terrain ob-structions, and the power at the microwavereceiver from that base station, assumingfree space propagation, would be 3 dB or lessbelow the interference threshold, inter-ference will be assumed to exist unless thePCS licensee can demonstrate otherwise byspecific path loss calculations based on ter-rain and building losses.

If any part of a cell or cell subdivision lieswithin the main beam of a co-channel micro-wave antenna, there is no intervening ter-rain obstructions, and the accumulativepower of 5 percent or less of the mobiles, as-suming free space propagation would be 3 dBor less below the interference threshold, in-terference will be assumed to exist unlessthe PCS licensee can demonstrate otherwiseby specific path loss calculations based onterrain and building losses.

If a building within a cell or cell subdivi-sion lies within the main beam of a co-chan-nel microwave antenna, there is no inter-vening terrain obstructions, and the cumu-lative power of 5 percent or fewer of theportables, assuming free space propagation,would be 3 dB or less below the interferencethreshold, interference will be assumed toexist unless the PCS licensee can dem-onstrate otherwise by specific path loss cal-culations based on terrain and buildinglosses.

REFERENCES:

1. Longley, A.G. and Rice, P.L., ‘‘Pre-diction of Tropospheric Radio TransmissionLoss Over Irregular Terrain, A ComputerMethod-1968’’, ESSA Technical Report ERL79–ITS 67, Institute for TelecommunicationsSciences, July 1968.

2. Rice, P.L. Longley, A.G., Norton, K.A.,Barsis, A.P., ‘‘Transmission Loss Predictionsfor Tropospheric Communications Circuits,’’NBS Technical Note 101 (Revised), Volumes Iand II, U.S. Department of Commerce, 1967.

3. Hufford, G.A., Longley, A.G. and Kissick,W.A., ‘‘A Guide to the use of the ITS Irreg-ular Terrain Model in the Area PredictionMode’’, NTIA Report 82–100, U.S. Departmentof Commerce, April 1982. Also, Circular let-ter, dated January 30, 1985, from G.A.Hufford, identifying modifications to thecomputer program.

4. Hufford, G.A., Memorandum to Users ofthe ITS Irregular Terrain Model, Institutefor Telecommunications Sciences, U.S. De-partment of Commerce, January 30, 1985.

Subpart F—Competitive BiddingProcedures for Narrowband PCS

SOURCE: 59 FR 26747, May 24, 1994, unlessotherwise noted.

§ 24.301 Narrowband PCS subject tocompetitive bidding.

Mutually exclusive initial applica-tions to provide narrowband PCS serv-ice are subject to competitive biddingprocedures. The general competitivebidding procedures found in 47 CFRpart 1, subpart Q, will apply unless oth-erwise provided in this part.

§ 24.302–24.309 [Reserved]


§ 24.321 Designated entities.(a) Eligibility for small business provi-

sions. (1) A small business is an entitythat, together with its controlling in-terests and affiliates, has average grossrevenues not exceeding $40 million forthe preceding three years.

(2) A very small business is an entitythat, together with its controlling in-terests and affiliates, has average grossrevenues not exceeding $15 million forthe preceding three years.

(3) For purposes of determiningwhether an entity meets either of thedefinitions set forth in paragraphs(a)(1) and (a)(2) of this section, thegross revenues of the entity, its con-trolling interests and affiliates shall beconsidered on a cumulative basis andaggregated. An applicant seeking sta-tus as a small business or very smallbusiness under this section must dis-close on its short- and long-form appli-cations, separately and in the aggre-gate, the gross revenues of the appli-cant (or licensee), its controlling inter-ests and affiliates for each of the pre-vious three years.

(4) Persons or entities that hold in-terests in an applicant (or licensee)that are affiliates of each other or havean identity of interests identified in§ 1.2110(b)(4)(iii) of this chapter will betreated as though they were one personor entity and their ownership interestsaggregated for purposes of determiningan applicant’s (or licensee’s) compli-ance with the requirements of this sec-tion.

(5) Where an applicant (or licensee)cannot identify controlling interestsunder the standards set forth in thissection, the gross revenues of all inter-est holders in the applicant, and theiraffiliates, will be attributable.


260

47 CFR Ch. I (10–1–01 Edition)§ 24.321

(6) A consortium of small businesses(or a consortium of very small busi-nesses) is a conglomerate organizationformed as a joint venture between oramong mutually independent businessfirms, each of which individually satis-fies the definition in paragraph (a)(1) ofthis section (or each of which individ-ually satisfies the definition in para-graph (a)(2) of this section). Where anapplicant or licensee is a consortium ofsmall businesses (or very small busi-nesses), the gross revenues of eachsmall business (or very small business)shall not be aggregated.

(7) Designated entities must describeon their long-form applications howthey satisfy the requirements for eligi-bility for designated entity status, andmust list and summarize on their long-form applications all agreements thataffect designated entity status such aspartnership agreements, shareholderagreements, management agreementsand other agreements, including oralagreements, establishing, as applica-ble, de facto or de jure control of the en-tity. Such information must be main-tained at the licensee’s facilities or byits designated agent for the term of thelicense in order to enable the Commis-sion to audit designated entity eligi-bility on an ongoing basis.

(b) Controlling interest. (1) For pur-poses of this section, a controlling in-terest includes individuals or entitieswith either de jure or de facto control ofthe applicant. De jure control is evi-denced by holdings of greater than 50percent of the voting stock of a cor-poration, or in the case of a partner-ship, general partnership interests. Defacto control is determined on a case-by-case basis. An entity must discloseits equity interest and demonstrate atleast the following indicia of control toestablish that it retains de facto con-trol of the applicant:




(2) The following rules apply for thecalculation of certain interests.

(i) Ownership interests shall be cal-culated on a fully diluted basis; allagreements such as warrants, stock op-tions, and convertible debentures willgenerally be treated as if the rightsthereunder already have been fully ex-ercised.

(ii) Partnership and other ownershipinterests and any stock interest eq-uity, or outstanding stock, or out-standing voting stock shall be attrib-uted as specified in this paragraph (b).

(iii) Stock interests held in trustshall be attributed to any person whoholds or shares the power to vote suchstock, to any person who has the solepower to sell such stock, and to anyperson who has the right to revoke thetrust at will or to replace the trusteeat will. If the trustee has a familial,personal, or extra-trust business rela-tionship to the grantor or the bene-ficiary, the stock interests held intrust will be attributed to the grantoror beneficiary, as appropriate.



(vi) Officers and directors of an enti-ty shall be considered to have a con-trolling interest in the entity. The offi-cers and directors of an entity thatcontrols a licensee or applicant shallbe considered to have a controlling in-terest in the licensee or applicant.


(viii) Any person who manages theoperations of an applicant or licenseepursuant to a management agreement


261


shall be considered to have a control-ling interest in such applicant or li-censee if such person, or its affiliate,has authority to make decisions orotherwise engage in practices or activi-ties that determine, or significantly in-fluence:




(ix) Any licensee or its affiliate whoenters into a joint marketing arrange-ment with an applicant or licensee, orits affiliate, shall be considered to havea controlling interest, if such applicantor licensee, or its affiliate, has author-ity to make decisions or otherwise en-gage in practices or activities that de-termine, or significantly influence:




(c) Bidding credits. (1) After August 7,2000, a winning bidder that qualifies asa small business or a consortium ofsmall businesses as defined in this sec-tion may use the bidding credit speci-fied in § 1.2110(e)(2)(iii) of this chapter.A winning bidder that qualifies as avery small business or a consortium ofvery small businesses as defined in thissection may use the bidding creditspecified in § 1.2110(e)(2)(ii) of this chap-ter.

(2)(i) Businesses owned by membersof minority groups and women, includ-ing small businesses owned by mem-bers of minority groups and women,that are winning bidders on nationwidelicenses on Channel 5, Channel 8, andChannel 11 prior to [effective date ofrules] will be eligible for a twenty-five(25) percent bidding credit.

(ii) Businesses owned by members ofminority groups and women, includingsmall businesses owned by members ofminority groups and women, that arewinning bidders on regional licenses onChannel 13 and Channel 17 prior to Au-gust 7, 2000 will be eligible for a forty(40) percent bidding credit.

(d) Installment payments. Smallbusinesses, including small businessesowned by members of minority groupsand women, that are winning bidderson any regional license prior to August7, 2000 will be eligible to pay the fullamount of their winning bids in install-ments over the term of the license pur-suant to the terms set forth in§ 1.2110(f) of this chapter.

[65 FR 35854, June 6, 2000]

Subpart G—Interim Application,Licensing and ProcessingRules for Narrowband PCS


§ 24.403 Authorization required.No person shall use or operate any

device for the transmission of energyor communications by radio in theservices authorized by this part exceptas provided in this part.

§ 24.404 Eligibility.(a) General. Authorizations will be

granted upon proper application if:(1) The applicant is qualified under

the applicable laws and the regula-tions, policies and decisions issuedunder the laws, including § 24.12;

(2) There are frequencies available toprovide satisfactory service; and

(3) The public interest, convenienceor necessity would be served by agrant.

(b) Alien ownership. A narrowbandPCS authorization to provide Commer-cial Mobile Radio Service may not begranted to or held by:

(1) Any alien or the representative ofany alien.

(2) Any corporation organized underthe laws of any foreign government.

(3) Any corporation of which morethan one-fifth of the capital stock isowned of record or voted by aliens ortheir representatives or by a foreigngovernment or representative thereofor any corporation organized under thelaws of a foreign country.

(4) Any corporation directly or indi-rectly controlled by any other corpora-tion of which more than one-fourth ofthe capital stock is owned or voted byaliens, their representatives, or by a


262

47 CFR Ch. I (10–1–01 Edition)§§ 24.405–24.414

foreign government or representativethereof, or by any corporation orga-nized under the laws of a foreign coun-try, if the Commission finds that thepublic interest will be served by the re-fusal or revocation of such license. ANarrowband PCS authorization to pro-vide Private Mobile Radio Service maynot be granted to or held by a foreigngovernment or a representative there-of.

[59 FR 26749, May 24, 1994, as amended at 61FR 55581, Oct. 28, 1996; 65 FR 35855, June 6,2000]

§§ 24.405–24.414 [Reserved]

§ 24.415 Technical content of applica-tions; maintenance of list of stationlocations.

(a) All applications required by thispart shall contain all technical infor-mation required by the applicationforms or associated public notice(s).Applications other than initial applica-tions for a narrowband PCS licensemust also comply with all technical re-quirements of the rules governing thenarrowband PCS (see subparts C and Das appropriate). The following para-graphs describe a number of generaltechnical requirements.

(b) Each application (except applica-tions for initial licenses filed on Form175) for a radio station authorizationfor narrowband PCS must comply withthe provisions of §§ 24.129 through24.135.

(c)—(i) [Reserved](j) The location of the transmitting

antenna shall be considered to be thestation location. Narrowband PCS li-censees must maintain a current list ofall station locations, which must de-scribe the transmitting antenna site byits geographical coordinates and alsoby conventional reference to streetnumber, landmark, or the equivalent.All such coordinates shall be specifiedin terms of degrees, minutes, and sec-onds to the nearest second of latitudeand longitude.

[59 FR 26749, May 24, 1994; 59 FR 43898, Aug.25, 1994]

§§ 24.416–24.429 [Reserved]


tions for other forms of relief) and re-sponsive pleadings for Commission con-sideration must comply with § 1.2108 ofthis chapter and must:


(2) Be filed in accordance with thepleading limitations, filing periods,and other applicable provisions of§§ 1.41 through 1.52 of this chapter ex-cept where otherwise provided in§ 1.2108 of this chapter;

(3) Contain specific allegations offact which, except for facts of which of-ficial notice may be taken, shall besupported by affidavit of a person orpersons with personal knowledge there-of, and which shall be sufficient todemonstrate that the petitioner (or re-spondent) is a party in interest andthat a grant of, or other Commissionaction regarding, the application wouldbe prima facie inconsistent with thepublic interest; and

(4) Contain a certificate of serviceshowing that it has been mailed to theapplicant no later than the date of fil-ing thereof with the Commission.

(b) A petition to deny a majoramendment to a previously filed appli-cation may only raise matters directlyrelated to the amendment which couldnot have been raised in connectionwith the underlying, previously filedapplication. This does not apply to pe-titioners who gain standing because ofthe major amendment.

(c) Parties who file frivolous peti-tions to deny may be subject to sanc-tions including monetary forfeitures,license revocation, if they are FCC li-censees, and may be prohibited fromparticipating in future auctions.

[59 FR 44072, Aug. 26, 1994, as amended at 65FR 35855, June 6, 2000]


(a) The Commission will consider ap-plications to be mutually exclusive if


263


their conflicts are such that the grantof one application would effectivelypreclude by reason of harmful elec-trical interference, or other practicalreason, the grant of one or more of theother applications. The Commissionwill presume ‘‘harmful electrical inter-ference’’ to mean interference whichwould result in a material impairmentto service rendered to the public de-spite full cooperation in good faith byall applicants or parties to achieve rea-sonable technical adjustments whichwould avoid electrical conflict.

(b) Mutually exclusive applicationsfiled on Form 175 for the initial provi-sion of narrowband PCS service aresubject to competitive bidding in ac-cordance with the procedures in sub-part F of this part and in 47 CFR part1, subpart Q.

(c) An application will be entitled tocomparative consideration with one ormore conflicting applications only ifthe Commission determines that suchcomparative consideration will servethe public interest.

§§ 24.432–24.444 [Reserved]

Subpart H—Competitive BiddingProcedures for Broadband PCS

SOURCE: 59 FR 37604, July 22, 1994, unlessotherwise noted.

§ 24.701 Broadband PCS subject tocompetitive bidding.

Mutually exclusive initial applica-tions to provide broadband PCS serviceare subject to competitive bidding pro-cedures. The general competitive bid-ding procedures found in 47 CFR part 1,subpart Q will apply unless otherwiseprovided in this part.

§ 24.702 Competitive bidding designfor Broadband PCS licensing.

(a) The Commission will employ thefollowing competitive bidding designswhen choosing from among mutuallyexclusive initial applications to pro-vide broadband PCS service:

(1) Simultaneous multiple round auc-tions.

(2) Sequential auctions.(b) The Commission may design and

test alternative procedures. The Com-mission will announce by Public Notice

before each auction the competitivebidding design to be employed in a par-ticular auction.

(c) The Commission may usecombinatorial bidding, which wouldallow bidders to submit all or nothingbids on combinations of licenses, in ad-dition to bids on individual licenses.The Commission may require that tobe declared the high bid, acombinatorial bid must exceed the sumof the individual bids by a specifiedamount or percentage. Combinatorialbidding may be used with any type ofauction design.

(d) The Commission may use singlecombined auctions, which combine bid-ding for two or more substitutable li-censes and award licenses to the high-est bidders until the available licensesare exhausted. This technique may beused in conjunction with any type ofauction.


§ 24.704 Withdrawal, default and dis-qualification penalties.

See § 1.2104 of this chapter.

[63 FR 50799, Sept. 23, 1998]



(a) All auction participants are re-quired to submit an upfront paymentin accordance with § 1.2106 of this chap-ter. Any C block applicant that haspreviously been in default on any Com-mission licenses or has previously beendelinquent on any non-tax debt owed toany Federal agency must submit an up-front payment equal to 50 percent morethan that set for each particular li-cense.

(b) Winning bidders in an auctionmust submit a down payment to theCommission in accordance with§ 1.2107(b) of this chapter and§§ 24.711(a)(2) and 24.716(a)(2).

(c) Each eligible bidder for licenseson frequency Blocks D and E subject toauction shall pay an upfront paymentof $0.06 per MHz per pop for the max-imum number of licenses (in terms ofMHz-pops) on which it intends to bid


264

47 CFR Ch. I (10–1–01 Edition)§ 24.707

pursuant to § 1.2106 of this chapter andprocedures specified by Public Notice.

[61 FR 33868, July 1, 1996, as amended at 63FR 50799, Sept. 23, 1998]



(a) Except with respect to entities el-igible for installment payments (see§ 24.711), each winning bidder will be re-quired to pay the balance of its win-ning bid in a lump sum payment withinfive (5) business days following theaward of the license. Grant of the li-cense will be conditioned upon full andtimely payment of the winning bidamount.

(b) A bidder who withdraws its bidsubsequent to the close of bidding, de-faults on a payment due or is disquali-fied will be subject to the penaltiesspecified in § 1.2109 of this chapter.

§ 24.709 Eligibility for licenses for fre-quency Blocks C and F.

(a) General Rule for licenses offered forclosed bidding. (1) No application is ac-ceptable for filing and no license shallbe granted to a winning bidder inclosed bidding for frequency block C orfrequency block F, unless the appli-cant, together with its affiliates andpersons or entities that hold interestsin the applicant and their affiliates,have had gross revenues of less than$125 million in each of the last twoyears and total assets of less than $500million at the time the applicant’sshort-form application (Form 175) isfiled.

(2) The gross revenues and total assetsof the applicant (or licensee), and itsaffiliates, and (except as provided inparagraph (b) of this section) of personsor entities that hold interests in theapplicant (or licensee), and their affili-ates, shall be attributed to the appli-cant and considered on a cumulativebasis and aggregated for purposes of de-termining whether the applicant (or li-censee) is eligible for a license for fre-quency block C or frequency block Funder this section.

(3) Any licensee awarded a licensewon in closed bidding pursuant to theeligibility requirements of this section(or pursuant to § 24.839(a)(2)) shall

maintain its eligibility until at leastfive years from the date of initial li-cense grant, except that a licensee’s (orother attributable entity’s) increasedgross revenues or increased total assetsdue to nonattributable equity invest-ments (i.e., from sources whose grossrevenues and total assets are not con-sidered under paragraph (b) of this sec-tion), debt financing, revenue from op-erations or other investments, businessdevelopment, or expanded service shallnot be considered.

(4) In order to be eligible for partici-pation in a C block auction, an appli-cant must certify that it is not in de-fault on any Commission licenses andthat it is not delinquent on any non-tax debt owed to any Federal agency.See § 24.706 of this part.

(5) An applicant for participation in aC block auction must state under pen-alty of perjury whether or not it hasever been in default on any Commis-sion licenses or has ever been delin-quent on any non-tax debt owed to anyFederal agency. See § 24.706 of this part.

(b) Exceptions to General Rule. (1)Small Business Consortia. Where an ap-plicant (or licensee) is a consortium ofsmall businesses, the gross revenues andtotal assets of each small business shallnot be aggregated.

(2) Publicly-Traded Corporations.Where an applicant (or licensee) is apublicly traded corporation with widelydispersed voting power, the gross reve-nues and total assets of a person or enti-ty that holds an interest in the appli-cant (or licensee), and its affiliates,shall not be considered.

(3) 25 Percent Equity Exception. Thegross revenues and total assets of a per-son or entity that holds an interest inthe applicant (or licensee), and its af-filiates, shall not be considered so longas:

(i) Such person or entity, togetherwith its affiliates, holds only nonattrib-utable equity equaling no more than 25percent of the applicant’s (or licens-ee’s) total equity;

(ii) Except as provided in paragraph(b)(5) of this section, such person or en-tity is not a member of the applicant’s(or licensee’s) control group; and

(iii) The applicant (or licensee) has acontrol group that complies with the


265


minimum equity requirements of para-graph (b)(5) of this section, and, if theapplicant (or licensee) is a corporation,owns at least 50.1 percent of the appli-cant’s (or licensee’s) voting interests,and, if the applicant (or licensee) is apartnership, holds all of its generalpartnership interests.

(4) 49.9 Percent Equity Exception. Thegross revenues and total assets of a per-son or entity that holds an interest inthe applicant (or licensee), and its af-filiates, shall not be considered so longas:

(i) Such person or entity, togetherwith its affiliates, holds only nonattrib-utable equity equaling no more than 49.9percent of the applicant’s (or licens-ee’s) total equity;

(ii) Except as provided in paragraph(b)(6) of this section, such person or en-tity is not a member of the applicant’s(or licensee’s) control group; and

(iii) The applicant (or licensee) has acontrol group that complies with theminimum equity requirements of para-graph (b)(6) of this section and, if theapplicant (or licensee) is a corporation,owns at least 50.1 percent of the appli-cant’s (or licensee’s) voting interests,and, if the applicant (or licensee) is apartnership, holds all of its generalpartnership interests.

(5) Control Group Minimum 25 PercentEquity Requirement. In order to be eligi-ble to exclude gross revenues and totalassets of persons or entities identifiedin paragraph (b)(3) of this section, andapplicant (or licensee) must complywith the following requirements:

(i) Except for an applicant (or li-censee) whose sole control group mem-ber is a preexisting entity, as provided inparagraph (b)(5)(ii) of this section, atthe time the applicant’s short-form ap-plication (Form 175) is filed and untilat least three years following the dateof initial license grant, the applicant’s(or licensee’s) control group must ownat least 25 percent of the applicant’s(or licensee’s) total equity as follows:

(A) At least 15 percent of the appli-cant’s (or licensee’s) total equity mustbe held by qualifying investors, eitherunconditionally or in the form of op-tions exercisable, at the option of theholder, at any time and at any exerciseprice equal to or less than the market

value at the time the applicant files itsshort-form application (Form 175);

(B) Such qualifying investors musthold 50.1 percent of the voting stockand all general partnership interestswithin the control group, and musthave de facto control of the controlgroup and of the applicant;

(C) The remaining 10 percent of theapplicant’s (or licensee’s) total equitymay be owned, either unconditionallyor in the form of stock options, by anyof the following entities, which maynot comply with § 24.720(n)(1):

(1) Institutional Investors;(2) Noncontrolling existing investors in

any preexisting entity that is a memberof the control group;

(3) Individuals that are members ofthe applicant’s (or licensee’s) manage-ment; or

(4) Qualifying investors, as specified in§ 24.720(n)(4).

(D) Following termination of thethree-year period specified in para-graph (b)(5)(i) of this section, quali-fying investors must continue to ownat least 10 percent of the applicant’s(or licensee’s) total equity uncondi-tionally or in the form of stock optionssubject to the restrictions in paragraph(b)(5)(i)(A) of this section. The restric-tions specified in paragraph(b)(5)(i)(C)(1) through (b)(5)(i)(C)(4) ofthis section no longer apply to the re-maining equity after termination ofsuch three-year period.

(ii) At the election of an applicant (orlicensee) whose control group’s solemember is a preexisting entity, the 25percent minimum equity requirementsset forth in paragraph (b)(5)(i) of thissection shall apply, except that only 10percent of the applicant’s (or licens-ee’s) total equity must be held in quali-fying investors, and that the remaining15 percent of the applicant’s (or licens-ee’s) total equity may be held by quali-fying investors, or noncontrolling ex-isting investors in such control groupmember or individuals that are mem-bers of the applicant’s (or licensee’s)management. These restrictions on theidentity of the holder(s) of the remain-ing 15 percent of the licensee’s total eq-uity no longer apply after terminationof the three-year period specified inparagraph (b)(5)(i) of this section.


266

47 CFR Ch. I (10–1–01 Edition)§ 24.709

(6) Control Group Minimum 50.1 PercentEquity Requirement. In order to be eligi-ble to exclude gross revenues and totalassets of persons or entities identifiedin paragraph (b)(4) of this section, anapplicant (or licensee) must complywith the following requirements:

(i) Except for an applicant (or li-censee) whose sole control group mem-ber is a preexisting entity, as provided inparagraph (b)(6)(ii) of this section, atthe time the applicant’s short-form ap-plication (Form 175) is filed and untilat least three years following the dateof initial license grant, the applicant’s(or licensee’s) control group must ownat least 50.1 percent of the applicant’s(or licensee’s) total equity as follows:

(A) At least 30 percent of the appli-cant’s (or licensee’s)total equity mustbe held by qualifying investors, eitherunconditionally or in the form of op-tions, exercisable at the option of theholder, at any time and at any exerciseprice equal to or less than the marketvalue at the time the applicant files itsshort-form application (Form 175);

(B) Such qualifying investors musthold 50.1 percent of the voting stockand all general partnership interestswithin the control group and musthave de facto control of the controlgroup and of the applicant;

(C) The remaining 20.1 percent of theapplicant’s (or licensee’s) total equitymay be owned by qualifying investors,either unconditionally or in the formof stock options not subject to the re-strictions of paragraph (b)(6)(i)(A) ofthis section, or by any of the followingentities which may not comply with§ 24.720(n)(1):

(1) Institutional investors, either un-conditionally or in the form of stockoptions;

(2) Noncontrolling existing investors inany preexisting entity that is a memberof the control group, either uncondition-ally or in the form of stock options;

(3) Individuals that are members ofthe applicant’s (or licensee’s) manage-ment, either unconditionally or in theform of stock options; or

(4) Qualifying investors, as specified in24.720(n)(4).

(D) Following termination of thethree-year period specified in para-graph (b)(6)(i) of this section, qualifyinginvestors must continue to own at least

20 percent of the applicant’s (or licens-ee’s) total equity unconditionally or inthe form of stock options subject tothe restrictions in paragraph(b)(6)(i)(A) of this section. The restric-tions specified in paragraph(b)(6)(i)(C)(1) through (4) of this sectionno longer apply to the remaining eq-uity after termination of such three-year period.

(ii) At the election of an applicant (orlicensee) whose control group’s solemember is a preexisting entity, the 50.1percent minimum equity requirementsset forth in paragraph (b)(6)(i) of thissection shall apply, except that only 20percent of the applicant’s (or licens-ee’s) total equity must be held by quali-fying investors, and that the remaining30.1 percent of the applicant’s (or li-censee’s) total equity may be held byqualifying investors, or noncontrollingexisting investors in such control groupmember or individuals that are mem-bers of the applicant’s (or licensee’s)management. These restrictions on theidentity of the holder(s) of the remain-ing 30.1 percent of the licensee’s totalequity no longer apply after termi-nation of the three-year period speci-fied in paragraph (b)(6)(i) of this sec-tion.

(7) Calculation of Certain Interests. Ex-cept as provided in paragraphs (b)(5)and (b)(6) of this section, ownership in-terests shall be calculated on a fully di-luted basis; all agreements such aswarrants, stock options and convert-ible debentures will generally be treat-ed as if the rights thereunder alreadyhave been fully exercised, except thatsuch agreements may not be used toappear to terminate or divest owner-ship interests before they actually doso, in order to comply with the non-attributable equity requirements inparagraphs (b)(3)(i) and (b)(4)(i) of thissection.

(8) Aggregation of Affiliate Interests.Persons or entities that hold interestin an applicant (or licensee) that areaffiliates of each other or have an iden-tify of interests identified in§ 24.720(1)(3) will be treated as thoughthey were one person or entity andtheir ownership interests aggregatedfor purposes of determining an appli-cant’s (or licensee’s) compliance withthe nonattributable equity requirements


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in paragraphs (b)(3)(i) and (b)(4)(i) ofthis section.

Example 1 for paragraph (b)(8). ABC Corp. isowned by individuals, A, B, and C, each hav-ing an equal one-third voting interest inABC Corp. A and B together, with two-thirdsof the stock have the power to control ABCCorp. and have an identity of interest. If A &B invest in DE Corp., a broadband PCS appli-cant for block C, A and B’s separate interestsin DE Corp. must be aggregated because Aand B are to be treated as one person.

Example 2 for paragraph (b)(8). ABC Corp.has subsidiary BC Corp., of which it holds acontrolling 51 percent of the stock. If ABCCorp. and BC Corp., both invest in DE Corp.,their separate interests in DE Corp. must beaggregated because ABC Corp. and BC Corp.are affiliates of each other.

(9) Special rule for licenseesdisaggregating or returning certain spec-trum in frequency block C.

(i) In addition to entities qualifyingfor closed bidding under paragraph(a)(1) of this section, any entity thatwas eligible for and participated in theauction for frequency block C, whichbegan on December 18, 1995, or the re-auction for frequency block C, whichbegan on July 3, 1996, will be eligible tobid for C block licenses offered inclosed bidding in any reauction of fre-quency block C spectrum that beginswithin two years of March 23, 1999.

(ii) In cases of merger, acquisition, orother business combination of entities,where each of the entities is eligible tobid for C block licenses offered inclosed bidding in any reauction of Cblock spectrum on the basis of the eli-gibility exception set forth in para-graph (b)(9)(i) of this section, the re-sulting entity will also be eligible forthe exception specified in paragraph(b)(9)(i).

(iii) In cases of merger, acquisition,or other business combination of enti-ties, where one or more of the entitiesare ineligible for the exception setforth in paragraph (b)(9)(i) of this sec-tion, the resulting entity will not be el-igible pursuant to paragraph (b)(9)(i)unless an eligible entity possesses dejure and de facto control over the re-sulting entity.

(iv) The following restrictions willapply for any reauction of frequencyblock C spectrum conducted afterMarch 24, 1998:

(A) Applicants that elected todisaggregate and surrender to the Com-mission 15 MHz of spectrum from anyor all of their frequency block C li-censes, as provided in Amendment ofthe Commission’s Rules Regarding In-stallment Payment Financing for Per-sonal Communications Services (PCS)Licensees, Second Report and Orderand Further Notice of Proposed RuleMaking, WT Docket No. 97–82, 12 FCCRcd 16,436 (1997), as modified by theOrder on Reconsideration of the SecondReport and Order, WT Docket No. 97–82,FCC 98–46 (rel. Mar. 24, 1998), will notbe eligible to apply for suchdisaggregated spectrum until 2 yearsfrom the start of the reauction of thatspectrum.

(B) Applicants that surrendered tothe Commission any of their frequencyblock C licenses, as provided in Amend-ment of the Commission’s Rules Re-garding Installment Payment Financ-ing for Personal Communications Serv-ices (PCS) Licensees, Second Reportand Order and Further Notice of Pro-posed Rule Making, WT Docket No. 97–82, 12 FCC Rcd 16,436 (1997), as modifiedby the Order on Reconsideration of theSecond Report and Order, WT DocketNo. 97–82, FCC 98–46 (rel. Mar. 24, 1998),will not be eligible to apply for the li-censes that they surrendered to theCommission until 2 years from thestart of the reauction of those licensesif they elected to apply a credit of 70%of the down payment they made onthose licenses toward the prepaymentof licenses they did not surrender.

(c) Short-Form and Long-Form Applica-tions: Certifications and Disclosure. (1)Short-form Application. In addition tocertifications and disclosures requiredby Part 1, subpart Q of this chapter and§ 24.813, each applicant for a license forfrequency block C or frequency block Fshall certify on its short-form applica-tion (Form 175) that it is eligible to bidon and obtain such license(s), and (ifapplicable) that it is eligible for des-ignated entity status pursuant to thissection and § 24.720, and shall appendthe following information as an exhibitto its Form 175:

(i) For an applicant that is a publiclytraded corporation with widely disbursedvoting power:


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(A) A certified statement that suchapplicant complies with the require-ments of the definition of publicly trad-ed corporation with widely disbursed vot-ing power set forth in § 24.720(m);

(B) The identify of each affiliate ofthe applicant if not disclosed pursuantto § 24.813; and

(C) The applicant’s gross revenues andtotal assets, computed in accordancewith paragraphs (a) and (b) of this sec-tion.

(ii) For all other applicants:(A) The identity of each member of

the applicant’s control group, regardlessof the size of each member’s total in-terest in the applicant, and the per-centage and type of interest held;

(B) The citizenship and the gender orminority group classification for eachmember of the applicant’s control groupif the applicant is claiming status as abusiness owned by members of minoritygroups and/or women;

(C) The status of each control groupmember that is an institutional investor,an existing investor, and/or a member ofthe applicant’s management;

(D) The identify of each affiliate ofthe applicant and each affiliate of indi-viduals or entities identified pursuantto paragraphs (c)(1)(ii)(A) and(c)(1)(ii)(C) of this section if not dis-closed pursuant to § 24.813;

(E) A certification that the appli-cant’s sole control group member is apreexisting entity, if the applicantmakes the election in either paragraph(b)(5)(ii) or (b)(6)(ii) of this section; and

(F) The applicant’s gross revenues andtotal assets, computed in accordancewith paragraphs (a) and (b) of this sec-tion.

(iii) For each applicant claiming sta-tus as a small business consortium, theinformation specified in paragraph(c)(1)(ii) of this section, for each mem-ber of such consortium.

(2) Long-form Application. In additionto the requirements in subpart I of thispart and other applicable rules (e.g.,§§ 20.6(e) and 20.9(b) of this chapter),each applicant submitting a long-formapplication for a license(s) for fre-quency block C or frequency block Fshall, in an exhibit to its long-form ap-plication:

(i) Disclose separately and in the ag-gregate the gross revenues and total as-

sets, computed in accordance with para-graphs (a) and (b) of this section, foreach of the following: the applicant;the applicant’s affiliates, the appli-cant’s control group members; the ap-plicant’s attributable investors; and af-filiates of its attributable investors;

(ii) List and summarize all agree-ments or other instruments (with ap-propriate references to specific provi-sions in the text of such agreementsand instruments) that support the ap-plicant’s eligibility for a license(s) forfrequency block C or frequency block Fand its eligibility under §§ 24.711, 24.712,24.714 and 24.720, including the estab-lishment of de facto and de jure control;such agreements and instruments in-clude articles of incorporation and by-laws, shareholder agreements, votingor other trust agreements, partnershipagreements, management agreements,joint marketing agreements, franchiseagreements, and any other relevantagreements (including letters of in-tent), oral or written; and

(iii) List and summarize any investorprotection agreements and identifyspecifically any such provisions inthose agreements identified pursuantto paragraph (c)(2)(ii) of this section,including rights of first refusal, super-majority clauses, options, veto rights,and rights to hire and fire employeesand to appoint members to boards ofdirectors or management committees.

(3) Records Maintenance. All appli-cants, including those that are winningbidders, shall maintain at their prin-cipal place of business an updated fileof ownership, revenue and asset infor-mation, including those documents ref-erenced in paragraphs (c)(2)(ii) and(c)(2)(iii) of this section and any otherdocuments necessary to establish eligi-bility under this section or under thedefinitions of small business and/or busi-ness owned by members of minority groupsand/or women. Licensees (and their suc-cessors in interest) shall maintain suchfiles for the term of the license. Appli-cants that do not obtain the license(s)for which they applied shall maintainsuch files until the grant of such li-cense(s) is final, or one year from thedate of the filing of their short-formapplication (Form 175), whichever isearlier.


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(d) Audits. (1) Applicants and licens-ees claiming eligibility for closed bid-ding under this section or for otherprovisions under §§ 24.711 through 24.720shall be subject to audits by the Com-mission, using in-house and contractresources. Selection for audit may berandom, on information, or on thebasis of other factors.

(2) Consent to such audits is part ofthe certification included in the short-form application (Form 175). Such con-sent shall include consent to the auditof the applicant’s or licensee’s books,documents and other material (includ-ing accounting procedures and prac-tices) regardless of form or type, suffi-cient to confirm that such applicant’sor licensee’s representations are, andremain, accurate. Such consent shallinclude inspection at all reasonabletimes of the facilities, or parts thereof,engaged in providing and transactingbusiness, or keeping records regardinglicensed broadband PCS service andshall also include consent to the inter-view of principals, employees, cus-tomers and suppliers of the applicantor licensee.

(e) Tiers. (1) For purposes of deter-mining spectrum to which the eligi-bility requirements of this section areapplicable, the BTA service areas (see§ 24.202(b)) are divided into two tiers ac-cording to their population as follows:

(i) Tier 1: BTA service areas withpopulation equal to or greater than 2.5million;

(ii) Tier 2: BTA service areas withpopulation less than 2.5 million.

(2) For Auction No. 35, the populationof individual BTA service areas will bebased on the 1990 census. For auctionsbeginning after the start of AuctionNo. 35, the population of individualBTA service areas will be based on themost recent available decennial census.

(f) Application of eligibility require-ments. (1) The following categories oflicenses will be subject to closed bid-ding pursuant to the eligibility re-quirements of this section in auctionsthat begin after the effective date ofthis paragraph.

(i) For Tier 1 BTAs, one of the 10 MHzC block licenses (1895–1900 MHz pairedwith 1975–1980 MHz);

(ii) For Tier 2 BTAs, two of the 10MHz C block licenses (1895–1900 MHz

paired with 1975–1980 MHz; 1900–1905MHz paired with 1980–1985 MHz) and all15 MHz C block licenses.

(2) Notwithstanding the provisions ofparagraph (f)(1) of this section, any Cblock license for operation on spec-trum that has been offered, but notwon by a bidder, in closed bidding inany auction beginning on or afterMarch 23, 1999, will not be subject in asubsequent auction to closed biddingpursuant to the eligibility require-ments of this section.

(g) Definitions. The terms affiliate,business owned by members of minoritygroups and/or women, and gross revenuesused in this section are defined in§ 1.2110 of this chapter. The terms con-sortium of small businesses, control group,existing investor, institutional investor,nonattributable equity, preexisting entity,publicly traded corporation with widelydispersed voting power, qualifying inves-tor, small business, and total assets usedin this section are defined in § 24.720 ofthis chapter.

[59 FR 63232, Dec. 7, 1994; 60 FR 5335, Jan. 27,1995, as amended at 60 FR 37795, July 21, 1995;61 FR 33868, July 1, 1996; 63 FR 17122, Apr. 8,1998; 63 FR 50799, Sept. 23, 1998; 65 FR 53637,Sept. 5, 2000; 65 FR 68931, Nov. 15, 2000]


§ 24.711 Upfront payments, down pay-ments and installment payments forlicenses for frequency Block C.

(a) Upfront Payments and Down Pay-ments. (1) Each eligible bidder for li-censes subject to auction on frequencyBlock C shall pay an upfront paymentas set forth in a Public Notice pursuantto the procedures in § 1.2106 of thischapter.

(2) Each winning bidder shall make adown payment and pay the balance ofits winning bids pursuant to § 1.2107 and§ 1.2109 of this chapter.

(b) Installment payments. Each eligiblelicensee of frequency Block C or F maypay the remaining 90 percent of the netauction price for the license in install-ment payments pursuant to § 1.2110(g)of this chapter and under the followingterms:

(1) For an eligible licensee with grossrevenues exceeding $75 million (cal-culated in accordance with § 24.709(a)(2)and (b)) in each of the two precedingyears (calculated in accordance with


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§ 24.720(f)), interest shall be imposedbased on the rate for ten-year U.S.Treasury obligations applicable on thedate the license is granted, plus 3.5 per-cent; payments shall include both prin-cipal and interest amortized over theterm of the license.

(2) For an eligible licensee with grossrevenues not exceeding $75 million (cal-culated in accordance with § 24.709(a)(2)and (b)) in each of the two precedingyears, interest shall be imposed basedon the rate for ten-year U.S. Treasuryobligations applicable on the date thelicense is granted, plus 2.5 percent;payments shall include interest onlyfor the first year and payments of in-terest and principal amortized over theremaining nine years of the licenseterm.

(3) For an eligible licensee that quali-fies as a Small business or as a consor-tium of small businesses, interest shallbe imposed based on the rate for ten-year U.S. Treasury obligations applica-ble on the date the license is granted,plus 2.5 percent; payments shall in-clude interest only for the first twoyears and payments of interest andprincipal amortized over the remainingeight years of the license term.

(4) For an eligible licensee that quali-fies as a business owned by members ofminority groups and/or women, inter-est shall be imposed based on the ratefor ten-year U.S. Treasury obligationsapplicable on the date the license isgranted; payments shall include inter-est only for the first three years andpayments of interest and principal am-ortized over the remaining seven yearsof the license term.

(5) For an eligible licensee that quali-fies as a small business owned by mem-bers of minority groups and/or womenor as a consortium of small businessowned by members of minority groupsand/or women, interest shall be im-posed based on the rate for ten-yearU.S. Treasury obligations applicable onthe date the license is granted; pay-ments shall include interest only forthe first six years and payments of in-terest and principal amortized over theremaining four years of the licenseterm.

(c) Unjust enrichment. See § 1.2111 ofthis chapter.

[59 FR 63235, Dec. 7, 1994; 60 FR 5335, Jan. 27,1995, as amended at 60 FR 37796, July 21, 1995;63 FR 2349, Jan. 15, 1998; 63 FR 50799, Sept. 23,1998]

§ 24.712 Bidding credits for licensesfor frequency Block C.

(a) Except with respect to licenseswon in closed bidding in auctions thatbegin after March 23, 1999, a winningbidder that qualifies as a small busi-ness or a consortium of small busi-nesses as defined in § 24.720(b)(1) or§ 24.720(b)(4) may use a bidding credit offifteen percent, as specified in§ 1.2110(e)(2)(iii) of this chapter, tolower the cost of its winning bid.

(b) Except with respect to licenseswon in closed bidding in auctions thatbegin after March 23, 1999, a winningbidder that qualifies as a very smallbusiness or a consortium of very smallbusinesses as defined in § 24.720(b)(2) or§ 24.720(b)(5) may use a bidding credit oftwenty-five percent as specified in§ 1.2110(e)(2)(ii) of this chapter, to lowerthe cost of its winning bid.

(c) Unjust enrichment. See § 1.2111 ofthis chapter. The unjust enrichmentprovisions of § 1.2111(d) and (e)(2) shallnot apply with respect to licenses ac-quired in either the auction for fre-quency block C that began on Decem-ber 18, 1995, or the reauction of block Cspectrum that began on July 3, 1996.

[65 FR 53637, Sept. 5, 2000]


§ 24.714 Partitioned licenses anddisaggregated spectrum.

(a) Eligibility. (1) Parties seeking ap-proval for partitioning anddisaggregation shall request an author-ization for partial assignment of a li-cense pursuant to § 24.839.

(2) Broadband PCS licensees in spec-trum blocks A, B, D, and E andbroadband PCS C and F block licensesnot subject to the eligibility require-ments of § 24.709 may apply to partitiontheir licensed geographic service areaor disaggregate their licensed spectrumat any time following the grant oftheir licenses.

(3) Broadband PCS licensees that ac-quired C or F block licenses in closed


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bidding subject to the eligibility re-quirements of § 24.709 may partitiontheir licensed geographic service areaor disaggregate their licensed spectrumat any time to an entity that meetsthe eligibility criteria set forth in§ 24.709 at the time the request for par-tial assignment of license is filed or toan entity that holds license(s) for fre-quency blocks C and F that met theeligibility criteria set forth in § 24.709at the time of receipt of such li-cense(s). Partial assignment applica-tions seeking partitioning ordisaggregation of broadband PCS li-censes in spectrum blocks C and Fmust include an attachment dem-onstrating compliance with this sec-tion.

(b) Technical standards—(1) Parti-tioning. In the case of partitioning, ap-plicants and licensees must file FCCForm 603 pursuant to § 1.948 of thischapter and list the partitioned servicearea on a schedule to the application.The geographic coordinates must bespecified in degrees, minutes, and sec-onds to the nearest second of latitudeand longitude and must be based uponthe 1983 North American Datum(NAD83).

(2) Disaggregation. Spectrum may bedisaggregated in any amount.

(3) Combined partitioning anddisaggregation. The Commission willconsider requests for partial assign-ment of licenses that propose combina-tions of partitioning anddisaggregation.

(c) Unjust enrichment—(1) Installmentpayments. Licensees in frequencyBlocks C and F making installmentpayments that partition their licensesor disaggregate their spectrum to enti-ties not meeting the eligibility stand-ards for installment payments, will besubject to the provisions concerningunjust enrichment as set forth in§§ 1.2111 of this chapter and 24.716(d).

(2) Bidding credits. Licensees in fre-quency Blocks C and F that received abidding credit and partition their li-censes or disaggregate their spectrumto entities not meeting the eligibilitystandards for such a bidding credit,will be subject to the provisions con-cerning unjust enrichment as set forthin §§ 1.2110(f) of this chapter and24.717(c).

(3) Apportioning unjust enrichmentpayments. Unjust enrichment paymentsfor partitioned license areas shall becalculated based upon the ratio of thepopulation of the partitioned licensearea to the overall population of the li-cense area and by utilizing the most re-cent census data. Unjust enrichmentpayments for disaggregated spectrumshall be calculated based upon theratio of the amount of spectrumdisaggregated to the amount of spec-trum held by the licensee.

(d) Installment payments—(1) Appor-tioning the balance on installment pay-ment plans. When a winning bidderelects to pay for its license through aninstallment payment plan pursuant to§§ 1.2110(e) of this chapter or 24.716, andpartitions its licensed area ordisaggregates spectrum to anotherparty, the outstanding balance owed bythe licensee on its installment pay-ment plan (including accrued and un-paid interest) shall be apportioned be-tween the licensee and partitionee ordisaggregatee. Both parties will be re-sponsible for paying their propor-tionate share of the outstanding bal-ance to the U.S. Treasury. In the caseof partitioning, the balance shall be ap-portioned based upon the ratio of thepopulation of the partitioned area tothe population of the entire original li-cense area calculated based upon themost recent census data. In the case ofdisaggregation, the balance shall be ap-portioned based upon the ratio of theamount of spectrum disaggregated tothe amount of spectrum allocated tothe licensed area.

(2) Parties not qualified for installmentpayment plans. (i) When a winning bid-der elects to pay for its license throughan installment payment plan, and par-titions its license or disaggregatesspectrum to another party that wouldnot qualify for an installment paymentplan or elects not to pay for its shareof the license through installment pay-ments, the outstanding balance owedby the licensee (including accrued andunpaid interest) shall be apportionedaccording to § 24.714(d)(1).

(ii) The partitionee or disaggregateeshall, as a condition of the approval ofthe partial assignment application, payits entire pro rata amount within 30days of Public Notice conditionally


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47 CFR Ch. I (10–1–01 Edition)§ 24.714

granting the partial assignment appli-cation. Failure to meet this conditionwill result in a rescission of the grantof the partial assignment application.

(iii) The licensee shall be permittedto continue to pay its pro rata share ofthe outstanding balance and shall re-ceive new financing documents (prom-issory note, security agreement) with arevised payment obligation, based onthe remaining amount of time on theoriginal installment payment schedule.These financing documents will replacethe licensee’s existing financing docu-ments which shall be marked ‘‘super-seded’’ and returned to the licenseeupon receipt of the new financing docu-ments. The original interest rate, es-tablished pursuant to § 1.2110(e)(3)(i) ofthis chapter at the time of the grant ofthe initial license in the market, shallcontinue to be applied to the licensee’sportion of the remaining governmentobligation. We will require, as a furthercondition to approval of the partial as-signment application, that the licenseeexecute and return to the U.S. Treas-ury the new financing documents with-in 30 days of the Public Notice condi-tionally granting the partial assign-ment application. Failure to meet thiscondition will result in the automaticcancellation of the grant of the partialassignment application.

(iv) A default on the licensee’s pay-ment obligation will only affect the li-censee’s portion of the market.

(3) Parties qualified for installmentpayment plans. (i) Where both partiesto a partitioning or disaggregationagreement qualify for installment pay-ments, the partitionee or disaggregateewill be permitted to make installmentpayments on its portion of the remain-ing government obligation, as cal-culated according to § 24.714(d)(1).

(ii) Each party will be required, as acondition to approval of the partial as-signment application, to execute sepa-rate financing documents (promissorynote, security agreement) agreeing topay their pro rata portion of the bal-ance due (including accrued and unpaidinterest) based upon the installmentpayment terms for which they qualifyunder the rules. The financing docu-ments must be returned to the U.S.Treasury within thirty (30) days of thePublic Notice conditionally granting

the partial assignment application.Failure by either party to meet thiscondition will result in the automaticcancellation of the grant of the partialassignment application. The interestrate, established pursuant to§ 1.2110(e)(3)(i) of this chapter at thetime of the grant of the initial licensein the market, shall continue to be ap-plied to both parties’ portion of thebalance due. Each party will receive alicense for their portion of the parti-tioned market or disaggregated spec-trum.

(iii) A default on an obligation willonly affect that portion of the marketarea held by the defaulting party.

(iv) Partitionees and disaggregateesthat qualify for installment paymentplans may elect to pay some of theirpro rata portion of the balance due ina lump sum payment to the U.S. Treas-ury and to pay the remaining portionof the balance due pursuant to an in-stallment payment plan.

(e) License term. The license term fora partitioned license area and fordisaggregated spectrum shall be the re-mainder of the original licensee’s li-cense term as provided for in § 24.15.

(f) Construction requirements—(1) Re-quirements for partitioning. Parties seek-ing authority to partition must meetone of the following construction re-quirements:

(i) The partitionee may certify thatit will satisfy the applicable construc-tion requirements set forth in § 24.203for the partitioned license area; or

(ii) The original licensee may certifythat it has or will meet its five-yearconstruction requirement and willmeet the ten-year construction re-quirement, as set forth in § 24.203, forthe entire license area. In that case,the partitionee must only satisfy therequirements for ‘‘substantial service,’’as set forth in § 24.16(a), for the parti-tioned license area by the end of theoriginal ten-year license term of the li-censee.

(iii) Applications requesting partialassignments of license for partitioningmust include a certification by eachparty as to which of the above con-struction options they select.

(iv) Partitionees must submit sup-porting documents showing compliance


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with the respective construction re-quirements within the appropriate five-and ten-year construction benchmarksset forth in § 24.203.

(v) Failure by any partitionee tomeet its respective construction re-quirements will result in the auto-matic cancellation of the partitionedor disaggregated license without fur-ther Commission action.

(2) Requirements for disaggregation.Parties seeking authority todisaggregate must submit with theirpartial assignment application a cer-tification signed by both parties stat-ing which of the parties will be respon-sible for meeting the five- and ten-yearconstruction requirements for the PCSmarket as set forth in § 24.203. Partiesmay agree to share responsibility formeeting the construction require-ments. Parties that accept responsi-bility for meeting the construction re-quirements and later fail to do so willbe subject to license forfeiture withoutfurther Commission action.

[62 FR 661, Jan. 6, 1997, as amended at 63 FR68953, Dec. 14, 1998; 65 FR 53638, Sept. 5, 2000]

§ 24.716 Upfront payments, down pay-ments, and installment paymentsfor licenses for frequency Block F.

(a) Upfront Payments and Down Pay-ments. (1) Each eligible bidder for li-censes subject to auction on frequencyBlock F shall pay an upfront paymentas set forth in a Public Notice pursuantto the procedures in § 1.2106 of thischapter.

(2) Each winning bidder shall make adown payment and pay the balance ofits winning bids pursuant to § 1.2107 and§ 1.2109 of this chapter.

(b) Installment Payments. Each eligi-ble licensee of frequency Block F maypay the remaining 80 percent of the netauction price for the license in install-ment payments pursuant to § 1.2110(e)of this chapter and under the followingterms:

(1) For an eligible licensee with grossrevenues exceeding $75 million (cal-culated in accordance with § 24.709(a)(2) and (b)) in each of the two pre-ceding years (calculated in accordancewith § 24.720(f)), interest shall be im-posed based on the rate for ten-yearU.S. Treasury obligations applicable onthe date the license is granted, plus 3.5

percent; payments shall include bothprincipal and interest amortized overthe term of the license;

(2) For an eligible licensee with grossrevenues not exceeding $75 million (cal-culated in accordance with § 24.709(a)(2) and (b)) in each of the two pre-ceding years (calculated in accordancewith § 24.720(f)), interest shall be im-posed based on the rate for ten-yearU.S. Treasury obligations applicable onthe date the license is granted, plus 2.5percent; payments shall include inter-est only for the first year and pay-ments of interest and principal amor-tized over the remaining nine years ofthe license term; or

(3) For an eligible licensee that quali-fies as a small business or as a consor-tium of small businesses, interest shallbe imposed based on the rate for ten-year U.S. Treasury obligations applica-ble on the date the license is granted;payments shall include interest onlyfor the first two years and payments ofinterest and principal amortized overthe remaining eight years of the li-cense term.

(c) Late installment payments. See§ 1.2110(f)(4) of this chapter.

(d) Unjust enrichment. See § 1.2111 ofthis chapter.

[60 FR 37799, July 21, 1995, as amended at 61FR 33868, July 1, 1996; 63 FR 2349, Jan. 15,1998; 63 FR 50799, Sept. 23, 1998]

§ 24.717 Bidding credits for licensesfor frequency Block F.

(a) Except with respect to licenseswon in closed bidding in auctions thatbegin after March 23, 1999, a winningbidder that qualifies as a small busi-ness or a consortium of small busi-nesses as defined in § 24.720(b)(1) or§ 24.720(b)(4) may use a bidding credit offifteen percent, as specified in§ 1.2110(e)(2)(iii) of this chapter, tolower the cost of its winning bid.

(b) Except with respect to licenseswon in closed bidding in auctions thatbegin after March 23, 1999, a winningbidder that qualifies as a very smallbusiness or a consortium of very smallbusinesses as defined in § 24.720(b)(2) or§ 24.720(b)(5) may use a bidding credit oftwenty-five percent as specified in§ 1.2110(e)(2)(ii) of this chapter, to lowerthe cost of its winning bid.


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(c) Unjust enrichment. See § 1.2111 ofthis chapter.

[63 FR 50800, Sept. 23, 1998, as amended at 65FR 53638, Sept. 5, 2000]

§ 24.720 Definitions.(a) Scope. The definitions in this sec-

tion apply to §§ 24.709 through 24.717,unless otherwise specified in those sec-tions.

(b) Small business; very small business;consortia. (1) A small business is an enti-ty that, together with its affiliates andpersons or entities that hold interest insuch entity and their affiliates, has av-erage annual gross revenues that are notmore than $40 million for the precedingthree years.

(2) A very small business is an entitythat, together with its affiliates andpersons or entities that hold interestsin such entity and their affiliates, hasaverage annual gross revenues that arenot more than $15 million for the pre-ceding three years.

(3) For purposes of determiningwhether an entity meets the $40 mil-lion average annual gross revenues sizestandard set forth in paragraph (b)(1) ofthis section or the $15 million averageannual gross revenues size standard setforth in paragraph (b)(2) of this section,the gross revenues of the entity, its af-filiates, persons or entities holding in-terests in the entity and their affiliatesshall be considered on a cumulativebasis and aggregated subject to the ex-ceptions set forth in § 24.709(b).

(4) A small business consortium is aconglomerate organization formed as ajoint venture between or among mutu-ally independent business firms, eachof which individually satisfies the defi-nition of a small business in paragraphs(b)(1) and (b)(3) of this section.

(5) A very small business consortium isa conglomerate organization formed asa joint venture between or among mu-tually independent business firms, eachof which individually satisfies the defi-nition of a very small business in para-graphs (b)(2) and (b)(3) of this section.

(c) Business Owned by Members of Mi-nority Groups and/or Women. A businessowned by members of minority groupsand/or women is an entity:

(1) In which the qualifying investormembers of an applicant’s control groupare members of minority groups and/or

women who are United States citizens;and

(2) That complies with the require-ments of § 24.709 (b)(3) and (b)(5) or§ 24.709 (b)(4) and (b)(6).

(d) Small Business Owned by Membersof Minority Groups and/or Women: Con-sortium of Small Businesses Owned byMembers of Minority and/or Women. ASmall business owned by members of mi-nority groups and/or women is an entitythat meets the definitions in bothparagraphs (b) and (c) of this section. Aconsortium of small businesses owned bymembers of minority groups and/or womenis a conglomerate organization formedas a joint venture between mutually-independent business firms, each ofwhich individually satisfies the defini-tions in paragraphs (b) and (c) of thissection.

(e) Rural Telephone Company. A ruraltelephone company is a local exchangecarrier operating entity to the extentthat such entity:

(1) Provides common carrier serviceto any local exchange carrier studyarea that does not include either;

(i) Any incorporated place of 10,000inhabitants or more, or any part there-of, based on the most recently avail-able population statistics of the Bu-reau of the Census; or

(ii) Any territory, incorporated orunincorporated, included in an urban-ized area, as defined by the Bureau ofthe Census as of August 10, 1993;

(2) Provides telephone exchange serv-ice, including exchange access, to fewerthan 50,000 access lines;

(3) Provides telephone exchange serv-ice to any local exchange carrier studyarea with fewer than 100,000 accesslines; or

(4) Has less than 15 percent of its ac-cess lines in communities of more than50,000 on the date of enactment of theTelecommunications Act of 1996.

(f) Gross Revenues. Gross revenuesshall mean all income received by anentity, whether earned or passive, be-fore any deductions are made for costsof doing business (e.g., cost of goodssold), as evidenced by audited financialstatements for the relevant number ofmost recently completed calendaryears, or, if audited financial state-ments were not prepared on a calendar-


275


year basis, for the most recently com-pleted fiscal years preceding the filingof the applicant’s short-form applica-tion (Form 175). If an entity was not inexistence for all or part of the relevantperiod, gross revenues shall be evi-denced by the audited financial state-ments of the entity’s predecessor-in-in-terest or, if there is no identifiablepredecessor-in-interest, unaudited fi-nancial statements certified by the ap-plicant as accurate. When an applicantdoes not otherwise use audited finan-cial statements, its gross revenues maybe certified by its chief financial offi-cer or its equivalent.

(g) Total Assets. Total assets shallmean the book value (except wheregenerally accepted accounting prin-ciples (GAAP) require market valu-ation) of all property owned by an enti-ty, whether real or personal, tangibleor intangible, as evidenced by the mostrecent audited financial statements orcertified by the applicant’s chief finan-cial officer or its equivalent if the ap-plicant does not otherwise use auditedfinancial statements.

(h) Institutional Investor. An institu-tional investor is an insurance company,a bank holding stock in trust accountsthrough its trust department, or an in-vestment company as defined in 15U.S.C. 80a–3(a), including within suchdefinition any entity that would other-wise meet the definition of investmentcompany under 15 U.S.C. 80a–3(a) but isexcluded by the exemptions set forth in15 U.S.C. 80a–3 (b) and (c), without re-gard to whether such entity is anissuer of securities; provided that, ifsuch investment company is owned, inwhole or in part, by other entities,such investment company, such otherentities and the affiliates of such otherentities, taken as a whole, must be pri-marily engaged in the business of in-vesting, reinvesting or trading in secu-rities or in distributing or providing in-vestment management services for se-curities.

(i) Members of Minority Groups. Mem-bers of minority groups include indi-viduals of African American, Hispanic-surnamed, American Eskimo, Aleut,American Indian, and Asian Americanextraction.

(j) Nonattributable Equity. (1) Non-attributable equity shall mean:

(i) For corporations, voting stock ornon-voting stock that includes no morethan twenty-five percent of the totalvoting equity, including the right tovote such stock through a voting trustor other arrangement;

(ii) For partnerships, joint venturesand other non-corporate entities, lim-ited partnership interests and similarinterests that do not afford the powerto exercise control of the entity.

(2) For purposes of assessing compli-ance with the equity limits in § 24.709(b)(3)(i) and (b)(4)(i), where such inter-ests are not held directly in the appli-cant, the total equity held by a personor entity shall be determined by suc-cessive multiplication of the ownershippercentages for each link in thevertical ownership chain.

(k) Control Group. A control group isan entity, or a group of individuals orentities, that possesses de jure controland de facto control of an applicant orlicensee, and as to which the appli-cant’s or licensee’s charters, bylaws,agreements and any other relevantdocuments (and amendments thereto)provide:

(1) That the entity and/or its mem-bers own unconditionally at least 50.1percent of the total voting interests ofa corporation;

(2) That the entity and/or its mem-bers receive at least 50.1 percent of theannual distribution or any dividendspaid on the voting stock of a corpora-tion;

(3) That, in the event of dissolutionor liquidation of a corporation, the en-tity and/or or its members are entitledto receive 100 percent of the value ofeach share of stock in its possessionand a percentage of the retained earn-ings of the concern that is equivalentto the amount of equity held in thecorporation; and

(4) That, for other types of busi-nesses, the entity and/or its membershave the right to receive dividends,profits and regular and liquidating dis-tributions from the business in propor-tion to the amount of equity held inthe business.

NOTE TO PARAGRAPH (k): Voting controldoes not always assure de facto control, suchas for example, when the voting stock of thecontrol group is widely dispersed (see e.g.,§ 24.720(1)(2)(iii).


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47 CFR Ch. I (10–1–01 Edition)§ 24.720

(l) Affiliate. (1) Basis for Affiliation. Anindividual or entity is an affiliate of anapplicant or of a person holding an at-tributable interest in an applicant(both referred to herein as ‘‘the appli-cant’’) if such individual or entity:

(i) Directly or indirectly controls orhas the power to control the applicant,or

(ii) Is directly or indirectly con-trolled by the applicant, or

(iii) Is directly or indirectly con-trolled by a third party or parties thatalso controls or has the power to con-trol the applicant, or


(2) Nature of control in determining af-filiation.

(i) Every business concern is consid-ered to have one or more parties whodirectly or indirectly control or havethe power to control it. Control may beaffirmative or negative and it is imma-terial whether it is exercised so long asthe power to control exists.

Example for paragraph (l)(2)(i). An applicantowning 50 percent of the voting stock of an-other concern would have negative power tocontrol such concern since such party canblock any action of the other stockholders.Also, the bylaws of a corporation may per-mit a stockholder with less than 50 percentof the voting to block any actions taken bythe other stockholders in the other entity.Affiliation exists when the applicant has thepower to control a concern while at the sametime another person, or persons, are in con-trol of the concern at the will of the party orparties with the power of control.

(ii) Control can arise through stockownership; occupancy of director, offi-cer or key employee positions; contrac-tual or other business relations; orcombinations of these and other fac-tors. A key employee is an employeewho, because of his/her position in theconcern, has a critical influence in orsubstantive control over the operationsor management of the concern.

(iii) Control can arise through man-agement positions where a concern’svoting stock is so widely distributedthat no effective control can be estab-lished.

Example for paragraph (l)(2)(iii). In a cor-poration where the officers and directorsown various size blocks of stock totaling 40percent of the corporation’s voting stock,but no officer or director has a block suffi-

cient to give him or her control or the powerto control and the remaining 60 percent iswidely distributed with no individual stock-holder having a stock interest greater than10 percent, management has the power tocontrol. If persons with such managementcontrol of the other entity are persons withattributable interests in the applicant, theother entity will be deemed an affiliate ofthe applicant.


Example 1. Two shareholders in Corpora-tion Y each have attributable interests inthe same PCS application. While neithershareholder has enough shares to individ-ually control Corporation Y, together theyhave the power to control Corporation Y.The two shareholders with these common in-vestments (or identity of interest) are treat-ed as though they are one person and Cor-poration Y would be deemed an affiliate ofthe applicant.

Example 2. One shareholder in CorporationY, shareholder A, has an attributable inter-est in a PCS application. Another share-holder in Corporation Y, shareholder B, hasa nonattributable interest in the same PCSapplication. While neither shareholder hasenough shares to individually control Cor-poration Y, together they have the power tocontrol Corporation Y. Through the commoninvestment of shareholders A and B in thePCS application, Corporation Y would stillbe deemed an affiliate of the applicant.

(i) Spousal Affiliation. Both spousesare deemed to own or control or havethe power to control interests owned orcontrolled by either of them, unlessthey are subject to a legal separationrecognized by a court of competent ju-risdiction in the United States.

(ii) Kinship Affiliation. Immediatefamily members will be presumed toown or control or have the power tocontrol interests owned or controlledby other immediate family members.In this context ‘‘immediate familymember’’ means father, mother, hus-band, wife, son, daughter, brother, sis-ter, father- or mother-in-law, son- ordaughter-in-law, brother- or sister-in-law, step-father, or -mother, step-


277


brother, or -sister, step-son, or -daugh-ter, half brother or sister. This pre-sumption may be rebutted by showingthat

(A) The family members are es-tranged,

(B) The family ties are remote, or(C) The family members are not


Example for paragraph (l)(3)(ii). A owns acontrolling interest in Corporation X. A’ssister-in-law, B, has an attributable interestin a PCS application. Because A and B havea presumptive kinship affiliation, A’s inter-est in Corporation X is attributable to B, andthus to the applicant, unless B rebuts thepresumption with the necessary showing.

(4) Affiliation through stock ownership.(i) An applicant is presumed to controlor have the power to control a concernif he or she owns or controls or has thepower to control 50 percent or more ofits voting stock.

(ii) An applicant is presumed to con-trol or have the power to control a con-cern even though he or she owns, con-trols or has the power to control lessthan 50 percent of the concern’s votingstock, if the block of stock he or sheowns, controls or has the power to con-trol is large as compared with anyother outstanding block of stock.

(iii) If two or more persons eachowns, controls or has the power to con-trol less than 50 percent of the votingstock of a concern, such minority hold-ings are equal or approximately equalin size, and the aggregate of these mi-nority holdings is large as comparedwith any other stock holding, the pre-sumption arises that each one of thesepersons individually controls or hasthe power to control the concern; how-ever, such presumption may be rebut-ted by a showing that such control orpower to control, in fact, does notexist.

(5) Affiliation arising under stock op-tions, convertible debentures, and agree-ments to merge. Stock options, convert-ible debentures, and agreements tomerge (including agreements in prin-ciple) are generally considered to havea present effect on the power to controlthe concern. Therefore, in making asize determination, such options, de-bentures, and agreements will gen-erally be treated as though the rights

held thereunder had been exercised.However, neither an affiliate nor an ap-plicant can use such options and deben-tures to appear to terminate its con-trol over another concern before it ac-tually does so.

Example 1 for paragraph (l)(5). If company Bholds an option to purchase a controlling in-terest in company A, who holds an attrib-utable interest in a PCS application, the sit-uation is treated as though company B hadexercised its rights and had become owner ofa controlling interest in company A. Thegross revenues of company B must be takeninto account in determining the size of theapplicant.

Example 2 for paragraph (l)(5). If a largecompany, BigCo, holds 70% (70 of 100 out-standing shares) of the voting stock of com-pany A, who holds an attributable interest ina PCS application, and gives a third party,SmallCo, an option to purchase 50 of the 70shares owned by BigCo, BigCo will be deemedto be an affiliate of company A, and thus theapplicant, until SmallCo actually exercisesits options to purchase such shares. In orderto prevent BigCo from circumventing the in-tent of the rule which requires such optionsto be considered on a fully diluted basis, theoption is not considered to have present ef-fect in this case.

Example 3 for paragraph (l)(5). If company Ahas entered into an agreement to merge withcompany B in the future, the situation istreated as though the merger has takenplace.



(iii) If the primary purpose of a vot-ing trust, or similar agreement, is toseparate voting power from beneficialownership of voting stock for the pur-pose of shifting control of or the powerto control a concern in order that suchconcern or another concern may meetthe Commission’s size standards, suchvoting trust shall not be consideredvalid for this purpose regardless of


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47 CFR Ch. I (10–1–01 Edition)§ 24.720

whether it is or is not recognized with-in the appropriate jurisdiction.




(10) Affiliation under joint venture ar-rangements. (i) A joint venture for sizedetermination purposes is an associa-tion of concerns and/or individuals,with interests in any degree or propor-tion, formed by contract, express orimplied, to engage in and carry out asingle, specific business venture forjoint profit for which purpose theycombine their efforts, property, money,skill and knowledge, but not on a con-tinuing or permanent basis for con-ducting business generally. The deter-mination whether an entity is a jointventure is based upon the facts of thebusiness operation, regardless of howthe business operation may be des-ignated by the parties involved. Anagreement to share profits/losses pro-portionate to each party’s contributionto the business operation is a signifi-cant factor in determining whether thebusiness operation is a joint venture.

(ii) The parties to a joint venture areconsidered to be affiliated with eachother

(11) For purposes of § 24.709(a)(2) andparagraphs (b)(2) and (d) of this sec-tion, Indian tribes or Alaska Regionalor Village Corporations organized pur-suant to the Alaska Native Claims Set-tlement Act (43 U.S.C. 1601 et seq.), or

entities owned and controlled by suchtribes or corporations, are not consid-ered affiliates of an applicant (or li-censee) that is owned and controlled bysuch tribes, corporations or entities,and that otherwise complies with therequirements of § 24.709 (b)(3) and (b)(5)or § 24.709 (b)(4) and (b)(6), except thatgross revenues derived from gaming ac-tivities conducted by affiliated entitiespursuant to the Indian Gaming Regu-latory Act (25 U.S.C. 2701 et seq.) will becounted in determining such appli-cant’s (or licensee’s) compliance withthe financial requirements of § 24.709(a)and paragraphs (b) and (d) of this sec-tion, unless such applicant establishesthat it will not receive a substantialunfair competitive advantage becausesignificant legal constraints restrictthe applicant’s ability to access suchgross revenues.

(m) Publicly Traded Corporation withWidely Dispersed Voting Power. A pub-licly traded corporation with widely dis-persed voting power is a business entityorganized under the laws of the UnitedStates:

(1) Whose shares, debt, or other own-ership interests are traded on an orga-nized securities exchange within theUnited States;

(2) In which no person(i) Owns more than 15 percent of the

equity; or(ii) Possesses, directly or indirectly,

through the ownership of voting securi-ties, by contract or otherwise, thepower to control the election of morethan 15 percent of the members of theboard of directors or other governingbody of such publicly traded corpora-tion; and

(3) Over which no person other thanthe management and members of theboard of directors or other governingbody of such publicly traded corpora-tion, in their capacities as such, has defacto control.

(4) The term person shall be definedas in section 13(d) of the Securities andExchange Act of 1934, as amended (15U.S.C. 78(m)), and shall also include in-vestors that are commonly controlledunder the indicia of control set forth inthe definition of affiliate in paragraphs(1)(2) through (1) of this section.

(n) Qualifying Investor; Qualifying Mi-nority and/or Woman Investor.


279


(1) A qualifying investor is a personwho is (or holds an interest in) a mem-ber of the applicant’s (or licensee’s)control group and whose gross revenuesand total assets, when aggregated withthose of all other attributable inves-tors and affiliates, do not exceed thegross revenues and total assets limitsspecified in § 24.709(a), or, in the case ofan applicant (or licensee) that is asmall business, do not exceed the grossrevenues limit specified in paragraph(b) of this section.

(2) A qualifying minority and/or womaninvestor is a person who is a qualifyinginvestor under paragraph (n)(1), who is(or holds an interest in) a member ofthe applicant’s (or licensee’s) controlgroup and who is a member of a minoritygroup or a woman and a United Statescitizen.

(3) For purposes of assessing compli-ance with the minimum equity require-ments of § 24.709(b) (5) and (6), wheresuch equity interests are not held di-rectly in the applicant, interests heldby qualifying investors or qualifyingminority and/or woman investors shallbe determined by successive mul-tiplication of the ownership percent-ages for each link in the vertical own-ership chain.

(4) For purposes of § 24.709 (b)(5)(i)(C)and (b)(6)(i)(C), a qualifying investor isa person who is (or holds an interest in)a member of the applicant’s (or licens-ee’s) control group and whose grossrevenues and total assets do not exceedthe gross revenues and total assets lim-its specified in § 24.709(a).

(o) Preexisting entity; Existing investor.A preexisting entity is an entity thatwas operating and earning revenues forat least two years prior to December31, 1994. An existing investor is a personor entity that was an owner of recordof a preexisting entity’s equity as of No-vember 10, 1994, and any person or enti-ty acquiring de minimus equity holdingsin a preexisting entity after that date.

NOTE: In applying the term existing investorto de minimus interests in preexisting enti-ties obtained or increased after November 10,1994, the Commission will scrutinize any sig-nificant restructuring of the preexisting en-tity that occurs after that date and will pre-sume that any change of equity that is fivepercent or less of the preexisting entity’stotal equity is de minimis. The burden is onthe applicant (or licensee) to demonstrate

that changes that exceed five percent are notsignificant.

[59 FR 63236, Dec. 7, 1994; 60 FR 5335, Jan 27,1995; 60 FR 8571, 8572, Feb. 15, 1995, as amend-ed at 60 FR 37800, July 21, 1995; 61 FR 33869,July 1, 1996; 61 FR 51234, Oct. 1, 1996; 65 FR53638, Sept. 5, 2000]

Subpart I—Interim Application, Li-censing, and Processing Rulesfor Broadband PCS

SOURCE: 59 FR 37610, July 22, 1994, unlessotherwise noted.

§§ 24.801–24.803 [Reserved]


(a) General. Authorizations will begranted upon proper application if:

(1) The applicant is qualified underall applicable laws and Commissionregulations, policies and decisions;



(b) Alien ownership. A broadbandPCS authorization to provide Commer-cial Mobile Radio Service may not begranted to or held by:



(3) Any corporation of which morethan one-fifth of the capital stock isowned of record or voted by aliens ortheir representatives or by a foreigngovernment or representative thereofor any corporation organized under thelaws of another country.

(4) Any corporation directly or indi-rectly controlled by any other corpora-tion of which more than one-fourth ofthe capital stock is owned of record orvoted by aliens, their representatives,or by a foreign government or rep-resentative thereof, or by any corpora-tion organized under the laws of a for-eign country, if the Commission findsthat the public interest will be servedby the refusal or revocation of such alicense.

(c) A broadband PCS authorization toprovide Private Mobile Radio Service


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47 CFR Ch. I (10–1–01 Edition)§§ 24.805–24.814

may not be granted to or held by a for-eign government or a representativethereof.

[59 FR 37610, July 22, 1994, as amended at 61FR 55581, Oct. 28, 1996]

§§ 24.805–24.814 [Reserved]


(a) All applications required by thispart shall contain all technical infor-mation required by the applicationforms or associated Public Notice(s).Applications other than initial applica-tions for a broadband PCS license mustalso comply with all technical require-ments of the rules governing thebroadband PC (see subparts C and E ofthis part as appropriate). The followingparagraphs describe a number of gen-eral technical requirements.

(b) Each application (except applica-tions for initial licenses filed on Form175) for a license for broadband PCSmust comply with the provisions of§§ 24.229–24.238 of the Commission’sRules.

(c)–(i) [Reserved](j) The location of the transmitting

antenna shall be considered to be thestation location. Broadband PCS li-censees must maintain a current list ofall station locations, which must de-scribe the transmitting antenna site byits geographical coordinates and alsoby conventional reference to streetnumber, landmark, or the equivalent.All such coordinates shall be specifiedin terms of degrees, minutes, and sec-onds to the nearest second of latitudeand longitude.

§§ 24.816–24.829 [Reserved]


tions for other forms of relief) and re-sponsive pleadings for Commission con-sideration must comply with § 1.2108 ofthis chapter and must:


(2) Be filed in accordance with thepleading limitations, filing periods,

and other applicable provisions of§§ 1.41 through 1.52 of this chapter ex-cept where otherwise provided in§ 1.2108 of this chapter;

(3) Contain specific allegations offact which, except for facts of which of-ficial notice may be taken, shall besupported by affidavit of a person orpersons with personal knowledge there-of, and which shall be sufficient todemonstrate that the petitioner (or re-spondent) is a party in interest andthat a grant of, or other Commissionaction regarding, the application wouldbe prima facie inconsistent with thepublic interest;

(4) Be filed within thirty (30) daysafter the date of public notice announc-ing the acceptance for filing of anysuch application or major amendmentthereto (unless the Commission other-wise extends the filing deadline); and

(5) Contain a certificate of serviceshowing that it has been mailed to theapplicant no later than the date of fil-ing thereof with the Commission.

(b) A petition to deny a majoramendment to a previously-filed appli-cation may only raise matters directlyrelated to the amendment which couldnot have been raised in connectionwith the underlying previously-filedapplication. This subsection does notapply, however, to petitioners who gainstanding because of the major amend-ment.


(a) The Commission will consider ap-plications for broadband PCS licensesto be mutually exclusive if they relateto the same geographical boundaries(MTA or BTA) and are timely filed forthe same frequency block.

(b) Mutually exclusive applicationsfiled on Form 175 for the initial provi-sion of broadband PCS are subject tocompetitive bidding in accordance withthe procedures in subpart H of this partand in part 1, subpart Q of this chapter.


(d)–(j) [Reserved]


281



§ 24.833 Post-auction divestitures.Any parties sharing a common non-

controlling ownership interest who ag-gregate more PCS spectrum amongthem than a single entity is entitled tohold (See §§ 20.6(e), 24.710, 24.204,24.229(c) of this chapter) will be per-mitted to divest sufficient propertieswithin 90 days of the license grant tocome into compliance with the spec-trum aggregation limits as follows:

(a) The broadband PCS applicantshall submit a signed statement withits long-form application stating thatsufficient properties will be divestedwithin 90 days of the license grant. Ifthe licensee is otherwise qualified, theCommission will grant the applicationssubject to a condition that the licenseecome into compliance with the PCSspectrum aggregation limits within 90days of grant.

(b) Within 90 days of license grant,the licensee must certify that the ap-plicant and all parties to the applica-tion have come into compliance withthe PCS spectrum aggregation limits.If the licensee fails to submit the cer-tification within 90 days, the Commis-sion will immediately cancel allbroadband PCS licenses won by the ap-plicant, impose the default penaltyand, based on the facts presented, takeany other action it may deem appro-priate. Divestiture may be to an in-terim trustee if a buyer has not beensecured in the required time frame, aslong as the applicant has no interest inor control of the trustee, and the trust-ee may dispose of the property as itsees fit. In no event may the trustee re-tain the property for longer than sixmonths from grant of license.

[59 FR 53371, Oct. 24, 1994]

§§ 24.834–24.838 [Reserved]

§ 24.839 Transfer of control or assign-ment of license.

(a) Restrictions on Assignments andTransfers of Licenses for FrequencyBlocks C and F won in closed bidding.No assignment or transfer of control ofa license for frequency Block C or fre-quency Block F won in closed biddingpursuant to the eligibility require-ments of § 24.709 will be granted unless:

(1) The application for assignment ortransfer of control is filed after fiveyears from the date of the initial li-cense grant; or

(2) The proposed assignee or trans-feree meets the eligibility criteria setforth in § 24.709 of this part at the timethe application for assignment ortransfer of control is filed, or the pro-posed assignee or transferee holdsother license(s) for frequency blocks Cand F and, at the time of receipt ofsuch license(s), met the eligibility cri-teria set forth in § 24.709 of this part; or

(3) The application is for partial as-signment of a partitioned service areato a rural telephone company pursuantto § 24.714 of this part and the proposedassignee meets the eligibility criteriaset forth in § 24.709 of this part; or

(4) The application is for an involun-tary assignment or transfer of controlto a bankruptcy trustee appointedunder involuntary bankruptcy, anindependent receiver appointed by acourt of competent jurisdiction in aforeclosure action, or, in the event ofdeath or disability, to a person or enti-ty legally qualified to succeed the de-ceased or disabled person under thelaws of the place having jurisdictionover the estate involved; provided that,the applicant requests a waiver pursu-ant to this paragraph; or

(5) The assignment or transfer of con-trol is pro forma; or

(6) The application for assignment ortransfer of control is filed on or afterthe date the licensee has notified theCommission pursuant to § 24.203(c) thatits five-year construction requirementhas been satisfied.

(b) If the assignment or transfer ofcontrol of a license is approved, the as-signee or transferee is subject to theoriginal construction requirement of§ 24.203 of this part.

[63 FR 68953, Dec. 14, 1998; as amended at 65FR 53638, Sept. 5, 2000]

§§ 24.840–24.842 [Reserved]

§ 24.843 Extension of time to completeconstruction.

(a) If construction is not completedwithin the time period set forth in§ 24.203, the authorization will auto-matically expire. Before the period forconstruction expires an application for


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47 CFR Ch. I (10–1–01 Edition)§ 24.844

an extension of time to complete con-struction (FCC Form 489) may be filed.See paragraph (b) of this section. With-in 30 days after the authorization ex-pires an application for reinstatementmay be filed on FCC Form 489.

(b) Extension of Time to Complete Con-struction. An application for extensionof time to complete construction maybe made on FCC Form 489. Extension oftime requests must be filed prior to theexpiration of the construction period.Extensions will be granted only if thelicensee shows that the failure to com-plete construction is due to causes be-yond its control.

(c) An application for modification ofan authorization (under construction)does not extend the initial construc-tion period. If additional time to con-struct is required, an FCC Form 489must be submitted.

(d) [Reserved]


Subpart J—Required New Capa-bilities Pursuant to the Com-munications Assistance forLaw Enforcement Act (CALEA)

SOURCE: 64 FR 51717, Sept. 24, 1999, unlessotherwise noted.

§ 24.900 Purpose.Pursuant to the Communications As-

sistance for Law Enforcement Act(CALEA), Public Law 103–414, 108 Stat.4279 (1994) (codified as amended in sec-tions of 18 U.S.C. and 47 U.S.C.), thissubpart contains rules that require abroadband PCS telecommunicationscarrier to implement certain capabili-ties to ensure law enforcement accessto authorized communications or call-identifying information.

§ 24.901 Scope.The definitions included in this sub-

part shall be used solely for the pur-pose of implementing CALEA require-ments.

§ 24.902 Definitions.Call identifying information. Call iden-

tifying information means dialing orsignaling information that identifiesthe origin, direction, destination, or

termination of each communicationgenerated or received by a subscriberby means of any equipment, facility, orservice of a telecommunications car-rier. Call identifying information is‘‘reasonably available’’ to a carrier if itis present at an intercept access pointand can be made available without thecarrier being unduly burdened withnetwork modifications.

Collection function. The locationwhere lawfully authorized interceptedcommunications and call-identifyinginformation is collected by a law en-forcement agency (LEA).

Content of subject-initiated conferencecalls. Capability that permits a LEA tomonitor the content of conversationsby all parties connected via a con-ference call when the facilities undersurveillance maintain a circuit connec-tion to the call.

Dialed digit extraction. Capability thatpermits a LEA to receive on the calldata channel a digits dialed by a sub-ject after a call is connected to anothercarrier’s service for processing androuting.

IAP. Intercept access point is a pointwithin a carrier’s system where someof the communications or call-identi-fying information of an intercept sub-ject’s equipment, facilities, and serv-ices are accessed.

In-band and out-of-band signaling. Ca-pability that permits a LEA to be in-formed when a network message thatprovides call identifying information(e.g., ringing, busy, call waiting signal,message light) is generated or sent bythe IAP switch to a subject using thefacilities under surveillance. Excludessignals generated by customer prem-ises equipment when no network signalis generated.

J–STD–025. The interim standard de-veloped by the Telecommunications In-dustry Association and the Alliance forTelecommunications Industry Solu-tions for wireline, cellular, andbroadband PCS carriers. This standarddefines services and features to supportlawfully authorized electronic surveil-lance, and specifies interfaces nec-essary to deliver intercepted commu-nications and call-identifying informa-tion to a LEA.


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LEA. Law enforcement agency; e.g.,the Federal Bureau of Investigation ora local police department.

Party hold, join, drop on conferencecalls. Capability that permits a LEA toidentify the parties to a conference callconversation at all times.

Subject-initiated dialing and signalinginformation. Capability that permits aLEA to be informed when a subjectusing the facilities under surveillanceuses services that provide call identi-fying information, such as call for-warding, call waiting, call hold, andthree-way calling. Excludes signalsgenerated by customer premises equip-ment when no network signal is gen-erated.

Timing information. Capability thatpermits a LEA to associate call-identi-fying information with the content of acall. A call-identifying message mustbe sent from the carrier’s IAP to theLEA’s Collection Function withineight seconds of receipt of that mes-sage by the IAP at least 95% of thetime, and with the call event time-stamped to an accuracy of at least 200milliseconds.

§ 24.903 Capabilities that must be pro-vided by a broadband PCS tele-communications carrier.

(a) Except as provided under para-graph (b) of this section, as of June 30,2000, a broadband PCS telecommuni-cations carrier shall provide to a LEAthe assistance capability requirementsof CALEA, see 47 U.S.C. 1002. A carriermay satisfy these requirements bycomplying with publicly availabletechnical requirements or standardsadopted by an industry association orstandard-setting organization, such asJ–STD–025.

(b) As of September 30, 2001, abroadband PCS telecommunicationscarrier shall provide to a LEA commu-nications and call-identifying informa-tion transported by packet-mode com-munications and the following capa-bilities:

(1) Content of subject-initiated con-ference calls;

(2) Party hold, join, drop on con-ference calls;

(3) Subject-initiated dialing and sig-naling information ;

(4) In-band and out-of-band signaling;

(5) Timing information;(6) Dialed digit extraction.

[64 FR 51717, Sept. 24, 1999; 65 FR 18255, Apr.7, 2000]

PART 25—SATELLITECOMMUNICATIONS

Subpart A—General

Sec.25.101 Basis and scope.25.102 Station authorization required.25.103 Definitions.25.104 Preemption of local zoning of earth

stations.25.105–25.108 [Reserved]25.109 Cross-reference.


GENERAL APPLICATION FILING REQUIREMENTS

25.110 Filing of applications, fees, and num-ber of copies.

25.111 Additional information.25.112 Defective applications.25.113 Construction permits, station li-

censes, launch authority.25.114 Applications for space station author-

izations.25.115 Application for earth station author-

izations.25.116 Amendments to applications.25.117 Modification of station license.25.118 Modifications not requiring prior au-

thorization.25.119 Assignment or transfer of control of

station authorization.25.120 Application for special temporary au-

thorization.25.121 License term and renewals.

EARTH STATIONS

25.130 Filing requirements for transmittingearth stations.

25.131 Filing requirements for receive-onlyearth stations.

25.132 Verification of earth station antennaperformance standards.

25.133 Period of construction; certificationof commencement of operation.

25.134 Licensing provisions of Very SmallAperture Terminal (VSAT) and C-bandSmall Aperture Terminal (CSAT) net-works.

25.135 Licensing provisions for earth stationnetworks in the non-voice, non-geo-stationary mobile-satellite service.

25.136 Operating provisions for earth stationnetworks in the 1.6/2.4 GHz mobile-sat-ellite service and 2 GHz mobile-satelliteservice.

25.137 Application requirements for earthstations operating with non-U.S. licensedspace stations.


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25.138 Blanket licensing provisions of GSOFSS Earth Stations in the 18.58–18.8 GHz(space-to-Earth), 19.7–20.2 GHz (space-to-Earth), 28.35–28.6 GHz (Earth-to-space)and 29.5–30.0 GHz (Earth-to-space) bands.

SPACE STATIONS

25.140 Qualifications of fixed-satellite spacestation licensees.

25.141 Licensing provisions for the radio-determination satellite service.

25.142 Licensing provisions for the non-voice, non-geostationary mobile-satelliteservice.

25.143 Licensing provisions for the 1.6/2.4GHz mobile-satellite service.

25.144 Licensing provisions for the 2.3 GHzsatellite digital audio radio service.

25.145 Licensing conditions for the Fixed-Satellite Service in the 20/30 GHz bands.

25.146 Licensing and operating authoriza-tion provisions for the non-geostationarysatellite orbit fixed-satellite service(NGSO FSS) in the bands 10.7 GHz to 14.5GHz.


25.150 Receipt of applications.25.151 Public notice period.25.152 Dismissal and return of applications.25.153 Repetitious applications.25.154 Opposition to applications and other

pleadings.25.155 Mutually exclusive applications.25.156 Consideration of applications.

FORFEITURE, TERMINATION, ANDREINSTATEMENT OF STATION AUTHORIZATION

25.160 Administrative sanctions.25.161 Automatic termination of station au-

thorization.25.162 Cause for termination of interference

protection.25.163 Reinstatement.


25.200 Interim equipment authorization.25.201 Definitions.25.202 Frequencies, frequency tolerance and

emission limitations.25.203 Choice of sites and frequencies.25.204 Power limits.25.205 Minimum angle of antenna elevation.25.206 Station identification.25.207 Cessation of emissions.25.208 Power flux density limits.25.209 Antenna performance standards.25.210 Technical requirements for space sta-

tions in the Fixed-Satellite Service.25.211 Video transmissions in the Fixed-Sat-

ellite Service.25.212 Narrowband transmissions in the 12/14

GHz GSO Fixed-Satellite Service.25.213 Inter-Service coordination require-

ments for the 1.6/2.4 GHz mobile-satelliteservice.

25.214 Technical requirements for space sta-tions in the satellite digital audio radioservice.

25.215–25.249 [Reserved]25.250 Sharing between NGSO MSS Feeder

links Earth Stations in the 19.3–19.7 GHzand 29.1–29.5 GHz Bands.

25.251 Special requirements for coordina-tion.

25.252–25.256 [Reserved]25.257 Special requirements for operations

in the band 29.1–29.25 GHz between NGSOMSS and LMDS.

25.258 Sharing between NGSO MSS Feederlinks Stations and GSO FSS services inthe 29.25–29.5 GHz Bands.

25.259 Time sharing between NOAA mete-orological satellite systems and non-voice, non-geostationary satellite sys-tems in the 137–138 MHz band.

25.260 Time sharing between DoD meteoro-logical satellite systems and non-voice,non-geostationary satellite systems inthe 400.15–401 MHz band.

Subpart D—Technical Operations

25.271 Control of transmitting stations.25.272 General inter-system coordination

procedures.25.273 Duties regarding space communica-

tions transmissions.25.274 Procedures to be followed in the

event of harmful interference.25.275 Particulars of operation.25.276 Points of communication.25.277 Temporary fixed earth station oper-

ations.25.278 Additional coordination obligation

for non-geostationary and geostationarysatellite systems in frequencies allocatedto the fixed-satellite service.

25.279 Inter-satellite service.25.280 Inclined orbit operations.25.281 Automatic Transmitter Identifica-

tion System (ATIS).

Subpart E [Reserved]

Subpart F—Competitive BiddingProcedures for DARS

25.401 Satellite DARS applications subjectto competitive bidding.

25.402 Competitive bidding mechanisms.25.403 Bidding application and certification

procedures.25.404 Submission of down payment and fil-

ing of long-form applications.25.405 Prohibition of collusion.25.406 License grant, denial, default, and

disqualification.

Subpart G [Reserved]


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Subpart H—Authorization To Own Stock inthe Communications Satellite Corporation

25.501 Scope of this subpart.25.502 Definitions.25.503–25.504 [Reserved]25.505 Persons requiring authorization.25.506–25.514 [Reserved]25.515 Method of securing authorization.25.516–25.519 [Reserved]25.520 Contents of application.25.521 Who may sign applications.25.522 Full disclosures.25.523 Form of application, number of cop-

ies, fees, etc.25.524 [Reserved]25.525 Action upon applications.25.526 Amendments.25.527 Defective applications.25.528–25.529 [Reserved]25.530 Scope of authorization.25.531 Revocation of authorization.

Subpart I—Equal EmploymentOpportunities

25.601 Equal employment opportunity re-quirement.

AUTHORITY: 47 U.S.C. 701–744. Interprets orapplies Sections 4, 301, 302, 303, 307, 309 and332 of the Communications Act, as amended,47 U.S.C. Sections 154, 301, 302, 303, 307, 309and 332, unless otherwise noted.

Subpart A—General§ 25.101 Basis and scope.

(a) The rules and regulations in thispart are issued pursuant to the author-ity contained in section 201(c)(11) of theCommunications Satellite Act of 1962,as amended, section 501(c)(6) of theInternational Maritime Satellite Tele-communications Act, and titles Ithrough III of the Communications Actof 1934, as amended.

(b) The rules and regulations in thispart supplement, and are in addition tothe rules and regulations contained inor to be added to, other parts of thischapter currently in force, or whichmay subsequently be promulgated, andwhich are applicable to matters relat-ing to communications by satellites.

[28 FR 13037, Dec. 5, 1963, as amended at 56FR 24015, May 28, 1991]

§ 25.102 Station authorization re-quired.

(a) No person shall use or operate ap-paratus for the transmission of energyor communications or signals by space

or earth stations except under, and inaccordance with, an appropriate au-thorization granted by the FederalCommunications Commission.

(b) Protection from impermissiblelevels of interference to the receptionof signals by earth stations in theFixed-Satellite Service from terrestrialstations in a co-equally shared band isprovided through the authorizationsgranted under this part.

[56 FR 24016, May 28, 1991]

§ 25.103 Definitions.(a) Communications common carrier.

The term ‘‘communications commoncarrier’’ as used in this part means anyperson (individual, partnership, asso-ciation, joint-stock company, trust,corporation, or other entity) engagedas a common carrier for hire, in inter-state or foreign communication bywire or radio or in interstate or foreignradio transmission of energy, includingsuch carriers as are described in sub-section 2(b) (2) and (3) of the Commu-nications Act of 1934, as amended, and,in addition, for purposes of subpart Hof this part, includes any individual,partnership, association, joint-stockcompany, trust, corporation, or otherentity which owns or controls, directlyor indirectly, or is under direct or indi-rect common control with, any suchcarrier.

(b) Authorized carrier. (1) Except asprovided in paragraph (b)(2) of this sec-tion, the term ‘‘authorized carrier’’means a communications common car-rier which is authorized by the FederalCommunications Commission underthe Communications Act of 1934, asamended, to provide services by meansof communications satellites.

(2) For the purposes of subpart H ofthis part, the term ‘‘authorized car-rier’’ means a communications com-mon carrier which is specifically au-thorized or which is a member of aclass of carriers authorized by theCommission to own shares of stock inthe corporation.

(c) Communications satellite corpora-tion. (1) The terms ‘‘communicationssatellite corporation’’ or ‘‘corporation’’as used in this part mean the corpora-tion created pursuant to the provisionsof Title III of the Communications Sat-ellite Act of 1962.


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47 CFR Ch. I (10–1–01 Edition)§ 25.104

(2) The corporation shall be deemedto be a common carrier within themeaning of section 3(h) of the Commu-nications Satellite Act of 1962.

(d) Communication-satellite earth sta-tion complex. The term communication-satellite earth station complex in-cludes transmitters, receivers, andcommunications antennas at the earthstation site together with the inter-connecting terrestrial facilities (ca-bles, lines, or microwave facilities) andmodulating and demodulating equip-ment necessary for processing of trafficreceived from the terrestrial distribu-tion system(s) prior to transmissionvia satellite and of traffic receivedfrom the satellite prior to transfer ofchannels of communication to terres-trial distribution system(s).

(e) Communication-satellite earth sta-tion complex functions. The communica-tion-satellite earth station complexinterconnects with terminal equipmentof common carriers or authorized enti-ties at the interface; accepts trafficfrom such entities at the interface,processes for transmission via satelliteand performs the transmission func-tion; receives traffic from a satellite orsatellites, processes it in a form nec-essary to deliver channels of commu-nication to terrestrial common carriersor such other authorized entities anddelivers the processed traffic to suchentities at the interface.

(f) Interface. The point of inter-connection between two distinct butadjacent communications systems hav-ing different functions. The interfacein the communication-satellite serviceis that point where communicationsterminal equipment of the terrestrialcommon carriers or other authorizedentities interconnects with the ter-minal equipment of the communica-tion-satellite earth station complex.The interface in the communication-satellite service shall be located at theearth station site, or if this is imprac-ticable, as close thereto as possible.

[28 FR 13037, Dec. 5, 1963, as amended at 31FR 3289, Mar. 2, 1966]

§ 25.104 Preemption of local zoning ofearth stations.

(a) Any state or local zoning, land-use, building, or similar regulationthat materially limits transmission or

reception by satellite earth station an-tennas, or imposes more than minimalcosts on users of such antennas, is pre-empted unless the promulgating au-thority can demonstrate that such reg-ulation is reasonable, except that non-federal regulation of radio frequencyemissions is not preempted by this sec-tion. For purposes of this paragraph(a), reasonable means that the localregulation:

(1) Has a clearly defined health, safe-ty, or aesthetic objective that is statedin the text of the regulation itself; and

(2) Furthers the stated health, safetyor aesthetic objective without unneces-sarily burdening the federal interestsin ensuring access to satellite servicesand in promoting fair and effectivecompetition among competing commu-nications service providers.

(b)(1) Any state or local zoning, land-use, building, or similar regulationthat affects the installation, mainte-nance, or use of a satellite earth sta-tion antenna that is two meters or lessin diameter and is located or proposedto be located in any area where com-mercial or industrial uses are generallypermitted by non-federal land-use reg-ulation shall be presumed unreasonableand is therefore preempted subject toparagraph (b)(2) of this section. Nocivil, criminal, administrative, orother legal action of any kind shall betaken to enforce any regulation cov-ered by this presumption unless thepromulgating authority has obtained awaiver from the Commission pursuantto paragraph (e) of this section, or afinal declaration from the Commissionor a court of competent jurisdictionthat the presumption has been rebut-ted pursuant to paragraph (b)(2) of thissection.

(2) Any presumption arising fromparagraph (b)(1) of this section may berebutted upon a showing that the regu-lation in question:

(i) Is necessary to accomplish a clear-ly defined health or safety objectivethat is stated in the text of the regula-tion itself;

(ii) Is no more burdensome to sat-ellite users than is necessary toachieve the health or safety objective;and


287


(iii) Is specifically applicable on itsface to antennas of the class describedin paragraph (b)(1) of this section.

(c) Any person aggrieved by the ap-plication or potential application of astate or local zoning or other regula-tion in violation of paragraph (a) ofthis section may, after exhausting allnonfederal administrative remedies,file a petition with the Commission re-questing a declaration that the state orlocal regulation in question is pre-empted by this section. Nonfederal ad-ministrative remedies, which do not in-clude judicial appeals of administrativedeterminations, shall be deemed ex-hausted when:

(1) The petitioner’s application for apermit or other authorization requiredby the state or local authority hasbeen denied and any administrative ap-peal and variance procedure has beenexhausted;

(2) The petitioner’s application for apermit or other authorization requiredby the state or local authority hasbeen on file for ninety days withoutfinal action;

(3) The petitioner has received a per-mit or other authorization required bythe state or local authority that is con-ditioned upon the petitioner’s expendi-ture of a sum of money, including costsrequired to screen, pole-mount, or oth-erwise specially install the antenna,greater than the aggregate purchase ortotal lease cost of the equipment asnormally installed; or

(4) A state or local authority has no-tified the petitioner of impending civilor criminal action in a court of law andthere are no more nonfederal adminis-trative steps to be taken.

(d) Procedures regarding filing of pe-titions requesting declaratory rulingsand other related pleadings will be setforth in subsequent Public Notices. Allallegations of fact contained in peti-tions and related pleadings must besupported by affidavit of a person orpersons with personal knowledge there-of.

(e) Any state or local authority thatwishes to maintain and enforce zoningor other regulations inconsistent withthis section may apply to the Commis-sion for a full or partial waiver of thissection. Such waivers may be grantedby the Commission in its sole discre-

tion, upon a showing by the applicantthat local concerns of a highly special-ized or unusual nature create a neces-sity for regulation inconsistent withthis section. No application for waivershall be considered unless it specifi-cally sets forth the particular regula-tion for which waiver is sought. Waiv-ers granted in accordance with thissection shall not apply to later-enactedor amended regulations by the localauthority unless the Commission ex-pressly orders otherwise.

(f) A satellite earth station antennathat is designed to receive directbroadcast satellite service, includingdirect-to-home satellite services, thatis one meter or less in diameter or islocated in Alaska is covered by the reg-ulations in § 1.4000 of this chapter.

[61 FR 10898, Mar. 18, 1996, as amended at 61FR 46562, Sept. 4, 1996]

EFFECTIVE DATE NOTE: At 61 FR 46562,Sept. 4, 1996, § 25.104 was amended by revisingparagraph (b)(1) and adding paragraph (f).These paragraphs contain information col-lection and recordkeeping requirements andwill not become effective until approval hasbeen given by the Office of Management andBudget.

§§ 25.105–25.108 [Reserved]

§ 25.109 Cross-reference.The space radiocommunications sta-

tions in the following services are notlicensed under this part:

(a) Amateur Satellite Service, see 47CFR part 97.

(b) Direct Broadcasting SatelliteService, see 47 CFR part 100; and

(c) Ship earth stations in the Mari-time Mobile Satellite Service, see 47CFR part 83.

[56 FR 24016, May 28, 1991]



GENERAL APPLICATION FILINGREQUIREMENTS

§ 25.110 Filing of applications, fees,and number of copies.

(a) Standard application forms appli-cable to this part may be obtained by


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47 CFR Ch. I (10–1–01 Edition)§ 25.111

writing Federal Communications Com-mission, Forms Distribution Center,2803 52nd Ave., Hyattsville, MD 20781 orcalling (202) 632–FORM.

(b) Applications for satellite radiostation authorizations governed by thispart and requiring a fee shall be mailedor hand-delivered to the locations spec-ified in part 1, subpart G of this chap-ter. All other applications shall be sub-mitted to the Secretary, Federal Com-munications Commission, 1919 MStreet, N.W., Washington, DC 20554.

(c) All correspondence and amend-ments concerning an application shallclearly identify the satellite radioservice, the name of the applicant, sta-tion location, the call sign or otheridentification of the station, and thefile number of the application involved(if available).

(d) Except as otherwise specified, allapplications, amendments, and cor-respondence shall be submitted in trip-licate, including exhibits and attach-ments thereto. All matters relating tospace station applications shall be sub-mitted as an original and nine copies.

(e) The original copy of the applica-tion shall be signed as specified in§ 1.743 of this chapter, and shall supplythe information prescribed by this partfor the particular authorization re-quested. All other copies may be con-formed.

(f) Each application shall be accom-panied by the appropriate fee, specifiedby, and submitted in accordance with,subpart G of part 1 of this chapter.

[56 FR 24016, May 28, 1991, as amended at 60FR 5333, Jan. 27, 1995; 61 FR 9951, Mar. 12,1996]

§ 25.111 Additional information.(a) The Commission may request

from any party at any time additionalinformation concerning any applica-tion, or any other submission or plead-ing regarding an application, filedunder this part.

(b) Applicants, permittees and licens-ees of radio stations governed by thispart shall provide the Commission withall information it requires for the Ad-vance Publication, coordination andnotification of frequency assignmentspursuant to the international RadioRegulations and consultations requiredby Article XIV of the INTELSAT

Agreement and Article 8 of theINMARSAT Convention. This informa-tion includes, but is not limited to,that specified in appendices 3 and 4 ofthe Radio Regulations (Geneva 1979).No protection from interference causedby radio stations authorized by otherAdministrations is guaranteed unlesscoordination procedures are timelycompleted or, with respect to indi-vidual administrations, by successfullycompleting coordination agreements.Any radio station authorization forwhich coordination has not been com-pleted may be subject to additionalterms and conditions as required to ef-fect coordination of the frequency as-signments with other Administrations.

§ 25.112 Defective applications.(a) An application will be unaccept-

able for filing and will be returned tothe applicant with a brief statementidentifying the omissions or discrep-ancies if:

(1) The application is defective withrespect to completeness of answers toquestions, informational showings, in-ternal inconsistencies, execution, orother matters of a formal character; or

(2) The application does not substan-tially comply with the Commission’srules, regulations, specific requests foradditional information, or other re-quirements.

(b) Applications considered defectiveunder paragraph (a) of this section maybe accepted for filing if:

(1) The application is accompanied bya request which sets forth the reasonsin support of a waiver of (or an excep-tion to), in whole or in part, any spe-cific rule, regulation, or requirementwith which the application is in con-flict;

(2) The Commission, upon its ownmotion, waives (or allows an exceptionto), in whole or in part, any rule, regu-lation or requirement.

(c) If an applicant is requested by theCommission to file any additional in-formation or any supplementary or ex-planatory information not specificallyrequired in the prescribed applicationform or these rules, a failure to complywith the request within a specifiedtime period will be deemed to renderthe application defective and will sub-ject it to dismissal.


289


§ 25.113 Construction permits, stationlicenses, launch authority.

(a) Except as provided in paragraph(b) of this section or in § 25.131, con-struction permits must be obtained forall fixed, temporary fixed or mobileearth stations governed by this part.Simultaneous application for a con-struction permit and station licensemay be made for all earth station fa-cilities governed by this part.

(b) Construction permits are not re-quired for satellite earth stations thatoperate with U.S.-licensed or non-U.S.licensed space stations. Construction ofsuch stations may commence prior togrant of a license at the applicant’sown risk. Applicants must comply withthe provisions of 47 CFR 1.1312 relatingto environmental processing prior tocommencing construction.

(c) FAA notification. Before the con-struction of new antenna structures oralteration in the height of existing an-tenna structures is authorized by theFCC, a Federal Aviation Administra-tion (FAA) determination of ‘‘no haz-ard’’ may be required. To apply for thisdetermination, the FAA must be noti-fied of the planned construction. Cri-teria used to determine whether FAAnotification is required for a particularantenna structure are contained inpart 17 of this chapter. Applicationsproposing construction of one or morenew antenna structures or alteration ofthe overall height of one or more exist-ing antenna structures, where FAA no-tification prior to such construction oralteration is not required by part 17 ofthis chapter, must indicate such and,unless the reason is obvious (e.g. struc-ture height is less than 6.10 metersAGL) must contain a statement ex-plaining why FAA notification is notrequired.

(d) Painting and lighting. The owner ofeach antenna structure required to bepainted and/or illuminated under theprovisions of Section 303(q) of the Com-munications Act of 1934, as amended,shall operate and maintain the antennastructure painting and lighting in ac-cordance with part 17 of this chapter.In the event of default by the owner,each licensee or permittee shall be in-dividually responsible for conformingto the requirements pertaining to an-tenna structure painting and lighting.

(e) Antenna Structure RegistrationNumber. Applications proposing con-struction of one or more new antennastructures or alteration of the overallheight of one or more existing struc-tures, where FAA notification prior tosuch construction or alteration is re-quired by part 17 of this chapter, mustinclude the FCC Antenna StructureRegistration Number(s) for the affectedstructure(s). If no such number hasbeen assigned at the time the applica-tion is filed, the applicant must statein the application whether or not theantenna structure owner has notifiedthe FAA of the proposed constructionor alteration and applied to the FCCfor an Antenna Structure RegistrationNumber in accordance with part 17 ofthis chapter for the antenna structurein question.

(f) Construction permits are not re-quired for U.S.-licensed space stations.Construction of such stations maycommence, at the applicant’s own risk,prior to grant of a license. Prior tocommencing construction, however,applicants must notify the Commissionin writing they plan to begin construc-tion at their own risk.

(g) A launch authorization and sta-tion license (i.e., operating authoirty)must be applied for and granted beforea space station may be launched andoperated in orbit. Request for launchauthorization may be included in anapplication for space station license.However, an application for authorityto launch and operate an on-groundspare satellite will be considered to bea newly filed application for cut-offpurposes, except where the space sta-tion to be launched is determined to bean emergency replacement for a pre-viously authorized space station thathas been lost as a result of a launchfailure or a catastrophic in-orbit fail-ure.

[56 FR 24016, May 28, 1991, as amended at 61FR 4366, Feb. 6, 1996; 61 FR 9951, Mar. 12, 1996;61 FR 55582, Oct. 28, 1996; 62 FR 5927, Feb. 10,1997; 62 FR 64172, Dec. 4, 1997]

§ 25.114 Applications for space stationauthorizations.

(a) A comprehensive proposal shall besubmitted for each proposed space sta-tion on FCC Form 312, Main Form, to-gether along with attached exhibits as


290

47 CFR Ch. I (10–1–01 Edition)§ 25.114

described in paragraph (c) of this sec-tion. If an applicant is proposing morethan one space station, informationcommon to all space stations may besubmitted in a consolidated systemproposal.

(b) Each application for a new ormodified space station authorizationmust constitute a concrete proposal forCommission evaluation, although theapplicant may propose alternativesthat increase flexibility in accommo-dating the satellite in orbit. Each ap-plication must also contain the formalwaiver required by Section 304 of theCommunications Act, 47 U.S.C. 304. Thetechnical information for a proposedsatellite system need not be filed onany prescribed form but should be com-plete in all pertinent details. The for-mat of the applications should conformto the specifications of § 1.49 of thischapter.

(c) The following information in nar-rative form shall be contained in eachapplication:

(1) Name, address, and telephonenumber of the applicant;

(2) Name, address, and telephonenumber of the person(s), includingcounsel, to whom inquiries or cor-respondence should be directed;

(3) Type of authorization requested(e.g., launch authority, station license,modification of authorization);

(4) General description of overall sys-tem facilities, operations and services;

(5) Radio frequencies and polarizationplan (including beacon, telemetry, andtelecommand functions), center fre-quency and polarization of tran-sponders (both receiving and transmit-ting frequencies), emission designatorsand allocated bandwidth of emission,final amplifier output power (identifyany net losses between output of finalamplifier and input of antenna andspecify the maximum EIRP for eachantenna beam), identification of whichantenna beams are connected orswitchable to each transponder andTT&C function, receiving system noisetemperature, the relationship betweensatellite receive antenna gain patternand gain-to-temperature ratio andsaturation flux density for each an-tenna beam (may be indicated on an-tenna gain plot), the gain of eachtransponder channel (between output

of receiving antenna and input oftransmitting antenna) including anyadjustable gain step capabilities, andpredicted receiver and transmitterchannel filter response characteristics;

(6)(i) For satellites in geostationary-satellite orbit, orbital location, or lo-cations if alternatives are proposed, re-quested for the satellite, the factorsthat support such an orbital assign-ment, the range of orbital locationsfrom which adequate service can beprovided and the basis for determiningthat range of orbital locations, and adetailed explanation of all factors thatwould limit the orbital arc over whichthe satellite could adequately serve itsexpected users;

(ii) For satellites in non-geo-stationary-satellite orbits, the numberof space stations and applicable infor-mation relating to the number of or-bital planes, the inclination of the or-bital plane(s), the orbital period, theapogee, the perigee, the argument(s) ofperigee, active service arc(s), and rightascension of the ascending node(s); and

(iii) If applicable, the feeder link andinter-satellite service frequencies re-quested for the satellite, together withany demonstration otherwise requiredby this chapter for use of those fre-quencies (see, e.g., § 25.203(j) and (k));

(7) Predicted space station antennagain contour(s) for each transmit andeach receive antenna beam and nomi-nal orbital location requested. Thesecontour(s) should be plotted on an areamap at 2 dB intervals down to 10 dBbelow the peak value of the parameterand at 5 dB intervals between 10 dB and20 dB below the peak values, with thepeak value and sense of polarizationclearly specified on each plotted con-tour;

(8) A description of the types of serv-ices to be provided, and the areas to beserved, including a description of thetransmission characteristics and per-formance objectives for each type ofproposed service, details of the linknoise budget, typical or baseline earthstation parameters, modulation param-eters, and overall link performanceanalysis (including an analysis of theeffects of each contributing noise andinterference source);

(9) For satellites in geostationary-satellite orbit, accuracy with which


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the orbital inclination, the antennaaxis attitude, and longitudinal driftwill be maintained;

(10) Calculation of power flux densitylevels within each coverage area and ofthe energy dispersal, if any, needed forcompliance with § 25.208;

(11) Arrangement for tracking, telem-etry, and control;

(12) Physical characteristics of thespace station including weight and di-mensions of spacecraft, detailed mass(on ground and in-orbit) and power (be-ginning and end of life) budgets, and es-timated operational lifetime and reli-ability of the space station and thebasis for that estimate;

(13) Detailed information dem-onstrating the financial qualificationsof the applicant to construct andlaunch the proposed satellites. Applica-tions shall provide the financial infor-mation required by § 25.140 (b) through(e), § 25.142(a)(4), or § 25.143(b)(3), as ap-propriate;

(14) A clear and detailed statement ofwhether the space station is to be oper-ated on a common carrier basis, orwhether non-common carrier trans-actions are proposed. If non-commoncarrier transactions are proposed, de-scribe the nature of the transactionsand specify the number of transpondersto be offered on a non-common carrierbasis;

(15) Dates by which construction willbe commenced and completed, launchdate, and estimated date of placementinto service;

(16) Public interest considerations insupport of grant;

(17) Applications for authorizationsfor domestic fixed-satellite space sta-tions shall also include the informationspecified in § 25.140;

(18) Applications for authorizationsin the Radiodetermination SatelliteService shall also include the informa-tion specified in § 25.141;

(19) Applications for authorizationsin the Mobile-Satellite Service in the1545–1559/1646.5–1660.5 MHz frequencybands shall also provide all informa-tion necessary to comply with the poli-cies and procedures set forth in Rulesand Policies Pertaining to the Use ofRadio Frequencies in a Land MobileSatellite Service, 2 FCC Rcd 485 (1987)

(Available at address in § 0.445 of thischapter.);

(20) Applications to license multiplespace station systems in the non-voice,non-geostationary mobile-satelliteservice under blanket operating au-thority shall also provide all informa-tion specified in § 25.142; and

(21) Applications for authorizationsin the 1.6/2.4 GHz Mobile-Satellite Serv-ice or 2 GHz Mobile-Satellite Serviceshall also provide all information spec-ified in § 25.143.

(d) Applicants requesting authorityto launch and operate a system com-prised of technically identical, non-geostationary satellite orbit space sta-tions may file a single ‘‘blanket’’ appli-cation containing the informationspecified in paragraph (c) of this sec-tion for each representative space sta-tion.

[62 FR 5927, Feb. 10, 1997, as amended at 65FR 59142, Oct. 4, 2000]

§ 25.115 Application for earth stationauthorizations.

(a) Transmitting earth stations. Ex-cept as provided under § 25.113(b), Com-mission authorization must be ob-tained for authority to construct and/or operate a transmitting earth sta-tion. Applications shall be filed on FCCForm 312, Main Form and Schedule B,and include the information specifiedin § 25.130.

(b) Receive-only earth stations. Ap-plications to license or register receiveonly earth stations shall be filed onFCC Form 312, Main Form and Sched-ule B, and conform to the provisions of§ 25.131.

(c)(1) Large Networks of Small An-tennas operating in the 12/14 GHz fre-quency bands with U.S.-licensed ornon-U.S. licensed satellites for domes-tic services. Applications to licensesmall antenna network systems oper-ating in the 12/14 GHz frequency bandunder blanket operating authorityshall be filed on FCC Form 312, MainForm and Schedule B, for each large (5meters or larger) hub station, andSchedule B for each representativetype of small antenna (less than 5 me-ters) operating within the network.

(c)(2) Large Networks of Small An-tennas operating in the 4/6 GHz fre-quency bands with U.S.-licensed or


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non-U.S. licensed satellites for domes-tic services (CSATs). Applications tolicense small antenna network systemsoperating in the standard C-Band, 3700–4200 MHz and 5925–6425 MHz frequencyband shall be filed electronically onFCC Form 312, Main Form and Sched-ule B.

(i) An initial lead application pro-viding a detailed overview of the com-plete network shall be filed. Such leadapplications shall fully identify thescope and nature of the service to beprovided, as well as the complete tech-nical details of each representativetype of small antenna (less than 4.5 me-ters) that will operate within the net-work. Such lead applications for a sin-gle CSAT system must identify:

(A) No more than three discrete geo-stationary satellites to be accessed;

(B) The amount of frequency band-width sought, up to a maximum of 20MHz of spectrum in each direction ateach of the satellites (The same 20 MHzof uplink and 20 MHz of downlink spec-trum at each satellite would be acces-sible by all CSAT earth stations in thesystem. The 20 MHz of uplink and 20MHz of downlink spectrum need not bethe same at each satellite location);

(C) The maximum number of earthstation sites;

(ii) Following the issuance of a li-cense for the lead application, the li-censee shall notify the Commission ofthe complete technical parameters ofeach individual earth station site be-fore that site is bought into operationunder the lead authorization. Full fre-quency coordination of each individualsite (e.g., for each satellite and thespectrum associated therewith) shallbe completed prior to filing Commis-sion notification. The coordinationmust be conducted in accordance with§ 25.203. Such notification shall be doneby electronic filing and shall be con-sistent with the technical parametersof Schedule B of FCC Form 312.

(iii) Following successful coordina-tion of such an earth station, if theearth station operator does not file alead application or a Schedule B withinsix months after it successfully com-pletes coordination, it will be assumedthat such frequency use is no longerdesired, unless a second notificationhas been received within ten days prior

to the end of the six month period.Such renewal notifications must besent to all parties concerned. If thelead application or Schedule B, or re-newal notification, is not timely re-ceived, the coordination will lapse andthe licensee must re-coordinate the rel-evant earth stations if it still wishes tobring them into operation.

(iv) Operation of each individual sitemay commence immediately after thepublic notice is released that identifiesthe notification sent to the Commis-sion and if the requirements of para-graph (c)(2)(vi) of this section are met.Continuance of operation of each sta-tion for the duration of the lead licenseterm shall be dependent upon success-ful completion of the normal public no-tice process. If any objections are re-ceived to the new station prior to theend of the 30 day comment period ofthe Public Notice, the licensee shallimmediately cease operation of thoseparticular stations until the coordina-tion dispute is resolved and the CSATlicensee informs the Commission of theresolution. If the requirements of para-graph (c)(2)(vi) of this section are notmet, operation may not commenceuntil the Commission issues the publicnotice acting on the CSAT terminalauthorization.

(v) Each CSAT licensee shall annu-ally provide the Commission an up-dated list of all operational earth sta-tions in its system. The annual listshall also include a list of all earth sta-tions deactivated during the year andidentification of the satellites pro-viding service to the network as of thedate of the report.

(vi) Conditional authorization. (A) Anapplicant for a new CSAT radio stationor modification of an existing CSATstation authorized under paragraph(c)(2)(i) of this section in the 3700–4200;or 5925–6425 MHz bands may operate theproposed station during the pendencyof its application after the release ofthe public notice accepting the notifi-cation for filing that complies withparagraph (c)(2)(ii) of this section. Theapplicant, however, must first certifythat the following conditions are satis-fied:

(1) The frequency coordination proce-dures of § 25.203 have been successfullycompleted;


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(2) The antenna structure has beenpreviously studied by the Federal Avia-tion Administration and determined topose no hazard to aviation safety as re-quired by subpart B of part 17 of thischapter; or the antenna or tower struc-ture does not exceed 6.1 meters aboveground level or above an existing man-made structure (other than an antennastructure), if the antenna or tower hasnot been previously studied by the Fed-eral Aviation Administration andcleared by the FCC;

(3) The grant of the application(s)does not require a waiver of the Com-mission’s rules (with the exception of arequest for waiver pertaining to fees);

(4) The applicant has determined thatthe facility(ies) will not significantlyaffect the environment as defined in§ 1.1307 of this chapter;

(5) The station site does not lie with-in 56.3 kilometers of any internationalborder or within a radio ‘‘Quiet Zone’’identified in § 1.924 of this chapter; and

(6) The filed application is consistentwith the proposal that was coordinatedpursuant to § 25.251.

(B) Conditional authority ceases im-mediately if the Schedule B is returnedby the Commission because it is not ac-cepted for filing.

(C) A conditional authorization pur-suant to paragraphs (c)(2)(vi)(A) and(c)(2)(vi)(B) of this section is evidencedby retaining a copy of the Schedule Bnotification with the station records.Conditional authorization does notprejudice any action the Commissionmay take on the subject application(s)or the Schedule B notifications.

(D) Conditional authority is acceptedwith the express understanding thatsuch authority may be modified or can-celled by the Commission at any timewithout hearing if, in the Commis-sion’s discretion, the need for such ac-tion arises. An applicant operating pur-suant to this conditional authority as-sumes all risks associated with suchoperation, the termination or modi-fication of the conditional authority,or the subsequent dismissal or denial ofits application(s).

(E) The copy of the Schedule B notifi-cation form must be posted at each sta-tion operating pursuant to this section.

(vii) Period of construction. Construc-tion of each earth station must be com-

pleted and the station must be broughtinto regular operation within twelvemonths from the date that action istaken to authorize that station to op-erate under the lead authorization, ex-cept as may be otherwise determinedby the Commission for any particularapplication.

(d) User transceivers in the NVNG,1.6/2.4 GHz Mobile-Satellite Service,and 2 GHz Mobile-Satellite Serviceneed not be individually licensed. Serv-ice vendors may file blanket applica-tions for transceivers units using FCCForm 312, Main Form and Schedule B,and specifying the number of units tobe covered by the blanket license. Eachapplication for a blanket license underthis section shall include the informa-tion described in § 25.136.

(e) Earth stations operating in the 20/30 GHz Fixed-Satellite Service withU.S.-licensed or non-U.S. licensed sat-ellites: Applications to license indi-vidual earth stations operating in the20/30 GHz band shall be filed on FCCForm 312, Main Form and Schedule B,and shall also include the informationdescribed in § 25.138. Earth stations be-longing to a network operating in the18.58–18.8 GHz, 19.7–20.2 GHz, 28.35–28.6GHz or 29.5–30.0 GHz bands may be li-censed on a blanket basis. Applicationsfor such blanket authorization may befiled using FCC Form 312, Main Formand Schedule B, and specifying thenumber of terminals to be covered bythe blanket license. Each applicationfor a blanket license under this sectionshall include the information describedin § 25.138.

[62 FR 5928, Feb. 10, 1997, as amended at 62FR 64172, Dec. 4, 1997; 65 FR 54169, Sept. 7,2000; 65 FR 59142, Oct. 4, 2000; 66 FR 31559,June 12, 2001]

§ 25.116 Amendments to applications.

(a) Unless otherwise specified, anypending application may be amendeduntil designated for hearing, a publicnotice is issued stating that a sub-stantive disposition of the applicationis to be considered at a forthcomingCommission meeting, or a final orderdisposing of the matter is adopted bythe Commission.


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47 CFR Ch. I (10–1–01 Edition)§ 25.117

(b) Major amendments submittedpursuant to paragraph (a) of this sec-tion are subject to the public notice re-quirements of § 25.151. An amendmentwill be deemed to be a major amend-ment under the following cir-cumstances:

(1) If the amendment increases thepotential for interference, or changesthe proposed frequencies or orbital lo-cations to be used.

(2) If the amendment would convertthe proposal into an action that mayhave a significant environmental effectunder § 1.1307 of this chapter.

(3) If the amendment specifies a sub-stantial change in beneficial ownershipor control (de jure or de facto) of an ap-plicant such that the change would re-quire, in the case of an authorized sta-tion, the filing of a prior assignment ortransfer of control application undersection 310(d) of the CommunicationsAct, provided however, that the changewould not be considered major where itmerely amends an application to re-flect a change in ownership or controlof the station that had been previouslyapproved by the Commission.

(4) If the amendment, or the cumu-lative effect of the amendment, is de-termined by the Commission otherwiseto be substantial pursuant to section309 of the Communications Act.

(c) Any application will be consideredto be a newly filed application if it isamended by a major amendment (as de-fined by paragraph (b) of this section)after a ‘‘cut-off’’ date applicable to theapplication, except under the followingcircumstances:

(1) The amendment resolves fre-quency conflicts with authorized sta-tions or other pending applications butdoes not create new or increased fre-quency conflicts;

(2) The amendment reflects only achange in ownership or control foundby the Commission to be in the publicinterest and, for which a requested ex-emption from a ‘‘cut-off’’ date is grant-ed;

(3) The amendment corrects typo-graphical, transcription, or similarclerical errors which are clearly dem-onstrated to be mistakes by referenceto other parts of the application, andwhose discovery does not create new orincreased frequency conflicts; or

(4) The amendment does not createnew or increased frequency conflicts,and is demonstrably necessitated byevents which the applicant could nothave reasonably foreseen at the time offiling.

(d) Any amendment to an applicationshall be signed and submitted in thesame manner, and with the same num-ber of copies, as was the original appli-cation.

§ 25.117 Modification of station license.

(a) Except as provided for in § 25.118(Modifications not requiring prior au-thorization), no modification of a radiostation governed by this part which af-fects the parameters or terms and con-ditions of the station authorizationshall be made except upon applicationto and grant of such application by theCommission. No license modificationwill be required if the licensee seeks toaccess another U.S.-licensed fixed sat-ellite provided:

(1) Consultations pursuant to ArticleXIV(d) of the INTELSAT Agreementhave been completed for the satellites,services and countries involved; and

(2) The operators of the U.S.-licensedsystems have received specific author-ization to provide the services to theproposed locations.

(b) Applications for modification ofan earth station license to add, changeor replace transmitters or antenna fa-cilities conforming to § 25.209 will beconsidered to be minor modifications ifthe particulars of operations remainunchanged and frequency coordinationis not required, provided however, thatthe maximum power and power densitydelivered into any antenna at the earthstation site shall not exceed the valuescalculated by subtracting the max-imum antenna gain specified in the li-cense from the maximum authorizede.i.r.p. and e.i.r.p. density values.

(c) Applications for modification ofearth station authorizations shall besubmitted on FCC Form 493 except asset forth in paragraph (e) of this sec-tion.

(d) Applications for modifications ofspace station authorizations shall befiled in accordance with § 25.114, butonly those items of information listedin § 25.114(c) that change need to be


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submitted provided the applicant cer-tifies that the remaining informationhas not changed.

(e) Any application for modificationof authorization to extend a requireddate of completion (e.g., begin con-struction, complete construction,launch, bring into operation) shall befiled on FCC Form 701 (Application forAdditional Time to Construct). The ap-plication must include a verified state-ment from the applicant:

(1) That states the additional time isrequired due to unforeseeable cir-cumstances beyond the applicant’s con-trol, describes these circumstanceswith specificity, and justifies the pre-cise extension period requested; or

(2) That states there are unique andoverriding public interest concernsthat justify an extension, identifiesthese interests and justifies a preciseextension period.

[56 FR 24016, May 28, 1991, as amended at 61FR 9952, Mar. 12, 1996; 62 FR 5928, Feb. 10,1997]

§ 25.118 Modifications not requiringprior authorization.

(a) Equipment in an authorized earthstation may be replaced without priorauthorization or prior notification ifthe new equipment is electrically iden-tical to the existing equipment. Li-censees must notify the Commissionusing FCC Form 312, Main Form, with-in 30 days after the new equipment isinstalled.

(b) A licensee providing service on aprivate carrier basis may change itsoperations to common carrier statuswithout obtaining prior Commissionauthorization. The licensee must no-tify the Commission using Form 312within 30 days after the completedchange to common carrier status.

(c) Licensees may make changes totheir authorized earth stations withoutobtaining prior Commission authoriza-tion if frequency coordination proce-dures, as necessary, are complied within accordance with § 25.251, and themodification does not involve:

(1) An increase in EIRP or EIRP den-sity (both main lobe and side lobe);

(2) An increase in transmitted power;(3) A change in coordinates of more

than 1 second for stations operating inC-Band or 10.95 to 11.7 GHz;

(4) A change in coordinates of 10 sec-onds or greater for stations operatingin Ku-band; or

(5) An addition to an antenna facil-ity, including hub earth stations andremote terminals, that is already li-censed, except for VSAT remote termi-nals.

(d) Licensees must notify the Com-mission using FCC Form 312 within 30days after the modification is com-pleted.

[62 FR 5928, Feb. 10, 1997]

§ 25.119 Assignment or transfer of con-trol of station authorization.

(a) No station license, nor any rightsthereunder, shall be transferred, as-signed, or disposed of in any manner,voluntarily or involuntarily, directlyor indirectly, or by transfer of controlof any corporation or any other entityholding such license, to any person ex-cept upon application to the Commis-sion and upon finding by the Commis-sion that the pubic interest, conven-ience and necessity will be servedthereby.

(b) For purposes of this section,transfers of control requiring Commis-sion approval shall include any and alltransactions that:

(1) Change the party controlling theaffairs of the licensee, or

(2) Affect any change in a controllinginterest in the ownership of the li-censee, including changes in legal orequitable ownership.

(c) Assignment of license. FCC Form312, Main Form and Schedule A, shallbe submitted to assign voluntarily (asby, for example, contract or otheragreement) or involuntarily (as by, forexample, death, bankruptcy, or legaldisability) the station authorization.In the case of involuntary assignment,the application should be filed within10 days of the event causing the assign-ment. FCC Form 312, Main Form, andSchedule A shall also be used for non-substantial ( pro forma) assignments.

(d) Transfer of control of corporationholding license. FCC Form 312, MainForm and Schedule A, shall be sub-mitted in order to transfer voluntarilyor involuntarily (de jure or de facto)control of a corporation holding any li-censes. In the case of involuntarytransfer of control, the applications


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47 CFR Ch. I (10–1–01 Edition)§ 25.120

should be filed within 10 days of theevent causing the transfer of control.FCC Form 312, Main Form and Sched-ule A shall also be used for non-sub-stantial (pro forma) transfers of con-trol.

(e) Whenever a group of station li-censes in the same radio service for thesame class of facility licensed to thesame entity is to be assigned or trans-ferred to a single assignee or trans-feree, a single application may be filedto cover the entire group, if the appli-cation identifies in an exhibit each sta-tion by call sign, station location andexpiration date of license.

(f) Assignments and transfers of con-trol shall be completed within 60 daysfrom the date of authorization. Within30 days of consumation, the Commis-sion shall be notified by letter of thedate of consummation and the filenumbers of the applications involved inthe transaction.

[56 FR 24016, May 20, 1991; 56 FR 29757, June20, 1991. Redesignated and amended at 62 FR5928, 5929, Feb. 10, 1997]

§ 25.120 Application for special tem-porary authorization.

(a) In circumstances requiring imme-diate or temporary use of facilities, re-quest may be made for special tem-porary authority to install and/or oper-ate new or modified equipment. The re-quest must contain the full particularsof the proposed operation including allfacts sufficient to justify the tem-porary authority sought and the publicinterest therein. No request for tem-porary authority will be considered un-less it is received by the Commission atleast 3 working days prior to the dateof proposed construction or operationor, where an extension is sought, theexpiration date of the existing tem-porary authorization. A request re-ceived within less than 3 working daysmay be accepted only upon due show-ing of extraordinary reasons for thedelay in submitting the request whichcould not have been earlier foreseen bythe applicant. A copy of the request forspecial temporary authority also shallbe forwarded to the Commission’s Co-lumbia Operations Center, 9200 FarmHouse Lane, Columbia, MD 21046–1609.

(b) The Commission may grant atemporary authorization for a period

not to exceed 180 days, with additionalperiods not exceeding 180 days, upon afinding that there are extraordinarycircumstances requiring temporary op-erations in the public interest and thatdelay in the institution of these tem-porary operations would seriously prej-udice the public interest. Convenienceto the applicant, such as marketingconsiderations of meeting scheduledcustomer in-service dates, will not bedeemed sufficient for this purpose.

(c) Each application proposing con-struction of one or more earth stationantennas or alteration of the overallheight of one or more existing earthstation antenna structures, where FAAnotification prior to such constructionor alteration is required by part 17 ofthis chapter, must include the FCC An-tenna Structure Registration Num-ber(s) for the affected satellite earthstation antenna(s). If no such numberhas been assigned at the time the ap-plication(s) is filed, the applicant muststate in the application whether thesatellite earth station antenna ownerhas notified the FAA of the proposedconstruction or alteration and appliedto the FCC for an Antenna StructureRegistration Number in accordancewith part 17 of this chapter. Applica-tions proposing construction of one ormore earth station antennas or alter-ation of the overall height of one ormore existing earth station antennas,where FAA notification prior to suchconstruction or alteration is not re-quired by part 17 of this chapter, mustindicate such and, unless the satelliteearth station antenna is 6.10 meters orless above ground level (AGL), mustcontain a statement explaining whyFAA notification is not required.

[56 FR 24016, May 28, 1991, as amended at 61FR 4367, Feb. 6, 1996. Redesignated andamended at 62 FR 5928, 5929, Feb. 10, 1997; 66FR 9973, Feb. 13, 2001]

§ 25.121 License term and renewals.

(a) License term. Licenses for facili-ties governed by this part will beissued for a period of 10 years, exceptthat licenses and authorizations in the2 GHz Mobile-Satellite Service will beissued for a period of 15 years.

(b) The Commission reserves theright to grant or renew station licenses


297


for less than 10 years if, in its judg-ment, the public interest, convenienceand necessity will be served by such ac-tion.

(c) For earth stations, the licenseterm will be specified in the instru-ment of authorization.

(d) Space stations. (1) For geo-stationary satellite orbit satellites, thelicense term will begin at 3 a.m. ESTon the date the licensee certifies to theCommission that the satellite has beensuccessfully placed into orbit and thatthe operations of the satellite fullyconform to the terms and conditions ofthe space station radio authorization.

(2) For non-geostationary satelliteorbit satellites, the license term willbegin at 3 a.m. EST on the date thatthe licensee certifies to the Commis-sion that its initial space station hasbeen successfully placed into orbit andthat the operations of that satellitefully conform to the terms and condi-tions of the space station system au-thorization. All space stationslaunched and brought into service dur-ing the ten-year license term shall op-erate pursuant to the system author-ization, and the operating authorityfor all space stations will terminateupon the expiration of the system li-cense.

(e) Renewal of licenses. Applicationsfor renewals of earth station licensesmust be submitted on FCC Form 405(Application for Renewal of Radio Sta-tion License in Specified Services) noearlier than 90 days, and no later than30 days, before the expiration date ofthe license. Applications for space sta-tion system replacement authorizationfor non-geostationary orbit satellitesshall be filed no earlier than 90 days,and no later than 30 days, prior to theend of the seventh year of the existinglicense term.

[56 FR 24016, May 28, 1991, as amended at 58FR 68059, Dec. 23, 1993; 59 FR 53327, Oct. 21,1994. Redesignated and amended at 62 FR5928, 5929, Feb. 10, 1997; 65 FR 59142, Oct. 4,2000]

EARTH STATIONS

§ 25.130 Filing requirements for trans-mitting earth stations.

(a) Applications for a new or modi-fied transmitting earth station facility

shall be submitted on FCC Form 312,Main Form and Schedule B, accom-panied by any required exhibits.

(b) A frequency coordination analysisin accordance with § 25.203 shall be pro-vided for earth stations transmittingin the frequency bands shared withequal rights between terrestrial andspace services, except that applicationsfor user transceiver units associatedwith the NVNG mobile-satellite serviceshall instead provide the informationrequired by § 25.135 and applications foruser transceiver units associated withthe 1.6/2.4 GHz Mobile-Satellite Serviceshall demonstrate that user trans-ceiver operations comply with the re-quirements set forth in § 25.213.

(c) In those cases where an applicantis filing a number of essentially similarapplications, showings of a general na-ture applicable to all of the proposedstations may be submitted in the ini-tial application and incorporated byreference in subsequent applications.

(d) Transmissions of signals or pro-gramming to non-U.S. licensed sat-ellites, and to and/or from foreignpoints by means of U.S.-licensed fixedsatellites may be subject to restric-tions as a result of international agree-ments or treaties. The Commission willmaintain public information on thestatus of any such agreements.

(e) Each application proposing con-struction of one or more earth stationantennas or alteration of the overallheight of one or more existing earthstation antennas, where FAA notifica-tion prior to such construction or al-teration is required by part 17 of thischapter, must include the FCC An-tenna Structure Registration Num-ber(s) for the affected satellite earthstation antenna(s). If no such numberhas been assigned at the time the ap-plication(s) is filed, the applicant muststate in the application whether thesatellite earth station antenna ownerhas notified the FAA of the proposedconstruction or alteration and appliedto the FCC for an antenna StructureRegistration Number in accordancewith part 17 of this chapter. Applica-tions proposing construction of one ormore earth station antennas or alter-ation of the overall height of one ormore existing earth station antennas,where FAA notification prior to such


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construction or notification or alter-ation is not required by part 17 of thischapter, must indicate such and, unlessthe satellite earth station antenna is6.10 meters or less above ground level(AGL), must contain a statement ex-plaining why FAA notification is notrequired.

[56 FR 24016, May 28, 1991, as amended at 58FR 68059, Dec. 23, 1993; 59 FR 53327, Oct. 21,1994; 61 FR 4367, Feb. 6, 1996; 61 FR 9952, Mar.12, 1996; 62 FR 5929, Feb. 10, 1997; 62 FR 64172,Dec. 4, 1997]

§ 25.131 Filing requirements for re-ceive-only earth stations.

(a) Except as provided in paragraphs(b) and (j) of this section, applicationsfor a license for a receive-only earthstation shall be submitted on FCCForm 312, Main Form and Schedule B,accompanied by any required exhibits.

(b) Except as provided in paragraph(j) of this section, receive-only earthstations in the fixed-satellite servicethat operate with U.S.-licensed sat-ellites may be registered with the Com-mission in order to protect them frominterference from terrestrial micro-wave stations in bands shared co-equal-ly with the fixed service in accordancewith the procedures of §§ 25.203 and25.251 through 25.256 of this part.

(c) Licensing or registration of re-ceive-only earth stations with theCommission confers no authority to re-ceive and use signals or programmingreceived from satellites. See section 705of the Communications Act. 47 U.S.C.605.

(d) Applications for registration shallbe filed on FCC Form 312, Main Formand Schedule B, accompanied by thecoordination exhibit required by§ 25.203, and any other required exhib-its. Any application that is deficient orincomplete in any respect shall be im-mediately returned to the applicantwithout processing.

(e) Complete applications for reg-istration will be placed on public no-tice for 30 days and automaticallygranted if no objection is submitted tothe Commission and served on the ap-plicant. Additional pleadings are au-thorized in accordance with § 1.45 ofthis chapter.

(f) The registration of a receive-onlyearth station results in the listing of

an authorized frequency band at the lo-cation specified in the registration. In-terference protection levels are thoseagreed to during coordination.

(g) Reception of signals or program-ming from non-U.S. satellites may besubject to restrictions as a result ofinternational agreements or treaties.The Commission will maintain publicinformation on the status of any suchagreements.

(h) Registration term: Registrationsfor receive-only earth stations gov-erned by this section will be issued fora period of 10 years from the date onwhich the application was filed. Appli-cations for renewals of registrationsmust be submitted on FCC Form 405(Application for Renewal of Radio Sta-tion License in Specified Services) noearlier than 90 days and no later than30 days before the expiration date ofthe registration.

(i) Applications for modification oflicense or registration of receive-onlyearth stations shall be made in con-formance with § 25.117 of this part. Reg-istrants are required to notify theCommission when a receive-only earthstation is no longer operational orwhen it has not been used to provideany service during any 6 month period.

(j) Receive-only earth stations oper-ating with non-U.S. licensed space sta-tions shall file an FCC Form 312 re-questing a license or modification tooperate such station. Receive-onlyearth stations used to receiveINTELNET I service from INTELSATspace stations need not file for li-censes. See Deregulation of Receive-Only Satellite Earth Stations Oper-ating with the INTELSAT Global Com-munications Satellite System, Declar-atory Ruling, RM No. 4845, FCC 86–214(released May 19, 1986) availablethrough the Reference InformationCenter, FCC, 445 12th Street, SW.,Room CY–A257, Washington, DC 20554.

[56 FR 24016, May 28, 1991, as amended at 61FR 9952, Mar. 12, 1996; 62 FR 5929, Feb. 10,1997; 62 FR 64172, Dec. 4, 1997; 65 FR 58466,Sept. 29, 2000]

§ 25.132 Verification of earth stationantenna performance standards.

(a) All applications for transmittingearth stations in the C and Ku-bandsmust be accompanied by a certificate


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pursuant to § 2.902 of the chapter fromthe manufacturer of each antenna thatthe results of a series of radiation pat-tern tests performed on representativeequipment in representative configura-tions by the manufacturer which dem-onstrates that the equipment complieswith the performance standards setforth in § 25.209. The licensee must beprepared to demonstrate the measure-ments to the Commission on request inthe course of an investigation of aharmful interference incident.

(b)(1) In order to demonstrate com-pliance with § 25.209 (a) and (b), the fol-lowing measurements on a productionantenna performed on calibrated an-tenna range, as a minimum, shall bemade at the bottom, middle and top ofeach allocated frequency band and sub-mitted to the Commission:

(i) Co-polarized patterns for each oftwo orthogonal senses of polarizationsin two orthogonal cuts of the antenna.

(A) In the azimuth plane, plus andminus 7 degrees and plus and minus 180degrees.

(B) In the elevation plane, zero toforty-five degrees.

(ii) Cross-polarization patterns in theE- and H-planes, plus and minus 9 de-grees.

(iii) Main beam gain.(2) The FCC envelope specified in

§ 25.209 shall be superimposed on eachpattern. The minimum tests specifiedabove are recognized as representativeof the performance of the antenna inmost planes although some increase insidelobe levels should be expected inthe spar planes and orthogonal sparplanes.

(c) The tests specified in paragraph(b) of this section are normally per-formed at the manufacturer’s facility;but for those antennas that are verylarge and only assembled on-site, on-site measurements may be used forproduct qualification data. If on-sitedata is to be used for qualification, thetest frequencies and number of pat-terns should follow, where possible, therecommendations in paragraph (b) ofthis section, and the test data is to besubmitted in the same manner as de-scribed in paragraph (a) of this section.

(d) For each new or modified trans-mitting antenna over 3 meters in di-ameter, the following on-site

verification measurements must becompleted at one frequency on anavailable transponder in each fre-quency band of interest and submittedto the Commission.

(1) Co-polarized patterns in the ele-vation plane, plus and minus 7 degrees,in the transmit band.

(2) Co-polarized patterns in the azi-muth and elevation planes, plus andminus 7 degrees, in the receive band.

(3) System cross-polarization discrimina-tion on-axis. The FCC envelope specifiedin § 25.209 shall be superimposed oneach pattern. The transmit patternsare to be measured with the aid of a co-operating earth station in coordinationwith the satellite system control cen-ter under the provisions of § 25.272.

(e) Certification that the tests re-quired by paragraph (c) of this sectionhave been satisfactorily performedshall be provided to the Commission innotification that construction of thefacilities has been completed as re-quired by § 25.133.

(f) Antennas less than 3 meters in di-ameter and antennas on simple (man-ual) drive mounts that are operated ata fixed site are exempt from the re-quirements of paragraphs (c) and (d) ofthis section provided that a detailedtechnical showing is made that con-firms proper installation, pointing pro-cedures, and polarization alignmentand manufacturing quality control.These showing must also include a planfor periodic testing and field installa-tion procedures and precautions.

(g) Records of the results of the testsrequired by this section must be main-tained at the antenna site or the earthstation operator’s control center andbe available for inspection.

[58 FR 13419, Mar. 11, 1993]

§ 25.133 Period of construction; certifi-cation of commencement of oper-ation.

(a) Each license for an earth stationgoverned by this part shall specify as acondition therein the period in whichconstruction of facilities must be com-pleted and station operation com-menced. Construction of the earth sta-tion must be completed and the stationmust be brought into regular operationwithin 12 months from the date of theconstruction permit and/or license


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47 CFR Ch. I (10–1–01 Edition)§ 25.134

grant except as may be otherwise de-termined by the Commission for anyparticular application.

(b) Each license for a transmittingearth station included in this partshall also specify as a condition thereinthat upon the completion of construc-tion, each licensee must file with theCommission a certification containingthe following information: The name ofthe licensee; file number of the applica-tion; call sign of the antenna; date ofthe license; a certification that the fa-cility as authorized has been completedand that each antenna facility has beentested and is within 2 dB of the patternspecified in §§ 25.209, 25.135 (NVNG MSSearth stations), or § 25.213 (1.6/2.4 GHzMobile-Satellite Service and 2 GHz Mo-bile-Satellite Service earth stations);the date on which the station becameoperational; and a statement that thestation will remain operational duringthe license period unless the license issubmitted for cancellation. For sta-tions authorized under § 25.115(c) (LargeNetworks of Small Antennas operatingin the 12/14 GHz bands) and § 25.115(d)(User Transceivers in the Mobile-Sat-ellite Service), a certificate must befiled when the network is put into op-eration.

(c) If the facility does not meet thetechnical parameters set forth in§ 25.209, a request for a waiver must besubmitted and approved by the Com-mission before operations may com-mence.

(d) Each receiving earth station li-censed or registered pursuant to § 25.131must be constructed and placed intoservice within 6 months after coordina-tion has been completed. Each licenseeor registrant must file with the Com-mission a certification that the facilityis completed and operating as providedin paragraph (b) of this section, withthe exception of certification of an-tenna patterns.

[56 FR 24016, May 28, 1991, as amended at 58FR 68059, Dec. 23, 1993; 59 FR 53327, Oct. 21,1994; 65 FR 59142, Oct. 4, 2000]

§ 25.134 Licensing provisions of VerySmall Aperture Terminal (VSAT)and C-band Small Aperture Ter-minal (CSAT) networks.

(a)(1) VSAT networks operating in the12/14 GHz bands. All applications for

digital VSAT networks with a max-imum outbound downlink EIRP den-sity of +6.0 dBW/4 kHz per carrier andearth station antennas with maximuminput power density of ¥14 dBW/4 kHzand maximum hub EIRP of 78.3 dBWwill be processed routinely. All appli-cations for analog VSAT networkswith maximum outbound downlinkpower densities of +13.0 dBW/4 kHz percarrier and maximum antenna inputpower densities of ¥8.0 dBW/4 kHz shallbe processed routinely in accordancewith Declaratory Order in the Matterof Routine Licensing of Earth Stationsin the 6 GHz and 14 GHz Bands UsingAntennas Less than 9 Meters and 5 Me-ters in Diameter, Respectively, forBoth Full Transponder andNarrowband Transmissions, 2 FCC Rcd2149 (1987) (Declaratory Order).

(a)(2) Large Networks of Small Anten-nas operating in the 4/6 GHz frequencybands. All applications for digital and/or analog operations will be routinelyprocessed provided the network em-ploys antennas that are 4.5 meter orlarger in diameter, that are consistentwith § 25.209, the power levels are con-sistent with §§ 25.211(d) and 25.212(d),and frequency coordination has beensatisfactorily completed. The use ofsmaller antennas or non-consistentpower levels require the filing of aninitial lead application (§ 25.115(c)(2))that includes all technical analyses re-quired to demonstrate that unaccept-able interference will not be caused toany and all affected adjacent satelliteoperators by the operation of the non-conforming earth station.

(b) VSAT networks operating in the 12/14 GHz bands. Each applicant for digitaland/or analog VSAT network author-ization proposing to use transmittedsatellite carrier EIRP densities in ex-cess of +6.0 dBW/4 kHz and +13.0 dBW/4kHz, respectively, and/or maximum an-tenna input power densities of ¥14.0dBW/4 kHz and maximum hub EIRPs of78.3 dBW and ¥8.0 dBW/4 kHz per car-rier, respectively, shall conduct an en-gineering analysis using the Sharp, Ad-jacent Satellite Interference Analysis(ASIA) program. Applicants shall sub-mit a complete description of thosebaseline parameters they use in con-ducting their analysis and tabular


301


summaries of the ASIA program’s out-put detailing potential interferenceshortfalls. Applicants shall also submita narrative summary which must indi-cate whether there are margin short-falls in any of the current baselineservices as a result of the addition ofthe new applicant’s high power service,and if so, how the applicant intends toresolve those margin shortfalls. Appli-cants shall submit link budget anal-yses of the operations proposed alongwith a detailed written explanation ofhow each uplink and each transmittedsatellite carrier density figure is de-rived. Applicants shall provide proof byaffidavit that all potentially affectedparties acknowledge and do not objectto the use of the applicant’s higherpower density.

(c) Licensees authorized pursuant toparagraph (b) of this section shall bearthe burden of coordinating with any fu-ture applicants or licensees whose pro-posed compliant VSAT operations, asdefined by paragraph (a) of this sec-tion, is potentially or actually ad-versely affected by the operation of thenon-compliant licensee. If no goodfaith agreement can be reached, how-ever, the non-compliant licensee shallreduce its power density levels to thosecompliant with the VSAT Order or theDeclaratory Order, whichever is appli-cable.

(d) An application for VSAT author-ization shall be filed on FCC Form 312,Main Form and Schedule B. A VSAT li-censee applying to renew its licensemust include on FCC Form 405, thenumber of constructed VSAT units inits network.

[56 FR 66001, Dec. 20, 1991, as amended at 62FR 5929, Feb. 10, 1997; 66 FR 31560, June 12,2001]

§ 25.135 Licensing provisions for earthstation networks in the non-voice,non-geostationary mobile-satelliteservice.

(a) Each applicant for a blanketearth station license in the non-voice,non-geostationary mobile-satelliteservice shall demonstrate that trans-ceiver operations will not cause unac-ceptable interference to other author-ized users of the spectrum, based on ex-

isting system information publiclyavailable at the Commission at thetime of filing, and will comply withoperational conditions placed upon thesystems with which they are to operatein accordance with § 25.142(b). Thisdemonstration shall include a showingas to all the technical parameters, in-cluding duty cycle and power limits,under which the individual usertransceivers will operate.

(b) Transceiver units associated withthe non-voice, non-geostationary mo-bile-satellite service may not be oper-ated on civil aircraft. All portable orhand-held transceiver units (includingtransceiver units installed in other de-vices that are themselves portable orhand-held) having a receiver operatingin the 137–138 MHz band shall bear thefollowing statement in a conspicuouslocation on the device: ‘‘This devicemay not be operated while on board acivil aircraft. It must be turned off atall times while on board such an air-craft.’’ This subsection shall not applyto transceiver units whose receiversare incapable of radiating in the 108–137MHz frequency bands.

(c) Transceiver units in this serviceare authorized to communicate withand through U.S. authorized space sta-tions only. No person shall transmit toa space station unless the specifictransmission is first authorized by thespace station licensee or by a servicevendor authorized by that licensee.

(d) Any transceiver unit associatedwith this service will be deemed, whencommunicating with a particular non-voice, non-geostationary mobile-sat-ellite service system pursuant to para-graph (c) of this section, to be tempo-rarily associated with and licensed tothe system operator or service vendorholding the blanket earth station li-cense awarded pursuant to § 25.115(d).The domestic earth station licenseeshall, for such temporary period, as-sume the same licensee responsibilityfor such transceiver as if such trans-ceiver were regularly licensed to it.

[58 FR 68059, Dec. 23, 1993]


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47 CFR Ch. I (10–1–01 Edition)§ 25.136

§ 25.136 Operating provisions for earthstation networks in the 1.6/2.4 GHzmobile-satellite service and 2 GHzmobile-satellite service.

In addition to the technical require-ments specified in § 25.213, earth sta-tions operating in the 1.6/2.4 GHz Mo-bile-Satellite Service or 2 GHz Mobile-Satellite Service are subject to the fol-lowing operating conditions:

(a) User transceiver units associatedwith the 1.6/2.4 GHz Mobile-SatelliteService or 2 GHz Mobile-Satellite Serv-ice may not be operated on civil air-craft unless the earth station has a di-rect physical connection to the aircraftCabin Communication system.

(b) No person shall transmit to aspace station unless the user trans-ceiver is first authorized by the spacestation operator or by a service vendorauthorized by that operator, and thespecific transmission is conducted inaccordance with the operating protocolspecified by the system operator.

(c) Any user transceiver unit associ-ated with this service will be deemed,when communicating with a particular1.6/2.4 GHz Mobile-Satellite Service or 2GHz Mobile-Satellite Service systempursuant to paragraph (b) of this sec-tion, to be temporarily associated withand licensed to the system operator orservice vendor holding the blanketearth station license awarded pursuantto § 25.115(d). The domestic earth sta-tion licensee shall, for this temporaryperiod, assume the same licensee re-sponsibility for the user transceiver asif the user transceiver were regularlylicensed to it.

[65 FR 59142, Oct. 4, 2000]

§ 25.137 Application requirements forearth stations operating with non-U.S. licensed space stations.

(a) Earth station applicants or enti-ties filing a ‘‘letter of intent’’ or ‘‘Peti-tion for Declaratory Ruling’’ request-ing authority to operate with a non-U.S. licensed space station to serve theUnited States must attach an exhibitwith their FCC Form 312 applicationwith information demonstrating thatU.S.-licensed satellite systems have ef-fective competitive opportunities toprovide analogous services in:

(1) The country in which the non-U.S.licensed space station is licensed; and

(2) All countries in which commu-nications with the U.S. earth stationwill originate or terminate. The appli-cant bears the burden of showing thatthere are no practical or legal con-straints that limit or prevent access ofthe U.S. satellite system in the rel-evant foreign markets. The exhibit re-quired by this paragraph must also in-clude a statement of why grant of theapplication is in the public interest.This paragraph shall not apply with re-spect to requests for authority to oper-ate using a non-U.S. licensed satellitethat is licensed by or seeking a licensefrom a country that is a member of theWorld Trade Organization for servicescovered under the World Trade Organi-zation Basic TelecommunicationsAgreement.

(b) Earth station applicants, or enti-ties filing a ‘‘letter of intent,’’ or ‘‘Pe-tition for Declaratory Ruling,’’ re-questing authority to operate with anon-U.S. licensed space station mustattach to their FCC Form 312 an ex-hibit providing legal, financial, andtechnical information for the non-U.S.licensed space station in accordancewith part 25 and part 100 of this Chap-ter. If the non-U.S. licensed space sta-tion is in orbit and operating, the ap-plicant need not include the financialinformation specified in §§ 25.114(c)(17)and (c)(18) of this part. If the inter-national coordination process for thenon-U.S. licensed space station hasbeen completed, the applicant need notinclude the technical information spec-ified in §§ 25.114(c)(5) through (c)(11) and(c)(14) of this part, unless the technicalcharacteristics differ from the charac-teristics established in that process.

(c) A non-U.S. licensed satellite sys-tem seeking to serve the United Statescan be considered contemporaneouslywith other U.S. satellite systems if itis:

(1) In orbit and operating;(2) Has a license from another admin-

istration; or(3) Has been submitted for coordina-

tion to the International Tele-communication Union.

(d) Earth station applicants request-ing authority to operate with a non-U.S. licensed space station must dem-onstrate that the space station the ap-plicant seeks to access has complied


303


with all applicable Commission mile-stones, reporting requirements, andany other applicable service rules re-quired for non-U.S. licensed systems tooperate in the United States.

[62 FR 64172, Dec. 4, 1997, as amended at 64FR 61792, Nov. 15, 1999; 65 FR 16327, Mar. 28,2000; 65 FR 59143, Oct. 4, 2000]

§ 25.138 Blanket licensing provisionsof GSO FSS Earth Stations in the18.58–18.8 GHz (space-to-Earth),19.7–20.2 GHz (space-to-Earth),28.35–28.6 GHz (Earth-to-space) and29.5–30.0 GHz (Earth-to-space)bands.

(a) All applications for a blanketearth station license in the GSO FSS

in the 18.58–18.8 GHz, 19.7–20.2 GHz,28.35–28.6 GHz and 29.5–30.0 GHz bandsthat meet the following requirementsshall be routinely processed:

(1) GSO FSS earth station antennaoff-axis EIRP spectral density for co-polarized signals shall not exceed thefollowing values, within ±3° of the GSOarc, under clear sky conditions:

18.5–25log(θ)–10log(N) ... dBW/40kHz ................. for 2.0° ≤ θ ≤ 7°¥2.63–10log(N) ............. dBW/40kHz ................. for 7° ≤ θ ≤ 9.23°21.5–25log(θ)–10log(N) ... dBW/40kHz ................. for 9.23° ≤ θ ≤ 48°¥10.5–10log(N) ............. dBW/40kHz ................. for 48° < θ ≤ 180°

Where:

θ is the angle in degrees from the axis of themain lobe; for systems where more thanone earth station is expected to transmitsimultaneously in the same bandwidth,e.g., CDMA systems,

N is the likely maximum number of simulta-neously transmitting co-frequency earth

stations in the receive beam of the sat-ellite; N=1 for TDMA and FDMA systems.

(2) GSO FSS earth station antennaoff-axis EIRP spectral density for co-polarized signals shall not exceed thefollowing values, for all directionsother than within ±3° of the GSO arc,under clear sky conditions:

21.5–25log(θ)–10log(N) ... dBW/40kHz ................. for 3.5° ≤ θ ≤ 7°0.37–10log(N) ................ dBW/40kHz ................. for 7° < θ ≤ 9.23°24.5–25log(θ)–10log(N) ... dBW/40kHz ................. for 9.23° < θ ≤ 48°¥7.5–10log(N) ............... dBW/40kHz ................. for 48° < θ ≤ 180°

Where:θ: is the angle in degrees from the axis of the

main lobe; for systems where more thanone earth station is expected to transmitsimultaneously in the same bandwidth,e.g., CDMA systems.

N: is the likely maximum number of simul-taneously transmitting co-frequencyearth stations in the receive beam of thesatellite; N=1 for TDMA and FDMA sys-tems.

(3) The values given in paragraphs (a)(1) and (2) of this section may be ex-

ceeded by 3 dB, for values of θ >10°, pro-vided that the total angular range overwhich this occurs does not exceed 20°when measured along both sides of theGSO arc.

(4) GSO FSS earth station antennaoff-axis EIRP spectral density forcross-polarized signals shall not exceedthe following values, in all directionsrelative to the GSO arc, under clearsky conditions:


304

47 CFR Ch. I (10–1–01 Edition)§ 25.138

8.5–25log(θ)–10log(N) ..... dBW/40kHz ................. for 2.0° ≤ θ ≤ 7°12.63–10log(N) ............... dBW/40kHz ................. for 7° < θ ≤ 9.23°

Where:

θ: is the angle in degrees from the axis of themain lobe; for systems where more thanone earth station is expected to transmitsimultaneously in the same bandwidth,e.g., CDMA systems.

N: is the likely maximum number of simul-taneously transmitting co-frequencyearth stations in the receive beam of thesatellite; N=1 for TDMA and FDMA sys-tems.

(5) For earth stations employinguplink power control, the values inparagraphs (a) (1), (2), and (4) of thissection may be exceeded by up to 20 dBunder conditions of uplink fading dueto precipitation. The amount of suchincrease in excess of the actual amountof monitored excess attenuation overclear sky propagation conditions shallnot exceed 1.5 dB or 15 % of the actualamount of monitored excess attenu-ation in dB, whichever is larger, with aconfidence level of 90 percent exceptover transient periods accounting forno more than 0.5% of the time duringwhich the excess is no more than 4.0dB.

(6) Power flux-density (PFD) at theEarth’s surface produced by emissionsfrom a space station for all conditions,including clear sky, and for all meth-ods of modulation shall not exceed alevel of ¥118 dBW/m 2/MHz for the band19.7–20.2 GHz.

(b) Each applicant for earth stationlicense(s) that proposes levels in excessof those defined in paragraph (a) of thissection shall submit link budget anal-yses of the operations proposed alongwith a detailed written explanation ofhow each uplink and each transmittedsatellite carrier density figure is de-rived. Applicants shall also submit anarrative summary which must indi-cate whether there are margin short-falls in any of the current baselineservices as a result of the addition ofthe applicant’s higher power service,and if so, how the applicant intends toresolve those margin short falls. Appli-cants shall certify that all potentiallyaffected parties (i.e., those GSO FSS

satellite networks that are 2, 4, and 6degrees apart) acknowledge and do notobject to the use of the applicant’shigher power densities.

(c) Licensees authorized pursuant toparagraph (b) of this section shall bearthe burden of coordinating with any fu-ture applicants or licensees whose pro-posed compliant operations at 6 de-grees or smaller orbital spacing, as de-fined by paragraph (a) of this section,is potentially or actually adversely af-fected by the operation of the non-com-pliant licensee. If no good faith agree-ment can be reached, however, the non-compliant licensee shall reduce itsearth station and space station powerdensity levels to be compliant withthose specified in paragraph (a) of thissection.

(d) The applicant shall provide foreach earth station antenna type, a se-ries of radiation patterns measured ona production antenna performed on acalibrated antenna range and, as aminimum, shall be made at the bot-tom, middle, and top frequencies of the30 GHz band. The radiation patternsare:

(1) Co-polarized patterns for each oftwo orthogonal senses of polarizationsin two orthogonal planes of the an-tenna.

(i) In the azimuth plane, plus andminus 10 degrees and plus and minus180 degrees.

(ii) In the elevation plane, zero to 30degrees.

(2) Cross-polarization patterns in theE- and H-planes, plus and minus 10 de-grees.

(3) Main beam gain.(e) Protection of receive earth sta-

tions from adjacent satellite inter-ference is based on either the antennaperformance specified in § 25.209 (a) and(b), or the actual receiving earth sta-tion antenna performance, if actualperformance provides greater isolationfrom adjacent satellite interference.For purposes of insuring the correctlevel of protection, the applicant shallprovide, for each earth station antenna


305


type, the antenna performance plotsfor the 20 GHz band, including the for-mat specified in paragraph (d) of thissection.

(f) The earth station licensee shallnot transmit towards a GSO FSS sat-ellite unless it has prior authorizationfrom the satellite operator or a spacesegment vendor authorized by the sat-ellite operator. The specific trans-mission shall be conducted in accord-ance with the operating protocol speci-fied by the satellite operator.

(g) A licensee applying to renew itslicense must include on FCC Form 405the number of constructed earth sta-tions.

[65 FR 54169, Sept. 7, 2000]

SPACE STATIONS

§ 25.140 Qualifications of fixed-satellitespace station licensees.

(a) New fixed-satellites shall complywith the requirements established inReport and Order, CC Docket No. 81–704(available at address in § 0.445 of thischapter.) Applications must also meetthe requirements in paragraphs (b)through (d) of this section. The Com-mission may require additional or dif-ferent information in the case of anyindividual application. Applicationswill be unacceptable for filing and willbe returned to the applicant if they donot meet the requirements referred toin this paragraph.

(b) Each applicant for a space stationauthorization in the fixed-satelliteservice must demonstrate, on the basisof the documentation contained in itsapplication, that it is legally, finan-cially, technically, and otherwisequalified to proceed expeditiously withthe construction, launch and/or oper-ation of each proposed space station fa-cility immediately upon grant of therequested authorization. Each appli-cant must provide the following infor-mation:

(1) The information specified in§ 25.114;

(2) An interference analysis to dem-onstrate the compatibility of its pro-posed system 2 degrees from any au-thorized space station. An applicantshould provide details of its proposedr.f. carriers which it believes should betaken into account in this analysis. At

a minimum, the applicant must in-clude, for each type of r.f. carrier, thelink noise budget, modulation param-eters, and overall link performanceanalysis. (See, e.g., appendices B and Cto Licensing of Space Stations in theDomestic Fixed-Satellite Service(available at address in § 0.445 of thischapter));

(3) The estimated costs of proposedconstruction and/or launch, and anyother initial expenses for the space sta-tion(s); and

(4) Estimated operating expenses forone year after launch of the proposedspace station(s).

(c) Each application for authority toconstruct and/or launch and operate aspace station shall demonstrate the ap-plicant’s current financial ability tomeet the costs specified in paragraphs(b)(3) and (b)(4) of this section by sub-mitting the following financial infor-mation verified by affidavit:

(1) A balance sheet current for thelatest fiscal year and documentation ofany financial commitments reflectedin the balance sheet (such as, for exam-ple, loan agreements and service con-tracts) together with an exhibit dem-onstrating that the applicant has cur-rent assets and operating income suffi-cient to meet the costs specified inparagraphs (b)(3) and (b)(4) of this sec-tion. If the applicant is owned by morethan one corporate parent, it must sub-mit evidence of a commitment to theproposed satellite program by manage-ment of the corporate parent uponwhom it is relying for financial re-sources;

(2) If the submissions of paragraph(c)(1) of this section do not reflect suf-ficient financial resources to meet thecosts specified in paragraphs (b)(3) and(b)(4) of this section, the applicantshall submit additional information aslisted below:

(i) The terms of any fully negotiatedloan or other form of credit arrange-ment intended to be used to finance theproposed construction, acquisition, oroperation of the requested facilities in-cluding such information as the iden-tity of the creditor (or creditors), theamount committed, letters of commit-ment, detailed terms of the trans-action, including the details of anycontingencies, and a statement that


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47 CFR Ch. I (10–1–01 Edition)§ 25.141

the applicant complies with paragraph(d) of this section;

(ii) The terms of any fully negotiatedsale or placement of any equity orother form of ownership interest, in-cluding the sale, or long-term lease forthe lifetime of the satellite, of pro-posed satellite transponder capacity inthe level of detail as specified in para-graph (c)(2)(i) of this section;

(iii) The terms of any grant or otherexternal funding commitment intendedto be used to finance the proposed con-struction, acquisition, or operation ofthe requested facilities, including suchinformation as the identity of thegrantor(s), the amount committed, let-ters of commitment, and detailedterms of the transaction, including thedetails of any contingencies; or

(iv) Any financing arrangements con-tingent on further performance by ei-ther party, such as marketing of sat-ellite capacity or raising additional fi-nancing, will not be considered in eval-uating an applicant’s financial quali-fications; and

(3) Whatever other information or de-tails the Commission may require withregard to a specific application or ap-plicant.

(d) Any loan or other credit arrange-ment providing for a chattel mortgageor secured interest in any proposed fa-cility must include a provision for aminimum of ten (10) days prior writtennotification to the licensee or per-mittee, and to the Commission, beforeany such equipment may be repos-sessed under any default provision ofthe agreement.

(e) An applicant found to be qualifiedpursuant to this section may be ini-tially assigned up to two orbital loca-tions in each pair of frequency bandsproposed. Authorizations to constructground spares are at the applicant’srisk that launch authorization will notbe granted by the Commission.

(f) Each applicant found to be quali-fied pursuant to this section may be as-signed no more than one additional or-bital location beyond its current au-thorizations in each frequency band inwhich it is authorized to operate, pro-vided that its in-orbit satellites are es-sentially filled and that it has no morethan two unused orbital locations for

previously authorized but unlaunchedsatellites in that band.

(g) In the event that one or more ap-plications satisfying the requirementsof this section are ready for grant, anyorbital location occupied by a satellitethat is determined to be a part of a sys-tem that is not essentially filled maybe cancelled and collocation of in-orbitsatellites may be required. The Com-mission may take this action if, in sodoing, it would allow the grant of pend-ing applications that satisfy the re-quirements of this section. If a can-cellation is made, the licensee will beafforded a period of 30 days to notifythe Commission which of its assignedlocations should be cancelled.

[62 FR 5929, Feb. 10, 1997]

§ 25.141 Licensing provisions for theradiodetermination satellite serv-ice.

(a) Space station application require-ments. Each application for a space sta-tion license in the radiodeterminationsatellite service shall describe in detailthe proposed radiodetermination sat-ellite system, setting forth all perti-nent technical and operational aspectsof the system, including its capabilityfor providing and controlling radio-determination service on a geographicbasis, and the technical, legal and fi-nancial qualifications of the applicant.In particular, each application shall in-clude the information specified in Ap-pendix B of Space Station ApplicationFiling Procedures, 93 FCC 2d 1260, 1265(1983), except that in lieu of dem-onstrating compliance with item II.F(two degree spacing), applicants are re-quired to demonstrate compatibilitywith licensed satellite systems in thesame frequency band. Applicants mustalso file information demonstratingcompliance with all requirements ofthis section, specifically including in-formation demonstrating how the ap-plicant has complied or plans to com-ply with the requirements of paragraph(f) of this section.

(b) Space station application proce-dures. Each application for a space sta-tion in the radiodetermination sat-ellite service shall be placed on publicnotice for 60 days, during which timeinterested parties may file comments


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and petitions related to the applica-tion. A 60 day cut-off period shall alsobe established for the filing of applica-tions to be considered in conjunctionwith an original application.

(c) User transceivers. Individual usertransceivers will not be licensed. Serv-ice vendors may file blanket applica-tions for transceiver units using FCCForm 312, Main Form and Schedule B,and specifying the number of units tobe covered by the blanket license. Eachapplication must demonstrate thattransceiver operations will not causeinterference to other users of the spec-trum.

(d) Permissible communications. Sta-tions in this service are authorized torender radiodetermination service, andmay not render other services exceptas ancillary to the radiodeterminationservice.

(e) Frequency allocation policies.Each radiodetermination satellite serv-ice licensee will be assigned the entireallocated frequency bands on a non-ex-clusive basis. Coding techniques andpower limits as set forth in paragraph(f) of this section and orbital spacingshall be employed to avoid harmful in-terference with other radiodetermin-ation satellite service systems.

(f) Radiodetermination satellite service.Licenses shall coordinate with radio-determination satellite system licens-ees to avoid harmful interference toother radiodetermination satellite sys-tems through:

(1) Power flux density limits;(2) Use of pseudorandom-noise codes

(for both the satellite-to-user link andfor the user-to-satellite link); and

(3) Random access, time divisionmultiplex techniques.

Licensees shall coordinate with 1.6/2.4GHz Mobile-Satellite Service system li-censees to avoid interference to 1.6/2.4GHz Mobile-Satellite Service systems.

(g) License conditions. All authoriza-tions in the radiodetermination sat-ellite service shall be subject to thepolicies set forth in the Report andOrder, including compliance with ap-pendix D, and the Second Report andOrder in General Docket Nos. 84–689and 84–690 and to any policies and rules

the Commission may adopt at the laterdate.

[56 FR 24016, May 28, 1991, as amended at 59FR 53327, Oct. 21, 1994; 62 FR 5930, Feb. 10,1997]

§ 25.142 Licensing provisions for thenon-voice, non-geostationary mo-bile-satellite service.

(a) Space station application require-ments. (1) Each application for a spacestation system authorization in thenon-voice, non-geostationary mobile-satellite service shall describe in detailthe proposed non-voice, non-geo-stationary mobile-satellite system,setting forth all pertinent technicaland operational aspects of the system,and the technical, legal, and financialqualifications of the applicant. In par-ticular, each application shall includethe information specified in § 25.114, ex-cept that in lieu of the informationconcerning orbital locations requestedin § 25.114(c)(6), the applicant shallspecify the number of space stationsand applicable information relating tothe altitude(s), argument(s) of perigee,service arc(s), right ascension of as-cending node(s), eccentricity, and incli-nation of the space stations (all ref-erenced to the same time) that willcomprise its system. Applicants mustalso file information demonstratingcompliance with all requirements ofthis section, and showing, based on ex-isting system information publiclyavailable at the Commission at thetime of filing, that they will not causeunacceptable interference to any non-voice, non-geostationary mobile-sat-ellite service system authorized to con-struct or operate.

(2) Applicants for a non-voice, non-geostationary mobile-satellite mustidentify the power flux density pro-duced at the Earth’s surface by eachspace station of their system in the fre-quency bands 137–138 MHz and 400.15–401MHz, to allow determination of wheth-er coordination with terrestrial serv-ices is required under internationalfootnotes 599A and 647B of § 2.106 of theCommission’s Rules. In addition, appli-cants must identify the measures theywould employ to protect the radio as-tronomy service in the 150.05–153 MHzand 406.1–410 MHz bands from harmfulinterference from unwanted emissions.


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(3) Emission limitations. (i) Appli-cants in the non-voice, non-geo-stationary mobile-satellite serviceshall show that their space stationswill not exceed the emission limita-tions of § 25.202(f) (1), (2) and (3), as cal-culated for a fixed point on the Earth’ssurface in the plane of the space sta-tion’s orbit, considering the worst-casefrequency tolerance of all frequencydetermining components, and max-imum positive and negative Dopplershift of both the uplink and downlinksignals, taking into account the sys-tem design.

(ii) Applicants in the non-voice, non-geostationary mobile-satellite serviceshall show that no signal received bytheir satellites from sources outside oftheir system shall be retransmittedwith a power flux density level, in theworst 4 kHz, higher than the level de-scribed by the applicants in paragraph(a)(2) of this section.

(4) Financial qualifications. Each ap-plicant for space station system au-thorization in the non-voice, non-geo-stationary mobile-satellite servicemust demonstrate, on the basis of thedocumentation contained in its appli-cation, that it is financially qualifiedto proceed expeditiously with the con-struction, launch and operation for oneyear of the first two space stations ofits proposed system immediately upongrant of the requested authorization.Failure to make such a showing willresult in the dismissal of the applica-tion. This showing shall include all in-formation described in § 25.140 (c), (d)and (e).

(5) Replacement of space stationswithin the system license term. The li-censee need not file separate applica-tions to construct, launch and operatetechnically identical replacement sat-ellites within the term of the systemauthorization. However, the licenseeshall certify to the Commission, atleast thirty days prior to launch ofsuch replacement(s) that:

(i) The licensee intends to launch aspace station that is technically iden-tical to those authorized in its systemlicense, and

(ii) Launch of this space station willnot cause the licensee to exceed thetotal number of operating space sta-tions authorized by the Commission.

(b) Operating conditions. In order toensure compatible operations with au-thorized users in the frequency bandsto be utilized for operations in the non-voice, non-geostationary mobile-sat-ellite service, non-voice, non-geo-stationary mobile-satellite service sys-tems must operate in accordance withthe conditions specified in this section.

(1) Service limitation. Voice servicesmay not be provided.

(2) Coordination requirements withFederal government users.

(i) The frequency bands allocated foruse by the non-voice, non-geo-stationary mobile-satellite service arealso authorized for use by agencies ofthe Federal government. The Federaluse of frequencies in the non-voice,non-geostationary mobile-satelliteservice frequency bands is under theregulatory jurisdiction of the NationalTelecommunications and InformationAdministration (NTIA).

(ii) The Commission will use its ex-isting procedures for liaison with NTIAto reach agreement with respect toachieving compatible operations be-tween Federal government users underthe jurisdiction of NTIA and non-voice,non-geostationary mobile-satelliteservice systems (including usertransceivers subject to blanket licens-ing under § 25.115(d)) through the fre-quency assignment and coordinationpractices established by NTIA and theInterdepartment Radio Advisory Com-mittee (IRAC). In order to facilitatesuch frequency assignment and coordi-nation, applicants shall provide theCommission with sufficient informa-tion to evaluate electromagnetic com-patibility with the Federal governmentuse of the spectrum, and any additionalinformation requested by the Commis-sion. As part of the coordination proc-ess, applicants shall show that theywill not cause unacceptable inter-ference to authorized Federal govern-ment users, based upon existing systeminformation provided by the Govern-ment. The frequency assignment andcoordination of the satellite systemwith Federal government users shall becompleted prior to grant of construc-tion authorization.

(iii) The Commission shall also co-ordinate with NTIA/IRAC with regardto the frequencies to be shared by


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those earth stations of non-voice, non-geostationary mobile-satellite servicesystems that are not subject to blanketlicensing under § 25.115(d), and author-ized Federal government stations inthe fixed and mobile services, throughthe exchange of appropriate systemsinformation.

(3) Coordination among non-voice,non-geostationary mobile-satelliteservice systems. Applicants for author-ity to establish non-voice, non-geo-stationary mobile-satellite service sys-tems are encouraged to coordinatetheir proposed frequency usage withexisting permittees and licensees inthe non-voice, non-geostationary mo-bile-satellite service whose facilitiescould be affected by the new proposalin terms of frequency interference orrestricted system capacity. All affectedapplicants, permittees, and licenseesshall, at the direction of the Commis-sion, cooperate fully and make everyreasonable effort to resolve technicalproblems and conflicts that may in-hibit effective and efficient use of theradio spectrum; however, the permitteeor licensee being coordinated with isnot obligated to suggest changes or re-engineer an applicant’s proposal incases involving conflicts.

(4) Safety and distress communica-tions. Stations operating in the non-voice, non-geostationary mobile-sat-ellite service that are used to complywith any statutory or regulatoryequipment carriage requirements mayalso be subject to the provisions of sec-tions 321(b) and 359 of the Communica-tions Act of 1934, as amended. Licens-ees are advised that these provisionsgive priority to radio communicationsor signals relating to ships in distressand prohibit a charge for the trans-mission of maritime distress calls andrelated traffic.

(c) Reporting requirements. All opera-tors of non-voice, non-geostationarymobile-satellite service systems shall,on June 30 of each year, file a reportwith the International Bureau and theCommission’s Columbia OperationsCenter in Columbia, Maryland, con-taining the following information cur-rent as of May 31st of that year:

(1) A listing of any non-scheduledspace station outages for more than

thirty minutes and the cause(s) of suchoutages;

(2) A detailed description of the utili-zation made of the in-orbit satellitesystem. That description should iden-tify the percentage of time that thesystem is actually used for domestictransmission, the amount of capacity(if any) sold but not in service, and theamount of unused system capacity; and

(3) Identification of any space sta-tions not available for service or other-wise not performing to specifications,the cause(s) of these difficulties, andthe date any space station was takenout of service or the malfunction iden-tified.

(d) Prohibition of certain agreements.No license shall be granted to any ap-plicant for a non-voice, non-geo-stationary mobile-satellite service sys-tem if that applicant, or any compa-nies controlling or controlled by theapplicant, shall acquire or enjoy anyright, for the purpose of handling traf-fic to or from the United States, itsterritories or possessions, to constructor operate space segment or earth sta-tions in the non-voice, non-geosynchro-nous mobile-satellite service, or tointerchange traffic, which is denied toany other United States company byreason of any concession, contract, un-derstanding, or working arrangementto which the licensee or any persons orcompanies controlling or controlled bythe licensee are parties.

(e) Spectrum priority. (1) The non-voice, non-geosynchronous mobile-sat-ellite service system that is authorizedin the second application processinground to operate in the 148–148.25 MHz,148.75–148.855 MHz, 148.905–149.81 MHzand 150–150.05 MHz uplink frequencybands and the 400.505–400.5517 MHz,400.5983–400.645 MHz, 137.025–137.175MHz, 137.333–137.4125 MHz, 137.475–137.525 MHz, 137.595–137.645 MHz, 137.753–137.787 MHz and 137.825–138 MHzdownlink frequency bands (the ‘‘Sys-tem 2 licensee’’) will have a first pri-ority to apply for and use a limitedamount of downlink spectrum duly al-located worldwide and domestically tothe non-voice, non-geosynchronous mo-bile-satellite service by the ITU, atWRC–97 or a subsequent WorldRadiocommunication Conference, andby the Commission, respectively (the


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47 CFR Ch. I (10–1–01 Edition)§ 25.143

‘‘Future Spectrum’’). The System 2 li-censee will be eligible to apply for anduse the first 210 kHz of Future Spec-trum plus spectrum sufficient to ac-count for Doppler frequency shift inthe Future Spectrum (the ‘‘Supple-mental Spectrum’’) to implement itsnon-voice, non-geosynchronous mobile-satellite service system. The System 2licensee’s application for and use of theSupplemental Spectrum is subject tothe Commission’s Rules and policies,such reasonable operating conditionsas may be imposed by the Commission,and international spectrum coordina-tion requirements. For so long as theSystem 2 licensee is permitted by theGovernment of France to operate inthe 400.5517–400.5983 MHz band coordi-nated with the French system S80–1,the Supplemental Spectrum shall bereduced to an amount equivalent to 150kHz of Future Spectrum plus spectrumsufficient to account for Doppler fre-quency shift in the Future Spectrum.

(2) The System 2 licensee’s priorityto apply for and use the SupplementalSpectrum is conditioned on the System2 licensee’s compliance with the termsand conditions of its second processinground authorization, including, but notlimited to, its system construction,launch and operation milestones, andany modifications thereto, and theCommission’s Rules. The System 2 li-censee’s priority to apply for and usethe Supplemental Spectrum shall auto-matically terminate upon the occur-rence of any of the following events:

(i) The System 2 licensee being per-mitted to operate in the SupplementalSpectrum;

(ii) The expiration or revocation ofthe System 2 licensee’s second proc-essing round authorization;

(iii) The discontinuance of use of thespectrum assigned to the System 2 li-censee under its second processinground authorization; or

(iv) The surrender of the System 2 li-censee’s second processing round au-thorization to the Commission.

[58 FR 68060, Dec. 23, 1993, as amended at 62FR 5930, Feb. 10, 1997; 62 FR 59295, Nov. 3,1997]

§ 25.143 Licensing provisions for the1.6/2.4 GHz mobile-satellite service.

(a) System license. Applicants author-ized to construct and launch a systemof technically identical satellites willbe awarded a single ‘‘blanket’’ license.In the case of non-geostationary sat-ellites, the blanket license will cover aspecified number of space stations tooperate in a specified number of orbitalplanes. In the case of geostationarysatellites, as part of a geostationary-only satellite system or a geo-stationary/non-geostationary hybridsatellite system, an individual licensewill be issued for each satellite to belocated at a geostationary orbital loca-tion.

(b) Qualification Requirements—(1)General requirements. Each applicationfor a space station system authoriza-tion in the 1.6/2.4 GHz Mobile-SatelliteService or 2 GHz Mobile-Satellite Serv-ice shall describe in detail the proposedsatellite system, setting forth all perti-nent technical and operational aspectsof the system, and the technical, legal,and financial qualifications of the ap-plicant. In particular, each applicationshall include the information specifiedin § 25.114. Non-U.S. licensed systemsshall comply with the provisions of§ 25.137. System proponents seeking au-thorization in the 2 GHz Mobile-Sat-ellite Service also shall describe thedesign and operational strategies thatthey will use, if any, to mitigate or-bital debris. Applicants must submit acasualty risk assessment if plannedpost-mission disposal involves atmos-pheric re-entry of the spacecraft.

(2) Technical qualifications. In addi-tion to providing the information spec-ified in paragraph (b)(1) of this section,each applicant and letter of intent filershall demonstrate the following:

(i) That a proposed system in the 1.6/2.4 GHz MSS frequency bands employsa non-geostationary constellation orconstellations of satellites;

(ii) That a system proposed to oper-ate using non-geostationary satellitesbe capable of providing mobile satelliteservices to all locations as far north as70 deg. North latitude and as far southas 55 deg. South latitude for at least75% of every 24-hour period, i.e., that atleast one satellite will be visible abovethe horizon at an elevation angle of at


311


least 5 deg. for at least 18 hours eachday within the described geographicarea;

(iii) That a system proposed to oper-ate using non-geostationary satellitesbe capable of providing mobile satelliteservices on a continuous basis through-out the fifty states, Puerto Rico andthe U.S. Virgin Islands, i.e., that atleast one satellite will be visible abovethe horizon at an elevation angle of atleast 5 deg. at all times within the de-scribed geographic areas; and

(iv) That a system only using geo-stationary orbit satellites, at a min-imum, be capable of providing mobilesatellite services on a continuous basisthroughout the 50 states, Puerto Rico,and the U.S. Virgin Islands, if tech-nically feasible.

(v) That operations will not cause un-acceptable interference to other au-thorized users of the spectrum. In par-ticular, each application in the 1.6/2.4GHz frequency bands shall demonstratethat the space station(s) comply withthe requirements specified in § 25.213.

(3) Financial Qualifications: Each ap-plicant for a space station system au-thorization in the 1.6/2.4 GHz mobile-satellite service must demonstrate, onthe basis of the documentation con-tained in its application, that it is fi-nancially qualified to meet the esti-mated costs of the construction andlaunch of all proposed space stations inthe system and the estimated oper-ating expenses for one year after thelaunch of the initial space station. Fi-nancial qualifications must be dem-onstrated in the form specified in§ 25.140 (c) and (d). In addition, appli-cants relying on current assets or oper-ating income must submit evidence ofa management commitment to the pro-posed satellite system. Failure tomake such a showing will result in thedismissal of the application.

(c) Replacement of Space Stations With-in the System License Term. Licensees of1.6/2.4 GHz mobile-satellite systems au-thorized through a blanket license pur-suant to paragraph (a) of this sectionneed not file separate applications toconstruct, launch and operate tech-nically identical replacement satelliteswithin the term of the system author-ization. However, the licensee shallcertify to the Commission, at least

thirty days prior to launch of such re-placement(s) that:

(1) The licensee intends to launch aspace station that is technically iden-tical to those authorized in its systemauthorization, and

(2) Launch of this space station willnot cause the licensee to exceed thetotal number of operating space sta-tions authorized by the Commission.

(d) In-Orbit Spares. Licensees need notfile separate applications to operatetechnically identical in-orbit sparesauthorized as part of the blanket li-cense pursuant to paragraph (a) of thissection. However, the licensee shallcertify to the Commission, within 10days of bringing the in-orbit spare intooperation, that operation of this spacestation did not cause the licensee toexceed the total number of operatingspace stations authorized by the Com-mission.

(e) Reporting requirements. (1) All op-erators of 1.6/2.4 GHz Mobile-SatelliteService systems and 2 GHz Mobile-Sat-ellite Service systems shall, on October15 of each year, file with the Inter-national Bureau and the Commission’sColumbia Operations Center, Colum-bia, Maryland, a report containing thefollowing information current as ofSeptember 30 of that year:

(i) Status of satellite constructionand anticipated launch dates, includingany major problems or delays encoun-tered;

(ii) A listing of any non-scheduledspace station outages for more than 30minutes and the cause or causes of theoutage;

(iii) A detailed description of the uti-lization made of the in-orbit satellitesystem. That description should iden-tify the percentage of time that thesystem is actually used for U.S. domes-tic or transborder transmission, theamount of capacity (if any) sold butnot in service within U.S. territorialgeographic areas, and the amount ofunused system capacity. 2 GHz MobileSatellite systems receiving expansionspectrum as part of the unserved areasspectrum incentive must provide a re-port on the actual number of sub-scriber minutes originating or termi-nating in unserved areas as a percent-age of the actual U.S. system use; and


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47 CFR Ch. I (10–1–01 Edition)§ 25.143

(iv) Identification of any space sta-tions not available for service or other-wise not performing to specifications,the cause or causes of these difficul-ties, and the date any space stationwas taken out of service or the mal-function identified.

(2) All operators of 1.6/2.4 GHz mo-bile-satellite systems shall, within 10days after a required implementationmilestone as specified in the systemauthorization, certify to the Commis-sion by affidavit that the milestone hasbeen met or notify the Commission byletter that it has not been met. At itsdiscretion, the Commission may re-quire the submission of additional in-formation (supported by affidavit of aperson or persons with knowledgethereof) to demonstrate that the mile-stone has been met.

(3) All operators of 2 GHz Mobile-Sat-ellite Service systems must begin sys-tem construction upon award of a serv-ice link license to U.S.-based appli-cants, or upon designation of spectrumfor non-U.S.-based systems, in accord-ance with milestones set forth in therespective system’s authorization. Alloperators of 2 GHz Mobile-SatelliteService systems shall, within 10 daysafter a required implementation mile-stone as specified in the system au-thorization, certify to the Commissionby affidavit that the milestone hasbeen met or notify the Commission byletter that it has not been met. At itsdiscretion, the Commission may re-quire the submission of additional in-formation (supported by affidavit of aperson or persons with knowledgethereof) to demonstrate that the mile-stone has been met. Failure to filetimely certification of milestones, orfiling disclosure of non-compliance,will result in automatic cancellation ofthe authorization with no further ac-tion required on the Commission’spart.

(f) Safety and distress communications.(1) Stations operating in the 1.6/2.4 GHzMobile-Satellite Service and 2 GHz Mo-bile-Satellite Service that are volun-tarily installed on a U.S. ship or areused to comply with any statute orregulatory equipment carriage require-ments may also be subject to the re-quirements of sections 321(b) and 359 ofthe Communications Act of 1934. Li-

censees are advised that these provi-sions give priority to radio commu-nications or signals relating to ships indistress and prohibits a charge for thetransmission of maritime distress callsand related traffic.

(2) Licensees offering distress andsafety services should coordinate withthe appropriate search and rescue orga-nizations responsible for the licenseesservice area.

(g) Considerations involving transfer orassignment applications. (1) ‘‘Traf-ficking’’ in bare licenses issued pursu-ant to paragraph (a) of this section isprohibited, except with respect to li-censes obtained through a competitivebidding procedure.

(2) The Commission will review a pro-posed transaction to determine if thecircumstances indicate trafficking inlicenses whenever applications (exceptthose involving pro forma assignmentor transfer of control) for consent toassignment of a license, or for transferof control of a licensee, involve facili-ties licensed pursuant to paragraph (a)of this section. At its discretion, theCommission may require the submis-sion of an affirmative, factual showing(supported by affidavits of a person orpersons with personal knowledge there-of) to demonstrate that no traffickinghas occurred.

(3) If a proposed transfer of radio fa-cilities is incidental to a sale of otherfacilities or merger of interests, anyshowing requested under paragraph(g)(2) of this section shall include anadditional exhibit which:

(i) Discloses complete details as tothe sale of facilities or merger of inter-ests;

(ii) Segregates clearly by an itemizedaccounting, the amount of consider-ation involved in the sale of facilitiesor merger of interest; and

(iii) Demonstrates that the amountof consideration assignable to the fa-cilities or business interests involvedrepresents their fair market value atthe time of the transaction.

(h) Prohibition of certain agreements.No license shall be granted to any ap-plicant for a space station in the mo-bile satellite service operating at 1610–1626.5/2483.5–2500 MHz if that applicant,or any persons or companies control-ling or controlled by the applicant,


313


shall acquire or enjoy any right, forthe purpose of handling traffic to orfrom the United States, its territoriesor possession, to construct or operatespace segment or earth stations, or tointerchange traffic, which is denied toany other United States company byreason of any concession, contract, un-derstanding, or working arrangementto which the Licensee or any personsor companies controlling or controlledby the Licensee are parties.

[59 FR 53328, Oct. 21, 1994, as amended at 61FR 9945, Mar. 12, 1996; 62 FR 5930, Feb. 10,1997; 65 FR 59143, Oct. 4, 2000]

§ 25.144 Licensing provisions for the2.3 GHz satellite digital audio radioservice.

(a) Qualification Requirements:(1) Satellite CD Radio, Primosphere

Limited Partnership, Digital SatelliteBroadcasting Corporation, and Amer-ican Mobile Radio Corporation are theapplicants eligible for licensing in thesatellite digital audio radio service.

(2) General Requirements: Each ap-plication for a system authorization inthe satellite digital audio radio servicein the 2310–2360 MHz band shall de-scribe in detail the proposed satellitedigital audio radio system, settingforth all pertinent technical and oper-ational aspects of the system, and thetechnical, legal, and financial quali-fications of the applicant. In par-ticular, applicants must file informa-tion demonstrating compliance with§ 25.114 and all of the requirements ofthis section.

(3) Technical Qualifications: In addi-tion to the information specified inparagraph (a)(1) of this section, eachapplicant shall:

(i) Demonstrate that its system will,at a minimum, service the 48 contig-uous states of the United States (fullCONUS);

(ii) Certify that its satellite DARSsystem includes a receiver that willpermit end users to access all licensedsatellite DARS systems that are oper-ational or under construction; and

(iii) Identify the compression rate itwill use to transmit audio program-ming. If applicable, the applicant shallidentify the compression rate it willuse to transmit services that are ancil-lary to satellite DARS.

(b) Milestone Requirements. Each ap-plicant for system authorization in thesatellite digital audio radio servicemust demonstrate within 10 days aftera required implementation milestoneas specified in the system authoriza-tion, and on the basis of the docu-mentation contained in its application,certify to the Commission by affidavitthat the milestone has been met or no-tify the Commission by letter that ithas not been met. At its discretion, theCommission may require the submis-sion of additional information (sup-ported by affidavit of a person or per-sons with knowledge thereof) to dem-onstrate that the milestone has beenmet. This showing shall include all in-formation described in § 25.140 (c), (d)and (e). The satellite DARS milestonesare as follows, based on the date of au-thorization:

(1) One year: Complete contractingfor construction of first space stationor begin space station construction;

(2) Two years: If applied for, completecontracting for construction of secondspace station or begin second space sta-tion construction;

(3) Four years: In orbit operation ofat least one space station; and

(4) Six years: Full operation of thesatellite system.

(c) Reporting requirements. All li-censees of satellite digital audio radioservice systems shall, on June 30 ofeach year, file a report with the Inter-national Bureau and the Commission’sLaurel, Maryland field office con-taining the following information:

(1) Status of space station construc-tion and anticipated launch date, in-cluding any major problems or delayencountered;

(2) A listing of any non-scheduledspace station outages for more thanthirty minutes and the cause(s) of suchoutages; and

(3) Identification of any space sta-tion(s) not available for service or oth-erwise not performing to specifica-tions, the cause(s) of these difficulties,and the date any space station wastaken out of service or the malfunctionidentified.

(d) The license term for each digitalaudio radio service satellite shall com-mence when the satellite is launched


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and put into operation and the termwill run for eight years.

[62 FR 11105, Mar. 11, 1997]

§ 25.145 Licensing conditions for theFixed-Satellite Service in the 20/30GHz bands.

(a) Except as provided in § 25.210(b), ingeneral all rules contained in this partapply to Fixed-Satellite Service in the20/30 GHz bands.

(b) System License. Applicants author-ized to construct and launch a systemof technically identical non-geo-stationary satellite orbit satellites willbe awarded a single ‘‘blanket’’ licensecovering a specified number of spacestations to operate in a specified num-ber of orbital planes.

(c) In addition to providing the infor-mation specified in § 25.114, each non-geostationary satellite orbit applicantshall demonstrate the following:

(1) That the proposed system be capa-ble of providing fixed-satellite servicesto all locations as far north as 70 deg.latitude and as far south as 55 deg. lati-tude for at least 75% of every 24-hourperiod; and

(2) That the proposed system is capa-ble of providing fixed-satellite serviceson a continuous basis throughout thefifty states, Puerto Rico and the U.S.Virgin Islands, U.S.

(d) Considerations involving transfer orassignment applications. (1) ‘‘Traf-ficking’’ in bare licenses issued pursu-ant to paragraph (b) of this section isprohibited, except with respect to li-censes obtained through a competitivebidding procedure.

(2) The Commission will review a pro-posed transaction to determine if thecircumstances indicate trafficking inlicenses whenever applications (exceptthose involving pro forma assignmentor transfer of control) for consent toassignment of a license, or for transferof control of a licensee, involve facili-ties licensed pursuant to paragraph (b)of this section. At its discretion, theCommission may require the submis-sion of an affirmative, factual showing(supported by affidavits of a person orpersons with personal knowledge there-of) to demonstrate that no traffickinghas occurred.

(3) If a proposed transfer of radio fa-cilities is incidental to a sale of other

facilities or merger of interests, anyshowing requested under paragraph(d)(2) of this section shall include anadditional exhibit which:

(i) Discloses complete details as tothe sale of facilities or merger of inter-ests;

(ii) Segregates clearly by an itemizedaccounting, the amount of consider-ation involved in the sale of facilitiesor merger of interest; and

(iii) Demonstrates that the amountof consideration assignable to the fa-cilities or business interests involvedrepresents their fair market value atthe time of the transaction.

(e) Prohibition of certain agreements.No license shall be granted to any ap-plicant for a space station in the fixed-satellite service operating in the 20/30GHz band if that applicant, or any per-sons or companies controlling or con-trolled by the applicant, shall acquireor enjoy any right, for the purpose ofhandling traffic to or from the UnitedStates, its territories or possession, toconstruct or operate space segment orearth stations, or to interchange traf-fic, which is denied to any other UnitedStates company by reason of any con-cession, contract, understanding, orworking arrangement to which the Li-censee or any persons or companiescontrolling or controlled by the Li-censee are parties.

(f) Implementation milestone schedule.Each GSO FSS licensee in the 20/30 GHzband will be required to begin con-struction of its first satellite withinone year of grant, to begin construc-tion of the remainder within two yearsof grant, to launch at least one sat-ellite into each of its assigned orbit lo-cations within five years of grant, andto launch the remainder of its sat-ellites by the date required by theInternational TelecommunicationsUnion to assure international recogni-tion and protection of those satellites.Each NGSO FSS licensee in the 20/30GHz band will be required to begin con-struction of its first two satelliteswithin one year of the unconditionalgrant of its authorization, and com-plete construction of those first twosatellites within four years of thatgrant. Construction of the remainingauthorized operating satellites in theconstellation must begin within three


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years of the initial authorization, andthe entire authorized system must beoperational within six years.

(g)(1) Reporting Requirements. All li-censees in the 20/30 GHz band shall, onJune 30 of each year, file a report withthe International Bureau and the Com-mission’s Columbia Operations Center,9200 Farm House Lane, Columbia, MD21046 containing the following informa-tion:

(i) Status of space station construc-tion and anticipated launch date, in-cluding any major problems or delayencountered;

(ii) A listing of any non-scheduledspace station outages for more thanthirty minutes and the cause(s) of suchoutages; and

(iii) Identification of any space sta-tion(s) not available for service or oth-erwise not performing to specifica-tions, the cause(s) of these difficulties,and the date any space station wastaken out of service or the malfunctionidentified.

(2) Licensees shall submit to theCommission a yearly report indicatingthe number of earth stations actuallybrought into service under its blanketlicensing authority. The annual reportis due to the Commission no later thanthe first day of April of each year andshall indicate the deployment figuresfor the preceding calendar year.

(h) Policy governing the relocation ofterrestrial services from the 18.58 to 19.3GHz band. Frequencies in the 18.58–19.3GHz band listed in parts 21, 74, 78, and101 of this chapter have been reallo-cated for primary use by the Fixed-Sat-ellite Service, subject to various provi-sions for the existing terrestrial li-censes. In accordance with proceduresspecified in §§ 101.85 through 101.97 ofthis chapter, Fixed-Satellite Service li-censees are required to relocate the ex-isting co-primary terrestrial licenseesin these bands if interference to thoseoperations would occur during the pe-riod that the terrestrial stations re-main co-primary and the terrestrialantenna is pointing within 2 degrees ofthe GSO satellite. Additionally, Fixed-Satellite Service operations are not en-titled to protection from the co-pri-mary operations until after that periodhas expired. (see §§ 21.901(e), 74.502(c),

74.602(g), 78.18(a)(4), and 101.147(r) ofthis chapter.

(i) Protection of fixed services receiversin the 18.3–19.3 GHz band. For purposesof this section, FSS space stations op-erating in accordance with the powerflux-density limits of § 25.208 are con-sidered not to cause unacceptable in-terference to fixed service receiversthat are pointed more than 2 degreesfrom the FSS space station.

(1) 18.3–18.58 GHz. FSS space stationstransmitting in the 18.3–18.58 GHz bandmay not cause unacceptable inter-ference to fixed service receive stationsthat were licensed or for which an ap-plication was pending prior to June 8,2000.

(2) 18.58–18.8 GHz. FSS space stationstransmitting in the 18.58–18.8 GHz bandmay not cause unacceptable inter-ference to fixed service receive stationsthat were licensed or for which an ap-plication was pending prior to Sep-tember 18, 1998. After June 8, 2010, suchfixed station receivers are no longer af-forded protection from FSS space sta-tions operating in accordance with§ 25.208 and the fixed station transmit-ters shall not cause harmful inter-ference to the GSO FSS receiving earthstations.

(3) 18.8–19.3 GHz. FSS space stationstransmitting in the 18.8–19.3 GHz bandmay not cause unacceptable inter-ference to fixed service receive stationsthat were licensed or for which an ap-plication was pending prior to June 8,2000. After June 8, 2010, such fixed sta-tion receivers (except those operatingin 19.26–19.3 GHz) are no longer affordedprotection from FSS space stations op-erating in accordance with § 25.208.

[62 FR 61456, Nov. 18, 1997, as amended at 65FR 54171, Sept. 7, 2000]

§ 25.146 Licensing and operating au-thorization provisions for the non-geostationary satellite orbit fixed-satellite service (NGSO FSS) in thebands 10.7 GHz to 14.5 GHz.

(a) A comprehensive technical show-ing shall be submitted for the proposednon-geostationary satellite orbit fixed-satellite service (NGSO FSS) system inthe bands 10.7 GHz to 14.5 GHz. Thetechnical information shall dem-onstrate that the proposed NGSO FSSsystem would not exceed the validation


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equivalent power flux-density (EPFD)limits as specified in § 25.208 (g), (k),and (l) for EPFDdown, and EPFDup. If thetechnical demonstration exceeds thevalidation EPFD limits at any testpoints within the U.S. for domesticservice and at any points outside of theU.S. for international service or at anypoints in the geostationary satelliteorbit, as appropriate, the applicationwould be unacceptable for filing andwill be returned to the applicant with abrief statement identifying the non-compliance technical demonstration.The technical showing consists of thefollowing:

(1) Single-entry validation equivalentpower flux-density, in the space-to-Earthdirection, (EPFDdown) limits. (i) Provide aset of power flux-density (pfd) masks,on the surface of the Earth, for eachspace station in the NGSO FSS system.The pfd masks shall be generated in ac-cordance with the specification stipu-lated in the ITU–R RecommendationBO.1503, ‘‘Functional Description to beused in Developing Software Tools forDetermining Conformity of Non-GSOFSS Networks with Limits Containedin Article S22 of the Radio Regula-tions.’’ In particular, the pfd maskmust encompass the power flux-densityradiated by the space station regard-less of the satellite transmitter powerresource allocation and traffic/beamswitching strategy that are used at dif-ferent periods of a NGSO FSS systemlife. The pfd masks shall also be in anelectronic form that can be accessed bythe computer program contained inparagraph (a)(1)(iii) of this section.

(ii) Identify and describe in detail theassumptions and conditions used ingenerating the power flux-densitymasks.

(iii) Provide a computer program forthe single-entry EPFDdown validationcomputation, including both the sourcecode and the executable file. This com-puter program shall be developed in ac-cordance with the specification stipu-lated in the ITU–R RecommendationBO.1503.

(iv) Identify and describe in detailthe necessary input parameters for theexecution of the computer programidentified in paragraph (a)(1)(iii) of thissection.

(v) Provide the result, the cumu-lative probability distribution functionof EPFD, of the execution of the com-puter program described in paragraph(a)(1)(iii) of this section by using onlythe input parameters contained inparagraphs (a)(1)(i) and (a)(1)(iv) of thissection. The result must contain theworst three (3) test points in the U.S.for domestic service and the worstthree (3) test points on each continent,except Antarctica, outside of the U.S.for international services, and as manypoints as the number of service areas;i.e., foot-prints. The center of eachbeam service area should be the testpoint coordinate.

(2) Single-entry validation equivalentpower flux-density, in the Earth-to-spacedirection, EPFDup limits. (i) Provide a setof NGSO FSS earth station maximumequivalent isotropically radiated power(e.i.r.p.) mask as a function of the off-axis angle generated by a NGSO FSSearth station. The maximum e.i.r.p.mask shall be generated in accordancewith the specification stipulated in theITU–R Recommendation BO.1503. Inparticular, the results of calculationsencompass what would be radiated re-gardless of the earth station trans-mitter power resource allocation andtraffic/beam switching strategy areused at different periods of a NGSOFSS system life. The e.i.r.p. masksshall also be in an electronic form thatcan be accessed by the computer pro-gram contained in paragraph (a)(2)(iii)of this section.

(ii) Identify and describe in detail theassumptions and conditions used ingenerating the maximum earth statione.i.r.p. mask.

(iii) Provide a computer program forthe single-entry EPFDup validationcomputation, including both the sourcecode and the executable file. This com-puter program shall be developed in ac-cordance with the specification stipu-lated in ITU–R RecommendationBO.1503.

(iv) Identify and describe in detailthe necessary input parameters for theexecution of the computer programidentified in paragraph (a)(2)(iii) of thissection.

(v) Provide the result of the execu-tion of the computer program describedin paragraph (a)(2)(iii) of this section


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by using only the input parameterscontained in paragraphs (a)(2)(i) and(a)(2)(iv) of this section. The resultmust contain an EPFDup for every lon-gitudinal location on the geostationarysatellite orbit at every two-degreespacing that is visible to the U.S. fordomestic service and every three-de-gree longitudinal location in the geo-stationary satellite orbit for serviceoutside of the U.S.

(b) Ninety days prior to the initi-ation of service to the public, theNGSO FSS system licensee shall sub-mit a comprehensive technical showingfor the non-geostationary satelliteorbit fixed-satellite service (NGSOFSS) system in the bands 10.7 GHz to14.5 GHz. The technical informationshall demonstrate that the NGSO FSSsystem is expected not to operate inexcess of the additional operationalEPFDdown limits and the operationalEPFDdown limits as specified in § 25.208(i), (j) and notes 2 and 3 to the table inparagraph (l). If the technical dem-onstration exceeds the additional oper-ational EPFDdown limits or the oper-ational EPFDdown limits at any testpoints with the U.S. for domestic serv-ice and at any test points out side ofthe U.S. for international service, theNGSO FSS system licensee shall notinitiate service to the public until thedeficiency has been rectified by reduc-ing satellite transmission power orother adjustments. This must be sub-stantiated by subsequent technicalshowings. The technical showings con-sist of the following:

(1) Single-entry additional operationalequivalent power flux-density, in thespace-to-Earth direction, (additional oper-ational EPFDdown) limits. (i) Provide aset of anticipated operational powerflux-density (pfd) masks, on the surfaceof the Earth, for each space station inthe NGSO FSS system. The anticipatedoperational power flux-density maskscould be generated by using the meth-od specified in ITU–R RecommendationBO.1503. In particular, the anticipatedoperational pfd mask shall take intoaccount the expected maximum trafficloading distributions and geographicspecific scheduling of the actual meas-ured space station antenna patterns(see § 25.210(k)). The anticipated oper-ational power flux-density masks shall

also be in an electronic form that canbe accessed by the computer programcontained in paragraph (b)(1)(iii) ofthis section.

(ii) Identify and describe in detail theassumptions and conditions used ingenerating the anticipated operationalpower flux-density masks.

(iii) Provide a computer program forthe single-entry additional operationalEPFDdown verification computation, in-cluding both the source code and theexecutable file. This computer programcould be developed by using the methodspecified in ITU–R RecommendationBO.1503.

(iv) Identify and describe in detailthe necessary input parameters for theexecution of the additional operationalEPFDdown verification computer pro-gram identified in paragraph (b)(1)(iii)of this section.

(v) Provide the result, the cumu-lative probability distribution functionof EPFD, of the execution of theverification computer program de-scribed in paragraph (b)(1)(iii) of thissection by using only the input param-eters contained in paragraphs (b)(1)(i)and (b)(1)(iv) of this section. The resultmust contains the worst three (3) testpoints in the U.S. for domestic serviceand the worst three (3) test points ineach continent, excluding Antarctica,out side of the U.S. for internationalservice plus as many points as thenumber of service areas; i.e., foot-prints. The center of each beam servicearea should be the test point coordi-nate.

(2) Operational equivalent power flux-density, space-to-Earth direction, (oper-ational EPFDdown) limits. Using the infor-mation contained in (b)(1) of this sec-tion plus the measured space stationantenna patterns, provide the result ofthe execution of the computer simula-tion for the anticipated in-line oper-ational EPFDdown levels for the 3.0, 4.5,6.2 and 10 m GSO FSS receiving earthstation antennas having an efficiencyof 65%. The result must contain theworst three (3) test points in the U.S.for domestic service and the worstthree (3) test points per continent, ex-clude Antarctica, out side of the U.S.for international service plus as manypoints as the number of service areas;i.e., foot-prints. The center of each


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47 CFR Ch. I (10–1–01 Edition)§ 25.150

beam service area should be the testpoint coordinate. In addition, alsousing the information contained in(b)(1) of this section plus the measuredspace station antenna patterns, providethe result of the execution of the com-puter simulation for the anticipated in-line operational EPFDdown levels for the180 cm GSO BSS receiving earth sta-tion antennas in Hawaii, and for 240 cmGSO BSS receiving earth station an-tennas in Alaska, assuming an effi-ciency of 65%. The result must containthe worst test point in Alaska and Ha-waii, plus as many points as the num-ber of service areas; i.e., foot-prints inthese areas, using the center of eachbeam service area should be the testpoint coordinate.

(c) The NGSO FSS system licenseeshall, on June 30 of each year, file a re-port with the International Bureau andthe Commission’s Columbia OperationsCenter in Columbia, Maryland, certi-fying the status of the additional oper-ational EPFDdown levels into the 3 mand 10 m GSO FSS receiving earth sta-tion antennas, the operationalEPFDdown levels into the 3 m, 4.5 m, 6.2m and 10 m GSO FSS receiving earthstation antennas and the operationalEPFDdown levels into the 180 cm GSOBSS receiving earth station antennasin Hawaii and 240 GSO BSS receivingearth station antennas Alaska.

(d) The Commission may request atany time additional information fromthe NGSO FSS system applicant or li-censee concerning the EPFD levels andthe related technical showings.

(e) A NGSO FSS system licensee op-erating a system in compliance withthe limits specified in § 25.208 (g), (i),(j), (k), (l) and (m) shall be consideredas having fulfilled its obligations underITU Radio Regulations provision S22.2with respect to any GSO network. How-ever, such NGSO FSS system shall notclaim protection from GSO FSS andBSS networks operating in accordancewith this part 25 or part 100 of thischapter, respectively, and the ITURadio Regulations.

(f) Coordination will be required be-tween NGSO FSS systems and GSOFSS earth stations in the frequencyband 10.7–12.75 GHz when all of the fol-lowing threshold conditions are met:

(1) Bandwidth overlap; and

(2) The satellite network using theGSO has specific receive earth stationswhich meet all of the following condi-tions: earth station antenna maximumisotropic gain greater than or equal to64 dBi; G/T of 44 dB/K or higher; andemission bandwidth of 250 MHz; and theEPFDdown radiated by the satellite sys-tem using the NGSO into the GSO spe-cific receive earth station, either with-in the U.S. for domestic service or anypoints outside the U.S. for inter-national service, exceeds ¥174.5 dB(W/(m2/40 kHz)) for any percentage of timefor NGSO systems with all satellitesonly operating at or below 2500 km al-titude, or ¥202 dB(W/(m2/40 kHz)) forany percentage of the time for NGSOsystems with any satellites operatingabove 2500 km altitude.

[66 FR 10619, Feb. 16, 2001]


§ 25.150 Receipt of applications.Applications received by the Com-

mission are given a file number and(domestic only) a unique station iden-tifier for administrative convenience.Neither the assignment of a file num-ber and/or other identifier nor the list-ing of the application on public noticeas received for filing indicates that theapplication has been found acceptablefor filing or precludes the subsequentreturn or dismissal of the application ifit is found to be defective or not in ac-cordance with the Commission’s rules.

§ 25.151 Public notice period.(a) At regular intervals, the Commis-

sion will issue public notices listing:(1) The receipt of applications for

new station authorizations;(2) The receipt of applications for li-

cense or registration of receive-onlyearth stations;

(3) The receipt of applications formajor modifications to station author-izations;

(4) The receipt of major amendmentsto pending applications;

(5) The receipt of applications to as-sign or transfer control of space sta-tion facilities, transmitting earth sta-tion facilities, or international receive-only earth station facilities;

(6) Significant Commission actionsregarding applications;


319


(7) Information which the Commis-sion in its discretion believes to be ofpublic significance; and

(8) Special environmental consider-ations as required by part 1 of thischapter.

(b) Special public notices may also beissued at other times under special cir-cumstances involving non-routine mat-ters where speed is of the essence andefficiency of Commission process willbe served thereby.

(c) A public notice will not normallybe issued for receipt of any of the fol-lowing applications:

(1) For authorization of a minor tech-nical change in the facilities of an au-thorized station;

(2) For temporary authorization pur-suant to § 25.119;

(3) For an authorization under any ofthe proviso clauses of section 308(a) ofthe Communications Act of 1934, asamended [47 U.S.C. 308(a)];

(4) For consent to an involuntary as-signment or transfer of control of atransmitting earth station authoriza-tion; or

(5) For consent to an assignment ortransfer of control of a space stationauthorization or a transmitting earthstation authorization, where the as-signment or transfer does not involve asubstantial change in ownership orcontrol; or

(6) For change in location of an earthstation operating in the 4/6 GHz and10.95–11.7 GHz bands by no more than 1″in latitude and/or longitude and forchange in location of an earth stationoperating in the 12/14 GHz bands by nomore than 10″ in latitude and/or lon-gitude.

(d) No application that has appearedon public notice will be granted untilthe expiration of a period of thirtydays following the issuance of the pub-lic notice listing the application, orany major amendment thereto. Anycomments or petitions must be deliv-ered to the Commission by that date inaccordance with § 25.154.

[56 FR 24016, May 28, 1991, as amended at 58FR 68061, Dec. 23, 1993]

§ 25.152 Dismissal and return of appli-cations.

(a) Any application may be dismissedwithout prejudice as a matter of right

if the applicant requests its dismissalprior to final Commission action.

(b) The Commission will dismiss anapplication for failure to prosecute orfor failure to respond substantiallywithin a specified time period to offi-cial correspondence or requests for ad-ditional information. Dismissal will bewithout prejudice unless the applica-tion is mutually exclusive pursuant to§ 25.155, in which case it will be dis-missed with prejudice.

§ 25.153 Repetitious applications.(a) Where an application has been de-

nied or dismissed with prejudice, theCommission will not consider a like ap-plication involving service of the samekind to the same area by the same ap-plicant, or by its successor or assignee,or on behalf of or for the benefit of anyof the original parties in interest, untilafter the lapse of 12 months from theeffective date of the Commission’s ac-tion. The Commission may, for goodcause shown, waive the requirements ofthis section.

(b) Where an appeal has been takenfrom the action of the Commission de-nying a particular application, anotherapplication for the same class of sta-tion and for the same area, in whole orin part, filed by the same applicant orby his successor or assignee, or on be-half or for the benefit of the originalparties in interest, will not be consid-ered until the final disposition of theappeal.

§ 25.154 Opposition to applications andother pleadings.

(a) Petitions to deny, petitions forother forms of relief, and other objec-tions or comments must:

(1) Identify the application or appli-cations (including applicant’s name,station location, Commission file num-bers, and radio service involved) withwhich it is concerned;

(2) Be filed within thirty (30) daysafter the date of public notice announc-ing the acceptance for filing of the ap-plication or major amendment thereto(unless the Commission otherwise ex-tends the filing deadline);

(3) Filed in accordance with thepleading limitations, periods and otherapplicable provisions of §§ 1.41 through1.52 of this chapter;


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47 CFR Ch. I (10–1–01 Edition)§ 25.155

(4) Contain specific allegations offact (except for those of which officialnotice may be taken) to support thespecific relief requested, which shall besupported by affidavit of a person orpersons with personal knowledge there-of, and which shall be sufficient todemonstrate that the petitioner (or re-spondent) is a party of interest andthat a grant of, or other Commissionaction regarding, the application wouldbe prima facie inconsistent with thepublic interest; and

(5) Contain a certificate of serviceshowing that it has been mailed to theapplicant no later than the date thepleading is filed with the Commission.

(b) The Commission will classify asinformal objections:

(1) Any pleading not filed in accord-ance with paragraph (a) of this section;

(2) Any pleading to which the thirty(30) day public notice period of § 25.151does not apply; or

(3) Any objections to the grant of anapplication when the objections do notconform to either paragraph (a) of thissection or to other Commission rulesand requirements.

(c) Oppositions to petitions to denyan application or responses to com-ments and informal objections regard-ing an application may be filed within10 days after the petition, comment, orobjection is filed and must be in ac-cordance with other applicable provi-sions of §§ 1.41 through 1.52 of this chap-ter.

(d) Reply comments by the partythat filed the original petition may befiled with respect to pleadings filedpursuant to paragraph (c) of this sec-tion within 5 days after the time forfiling oppositions has expired unlessthe Commission otherwise extends thefiling deadline and must be in accord-ance with other applicable provisionsof §§ 1.41 through 1.52 of this chapter.


(a) The Commission will consider ap-plications to be mutually exclusive iftheir conflicts are such that the grantof one application would effectivelypreclude by reason of harmful elec-trical interference, or other practicalreason, the grant of one or more otherapplications.

(b) A space station application willbe entitled to comparative consider-ation with one or more conflicting ap-plications only if:

(1) The application is mutually exclu-sive with another application; and

(2) The application is received by theCommission in a condition acceptablefor filing by the ‘‘cut-off’’ date speci-fied in a public notice.

[56 FR 24076, May 28, 1991, as amended at 62FR 5931, Feb. 10, 1997]

§ 25.156 Consideration of applications.(a) Applications for a radio station

authorization, or for modification orrenewal of an authorization, will begranted if, upon examination of the ap-plication, any pleadings or objectionsfiled, and upon consideration of suchother matters as it may officially no-tice, the Commission finds that the ap-plicant is legally, technically, and oth-erwise qualified, that the proposed fa-cilities and operations comply with allapplicable rules, regulations, and poli-cies, and that grant of the applicationwill serve the public interest, conven-ience and necessity.

(b) Whenever the Commission grantsany application in part, or subject toany terms or conditions other thanthose routinely applied to applicationsof the same type, the grant shall beconsidered final unless the Commissionshould revise its action (either bygranting the application as originallyrequested, or by designating the appli-cation for hearing) in response to a pe-tition for reconsideration which:

(1) Is filed by the applicant withinthirty (30) days from the release date ofthe conditioned grant; and

(2) Rejects the grant as made and ex-plains the reasons why the applicationshould be granted as originally re-quested.

(c) Reconsideration or review of anyfinal action taken by the Commissionwill be in accordance with subpart A ofpart 1 of this chapter.

FORFEITURE, TERMINATION, AND REIN-STATEMENT OF STATION AUTHORIZA-TION

§ 25.160 Administrative sanctions.(a) A forfeiture may be imposed for

failure to operate in conformance with


321


the Communications Act, license speci-fications, any conditions imposed on anauthorization, or any of the Commis-sion’s rules and regulations; or for fail-ure to comply with Commission re-quests for information needed to com-plete international coordination or forfailure to cooperate in Commission in-vestigations with respect to inter-national coordination.

(b) A forfeiture will be imposed andthe station license may be terminatedfor the malicious transmissions of anysignal that causes harmful interferencewith any other radio communicationsor signals.

(c) A station license may be revokedfor any repeated and willful violationof the kind set forth in paragraphs (a)and (b) of this section.

(d) The sanctions specified in para-graphs (a), (b), and (c) of this sectionwill be imposed only after the licenseehas been provided an opportunity to beheard pursuant to titles III and V ofthe Communications Act of 1934, asamended.

(e) For purposes of this section, theterm ‘‘repeated’’ and ‘‘willful’’ are de-fined as set out in section 312(f) of theCommunications Act, 47 U.S.C. 312(f).

§ 25.161 Automatic termination of sta-tion authorization.

A station authorization shall beautomatically terminated in whole orin part without further notice to the li-censee upon:

(a) The expiration of the requireddate of completion of construction orother required action specified in theauthorization, or after any additionaltime authorized by the Commission, ifa certification of completion of the re-quired action has not been filed withthe Commission unless a request for anextension of time has been filed withthe Commission but has not been actedon;

(b) The expiration of the license pe-riod, unless an application for renewalof the license has been filed with theCommission pursuant to § 25.120(e); or

(c) The removal or modification ofthe facilities which renders the stationnot operational for more than 90 days,unless specific authority is requested.

§ 25.162 Cause for termination of inter-ference protection.

The protection from interference af-forded by the registration of a receiv-ing earth station shall be automati-cally terminated if:

(a) The request for registration is notsubmitted to the Commission within 3months of the completion of the fre-quency coordination process, except asprovided for in § 25.203;

(b) The receiving earth station is notconstructed and placed into servicewithin 6 months after completion of co-ordination;

(c) The Commission finds that thestation has been used less than 50% ofthe time during any 12 month period;

(d) The Commission finds that thestation has been used for an unlawfulpurpose or otherwise in violation of theCommission’s rules, regulations orpolicies;

(e) The Commission finds that the ac-tual use of the facility is inconsistentwith what was set forth in the reg-istrant’s application; or

(f) The Commission finds that thefrequency coordination exhibit, uponwhich the granted registration isbased, is incomplete or does not con-form with established coordinationprocedures.

§ 25.163 Reinstatement.(a) A station authorization termi-

nated in whole or in part under theprovisions of § 25.161 may be reinstatedif the Commission, in its discretion, de-termines that reinstatement wouldbest serve the public interest, conven-ience and necessity. Petitions for rein-statement will be considered only if:

(1) The petition is filed within 30 daysafter the expiration date set forth in§ 25.161(a) or § 25.161(b), whichever is ap-plicable;

(2) The petition explains the failureto file a timely notification or renewalapplication; and

(3) The petition sets forth with speci-ficity the procedures which have beenestablished to insure timely filings inthe future.

(b) A special temporary authoriza-tion shall automatically terminateupon the expiration date specifiedtherein, or upon failure of the granteeto comply with any special terms or


322

47 CFR Ch. I (10–1–01 Edition)§ 25.200

conditions set forth in the authoriza-tion. Temporary operation may be ex-tended beyond the termination dateonly upon application to the Commis-sion.


SOURCE: 30 FR 7176, May 28, 1965, as amend-ed at 36 FR 2562, Feb. 6, 1971, unless other-wise noted.

§ 25.200 Interim equipment authoriza-tion.

(a) For purposes of this section, a‘‘GMPCS system’’ is defined as ‘‘anysatellite system, (i.e., fixed or mobile,broadband or narrow-band, global orregional, geostationary or non-geo-stationary, existing or planned) pro-viding telecommunication services di-rectly to end users from a constellationof satellites.’’

(b) Subsequent to receiving a blanketauthorization under this part, termi-nals used in conjunction with GMPCSsystems, as defined under § 25.200 (a) ofthis part, may also obtain an equip-ment authorization from the Commis-sion in accordance with the certifi-cation procedure for use under thispart. The certification procedure isfound in part 2, subpart J of this chap-ter.

(c) In order to be granted certifi-cation, a transmitter shall complywith the technical specifications inthis part. In addition, mobile earth sat-ellite terminals for use in the band of1610–1626.5 MHz shall meet a specificout-of-band emissions limit. Emissionsin the band 1559–1605 MHz shall be lim-ited to ¥70 dBW/MHz averaged overany 20 millisecond period for widebandsignals, and a standard of ¥80 dBWacross within the measurement band-width of 700 Hz or less for narrowbandsignals.

(d) Licensees and manufacturers aresubject to the radiofrequency radiationexposure requirements specified in§§ 1.1307(b), 2.1091 and 2.1093 of thischapter, as appropriate. Applicationsfor equipment authorization of mobileor portable devices operating underthis section shall contain a statementconfirming compliance with these re-quirements for both fundamental emis-sions and unwanted emissions. Tech-

nical information showing the basis forthis statement shall be submitted tothe Commission upon request.

(e) Equipment authorizations issuedpursuant to this section will be condi-tioned on the equipment meeting allrelevant technical requirements thatare adopted by the Commission in im-plementing the GMPCS Arrangements.

[64 FR 4997, Feb. 2, 1999]


Active satellite. An earth satellite car-rying a station intended to transmit orre-transmit radiocommunication sig-nals.

Base Earth Station. An earth stationin the fixed-satellite service or, insome cases, in the land mobile-satelliteservice, located at a specified fixedpoint or within a specified area on landto provide a feeder link for the landmobile-satellite service. (RR)

Coordination distance. For the pur-poses of this part, the expression ‘‘co-ordination distance’’ means the dis-tance from an earth station, withinwhich there is a possibility of the useof a given transmitting frequency atthis earth station causing harmful in-terference to stations in the fixed ormobile service, sharing the same band,or of the use of a given frequency forreception at this earth station receiv-ing harmful interference from such sta-tions in the fixed or mobile service.

Earth station. A station located eitheron the Earth’s surface or within themajor portion of the Earth’s atmos-phere intended for communication:

(a) With one or more space stations;or

(b) With one or more stations of thesame kind by means of one or more re-flecting satellites or other objects inspace.

Equivalent power flux-density. Theequivalent power flux-density (EPFD)is the sum of the power flux-densitiesproduced at a geostationary satelliteorbit (GSO) receive earth or space sta-tion on the Earth’s surface or in thegeostationary satellite orbit, as appro-priate, by all the transmit stationswithin a non-geostationary satelliteorbit fixed-satellite service (NGSOFSS) system, taking into account theoff-axis discrimination of a reference


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receiving antenna assumed to be point-ing in its nominal direction. The equiv-alent power flux-density, in dB(W/m2)

in the reference bandwidth, is cal-culated using the following formula:

EPFDG

d

G

Gi

NP

t i

i

r i

r

ai

= ⋅ ⋅( )

⋅( )

=

∑10 10410

1

10

2log. ,max

θπ

φ

Where:Na is the number of transmit stations in the

non-geostationary satellite orbit systemthat are visible from the GSO receive sta-tion considered on the Earth’s surface or inthe geostationary satellite orbit, as appro-priate;

i is the index of the transmit station consid-ered in the non-geostationary satelliteorbit system;

Pi is the RF power at the input of the an-tenna of the transmit station, consideredin the non-geostationary satellite orbitsystem in dBW in the reference bandwidth;

2i is the off-axis angle between the boresightof the transmit station considered in thenon-geostationary satellite orbit systemand the direction of the GSO receive sta-tion;

Gt(2i) is the transmit antenna gain (as aratio) of the station considered in the non-geostationary satellite orbit system in thedirection of the GSO receive station;

di is the distance in meters between thetransmit station considered in the non-geostationary satellite orbit system andthe GSO receive station;

Ni is the off-axis angle between the boresightof the antenna of the GSO receive stationand the direction of the ith transmit sta-tion considered in the non-geostationarysatellite orbit system;

Gr(Ni) is the receive antenna gain (as a ratio)of the GSO receive station in the directionof the ith transmit station considered inthe non-geostationary satellite orbit sys-tem;

Gr,max is the maximum gain (as a ratio) of theantenna of the GSO receive station;Fixed earth station. An earth station

intended to be used at a specified fixedpoint.

Fixed-Satellite Service. Aradiocommunication service betweenearth stations at given positions, whenone or more satellites are used; thegiven position may be a specified fixedpoint or any fixed point within speci-fied areas; in some cases this serviceincludes satellite-to-satellite links,which may also be operated in the

inter-satellite service; the fixed-sat-ellite service may also include feederlinks of other spaceradiocommunication services. (RR)

Geostationary satellite. A geosynchro-nous satellite whose circular and directorbit lies in the plane of the Earth’sequator and which thus remains fixedrelative to the Earth; by extension, asatellite which remains approximatelyfixed relative to the Earth.

2 GHz Mobile-Satellite Service. A mo-bile-satellite service that operates inthe 1990–2025 MHz and 2165–2200 MHzfrequency bands, or in any portionthereof.

Inter-Satellite Service. Aradiocommunication service providinglinks between artificial earth sat-ellites.

Land Earth Station. An earth stationin the fixed-satellite service or, insome cases, in the mobile-satelliteservice, located at a specified fixedpoint or within a specified area on landto provide a feeder link for the mobile-satellite service. (RR)

Land Mobile Earth Station. A mobileearth station in the land mobile-sat-ellite service capable of surface move-ment within the geographical limits ofa country or continent. (RR)

Mobile earth station. An earth stationintended to be used while in motion orduring halts at unspecified points.

Mobile-Satellite Service. Aradiocommunication service:

(1) Between mobile earth stationsand one or more space stations, or be-tween space stations used by this serv-ice; or

(2) Between mobile earth stations, bymeans of one or more space stations.

This service may also include feederlinks necessary for its operation. (RR)


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47 CFR Ch. I (10–1–01 Edition)§ 25.201

NGSO FSS gateway earth station. Agateway earth station is an earth sta-tion complex consisting of multipleinterconnecting earth station antennassupporting the communication routingand switching functions of a non-geo-stationary satellite orbit fixed-sat-ellite service (NGSO FSS) system as awhole. A gateway earth station in theNGSO FSS:

(1) Does not originate or terminateradiocommunication traffic, but inter-connects multiple non-collocated userearth stations operating in frequencybands other than designated gatewaybands, through a satellite with otherprimary terrestrial networks, such asthe public switched telephone network(PSTN) and/or Internet networks.

(2) Is prohibited from connecting di-rectly with a private communicationnetwork.

(3) May also be used for telemetry,tracking, and command transmissionsfor the same NGSO FSS system.

(4) May include multiple antennas,each required to meet the antenna per-formance standard in § 25.209(h), lo-cated within an area of one second lati-tude by one second longitude.

(5) Is considered as a separate gate-way earth station complex if it is outside of the area of one second latitudeby one second longitude of paragraph(4) of this definition, for the purposesof coordination with terrestrial serv-ices.

Non-Voice, Non-Geostationary Mobile-Satellite Service. A mobile-satellite serv-ice reserved for use by non-geo-stationary satellites in the provision ofnon-voice communications which mayinclude satellite links between landearth stations at fixed locations.

1.6/2.4 GHz Mobile-Satellite Service. Amobile-satellite service that operatesin the 1610–1626.5 MHz and 2483.5–2500MHz frequency bands, or in any portionthereof.

Passive satellite. An earth satellite in-tended to transmit radio communica-tion signals by reflection.

Protection areas. The geographic re-gions on the surface of the Earth whereUnited States Department of Defense(‘‘DoD’’) meteorological satellite sys-tems or National Oceanic and Atmos-pheric Administration (‘‘NOAA’’) mete-orological satellite systems, or both

such systems, are receiving signalsfrom low earth orbiting satellites.

Radiodetermination-Satellite Service. Aradiocommunication service for thepurpose of radiodetermination involv-ing the use of one of more space sta-tions. This service may also includefeeder links necessary for its own oper-ation. (RR)

Satellite Digital Audio Radio Service(‘‘DARS’’). A radiocommunicationservice in which audio programming isdigitally transmitted by one or morespace stations directly to fixed, mobile,and/or portable stations, and whichmay involve complementary repeatingterrestrial transmitters, telemetry,tracking and control facilities.

Satellite system. A space system usingone or more artificial earth satellites.

Spacecraft. A man-made vehiclewhich is intended to go beyond themajor portion of the Earth’s atmos-phere.

Space operation service. Aradiocommunication service concernedexclusively with the operation ofspacecraft, in particular space track-ing, space telemetry and space tele-command. These functions will nor-mally be provided within the service inwhich the space station is operating.

Space radiocommunication. Anyradiocommunication involving the useof one or more space stations or theuse of one or more reflecting satellitesor other objects in space.

Space station. A station located on anobject which is beyond, is intended togo beyond, or has been beyond, themajor portion of the Earth’s atmos-phere.

Space system. Any group of cooper-ating earth stations and/or space sta-tions employing spaceradiocommunication for specific pur-poses.

Space telecommand. The use ofradiocommunication for the trans-mission of signals to a space station toinitiate, modify or terminate functionof the equipment on a space object, in-cluding the space station.

Space telemetering. The use of tele-metering for the transmission from aspace station of results of measure-ments made in a spacecraft, includingthose relating to the functioning of thespacecraft.


325


Space tracking. Determination of theorbit, velocity or instantaneous posi-tion of an object in space by means ofradiodetermination, excluding primaryradar, for the purpose of following themovement of the object.

Terrestrial radiocommunication. Anyradiocommunication other than spaceradiocommunication or radio astron-omy.

Terrestrial station. A station effectingterrestrial radiocommunication.

[30 FR 7176, May 28, 1965, as amended at 36FR 2562, Feb. 6, 1971; 48 FR 40254, Sept. 6,1983; 51 FR 18445, May 20, 1986; 54 FR 49993,Dec. 4, 1989; 56 FR 42706, Aug. 29, 1991; 58 FR68059, Dec. 23, 1993; 59 FR 53329, Oct. 21, 1994;62 FR 11105, Mar. 11, 1997; 62 FR 59296, Nov. 3,1997; 65 FR 59143, Oct. 4, 2000; 66 FR 10621,Feb. 16, 2001]

§ 25.202 Frequencies, frequency toler-ance and emission limitations.

(a)(1) Frequency band. The followingfrequencies are available for use by thefixed-satellite service. Precise fre-quencies and bandwidths of emissionshall be assigned on a case-by-casebasis. The Table follows:

Space-to-Earth (GHz) Earth-to-Space (GHz)

3.7–4.2 1 5.925–6.425 1

10.7–10.95 1 12 12.75–13.15 1 12

10.95–11.2 1 2 12 13.2125–13.25 1 12

11.2–11.45 1 12 13.75–14 4 12

11.45–11.7 1 2 12 14–14.2 5

11.7–12.2 3 14.2–14.512.2–12.7 13 13 17.3–17.8 9

18.3–18.58 1 10 27.5–29.5 1

18.58–18.8 6 10 11 29.5–3018.8–19.3 7 10 48.2–50.219.3–19.7 8 10

19.7–20.2 10

37.6–38.640–41

1 This band is shared coequally with terrestrialradiocommunication services.

2 Use of this band by geostationary satellite orbit satellitesystems in the fixed-satellite service is limited to internationalsystems; i.e., other than domestic systems.

3 Fixed-satellite transponders may be used additionally fortransmissions in the broadcasting-satellite service.

4 This band is shared on an equal basis with the Govern-ment radiolocation service and grandfathered space stationsin the Tracking and Data Relay Satellite System.

5 In this band, stations in the radionavigation service shalloperate on a secondary basis to the fixed-satellite service.

6 The band 18.58–18.8 GHz is shared co-equally with exist-ing terrestrial radiocommunication systems until June 8, 2010.

7 The band 18.8–19.3 GHz is shared co-equally with terres-trial radiocommunication services, until June 8, 2010. Afterthis date, the sub-band 19.26–19.3 GHz is shared co-equallywith existing terrestrial radiocommunication systems.

8 The use of the band 19.3–19.7 GHz by the fixed-satelliteservice (space-to-Earth) is limited to feeder links for the mo-bile-satellite service.

9 The use of the band 17.3–17.8 GHz by the fixed-satelliteservice (Earth-to-space) is limited to feeder links for broad-casting-satellite service, and the sub-band 17.7–17.8 GHz isshared co-equally with terrestrial fixed services.

10 This band is shared co-equally with the Federal Govern-ment fixed-satellite service.

11 The band 18.6–18.8 GHz is shared co-equally with thenon-Federal Government and Federal Government Earth ex-ploration-satellite (passive) and space research (passive)services.

12 Use of this band by non-geostationary satellite orbit sys-tems in the fixed-satellite service is limited to gateway earthstation operations.

13 Use of this band by the fixed-satellite service is limited tonon-geostationary satellite orbit systems.

(2) The following frequencies areavailable for use by the Radio-determination Satellite Service:

1610–1626.5 MHz: User-to-Satellite Link2483.5–2500 MHz: Satellite-to-User Link

Fixed-Satellite service frequencies maybe used for links between radio-determination satellites and controlcenters, including the following des-ignated bands, subject to the Rules inthis subpart:

5150–5216 MHz: Satellite-to-Control CenterLink

6525–6541.5 MHz: Control Center-to-SatelliteLink

(3) The following frequencies areavailable for use by the non-voice, non-geostationary mobile-satellite service:

137–138 MHz: space-to-Earth148–149.9 MHz: Earth-to-space149.9–150.05 MHz: Earth-to-space399.9–400.05 MHz: Earth-to-space400.15–401 MHz: space-to-EarthUntil January 1, 1997, the allocations in the149.9–150.05 MHz and 399.9–400.05 MHz bandsmay be used on a secondary basis only. Sincethe 399.9–400.05 MHz band is not allocatedinternationally to the mobile-satellite serv-ice, all operations outside the United Stateswill be on a non-interference basis only.

(4)(i) The following frequencies areavailable for use by the 1.6/2.4 GHz Mo-bile-Satellite Service:

1610–1626.5 MHz: User-to-Satellite Link1613.8–1626.5 MHz: Satellite-to-User Link

(secondary)2483.5–2500 MHz: Satellite-to-User Link

(ii) The following frequencies areavailable for use by the 2 GHz Mobile-Satellite Service:

1990–2025 MHz: User-to-Satellite Link2165–2200 MHz: Satellite-to-User Link

(5) The following frequencies areavailable for use by the inter-satelliteservice:

22.55–23.00 GHz23.00–23.55 GHz24.45–24.65 GHz24.65–24.75 GHz


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47 CFR Ch. I (10–1–01 Edition)§ 25.203

(6) The following spectrum is avail-able for exclusive use by the satellitedigital audio radio service:

2320–2345 MHz: space-to-Earth (primary).

(b) Other frequencies and associatedbandwidths of emission may be as-signed on a case-by-case basis to spacesystems under this part in conform-ance with § 2.106 of this chapter and theCommission’s rules and policies.

(c) Orbital locations assigned tospace stations licensed under this partby the commission are subject tochange by summary order of the Com-mission on 30 days notice. An author-ization to construct and/or to launch aspace station becomes null and void ifthe construction is not begun or is notcompleted, or if the space station isnot launched and positioned at its as-signed orbital location and operationscommenced in accordance with the sta-tion authorization, by the respectivedate(s) specified in the authorization.Frequencies and orbital location as-signments are subject to the policiesset forth in the Report and Order, FCC83–184, adopted April 27, 1983 in CCDocket No. 81–704 and the Report andOrder, adopted July 25, 1985 in CCDocket No. 84–1299 as modified by theReport and Order, adopted January 19,1996 in IB Docket No. 95–41.

(d) Frequency tolerance, Earth stations.The carrier frequency of each earthstation transmitter authorized in theseservices shall be maintained within0.001 percent of the reference fre-quency.

(e) Frequency tolerance, space stations.The carrier frequency of each spacestation transmitter authorized in theseservices shall be maintained within0.002 percent of the reference fre-quency.

(f) Emission limitations. The meanpower of emissions shall be attenuatedbelow the mean output power of thetransmitter in accordance with the fol-lowing schedule:

(1) In any 4 kHz band, the center fre-quency of which is removed from theassigned frequency by more than 50percent up to and including 100 percentof the authorized bandwidth: 25 dB;

(2) In any 4 kHz band, the center fre-quency of which is removed from theassigned frequency by more than 100

percent up to and including 250 percentof the authorized bandwidth: 35 dB;

(3) In any 4 kHz band, the center fre-quency of which is removed from theassigned frequency by more than 250percent of the authorized bandwidth:An amount equal to 43 dB plus 10 timesthe logarithm (to the base 10) of thetransmitter power in watts;

(4) In any event, when an emissionoutside of the authorized bandwidthcauses harmful interference, the Com-mission may, at its discretion, requiregreater attenuation than specified inparagraphs (f) (1), (2) and (3) of this sec-tion.

(g) Telemetry, tracking and tele-command functions for U.S. domesticsatellites shall be conducted at eitheror both edges of the allocated band(s).Frequencies, polarization and codingshall be selected to minimize inter-ference into other satellite networksand within their own satellite system.

[30 FR 7176, May 28, 1965, as amended at 36FR 2562, Feb. 6, 1971; 38 FR 8573, Apr. 4, 1973;39 FR 33527, Sept. 18, 1974; 48 FR 40254, Sept.6, 1983; 50 FR 36079, Sept. 5, 1985; 51 FR 18445,May 20, 1986; 51 FR 20975, June 10, 1986; 54 FR49993, Dec. 4, 1989; 56 FR 24024, May 28, 1991;58 FR 13419, Mar. 11, 1993; 58 FR 68061, Dec. 23,1993; 59 FR 53329, Oct. 21, 1994; 61 FR 9952,Mar. 12, 1996; 61 FR 52307, Oct. 7, 1996; 62 FR11105, Mar. 11, 1997; 64 FR 2591, Jan. 15, 1999;64 FR 6565, Feb. 10. 1999; 65 FR 54171, Sept. 7,2000; 65 FR 59144, Oct. 4, 2000; 66 FR 10622,Feb. 16, 2001]

§ 25.203 Choice of sites and fre-quencies.

(a) Sites and frequencies for earthstations, operating in frequency bandsshared with equal rights between ter-restrial and space services, shall be se-lected, to the extent practicable, inareas where the surrounding terrainand existing frequency usage are suchas to minimize the possibility of harm-ful interference between the sharingservices.

(b) An applicant for an earth stationauthorization in a frequency bandshared with equal rights with terres-trial microwave services shall computethe great circle coordination distancecontour(s) for the proposed station inaccordance with the procedures setforth in § 25.251. The applicant shallsubmit with the application a map ormaps drawn to appropriate scale and in


327


a form suitable for reproduction indi-cating the location of the proposed sta-tion and these contours. These maps,together with the pertinent data onwhich the computation of these con-tours is based, including all relevanttransmitting and/or receiving param-eters of the proposed station that isnecessary in assessing the likelihood ofinterference, an appropriately scaledplot of the elevation of the local hori-zon as a function of azimuth, and theelectrical characteristics of the earthstation antenna(s), shall be submittedby the applicant in a single exhibit tothe application. The coordination dis-tance contour plot(s), horizon elevationplot, and antenna horizon gain plot(s)required by this section may also besubmitted in tabular numerical formatat 5° azimuthal increments instead ofgraphical format. At a minimum, thisexhibit shall include the informationlisted in paragraph (c)(2) of this sec-tion. An earth station applicant shallalso include in the application relevanttechnical details (both theoretical cal-culations and/or actual measurements)of any special techniques, such as theuse of artificial site shielding, or oper-ating procedures or restrictions at theproposed earth station which are to beemployed to reduce the likelihood ofinterference, or of any particular char-acteristics of the earth station sitewhich could have an effect on the cal-culation of the coordination distance.

(c) Prior to the filing of its applica-tion, an earth station applicant shallcoordinate the proposed frequencyusage with existing terrestrial usersand with applicants for terrestrial sta-tion authorizations with previouslyfiled applications in accordance withthe following procedure:

(1) An applicant for an earth stationauthorization shall perform an inter-ference analysis in accordance with theprocedures set forth in § 25.251 for eachterrestrial station, for which a licenseor construction permit has been grant-ed or for which an application has beenaccepted for filing, which is or is to beoperated in a shared frequency band tobe used by the proposed earth stationand which is located within the greatcircle coordination distance contour(s)of the proposed earth station.

(2) The earth station applicant shallprovide each such terrestrial station li-censee, permittee, and prior filed appli-cant with the technical details of theproposed earth station and the relevantinterference analyses that were made.At a minimum, the earth station appli-cant shall provide the terrestrial userwith the following technical informa-tion:

(i) The geographical coordinates ofthe proposed earth station antenna(s),

(ii) Proposed operating frequencyband(s) and emission(s),

(iii) Antenna center height aboveground and ground elevation abovemean sea level,

(iv) Antenna gain pattern(s) in theplane of the main beam,

(v) Longitude range of geostationarysatellite orbit (GSO) satellites atwhich antenna may be pointed, for pro-posed earth station antenna(s) access-ing GSO satellites,

(vi) Horizon elevation plot,(vii) Antenna horizon gain plot(s) de-

termined in accordance with § 25.251 forsatellite longitude range specified inparagraph (c)(2)(v) of this section, tak-ing into account the provisions of§ 25.251 for earth stations operatingwith non-geostationary satellites,

(viii) Minimum elevation angle,(ix) Maximum equivalent

isotropically radiated power (e.i.r.p.)density in the main beam in any 4 kHzband, (dBW/4 kHz) for frequency bandsbelow 15 GHz or in any 1 MHz band(dBW/MHz) for frequency band above 15GHz,

(x) Maximum available RF transmitpower density in any 1 MHz band and inany 4 kHz band at the input terminalsof the antenna(s),

(xi) Maximum permissible RF inter-ference power level as determined inaccordance with § 25.251 for all applica-ble percentages of time, and

(xii) A plot of great circle coordina-tion distance contour(s) and rain scat-ter coordination distance contour(s) asdetermined by § 25.251.

(3) The coordination procedures spec-ified in § 101.103 of this chapter and§ 25.251 shall be applicable except thatthe information to be provided shall bethat set forth in paragraph (c)(2) of this


328

47 CFR Ch. I (10–1–01 Edition)§ 25.203

section, and that the 30-day period al-lowed for response to a request for co-ordination may be increased to a max-imum of 45 days by mutual consent ofthe parties.

(4) Where technical problems are re-solved by an agreement or operatingarrangement between the parties thatwould require special procedures betaken to reduce the likelihood of harm-ful interference (such as the use of arti-ficial site shielding) or would result inlessened quality or capacity of eithersystem, the details thereof shall becontained in the application.

(5) The Commission may, in thecourse of examining any application,require the submission of additionalshowings, complete with pertinent dataand calculations in accordance with§ 25.251, showing that harmful inter-ference is not likely to result from theproposed operation.

(d) An applicant for an earth stationauthorization shall also ascertainwhether the great circle coordinationdistance contours and rain scatter co-ordination distance contours, com-puted for those values of parametersindicated in § 25.251 (Appendix S7 of theITU RR) for international coordina-tion, cross the boundaries of anotherAdministration. In this case, the appli-cant shall furnish the Commission cop-ies of these contours on maps drawn toappropriate scale for use by the Com-mission in effecting coordination of theproposed earth station with the Admin-istration(s) affected.

(e) Protection for Table MountainRadio Receiving Zone, Boulder County,Colorado.

(1) Applicants for a station author-ization to operate in the vicinity ofBoulder County, Colorado under thispart are advised to give due consider-ation, prior to filing applications, tothe need to protect the Table MountainRadio Receiving Zone from harmful in-terference. These are the research lab-oratories of the Department of Com-merce, Boulder County, Colorado. Toprevent degradation of the present am-bient radio signal level at the site, theDepartment of Commerce seeks to en-sure that the field strengths of any ra-diated signals (excluding reflected sig-nals) received on this 1800 acre site (inthe vicinity of coordinates 40°07′50″ N

Latitude, 105°14′40″ W Longitude) re-sulting from new assignments (otherthan mobile stations) or from themodification or relocation of existingfacilities do not exceed the followingvalues:

Frequency range

In authorized bandwidthof service

Fieldstrength(mV/m)

Power fluxdensity1

(dBW/m2)

Below 540 kHz .......................... 10 ¥65.8540 to 1600 kHz ........................ 20 ¥59.81.6 to 470 MHz .......................... 10 2¥65.8470 to 890 MHz ......................... 30 2¥56.2Above 890 MHz ......................... 1 2¥85.8




(i) All stations within 2.5 kilometers;(ii) Stations within 5 kilometers with

50 watts or more average effective radi-ated power (ERP) in the primary planeof polarization in the azimuthal direc-tion of the Table Mountain Radio Re-ceiving Zone;

(iii) Stations within 15 kilometerswith 1 kW or more average ERP in theprimary plane of polarization in the az-imuthal direction of Table MountainReceiving Zone;

(iv) Stations within 80 kilometerswith 25 kW or more average ERP in theprimary plane of polarization in the az-imuthal direction of Table MountainReceiving Zone.

(3) Applicants concerned are urged tocommunicate with the Radio Fre-quency Management Coordinator, De-partment of Commerce, Research Sup-port Services, NOAA R/E5X2, BoulderLaboratories, Boulder, CO 80303; tele-phone (303) 497–6548, in advance of filingtheir applications with the Commis-sion.


329


(4) The Commission will not screenapplications to determine whether ad-vance consultation has taken place.However, applicants are advised thatsuch consultation can avoid objectionsfrom the Department of Commerce orproceedings to modify any authoriza-tion which may be granted which, infact, delivers a signal at the site in ex-cess of the field strength specifiedherein.

(f) Notification to the National RadioAstronomy Observatory: In order tominimize possible harmful interferenceat the National Radio Astronomy Ob-servatory site located at Green Bank,Pocahontas County, W. Va., and at theNaval Radio Research Observatory siteat Sugar Grove, Pendleton County, W.Va. any applicant for a station author-ization other than mobile, temporarybase, temporary fixed, Personal Radio,Civil Air Patrol, or amateur seeking astation license for a new station, a con-struction permit to construct a newstation or to modify an existing sta-tion license in a manner which wouldchange either the frequency, power, an-tenna height or directivity, or locationof such a station within the areabounded by 39°15′ N. on the north, 78°30′W. on the east, 37°30′ N. on the southand 80°30′ W. on the west shall, at thetime of filing such application with theCommission, simultaneously notify theDirector, National Radio AstronomyObservatory, P.O. Box No. 2, GreenBank, W. Va. 24944, in writing, of thetechnical particulars of the proposedstation. Such notification shall includethe geographical coordinates of the an-tenna, antenna height, antenna direc-tivity if any, proposed frequency, typeof emission, and power. In addition, theapplicant shall indicate in his applica-tion to the Commission the date notifi-cation was made to the observatory.After receipt of such applications, theCommission will allow a period of 20days for comments or objections in re-sponse to the notifications indicated. Ifan objection to the proposed operationis received during the 20-day periodfrom the National Radio AstronomyObservatory for itself or on behalf ofthe Naval Radio Research Observatory,the Commission will consider all as-pects of the problem and take whateveraction is deemed appropriate.

(g) Protection for Federal Commu-nications Commission monitoring sta-tions:

(1) Applicants in the vicinity of anFCC monitoring station for a radio sta-tion authorization to operate newtransmitting facilities or changedtransmitting facilities which would in-crease the field strength produced overthe monitoring station over that pre-viously authorized are advised to giveconsideration, prior to filing applica-tions, to the possible need to protectthe FCC stations from harmful inter-ference. Geographical coordinates ofthe facilities which require protectionare listed in § 0.121(c) of the Commis-sion’s Rules. Applications for stations(except mobile stations) which willproduce on any frequency a direct wavefundamental field strength of greaterthan 10 mV/m in the authorized band-width of service (¥65.8 dBW/m2 powerflux density assuming a free spacecharacteristic impedance of 120 ohms)at the referenced coordinates, may beexamined to determine extent of pos-sible interference. Depending on thetheoretical field strength value and ex-isting root-sum-square or other ambi-ent radio field signal levels at the indi-cated coordinates, a clause protectingthe monitoring station may be addedto the station authorization.


(3) Advance consultation is suggestedparticularly for those applicants whohave no reliable data which indicateswhether the field strength or powerflux density figure indicated would beexceeded by their proposed radio facili-ties (except mobile stations). In suchinstances, the following is a suggestedguide for determining whether an ap-plicant should coordinate:

(i) All stations within 2.5 kilometers;


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47 CFR Ch. I (10–1–01 Edition)§ 25.203

(ii) Stations within 5 kilometers with50 watts or more average effective radi-ated power (ERP) in the primary planeof polarization in the azimuthal direc-tion of the Monitoring Station;

(iii) Stations within 15 kilometerswith 1 kW or more average ERP in theprimary plane of polarization in the az-imuthal direction of the MonitoringStation;

(iv) Stations within 80 kilometerswith 25 kW or more average ERP in theprimary plane of polarization in the az-imuthal direction of the MonitoringStation.

(4) Advance coordination for stationsoperating above 1000 MHz is rec-ommended only where the proposedstation is in the vicinity of a moni-toring station designated as a satellitemonitoring facility in § 0.121(c) of theCommission’s Rules and also meets thecriteria outlined in paragraphs (h)(2)and (3) of this section.

(5) The Commission will not screenapplications to determine whether ad-vance consultation has taken place.However, applicants are advised thatsuch consultation can avoid objectionsfrom the Federal CommunicationsCommission or modification of any au-thorization which will cause harmfulinterference.

(h) Sites and frequencies for GSO andNGSO earth stations, operating in afrequency band where both have a co-primary allocation, shall be selected toavoid earth station antenna mainlobe-to-satellite antenna mainlobe coupling,between NGSO systems and betweenNGSO and GSO systems, in order tominimize the possibility of harmful in-terference between these services.Prior to filing an earth station applica-tion, in bands with co-primary alloca-tions to NGSO and GSO earth stations,the applicant shall coordinate the pro-posed site and frequency usage with ex-isting earth station licensees and withcurrent earth station authorization ap-plicants.

(i) Any applicant for a new perma-nent transmitting fixed earth stationauthorization to be located on the is-lands of Puerto Rico, Desecheo, Mona,Vieques, and Culebra, or for a modi-fication of an existing authorizationwhich would change the frequency,power, antenna height, directivity, or

location of such station on these is-lands and would increase the likelihoodof the authorized facility causing inter-ference, shall notify the InterferenceOffice, Arecibo Observatory, Post Of-fice Box 995, Arecibo, Puerto Rico00613, in writing or electronically, ofthe technical parameters of the pro-posal. Applicants may wish to consultinterference guidelines, which will beprovided by Cornell University. Appli-cants who choose to transmit informa-tion electronically should e-mail to:[email protected]


(2) After receipt of such applications,the Commission will allow the AreciboObservatory a period of 20 days forcomments or objections in response tothe notification indicated. The appli-cant will be required to make reason-able efforts in order to resolve or miti-gate any potential interference prob-lem with the Arecibo Observatory andto file either an amendment to the ap-plication or a modification application,as appropriate. If the Commission de-termines that an applicant has satis-fied its responsibility to make reason-able efforts to protect the Observatoryfrom interference, its application maybe granted.


(j) Applicants for non-geostationary1.6/2.4 GHz Mobile-Satellite Service/Radiodetermination satellite servicefeeder links in the bands 17.7–20.2 GHz


331


and 27.5–30.0 GHz shall indicate the fre-quencies and spacecraft antenna gaincontours towards each feeder-linkearth station location and will coordi-nate with licensees of other fixed-sat-ellite service and terrestrial-servicesystems sharing the band to determinegeographic protection areas aroundeach non-geostationary mobile-sat-ellite service/radiodetermination sat-ellite service feeder-link earth station.

(k) An applicant for an earth stationthat will operate with a geostationarysatellite or non-geostationary satellitein a shared frequency band in whichthe non-geostationary system is (or isproposed to be) licensed for feederlinks, shall demonstrate in its applica-tions that its proposed earth stationwill not cause unacceptable inter-ference to any other satellite networkthat is authorized to operate in thesame frequency band, or certify thatthe operations of its earth station shallconform to established coordinationagreements between the operator(s) ofthe space station(s) with which theearth station is to communicate andthe operator(s) of any other space sta-tion licensed to use the band.

[30 FR 7176, May 28, 1965, as amended at 36FR 2562, Feb. 6, 1971; 38 FR 8573, Apr. 4, 1973;42 FR 8329, Feb. 9, 1977; 44 FR 77167, Dec. 31,1979; 50 FR 40862, Oct. 7, 1985; 58 FR 13419,Mar. 11, 1993; 58 FR 44904, Aug. 25, 1993; 59 FR53329, Oct. 21, 1994; 61 FR 8477, Mar. 5, 1996; 61FR 9945, Mar. 12, 1996; 61 FR 44181, Aug. 28,1996; 62 FR 55531, Oct. 27, 1997; 65 FR 38325,June 20, 2000; 65 FR 59144, Oct. 4, 2000; 66 FR10622, Feb. 16, 2001]

§ 25.204 Power limits.(a) In bands shared coequally with

terrestrial radio communication serv-ices, the equivalent isotropically radi-ated power transmitted in any direc-tion towards the horizon by an earthstation operating in frequency bandsbetween 1 and 15 GHz, shall not exceedthe following limits except as providedfor in paragraph (c) of this section:

+40 dBW in any 4 KHz band for θ:0°+40+3 θ dBW in any 4 KHz band for θ<0°™05°

where θ is the angle of elevation of thehorizon viewed from the center of radi-ation of the antenna of the earth sta-tion and measured in degrees as posi-tive above the horizontal plane andnegative below it.

(b) In bands shared coequally withterrestrial radio-communication serv-ices, the equivalent isotropically radi-ated power transmitted in any direc-tion towards the horizon by an earthstation operating in frequency bandsabove 15 GHz shall not exceed the fol-lowing limits except as provided for inparagraph (c) of this section:

+64 dBW in any 1 MHz band for θ<0°+64+3 θ dBW in any 1 MHz band for 0°<α<5°

where θ is as defined in paragraph (a) ofthis section.

(c) For angles of elevation of the ho-rizon greater than 5° there shall be norestriction as to the equivalentisotropically radiated power trans-mitted by an earth station towards thehorizon.

(d) Notwithstanding the e.i.r.p. ande.i.r.p. density limits specified in thestation authorization, each earth sta-tion transmission shall be conducted atthe lowest power level that will providethe required signal quality as indicatedin the application and further amendedby coordination agreements.

(e) For operations at frequenciesabove 10 GHz, earth station operatorsmay exceed the uplink e.i.r.p. ande.i.r.p. density limits specified in thestation authorization under the condi-tions of uplink fading due to precipita-tion by an amount not to exceed 1 dBabove the actual amount of monitoredexcess attenuation over clear sky prop-agation conditions. The e.i.r.p. levelsshall be returned to normal as soon asthe attenuating weather pattern sub-sides. The maximum power level forpower control purposes shall be coordi-nated between and among adjacent sat-ellite operators.

(f) In the band 13.75–14 GHz, an earthstation in the fixed-satellite serviceshall have a minimum antenna diame-ter of 4.5 m and the e.i.r.p. of any emis-sion should be at least 68 dBW andshould not exceed 85 dBW. The e.i.r.p.density of emissions from any earthstation in the FSS operating with aspace station in geostationary-satelliteorbit shall not exceed 71 dBW in any 6MHz band from 13.77 to 13.78 GHz. Thee.i.r.p. density of emissions from anyearth station in the FSS operating


332

47 CFR Ch. I (10–1–01 Edition)§ 25.205

with a space station in non-geo-stationary-satellite orbit shall not ex-ceed 51 dBW in any 6 MHz band from13.77 to 13.78 GHz. Automatic powercontrol may be used to increase thee.i.r.p. density in the 6 MHz band inthis frequency range to compensate forrain attenuation, to the extent thatthe power flux-density at the FSSspace station does not exceed the valueresulting from use by an earth stationof an e.i.r.p. of 71 dBW or 51 dBW, asappropriate, in the 6 MHz band inclear-sky conditions.

(g) All earth stations in the FixedSatellite Service in the 20/30 GHz bandshall employ uplink adaptive powercontrol or other methods of fade com-pensation such that the earth stationtransmissions shall be conducted at thepower level required to meet the de-sired link performance while reducingthe level of mutual interference be-tween networks.

[48 FR 40255, Sept. 6, 1983, as amended at 58FR 13420, Mar. 11, 1993; 61 FR 52307, Oct. 7,1996; 62 FR 61457, Nov. 18, 1997; 66 FR 10623,Feb. 16, 2001]

§ 25.205 Minimum angle of antennaelevation.

Earth station antennas shall not nor-mally be authorized for transmissionat angles less than 5° measured fromthe horizontal plane to the direction ofmaximum radiation. However, upon ashowing that the transmission pathwill be seaward and away from landmasses or upon special showing of needfor lower angles by the applicant, theCommission will consider authorizingtransmissions at angles between 3° and5° in the pertinent directions. In cer-tain instances, it may be necessary tospecify minimum angles greater than5° because of interference consider-ations.

[48 FR 40255, Sept. 6, 1983]

§ 25.206 Station identification.

The requirement for transmission ofstation identification is waived for allradio stations licensed under this partwith the exception of satellite uplinkscarrying broadband video informationwhich are required to incorporate ATIS

in accordance with the provisions setforth under § 25.308 of these rules.

[55 FR 21551, May 25, 1990]

§ 25.207 Cessation of emissions.

Space stations shall be made capableof ceasing radio emissions by the use ofappropriate devices (battery life, tim-ing devices, ground command, etc.)that will ensure definite cessation ofemissions.

§ 25.208 Power flux density limits.

(a) In the band 3700–4200 MHz, thepower flux density at the Earth’s sur-face produced by emissions from aspace station for all conditions and forall methods of modulation shall not ex-ceed the following values:

¥152 dB(W/m2) in any 4 kHz band for anglesof arrival between 0 and 5 degrees abovethe horizontal plane;

¥152+(δ¥5)/2 dB(W/m2) in any 4 kHz band forangles of arrival δ (in degrees) between 5and 25 degrees above the horizontal plane;and

¥142 dB(W/m2) in any 4 kHz band for anglesof arrival between 25 and 90 degrees abovethe horizontal plane

These limits relate to the power fluxdensity which would be obtained underassumed free-space propagation condi-tions.

(b) In the bands 10.95–11.2 and 11.45–11.7 GHz for GSO FSS space stationsand 10.7–11.7 GHz for NGSO FSS spacestations, the power flux-density at theEarth’s surface produced by emissionsfrom a space station for all conditionsand for all methods of modulation shallnot exceed the lower of the followingvalues:

(1) ¥150 dB(W/m2) in any 4 kHz bandfor angles of arrival between 0 and 5 de-grees above the horizontal plane; ¥150+ (δ¥5)/2 dB(W/m2) in any 4 kHz bandfor angles of arrival (δ) (in degrees) be-tween 5 and 25 degrees above the hori-zontal plane; and ¥140 dB(W/m2) in any4 kHz band for angles of arrival be-tween 25 and 90 degrees above the hori-zontal plane; or

(2) ¥126 dB(W/m2) in any 1 MHz bandfor angles of arrival between 0 and 5 de-grees above the horizontal plane; ¥126+ (δ¥5)/2 dB(W/m2) in any 1 MHz band


333


for angles of arrival (δ) (in degrees) be-tween 5 and 25 degrees above the hori-zontal plane; and ¥116 dB(W/m2) in any1 MHz band for angles of arrival be-tween 25 and 90 degrees above the hori-zontal plane.

NOTE TO PARAGRAPH (b): These limits relateto the power flux density, which would be ob-tained under assumed free-space propagationconditions.

(c) In the 19.3–19.7 GHz, 22.55–23.00GHz, 23.00–23.55 GHz, and 24.45–24.75GHz frequency bands, the power flux-density at the Earth’s surface producedby emissions from a space station forall conditions and for all methods ofmodulation shall not exceed the fol-lowing values:

(1) ¥115 dB (W/m2) in any 1 MHz bandfor angles of arrival between 0 and 5 de-grees above the horizontal plane.

(2) ¥115+0.5 (d¥5) dB (W/m2) in any 1MHz band for angles of arrival d (in de-grees) between 5 and 25 degrees abovethe horizontal plane.

(3) ¥105 dB (W/m2) in any 1 MHz bandfor angles of arrival between 25 and 90degrees above the horizontal plane.

(d) In the 18.3–18.8 GHz frequencybands, the power flux-density at theEarth’s surface produced by emissions

from a space station for all conditionsand for all methods of modulation shallnot exceed the following values:

(1) ¥118 dB (W/m2) in any 1 MHz bandfor angles of arrival between 0 and 5 de-grees above the horizontal plane.

(2) ¥118+0.65 (d¥5) dB (W/m2) in any1 MHz band for angles of arrival d (indegrees) between 5 and 25 degrees abovethe horizontal plane.

(3) ¥105 dB (W/m2) in any 1 MHz bandfor angles of arrival between 25 and 90degrees above the horizontal plane.

(e) In addition to the limits specifiedin paragraph (d) of this section, thepower flux-density across the 200 MHzband 18.6–18.8 GHz produced at theEarth’s surface by emissions from aspace station under assumed free-spacepropagation conditions shall not ex-ceed ¥95 dB(W/m2) for all angles of ar-rival. This limit may be exceeded by upto 3 dB for no more than 5% of thetime.

(f) In the 18.8–19.3 GHz frequencyband, the power flux-density at theEarth’s surface produced by emissionsfrom a space station for all conditionsand for all methods of modulation shallnot exceed the following values:

¥115 ¥ X dB(W/m2÷MHz) ........................................... for 0° ≤ δ < 5°¥115¥X+((10+X)/20)(δ¥5)dB(W/m2÷MHz) ................... for 5° ≤ δ < 25°¥105 dB(W/m2÷MHz) .................................................. for 25° ≤ δ < 90°Where:

δ: is the angle of arrival above the horizontalplane; and

X is defined as a function of the number ofsatellites in the non-GSO FSS constella-tion, n, as follows:

for n ≤ 50 ....... X = 0 (dB)for 50 < n ≤ 288 X = (5/119) (n ¥ 50) (dB)for n > 288 ..... X = (1/69) (n + 402) (dB)

(g) In the frequency bands 10.7–11.7GHz and 11.7–12.2 GHz, the single-entry

equivalent power-flux density in thespace-to-Earth direction (EPFDdown), atany point on the Earth’s surface, pro-duced by emissions from all co-fre-quency space stations of a single non-geostationary-satellite orbit (NGSO)system operating in the fixed-satelliteservice (FSS) shall not exceed the fol-lowing limits for the given percentagesof time. Tables 1G and 2G follow:


334

47 CFR Ch. I (10–1–01 Edition)§ 25.208

TABLE 1G.—SINGLE-ENTRY EPFDdown LIMITS FOR PROTECTION OF 0.6, 1.2, 3 AND 10 METER GSOFSS EARTH STATION ANTENNAS 1 2

Frequency band (GHz) for Inter-national

Allocations

Single-entryEPFDdowndB(W/m2)

Percentage oftime during

whichEPFDdown

level may notbe exceeded

Referencebandwidth

(kHz)

Reference antenna diameter andreference radiation pattern 3

10.7–11.7 in all Regions; 11.7–12.2in Region 2; 12.2–12.5 in Region3; and 12.5–12.75 in Regions 1and 3.

¥175.4¥174

¥170.8¥165.3¥160.4

¥160¥160

09099

99.7399.99199.997

100

4060 cm, Recommendation ITU–R

S.1428.


¥181.9¥178.4¥173.4

¥173¥164

¥161.6¥161.4¥160.8¥160.5

¥160¥160

099.5

99.7499.85799.95499.98499.99199.99799.997

99.9993100

401.2 m, Recommendation ITU–R

S.1428.


¥190.45¥189.45¥187.45

¥182.4¥182¥168¥164¥162¥160¥160

090

99.599.7

99.85599.97199.98899.99599.999

100

403 m, Recommendation ITU–R

S.1428.


¥195.45¥195.45

¥190¥190

¥172.5¥160¥160

099

99.6599.7199.99

99.998100


S.1428.

1 In addition to the limits shown in Table 1G, the limits shown in Table 2G shall apply to all antenna sizes greater than 60 cmin the frequency bands listed in Table 1G.

2 For each reference antenna diameter, the limit consists of the complete curve on a plot which is linear in decibels for theEPFD levels and logarithmic for the time percentages, with straight lines joining the data points.

3 The earth station antenna reference radiation patterns are to be used only for the calculation of interference from NGSO FSSsystems into GSO FSS systems.

TABLE 2G.—SINGLE-ENTRY EPFDdown LIMITS RADIATED BY NON-GSO FSS SYSTEMS AT CERTAINLATITUDES

100% of the time EPFDdown dB(W/(m2/40 kHz)) Latitude (North or South in degrees)

–160 ............................................................................................. 0 < | Latitude | ≤ 57.5.–160 + 3.4 (57.5 ¥ | Latitude | )/4 .............................................. 57.5 < | Latitude | ≤ 63.75–165.3 .......................................................................................... 63.75 ≤ | Latitude |

NOTE TO PARAGRAPH (g): These limits relateto the equivalent power flux density, whichwould be obtained under free-space propaga-tion conditions, for all conditions and for allmethods of modulation.

(h) In the frequency bands 10.7–11.7GHz and 11.7–12.2 GHz, the aggregate

equivalent power-flux density in thespace-to-Earth direction (EPFDdown), atany point on the Earth’s surface, pro-duced by emissions from all co-fre-quency space stations of all non-geo-stationary-satellite orbit systems oper-ating in the fixed-satellite service


335


(FSS) shall not exceed the followinglimits for the given percentages oftime. Tables 1H and 2H follow:

TABLE 1H.—AGGREGATE EPFDdown LIMITS FOR PROTECTION OF 0.6, 1.2, 3 AND 10 METER GSOFSS EARTH STATION ANTENNAS 1

Frequency band (GHz) for Inter-national Allocations

AggregateEPFDdowndB(W/m2)


whichEPFDdown may

not beexceeded

Referencebandwidth

(kHz)



¥170¥168.6¥165.3¥160.4

¥160¥160

09099

99.9799.99

100

4060 cm, Recommendation ITU–R

S.1428.


¥176.5¥173¥164

¥161.6¥164.4¥160.8¥160.5

¥160¥160

099.5

99.8499.945

99.9799.9999.99

99.9975100

401.2 m, Recommendation ITU–R

S.1428.


¥185¥184¥182¥168¥164¥162¥160¥160

090

99.599.9

99.9699.98299.997

100


S.1428.


¥190¥190¥166¥160¥160

099

99.9999.998

100


S.1428.

1 In addition to the limits shown in Table 1H, the aggregate EPFDdown limits shown in Table 2H shall apply to all antenna sizesgreater than 60 cm in the frequency bands listed in Table 1H.

2 The earth station antenna reference patterns are to be used only for the calculation of interference from NGSO FSS systemsinto GSO FSS systems.

TABLE 2H.—SINGLE-ENTRY EPFDdown LIMITS RADIATED BY NON-GSO FSS SYSTEMS AT CERTAINLATITUDES


–160 ............................................................................................. 0 < | Latitude | ≤ 57.5–160 + 3.4 (57.5 ¥ | Latitude |)/4 ............................................... 57.5 < | Latitude | ≤ 63.75–165.3 .......................................................................................... 63.75 ≤ | Latitude |

NOTE TO PARAGRAPH (h): These limits re-late to the equivalent power flux density,which would be obtained under free-spacepropagation conditions, for all conditionsand for all methods of modulation.

(i) In the frequency bands 10.7–11.7GHz and 11.7–12.2 GHz, the additionaloperational equivalent power-flux den-sity, in the space-to-Earth direction,(additional operational EPFDdown) atany point on the Earth’s surface, pro-

duced by actual operational emissionsfrom all co-frequency space stations ofa non-geostationary-satellite orbit(NGSO) system operating in the fixed-satellite service (FSS) shall not exceedthe following operational limits for thegiven percentages of time:


336

47 CFR Ch. I (10–1–01 Edition)§ 25.208

ADDITIONAL OPERATIONAL LIMITS ON THE EPFDdown RADIATED BY NON-GSO FSS SYSTEMS INTO 3M AND 10 M GSO FSS EARTH STATION ANTENNAS

EPFDdown dB(W/(m2/40 kHz))Percentage of time during

which EPFDdown may not beexceeded

Receive GSO earth stationantenna diameter (m)

¥182 ......................................................................................... 99.9.¥179 ......................................................................................... 99.94.¥176 ......................................................................................... 99.97.¥171 ......................................................................................... 99.98.¥168 ......................................................................................... 99.984 ...................................... 3.¥165 ......................................................................................... 99.993.¥163 ......................................................................................... 99.999.¥161.25 .................................................................................... 99.99975.

¥161.25 .................................................................................... 100.¥185 ......................................................................................... 99.97.¥183 ......................................................................................... 99.98.¥179 ......................................................................................... 99.99.¥175 ......................................................................................... 99.996.¥171 ......................................................................................... 99.998 ...................................... 10.¥168 ......................................................................................... 99.999.¥166 ......................................................................................... 99.9998.¥166 ......................................................................................... 100.

NOTE TO PARAGRAPH (i): These limits relateto the equivalent power flux density, whichis obtained under free-space propagationconditions, for all conditions and for allmethods of modulation.

(j) In the frequency bands 10.7–11.7GHz and 11.7–12.2 GHz, the operationalequivalent power-flux density, in thespace-to-Earth direction, (operational

EPFDdown) at any point on the Earth’ssurface, produced by actual operationalemissions from the in-line co-frequencyspace station of a non-geostationary-satellite orbit (NGSO) system oper-ating in the fixed-satellite service(FSS) shall not exceed the followingoperational limits for 100% of the time:

OPERATIONAL LIMITS TO THE EPFDdown RADIATED BY NON-GSO FSS SYSTEMS IN CERTAINFREQUENCY BANDS1

Frequency band (GHz) for International alloca-tions

EPFDdowndB(W/m2)

Percentageof time dur-ing whichEPFDdown

may not beexceeded

Referencebandwidth

(kHz)

ReceiveGSO earthstation an-tenna di-

ameter 2 (m)

Orbital inclinationof GSO satelite

(degrees)

Prior to 31 December 2005: 10.7–11.7 in all Re-gions; 11.7–12.2 in Regions 2; 12.2–12.5 inRegion 3; and 12.5;–12.75 in Regions 1 and 3 ¥163

¥166¥167.5¥169.5

100 40369

≥18

≤2.5

Prior to 31 December 2005: 10.7–11.7 in all Re-gions; 11.7–12.2 in Region 2; 12.2–12.5 in Re-gion 3; and 12.5–12.75 in Regions 1 and 3 ..... ¥160

¥163¥164.5¥166.5

100 40369

≥18

>2.5 and ≤4.5

From 31 December 2005: 10.7–11.7 in all Re-gions; 11.7–12.2 in Region 2; 12.2–12.5 in Re-gion 3; and 12.5–12.75 in Regions 1 and 3 ..... ¥161.25

¥164¥165.5¥167.5

100 40369

≥18

≤2.5


337


OPERATIONAL LIMITS TO THE EPFDdown RADIATED BY NON-GSO FSS SYSTEMS IN CERTAINFREQUENCY BANDS1—Continued

Frequency band (GHz) for International alloca-tions

EPFDdowndB(W/m2)

Percentageof time dur-ing whichEPFDdown

may not beexceeded

Referencebandwidth

(kHz)

ReceiveGSO earthstation an-tenna di-

ameter 2 (m)

Orbital inclinationof GSO satelite

(degrees)

From 31 December 2005: 10.7–11.7 in all Re-gions; 11.7–12.2 in Region 2; 12.2–12.5 in Re-gion 3; and 12.5–12.75 in Regions 1 and 3 ..... ¥158.25

¥161¥162.5¥164.5

100 40369

≥18

>2.5 and ≤4.5

1 The operational limits on the EPFDdown radiated by non-GSO FSS systems shall be the values given in Table 2G or thistable, whichever are the more stringent.

2 For antenna diameters between the values given in this table, the limits are given by linear interpolation using a linear scalefor EPFDdown in decibels and a logarithmic scale for antenna diameter in meters.

NOTE TO PARAGRAPH (j): These limits relateto the operational equivalent power flux-density which would be obtained under free-space propagation conditions, for all condi-tions, for all methods of modulation and forthe specified inclined GSO FSS operations.

(k) In the frequency bands 12.75–13.15GHz, 13.2125–13.25 GHz and 13.75–14.5GHz, the equivalent power flux-density,in the Earth-to-space direction,

(EPFDup) produced at any point on thegeostationary satellite orbit (GSO) bythe emissions from all co-frequencyearth stations in a non-geostationarysatellite orbit fixed-satellite service(NGSO FSS) system, for all conditionsand for all methods of modulation,shall not exceed the following limitsfor the specified percentages of timelimits:

LIMITS TO THE EPFDup RADIATED BY NGSO FSS SYSTEMS IN CERTAIN FREQUENCY BANDS

Frequency band (GHz) for International Allocations EPFDupdB(W/m2)

Percentageof time dur-ing whichEPFDup

may not beexceeded

Referencebandwidth

(kHz)

Reference antenna beam-width and reference radi-

ation pattern 1

12.5–12.75; 12.75–13.25; 13.75–14.5 ........................... ¥160 100 40 4°ITU–R S.672–4,Ls=¥20

1 For the case of Ls = ¥10, the values a = 1.83 and b = 6.32 should be used in the equations in the Annex of Recommenda-tion ITU–R S.672–4 for single-feed circular beams. In all cases of Ls, the parabolic main beam equation should start at zero.

NOTE TO PARAGRAPH (k): These limits re-late to the uplink equivalent power flux den-sity, which would be obtained under free-space propagation conditions, for all condi-tions and for all methods of modulation.

(l) In the frequency bands 11.7–12.2GHz and 12.5–12.75 GHz in Region 3,11.7–12.5 GHz in Region 1 and 12.2–12.7GHz in Region 2, the single-entryequivalent power-flux density, in the

space-to-Earth direction, (EPFDdown),at any point on the Earth’s surface,produced by emissions from all co-fre-quency space stations of a single non-geostationary-satellite orbit (NGSO)system operating in the fixed-satelliteservice (FSS) shall not exceed the fol-lowing limits in Tables 1L and 2L forthe given percentages of time:


338

47 CFR Ch. I (10–1–01 Edition)§ 25.208

TABLE 1L.—SINGLE-ENTRY EPFD DOWN LIMITS FOR PROTECTION OF 30, 45, 60, 90, 120, 180, 240AND 300 CM GSO BSS EARTH STATION ANTENNAS 1 2 3

Frequency band (GHz) for inter-national

allocations

EPDF downdB(W/m2)


whichEPFDdown


Referencebandwidth

(kHz)


11.7–12.5 in Region 1; 1.7–12.2 and12.5–12.75 in Region 3; 12.2–12.7in Region 2.

¥165.841¥165.541¥164.041

¥158.6¥158.6

¥158.33¥158.33

02596

98.85799.42999.42999.429

100

40 30 cmRecommendation ITU–RBO.1443 Annex 1


¥175.441¥172.441¥169.441

¥164¥160.75

¥160¥160

066

97.7599.35799.80999.986

100



¥176.441¥173.191

¥167.75¥162¥161

¥160.2¥160¥160

097.8

99.37199.88699.94399.97199.997

100

40 60 cmRecommendation ITU–RBO. 1443 Annex 1


¥178.94¥178.44¥176.44

¥171¥165.5

¥163¥161¥160¥160

03398

99.42999.71499.85799.94399.991

100



¥182.44¥180.69¥179.19¥178.44¥174.94¥173.75

¥173¥169.5¥167.8

¥164¥161.9

¥161¥160.4

¥160

090

98.998.999.5

99.6899.6899.85

99.91599.9499.9799.99

99.998100



¥184.941¥184.101¥181.691

¥176.25¥163.25

¥161.5¥160.35

¥160¥160

033

98.599.57199.94699.97499.99399.999

100

40 180 cm 3

Recommendation ITU–RBO.1443 Annex 1


339


TABLE 1L.—SINGLE-ENTRY EPFD DOWN LIMITS FOR PROTECTION OF 30, 45, 60, 90, 120, 180, 240AND 300 CM GSO BSS EARTH STATION ANTENNAS 1 2 3—Continued

Frequency band (GHz) for inter-national

allocations

EPDF downdB(W/m2)


whichEPFDdown


Referencebandwidth

(kHz)



¥187.441¥186.341¥183.441

¥178¥161.4¥161.9¥160.5

¥160¥160

033

99.2599.78699.95799.98399.99499.999

100

40 240 cm 2

Recommendation ITU–RBO.1443 Annex 1


¥191.941¥189.441¥185.941

¥180.5¥173¥167¥162¥160¥160

033

99.599.85799.91499.95199.98399.991

100


1 For BSS antenna diameters 180 cm, 240 cm and 300 cm, in addition to the single-entry limits shown in Table 1L, the limits inTable 2L shall also apply in the frequency band listed in Table 1L.

2 For 240 cm GSO BSS earth station antennas located in Alaska, communicating with GSO BSS satellites at the 91° W.L.,101° W.L., 110° W.L., 119° W.L. and 148° W.L. nominal orbital locations with elevation angles greater than 5°, ¥167 dB(W/(m2/40 kHz)) single-entry 100% of the time operational EPFDdown limit also applies to receive antennas.

3 For 180 cm GSO BSS earth station antennas located in Hawaii communicating with GSO BSS satellites that are operationalas of December 30, 1999 at the 110° W.L., 119° W.L. and 148° W.L. nominal orbital positions, ¥162.5 dB(W/(m2/40 kHz)) sin-gle-entry 100% of the time operational EPFDdown limit also applies.

4 Under the section reference pattern of Annex 1 to Recommendation ITU-R BO.1443 shall be used only for the calculation ofinterference from non-GSO FSS systems into BSS systems.

TABLE 2L.—SINGLE-ENTRY EPFDdown LIMITS RADIATED BY NON-GSO FSS SYSTEMS AT CERTAINLATITUDES


¥160.0 ........................................................................................ 0 ≤ | Latitude | ≤ 57.5¥160.0 + 3.4 (57.5 ¥ | Latitude |)/4 .......................................... 57.5 ≤ | Latitude | ≤ 63.75¥165.3 ........................................................................................ 63.75 ≤ | Latitude |

NOTE TO PARAGRAPH (l): These limits relateto the equivalent power flux density, whichwould be obtained under free-space propaga-tion conditions, for all conditions and for allmethods of modulation.

(m) In the frequency bands 11.7–12.2GHz and 12.5–12.75 GHz in Region 3,11.7–12.5 GHz in Region 1 and 12.2–12.7GHz in Region 2, the aggregate equiva-lent power-flux density, in the space-

to-Earth direction, (EPFDdown) at anypoint on the Earth’s surface, producedby emissions from all co-frequencyspace stations of all non-geostationary-satellite orbit systems operating in thefixed-satellite service (FSS) shall notexceed the following limits in Tables1M and 2M for the given percentages oftime:


340

47 CFR C

h. I (10–1–01 Editio

n)§

25.208

TABLE 1M.—AGGREGATE EPFDdown LIMITS FOR PROTECTION OF 30, 45, 60, 90, 120, 180, 240 AND 300 CM GSO BSS EARTH STATIONANTENNAS 1, 2, 3

Frequency band (GHz) for international allocations EPFDdowndB (W/m2)

Percentageof time dur-ing whichEPFDdownlevel maynot be ex-

ceeded

Referencebandwidth

(kHz)

Reference antenna diameter, and referenceradiation pattern 4

11.7–12.5 in Region 1; 11.7–12.2 and 12.5–12.75 in Region 3; 12.2–12.7 in Region 2 ................. ¥160.4¥160.1¥158.6¥158.6

¥158.33¥158.33

025969898

100

4030 cmRecommendation ITU–RBO.1443Annex 1.

11.7–12.5 in Region 1; 11.7–12.2 and 12.5–12.75 in Region 3; 12.2–12.7 in Region 2 ................. ¥170¥167¥164

¥160.75¥160¥160

066

97.7599.3399.95

100


11.7–12.5 in Region 1; 11.7–12.2 and 12.5–12.75 in Region 3; 12.2–12.7 in Region 2 ................. ¥171¥168.75¥167.75

¥162¥161

¥160.2¥160¥160

090

97.899.699.899.9

99.99100


11.7–12.5 in Region 1; 11.7–12.2 and 12.5–12.75 in Region 3; 12.2–12.7 in Region 2 ................. ¥173.75¥173¥171

¥165.5¥163¥161¥160¥160

03398

99.199.599.8

99.97100


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25.208

11.7–12.5 in Region 1; 11.7–12.2 and 12.5–12.75 in Region 3; 12.2–12.7 in Region 2 ................. ¥177¥175.25¥173.75

¥173¥169.5¥167.8

¥164¥161.9

¥161¥160.4

¥160

090

98.998.999.599.7

99.8299.9

99.96599.993

100


11.7–12.5 in Region 1; 11.7–12.2 and 12.5–12.75 in Region 3; 12.2–12.7 in Region 2 ................. ¥179.5¥178.66¥176.25¥163.25

¥161.5¥160.35

¥160¥160

033

98.599.8199.91

99.97599.995

100


11.7–12.5 in Region 1; 11.7–12.2 and 12.5–12.75 in Region 3; 12.2–12.7 in Region 2 ................. ¥182¥180.9

¥178¥164.4¥161.9¥160.5

¥160¥160

033

99.2599.8599.9499.98

99.995100


11.7–12.5 in Region 1; 11.7–12.2 and 12.5–12.75 in Region 3; 12.2–12.7 in Region 2 ................. ¥186.5¥184

¥180.5¥173¥167¥162¥160¥160

033

99.599.7

99.8399.9499.97

100


1 For BSS antenna diameters 180 cm, 240 cm and 300 cm, in addition to the aggregate limit shown in Table 1M, the limits in Table 2M shall also apply.2 For 240 cm GSO BSS earth station antennas located in Alaska, communicating with GSO BSS satellites at the 91° W.L., 101° W.L., 110° W.L., 119° W.L. and 148° W.L. nominal orbital

locations with elevation angles greater than 5°, ¥167 dB(W/(m2/40 kHz)) aggregate 100% of the time operational EPFDdown limit also applies to receive antennas.3 For 180 cm GSO BSS earth station antennas located in Hawaii communicating with GSO BSS satellites that are operational as of December 30, 1999 at the 110° W.L., 119° W.L. and

148° W.L. nominal orbital positions, ¥162.5 dB(W/(m2/40 kHz)) aggregate 100% of the time operational EPFDdown limit also applies.4 Under the section reference pattern of Annex 1 to Recommendation ITU–R BO.1443 shall be used only for the calculation of interference from non-GSO FSS systems into GSO BSS

systems.

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342

47 CFR Ch. I (10–1–01 Edition)§ 25.209

TABLE 2M.—AGGREGATE EPFDdown LIMITS RADIATED BY NON-GSO FSS SYSTEMS AT CERTAINLATITUDES


160.0 ............................................................................................ 0 ≤ | Latitude | ≤ 57.5.160.0 + 3.4 (57.5 ¥ | Latitude | )/4 ............................................. 57.5 ≤ | Latitude | ≤ 63.75.165.3 ............................................................................................ 63.75 ≤ | Latitude |.

NOTE TO PARAGRAPH (m): These limits re-late to the equivalent power flux density,which would be obtained under free-spacepropagation conditions, for all conditionsand for all methods of modulation.

[48 FR 40255, Sept. 6, 1983, as amended at 52FR 45636, Dec. 1, 1987; 59 FR 53329, Oct. 21,1994; 65 FR 54171, Sept. 7, 2000; 66 FR 10623,Feb. 16, 2001]

§ 25.209 Antenna performance stand-ards.

(a) The gain of any antenna to be em-ployed in transmission from an earthstation in the geostationary satelliteorbit fixed-satellite service (GSO FSS)shall lie below the envelope defined asfollows:

(1) In the plane of the geostationarysatellite orbit as it appears at the par-ticular earth station location:

29-25 log ( dBi 1 </ </ 7

dBi 7 < Theta </= 9.2

-25 log (Theta) dBi 9.2 < Theta </= 48

dBi 48 < Theta </= 180

10

10

Theta Theta) ° = = °+ ° °

° °− ° °

8

32

10

where Theta is the angle in degreesfrom the axis of the main lobe, and dBirefers to dB relative to an isotropic ra-diator. For the purposes of this section,the peak gain of an individual sidelobemay not exceed the envelope definedabove for Theta between 1.0 and 7.0 de-grees. For Theta greater than 7.0 de-grees, the envelope may be exceeded byno more than 10% of the sidelobes, pro-vided no individual sidelobe exceedsthe gain envelope given above by morethan 3 dB.

(2) In all other directions, or in theplane of the horizon including any out-of-plane potential terrestrial inter-ference paths:

Outside the main beam, the gain ofthe antenna shall lie below the enve-lope defined by:

32

10

-25 log (Theta) dBi 1 </= Theta </= 48

dBi 48 < Theta </= 18010 ° °

− ° °

where Theta and dBi are defined above.For the purposes of this section, theenvelope may be exceeded by no morethan 10% of the sidelobes provided noindividual sidelobe exceeds the gain en-velope given above by more than 6 dB.The region of the main reflector spill-over energy is to be interpreted as asingle lobe and shall not exceed the en-velope by more than 6 dB.

(b) The off-axis cross-polarizationgain of any antenna to be employed intransmission from an earth station toa space station in the domestic fixed-satellite service shall be defined by:

19-25 log ( dBi 1.8 < </ 7

dBi 7 < Theta </= 9.210 Theta Theta) ° = °

− ° °2

(c) Earth station antennas licensedfor reception of radio transmissionsfrom a space station in the fixed-sat-ellite service are protected from radiointerference caused by other space sta-tions only to the degree to whichharmful interference would not be ex-pected to be caused to an earth stationemploying an antenna conforming tothe referenced patterns defined in para-graphs (a) and (b) of this section, andprotected from radio interferencecaused by terrestrial radio transmit-ters identified by the frequency coordi-nation process only to the degree towhich harmful interference would notbe expected to be caused to an earthstation conforming to the referencepattern defined in paragraph (a)(2) ofthis section.

(d) The patterns specified in para-graphs (a) and (b) of this section shallapply to all new earth station antennasinitially authorized after February 15,1985 and shall apply to all earth stationantennas after March 11, 1994.


343


(e) The operations of any earth sta-tion with an antenna not conformingto the standards of paragraphs (a) and(b) of this section shall impose no limi-tations upon the operation, location ordesign of any terrestrial station, anyother earth station, or any space sta-tion beyond those limitations thatwould be expected to be imposed by anearth station employing an antennaconforming to the reference patternsdefined in paragraphs (a) and (b) of thissection.

(f) An earth station with an antennanot conforming to the standards ofparagraphs (a) and (b) of this sectionwill be routinely authorized after Feb-ruary 15, 1985 upon a finding by theCommission that unacceptable levelsof interference will not be caused underconditions of uniform 2° orbitalspacings. An earth station antenna ini-tially authorized on or before Feburary15, 1985 will be authorized by the Com-mission to continue to operate as longas such operations are found not tocause any unacceptable levels of adja-cent satellite interference. In eithercase, the Commission will impose ap-propriate terms and conditions in itsauthorization of such facilities and op-erations.

(g) The antenna performance stand-ards of small antennas operating in the12/14 GHz band with diameters as smallas 1.2 meters starts at 1.25° instead of 1°as stipulated in paragraph (a) of thissection.

(h)(1) The gain of any antennas to beemployed in transmission from a gate-way earth station antenna operating inthe frequency bands 10.7–11.7 GHz,12.75–13.15 GHz, 13.2125–13.25 GHz, 13.8–14.0 GHz, and 14.4–14.5 GHz and commu-nicating with NGSO FSS satellitesshall lie below the envelope defined asfollows:

29 ¥ 25log10 (θ) dBi ¥ 10 dBi1B ≤ θ ≤ 36B

36B ≤ θ ≤ 180B

Where: θ is the angle in degrees from the axisof the main lobe, and dBi refers to dB rel-ative to an isotropic radiator.

(2) For the purposes of this section,the peak gain of an individual sidelobe

may not exceed the envelope defined inparagraph (h)(1) of this section.

[48 FR 40255, Sept. 6, 1983, as amended at 50FR 2675, Jan. 18, 1985; 50 FR 39004, Sept. 26,1985; 58 FR 13420, Mar. 11, 1993; 66 FR 10630,Feb. 16, 2001]

§ 25.210 Technical requirements forspace stations in the Fixed-SatelliteService.

(a) All space stations in the Fixed-Satellite Service used for domesticservice in the 4/6 GHz frequency bandshall:

(1) Use orthogonal linear polarizationwith one of the planes defined by theequatorial plane;

(2) Be designed so that the polariza-tion sense of uplink transmissions isopposite to that of downlink trans-missions on the same transponder; and

(3) Shall be capable of switching po-larization sense upon ground command.

(b) All space stations in the Fixed-Satellite Service in the 20/30 GHz bandshall use either orthogonal linear ororthogonal circular polarization. Thosespace stations utilizing orthogonal lin-ear polarization shall also comply withparagraph (a) of this section.

(c) All space stations in the Fixed-Satellite Service shall have a min-imum capability to change transpondersaturation flux densities by groundcommand in 4 dB steps over a range of12 dB.

(d) All space stations in the FixedSatellite Service in the 20/30 GHz bandshall employ state-of-the-art full fre-quency reuse either through the use oforthogonal polarizations within thesame beam and/or through the use ofspatially independent beams.

(e) All space stations in the Fixed-Satellite Service shall be designed toderive the maximum capacity feasiblefrom the assigned orbital location. Inparticular, space stations in the Fixed-Satellite Service are required to em-ploy state-of-the-art full frequency re-use using both horizontal and verticalpolarization.

(f) For fixed-satellite space stationsproviding domestic service, full fre-quency re-use is defined as re-use of thefrequency bands by polarization dis-crimination in both the uplink anddownlink directions using state-of-the-art equipment and techniques.


344

47 CFR Ch. I (10–1–01 Edition)§ 25.211

(g) For fixed-satellite space stationsproviding international service, fullfrequency re-use is defined as follows:

(1) Satellites must employ polariza-tion discrimination so that, throughthe use of dual polarization, they shallbe able to reuse both the uplink anddownlink frequency band assignments.

(2) Satellites must be configured sothat all assigned frequencies (in bothpolarizations) could be reused in beamsserving widely separate areas.

(h) [Reserved](i) Space station antennas in the

Fixed-Satellite Service must be de-signed to provide a cross-polarizationisolation such that the ratio of the onaxis co-polar gain to the cross-polargain of the antenna in the assigned fre-quency band shall be at least 30 dBwithin its primary coverage area.

(j) Space stations to be operated inthe geostationary satellite orbit mustbe:

(1) Designed with the capability ofbeing maintained in orbit within 0.05°of their assigned orbital longitude,

(2) Maintained in orbit at their as-signed orbital longitude within the lon-gitudinal tolerance specified by theCommission, and

(3) The Commission may authorizeoperations at assigned orbital lon-gitudes offset by 0.05° or multiplesthereof from the nominal orbital loca-tion specified in the station authoriza-tions.

(k) Antenna measurements of bothco-polarized and cross-polarized per-formance must be made on all anten-nas employed by space stations bothwithin the primary coverage area to fa-cilitate coordination with other Com-mission space station licensees andoutside the primary coverage area tofacilitate international frequency co-ordination with other Administrations.The results of such measurements shallbe submitted to the Commission withinthirty days after preliminary in-orbittesting is completed.

(l) All operators of space stationsshall, on June 30 of each year, file a re-port with the International Bureau andthe Commission’s Columbia OperationsCenter in Columbia, Maryland, con-taining the following information cur-rent as of May 31 of that year:

(1) Status of satellite constructionand anticipated launch dates, includingany major problems or delays encoun-tered;

(2) A listing of any non-scheduledtransponder outages for more thanthirty minutes and the cause(s) of suchoutages;

(3) A detailed description of the utili-zation made of each transponder oneach of the in-orbit satellites. This de-scription should identify the total ca-pacity or the percentage of time eachtransponder is actually used for trans-mission, and the amount of unused sys-tem capacity in the transponder. Thisinformation is not required for thosetransponders that are sold on a non-common carrier basis. In that case, op-erators should indicate the number oftransponders sold on each in-satelliteorbit.

(4) Identification of any transpondersnot available for service or otherwisenot performing to specifications, thecause of these difficulties, and the dateany transponder was taken out of serv-ice or the malfunction identified.

[58 FR 13420, Mar. 11, 1993, as amended at 61FR 9952, Mar. 12, 1996; 62 FR 5931, Feb. 10,1997; 62 FR 61457, Nov. 18, 1997]

§ 25.211 Video transmissions in theFixed-Satellite Service.

(a) Downlink analog video trans-missions in the band 3700–4200 MHzshall be transmitted only on a centerfrequency of 3700+20N MHz, where N=1to 24. The corresponding uplink fre-quency shall be 2225 MHz higher.

(b) All 4/6 GHz analog video trans-missions shall contain an energy dis-persal signal at all times with a min-imum peak-to-peak bandwidth set atwhatever value is necessary to meetthe power flux density limits specifiedin § 25.208(a) and successfully coordi-nated internationally and accepted byadjacent U.S. satellite operators basedon the use of state of the art space andearth station facilities. Further, alltransmissions operating in frequencybands described in § 25.208 (b) and (c)shall also contain an energy dispersalsignal at all times with a minimumpeak-to-peak bandwidth set at what-ever value is necessary to meet thepower flux density limits specified in


345


§ 25.208(b) and (c) and successfully co-ordinated internationally and acceptedby adjacent U.S. satellite operatorsbased on the use of state of the artspace and earth station facilities. Thetransmission of an unmodulated car-rier at a power level sufficient to satu-rate a transponder is prohibited, exceptby the space station licensee to deter-mine transponder performance charac-teristics. All 12/14 GHz video trans-missions for TV/FM shall identify theparticular carrier frequencies for nec-essary coordination with adjacent U.S.satellite systems and affected satellitesystems of other administrations.

(c) All initial analog video trans-missions shall be preceded by a videotest transmission at an uplink e.i.r.p.at least 10 dB below the normal oper-ating level. The earth station operatorshall not increase power until receivingnotification from the satellite networkcontrol center that the frequency andpolarization alignment are satisfactorypursuant to the procedures specified in§ 25.272. The stationary earth stationoperator that has successfully trans-mitted an initial video test signal to asatellite pursuant to this paragraph isnot required to make subsequent videotest transmissions if subsequent trans-missions are conducted using exactlythe same parameters as the initialtransmission.

(d) In the 6 GHz band, an earth sta-tion with an equivalent diameter of 9meters or smaller may be routinely li-censed for transmission to full trans-ponder services if the maximum powerinto the antenna does not exceed 450watts (26.5 dBW). In the 14 GHz band,an earth station with an equivalent di-ameter of 5 meters or smaller may beroutinely licensed for transmission offull transponder services if the max-imum power into the antenna does notexceed 500 watts (27 dBW).

[58 FR 13421, Mar. 11, 1993, as amended at 61FR 9952, Mar. 12, 1996; 62 FR 5931, Feb. 10,1997]

§ 25.212 Narrowband transmissions inthe 12/14 GHz GSO Fixed-SatelliteService.

(a) Except as otherwise provided bythis part, criteria for unacceptable lev-els of interference caused by other sat-ellite networks shall be established on

the basis of nominal operating condi-tions and with the objective of mini-mizing orbital separations between sat-ellites.

(b) Emissions with an occupied band-width of less than 2 MHz are not pro-tected from interference from widerbandwidth transmissions if the r.f. car-rier frequency of the narrowband signalis within ±1 MHz of one of the fre-quencies specified in § 25.211(a).

(c) In the 14 GHz band, an earth sta-tion with an equivalent diameter of 1.2meters or greater may be routinely li-censed for transmission of narrowbandanalog services with bandwidths up to200 kHz if the maximum input powerdensity into the antenna does not ex-ceed ¥8 dBW/4 kHz and the maximumtransmitted satellite carrier EIRP den-sity does not exceed 13 dBW/4 kHz, andfor transmission of narrowband and/orwideband digital services, if the max-imum input power density into the an-tenna does not exceed ¥14 dBW/4 kHzand the maximum transmitted sat-ellite carrier EIRP density does not ex-ceed +6.0 dBW/4 kHz.

(d) In the 6 GHz band, an earth sta-tion with an equivalent diameter of 4.5meters or greater may be routinely li-censed for transmission of SCPC serv-ices if the maximum power densitiesinto the antenna do not exceed +0.5dBW/4 kHz for analog SCPC carrierswith bandwidths up to 200 kHz, and donot exceed ¥2.7 dBW/4 kHz for narrowand/or wideband digital SCPC carriers.

[58 FR 13421, Mar. 11, 1993, as amended at 62FR 5931, Feb. 10, 1997; 62 FR 51378, Oct. 1,1997]

§ 25.213 Inter-Service coordination re-quirements for the 1.6/2.4 GHz mo-bile-satellite service.

(a) Protection of the radio astronomyservice in the 1610.6–1613.8 MHz bandagainst interference from 1.6/2.4 GHzMobile-Satellite Service systems.

(1) Protection zones. All 1.6/2.4 GHzMobile Satellite Service systems shallbe capable of determining the positionof the user transceivers accessing thespace segment through either internalradiodetermination calculations or ex-ternal sources such as LORAN–C or theGlobal Positioning System. During pe-riods of radio astronomy observations,


346

47 CFR Ch. I (10–1–01 Edition)§ 25.213

land mobile earth stations shall not op-erate when located within geographicprotection zones defined by the radioobservatory coordinates and separationdistances as follows:

(i) In the band 1610.6–1613.8 MHz,within a 160 km radius of the followingradio astronomy sites:

Observatory Latitude(DMS)

Longitude(DMS)

Arecibo, PR ................................... 18 20 46 66 45 11Green Bank Telescope, WV ......... 38 25 59 79 50 24

38 26 09 79 49 42Very Large Array, NM ................... 34 04 43 107 37 04Owens Valley, CA ......................... 37 13 54 118 17 36Ohio State, OH .............................. 40 15 06 83 02 54

(ii) In the band 1610.6–1613.8 MHz,within a 50 km radius of the followingsites:

Observatory Latitude(DMS)

Longitude(DMS)

Pile Town, NM ............................... 34 18 04 108 07 07Los Alamos, NM ............................ 35 46 30 106 14 42Kitt Peak, AZ ................................. 31 57 22 111 36 42Ft. Davis, TX ................................. 30 38 06 103 56 39N. Liberty, IA ................................. 41 46 17 91 34 26Brewster, WA ................................ 48 07 53 119 40 55Owens Valley, CA ......................... 37 13 54 118 16 34St. Croix, VI ................................... 17 45 31 64 35 03Mauna Kea, HI .............................. 19 48 16 155 27 29Hancock, NH ................................. 42 56 01 71 59 12

(iii) Out-of-band emissions of a mo-bile earth station licensed to operatewithin the 1610.0–1626.5 MHz band shallbe attenuated so that the power fluxdensity it produces in the 1610.6–1613.8MHz band at any radio astronomy sitelisted in paragraph (a)(1) (i) or (ii) ofthis section shall not exceed the emis-sions of a mobile earth station oper-ating within the 1610.6–1613.8 MHz bandat the edge of the protection zone ap-plicable for that site. As an alter-native, a mobile earth station shall notoperate during radio astronomy obser-vations within the 1613.8–1615.8 MHzband within 100 km of the radio astron-omy sites listed in paragraph (a)(1)(i)of this section, and within 30 km of thesites listed in paragraph (a)(1)(ii) ofthis section, there being no restrictionon a mobile earth station operatingwithin the 1615.8–1626.5 MHz band.

(iv) For airborne mobile earth sta-tions operating in the 1610.0–1626.5 MHzband, the separation distance shall bethe larger of the distances specified inparagraph (a)(1) (i), (ii) or (iii) of this

section, as applicable, or the distance,d, as given by the formula:

d (km) = 4.1 square root of (h)

where h is the altitude of the aircraftin meters above ground level.

(v) Smaller geographic protectionzones may be used in lieu of the areasspecified in paragraphs (a)(1) (i), (ii),(iii), and (iv) of this section if agreed toby the Mobile-Satellite Service li-censee and the Electromagnetic Spec-trum Management Unit (ESMU), Na-tional Science Foundation, Wash-ington, D.C. upon a showing by the Mo-bile-Satellite Service licensee that theoperation of a mobile earth station willnot cause harmful interference to aradio astronomy observatory duringperiods of observation.

(vi) The ESMU shall notify Mobile-Satellite Service space station licens-ees authorized to operate mobile earthterminals in the 1610.0–1626.5 MHz bandof periods of radio astronomy observa-tions. The mobile-satellite systemsshall be capable of terminating oper-ations within the frequency bands andprotection zones specified in para-graphs (a)(1) (i) through (iv) of this sec-tion, as applicable, after the first posi-tion fix of the mobile earth terminaleither prior to transmission or, basedupon its location within the protectionzone at the time of initial transmissionof the mobile earth terminal. Once themobile-satellite system determinesthat a mobile earth terminal is locatedwithin an RAS protection zone, themobile-satellite system shall imme-diately initiate procedures to relocatethe mobile earth terminal operationsto a non-RAS frequency.

(vii) A beacon-actuated protectionzone may be used in lieu of fixed pro-tection zones in the 1610.6–1613.8 MHzband if a coordination agreement isreached between a mobile-satellite sys-tem licensee and the ESMU on the spe-cifics of beacon operations.

(viii) Additional radio astronomysites, not located within 100 miles ofthe 100 most populous urbanized areasas defined by the United States CensusBureau at the time, may be affordedsimilar protection one year after no-tice to the mobile-satellite system li-censees by issuance of a public noticeby the Commission.


347


(2) Mobile-Satellite Service spacestations transmitting in the 1613.8–1626.5 MHz band shall take whateversteps necessary to avoid causing harm-ful interference to the radio astronomyfacilities listed in paragraphs (a)(1)(i)and (ii) of this section during periods ofobservation.

(3) Mobile-Satellite Service spacestations operating in the 2483.5–2500MHz frequency band shall limit spu-rious emission levels in the 4990–5000MHz band so as not to exceed ¥241 dB(W/m2/Hz) at the surface of the Earth.

(4) The Radioastronomy Service shallavoid scheduling radio astronomy ob-servations during peak MSS/RDSStraffic periods to the greatest extentpracticable.

(b) Protection of the radio-navigation-satellite service. Mobileearth stations operating in the 1610–1626.5 MHz band shall limit out-of-bandemissions in the 1574.397–1576.443 MHzband so as not to exceed an e.i.r.p. den-sity level of ¥70 dB (W/MHz) averagedover any 20 ms period. The e.i.r.p. ofany discrete spurious emission (i.e.,bandwidth less than 600 Hz) in the1574.397–1576.443 MHz band shall not ex-ceed ¥80 dBW.

[59 FR 53329, Oct. 21, 1994, as amended at 61FR 9945, Mar. 12, 1996]

§ 25.214 Technical requirements forspace stations in the satellite dig-ital audio radio service.

(a) Definitions.(1) Allocated bandwidth. The term ‘‘al-

located bandwidth’’ refers to the entryin the Table of Frequency Allocationsof a given frequency band for the pur-pose of its use by one or more terres-trial or space radiocommunicationservices under specified conditions.This term shall be applied to the 2310–2360 MHz band for satellite DARS.

(2) Frequency Assignment. The term‘‘frequency assignment’’ refers to theauthorization given by the Commissionfor a radio station to use a radio fre-quency or radio frequency channelunder specified conditions. This termshall be applied to the two frequencybands (A) 2320.0–2332.5 MHz and (B)2332.5–2340.0 MHz for satellite DARS.

(b) Each system authorized underthis section will be conditioned uponconstruction, launch and operation

milestones as outlined in § 25.144(b).The failure to meet any of the mile-stones contained in an authorizationwill result in its cancellation, unlesssuch failure is due to circumstances be-yond the licensee’s control or unlessotherwise determined by the Commis-sion upon proper showing by the li-censee in any particular case.

(c) Frequency assignments will bemade for each satellite DARS systemas follows:

(1) Exclusive satellite DARS licensesare limited to the 2320–2345 MHz bandsegment of the allocated bandwidth forsatellite DARS;

(2) Two, 12.5 MHz frequency assign-ments are available for satellite DARS:2320.0–2332.5 MHz and 2332.5–2345.0 MHz;

(3) Satellite DARS licensees may re-duce their assigned bandwidth occu-pancy to provide telemetry beacons intheir exclusive frequency assignments;

(4) Each licensee may employ crosspolarization within its exclusive fre-quency assignment and/or may employcross polarized transmissions in fre-quency assignments of other satelliteDARS licensees under mutual agree-ment with those licensees. Licenseeswho come to mutual agreement to usecross-polarized transmissions shallapply to the Commission for approvalof the agreement before coordination isinitiated with other administrations bythe licensee of the exclusive frequencyassignment; and

(5) Feeder uplink networks are per-mitted in the following Fixed-SatelliteService frequency bands: 7025–7075 MHzand 6725–7025 MHz (101° W.L. orbital lo-cation only).

[62 FR 11106, Mar. 11, 1997]

§§ 25.215–25.249 [Reserved]

§ 25.250 Sharing between NGSO MSSFeeder links Earth Stations in the19.3–19.7 GHz and 29.1–29.5 GHzBands.

(a) NGSO MSS applicants shall be li-censed to operate in the 29.1–29.5 GHzband for Earth-to-space transmissionsand 19.3–19.7 GHz for space-to-Earthtransmissions from feeder link earthstation complexes. A ‘‘feeder link earthstation complex’’ may include up tothree (3) earth station groups, witheach earth station group having up to


348

47 CFR Ch. I (10–1–01 Edition)§ 25.251

four (4) antennas, located within a ra-dius of 75 km of a given set of geo-graphic coordinates provided by NGSO–MSS licensees or applicants.

(b) Licensees of NGSO MSS feederlink earth stations separated by 800 kmor less are required to coordinate theiroperations, see § 25.203. The results ofthe coordination shall be reported tothe Commission.

[61 FR 44181, Aug. 28, 1996]

§ 25.251 Special requirements for co-ordination.

(a) The administrative aspects of thecoordination process are set forth in§ 101.103 of this chapter in the case ofcoordination of terrestrial stationswith earth stations, and in § 25.203 inthe case of coordination of earth sta-tions with terrestrial stations.

(b) The technical aspects of coordina-tion are based on Appendix S7 of theInternational TelecommunicationUnion Radio Regulations and certainrecommendations of the ITURadiocommunication Sector (availableat the FCC’s Reference InformationCenter, Room CY–A257, 445 12th Street,SW., Washington, DC 20554).

[66 FR 10630, Feb. 16, 2001]

§§ 25.252–25.256 [Reserved]

§ 25.257 Special requirements for oper-ations in the band 29.1–29.25 GHzbetween NGSO MSS and LMDS.

(a) Non-geostationary mobile sat-ellite service (NGSO MSS) operatorsshall be licensed to use the 29.1–29.25GHz band for Earth-to-space trans-missions from feeder link earth stationcomplexes. A ‘‘feeder link earth stationcomplex’’ may include up to three (3)earth station groups, with each earthstation group having up to four (4) an-tennas, located within a radius of 75km of a given set of geographic coordi-nates provided by a NGSO MSS licens-ees or applicants pursuant to § 101.147.

(b) A maximum of seven (7) feederlink earth station complexes in thecontiguous United States, Alaska andHawaii may be placed into operation,in the largest 100 MSAs, in the band29.1–29.25 GHz in accordance with§ 25.203 and § 101.147 of this chapter.

(c) One of the NGSO MSS operatorslicensed to use the 29.1–29.25 GHz band

may specify geographic coordinates fora maximum of eight feeder link earthstation complexes that transmit in the29.1–29.25 GHz band. The other NGSOMSS operator licensed to use the 29.1–29.25 GHz band may specify geographiccoordinates for a maximum of twofeeder link earth station complexesthat transmit in the 29.1–29.25 GHzband.

(d) Additional NGSO MSS operatorsmay be licensed in this band if the ad-ditional NGSO MSS operator showsthat its system can share with the ex-isting NGSO MSS systems.

(e) All NGSO MSS operators shall co-operate fully and make reasonable ef-forts to identify mutually acceptablelocations for feeder link earth stationcomplexes. In this connection, any sin-gle NGSO MSS operator shall onlyidentify one feeder link earth stationcomplex protection zone in each cat-egory identified in § 101.147(c)(2) of thischapter until the other NGSO MSS op-erator has been given an opportunityto select a location from the same cat-egory.

[61 FR 44181, Aug. 28, 1996]

§ 25.258 Sharing between NGSO MSSFeeder links Stations and GSO FSSservices in the 29.25–29.5 GHzBands.

(a) Operators of NGSO MSS feederlink earth stations and GSO FSS earthstations in the band 29.25 to 29.5 GHzwhere both services have a co-primaryallocation shall cooperate fully inorder to coordinate their systems. Dur-ing the coordination process both serv-ice operators shall exchange the nec-essary technical parameters requiredfor coordination.

(b) Licensed GSO FSS systems shall,to the maximum extent possible, oper-ate with frequency/polarization selec-tions, in the vicinity of operational orplanned NGSO MSS feeder link earthstation complexes, that will minimizeinstances of unacceptable interferenceto the GSO FSS space stations.

(c) NGSO MSS satellites operating inthis frequency band shall compensatefor nodal regression due to the oblateshape of the Earth, and thus maintainconstant successive sub-satelliteground tracks on the surface of theEarth.


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(d) NGSO MSS systems applying touse the 29.25–29.5 GHz band, for feederlink earth station uplink, will have todemonstrate that their system canshare with the authorized U.S. GSO/FSS systems operating in this band.

[61 FR 44181, Aug. 28, 1996]

§ 25.259 Time sharing between NOAAmeteorological satellite systems andnon-voice, non-geostationary sat-ellite systems in the 137–138 MHzband.

(a) A non-voice, non-geostationarymobile-satellite service system li-censee (‘‘NVNG licensee’’) time-sharingspectrum in the 137–138 MHz frequencyband shall not transmit signals intothe ‘‘protection areas’’ of National Oce-anic and Atmospheric Administration(‘‘NOAA’’) satellite systems. When cal-culating the protection areas for aNOAA satellite in the 137.333–137.367MHz, 137.485–137.515 MHz, 137.605–137.635MHz and 137.753–137.787 MHz bands, aNVNG licensee shall use an earth sta-tion elevation angle of five degrees to-wards the NOAA satellite and willcease its transmissions prior to theNVNG licensee’s service area, based onan elevation angle of zero degrees to-wards the NVNG licensee’s satellite,overlapping the NOAA protection area.When calculating the protection areasfor a NOAA satellite in the 137.025–137.175 MHz and 137.825–138 MHz bands,a NVNG licensee shall use an earth sta-tion elevation angle of zero degrees, orless if reasonably necessary, towardsthe NOAA satellite and will cease itstransmissions prior to the NVNG li-censee’s service area, based on an ele-vation angle of zero degrees towardsthe NVNG licensee’s satellite, overlap-ping the NOAA protection area. ANVNG licensee is responsible for ob-taining the necessary ephemeris data.This information shall be updated sys-tem-wide on at least a weekly basis. ANVNG licensee shall use an orbitalpropagator algorithm with an accuracyequal to or greater than the NORADpropagator used by NOAA.

(b) A NVNG licensee time sharingspectrum in the 137–138 MHz band shallestablish a 24-hour per day contact per-son and telephone number so thatclaims of harmful interference intoNOAA earth station users and other

operational issues can be reported andresolved expeditiously. This contact in-formation shall be made available toNOAA or its designee. If the NationalTelecommunications and InformationAdministration (‘‘NTIA’’) notifies theCommission that NOAA is receivingunacceptable interference from aNVNG licensee, the Commission willrequire such NVNG licensee to termi-nate its interfering operations imme-diately unless it demonstrates to theCommission’s reasonable satisfaction,and that of NTIA, that it is not respon-sible for causing harmful interferenceinto the worldwide NOAA system. ANVNG licensee assumes the risk of anyliability or damage that it and its di-rectors, officers, employees, affiliates,agents and subcontractors may incuror suffer in connection with an inter-ruption of its non-voice, non-geo-stationary mobile-satellite service, inwhole or in part, arising from or relat-ing to its compliance or noncompliancewith the requirements of this para-graph (b). The Commission will nothesitate to impose sanctions on aNVNG licensee time-sharing spectrumin the 137–138 MHz band with NOAA, in-cluding monetary forfeitures and li-cense revocations, when appropriate.

(c) Each satellite in a NVNG licens-ee’s system time-sharing spectrumwith NOAA in the 137–138 MHz bandshall automatically turn off and ceasesatellite transmissions if, after 72 con-secutive hours, no reset signal is re-ceived from the NVNG licensee’s gate-way earth station and verified by thesatellite. All satellites in such NVNGlicensee’s system shall be capable of in-stantaneous shutdown on any sub-bandupon command from such NVNG li-censee’s gateway earth station.

[62 FR 59296, Nov. 3, 1997]

§ 25.260 Time sharing between DoDmeteorological satellite systems andnon-voice, non-geostationary sat-ellite systems in the 400.15–401 MHzband.

(a) A non-voice, non-geostationarymobile-satellite service system li-censee (‘‘NVNG licensee’’) time-sharingspectrum in the 400.15–401.0 MHz bandshall not transmit signals into the‘‘protection areas’’ of Department ofDefense (‘‘DoD’’). When calculating the


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protection areas for a DoD satellite inthe 400.15–401 MHz band, a NVNG li-censee shall use an earth station ele-vation angle of five degrees towardsthe DoD satellite and will shut off itstransmissions prior to the NVNG li-censee’s service area, based on an ele-vation angle of zero degrees towardsthe NVNG licensee’s satellite, overlap-ping the DoD protection area. A NVNGlicensee is responsible for obtainingthe necessary ephemeris data. This in-formation shall be updated system-wide at least once per week. A NVNGlicensee shall use an orbital propagatoralgorithm with an accuracy equal to orgreater than the NORAD propagatorused by DoD.

(b) A NVNG licensee time sharingspectrum in the 400.15–401 MHz bandshall establish a 24-hour per day con-tact person and telephone number sothat claims of harmful interferenceinto DoD earth station users and otheroperational issues can be reported andresolved expeditiously. This contact in-formation shall be made available toDoD or its designee. If the NationalTelecommunications and InformationAdministration (‘‘NTIA’’) notifies theCommission that DoD is receiving un-acceptable interference from a NVNGlicensee, the Commission will requiresuch NVNG licensee to terminate itsinterfering operations immediately un-less it demonstrates to the Commis-sion’s reasonable satisfaction, and thatof NTIA, that it is not responsible forcausing harmful interference into theworldwide DoD system. A NVNG li-censee assumes the risk of any liabilityor damage that it and its directors, of-ficers, employees, affiliates, agents andsubcontractors may incur or suffer inconnection with an interruption of itsnon-voice, non-geostationary mobile-satellite service, in whole or in part,arising from or relating to its compli-ance or noncompliance with the re-quirements of this paragraph (b). TheCommission will not hesitate to im-pose sanctions on a NVNG licenseetime-sharing spectrum in the 400.15–401MHz band with DoD, including mone-tary forfeitures and license revoca-tions, when appropriate.

(c) Each satellite in a NVNG licens-ee’s system time-sharing spectrumwith DoD in the 400.15–401 MHz band

shall automatically turn off and ceasesatellite transmissions if, after 72 con-secutive hours, no reset signal is re-ceived from the NVNG licensee’s gate-way earth station and verified by thesatellite. All satellites in such NVNGlicensee’s system shall be capable of in-stantaneous shutdown on any sub-bandupon command from such NVNG li-censee’s gateway earth station.

(d) Initially, a NVNG licensee time-sharing spectrum with DoD in the400.15–401 MHz band shall be able tochange the frequency on which its sys-tem satellites are operating within 125minutes of receiving notification froma DoD required frequency change in the400.15–401 MHz band. Thereafter, when aNVNG licensee constructs additionalgateway earth stations located outsideof North and South America, it shalluse its best efforts to decrease to 90minutes the time required to imple-ment a DoD required frequency change.A NVNG licensee promptly shall notifythe Commission and NTIA of any de-crease in the time it requires to imple-ment a DoD required frequency change.

(e) Once a NVNG licensee time-shar-ing spectrum with DoD in the 400.15–401MHz band demonstrates to DoD that itis capable of implementing a DoD re-quired frequency change within thetime required under paragraph (d) ofthis section, thereafter, such NVNG li-censee shall demonstrate its capabilityto implement a DoD required frequencychange only once per year at the in-struction of DoD. Such demonstrationsshall occur during off-peak hours, asdetermined by the NVNG licensee, un-less otherwise agreed by the NVNG li-censee and DoD. Such NVNG licenseewill coordinate with DoD in estab-lishing a plan for such a demonstra-tion. In the event that a NVNG li-censee fails to demonstrate to DoDthat it is capable of implementing aDoD required frequency change in ac-cordance with a demonstration plan es-tablished by DoD and the NVNG li-censee, upon the Commission’s receiptof a written notification from NTIA de-scribing such failure, the Commissionshall impose additional conditions orrequirements on the NVNG licensee’sauthorization as may be necessary toprotect DoD operations in the 400.15–401


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MHz downlink band until the Commis-sion is notified by NTIA that theNVNG licensee has successfully dem-onstrated its ability to implement aDoD required frequency change. Suchadditional conditions or requirementsmay include, but are not limited to, re-quiring such NVNG licensee imme-diately to terminate its operationsinterfering with the DoD system.

[62 FR 59296, Nov. 3, 1997]

Subpart D—Technical Operations


§ 25.271 Control of transmitting sta-tions.

(a) The licensee of a facility licensedunder this part is responsible for theproper operation and maintenance ofthe station.

(b) The licensee of a transmittingearth station licensed under this partshall ensure that a trained operator ispresent on the earth station site, or ata designated remote control point forthe earth station, at all times thattransmissions are being conducted. Nooperator’s license is required for a per-son to operate or perform maintenanceon facilities authorized under this part.

(c) Authority will be granted to oper-ate a transmitting earth station by re-mote control only on the conditionsthat:

(1) The parameters of the trans-missions of the remote station mon-itored at the control point, and theoperational functions of the remoteearth stations that can be controlledby the operator at the control point,are sufficient to insure that the oper-ations of the remote station(s) are attimes in full compliance with the re-mote station authorization(s);

(2) The earth station facilities areprotected by appropriate securitymeasures to prevent unauthorizedentry or operations;

(3) Upon detection by the license, orupon notification from the Commissionof a deviation or upon notification byanother licensee of harmful inter-ference, the operation of the remotestation shall be immediately suspendedby the operator at the control point

until the deviation or interference iscorrected, except that transmissionsconcerning the immediate safety of lifeor property may be conducted for theduration of the emergency; and

(4) The licensee shall have availableat all times the technical personnelnecessary to perform expeditiously thetechnical servicing and maintenance ofthe remote stations.

(d) The licensee shall insure that thelicensed facilities are properly securedagainst unauthorized access or usewhenever an operator is not present atthe transmitter.

(e) The licensee of an NGSO FSS sys-tem operating in the 10.7–14.5 GHzbands shall maintain an electronic website bulletin board to list the satelliteephemeris data, for each satellite inthe constellation, using the NorthAmerican Aerospace Defense Command(NORAD) two-line orbital element for-mat. The orbital elements shall be up-dated at least once every three days.

[58 FR 13421, Mar. 11, 1993, as amended at 66FR 10631, Feb. 16, 2001]

§ 25.272 General inter-system coordi-nation procedures.

(a) Each space station licensee in theFixed-Satellite Service shall establisha satellite network control centerwhich will have the responsibility tomonitor space-to-Earth transmissionsin its system. This would indirectlymonitor uplink earth station trans-missions in its system and to coordi-nate transmissions in its satellite sys-tem with those of other systems to pre-vent harmful interference incidents or,in the event of a harmful interferenceincident, to identify the source of theinterference and correct the problempromptly.

(b) Each space station licensee shallmaintain on file with the Commissionand with its Columbia Operations Cen-ter in Columbia, Maryland, a currentlisting of the names, titles, addressesand telephone numbers of the points ofcontact for resolution of interferenceproblems. Contact personnel should in-clude those responsible for resolutionof short term, immediate interferenceproblems at the system control center,and those responsible for long term en-gineering and technical design issues.


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47 CFR Ch. I (10–1–01 Edition)§ 25.273

(c) The transmitting earth station li-censee shall provide the operator(s) ofthe satellites, on which the licensee isauthorized to transmit, contact tele-phone numbers for the control centerof the earth station and emergencytelephone numbers for key personnel; acurrent file of these contacts shall bemaintained at each satellite systemcontrol center.

(d) An earth station licensee shall en-sure that each of its authorized earthstations complies with the following:

(1) The earth station licensee shallensure that there is continuouslyavailable means of communications be-tween the satellite network controlcenter and the earth station operatoror its remote control point as des-ignated by the licensee.

(2) The earth station operator shallnotify the satellite network controlcenter and receive permission from thecontrol center before transmitting tothe satellite or changing the basiccharacteristics of a transmission.

(3) The earth station operator shallkeep the space station licensee in-formed of all actual and planned usage.

(4) Upon approval of the satellite net-work control center, the earth stationoperator may radiate an RF carrierinto the designated transponder.Should improper illumination of thetransponder or undue adjacent trans-ponder interference be observed by thesatellite network control center, theearth station operator shall imme-diately take whatever measures areneeded to eliminate the problem.

(5) The space station licensee maydelegate the responsibility and dutiesof the satellite network control centerto a technically qualified user or groupof users, but the space station licenseeshall remain ultimately responsible forthe performance of those duties.


§ 25.273 Duties regarding space com-munications transmissions.

(a) No person shall:(1) Transmit to a satellite unless the

specific transmission is first authorizedby the satellite network control cen-ter;

(2) Conduct transmissions over atransponder unless the operator is au-

thorized by the satellite licensee or thesatellite licensee’s successor in inter-est to transmit at that time; or

(3) Transmit in any manner thatcauses unacceptable interference to theauthorized transmission of another li-censee.

(b) Satellite operators shall provideupon request by the Commission andby earth station licensees authorizedto transmit on their satellites relevantinformation needed to avoid unaccept-able interference to other users, includ-ing the polarization angles for properillumination of a given transponder.

(c) Space station licensees are re-sponsible for maintaining complete andaccurate technical details of currentand planned transmissions over theirsatellites, and shall require that au-thorized users of transponders on theirsatellites, whether by tariff or con-tract, provide any necessary technicalinformation in this regard includingthat required by § 25.272. Based on thisinformation, space station licenseesshall exchange among themselves gen-eral technical information concerningcurrent and planned transmission pa-rameters as needed to identify andpromptly resolve any potential cases ofunacceptable interference betweentheir satellite systems.

(d) Space stations authorized afterMay 10, 1993 which do not satisfy therequirements of § 25.210 may be re-quired to accept greater constraints inresolving interference problems thancomplying ones. The extent of theseconstraints shall be determined on acase-by-case basis.

§ 25.274 Procedures to be followed inthe event of harmful interference.

(a) The earth station operator whosetransmission is suffering harmful in-terference shall first check the earthstation equipment to ensure that theequipment is functioning properly.

(b) The earth station operator shallthen check all other earth stations inthe licensee’s network that could becausing the harmful interference to en-sure that none of the licensee’s earthstations are the source of the inter-ference and to verify that the source ofinterference is not from a local terres-trial source.


353


(c) After the earth station operatorhas determined that the source of theinterference is not another earth sta-tion operating in the same network orfrom a terrestrial source, the earth sta-tion operator shall contact the sat-ellite system control center and advisethe satellite operator of the problem.The control center operator shall ob-serve the interference incident andmake reasonable efforts to determinethe source of the problem. A recordshall be maintained by the control cen-ter operator and the earth station op-erator of all harmful interference inci-dents and their resolution. Theserecords shall be made available to anFCC representative on request.

(d) Where the suspected source of theinterference incident is the operationof an earth station licensed to operateon one or more of the satellites in thesatellite operator’s system, the controlcenter operator shall advise the offend-ing earth station of the harmful inter-ference incident and assist in the reso-lution of the problem where reasonablypossible.

(e) The earth station licensee whoseoperations are suspected of causingharmful interference to the operationsof another earth station shall take rea-sonable measures to determine whetherits operations are the source of theharmful interference problem. Wherethe operations of the suspect earth sta-tion are the source of the interference,the licensee of that earth station shalltake all measures necessary to elimi-nate the interference.

(f) At any point, the system controlcenter operator may contact the Com-mission’s Columbia Operations Centerin Columbia, Maryland, to assist in re-solving the matter. This office special-izes in the resolution of satellite inter-ference problems. All licensees are re-quired to cooperate fully with the Com-mission in any investigation of inter-ference problems.

(g) Where the earth station suspectedof causing interference to the oper-ations of another earth station cannotbe identified or is identified as an earthstation operating on a satellite systemother than the one on which the earthstation suffering undue interference isoperating, it is the responsibility of arepresentative of the earth station suf-

fering harmful interference to contactthe control center of other satellitesystems.


§ 25.275 Particulars of operation.

(a) Radio station authorizationsissued under this part will normallyspecify only the frequency bands au-thorized for transmission and/or recep-tion of the station.

(b) When authorized frequency bandsare specified in the station authoriza-tion, the licensee is authorized totransmit any number of r.f. carriers onany discrete frequencies within an au-thorized frequency band in accordancewith the other terms and conditions ofthe authorization and the requirementsof this part. Specific r.f. carrier fre-quencies within the authorized fre-quency band shall be selected by the li-censee to avoid unacceptable levels ofinterference being caused to otherearth, space or terrestrial stations.Any coordination agreements, both do-mestic and international, concerningspecific frequency usage constraints,including non-use of any particular fre-quencies within the frequency bandslisted in the station authorization, areconsidered to be conditions of the sta-tion authorization.

(c) A license for a transmitting earthstation will normally specify only ther.f. carriers having the highest e.i.r.p.density, the narrowest bandwidth, andthe largest bandwidth authorized fortransmission from that station. Unlessotherwise specified in the station au-thorization, the licensee is authorizedto transmit any other type of carriernot specifically listed which does notexceed the highest e.i.r.p., e.i.r.p. den-sity and bandwidth prescribed for anylisted emission.

(d) Only the most sensitive emis-sion(s) for which protection is being af-forded from interference in the author-ized receive frequency band(s) will bespecified in the station authorization.

§ 25.276 Points of communication.

(a) Unless otherwise specified in thestation authorization, an earth stationis authorized to transmit to any space


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47 CFR Ch. I (10–1–01 Edition)§ 25.277

station in the same radio service pro-vided that permission has been re-ceived from the space station operatorto access that space station.

(b) Space stations licensed under thispart are authorized to provide serviceto earth stations located within thespecified service area. Coastal waterswithin the outer continental shelf shallbe considered to be included within theservice area specified by the namedland mass.

(c) Transmission to or from foreignpoints over space stations in the Fixed-Satellite Service, other than those op-erated by the International Tele-communications Satellite Organizationand Inmarsat, are subject to the poli-cies set forth in the Report and Order,adopted January 19, 1996 in IB DocketNo. 95–41.

[58 FR 13421, Mar. 11, 1993, as amended at 61FR 9953, Mar. 12, 1996]

§ 25.277 Temporary fixed earth stationoperations.

(a) When an earth station in theFixed-Satellite Service is to remain ata single location for fewer than 6months, the location may be consid-ered to be temporary fixed. Servicesprovided at a single location which areinitially known to be of longer than sixmonths’ duration shall not be providedunder a temporary fixed authorization.

(b) When a station, authorized as atemporary fixed earth station, is to re-main at a single location for more thansix months, application for a regularstation authorization at that locationshall be filed at least 30 days prior tothe expiration of the six-month period.

(c) The licensee of an earth stationwhich is authorized to conduct tem-porary fixed operations in bands sharedco-equally with terrestrial fixed sta-tions shall provide the following infor-mation to the Director of the ColumbiaOperations Center at 9200 FarmhouseLane, Columbia, Maryland 21046, and tothe licensees of all terrestrial facilitieslying within the coordination contourof the proposed temporary fixed earthstation site before beginning trans-missions:

(1) The name of the person operatingthe station and the telephone numberat which the operator can be reacheddirectly;

(2) The exact frequency or fre-quencies used and the type of emissionsand power levels to be transmitted; and

(3) The commencement and antici-pated termination dates of operationfrom each location.

(d) Transmissions may not be com-menced until all affected terrestrial li-censees have been notified and theearth station operator has confirmedthat unacceptable interference will notbe caused to such terrestrial stations.

(e) Operations of temporary fixedearth stations shall cease immediatelyupon notice of harmful interferencefrom the Commission or the affected li-censee.


§ 25.278 Additional coordination obli-gation for non-geostationary andgeostationary satellite systems infrequencies allocated to the fixed-satellite service.

Licensees of non-geostationary sat-ellite systems that use frequency bandsallocated to the fixed-satellite servicefor their feeder link operations shallcoordinate their operations with li-censees of geostationary fixed-satelliteservice systems licensed by the Com-mission for operation in the same fre-quency bands. Licensees of geo-stationary fixed-satellite service sys-tems in the frequency bands that arelicensed to non-geostationary satellitesystems for feeder link operations shallcoordinate their operations with the li-censees of such non-geostationary sat-ellite systems.

[59 FR 53330, Oct. 21, 1994]

§ 25.279 Inter-satellite service.

(a) Any satellite communicating withother space stations may use fre-quencies in the inter-satellite serviceas indicated in § 2.106 of this chapter.This does not preclude the use of otherfrequencies for such purposes as pro-vided for in several service definitions,e.g., FSS. The technical details of theproposed inter-satellite link shall beprovided in accordance with § 25.114(c).

(b) Operating conditions. In order toensure compatible operations with au-thorized users in the frequency bandsto be utilized for operations in the


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inter-satellite service, these inter-sat-ellite service systems must operate inaccordance with the conditions speci-fied in this section.

(1) Coordination requirements with fed-eral government users. (i) In frequencybands allocated for use by the inter-satellite service that are also author-ized for use by agencies of the federalgovernment, the federal use of fre-quencies in the inter-satellite servicefrequency bands is under the regu-latory jurisdiction of the NationalTelecommunications and InformationAdministration (NTIA).

(ii) The Commission will use its ex-isting procedures to reach agreementwith NTIA to achieve compatible oper-ations between federal governmentusers under the jurisdiction of NTIAand inter-satellite service systemsthrough frequency assignment and co-ordination practice established byNTIA and the Interdepartment RadioAdvisory Committee (IRAC). In orderto facilitate such frequency assign-ment and coordination, applicantsshall provide the Commission with suf-ficient information to evaluate electro-magnetic compatibility with the fed-eral government users of the spectrum,and any additional information re-quested by the Commission. As part ofthe coordination process, applicantsshall show that they will not cause in-terference to authorized federal gov-ernment users, based upon existing sys-tem information provided by the gov-ernment. The frequency assignmentand coordination of the satellite sys-tem shall be completed prior to grantof construction authorization.

(2) Coordination among inter-satelliteservice systems. Applicants for authorityto establish inter-satellite service areencouraged to coordinate their pro-posed frequency usage with existingpermittees and licensees in the inter-satellite service whose facilities couldbe affected by the new proposal interms of frequency interference or re-stricted system capacity. All affectedapplicants, permittees, and licensees,shall at the direction of the Commis-sion, cooperate fully and make everyreasonable effort to resolve technicalproblems and conflicts that may in-hibit effective and efficient use of theradio spectrum; however, the permittee

or licensee being coordinated with isnot obligated to suggest changes or re-engineer an applicant’s proposal incases involving conflicts.


§ 25.280 Inclined orbit operations.

(a) Satellite operators may com-mence operation in inclined orbit modewithout obtaining prior Commissionauthorization provided that the Com-mission is notified by letter within 30days after operators commence. Thenotification shall include:

(1) The operator’s name;(2) The date of commencement of in-

clined orbit operation;(3) The initial inclination;(4) The rate of change in inclination

per year; and(5) The expected end-of-life of the

satellite accounting for inclined orbitoperation.

(b) Licensees operating in inclined-orbit are required to:

(1) Periodically correct the satellitealtitude to achieve a stationary space-craft antenna pattern on the surface ofthe Earth and centered on the sat-ellite’s designated service area;

(2) Control all interference to adja-cent satellites, as a result of operatingin an inclined orbit, to levels not to ex-ceed that which would be caused by thesatellite operating without an inclinedorbit;

(3) Not claim protection in excess ofthe protection that would be receivedby the satellite network operatingwithout an inclined orbit; and

(4) Continue to maintain the spacestation at the authorized longitude or-bital location in the geostationary sat-ellite arc with the appropriate east-west station-keeping tolerance.

[62 FR 5931, Feb 10, 1997]

§ 25.281 Automatic Transmitter Identi-fication System (ATIS).

All satellite uplink transmissionscarrying broadband video informationshall be identified through the use ofan automatic transmitter identifica-tion system as specified below.

(a) Effective March 1, 1991, all sat-ellite video uplink facilities shall be


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47 CFR Ch. I (10–1–01 Edition)§ 25.401

equipped with an ATIS encoder meet-ing the specifications set forth in para-graph (d) of this section.

(b) All video uplink facilities uti-lizing a transmitter manufactured onor after March 1, 1991 shall be equippedwith an ATIS encoder meeting the per-formance specifications set forth inparagraph (d) of this section and theencoder shall be integrated into theuplink transmitter chain in a methodthat cannot easily be defeated.

(c) The ATIS signal shall be a sepa-rate subcarrier which is automaticallyactivated whenever any RF emissionsoccur. The ATIS information shall con-tinuously repeat.

(d) The ATIS signal shall consist ofthe following:

(1) A subcarrier signal generated at afrequency of 7.1 MHz +/¥ 25 KHz and in-jected at a level no less than ¥26 dB(referenced to the unmodulated car-rier). The subcarrier deviation shallnot exceed 25 kHz peak deviation.

(2) The protocol shall be Inter-national Morse Code keyed by a 1200 Hz+/¥ 800 Hz tone representing a markand a message rate of 15 to 25 words perminute. The tone shall frequency mod-ulate the subcarrier signal.

(3) The ATIS signal as a minimumshall consist of the following:

(i) The FCC assigned earth stationcall sign;

(ii) A telephone number providingimmediate access to personnel capableof resolving ongoing interference or co-ordination problems with the station;

(iii) A unique ten digit serial numberof random number code programmedinto the ATIS device in a permanentmanner such that it cannot be readilychanged by the operator on duty;

(iv) Additional information may beincluded within the ATIS data streamprovided the total message length, in-cluding ATIS, does not exceed 30 sec-onds.

[55 FR 21551, May 25, 1990. Redesignated at 62FR 5932, Feb. 10, 1997]

Subpart E [Reserved]

Subpart F—Competitive BiddingProcedures for DARS


§ 25.401 Satellite DARS applicationssubject to competitive bidding.

Mutually exclusive initial applica-tions filed by Satellite CD Radio,Primosphere Limited Partnership, Dig-ital Satellite Broadcasting Corpora-tion, and American Mobile Radio Cor-poration, to provide DARS service aresubject to competitive bidding proce-dures. The procedures set forth in part1, subpart Q of this chapter will applyunless otherwise specified in this sub-part.


(a) Tie bids. Where a tie bid occurs,the high bidder will be determined bythe order in which the bids were re-ceived by the Commission.

(b) Maximum bid increments. The Com-mission may, by announcement beforeor during the auction, establish max-imum bid increments in dollar or per-centage terms.

(c) Minimum opening bid. The Com-mission will establish a minimumopening bid for the DARS spectrum,and the amount of which will be an-nounced by Public Notice prior to theauction.

(d) Activity rules. The Commissionwill establish activity rules which re-quire a minimum amount of biddingactivity. Bidders will be entitled to re-quest and be granted waivers of suchrule. The Commission will specify thenumber of waivers permitted in an auc-tion, the frequency with which theymay be exercised, and the method ofoperation of waivers by Public Noticeprior to the auction.

§ 25.403 Bidding application and cer-tification procedures.

Submission of Supplemental Applica-tion Information. In order to be eligi-ble to bid, each pending applicant must


357


timely submit certain supplemental in-formation. All supplemental informa-tion shall be filed by the applicant fivedays after publication of these rules inthe FEDERAL REGISTER. The supple-mental information must be certifiedand include the following:

(a) Applicant’s name;(b) Mailing Address (no Post Office

boxes);(c) City;(d) State;(e) ZIP Code;(f) Auction Number 15;(g) FCC Account Number;(h) Person(s) authorized to make or

withdraw a bid (list up to three individ-uals);

(i) Certifications and name and titleof person certifying the informationprovided;

(j) Applicant’s contact person andsuch person’s telephone number, E-mail address and FAX number; and

(k) Signature and date.

§ 25.404 Submission of down paymentand filing of long-form applications.

(a) After bidding has ended, the Com-mission will identify and notify thehigh bidder and declare the biddingclosed.

(b) Within ten (10) business days of aPublic Notice announcing the high bid-der on a particular license(s), a highbidder must submit to the Commis-sion’s lockbox bank such additionalfunds (the ‘‘down payment’’) as arenecessary to bring its total deposits(not including upfront payments ap-plied to satisfy bid withdrawal or de-fault payments) up to twenty (20) per-cent of its high bid(s). This down pay-ment must be made by wire transfer orcashier’s check drawn in U.S. dollarsfrom a financial institution whose de-posits are insured by the Federal De-posit Insurance Corporation and mustbe made payable to the Federal Com-munications Commission. Down pay-ments will be held by the Commissionuntil the high bidder has been awardedthe license and has paid the remainingbalance due on the license, in whichcase it will not be returned, or untilthe winning bidder is found unqualifiedto be a licensee or has defaulted, inwhich case it will be returned, less ap-

plicable payments. No interest on anydown payment will be paid to a bidder.

(c) A high bidder that meets its downpayment obligations in a timely man-ner must, within thirty (30) businessdays after being notified that it is ahigh bidder, submit an amendment toits pending application to provide theinformation required by § 25.144.

§ 25.405 Prohibition of collusion.

Upon the deadline for filing the sup-plemental information required by§ 25.403, all applicants are prohibitedfrom cooperating, collaborating, dis-cussing or disclosing in any mannerthe substance of their bids or biddingstrategies, or discussing or negotiatingsettlement agreements, with other ap-plicants until after the high biddermakes the required down payment.


(a) Unless otherwise specified inthese rules, auction winners are re-quired to pay the balance of their win-ning bids in a lump sum within ten (10)business days following public noticeby the Commission that it is preparedto award the licenses. Grant of the li-cense will be conditioned on full andtimely payment of the winning bid.

(b) If a winning bidder withdraws itsbid after the Commission has declaredcompetitive bidding closed or fails toremit the required down payment with-in ten (10) business days after the Com-mission has declared competitive bid-ding closed, the bidder will be deemedto have defaulted, its application willbe dismissed, and it will be liable forthe default payment specified in§ 1.2104(g)(2). In such event, the Com-mission may either re-auction the li-cense to existing or new applicants oroffer it to the other highest bidders (indescending order) at their final bids.The down payment obligations setforth in § 25.404(b) will apply.

(c) A winning bidder who is found un-qualified to be a licensee, fails to remitthe balance of its winning bid in atimely manner, or defaults or is dis-qualified for any reason after havingmade the required down payment, willbe deemed to have defaulted and willbe liable for the penalty set forth in


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47 CFR Ch. I (10–1–01 Edition)§ 25.501

§ 1.2104(g)(2). In such event, the Com-mission will conduct another auctionfor the license, affording new partiesan opportunity to file an applicationfor the license.

(d) Bidders who are found to haveviolated the antitrust laws or the Com-mission’s rules in connection withtheir participation in the competitivebidding process may be subject, in ad-dition to any other applicable sanc-tions, to forfeiture their up front pay-ment, down payment or full bidamount, and may be prohibited fromparticipating in future auctions.

Subpart G [Reserved]

Subpart H—Authorization To OwnStock in the CommunicationsSatellite Corporation

SOURCE: 28 FR 13037, Dec. 5, 1963, unlessotherwise noted.

§ 25.501 Scope of this subpart.The provisions of this subpart govern

the administration of section 304 of theCommunications Satellite Act of 1962.These rules provide the procedure bywhich Commission authorization maybe obtained for the purchase of stock inthe corporation, the form and contentof the application, and the scope of theauthorization which may be granted.

§ 25.502 Definitions.(a) Communications common carrier.

See § 25.103(a).(b) Authorized carrier. For the pur-

poses of this subpart, the term ‘‘au-thorized carrier’’ means a communica-tions common carrier which is specifi-cally authorized or which is a memberof a class of carriers authorized by theCommission to own shares of stock inthe corporation.

§§ 25.503–25.504 [Reserved]

§ 25.505 Persons requiring authoriza-tion.

(a) No communications common car-rier, as defined in § 25.103(a), shall pur-chase, obtain, own, or otherwise holdat any time, either directly or indi-rectly through a subsidiary or affili-ated company, nominee, person or

other entity subject to its control ordirection, shares of stock in the cor-poration created pursuant to the Com-munications Satellite Act of 1962 un-less authorized to do so by the Com-mission.

(b) No individual, partnership, asso-ciation, joint-stock company, trust,corporation, or other entity whichowns or controls, directly or indirectly,or is under direct or indirect commoncontrol with, any such carrier, shallpurchase, obtain, own, or otherwisehold, at any time, shares of stock inthe corporation in its own name orright unless authorization previouslyshall have been obtained from theCommission by such entity or on be-half of such entity.

§§ 25.506–25.514 [Reserved]

§ 25.515 Method of securing authoriza-tion.

Any person, corporation, or other en-tity, described in § 25.505, desiring au-thorization to purchase, obtain, own,or otherwise hold shares of stock in thecorporation, shall file an applicationtherefor with the Commission in ac-cordance with §§ 25.520–25.525.

§§ 25.516–25.519 [Reserved]

§ 25.520 Contents of application.Every request for authorization sub-

mitted under this subpart shall containor incorporate the following informa-tion:

(a) If applicant is a corporation:(1) The name and address of the ap-

plicant.(2) Place of incorporation.(3) Names and addresses of directors

of applicant.(4) Names and addresses of appli-

cant’s ten principal stockholders andpercentages of stock of applicantowned by each.

(5) Names and addresses of principalofficers of applicant and percentage ofstock of applicant owned by each.

(6) A copy of applicant’s annual re-port to stockholders for the last fullyear of its operations covered by suchreport.

(7) A copy of applicant’s corporatecharter. (If such charter is already onfile with the Commission, applicantmay so state.)


359


(8) Names and addresses of all compa-nies in which applicant has financialinterests, the nature and extent of suchinterests, and a description of the prin-cipal business and activities of suchcompanies.

(9) Description of the intrastate,interstate, and foreign communicationservices rendered by applicant itself orjointly with other carriers, and thestate or states or other political sub-divisions in which applicant’s oper-ations are conducted.

(10) Statement of why applicant be-lieves a grant of its application will beconsistent with the public interest,convenience, and necessity.

(b) If applicant is an individual orbusiness organization other than a cor-poration:

(1) Name and address of the appli-cant.

(2) Name and address of each personhaving a financial interest in the enti-ty and a description of the nature andextent of such interest.

(3) Principal place of business of ap-plicant.

(4) Copy of applicant’s balance sheetand income statement for the last fullyear of applicant’s operations.

(5) Description of the intrastate,interstate, and foreign communica-tions services rendered by applicantitself or jointly with other carriers andthe state or states or other politicalsubdivisions in which applicant’s oper-ations are conducted.

(6) Statement of why applicant be-lieves a grant of its application will beconsistent with the public interest,convenience, and necessity.

(c) If application is made on behalf ofany entity other than the applicantitself, the application shall so stateand shall include or incorporate the in-formation for said entity specified inparagraph (a) or (b) of this section asappropriate.

§ 25.521 Who may sign applications.(a) Except as provided in paragraph

(b) of this section, every application oramendment thereto shall be personallysigned by the applicant, if the appli-cant is an individual; by one of thepartners, if the applicant is a partner-ship; by an officer if the applicant is acorporation; or by a member who is an

officer, if the applicant is an unincor-porated association.

(b) Applications and amendmentsthereto may be signed by the appli-cant’s attorney in case of the appli-cant’s physical disability, or in casethe applicant does not reside in any ofthe contiguous 48 states of the UnitedStates or in the District of Columbia.The attorney shall in that event sepa-rately set forth the reason why the ap-plication is not signed by the appli-cant. In addition, if any matter is stat-ed on the basis of the attorney’s beliefonly (rather than his knowledge), heshall separately set forth his reasonsfor believing that such statements aretrue.

(c) Only the original of applicationsand amendments thereto need besigned; copies may be conformed.

(d) Applications and amendmentsthereto need not be signed under oath;however, willful false statements madetherein, are punishable by fine and im-prisonment, U.S. Code, Title 18, section1001, and by appropriate administrativesanctions, including refusal or revoca-tion of authorization to purchase, ob-tain, own, or otherwise hold shares ofstock in the corporation.

§ 25.522 Full disclosures.

Each application shall contain fulland complete disclosures with regardto the real party or parties in interestand as to all matters and things re-quired to be disclosed in the applica-tion.

§ 25.523 Form of application, numberof copies, fees, etc.

(a) The original application and fivecopies thereof shall be filed with theCommission. Each copy shall bear thedates and signatures that appear onthe original and shall be complete initself.

(b) All applications shall be on paper8 by 101⁄2 inches with left hand marginnot less than 11⁄2 inches wide. The im-pression shall be on one side of thepaper only and shall be double spaced.All applications and accompanying pa-pers, except charts, shall be type-written or prepared by mechanical


360

47 CFR Ch. I (10–1–01 Edition)§ 25.524

processing methods. All copies must beclearly legible.



§ 25.525 Action upon applications.No application filed under this sub-

part will be granted by the Commissionearlier than 20 days following issuanceof public notice by the Commission ofthe acceptance for filing of such appli-cation or any substantial amendmentthereto. Any interested party may filecomments with respect to the applica-tion (or amendment thereto) withinthis 20-day period. Such commentsmust also be served on the applicantwho shall be afforded 10 days in whichto file reply comments. If upon exam-ination of any such application (oramendment thereto) together with anycomments filed with respect theretothe Commission is unable to make afinding that a grant of authorizationwill be consistent with the public in-terest, convenience, and necessity, itwill deny the application or institutesuch further proceedings as in its dis-cretion appear appropriate.

§ 25.526 Amendments.The Commission may at any time

order or require the applicant to amendhis application so as to make it moredefinite and certain or to submit suchadditional documents, or statements,as in the judgment of the Commissionmay be necessary.

§ 25.527 Defective applications.(a) Applications not in accordance

with the applicable rules in this chap-ter may be deemed defective and re-turned by the Commission without ac-ceptance of such applications for filingand consideration.

(b) The assignment of a file number,if any, to an application is for the ad-ministrative convenience of the Com-mission and does not indicate the ac-ceptance of the application for filingand consideration.

§§ 25.528–25.529 [Reserved]

§ 25.530 Scope of authorization.

(a) In order to effectuate the purposeof the Communications Satellite Act of1962 of promoting the widest possibledistribution of stock among the au-thorized carriers, each authorizationissued pursuant to this subpart by theCommission shall be so conditionedthat in the event any voting stock au-thorized to be issued by the corpora-tion, which is reserved and availablefor purchase by authorized carriers, isoversubscribed, the Commission mayspecify the dollar amount or percent-age of such stock which may be pur-chased pursuant to such authorization.

(b) All authorizations shall be issuedto, or on behalf of the named applicantand shall not be transferable.

(c) The Commission may attach suchother conditions to the authorizationas it determines to be consistent withthe public interest, convenience, andnecessity.

§ 25.531 Revocation of authorization.

Where any person to whom an au-thorization has been issued pursuant tothis subpart has willfully failed tomake a complete disclosure with re-gard to the real party or parties in in-terest or as to all matters and thingsrequired to be disclosed in the applica-tion, the Commission at any time mayorder such person to show cause whysuch authorization should not be re-voked. Such person will be given rea-sonable opportunity to respond in writ-ing to the order to show cause. Uponconsideration of the response, the Com-mission will determine whether anorder of revocation should issue orwhether further proceedings, as may beappropriate, should be instituted. If anorder of revocation is issued, imme-diate disposition shall be made of theshares of stock purchased or otherwiseobtained pursuant to said authoriza-tion.


361


Subpart I—Equal EmploymentOpportunities

§ 25.601 Equal employment oppor-tunity requirement.

Notwithstanding other EEO provi-sions within § 1.815 of this chapter, anentity that uses an owned or leasedfixed satellite service facility (oper-ating under this part) to provide morethan one channel of video program-ming directly to the public must com-ply with the equal employment oppor-tunity requirements set forth in part76, subparts E and U of this chapter, ifsuch entity exercises control (as de-fined in part 76, subparts E and U ofthis chapter) over the video program-ming it distributes.

[58 FR 42249, Aug. 9, 1993, as amended at 65FR 53614, Sept. 5, 2000]

PART 26—GENERAL WIRELESSCOMMUNICATIONS SERVICE


Sec.26.1 Basis and purpose.26.2 Other applicable rule parts.26.3 Permissible communications.26.4 Terms and definitions.


26.11 Initial authorization.26.12 Eligibility.26.13 License period.26.14 Criteria for comparative renewal pro-

ceedings.


26.51 Equipment authorization.26.52 RF safety.26.53 Emission limits.26.54 Frequency stability.26.55 Field strength limits.26.56 Antenna structures; air navigation

safety.

Subpart D—Miscellaneous

26.101 Multiple ownership restrictions.26.102 Service areas.26.103 Frequencies.26.104 Construction requirements.26.105 Notification to the Arecibo Observ-

atory.

Subpart E—Competitive BiddingProcedures for GWCS

26.201 GWCS subject to competitive bidding.

26.202 Competitive bidding design for GWCSlicensing.

26.203 Competitive bidding mechanisms.26.204 [Reserved]26.205 Bidding application (FCC Form 175

and 175–S Short-Form).26.206 Submission of upfront payments and

down payments.26.207 Long-form applications.26.208 License grant, denial, default, and

disqualification.26.209 Eligibility for partitioned licenses.26.210 Provisions for small businesses.

Subpart F—Application, Licensing, andProcessing Rules for GWCS

26.301 Authorization required.26.302 Eligibility.26.303–26.307 [Reserved]26.308 Technical content of applications;

maintenance of list of station locations.26.309–26.320 [Reserved]26.321 Mutually exclusive applications.26.322 [Reserved]26.323 Post-auction divestitures.26.324–26.326 [Reserved]

AUTHORITY: 47 U.S.C. sections 154, 301, 302,303, 309 and 332, unless otherwise noted.

SOURCE: 60 FR 40719, Aug. 9, 1995, unlessotherwise noted.


§ 26.1 Basis and purpose.


(a) Basis. The rules for the generalwireless communications service(GWCS) in this part are promulgatedunder the provisions of the Commu-nications Act of 1934, as amended, thatvests authority in the Federal Commu-nications Commission to regulate radiotransmission and to issue licenses forstations.

(b) Purpose. This part states the con-ditions under which portions of theradio spectrum are made available andlicensed for GWCS.

(c) Scope. The rules in this part applyonly to stations authorized under thispart.

§ 26.2 Other applicable rule parts.Other FCC rule parts applicable to li-

censees in the general wireless commu-nications service include the following:


362

47 CFR Ch. I (10–1–01 Edition)§ 26.3


(b) Part 1. This part includes rules ofpractice and procedure for license ap-plications, adjudicatory proceedings,procedures for reconsideration and re-view of the Commission’s actions; pro-visions concerning violation noticesand forfeiture proceedings; and the en-vironmental requirements that, if ap-plicable, must be complied with priorto the initiation of construction. Sub-part F includes the rules for the Wire-less Telecommunications Services andthe procedures for filing electronicallyvia the ULS.

(c) Part 2. This part contains theTable of Frequency Allocations andspecial requirements in internationalregulations, recommendations, agree-ments, treaties. This part also containsstandards and procedures concerningthe marketing and importation ofradio frequency devices, and for obtain-ing equipment authorization.


(e) Part 17. This part contains re-quirements for construction, markingand lighting of antenna towers.

(f) Part 68. This part contains tech-nical standards for connection of ter-minal equipment to the telephone net-work.


§ 26.3 Permissible communications.GWCS licensees may provide any

fixed or mobile communications serv-ice on their assigned spectrum. Broad-casting services, Radiolocation serv-ices and satellite services as defined in§ 2.1 of this chapter are prohibited.

§ 26.4 Terms and definitions.Affiliate. See § 1.2110(b)(4) of this chap-

ter.Assigned frequency. The center of the

frequency band assigned to a station.Authorized bandwidth. The maximum

width of the band of frequencies per-

mitted to be used by a station. This isnormally considered to be the nec-essary or occupied bandwidth, which-ever is greater.

Average terrain. The average ele-vation of terrain between 3 and 16 kilo-meters from the antenna site.

Controlling interest. (a) For purposesof this section, controlling interest in-cludes individuals or entities with bothDe jure and De facto control of the ap-plicant. De jure control is greater than50 percent of the voting stock of a cor-poration, or in the case of a partner-ship, the general partner. De facto con-trol is determined on a case-by-casebasis. An entity must disclose its eq-uity interest and demonstrate at leastthe following indicia of control to es-tablish that it retains De facto controlof the applicant:

(1) The entity constitutes or appointsmore than 50 percent of the board of di-rectors or management committee;

(2) The entity has authority to ap-point, promote, demote, and fire seniorexecutives that control the day-to-dayactivities of the licensee; and

(3) The entity plays an integral rolein management decisions.

(b) Calculation of certain interests.(1) Ownership interests shall be cal-

culated on a fully diluted basis; allagreements such as warrants, stock op-tions and convertible debentures willgenerally be treated as if the rightsthereunder already have been fully ex-ercised.

(2) Partnership and other ownershipinterests and any stock interest eq-uity, or outstanding stock, or out-standing voting stock shall be attrib-uted as specified below.

(3) Stock interests held in trust shallbe attributed to any person who holdsor shares the power to vote such stock,to any person who has the sole powerto sell such stock, and, to any personwho has the right to revoke the trustat will or to replace the trustee at will.If the trustee has a familial, personal,or extra-trust business relationship tothe grantor or the beneficiary, thegrantor or beneficiary, as appropriate,will be attributed with the stock inter-ests held in trust.

(4) Non-voting stock shall be attrib-uted as an interest in the issuing enti-ty.


363


(5) Limited partnership interestsshall be attributed to limited partnersand shall be calculated according toboth the percentage of equity paid inand the percentage of distribution ofprofits and losses.

(6) Officers and directors of an entityshall be considered to have an attrib-utable interest in the entity. The offi-cers and directors of an entity thatcontrols a licensee or applicant shallbe considered to have an attributableinterest in the licensee or applicant.

(7) Ownership interests that are heldindirectly by any party through one ormore intervening corporations will bedetermined by successive multiplica-tion of the ownership percentages foreach link in the vertical ownershipchain and application of the relevantattribution benchmark to the resultingproduct, except that if the ownershippercentage for an interest in any linkin the chain exceeds 50 percent or rep-resents actual control, it shall betreated as if it were a 100 percent inter-est.

(8) Any person who manages the op-erations of an applicant or licenseepursuant to a management agreementshall be considered to have an attrib-utable interest in such applicant or li-censee if such person or its affiliatepursuant to § 1.2110(b)(4), has authorityto make decisions or otherwise engagesin practices or activities that deter-mine, or significantly influence:

(i) The nature or types of services of-fered by such an applicant or licensee;



(9) Any licensee or its affiliate whoenters into a joint marketing arrange-ment with an applicant or licensee, orits affiliate, shall be considered to havean attributable interest, if such appli-cant or licensee, or its affiliate, has au-thority to make decisions or otherwiseengage in practices or activities thatdetermine, or significantly influence:

(i) The nature or types of services of-fered by such an applicant or licensee;



Effective radiated power (e.r.p.) (in agiven direction). The product of thepower supplied to the antenna and itsgain relative to a half-wave dipole in agiven direction.

Equivalent isotropically radiated power(e.i.r.p.). The product of the power sup-plied to the antenna and the antennagain in a given direction relative to anisotropic antenna.

Fixed service. A radio communicationservice between specified fixed points.


Gross Revenues. See § 1.2110(m) of thischapter.

Land mobile service. A mobile servicebetween base stations and land mobilestations, or between land mobile sta-tions.

Land mobile station. A mobile stationin the land mobile service capable ofsurface movement within the geo-graphic limits of a country or con-tinent.

Land station. A station in the mobileservice not intended to be used while inmotion.

Mobile service. A radio communica-tion service between mobile and landstations, or between mobile stations.

Mobile station. A station in the mo-bile service intended to be used whilein motion or during halts at unspec-ified points.

National Geodetic Reference System(NGRS): The name given to all geodeticcontrol data contained in the NationalGeodetic Survey (NGS) data base.(Source: National Geodetic Survey,U.S. Department of Commerce)

Rural telephone companies. A ruraltelephone company is any local ex-change carrier operating entity to theextent that such entity—

(a) Provides common carrier serviceto any local exchange carrier studyarea that does not include either

(1) Any incorporated place of 10,000inhabitants or more, or any part there-of, based on the most recently avail-able population statistics of the Bu-reau of the Census, or

(2) Any territory, incorporated or un-incorporated, included in an urbanizedarea, as defined by the Bureau of theCensus as of August 10, 1993;


364

47 CFR Ch. I (10–1–01 Edition)§ 26.11

(b) Provides telephone exchange serv-ice, including exchange access, to fewerthan 50,000 access lines;

(c) Provides telephone exchange serv-ice to any local exchange carrier studyarea with fewer than 100,000 accesslines; or

(d) Has less than 15 percent of its ac-cess lines in communities of more than50,000 on the date of enactment of theTelecommunications Act of 1996.

Small business: consortium of smallbusinesses. (a) A small business is anentity that, together with its affiliatesand entities holding controlling inter-ests in the entity, has average annualgross revenues that are not more than$40 million for the preceding threeyears.

(b) A small business consortium is aconglomerate organization formed as ajoint venture between or among mutu-ally independent business firms, eachof which individually satisfies the defi-nition of a small business. Where anapplicant (or licensee) is a consortiumof small businesses, the gross revenuesof each business shall not be aggre-gated.

(c) Applicants without identifiablecontrolling interests. Where an appli-cant (or licensee) cannot identify con-trolling interests under the standardsset forth in this section, the gross reve-nues of all interest holders in the appli-cant, and their affiliates, will be at-tributable.

Total assets. Total assets shall meanthe book value (except where generallyaccepted accounting principles (GAAP)require market valuation) of all prop-erty owned by an entity, whether realor personal, tangible or intangible, asevidenced by the most recent auditedfinancial statements.


[60 FR 40719, Aug. 9, 1995, as amended at 64FR 56577, Oct. 22, 1998; 63 FR 68953, Dec. 14,1998]



plication for an initial authorizationfor all markets won and frequencyblocks desired.

(b) Blanket licenses are granted foreach market and frequency block. Ap-plications for individual sites are notrequired and will not be accepted.


§ 26.12 Eligibility.Any entity, other than those pre-

cluded by section 310 of the Commu-nications Act of 1934, as amended, 47U.S.C. § 310, is eligible to hold a licenseunder this part.

§ 26.13 License period.Licenses for service areas will be

granted for ten year terms from thedate of original issuance or renewal.

§ 26.14 Criteria for comparative re-newal proceedings.

A renewal applicant involved in acomparative renewal proceeding shallreceive a preference, commonly re-ferred to as a renewal expectancy,which is the most important compara-tive factor to be considered in the pro-ceeding, if its past record for the rel-evant license period demonstrates thatthe renewal applicant:

(a) Has provided ‘‘substantial’’ serv-ice during its past license term. ‘‘Sub-stantial’’ service is defined as servicewhich is sound, favorable, and substan-tially above a level of mediocre servicewhich might just minimally warrantrenewal; and

(b) Has substantially complied withapplicable Commission rules, policiesand the Communications Act.

Subpart C—Technical Standards§ 26.51 Equipment authorization.

(a) Each transmitter utilized for op-eration under this part and each trans-mitter marketed, as set forth in § 2.803of this chapter, must be of a type thathas been authorized by the Commissionunder its type certification procedure.


365


(b) Any manufacturer of radio trans-mitting equipment to be used in theseservices may request equipment au-thorization following the proceduresset forth in Subpart J of part 2 of thischapter. Equipment authorization foran individual transmitter may be re-quested by an applicant for a stationauthorization by following the proce-dures set forth in part 2 of this chapter.

[63 FR 36604, July 7, 1998]

§ 26.52 RF safety.Licensees and manufacturers are sub-

ject to the radiofrequency radiation ex-posure requirements specified in§ 1.1307(b), § 2.1091 and § 2.1093 of thischapter, as appropriate. Applicationsfor equipment authorization of mobileor portable devices operating underthis section must contain a statementconfirming compliance with these re-quirements for both fundamentalemmissions and unwanted emissions.Technical information showing thebasis for this statement must be sub-mitted to the Commission upon re-quest.

[62 FR 47968, Sept. 12, 1997]

§ 26.53 Emission limits.(a) The power of any emission at the

edges of the 4660–4685 MHz band shall beattenuated below the transmitterpower (P) by at least 43 + 10 log10(P) or80 decibels, whichever is less.

(b) Compliance with these provisionsis based on the use of measurement in-strumentation employing a resolutionbandwidth of 1 MHz or greater. How-ever, in the 1 MHz bands immediatelyoutside and adjacent to the frequencyblock a resolution bandwidth of atleast one percent of the emission band-width of the fundamental emission ofthe transmitter may be employed. Theemission bandwidth is defined as thewidth of the signal between two points,one below the carrier center frequencyand one above the carrier center fre-quency, outside of which all emissionare attenuated at least 26 dB below thetransmitter power.

(c) When measuring the emissionlimits, the nominal carrier frequencyshall be adjusted as close to the li-cense’s frequency block edges, bothupper and lower, as the design permits.

(d) The measurements of emissionpower can be expressed in peak or aver-age values, provided that they are ex-pressed in the same parameters as thetransmission power.

(e) When an emission outside of theauthorized bandwidth causes harmfulinterference, the Commission may, atits discretion, require greater attenu-ation than specified in this section.


The frequency stability shall be suffi-cient to ensure that the fundamentalemission stays within the authorizedfrequency block.

§ 26.55 Field strength limits.

The predicted or measured medianfield strength at any location on theborder of the GWCS service area shallnot exceed 55 dBu unless licensees oper-ating in adjacent areas agree to higherfield strength along their mutual bor-ders.


Licensees that own their antennastructures must not allow these an-tenna structures to become a hazard toair navigation. In general, antennastructure owners are responsible forregistering antenna structures withthe FCC if required by part 17 of thischapter, and for installing and main-taining any required marking andlighting. However, in the event of de-fault of this responsibility by an an-tenna structure owner, each FCC per-mittee or licensee authorized to use anaffected antenna structure will be heldresponsible by the FCC for ensuringthat the antenna structure continuesto meet the requirements of part 17 ofthis chapter. See § 17.6 of this chapter.

(a) Marking and lighting. Antennastructures must be marked, lighted andmaintained in accordance with part 17of this chapter and all applicable rulesand requirements of the Federal Avia-tion Administration.

(b) Maintenance contracts. Antennastructure owners (or licensees and per-mittees, in the event of default by anantenna structure owner) may enterinto contracts with other entities to


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47 CFR Ch. I (10–1–01 Edition)§ 26.101

monitor and carry out necessary main-tenance of antenna structures. An-tenna structure owners (or licenseesand permittees, in the event of defaultby an antenna structure owner) thatmake such contractual arrangementscontinue to be responsible for themaintenance of antenna structures inregard to air navigation safety.

[63 FR 71041, Dec. 23, 1998]

Subpart D—Miscellaneous

§ 26.101 Multiple ownership restric-tions.

(a) GWCS licensees shall not have anownership interest in more than threeof the five, 5 megahertz wide channelsavailable in any geographic area. Forpurposes of this restriction, a GWCS li-censee is:

(1) Any institutional investor, as de-fined in § 26.4, with an ownership inter-est of ten or more percent in a GWCSlicense; and

(2) Any other person or entity withan ownership interest of five or morepercent in a GWCS license.

(b) In cases where a party had indi-rect ownership, through an interest inan intervening entity (or entities) thathas ownership in the GWCS license,that indirect ownership shall be attrib-utable if the percentages of ownershipat each level, multiplied together,equal five or more percent ownership ofthe GWCS license, except that if theownership percentage for an interest inany link in the chain exceeds 50 per-cent or represents actual control, itshall be treated as if it were a 100 per-cent interest.

Example. Party X has a non-controllingownership interest of 25 percent in CompanyY, which in turn has a non-controlling own-ership interest of 10 percent in Company Z,the GWCS licensee. Party X’s effective own-ership interest in Company Z is Party X’sownership interest in Company Y (25 per-cent) times Company Y’s ownership interestin Company Z (10 percent). Therefore, PartyX’s effective ownership interest in CompanyZ is 2.5 percent, and is not attributable.

(c) Notwithstanding paragraph (b) ofthis section, the following interestsshall not constitute attributable own-ership interests for purposes of para-graph (a) of this section.

(1) A limited partnership interestheld by an institutional investor (asdefined § 26.4) where the limited partneris not materially involved, directly orindirectly, in the management or oper-ation of the GWCS holdings of the part-nership, and the licensee so certifies.The criteria which would assure ade-quate insulation for the purposes ofthis certification require:

(i) Prohibiting limited partners fromacting as employees of the limitedpartnership if responsibilities relate tothe carrier activities of the licensee;

(ii) Barring the limited partners fromserving as independent contractors;

(iii) Restricting communicationamong limited partners and the gen-eral partner regarding day-to-day ac-tivities of the licensee;

(iv) Empowering the general partnerto veto admissions of new general part-ners;

(v) Restricting the circumstances inwhich the limited partners can removethe general partner;

(vi) Prohibiting the limited partnersfrom providing services to the partner-ship relating to the GWCS holdings ofthe licensee; and

(vii) Stating that the limited part-ners may not become involved in themanagement or operation of the li-censee.

§ 26.102 Service areas.GWCS service areas are based on Eco-

nomic Areas developed by the Bureauof Economic Analysis, Department ofCommerce, referred to as ‘‘EAs’’ andthree additional EA-like service areas:Guam and the Northern Mariana Is-lands (combined as one service area),Puerto Rico and the United States Vir-gin Islands (combined as one servicearea), and American Samoa.

(a) Economic Areas. Codes from 001 to172 are assigned to the EAs in approxi-mate geographic order, beginning with001 in northern Maine, continuingsouth to Florida, then north to theGreat Lakes, and continuing in a ser-pentine pattern to the West Coast. Ex-cept for the Western Oklahoma EA(126), the Northern Michigan EA (058),and the 17 EAs that mainly correspondto consolidated metropolitan statis-tical areas (CMSAs), each EA is namedfor the metropolitan area or city that


367


is the node of its largest componenteconomic area (CEA) and that is usu-ally, but not always, the largest metro-politan area or city in the EA. EachCEA consists of a single economic nodeand the surrounding counties that areeconomically related to the node. Thefollowing list provides EA codes andnames.

Code and Name

001 Bangor, ME002 Portland, ME003 Boston-Worcester-Lawrence-Low-

ell-Brockton, MA–NH004 Burlington, VT005 Albany-Schenectady-Troy, NY006 Syracuse, NY007 Rochester, NY008 Buffalo-Niagara Falls, NY009 State College, PA010 New York-No. New Jersey-Long

Island, NY–NJ–CT–PA011 Harrisburg-Lebanon-Carlisle, PA012 Philadelphia-Wilmington-Atlantic

City, PA–NJ–DE–MD013 Washington-Baltimore, DC–MD–

VA–WV014 Salisbury, MD015 Richmond-Petersburg, VA016 Staunton, VA017 Roanoke, VA018 Greensboro-Winston-Salem-High

Point, NC019 Raleigh-Durham-Chapel Hill, NC020 Norfolk-Virginia Beach-Newport

News, VA–NC021 Greensville, NC022 Fayettesville, NC023 Charlotte-Gastonia-Rock Hill, NC–

SC024 Columbia, SC025 Wilmington, NC026 Charleston-North Charleston, SC027 Augusta-Aiken, GA–SC028 Savannah, GA029 Jacksonville, FL030 Orlando, FL031 Miami-Fort Lauderdale, FL032 Fort Myers-Cape Coral, FL033 Sarasota-Bradenton, FL034 Tampa-St. Petersburg-Clearwater,

FL035 Tallahassee, FA036 Dothan, AL037 Albany, GA038 Macon, GA039 Columbus, GA–AL040 Atlanta, GA

041 Greenville-Spartanburg-Anderson,SC

042 Asheville, NC043 Chattanooga, TN–GA044 Knoxville, TN045 Johnson City-Kingsport-Bristol,

TN–VA046 Hickory-Morganton, NC047 Lexington, KY048 Charleston, WV049 Cincinnati-Hamilton, OH–KY–IN050 Dayton-Springfield, OH051 Columbus, OH052 Wheeling, WV–OH053 Pittsburgh, PA054 Erie, PA055 Cleveland-Akron, OH056 Toledo, OH057 Detroit-Ann Arbor-Flint, MI058 Northern Michigan, MI059 Green Bay, WI060 Appleton-Oshkosh-Neenah, WI061 Traverse City, MI062 Grand Rapids-Muskegon-Holland,

MI063 Milwaukee-Racine, WI064 Chicago-Gary-Kenosha, IL–IN–WI065 Elkhart-Goshen, IN066 Fort Wayne, IN067 Indianapolis, IN068 Champaign-Urbana, IL069 Evansville-Henderson, IN–KY070 Louisville, KY–IN071 Nashville, TN072 Paducah, KY073 Memphis, TN–AR–MS074 Huntsville, AL075 Tupelo, MS076 Greenville, MS077 Jackson, MS078 Birmingham, AL079 Montgomery, AL080 Mobile, AL081 Pensacola, FL082 Biloxi-Gulfport-Pascagoula, MS083 New Orleans, LA084 Baton Rouge, LA085 Lafayette, LA086 Lake Charles, LA087 Beaumont-Port Arthur, TX088 Shreveport-Bossier City, LA089 Monroe, LA090 Little Rock-North Little Rock,

AR091 Fort Smith, AR–OK092 Fayetteville-Springdale-Rogers,

AR093 Joplin, MO094 Springfield, MO


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47 CFR Ch. I (10–1–01 Edition)§ 26.103

095 Jonesboro, AR096 St. Louis, MO–IL097 Springfield, IL098 Columbia, MO099 Kansas City, MO–KS100 Des Moines, IA101 Peoria-Pekin, IL102 Davenport-Moline-Rock Island,

IA–IL103 Cedar Rapids, IA104 Madison, WI105 La Crosse, WI–MN106 Rochester, MN107 Minneapolis-St. Paul, MN–WI108 Wausau, WI109 Duluth-Superior, MN–WI110 Grand Forks, ND–MN111 Minot, ND112 Bismarck, ND113 Fargo-Moorhead, ND–MN114 Aberdeen, SD115 Rapid City, SD116 Sioux Falls, SD117 Sioux City, IA–NE118 Omaha, NE–IA119 Lincoln, NE120 Grand Island, NE121 North Platte, NE122 Wichita, KS123 Topeka, KS124 Tulsa, OK125 Oklahoma City, OK126 Western Oklahoma, OK127 Dallas-Fort Worth, TX128 Abilene, TX129 San Angelo, TX130 Austin-San Marcos, TX131 Houston-Galveston-Brazoria, TX132 Corpus Christi, TX133 McAllen-Edinburg-Mission, TX134 San Antonio, TX135 Odessa-Midland, TX136 Hobbs, NM137 Lubbock, TX138 Amarillo, TX139 Santa Fe, NM140 Pueblo, CO141 Denver-Boulder-Greeley, CO142 Scottsbluff, NE143 Casper, WY144 Billings, MT145 Great Fallas, MT146 Missoula, MT147 Spokane, WA148 Idaho Falls, ID149 Twin Falls, ID150 Boise City, ID151 Reno, NV152 Salt Lake City-Ogden, UT

153 Las Vegas, NV–AZ154 Flagstaff, AZ155 Farmington, NM156 Albuquerque, NM157 El Paso, TX158 Phoenix-Mesa, AZ159 Tucson, AZ160 Los Angeles-Riverside-Orange

County, CA161 San Diego, CA162 Fresno, CA163 San Francisco-Oakland-San Jose,

CA164 Sacramento-Yolo, CA165 Redding, CA166 Eugene-Springfield, OR167 Portland-Salem, OR–WA168 Pendleton, OR169 Richland-Kennewick-Pasco, WA170 Seattle-Tacoma-Bremerton, WA171 Anchorage, AK172 Honolulu, HI

(b) Other eligible areas not includedin the Bureau of Economic Analysis’slist of EAs include: Guam and theNorthern Mariana Islands, Puerto Ricoand United States Virgin Islands, andAmerican Samoa.

§ 26.103 Frequencies.The following frequencies are avail-

able for GWCS in the Economic Areasand other areas described in § 26.102 asshown below.

Channel Block and Frequency Band

Block A: 4660–4665 MHzBlock B: 4665–4670 MHzBlock C: 4670–4675 MHzBlock D: 4675–4680 MHzBlock E: 4680–4685 MHz

§ 26.104 Construction requirements.(a) GWCS licensees shall within five

years of initial license grant date offerservice to one-third of the populationin the area in which they are licensed.Licensees shall serve two-thirds of thepopulation in the area in which theyare licensed within ten years of initiallicense grant date.

(b) In demonstrating compliance withthe above construction requirements,licensees must base their calculationson signal field strengths that ensurereliable service for the technology uti-lized. Licensees may use any serviceradius contour formula developed orgenerally used by industry, provided


369


that such formula is based on the tech-nical characteristics of their system.

(c) Upon meeting the five and tenyear benchmarks in paragraph (a) ofthis section, licensees shall file a mapand other supporting documentationthat demonstrates compliance with thegeographic area or population coveragerequirement. Licensees shall file astatement indicating commencementof service. The filing must be receivedat the Commission on or before expira-tion of the relevant period.

(d) If the sale of a license is approved,the new licensee is held to the originalbuild-out requirement.

(e) The licensee must notify the FCCelectronically by using FCC Form 601via the ULS, no later than by the endof the five-and ten-year periods, respec-tively, that it has met the applicableservice requirements. If the licenseefails to respond within the allottedtime, then the authorization will auto-matically terminate.

NOTE TO § 26.104: Population-based con-struction requirements contained in this sec-tion shall be based on the 1990 census.


EFFECTIVE DATE NOTE: At 60 FR 40719, Aug.9, 1995, § 26.104 was added. This section con-tains information collection and record-keeping requirements and will not becomeeffective until approval has been given bythe Office of Management and Budget.

§ 26.105 Notification to the Arecibo Ob-servatory.

(a) The requirements in this sectionare intended to minimize possible in-terference at the Arecibo Observatoryin Puerto Rico. Licensees must makereasonable efforts to protect the Ob-servatory from interference. Licenseesplanning to construct and operate anew station at a permanent fixed loca-tion on the islands of Puerto Rico,Desecheo, Mona, Vieques or Culebra inservices in which individual station li-censes are issued by the FCC; planningto construct and operate a new stationat a permanent fixed location on theseislands that may cause interference tothe operations of the Arecibo Observ-atory in services in which individualstation licenses are not issued by theFCC; or planning a modification of anyexisting station at a permanent fixed

location on these islands that would in-crease the likelihood of causing inter-ference to the operations of the Are-cibo Observatory must notify the In-terference Office, Arecibo Observatory,Post Office Box 995, Arecibo, PuertoRico 00613, in writing or electronically(e-mail address: [email protected]), of thetechnical parameters of the plannedoperation. Carriers may wish to use theinterference guidelines provided byCornell University as guidance in de-signing facilities to avoid interferenceto the Observatory. The notificationmust include identification of the geo-graphical coordinates of the antennalocation (NAD–83 datum), the antennaheight, antenna directivity (if any),proposed channel and FCC rule part,type of emission, and effective iso-tropic radiated power.

(b) In services in which individualstation licenses are issued by the FCC,the notification required in paragraph(a) of this section should be sent at thesame time the application is filed withthe FCC, and at least 20 days in ad-vance of the applicant’s planned oper-ation. The application must state thedate that notification in accordancewith paragraph (a) was made. In serv-ices in which individual station li-censes are not issued by the FCC, thenotification required in paragraph (a)of this section should be sent at least45 days in advance of the applicant’splanned operation. In the latter serv-ices, the Interference Office must in-form the FCC of a notification by anapplicant within 20 days if the Officeplans to file comments or objections tothe notification. After the FCC re-ceives an application from a service ap-plicant or is informed by the Inter-ference Office of a notification from aservice applicant, the FCC will allowthe Interference Office a period of 20days for comments or objections in re-sponse to the application or notifica-tion.

(c) If an objection to any plannedservice operation is received during the20-day period from the Interference Of-fice, the FCC will take whatever actionis deemed appropriate.

[63 FR 41203, Aug. 3, 1998]


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47 CFR Ch. I (10–1–01 Edition)§ 26.201

Subpart E—Competitive BiddingProcedures for GWCS

§ 26.201 GWCS subject to competitivebidding.

Mutually exclusive initial applica-tions to provide GWCS service are sub-ject to competitive bidding procedures.The general competitive bidding proce-dures found in 47 CFR part 1, subpartQ, will apply unless otherwise providedin this part.

§ 26.202 Competitive bidding designfor GWCS licensing.

(a) The Commission will employ thefollowing competitive bidding designswhen choosing from among mutuallyexclusive initial applications to pro-vide GWCS service:

(1) Simultaneous multiple round ac-tions

(2) Sequential oral auctions(b) The Commission may design and

test alternative procedures. The Com-mission will announce by Public Noticebefore each auction the competitivebidding design to be employed in a par-ticular auction.

(c) The Commission may use singlecombined auctions, which combine bid-ding for two or more substitutable li-censes and award licenses to the high-est bidders until the available licensesare exhausted. This technique may beused in conjunction with any type ofauction.



[63 FR 56578, Oct. 22, 1998]


§ 26.205 Bidding application (FCCform 175 and 175–S short-form).


[63 FR 56578, Oct. 22, 1998]



[63 FR 56578, Oct. 22, 1998]

§ 26.207 Long-form applications.Winning bidders will be required to

submit a long-form application on FCC

form 601 within ten business days afterbeing notified that they are the win-ning bidder. A single application for allwinning markets must be filed. Appli-cations on FCC Form 601 shall be sub-mitted pursuant to the procedures setforth in Subpart G of this Part and§ 1.2107(c) and (d) of this chapter andany associated Public Notices. Onlyauction winners will be eligible to fileapplications on FCC Form 601 for ini-tial GWCS licenses in the event of mu-tual exclusivity between applicants fil-ing Form 175.

[63 FR 68954, Dec. 14, 1998]



[63 FR 56578, Oct. 22, 1998]

§ 26.209 Eligibility for partitioned li-censes.

(a) Notwithstanding § 26.102, an appli-cant that is a rural telephone com-pany, as defined in § 26.4, may be grant-ed a GWCS license that is geographi-cally partitioned from a separately li-censed EA, so long as the EA applicantor licensee has voluntarily agreed (inwriting) to partition a portion of the li-cense to the rural telephone company.

(b) If partitioned licenses are beingapplied for in conjunction with a li-cense(s) to be awarded through com-petitive biding procedures—

(1) The applicable procedures for fil-ing short-form applications and forsubmitting upfront payments and downpayments contained in this part andpart 1 of this chapter shall be followedby the applicant, who must disclose aspart of its short-form application allparties to agreement(s) with or amongrural telephone companies to partitionthe license pursuant to this section, ifwon at auction (see § 1.2105(a)(2)(viii));

(2) Each rural telephone companythat is a party to an agreement to par-tition the license shall file, either elec-tronically via the ULS or with a paperform, a long-form application for itsrespective, mutually agreed-upon geo-graphic area together with the applica-tion for the remainder of the EconomicArea filed by the auction winner.

(c) If the partitioned license is beingapplied for as a partial assignment of


371


the EA license following grant of theinitial license, request for authoriza-tion for partial assignment of a licenseshall be made pursuant to § 26.324.

(d) Each application for a partitionedarea (long-form initial application orpartial assignment application) shallcontain a partitioning plan that mustpropose to establish a partitioned areato be licensed that meets the followingcriteria:

(1) Conforms to established geo-political boundaries (such as countylines);

(2) Includes the wireline service areaof the rural telephone company appli-cant; and

(3) Is reasonably related to the ruraltelephone company’s wireline servicearea.

NOTE TO PARAGRAPH (d)(3): A partitionedservice area will be presumed to be reason-ably related to the rural telephone com-pany’s wireline service area if the parti-tioned service area contains no more thantwice the population overlap between therural telephone company’s wireline servicearea and the partitioned area.

(e) Each licensee in each partitionedarea will be responsible for meeting theconstruction requirements in its area(see § 26.104).


§ 26.210 Provisions for small busi-nesses.

(a) Bidding credits. A winning bidderthat qualifies as a small business or aconsortium of small businesses mayuse the bidding credit specified in§ 1.2110(e)(2)(iii) of this chapter.

(b) Demonstrating small business quali-fications. See § 1.2110(i) of this chapter.

(c) Audits. See § 1.2110(l) of this chap-ter.


[63 FR 56578, Oct. 22, 1998]

Subpart F—Application, Licensing,and Processing Rules for GWCS

§ 26.301 Authorization required.No person shall use or operate any

device for the transmission of energyor communications by radio in the

services authorized by this part exceptas provided in this part.



(1) The applicant is qualified underthe applicable laws and the regula-tions, policies and decisions issuedunder those laws, including §§ 26.101 and26.12;



(b) Alien ownership. A GWCS author-ization to provide Commercial MobileRadio Service may not be granted to orheld by:



(3) Any corporation of which morethan one-fifth of the capital stock isowned of record or voted by aliens ortheir representatives or by a foreigngovernment or representative thereofor any corporation organized under thelaws of a foreign country.

(4) Any corporation directly or indi-rectly controlled by any other corpora-tion of which more than one-fourth ofthe capital stock is owned of record orvoted by aliens, their representatives,or by a foreign government or rep-resentative thereof, or by any corpora-tion organized under the laws of a for-eign country, if the Commission findsthat the public interest will be servedby the refusal or revocation of such li-cense.

(c) A GWCS authorization to providePrivate Mobile Radio Service may notbe granted to or held by a foreign gov-ernment or a representative thereof.

[60 FR 40719, Aug. 9, 1995, as amended at 61FR 55581, Oct. 28, 1996]

§ 26.303–26.307 [Reserved]


All applications required by this partshall contain all technical informationrequired by the application forms or


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47 CFR Ch. I (10–1–01 Edition)§§ 26.309–26.320

associated Public Notice(s). Applica-tions other than initial applications fora GWCS license must also comply withall technical requirements of the rulesgoverning the GWCS (see subparts Cand D as appropriate).

§§ 26.309–26.320 [Reserved]


(a) The Commission will consider ap-plications to be mutually exclusive iftheir conflicts are such that the grantof one application would effectivelypreclude by reason of harmful elec-trical interference, or other practicalreason, the grant of one or more of theother applications. The Commissionwill presume ‘‘harmful electrical inter-ference’’ to mean interference whichwould result in a material impairmentto service rendered to the public de-spite full cooperation in good faith byall applicants or parties to achieve rea-sonable technical adjustments whichwould avoid electrical conflict.

(b) Mutually exclusive applicationsfiled on Form 175 for the initial provi-sion of GWCS service are subject tocompetitive bidding in accordance withthe procedures in subpart F of this partand in part 1, subpart Q of this chapter.



§ 26.323 Post-action divestitures.Any parties sharing a common non-

controlling ownership interests whoaggregate more GWCS spectrum amongthem than a single entity is entitled tohold will be permitted to divest suffi-cient properties within 90 days of thelicense grant to come into compliancewith the spectrum aggregation limitsas follows:

(a) The GWCS applicant shall submitelectronically via the ULS, a signedstatement with its long-form applica-tion (FCC Form 601) stating that suffi-cient properties will be divested withinninety days of the license grant. If thelicensee is otherwise qualified, theCommission will grant the applications

subject to a condition that the licenseecome into compliance with the GWCSspectrum aggregation limits within 90days of grant of the license.

(b) Within 90 days of license grant,the licensee must certify that the ap-plicant and all parties to the applica-tion have come into compliance withthe GWCS spectrum aggregation lim-its. If the licensee fails to submit thecertification within 90 days, the Com-mission will immediately cancel allbroadband GWCS licenses won by theapplicant, impose the default paymentand, based on the facts presented, takeany other action it deems appropriate.Divestiture may be an interim trusteeif a buyer has not been secured in therequired time frame, as long as the ap-plicant has no interest in or control ofthe trustee, and the trustee may dis-pose of the property as it sees fit. In noevent may the trustee retain the prop-erty for longer than six months fromgrant of license.


§§ 26.324–26.326 [Reserved]

PART 27—MISCELLANEOUS WIRE-LESS COMMUNICATIONS SERV-ICES


Sec.27.1 Basis and purpose.27.2 Permissible communications.27.3 Other applicable rule parts.27.4 Terms and definitions.27.5 Frequencies.27.6 Service areas.


27.10 Regulatory status.27.11 Initial authorization.27.12 Eligibility.27.13 License period.27.14 Construction requirements; Criteria

for comparative renewal proceedings.27.15 Geographic partitioning and spectrum

disaggregation.


27.50 Power and antenna height limits.27.51 Equipment authorization.27.52 RF safety.27.53 Emission limits.27.54 Frequency stability.27.55 Field strength limits.


373


27.56 Antenna structures; air navigationsafety.

27.57 International coordination.27.58 Interference to MDS/ITFS receivers.27.59 [Reserved]27.60 TV/DTV interference protection cri-

teria.27.61–27.62 [Reserved]27.63 Disturbance of AM broadcast station

antenna patterns.27.64 Protection from interference.27.66 Discontinuance, reduction, or impair-

ment of service.

Subpart D—Competitive Bidding Proce-dures for the 2305–2320 MHz and2345–2360 MHz Bands

27.201 WCS in the 2305–2320 MHz and 2345–2360 MHz bands subject to competitivebidding.

27.202 Competitive bidding mechanisms.27.203 Withdrawal, default and disqualifica-

tion payments.27.204 Bidding application and certification

procedures; prohibition of collusion.27.205 Submission of upfront payments.27.206 Submission of down payment and fil-

ing of long-form applications.27.207 [Reserved]27.208 License grant, denial, default, and

disqualification.27.209 Designated entities; bidding credits;

unjust enrichment.27.210 Definitions.

Subpart E—Application, Licensing, andProcessing Rules for WCS

27.301 [Reserved]27.302 Eligibility.27.303–27.307 [Reserved]27.308 Technical content of applications.27.310–27.320 [Reserved]27.321 Mutually exclusive applications.27.322–27.325 [Reserved]

Subpart F—Competitive BiddingProcedures for the 746–764MHz and 776–794 MHz Bands

27.501 746–764 MHz and 776–794 MHz bandssubject to competitive bidding.

27.502 Designated entities.

Subpart G—Guard BandManagers

27.601 Guard Band Manager authority andcoordination requirements.

27.602 Guard Band Manager agreements.27.603 Access to the Guard Band Manager’s

spectrum.27.604 Limitation on licenses won at auc-

tion.

27.605 Geographic partitioning and spec-trum disaggregation.

27.606 Complaints against Guard Band Man-agers.

27.607 Performance requirements and an-nual reporting requirement.

AUTHORITY: 47 U.S.C. 154, 301, 302, 303, 307,309, 332, 336, and 337 unless otherwise noted.

SOURCE: 62 FR 9658, Mar. 3, 1997, unless oth-erwise noted.

Subpart A—General Information§ 27.1 Basis and purpose.


(a) Basis. The rules for miscellaneouswireless communications services(WCS) in this part are promulgatedunder the provisions of the Commu-nications Act of 1934, as amended, thatvest authority in the Federal Commu-nications Commission to regulate radiotransmission and to issue licenses forradio stations.

(b) Purpose. This part states the con-ditions under which spectrum is madeavailable and licensed for the provisionof wireless communications services inthe following bands.

(1) 2305–2320 MHz and 2345–2360 MHz.(2) 746–764 MHz and 776–794 MHz.(c) Scope. The rules in this part apply

only to stations authorized under thispart.

[62 FR 9658, Mar. 3, 1997, as amended at 65 FR3144, Jan. 20, 2000; 65 FR 17601, Apr. 4, 2000]

§ 27.2 Permissible communications.(a) Miscellaneous wireless communica-

tions services. Except as provided inparagraph (b) of this section and sub-ject to technical and other rules con-tained in this part, a licensee in thefrequency bands specified in § 27.5 mayprovide any services for which its fre-quency bands are allocated, as set forthin the non-Federal Government columnof the Table of Allocations in § 2.106 ofthis chapter (column 5).

(b) 746–747 MHz, 776–777 MHz, 762–764MHz and 792–794 MHz bands. Operatorsin the 746–747 MHz, 776–777 MHz, 762–764MHz and 792–794 MHz bands may notemploy a cellular system architecture.A cellular system architecture is de-fined, for purposes of this part, as one


374

47 CFR Ch. I (10–1–01 Edition)§ 27.3

that consists of many small areas orcells (segmented from a larger geo-graphic service area), each of whichuses its own base station, to enable fre-quencies to be reused at relativelyshort distances.

(c) Satellite DARS. Satellite digitalaudio radio service (DARS) may be pro-vided using the 2310–2320 and 2345–2360MHz bands. Satellite DARS serviceshall be provided in a manner con-sistent with part 25 of this chapter.

[65 FR 3144, Jan. 20, 2000, as amended at 65FR 17601, Apr. 4, 2000]

§ 27.3 Other applicable rule parts.

Other FCC rule parts applicable tothe Wireless Communications Serviceinclude the following:


(b) Part 1. This part includes rules ofpractice and procedure for license ap-plications, adjudicatory proceedings,procedures for reconsideration and re-view of the Commission’s actions; pro-visions concerning violation noticesand forfeiture proceedings; competitivebidding procedures; and the environ-mental requirements that, if applica-ble, must be complied with prior to theinitiation of construction. Subpart Fincludes the rules for the WirelessTelecommunications Services and theprocedures for filing electronically viathe ULS.

(c) Part 2. This part contains theTable of Frequency Allocations andspecial requirements in internationalregulations, recommendations, agree-ments, and treaties. This part also con-tains standards and procedures con-cerning the marketing and importationof radio frequency devices, and for ob-taining equipment authorization.


(e) Part 15. This part sets forth therequirements and conditions applicableto certain radio frequency devices.

(f) Part 17. This part contains require-ments for construction, marking andlighting of antenna towers.

(g) Part 20. This part sets forth therequirements and conditions applicableto commercial mobile radio serviceproviders.

(h) Part 21. This part sets forth rulesthe requirements and conditions appli-cable to point-to-point microwave serv-ices relating to communications com-mon carriers.

(i) Part 22. This part sets forth the re-quirements and conditions applicableto public mobile services.

(j) Part 24. This part sets forth the re-quirements and conditions applicableto personal communications services.

(k) Part 25. This part contains the re-quirements for satellite communica-tions, including satellite DARS.

(l) Part 51. This part contains generalduties of telecommunications carriersto provide for interconnection withother telecommunications carriers.

(m) Part 68. This part contains tech-nical standards for connection of ter-minal equipment to the telephone net-work.

(n) Part 101. This part sets forth therequirements and conditions applicableto fixed microwave services.

[62 FR 9658, Mar. 3, 1997, as amended at 63 FR68954, Dec. 14, 1998; 65 FR 3144, Jan. 20, 2000]

§ 27.4 Terms and definitions.Affiliate. This term shall have the

same meaning as that for ‘‘affiliate’’ inpart 1, § 1.2110(b)(4) of this chapter.

Assigned frequency. The center of thefrequency band assigned to a station.

Authorized bandwidth. The maximumwidth of the band of frequencies per-mitted to be used by a station. This isnormally considered to be the nec-essary or occupied bandwidth, which-ever is greater.

Average terrain. The average ele-vation of terrain between 3 and 16 kilo-meters from the antenna site.

Base station. A land station in theland mobile service.

Broadcast services. This term shallhave the same meaning as that for‘‘broadcasting’’ in section 3(6) of theCommunications Act of 1934, i.e., ‘‘thedissemination of radio communicationsintended to be received by the public,


375


directly or by the intermediary ofrelay stations.’’ 47 U.S.C. 153(6).

Effective Radiated Power (ERP) (in agiven direction). The product of thepower supplied to the antenna and itsgain relative to a half-wave dipole in agiven direction.

Equivalent Isotropically RadiatedPower (EIRP). The product of the powersupplied to the antenna and the an-tenna gain in a given direction relativeto an isotropic antenna.

Fixed service. A radio communicationservice between specified fixed points.


Guard band manager. The term Guardband manager refers to a commercial li-censee in the 746–747 MHz, 762–764 MHz,776–777 MHz, and 792–794 MHz bandsthat functions solely as a spectrumbroker by subdividing its licensed spec-trum and making it available to sys-tem operators or directly to end usersfor fixed or mobile communicationsconsistent with Commission Rules. AGuard band manager is directly respon-sible for any interference or misuse ofits licensed frequency arising from itsuse by such non-licensed entities.

Land mobile service. A mobile servicebetween base stations and land mobilestations, or between land mobile sta-tions.

Land mobile station. A mobile stationin the land mobile service capable ofsurface movement within the geo-graphic limits of a country or con-tinent.

Land station. A station in the mobileservice not intended to be used while inmotion.

Mobile service. A radio communica-tion service between mobile and landstations, or between mobile stations.

Mobile station. A station in the mo-bile service intended to be used whilein motion or during halts at unspec-ified points.

National Geodetic Reference System(NGRS). The name given to all geodeticcontrol data contained in the NationalGeodetic Survey (NGS) data base.(Source: National Geodetic Survey,U.S. Department of Commerce)

Portable device. Transmitters de-signed to be used within 20 centimetersof the body of the user.

Radiodetermination. The determina-tion of the position, velocity and/orother characteristics of an object, orthe obtaining of information relatingto these parameters, by means of thepropagation properties of radio waves.

Radiolocation. Radiodeterminationused for purposes other than those ofradionavigation.

Radiolocation land station. A stationin the radiolocation service not in-tended to be used while in motion.

Radiolocation mobile station. A stationintended to be used while in motion orduring halts at unspecified points.

Radionavigation. Radiodeterminationused for the purpose of navigation, in-cluding obstruction warning.

Satellite Digital Audio Radio Service(satellite DARS). A radiocommunicationservice in which compact disc qualityprogramming is digitally transmittedby one or more space stations.

Time division multiple access (TDMA).A multiple access technique wherebyusers share a transmission medium bybeing assigned and using (one-at-a-time) for a limited number of time di-vision mulitplexed channels; impliesthat several transmitters use one chan-nel for sending several bit streams.

Time division multiplexing (TDM). Amultiplexing technique whereby two ormore channels are derived from atransmission medium by dividing ac-cess to the medium into sequential in-tervals. Each channel has access to theentire bandwidth of the medium duringits interval. This implies that onetransmitter uses one channel to sendseveral bit streams of information.


Wireless communications service. Aradiocommunication service licensedpursuant to this part for the frequencybands specified in § 27.5.

[62 FR 9658, Mar. 3, 1997, as amended at 62 FR16497, Apr. 7, 1997; 63 FR 68954, Dec. 14, 1998;65 FR 3145, Jan. 20, 2000; 65 FR 17602, Apr. 4,2000]


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47 CFR Ch. I (10–1–01 Edition)§ 27.5

§ 27.5 Frequencies.

(a) 2305–2320 MHz and 2345–2360 MHzbands. The following frequencies areavailable for WCS in the 2305–2320 MHzand 2345–2360 MHz bands:

(1) Two paired channel blocks areavailable for assignment on a MajorEconomic Area basis as follows:

Block A: 2305–2310 and 2350–2355 MHz; andBlock B: 2310–2315 and 2355–2360 MHz.

(2) Two unpaired channel blocks areavailable for assignment on a RegionalEconomic Area Grouping basis as fol-lows:

Block C: 2315–2320 MHz; andBlock D: 2345–2350 MHz.

(b) 746–764 MHz and 776–794 MHzbands. The following frequencies areavailable for licensing pursuant to thispart in the 746–764 MHz and 776–794 MHzbands:

(1) Two paired channels of 1 mega-hertz each are available for assignmentsolely to Guard band managers. BlockA: 746–747 MHz and 776–777 MHz.

(2) Two paired channels of 2 mega-hertz each are available for assignmentsolely to Guard band managers. BlockB: 762–764 MHz and 792–794 MHz.

(3) Two paired channels of 5 mega-hertz each are available for assign-ment. Block C: 747–752 MHz and 777–782MHz.

(4) Two paired channels of 10 mega-hertz each are available for assign-ment. Block D: 752–762 MHz and 782–792MHz.

[62 FR 9658, Mar. 3, 1997, as amended at 65 FR3145, Jan. 20, 2000; 65 FR 17602, Apr. 4, 2000]

§ 27.6 Service areas.(a) 2305–2320 MHz and 2345–2360 MHz

bands. WCS service areas for the 2305–2320 MHz and 2345–2360 MHz bands areMajor Economic Areas (MEAs) and Re-gional Economic Area Groupings(REAGs) as defined below. Both MEAsand REAGs are based on the U.S. De-partment of Commerce’s 172 EconomicAreas (EAs). See 60 FR 13114 (March 10,1995). In addition, the Commission shallseparately license Guam and theNorthern Mariana Islands, Puerto Ricoand the United States Virgin Islands,American Samoa, and the Gulf of Mex-ico, which have been assigned Commis-sion-created EA numbers 173–176, re-spectively. Maps of the EAs, MEAs, andREAGs and the FEDERAL REGISTER No-tice that established the 172 EAs areavailable for public inspection andcopying at the FCC Public ReferenceRoom, Room CY–A257, 445 12th StreetSW, Washington, D.C. 20554.

(1) The 52 MEAs are composed of oneor more EAs and the 12 REAGs arecomposed of one or more MEAs, as de-fined in the table below:

REAGs MEAs EAs

1 (Northeast) .............................................. 1 (Boston) ................................................ 1–3.2 (New York City) .................................... 4–7, 10.3 (Buffalo) ................................................ 8.4 (Philadelphia) ....................................... 11–12.

2 (Southeast) ............................................. 5 (Washington) ........................................ 13–14.6 (Richmond) ........................................... 15–17, 20.7 (Charlotte-Greensboro-Greenville-Ra-

leigh).18–19, 21–26, 41–42, 46.

8 (Atlanta) ................................................ 27–28, 37–40, 43.9 (Jacksonville) ........................................ 29, 35.10 (Tampa-St. Petersburg-Orlando) ....... 30, 33–34.11 (Miami) ............................................... 31–32.

3 (Great Lakes) ......................................... 12 (Pittsburgh) ......................................... 9, 52–53.13 (Cincinnati-Dayton) ............................. 48–50.14 (Columbus) ......................................... 51.15 (Cleveland) ......................................... 54–55.16 (Detroit) .............................................. 56–58, 61–62.17 (Milwaukee) ........................................ 59–60, 63, 104–105, 108.18 (Chicago) ............................................ 64–66, 68, 97, 101.19 (Indianapolis) ...................................... 67.20 (Minneapolis-St. Paul) ........................ 106–107, 109–114, 116.21 (Des Moines-Quad Cities) .................. 100, 102–103, 117.

4 (Mississippi Valley) ................................. 22 (Knoxville) ........................................... 44–45.23 (Louisville-Lexington-Evansville) ........ 47, 69–70, 72.24 (Birmingham) ...................................... 36, 74, 78–79.25 (Nashville) .......................................... 71.26 (Memphis-Jackson) ............................ 73, 75–77.27 (New Orleans-Baton Rouge) .............. 80–85.


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REAGs MEAs EAs

28 (Little Rock) ........................................ 90–92, 95.29 (Kansas City) ...................................... 93, 99, 123.30 (St. Louis) ........................................... 94, 96, 98.

5 (Central) .................................................. 31 (Houston) ............................................ 86–87, 131.32 (Dallas-Fort Worth) ............................. 88–89, 127–130, 135, 137–138.33 (Denver) ............................................. 115, 140–143.34 (Omaha) ............................................. 118–121.35 (Wichita) ............................................. 122.36 (Tulsa) ................................................ 124.37 (Oklahoma City) ................................. 125–126.38 (San Antonio) ..................................... 132–134.39 (El Paso-Albuquerque) ....................... 136, 139, 155–157.40 (Phoenix) ............................................ 154, 158–159.

6 (West) ..................................................... 41 (Spokane-Billings) .............................. 144–147, 168.42 (Salt Lake City) .................................. 148–150, 152.43 (San Francisco-Oakland-San Jose) ... 151, 162–165.44 (Los Angeles-San Diego) ................... 153, 160–161.45 (Portland) ............................................ 166–167.46 (Seattle) .............................................. 169–170.

7 (Alaska) .................................................. 47 (Alaska) .............................................. 171.8 (Hawaii) .................................................. 48 (Hawaii) .............................................. 172.9 (Guam and the Northern Mariana Is-

lands).49 (Guam and the Northern Mariana Is-

lands).173.

10 (Puerto Rico and U.S. Virgin Islands) .. 50 (Puerto Rico and U.S. Virgin Islands) 174.11 (American Samoa) ............................... 51 (American Samoa) ............................. 175.12 (Gulf of Mexico) .................................... 52 (Gulf of Mexico) .................................. 176.

(2) The Gulf of Mexico EA extendsfrom 12 nautical miles off the U.S. Gulfcoast outward into the Gulf.

(b) 746–764 MHz and 776–794 MHzbands. WCS service areas for the 746–764MHz and 776–794 MHz bands are as fol-lows.

(1) Service areas for Block A in the746–747 and 776–777 MHz bands andBlock B in the 762–764 and 792–794 MHzbands are based on Major EconomicAreas (MEAs), as defined in paragraphs(a)(1) and (a)(2) of this section.

(2) Service areas for Blocks C and Din the 747–762 MHz and 777–792 MHzbands are based on Economic AreaGroupings (EAGs) as defined by theFederal Communications Commission.

See 62 FR 15978 (April 3, 1997) extendedwith the Gulf of Mexico. See also para-graphs (a)(1) and (a)(2) of this sectionand 62 FR 9636 (March 3, 1997), in whichthe Commission created an additionalfour economic area-like areas for atotal of 176. Maps of the EAGs and theFEDERAL REGISTER Notice that estab-lished the 172 Economic Areas (EAs)are available for public inspection andcopying at the Reference Center, RoomCY A–257, 445 12th St., S.W., Wash-ington, DC 20554. These maps and dataare also available on the FCC websiteat www.fcc.gov/oet/info/maps/areas/.

(i) There are 6 EAGs, which are com-posed of multiple EAs as defined in thetable below:

Economic area groupings Name Economic areas

EAG001 .................................... Northeast ................................. 1–11, 54EAG002 .................................... Mid-Atlantic .............................. 12–26, 41, 42, 44–53, 70EAG003 .................................... Southeast ................................ 27–40, 43, 69, 71–86, 88–90, 95, 96, 174, 176(part)EAG004 .................................... Great Lakes ............................. 55–68, 97, 100–109EAG005 .................................... Central/Mountain ..................... 87, 91–94, 98, 99, 110–146, 148, 149, 152, 154–159,

176(part)EAG006 .................................... Pacific ...................................... 147, 150, 151, 153, 160–173, 175

NOTE 1 TO PARAGRAPH (b)(2)(i): EconomicArea Groupings are defined by the FederalCommunications Commission; see 62 FR 15978(April 3, 1997) extended with the Gulf of Mex-ico.

NOTE 2 TO PARAGRAPH (b)(2)(i): EconomicAreas are defined by the Regional Economic

Analysis Division, Bureau of Economic Anal-ysis, U.S. Department of Commerce Feb-ruary 1995 and extended by the Federal Com-munications Commission, see 62 FR 9636(March 3, 1997).


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47 CFR Ch. I (10–1–01 Edition)§ 27.10

(ii) For purposes of paragraph (b)(2)(i)of this section, EA 176 (the Gulf of Mex-ico) will be divided between EAG003(the Southeast EAG) and EAG005 (theCentral/Mountain EAG) in accordancewith the configuration of the Eastern/Central and Western Planning Area es-tablished by the Mineral ManagementServices Bureau of the Department ofthe Interior (MMS). That portion of EA176 contained in the Eastern and Cen-tral Planning Areas as defined by MMSwill be included in EAG003; that por-tion of EA 176 contained in the WesternPlanning Area as defined by MMS willbe included in EAG005. Maps of theseareas may be found on the followingMMS website: www.gomr.mms.gov/homepg/offshore/offshore.html.

[62 FR 9658, Mar. 3, 1997, as amended at 64 FR60726, Nov. 8, 1999; 65 FR 3145, Jan. 20, 2000; 65FR 17602, Apr. 4, 2000; 65 FR 60113, Oct. 10,2000]


§ 27.10 Regulatory status.Except with respect to Guard band

manager licenses, which are subject tosubpart G of this part, the followingrules apply concerning the regulatorystatus of licensees in the frequencybands specified in § 27.5.

(a) Single authorization. Authorizationwill be granted to provide any or acombination of the following servicesin a single license: common carrier,non-common carrier, and broadcast. Alicensee may render any kind of com-munications service consistent withthe regulatory status in its license andwith the Commission’s rules applicableto that service. An applicant or li-censee may submit a petition at anytime requesting clarification of theregulatory status for which authoriza-tion is required to provide a specificcommunications service.

(b) Designation of regulatory status ininitial application. An applicant shallspecify in its initial application if it isrequesting authorization to providecommon carrier, non-common carrier,or broadcast services, or a combinationthereof.

(c) Amendment of pending applications.The following rules apply to amend-ments of a pending application.

(1) Any pending application may beamended to:

(i) Change the carrier regulatory sta-tus requested, or

(ii) Add to the pending request inorder to obtain common carrier, non-common carrier, or broadcast status,or a combination thereof, in a single li-cense.

(2) Amendments to change, or add to,the carrier regulatory status in a pend-ing application are minor amendmentsfiled under § 1.927 of this chapter.

(d) Modification of license. The fol-lowing rules apply to amendments of alicense.

(1) A licensee may modify a licenseto:

(i) Change the regulatory status au-thorized, or

(ii) Add to the status authorized inorder to obtain a combination of serv-ices of different regulatory status in asingle license.

(2) Applications to change, or add to,the carrier status in a license are modi-fications not requiring prior Commis-sion authorization. The licensee mustnotify the Commission within 30 daysof the change. If the change results inthe discontinuance, reduction, or im-pairment of an existing service, the li-censee is subject to the provisions of§ 27.66.

[65 FR 3146, Jan. 20, 2000, as amended at 65FR 17602, Apr. 4, 2000]


plication for an initial authorizationfor all markets won and frequencyblocks desired. Initial authorizationsshall be granted in accordance with§ 27.5. Applications for individual sitesare not required and will not be accept-ed, except where required for environ-mental assessments, in accordancewith §§ 1.1301 through 1.1319 of thischapter.

(b) 2305–2320 MHz and 2345–2360 MHzbands. Initial authorizations for the2305–2320 MHz and 2345–2360 MHz bandsshall be for 10 megahertz of spectrumin accordance with § 27.5(a).

(1) Authorizations for Blocks A and Bwill be based on Major Economic Areas(MEAs), as specified in § 27.6(a)(1).

(2) Authorizations for Blocks C and Dwill be based on Regional Economic


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Area Groupings (REAGs), as specifiedin § 27.6(a)(2).

(c) 746–764 MHz and 776–794 MHzbands. Initial authorizations for the746–764 MHz and 776–794 MHz blocksshall be for 1, 2, 5, or 10 megahertz ofspectrum in accordance with § 27.5(b).

(1) Authorizations for Block A, con-sisting of two paired channels of 1megahertz each, will be based on thosegeographic areas specified in§ 27.6(b)(1).

(2) Authorizations for Block B, con-sisting of two paired channels of 2megahertz each, will be based on thosegeographic areas specified in§ 27.6(b)(1).

(3) Authorizations for Block C, con-sisting of two paired channels of 5megahertz each, will be based on Eco-nomic Area Groupings (EAGs), as spec-ified in § 27.6(b)(2).

(4) Authorizations for Block D, con-sisting of two paired channels of 10megahertz each, will be based on EAGs,as specified in § 27.6(b)(2).

[62 FR 9658, Mar. 3, 1997, as amended at 63 FR68954, Dec. 14, 1998; 65 FR 3146, Jan. 20, 2000]


Except as provided in § 27.604 any en-tity other than those precluded by sec-tion 310 of the Communications Act of1934, as amended, 47 U.S.C. 310, is eligi-ble to hold a license under this part.

[65 FR 17602, Apr. 4, 2000]

§ 27.13 License period.

(a) 2305–2320 MHz and 2345–2360 MHzbands. Initial WCS authorizations forthe 2305–2320 MHz and 2345–2360 MHzbands will have a term not to exceedten years from the date of originalissuance or renewal.

(b) 746–764 MHz and 776–794 MHzbands. Initial authorizations for the746–764 MHz and 776–794 MHz bands, willextend until January 1, 2015, exceptthat a part 27 licensee commencingbroadcast services, will be required toseek renewal of its license for suchservices at the termination of theeight-year term following commence-ment of such operations.

[65 FR 3146, Jan. 20, 2000; 65 FR 12483, Mar. 9,2000, as amended at 65 FR 17602, Apr. 4, 2000;65 FR 57267, Sept. 21, 2000]

§ 27.14 Construction requirements;Criteria for comparative renewalproceedings.

(a) WCS licensees must make a show-ing of ‘‘substantial service’’ in their li-cense area within the prescribed li-cense term set forth in § 27.13.. ‘‘Sub-stantial’’ service is defined as servicewhich is sound, favorable, and substan-tially above a level of mediocre servicewhich just might minimally warrantrenewal. Failure by any licensee tomeet this requirement will result inforfeiture of the license and the li-censee will be ineligible to regain it.

(b) A renewal applicant involved in acomparative renewal proceeding shallreceive a preference, commonly re-ferred to as a renewal expectancy,which is the most important compara-tive factor to be considered in the pro-ceeding, if its past record for the rel-evant license period demonstrates that:

(1) The renewal applicant has pro-vided ‘‘substantial’’ service during itspast license term; and

(2) The renewal applicant has sub-stantially complied with applicableFCC rules, policies and the Commu-nications Act of 1934, as amended.

(c) In order to establish its right to arenewal expectancy, a WCS renewal ap-plicant involved in a comparative re-newal proceeding must submit a show-ing explaining why it should receive arenewal expectancy. At a minimum,this showing must include:

(1) A description of its current serv-ice in terms of geographic coverage andpopulation served;

(2) An explanation of its record of ex-pansion, including a timetable of newconstruction to meet changes in de-mand for service;

(3) A description of its investments inits WCS system; and

(4) Copies of all FCC orders findingthe licensee to have violated the Com-munications Act or any FCC rule orpolicy; and a list of any pending pro-ceedings that relate to any matter de-scribed in this paragraph.

(d) In making its showing of entitle-ment to a renewal expectancy, a re-newal applicant may claim credit forany system modification applicationsthat were pending on the date it filedits renewal application. Such credit


380

47 CFR Ch. I (10–1–01 Edition)§ 27.15

will not be allowed if the modificationapplication is dismissed or denied.

[62 FR 9658, Mar. 3, 1997, as amended at 65 FR3146, Jan. 20, 2000]

§ 27.15 Geographic partitioning andspectrum disaggregation.

(a) Eligibility. (1) Parties seeking ap-proval for partitioning anddisaggregation shall request from theCommission an authorization for par-tial assignment of a license pursuantto § 1.948.

(2) WCS licensees may apply to parti-tion their licensed geographic servicearea or disaggregate their licensedspectrum at any time following thegrant of their licenses.

(b) Technical Standards—(1) Parti-tioning. In the case of partitioning, ap-plicants and licensees must file FCCForm 603 pursuant to section 1.948 andlist the partitioned service area on aschedule to the application. The geo-graphic coordinates must be specifiedin degrees, minutes, and seconds to thenearest second of latitude and lon-gitude and must be based upon the 1983North American Datum (NAD83).

(2) Disaggregation. Spectrum may bedisaggregated in any amount.

(3) Combined partitioning anddisaggregation. The Commission willconsider requests for partial assign-ment of licenses that propose combina-tions of partitioning anddisaggregation.

(4) Signal levels. For purposes of parti-tioning and disaggregation, part 27 sys-tems must be designed so as not to ex-ceed the signal level specified for theparticular spectrum block in § 27.55 atthe licensee’s service area boundary,unless the affected adjacent servicearea licensees have agreed to a dif-ferent signal level.

(c) Unjust Enrichment—(1) Biddingcredits. Licensees that received a bid-ding credit and partition their licensesor disaggregate their spectrum to enti-ties not meeting the eligibility stand-ards for such a bidding credit, will besubject to the provisions concerningunjust enrichment as set forth in sec-tion 27.209(c).

(2) Apportioning unjust enrichmentpayments. Unjust enrichment paymentsfor partitioned license areas shall becalculated based upon the ratio of the

population of the partitioned licensearea to the overall population of the li-cense area and by utilizing the most re-cent census data. Unjust enrichmentpayments for disaggregated spectrumshall be calculated based upon theratio of the amount of spectrumdisaggregated to the amount of spec-trum held by the licensee.

(d) License term. The license term fora partitioned license area and fordisaggregated spectrum shall be the re-mainder of the original licensee’s li-cense term as provided for in § 27.13.

(e) Compliance with construction re-quirements. The following rules applyfor purposes of implementing the con-struction requirements set forth in§ 27.14.

(1) Partitioning. Parties to parti-tioning agreements have two optionsfor satisfying the construction require-ments set forth in § 27.14. Under thefirst option, the partitioner andpartitionee each certifies that it willindependently satisfy the substantialservice requirement for its respectivepartitioned area. If a licensee subse-quently fails to meet its substantialservice requirement, its license will besubject to automatic cancellationwithout further Commission action.Under the second option, the parti-tioner certifies that it has met or willmeet the substantial service require-ment for the entire, pre-partitioned ge-ographic service area. If the partitionersubsequently fails to meet its substan-tial service requirement, only its li-cense will be subject to automatic can-cellation without further Commissionaction.

(2) Disaggregation. Parties todisaggregation agreements have twooptions for satisfying the constructionrequirements set forth in § 27.14. Underthe first option, the disaggregator anddisaggregatee each certifies that it willshare responsibility for meeting thesubstantial service requirement for thegeographic service area. If the partieschoose this option and either partysubsequently fails to satisfy its sub-stantial service responsibility, bothparties’ licenses will be subject to for-feiture without further Commission ac-tion. Under the second option, bothparties certify either that thedisaggregator or the disaggregatee will


381


meet the substantial service require-ment for the geographic service area. Ifthe parties choose this option, and theparty responsible subsequently fails tomeet the substantial service require-ment, only that party’s license will besubject to forfeiture without furtherCommission action.

[62 FR 9658, Mar. 3, 1997, as amended at 63 FR68954, Dec. 14, 1998; 65 FR 3146, Jan. 20, 2000;65 FR 57268, Sept. 21, 2000]

Subpart C—Technical Standards§ 27.50 Power and antenna height lim-

its.(a) The following power limits apply

to the 2305–2320 MHz and 2345–2360 MHzbands:

(1) Fixed, land, and radiolocationland stations transmitting are limitedto 2000 watts peak equivalentisotropically radiated power (EIRP).

(2) Mobile and radiolocation mobilestations transmitting are limited to 20watts EIRP peak power.

(b) The following power and antennaheight limits apply to transmitters op-erating in the 746–764 MHz and 776–794MHz bands:

(1) Fixed and base stations transmit-ting in the 746–764 MHz band and the777–792 MHz band must not exceed aneffective radiated power (ERP) of 1000watts and an antenna height of 305 mheight above average terrain (HAAT),except that antenna heights greaterthan 305 m HAAT are permitted ifpower levels are reduced below 1000watts ERP in accordance with Table 1of this section;

(2) Control stations and mobile sta-tions transmitting in the 747–762 MHzband and the 776–794 MHz band andfixed stations transmitting in the 776–777 MHz band and the 792–794 MHz bandare limited to 30 watts ERP;

(3) Portable stations (hand-held de-vices) transmitting in the 747–762 MHzband and the 776–794 MHz band are lim-ited to 3 watts ERP;

(4) Maximum composite transmitpower shall be measured over any in-terval of continuous transmissionusing instrumentation calibrated interms of RMS-equivalent voltage. Themeasurement results shall be properlyadjusted for any instrument limita-tions, such as detector response times,

limited resolution bandwidth capa-bility when compared to the emissionbandwidth, etc., so as to obtain a truemaximum composite measurement forthe emission in question over the fullbandwidth of the channel.

(c) Peak transmit power shall bemeasured over any interval of contin-uous transmission using instrumenta-tion calibrated in terms of rms-equiva-lent voltage. The measurement resultsshall be properly adjusted for any in-strument limitations, such as detectorresponse times, limited resolutionbandwidth capability when comparedto the emission bandwidth, etc., so asto obtain a true peak measurement forthe emission in question over the fullbandwidth of the channel.

TABLE 1—PERMISSIBLE POWER AND ANTENNAHEIGHTS FOR BASE AND FIXED STATIONS INTHE 746–764 MHZ AND 777–792 MHZBANDS

Antenna height (AAT) in meters (feet)

Effectiveradiatedpower(ERP)(watts)

Above 1372 (4500) ................................................ 65Above 1220 (4000) To 1372 (4500) ...................... 70Above 1067 (3500) To 1220 (4000) ...................... 75Above 915 (3000) To 1067 (4000) ........................ 100Above 763 (2500) To 915 (3000) .......................... 140Above 610 (2000) To 763 (2500) .......................... 200Above 458 (1500) To 610 (2000) .......................... 350Above 305 (1000) To 458 (1500) .......................... 600Up to 305 (1000) ................................................... 1000

[62 FR 16497, Apr. 7, 1997, as amended at 65FR 3147, Jan. 20, 2000; 65 FR 17602, Apr. 4,2000; 65 FR 42882, July 12, 2000; 65 FR 57267,Sept. 21, 2000]

§ 27.51 Equipment authorization.(a) Each transmitter utilized for op-

eration under this part must be of atype that has been authorized by theCommission under its certification pro-cedure.

(b) Any manufacturer of radio trans-mitting equipment to be used in theseservices may request equipment au-thorization following the proceduresset forth in subpart J of part 2 of thischapter. Equipment authorization foran individual transmitter may be re-quested by an applicant for a stationauthorization by following the proce-dures set forth in part 2 of this chapter.

[65 FR 3147, Jan. 20, 2000]


382

47 CFR Ch. I (10–1–01 Edition)§ 27.52

§ 27.52 RF safety.Licensees and manufacturers are sub-

ject to the radio frequency radiationexposure requirements specified in sec-tions 1.1307(b), 2.1091, and 2.1093 of thischapter, as appropriate. Applicationsfor equipment authorization of mobileor portable devices operating underthis section must contain a statementconfirming compliance with these re-quirements for both fundamental emis-sions and unwanted emissions. Tech-nical information showing the basis forthis statement must be submitted tothe Commission upon request.

§ 27.53 Emission limits.(a) For operations in the bands 2305–

2320 MHz and 2345–2360 MHz, the powerof any emission outside the licensee’sfrequency band(s) of operation shall beattenuated below the transmitterpower (P) within the licensed band(s) ofoperation, measured in watts, by thefollowing amounts:

(1) For fixed, land, and radiolocationland stations: By a factor not less than80 + 10 log (p) dB on all frequencies be-tween 2320 and 2345 MHz;

(2) For mobile and radiolocation mobilestations: By a factor not less than 110 +10 log (p) dB on all frequencies between2320 and 2345 MHz;

(3) For fixed, land, mobile, radiolocationland and radiolocation mobile stations:By a factor not less than 70 + 10 log (p)dB on all frequencies below 2300 MHzand on all frequencies above 2370 MHz;and not less than 43 + 10 log (p) dB onall frequencies between 2300 and 2320MHz and on all frequencies between2345 and 2370 MHz that are outside thelicensed bands of operation;

(4) Compliance with these provisionsis based on the use of measurement in-strumentation employing a resolutionbandwidth of 1 MHz or less, but at leastone percent of the emission bandwidthof the fundamental emission of thetransmitter, provided the measured en-ergy is integrated over a 1 MHz band-width;

(5) In complying with the require-ments in § 27.53(a)(1) and § 27.53(a)(2),WCS equipment that uses oppositesense circular polarization from thatused by Satellite DARS systems in the2320–2345 MHz band shall be permittedan allowance of 10 dB;

(6) When measuring the emission lim-its, the nominal carrier frequency shallbe adjusted as close to the edges, bothupper and lower, of the licensee’s bandsof operation as the design permits;

(7) The measurements of emissionpower can be expressed in peak or aver-age values, provided they are expressedin the same parameters as the trans-mitter power;

(8) Waiver requests of any of the out-of-band emission limits in paragraphs(a)(1) through (a)(7) of this sectionshall be entertained only if inter-ference protection equivalent to thatafforded by the limits is shown;

(9) In the 2305–2315 MHz band, if port-able devices comply with all of the fol-lowing requirements, then paragraph(a)(2) of this section shall not apply toportable devices, which instead shallattenuate all emissions into the 2320–2345 MHz band by a factor of not lessthan 93 + 10 log (p) dB:

(i) The portable device has a dutycycle of 12.5% or less, with at most a312.5 microsecond pulse every 2.5 milli-seconds;

(ii) The portable device must employtime division multiple access (TDMA)technology;

(iii) The nominal peak transmit out-put power of the portable device is nomore than 200 milliwatts (25 milliwattsaverage power);

(iv) The portable device operateswith the minimum power necessary forsuccessful communications;

(v) The nominal average base stationtransmit output power is no more than800 milliwatts when the base stationantennas is located at a height of atleast 8 meters (26.25 feet) above theground;

(vi) Only fixed and portable devicesand services may be provided: vehicle-mounted units are not permitted; and

(vii) Transmitting antennas shall em-ploy linear polarization or another po-larization that provides equivalent ofbetter discrimination with respect to aDARS antenna;

(10) The out-of-band emissions limitsin paragraphs (a)(1) through (a)(9) ofthis section may be modified by theprivate contractual agreement of allaffected licensees, who shall maintaina copy of the agreement in their sta-tion files and disclose it to prospective


383


assignees or transferees and, upon re-quest, to the Commission.

(b) For WCS Satellite DARS operations:The limits set forth in § 25.202(f) of thischapter shall apply, except that Sat-ellite DARS operations shall be limitedto a maximum power flux density of¥197 dBW/m2/4 kHz in the 2370–2390MHz band at Arecibo, Puerto Rico.

(c) For operations in the 747 to 762MHz band and the 777 to 792 MHz band,the power of any emission outside thelicensee’s frequency band(s) of oper-ation shall be attenuated below thetransmitter power (P) within the li-censed band(s) of operation, measuredin watts, in accordance with the fol-lowing:

(1) On any frequency outside the 747to 762 MHz band, the power of anyemission shall be attenuated outsidethe band below the transmitter power(P) by at least 43 + 10 log (P) dB;

(2) On any frequency outside the 777to 792 MHz band, the power of anyemission shall be attenuated outsidethe band below the transmitter power(P) by at least 43 + 10 log (P) dB;

(3) On all frequencies between 764 to776 MHz and 794 to 806 MHz, by a factornot less than 76 + 10 log (P) dB in a 6.25kHz band segment, for base and fixedstations;

(4) On all frequencies between 764 to776 MHz and 794 to 806 MHz, by a factornot less than 65 + 10 log (P) dB in a 6.25kHz band segment, for mobile and port-able stations;

(5) Compliance with the provisions ofparagraphs (c)(1) and (c)(2) of this sec-

tion is based on the use of measure-ment instrumentation employing a res-olution bandwidth of 100 kHz or great-er. However, in the 100 kHz bands im-mediately outside and adjacent to thefrequency block, a resolution band-width of at least 30 kHz may be em-ployed;

(6) Compliance with the provisions ofparagraphs (c)(3) and (c)(4) of this sec-tion is based on the use of measure-ment instrumentation such that thereading taken with any resolutionbandwidth setting should be adjustedto indicate spectral energy in a 6.25kHz segment.

(d) For operations in the 746–747 MHz,762–764 MHz, 776–777 MHz, and 792–794MHz bands, transmitters must meetthe following emission limitations:

(1) The adjacent channel coupledpower (ACCP) requirements for trans-mitters designed for various channelsizes are shown in the following tables.Mobile station requirements apply tohandheld, car mounted and control sta-tion units. The tables specify a max-imum value for the ACCP relative tomaximum output power as a functionof the displacement from the channelcenter frequency. In addition, theACCP for a mobile station transmitterat the specified frequency displacementmust not exceed the value shown in thetables. For transmitters that havepower control, the latter ACCP re-quirement can be met at maximumpower reduction. In the followingcharts, ‘‘(s)’’ means that a swept meas-urement is to be used.

6.25 KHZ MOBILE TRANSMITTER ACCP REQUIREMENTS

Offset from center frequency (kHz)Measurement

bandwidth(kHz)

MaximumACCP relative

(dBc)

Maximum ACCPabsolute (dBm)

6.25 ............................................................................................................... 6.25 ¥40 not specified12.50 ............................................................................................................. 6.25 ¥60 ¥4518.75 ............................................................................................................. 6.25 ¥60 ¥4525.00 ............................................................................................................. 6.25 ¥65 ¥5037.50 ............................................................................................................. 25.00 ¥65 ¥5062.50 ............................................................................................................. 25.00 ¥65 ¥5087.50 ............................................................................................................. 25.00 ¥65 ¥50150.00 ........................................................................................................... 100.00 ¥65 ¥50250.00 ........................................................................................................... 100.00 ¥65 ¥50>400 to receive band ................................................................................... 30(s) ¥75 ¥55In the receive band ....................................................................................... 30(s) ¥100 ¥70


384

47 CFR Ch. I (10–1–01 Edition)§ 27.53

12.5 KHZ MOBILE TRANSMITTER ACCP REQUIREMENTS


bandwidth(kHz)


(dBc)


9.375 ............................................................................................................. 6.25 ¥40 not specified15.625 ........................................................................................................... 6.25 ¥60 ¥4521.875 ........................................................................................................... 6.25 ¥60 ¥4537.500 ........................................................................................................... 25.00 ¥65 ¥5062.500 ........................................................................................................... 25.00 ¥65 ¥5087.500 ........................................................................................................... 25.00 ¥65 ¥50150.000 ......................................................................................................... 100.00 ¥65 ¥50250.000 ......................................................................................................... 100.00 ¥65 ¥50>400 to receive band ................................................................................... 30(s) ¥75 ¥55In the receive band ....................................................................................... 30(s) ¥100 ¥70

25 KHZ MOBILE TRANSMITTER ACCP REQUIREMENTS


bandwidth(kHz)


(dBc)


15.625 ........................................................................................................... 6.25 ¥40 not specified21.875 ........................................................................................................... 6.25 ¥60 ¥4537.500 ........................................................................................................... 25.00 ¥65 ¥5062.500 ........................................................................................................... 25.00 ¥65 ¥5087.500 ........................................................................................................... 25.00 ¥65 ¥50150.000 ......................................................................................................... 100.00 ¥65 ¥50250.000 ......................................................................................................... 100.00 ¥65 ¥50>400 to receive band ................................................................................... 30(s) ¥75 ¥55In the receive band ....................................................................................... 30(s) ¥100 ¥70

150 KHZ MOBILE TRANSMITTER ACCP REQUIREMENTS 12.5 KHZ MOBILE TRANSMITTER ACCPREQUIREMENTS


bandwidth(kHz)


(dBc)


100 ................................................................................................................ 50 ¥40 not specified200 ................................................................................................................ 50 ¥50 ¥35300 ................................................................................................................ 50 ¥50 ¥35400 ................................................................................................................ 50 ¥50 ¥35600 to 1000 .................................................................................................. 30(s) ¥60 ¥451000 to receive band .................................................................................... 30(s) ¥70 ¥55In the receive band ....................................................................................... 30(s) ¥100 ¥75

6.25 KHZ BASE TRANSMITTER ACCP REQUIREMENTS


bandwidth(kHz)

Maximum ACCP(dBc)

6.25 ........................................................................................................................................... 6.25 ¥4012.50 ......................................................................................................................................... 6.25 ¥6018.75 ......................................................................................................................................... 6.25 ¥6025.00 ......................................................................................................................................... 6.25 ¥6537.50 ......................................................................................................................................... 25.00 ¥6562.50 ......................................................................................................................................... 25.00 ¥6587.50 ......................................................................................................................................... 25.00 ¥65150.00 ....................................................................................................................................... 100.00 ¥65250.00 ....................................................................................................................................... 100.00 ¥65>400 to receive band ................................................................................................................ 30(s) ¥80 (continues

@¥6dB/oct)In the receive band ................................................................................................................... 30(s) ¥100

12.5 KHZ BASE TRANSMITTER ACCP REQUIREMENTS


bandwidth(kHz)

Maximum ACCP(dBc)

9.375 ......................................................................................................................................... 6.25 ¥40


385


12.5 KHZ BASE TRANSMITTER ACCP REQUIREMENTS—Continued


bandwidth(kHz)

Maximum ACCP(dBc)

15.625 ....................................................................................................................................... 6.25 ¥6021.875 ....................................................................................................................................... 6.25 ¥6037.500 ....................................................................................................................................... 25.00 ¥6062.500 ....................................................................................................................................... 25.00 ¥6587.500 ....................................................................................................................................... 25.00 ¥65150.000 ..................................................................................................................................... 100.00 ¥65250.000 ..................................................................................................................................... 100.00 ¥65>400 to receive band ................................................................................................................ 30(s) ¥80 (continues


25 KHZ BASE TRANSMITTER ACCP REQUIREMENTS


bandwidth(kHz)

Maximum ACCP(dBc)

15.625 ....................................................................................................................................... 6.25 ¥4021.875 ....................................................................................................................................... 6.25 ¥6037.500 ....................................................................................................................................... 25.00 ¥6062.500 ....................................................................................................................................... 25.00 ¥6587.500 ....................................................................................................................................... 25.00 ¥65150.000 ..................................................................................................................................... 100.00 ¥65250.000 ..................................................................................................................................... 100.00 ¥65>400 to receive band ................................................................................................................ 30(s) ¥80 (continues


150 KHZ BASE TRANSMITTER ACCP REQUIREMENTS


bandwidth(kHz)

Maximum ACCP(dBc)

100 ............................................................................................................................................ 50 ¥40200 ............................................................................................................................................ 50 ¥50300 ............................................................................................................................................ 50 ¥55400 ............................................................................................................................................ 50 ¥60600 to 1000 .............................................................................................................................. 30(s) ¥651000 to receive band ................................................................................................................ 30(s) ¥75 (continues


(2) ACCP measurement procedure. Thefollowing procedures are to be followedfor making ACCP transmitter measure-ments. For time division multiple ac-cess (TDMA) systems, the measure-ments are to be made under TDMA op-eration only during time slots whenthe transmitter is on. All measure-ments must be made at the input tothe transmitter’s antenna. Measure-ment bandwidth used below implies aninstrument that measures the power inmany narrow bandwidths (e.g. 300 Hz)and integrates these powers across alarger band to determine power in themeasurement bandwidth.

(i) Setting reference level: Using a spec-trum analyzer capable of ACCP meas-

urements, set the measurement band-width to the channel size. For example,for a 6.25 kHz transmitter, set themeasurement bandwidth to 6.25 kHz;for a 150 kHz transmitter, set the meas-urement bandwidth to 150 kHz. Set thefrequency offset of the measurementbandwidth to zero and adjust the cen-ter frequency of the spectrum analyzerto give the power level in the measure-ment bandwidth. Record this powerlevel in dBm as the ‘‘reference powerlevel’’.

(ii) Measuring the power level at fre-quency offsets <600kHz: Using a spec-trum analyzer capable of ACCP meas-urements, set the measurement band-width as shown in the tables above.


386

47 CFR Ch. I (10–1–01 Edition)§ 27.54

Measure the ACCP in dBm. Thesemeasurements should be made at max-imum power. Calculate the coupledpower by subtracting the measure-ments made in this step from the ref-erence power measured in the previousstep. The absolute ACCP values mustbe less than the values given in thetable for each condition above.

(iii) Measuring the power level at fre-quency offsets >600kHz: Set a spectrumanalyzer to 30 kHz resolution band-width, 1 MHz video bandwidth and sam-ple mode detection. Sweep ±6 MHz fromthe carrier frequency. Set the referencelevel to the RMS value of the trans-mitter power and note the absolutepower. The response at frequenciesgreater than 600 kHz must be less thanthe values in the tables above.

(iv) Upper Power Limit Measurement:The absolute coupled power in dBmmeasured above must be compared tothe table entry for each given fre-quency offset. For those mobile sta-tions with power control, these meas-urements should be repeated withpower control at maximum power re-duction. The absolute ACCP at max-imum power reduction must be lessthan the values in the tables above.

(3) Out-of-band emission limit. On anyfrequency outside of the frequencyranges covered by the ACCP tables inthis section, the power of any emissionmust be reduced below theunmodulated carrier power (P) by atleast 43 + 10 log (P) dB.

(4) Authorized bandwidth. Providedthat the ACCP requirements of thissection are met, applicants may re-quest any authorized bandwidth thatdoes not exceed the channel size.

(e) For operations in the 746–764 MHzand 776–794 MHz bands, emissions in theband 1559–1610 MHz shall be limited to¥70 dBW/MHz equivalent isotropicallyradiated power (EIRP) for widebandsignals, and ¥80 dBW EIRP for discreteemissions of less than 700 Hz band-width. For the purpose of equipmentauthorization, a transmitter shall betested with an antenna that is rep-resentative of the type that will beused with the equipment in normal op-eration.

(f) When an emission outside of theauthorized bandwidth causes harmfulinterference, the Commission may, at

its discretion, require greater attenu-ation than specified in this section.

[62 FR 16497, Apr. 7, 1997, as amended at 65FR 3147, Jan. 20, 2000; 65 FR 17602, Apr. 4,2000; 65 FR 42883, July 12, 2000]

§ 27.54 Frequency stability.The frequency stability shall be suffi-

cient to ensure that the fundamentalemissions stay within the authorizedbands of operation.

§ 27.55 Field strength limits.The predicted or measured median

field strength at any location on thegeographical border of a part 27 servicearea shall not exceed the value speci-fied for the following bands, unless theadjacent affected service area licenseesagree to a different field strength. Thisvalue applies to both the initially of-fered service areas and to partitioned,service areas.

(a) 2305–2320 and 2345–2360 MHz bands:47 dBuV/m.

(b) 746–764 and 776–794 MHz bands:40dBu V/m

[65 FR 3148, Jan. 20, 2000, as amended by 65FR 17605, Apr. 4, 2000]


A licensee that owns its antennastructure(s) must not allow such an-tenna structure(s) to become a hazardto air navigation. In general, antennastructure owners are responsible forregistering antenna structures withthe FCC if required by part 17 of thischapter, and for installing and main-taining any required marking andlighting. However, in the event of de-fault of this responsibility by an an-tenna structure owner, the FCC per-mittee or licensee authorized to use anaffected antenna structure will be heldresponsible by the FCC for ensuringthat the antenna structure continuesto meet the requirements of part 17 ofthis chapter. See § 17.6 of this chapter.

(a) Marking and lighting. Antennastructures must be marked, lighted andmaintained in accordance with part 17of this chapter and all applicable rulesand requirements of the Federal Avia-tion Administration. For any construc-tion or alteration that would exceedthe requirements of section 17.7 of this


387


chapter, licensees must notify the ap-propriate Regional Office of the Fed-eral Aviation Administration (FAAForm 7460–1) and file a request for an-tenna height clearance and obstructionmarking and lighting specifications(FCC Form 854) with the FCC, WTB,1270 Fairfield Road, Gettysburg, PA17325.


§ 27.57 International coordination.

WCS operations in the border areasshall be subject to coordination withthose countries and provide protectionto non-U.S. operations in the 2305–2320and 2345–2360 MHz bands as appropriate.In addition, satellite DARS operationsin WCS spectrum shall be subject tointernational satellite coordinationprocedures.

§ 27.58 Interference to MDS/ITFS re-ceivers.

(a) WCS licensees shall bear full fi-nancial obligation to remedy inter-ference to MDS/ITFS blockdownconverters if all of the followingconditions are met:

(1) The complaint is received by theWCS licensee prior to February 20, 2002;

(2) The MDS.ITFS downconverterwas installed prior to August 20, 1998;

(3) The WCS fixed or land stationtransmits at 50 or more watts peakEIRP;

(4) The MDS/ITFS downconverter islocated within a WCS transmitter’sfree space power flux density contourof ¥34 dBW/m2; and

(5) The MDS/ITFS customer or li-censee has informed the WCS licenseeof the interference within one yearfrom the initial operation of the WCStransmitter or within one year from

any subsequent power increases at theWCS station.

(b) Resolution of the complaint shallbe at no cost to the complainant.

(c) Two or more WCS licensees collo-cating their antennas on the sametower shall assume shared responsi-bility for remedying interference com-plaints within the area determined byparagraph (a)(4) of this section unlessan offending station can be readily de-termined and then that station shallassume full financial responsibility.

(d) If the WCS licensee cannot other-wise eliminate interference caused toMDS/ITFS reception, then that li-censee must cease operations from theoffending WCS facility.

(e) At least 30 days prior to com-mencing operations from any new WCStransmission site or with increasedpower from any existing WCS trans-mission site, a WCS licensee shall no-tify all MDS/ITFS licensees in orthrough whose licensed service areathey intend to operate of the technicalparameters of the WCS transmissionfacility. WCS and MDS/ITFS licenseesare expected to coordinate voluntarilyand in good faith to avoid interferenceproblems and to allow the greates oper-ational flexibility in each other’s oper-ations.

[62 FR 16498, Apr. 7, 1997]

§ 27.59 [Reserved]

§ 27.60 TV/DTV interference protectioncriteria.

Base, fixed, control, and mobiletransmitters in the 746–764 MHz and776–794 MHz frequency bands must beoperated only in accordance with therules in this section to reduce the po-tential for interference to public recep-tion of the signals of existing TV andDTV broadcast stations transmittingon TV Channels 59 through 68.

(a) D/U ratios. Licensees must choosesite locations that are a sufficient dis-tance from co-channel and adjacentchannel TV and DTV stations, and/ormust use reduced transmitting poweror transmitting antenna height suchthat the following minimum desiredsignal-to-undesired signal ratios (D/Uratios) are met.


388

47 CFR Ch. I (10–1–01 Edition)§ 27.60

(1) The minimum D/U ratio for co-channel stations is 40 dB at the hypo-thetical Grade B contour (64 dBµV/m)(88.5 kilometers (55 miles)) of the TVstation or 17 dB at the equivalentGrade B contour (41 dBµV/m) (88.5 kilo-meters (55 miles)) of the DTV station.

(2) The minimum D/U ratio for adja-cent channel stations is 0 dB at the hy-pothetical Grade B contour (64 dBµV/m)(88.5 kilometers (55 miles)) of the TVstation or ¥23 dB at the equivalentGrade B contour (41 dBµV/m) (88.5 kilo-meters (55 miles)) of the DTV station.

(b) TV stations and calculation of con-tours. The methods used to calculateTV contours and antenna heightsabove average terrain are given in

§§ 73.683 and 73.684 of this chapter. Ta-bles to determine the necessary min-imum distance from the 746–764 MHz or776–794 MHz station to the TV/DTV sta-tion, assuming that the TV/DTV sta-tion has a hypothetical or equivalentGrade B contour of 88.5 kilometers (55miles), are located in § 90.309 of thischapter and labeled as Tables B, D, andE. Values between those given in thetables may be determined by linear in-terpolation. The locations of existingand proposed TV/DTV stations duringthe period of transition from analog todigital TV service are given in Part 73of this chapter and in the final pro-ceedings of MM Docket No. 87–268.

State City NTSC TV Ch. DTV Ch. ERP (kW) HAAT (m.)

California ...................... Concord ....................... 42 63 61 856California ...................... Long Beach ................. 18 61 413.6 725California ...................... Los Angeles ................. 2 60 865.9 1107California ...................... Los Angeles ................. 11 65 688.7 896California ...................... Los Angeles ................. 13 66 679.7 899California ...................... Riverside ...................... 62 68 180.1 723California ...................... Sacramento ................. 10 61 1000 595California ...................... Stockton ....................... 64 62 63.5 874New Jersey .................. Newark ........................ 13 61 198.7 500New Jersey .................. Vineland ....................... 65 66 107.8 280Pennsylvania ................ Allentown ..................... 39 62 50 302Pennsylvania ................ Philadelphia ................. 6 64 1000 332Pennsylvania ................ Philadelphia ................. 10 67 791.8 354Puerto Rico .................. Aguada ........................ 50 62 50.1 343Puerto Rico .................. Arecibo ........................ 60 61 55 242Puerto Rico .................. Mayaguez .................... 16 63 50.1 347Puerto Rico .................. Naranjito ...................... 64 65 50.1 142Puerto Rico .................. Ponce .......................... 7 66 407.4 826Wisconsin ..................... Milwaukee .................... 18 61 519.8 307

NOTE: DTV stations on Channel 59 must beconsidered even though they are not indi-cated in the above table. The transition pe-riod is scheduled to end on December 31, 2006.After that time, unless otherwise directed bythe Commission, 746–764 MHz and 776–794MHz stations will no longer be required toprotect reception of co-channel or adjacentchannel TV/DTV stations.

(1) Licensees of stations operatingwithin the ERP and HAAT limits of§ 27.50 must select one of three methodsto meet the TV/DTV protection re-quirements, subject to Commission ap-proval:

(i) Utilize the geographic separationspecified in the tables referencedbelow;

(ii) Submit an engineering study jus-tifying the proposed separations based

on the actual parameters of the landmobile station and the actual param-eters of the TV/DTV station(s) it is try-ing to protect; or,

(iii) Obtain written concurrence fromthe applicable TV/DTV station(s). Ifthis method is chosen, a copy of theagreement must be submitted with theapplication.

(2) The following is the method forgeographic separations.

(i) Base and fixed stations that oper-ate in the 746–764 MHz and 777–792 MHzbands having an antenna height(HAAT) less than 152 m. (500 ft.) shallafford protection to co-channel and ad-jacent channel TV/DTV stations in ac-cordance with the values specified inTable B (co-channel frequencies based


389


on 40 dB protection) and Table E (adja-cent channel frequencies based on 0 dBprotection) in § 90.309 of this chapter.For base and fixed stations having anantenna height (HAAT) between 152–914meters (500–3,000 ft.) the effective radi-ated power must be reduced below 1kilowatt in accordance with the valuesshown in the power reduction graph inFigure B in § 90.309 of this chapter. Forheights of more than 152 m. (500 ft.)above average terrain, the distance tothe radio path horizon will be cal-culated assuming smooth earth. If thedistance so determined equals or ex-ceeds the distance to the hypotheticalor equivalent Grade B contour of a co-channel TV/DTV station (i.e., it ex-ceeds the distance from the appropriateTable in § 90.309 of this chapter to therelevant TV/DTV station), an author-ization will not be granted unless itcan be shown in an engineering study(see paragraph (b)(1)(ii) of this section)that actual terrain considerations aresuch as to provide the desired protec-tion at the actual Grade B contour (64dBµV/m for TV and 41 dBµV/m for DTVstations) or unless the effective radi-ated power will be further reduced sothat, assuming free space attenuation,the desired protection at the actualGrade B contour (64 dBµV/m for TV and41 dBµV/m coverage contour for DTVstations) will be achieved. Directionsfor calculating powers, heights, and re-duction curves are listed in § 90.309 ofthis chapter for land mobile stations.Directions for calculating coveragecontours are listed in §§ 73.683–685 ofthis chapter for TV stations and in§ 73.625 of this chapter for DTV sta-tions.

(ii) Control, fixed, and mobile sta-tions (including portables) that operatein the 776–777 MHz and 792–794 MHzbands and control and mobile stations(including portables) that operate inthe 747–762 MHz and 777–792 MHz bandsare limited in height and power andtherefore shall afford protection to co-channel and adjacent channel TV/DTVstations in accordance with the valuesspecified in Table D (co-channel fre-quencies based on 40 dB protection forTV stations and 17 dB for DTV sta-tions) in § 90.309 of this chapter and aminimum distance of 8 kilometers (5miles) from all adjacent channel TV/

DTV station hypothetical or equiva-lent Grade B contours (adjacent chan-nel frequencies based on 0 dB protec-tion for TV stations and ¥23 dB forDTV stations). Since control, fixed,and mobile stations may affect dif-ferent TV/DTV stations than the asso-ciated base or fixed station, particularcare must be taken by applicants/li-censees to ensure that all appropriateTV/DTV stations are considered (e.g. abase station may be operating withinTV Channel 62 and the mobiles withinTV Channel 67, in which case TV Chan-nels 61, 62, 63, 66, 67 and 68 must be pro-tected). Control, fixed, and mobile sta-tions shall keep a minimum distance of96.5 kilometers (60 miles) from all adja-cent channel TV/DTV stations. Sincemobiles and portables are able to moveand communicate with each other, li-censees must determine the areaswhere the mobiles can and cannotroam in order to protect the TV/DTVstations.

(iii) In order to protect certain TV/DTV stations and to ensure protectionfrom these stations which may haveextremely large contours due to un-usual height situations, an additionaldistance factor must be used by allbase, fixed, control, and mobile sta-tions. For all co-channel and adjacentchannel TV/DTV stations which havean HAAT between 350 and 600 meters,licensees must add the following DIS-TANCE FACTOR to the value obtainedfrom the referenced Tables in § 90.309 ofthis chapter and to the distance forcontrol, fixed, and mobile stations onadjacent TV/DTV channels (96.5 km).

DISTANCE FACTOR = (TV/DTVHAAT ¥ 350) ÷ 14 in kilometers, whereHAAT is the TV or DTV station an-tenna height above average terrain ob-tained from its authorized or proposedfacilities, whichever is greater.

(iv) For all co-channel and adjacentchannel TV/DTV stations which havean antenna height above average ter-rain greater than 600 meters, licenseesmust add 18 kilometers as the DIS-TANCE FACTOR to the value obtainedfrom the referenced Tables in § 90.309 ofthis chapter and to the distance forcontrol, fixed, and mobile stations onadjacent TV/DTV channels (96.5 km).

NOTE TO § 27.60: The 88.5 km (55 mi) GradeB service contour (64 dBµV/m) is based on a


390

47 CFR Ch. I (10–1–01 Edition)§§ 27.61–27.62

hypothetical TV station operating at an ef-fective radiated power of one megawatt, atransmitting antenna height above averageterrain of 610 meters (2000 feet) and the Com-mission’s R–6602 F(50,50) curves. See § 73.699 ofthis chapter. Maximum facilities for TV sta-tions operating in the UHF band are 5megawatts effective radiated power at an an-tenna HAAT of 610 meters (2,000 feet). See§ 73.614 of this chapter. The equivalent con-tour for DTV stations is based on a 41 dBµV/m signal strength and the distance to the F(50,90) curve. See § 73.625 of this chapter.

[65 FR 3148, Jan. 20, 2000, as amended at 65FR 17605, Apr. 4, 2000; 65 FR 42883, July 12,2000]

§§ 27.61–27.62 [Reserved]

§ 27.63 Disturbance of AM broadcaststation antenna patterns.

WCS licensees that construct or mod-ify towers in the immediate vicinity ofAM broadcast stations are responsiblefor measures necessary to correct dis-turbance of the AM station antennapattern which causes operation outsideof the radiation parameters specifiedby the FCC for the AM station, if thedisturbance occurred as a result ofsuch construction or modification.

(a) Non-directional AM stations. Iftower construction or modification isplanned within 1 kilometer (0.6 mile) ofa non-directional AM broadcast stationtower, the WCS licensee must notifythe licensee of the AM broadcast sta-tion in advance of the planned con-struction or modification. Measure-ments must be made to determinewhether the construction or modifica-tion would affect the AM station an-tenna pattern. The WCS licensee is re-sponsible for the installation and con-tinued maintenance of any detuningapparatus necessary to restore propernon-directional performance of the AMstation tower.

(b) Directional AM stations. If towerconstruction or modification isplanned within 3 kilometers (1.9 miles)of a directional AM broadcast stationarray, the WCS licensee must notifythe licensee of the AM broadcast sta-tion in advance of the planned con-struction or modification. Measure-ments must be made to determinewhether the construction or modifica-tion would affect the AM station an-tenna pattern. The WCS licensee is re-sponsible for the installation and con-

tinued maintenance of any detuningapparatus necessary to restore properperformance of the AM station array.

§ 27.64 Protection from interference.Wireless Communications Service

(WCS) stations operating in full ac-cordance with applicable FCC rules andthe terms and conditions of their au-thorizations are normally consideredto be non-interfering. If the FCC deter-mines, however, that interferencewhich significantly interrupts or de-grades a radio service is being caused,it may, after notice and an opportunityfor a hearing, require modifications toany WCS station as necessary to elimi-nate such interference.

(a) Failure to operate as authorized.Any licensee causing interference tothe service of other stations by failingto operate its station in full accord-ance with its authorization and appli-cable FCC rules shall discontinue alltransmissions, except those necessaryfor the immediate safety of life orproperty, until it can bring its stationinto full compliance with the author-ization and rules.

(b) Intermodulation interference. Li-censees should attempt to resolve suchinterference by technical means.

(c) Situations in which no protection isafforded. Except as provided elsewherein this part, no protection from inter-ference is afforded in the following sit-uations:

(1) Interference to base receivers frombase or fixed transmitters. Licenseesshould attempt to resolve such inter-ference by technical means or oper-ating arrangements.

(2) Interference to mobile receivers frommobile transmitters. No protection isprovided against mobile-to-mobile in-terference.

(3) Interference to base receivers frommobile transmitters. No protection isprovided against mobile-to-base inter-ference.

(4) Interference to fixed stations. Li-censees should attempt to resolve suchinterference by technical means or op-erating arrangements.

(5) Anomalous or infrequent propaga-tion modes. No protection is providedagainst interference caused by tropo-spheric and ionospheric propagation ofsignals.


391


§ 27.66 Discontinuance, reduction, orimpairment of service.

(a) Involuntary act. If the service pro-vided by a fixed common carrier li-censee, or a fixed common carrier oper-ating on spectrum licensed to a GuardBand Manager, is involuntarily discon-tinued, reduced, or impaired for a pe-riod exceeding 48 hours, the licenseemust promptly notify the Commission,in writing, as to the reasons for dis-continuance, reduction, or impairmentof service, including a statement whennormal service is to be resumed. Whennormal service is resumed, the licenseemust promptly notify the Commission.

(b) Voluntary act by common carrier. Ifa fixed common carrier licensee, or afixed common carrier operating onspectrum licensed to a Guard BandManager, voluntarily discontinues, re-duces, or impairs service to a commu-nity or part of a community, it mustobtain prior authorization as providedunder § 63.71 of this chapter. An appli-cation will be granted within 31 daysafter filing if no objections have beenreceived.

(c) Voluntary act by non-common car-rier. If a fixed non-common carrier li-censee, or a fixed non-common carrieroperating on spectrum licensed to aGuard Band Manager, voluntarily dis-continues, reduces, or impairs serviceto a community or part of a commu-nity, it must given written notice tothe Commission within seven days.

(d) Notifications and requests. Notifica-tions and requests identified in para-graphs(a) through (c) of this sectionshould be sent to: Federal Communica-tions Commission, Common CarrierRadio Services, 1270 Fairfield Road,Gettysburg, Pennsylvania, 17325.

[65 FR 3149, Jan. 20, 2000; 65 FR 12483, Mar. 9,2000, as amended at 65 FR 17605, Apr. 4, 2000;65 FR 57267, Sept. 21, 2000]

Subpart D—Competitive BiddingProcedures for the 2305–2320MHz and 2345–2360 MHzBands

§ 27.201 WCS in the 2305–2320 MHzand 2345–2360 MHz bands subject tocompetitive bidding.

Mutually exclusive initial applica-tions to provide WCS in the 2305–2320

MHz and 2345–2360 MHz bands serviceare subject to competitive bidding pro-cedures. The procedures set forth inpart 1, subpart Q of this chapter willapply unless otherwise specified in thispart.

[62 FR 9658, Mar. 3, 1997, as amended at 65 FR57268, Sept. 21, 2000]


In addition to the provisions of§ 1.2104(a) through (f), (h) and (i) of thischapter, the following provision willapply to WCS in the 2305–2320 and 2345–2360 bands: Where a tie bid occurs, thehigh bidder will be determined by theorder in which the bids were receivedby the Commission.


§ 27.203 Withdrawal, default and dis-qualification payments.

When the Commission conducts a si-multaneous multiple round auctionpursuant to § 27.202, the Commissionwill impose payments on bidders whowithdraw high bids during the courseof an auction, or who default on pay-ments due after an auction closes orwho are disqualified. When the amountof such a payment cannot be deter-mined, a deposit of up to 20 percent ofthe amount bid on the license will berequired.

(a) Bid withdrawal prior to close ofauction. A bidder who withdraws ahigh bid during the course of an auc-tion will be subject to a payment equalto the difference between the amountbid and the amount of the winning bidthe next time the license is offered bythe Commission. No withdrawal pay-ment would be assessed if the subse-quent winning bid exceeds the with-drawn bid. This payment amount willbe deducted from any upfront pay-ments or down payments that the with-drawing bidder has deposited with theCommission.

(b) Default or disqualification afterclose of auction. See § 1.2104(g)(2) of thischapter.

[62 FR 9658, Mar. 3, 1997, as amended at 63 FR2349, Jan. 15, 1998]


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47 CFR Ch. I (10–1–01 Edition)§ 27.204

§ 27.204 Bidding application and cer-tification procedures; prohibition ofcollusion.

(a) Submission of Short-Form Applica-tion (FCC Form 175). In order to be eligi-ble to bid, an applicant must timelysubmit, by means of electronic filing, ashort-form application (FCC Form 175).Unless otherwise provided by public no-tice, the Form 175 need not be accom-panied by an upfront payment (see§ 27.205).

(1) All Form 175s will be due on thedate specified by public notice.

(2) The Form 175 must contain thefollowing information:

(i) Identification of each license onwhich the applicant wishes to bid;

(ii) The applicant’s name, if the ap-plicant is an individual. If the appli-cant is a corporation, then the short-form application will require the nameand address of the corporate office andthe name and title of an officer or di-rector. If the applicant is a partner-ship, then the application will requirethe names, citizenship and addresses ofall partners, and, if a partner is not anatural person, then the name and titleof a responsible person should be in-cluded as well. If the applicant is atrust, then the name and address of thetrustee will be required. If the appli-cant is none of the above, then it mustidentify and describe itself and itsprincipals or other responsible persons;

(iii) The identity of the person(s) au-thorized to make or withdraw a bid;

(iv) If the applicant applies as a des-ignated entity pursuant to section27.210(b), a statement to that effect anda declaration, under penalty of perjury,that the applicant is qualified as a des-ignated entity under § 27.210(b).

(v) Certification that the applicant islegally, technically, financially andotherwise qualified pursuant to section308(b) of the Communications Act of1934, as amended. The Commission willaccept applications certifying that arequest for waiver or other relief fromthe requirements of section 310 is pend-ing;

(vi) Certification that the applicantis in compliance with the foreign own-ership provisions of section 310 of theCommunications Act of 1934, as amend-ed;

(vii) Certification that the applicantis and will, during the pendency of itsapplication(s), remain in compliancewith any service-specific qualificationsapplicable to the licenses on which theapplicant intends to bid including, butnot limited to, financial qualifications.The Commission may require certifi-cation in certain services that the ap-plicant will, following grant of a li-cense, come into compliance with cer-tain service-specific rules, including,but not limited to, ownership eligi-bility limitations;

(viii) An exhibit, certified as truthfulunder penalty of perjury, identifyingall parties with whom the applicanthas entered into partnerships, jointventures, consortia or other agree-ments, arrangements or under-standings of any kind relating to thelicenses being auctioned, including anysuch agreements relating to the post-auction market structure;

(ix) Certification under penalty ofperjury that it has not entered and willnot enter into any explicit or implicitagreements, arrangements or under-standings of any kind with any partiesother than those identified pursuant toparagraph (a)(2)(viii) of this section re-garding the amount of their bids, bid-ding strategies or the particular li-censes on which they will or will notbid; and

(x) Certification under penalty ofperjury that it is not in default on anyCommission licenses and that it is notdelinquent on any extension of creditfrom any federal agency.

NOTE TO PARAGRAPH (a): The Commissionmay also request applicants to submit addi-tional information for informational pur-poses to aid in its preparation of required re-ports to Congress.

(b) Modification and Amendment ofApplication. Applicants will be per-mitted to amend their Form 175 appli-cations to make minor amendments tocorrect minor errors or defects such astypographical errors. Applicants willalso be permitted to amend FCC Form175 to make changes to the informationrequired by § 27.204(a) (such as owner-ship changes or changes in the identi-fication of parties to bidding con-sortia), provided such changes do not


393


result in a change in control of the ap-plicant and do not involve another ap-plicant (or parties in interest to an ap-plicant) who has applied for licenses inany of the same geographic licenseareas as the applicant. Amendmentswhich change control of the applicantwill be considered major amendments.An FCC Form 175 which is amended bya major amendment will be consideredto be newly filed and cannot be resub-mitted after applicable filing deadlines.See also § 1.2105 of this chapter.

(c) Prohibition of collusion. (1) Ex-cept as provided in paragraphs (c)(2),(c)(3) and (c)(4) of this section, afterthe filing of short-form applications,all applicants are prohibited from co-operating, collaborating, discussing ordisclosing in any manner the substanceof their bids or bidding strategies, ordiscussing or negotiating settlementagreements, with other applicantsuntil after the high bidder makes therequired down payment, unless suchapplicants are members of a biddingconsortium or other joint bidding ar-rangement identified on the bidder’sshort-form application pursuant to§ 27.204(a)(2)(viii).

(2) Applicants may modify theirshort-form applications to reflect for-mation of consortia or changes in own-ership at any time before or during anauction, provided such changes do notresult in a change in control of the ap-plicant, and provided that the partiesforming consortia or entering intoownership agreements have not appliedfor licenses in any of the same geo-graphic license areas. Such changeswill not be considered major modifica-tions of the application.

(3) After the filing of short-form ap-plications, applicants may make agree-ments to bid jointly for licenses, pro-vided the parties to the agreementhave not applied for licenses in any ofthe same geographic license areas.

(4) After the filing of short-form ap-plications, a holder of a non-control-ling attributable interest in an entitysubmitting a short-form applicationmay acquire an ownership interest in,form a consortium with, or enter into ajoint bidding arrangement with, otherapplicants for licenses in the same geo-graphic license area, provided that:

(i) The attributable interest holdercertifies to the Commission that it hasnot communicated and will not com-municate with any party concerningthe bids or bidding strategies of morethan one of the applicants in which itholds an attributable interest, or withwhich it has a consortium or joint bid-ding arrangement, and which have ap-plied for licenses in the same geo-graphic license area(s); and

(ii) The arrangements do not resultin any change in control of an appli-cant.

(5) Applicants must modify theirshort-form applications to reflect anychanges in ownership or in the mem-bership of consortia or joint bidding ar-rangements.

(6) For purposes of this paragraph:(i) The term ‘‘applicant’’ shall in-

clude the entity submitting a short-form application to participate in anauction (FCC Form 175), as well as allholders of partnership and other owner-ship interests and any stock interestamounting to 5 percent or more of theentity, or outstanding stock, or out-standing voting stock of the entitysubmitting a short-form application,and all officers and directors of thatentity; and

(ii) The term ‘‘bids or bidding strate-gies’’ shall include capital calls or re-quests for additional funds in supportof bids or bidding strategies.

§ 27.205 Submission of upfront pay-ments.

(a) Each eligible bidder for WCS inthe 2305–2320 and 2345–2360 bands li-censes subject to auction shall pay anupfront payment pursuant to thischapter and procedures specified bypublic notice. No interest will be paidon upfront payments.

(b) Upfront payments must be madeby wire transfer.

(c) If the applicant does not submitat least the minimum upfront pay-ment, it will be ineligible to bid, its ap-plication will be dismissed and any up-front payment it has made will be re-turned.

(d) The upfront payment(s) of a bid-der will be credited toward any downpayment required for licenses on whichthe bidder is the high bidder. Where theupfront payment amount exceeds the


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47 CFR Ch. I (10–1–01 Edition)§ 27.206

required deposit of a winning bidder,the Commission will refund the excessamount after determining that no bidwithdrawal payments are owed by thatbidder.

(e) In accordance with the provisionsof paragraph (d) of this section, in theevent a payment is assessed pursuantto § 27.203 for bid withdrawal or default,upfront payments or down paymentson deposit with the Commission will beused to satisfy the bid withdrawal ordefault payment before being appliedtoward any additional payment obliga-tions that the high bidder may have.


§ 27.206 Submission of down paymentand filing of long-form applications.

(a) After bidding has ended, the Com-mission will identify and notify thehigh bidder and declare the biddingclosed.

(b) Within ten (10) business days afterbeing notified that it is a high bidderon a particular license(s), a high biddermust submit to the Commission’slockbox bank such additional funds(the ‘‘down payment’’) as are necessaryto bring its total deposits (not includ-ing upfront payments applied to satisfybid withdrawal or default payments) upto twenty (20) percent of its high bid(s).This down payment must be made bywire transfer or cashier’s check drawnin U.S. dollars from a financial institu-tion whose deposits are insured by theFederal Deposit Insurance Corporationand must be made payable to the Fed-eral Communications Commission.Down payments will be held by theCommission until the high bidder hasbeen awarded the license and has paidthe remaining balance due on the li-cense, in which case it will not be re-turned, or until the winning bidder isfound unqualified to be a licensee orhas defaulted, in which case it will bereturned, less applicable payments. Nointerest will be paid on any down pay-ment.

(c) A high bidder that meets its downpayment obligations in a timely man-ner must, within ten (10) business daysafter being notified that it is a highbidder, submit an additional applica-tion (the ‘‘long-form application’’) pur-suant to the rules governing the serv-

ice in which the applicant is the highbidder. Notwithstanding any other pro-vision in title 47 of the Code of FederalRegulations to the contrary, high bid-ders need not submit an additional ap-plication filing fee with their long-form applications. Notwithstandingany other provision in Title 47 of theCode of Federal Regulations to the con-trary, the high bidder’s long-form ap-plication must be mailed or otherwisedelivered to: Office of the Secretary,Federal Communications Commission,Attention: Auction Application Proc-essing Section, 1919 M Street, NW,Room 222, Washington, DC 20554. An ap-plicant that fails to submit the re-quired long-form application as re-quired under this section, and fails toestablish good cause for any late-filedsubmission, shall be deemed to havedefaulted and will be subject to thepayments set forth in section 27.203.

(d) As an exhibit to its long-form ap-plication, the applicant must provide adetailed explanation of the terms andconditions and parties involved in anybidding consortia, joint venture, part-nership or other agreement or arrange-ment it had entered into relating tothe competitive bidding process priorto the time bidding was completed.Such agreements must have been en-tered into prior to the filing of short-form applications pursuant to § 27.204.



(a) Unless otherwise specified inthese rules, auction winners are re-quired to pay the balance of their win-ning bids in a lump sum within ten (10)business days following award of the li-cense. Grant of the license will be con-ditioned on full and timely payment ofthe winning bid.

(b) If a winning bidder withdraws itsbid after the Commission has declaredcompetitive bidding closed or fails toremit the required down payment with-in ten (10) business days after the Com-mission has declared competitive bid-ding closed, the bidder will be deemedto have defaulted, its application willbe dismissed, and it will be liable forthe default penalty specified in § 27.203.


395


In such event, the Commission may ei-ther re-auction the license to existingor new applicants or offer it to theother highest bidders (in descendingorder) at their final bids. The downpayment obligations set forth in§ 27.206(b) will apply.

(c) A winning bidder who is found un-qualified to be a licensee, fails to remitthe balance of its winning bid in atimely manner, or defaults or is dis-qualified for any reason after havingmade the required down payment, willbe deemed to have defaulted and willbe liable for the payment set forth in§ 27.203. In such event, the Commissionwill conduct another auction for the li-cense, affording new parties an oppor-tunity to file applications for the li-cense.

(d) Bidders who are found to haveviolated the antitrust laws or the Com-mission’s rules in connection withtheir participation in the competitivebidding process may be subject, in ad-dition to any other applicable sanc-tions, to forfeiture of their upfrontpayment, down payment or full bidamount, and may be prohibited fromparticipating in future auctions.

§ 27.209 Designated entities; biddingcredits; unjust enrichment.

(a) Designated entities entitled topreferences in the WCS in the 2305–2320and 2345–2360 bands auction are smallbusinesses and very small businesses asdefined in § 27.110(b). Designated enti-ties will be eligible for bidding credits,as defined in paragraphs (b) and (c) ofthis section.

(b) A winning bidder that qualifies asa small business may use a bidding cred-it of 25 percent to lower the cost of itswinning bid.

(c) A winning bidder that qualifies asa very small business may use a biddingcredit of 35 percent to lower the cost ofits winning bid.


[62 FR 9658, Mar. 3, 1997, as amended at 63 FR2349, Jan. 15, 1998; 65 FR 57268, Sept. 21, 2000]


(a) Scope. The definitions in this sec-tion apply to § 27.209, unless otherwisespecified in those sections.

(b) Small Business; Very Small Busi-ness; Consortia.

(1) A small business is an entity that,together with its affiliates and control-ling principals, has average annualgross revenues that are not more than$40 million for the preceding threeyears.

(2) A very small business is an entitythat, together with its affiliates andcontrolling principals, has average an-nual gross revenues that are not morethan $15 million for the preceding threeyears.

(3) For purposes of determiningwhether an entity meets the $40 mil-lion average annual gross revenues sizestandard set forth in paragraph (b)(1) ofthis section or the $15 million averageannual gross revenues size standard setforth in paragraph (b)(2) of this section,the gross revenues of the applicant andits affiliates shall be considered on acumulative basis and aggregated sub-ject to the following exceptions:

(i) For purposes of paragraphs (b)(1)and (b)(2) of this section, the personalnet worth of an applicant and its affili-ates is not included in the applicant’sgross revenues; and

(ii) For purposes of paragraphs (b)(1)and (b)(2) of this section, Indian tribesor Alaska Regional or Village Corpora-tions organized pursuant to the AlaskaNative Claims Settlement Act (43U.S.C. 1601 et seq.), or entities ownedand controlled by such tribes or cor-porations, are not considered affiliatesof an applicant (or licensee) that isowned and controlled by such tribes,corporations or entities, and that oth-erwise complies with the requirementsof paragraphs (b)(1) and (b)(2) of thissection, except that gross revenues de-rived from gaming activities conductedby affiliated entities pursuant to theIndian Gaming Regulatory Act (25U.S.C. 2701 et seq.) will be counted indetermining such applicant’s (or li-censee’s) compliance with the financialrequirements of paragraphs (b)(1) and(b)(2) of this section, unless such appli-cant establishes that it will not receivea substantial unfair competitive ad-vantage because significant legal con-straints restrict the applicant’s abilityto access such gross revenues.


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47 CFR Ch. I (10–1–01 Edition)§ 27.210

(4) A consortium of small businesses(or a consortium of very small busi-nesses) is a conglomerate organizationformed as a joint venture between oramong mutually independent businessfirms, each of which individually satis-fies the definition in paragraph (b)(1) ofthis section or each of which satisfiesthe definition in paragraph (b)(2) ofthis section. Where an applicant (or li-censee) is a consortium of small busi-nesses, the gross revenues of eachsmall business shall not be aggregated.

(c) Gross Revenues. Gross revenuesshall mean all income received by anentity, whether earned or passive, be-fore any deductions are made for costsof doing business (e.g., cost of goodssold), as evidenced by audited financialstatements for the relevant number ofmost recently completed calendaryears, or, if audited financial state-ments were not prepared on a calendar-year basis, for the most recently com-pleted fiscal years preceding the filingof the applicant’s short-form applica-tion (Form 175). If an entity was not inexistence for all or part of the relevantperiod, gross revenues shall be evi-denced by the audited financial state-ments of the entity’s predecessor-in-in-terest or, if there is no identifiablepredecessor-in-interest, unaudited fi-nancial statements certified by the ap-plicant as accurate. When an applicantdoes not otherwise use audited finan-cial statements, its gross revenues maybe certified by its chief financial offi-cer or its equivalent.

(d) Affiliate.—(1) Basis for affiliation.An individual or entity is an affiliateof an applicant if such individual or en-tity:

(i) Directly or indirectly controls orhas the power to control the applicant;

(ii) Is directly or indirectly con-trolled by the applicant;

(iii) Is directly or indirectly con-trolled by a third party or parties whoalso control or have the power to con-trol the applicant; or


(2) Nature of control in determining af-filiation. (i) Every business concern isconsidered to have one or more partieswho directly or indirectly control orhave the power to control it. Controlmay be affirmative or negative and it

is immaterial whether it is exercised solong as the power to control exists.

Example for paragraph (d)(2)(i). An appli-cant owning 50 percent of the voting stock ofanother concern would have negative powerto control such concern since such party canblock any action of the other stockholders.Also, the bylaws of a corporation may per-mit a stockholder with less than 50 percentof the voting stock to block any actionstaken by the other stockholders in the otherentity. Affiliation exists when the applicanthas the power to control a concern while atthe same time another person, or persons,are in control of the concern at the will ofthe party or parties with the power of con-trol.

(ii) Control can arise through stockownership; occupancy of director, offi-cer, or key employee positions; con-tractual or other business relations; orcombinations of these and other fac-tors. A key employee is an employeewho, because of his/her position in theconcern, has a critical influence in orsubstantive control over the operationsor management of the concern.

(iii) Control can arise through man-agement positions if the voting stockis so widely distributed that no effec-tive control can be established.

Example for paragraph (d)(2)(iii). In a cor-poration where the officers and directorsown various size blocks of stock totaling 40percent of the corporation’s voting stock,but no officer or director has a block suffi-cient to give him/her control or the power tocontrol and the remaining 60 percent is wide-ly distributed with no individual stockholderhaving a stock interest greater than 10 per-cent, management has the power to control.If persons with such management control ofthe other entity are controlling principals ofthe applicant, the other entity will bedeemed an affiliate of the applicant.


(i) Spousal affiliation. Both spousesare deemed to own or control or havethe power to control interests owned orcontrolled by either of them, unlessthey are subject to a legal separation


397


recognized by a court of competent ju-risdiction in the United States.

(ii) Kinship affiliation. Immediatefamily members will be presumed toown or control or have the power tocontrol interests owned or controlledby other immediate family members.In this context ‘‘immediate familymember’’ means father, mother, hus-band, wife, son, daughter, brother, sis-ter, father- or mother-in-law, son- ordaughter-in-law, brother- or sister-in-law, step-father or -mother, step-broth-er or -sister, step-son or -daughter,half-brother or -sister. This presump-tion may be rebutted by showing that:

(A) The family members are es-tranged;

(B) The family ties are remote;(C) The family members are not


Example for paragraph (d)(3)(ii). A owns acontrolling interest in Corporation X. A’ssister-in-law, B, has a controlling interest ina WCS in the 2305–2320 and 2345–2360 bands ge-ographic area license application. Because Aand B have a presumptive kinship affiliation,A’s interest in Corporation X is attributableto B, and thus to the applicant, unless B re-buts the presumption with the necessaryshowing.

(4) Affiliation through stock ownership.(i) An applicant is presumed to controlor have the power to control a concernif he/she owns or controls or has thepower to control 50 percent or more ofits voting stock.

(ii) An applicant is presumed to con-trol or have the power to control a con-cern even though he/she owns, controls,or has the power to control less than 50percent of the concern’s voting stock,if the block of stock he/she owns, con-trols, or has the power to control islarge as compared with any other out-standing block of stock.

(iii) If two or more persons eachowns, controls or has the power to con-trol less than 50 percent of the votingstock of a concern, such minority hold-ings are equal or approximately equalin size, and the aggregate of these mi-nority holdings is large as comparedwith any other stock holding, the pre-sumption arises that each one of thesepersons individually controls or hasthe power to control the concern; how-ever, such presumption may be rebut-

ted by a showing that such control orpower to control, in fact, does notexist.

(5) Affiliation arising under stock op-tions, convertible debentures, and agree-ments to merge. Stock options, convert-ible debentures, and agreements tomerge (including agreements in prin-ciple) are generally considered to havea present effect on the power to controlthe concern. Therefore, in making asize determination, such options, de-bentures, and agreements will gen-erally be treated as though the rightsheld thereunder had been exercised.However, neither an affiliate nor an ap-plicant can use such options and deben-tures to appear to terminate its con-trol over another concern before it ac-tually does so.

Example 1 for paragraph (d)(5). If company Bholds an option to purchase a controlling in-terest in company A, who holds a controllinginterest in a WCS in the 2305–2320 and 2345–2360 bands geographic area license applica-tion, the situation is treated as though com-pany B had exercised its rights and had be-come owner of a controlling interest in com-pany A. The gross revenues of company Bmust be taken into account in determiningthe size of the applicant.

Example 2 for paragraph (d)(5). If a largecompany, BigCo, holds 70% (70 of 100 out-standing shares) of the voting stock of com-pany A, who holds a controlling interest in aWCS in the 2305–2320 MHz and 2345–2360 MHzbands geographic area license application,and gives a third party, SmallCo, an optionto purchase 50 of the 70 shares owned byBigCo, BigCo will be deemed to be an affil-iate of company A, and thus the applicant,until SmallCo actually exercises its optionsto purchase such shares. In order to preventBigCo from circumventing the intent of therule, which requires such options to be con-sidered on a fully diluted basis, the option isnot considered to have present effect in thiscase.

Example 3 for paragraph (d)(5). If companyA has entered into an agreement to mergewith company B in the future, the situationis treated as though the merger has takenplace.



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47 CFR Ch. I (10–1–01 Edition)§ 27.301


(iii) If the primary purpose of a vot-ing trust, or similar agreement, is toseparate voting power from beneficialownership of voting stock for the pur-pose of shifting control of or the powerto control a concern in order that suchconcern or another concern may meetthe Commission’s size standards, suchvoting trust shall not be consideredvalid for this purpose regardless ofwhether it is or is not recognized with-in the appropriate jurisdiction.




(10) Affiliation under joint venture ar-rangements. (i) A joint venture for sizedetermination purposes is an associa-tion of concerns and/or individuals,with interests in any degree or propor-tion, formed by contract, express orimplied, to engage in and carry out asingle, specific business venture forjoint profit for which purpose theycombine their efforts, property, money,skill and knowledge, but not on a con-tinuing or permanent basis for con-ducting business generally. The deter-mination whether an entity is a jointventure is based upon the facts of the

business operation, regardless of howthe business operation may be des-ignated by the parties involved. Anagreement to share profits/losses pro-portionate to each party’s contributionto the business operation is a signifi-cant factor in determining whether thebusiness operation is a joint venture.

(ii) The parties to a joint venture areconsidered to be affiliated with eachother.


Subpart E—Application, Licensing,and Processing Rules for WCS




(1) The applicant is qualified underthe applicable laws and the regula-tions, policies and decisions issuedunder those laws, including § 27.12;



(b) Alien Ownership. A WCS author-ization may not be granted to or heldby an entity not meeting the require-ments of section 310 of the Communica-tions Act of 1934, as amended, 47 U.S.C.section 310 insofar as applicable to theparticular service in question.

§§ 27.303–27.307 [Reserved]

§ 27.308 Technical content of applica-tions.

All applications required by this partshall contain all technical informationrequired by the application forms orassociated public notice(s). Applica-tions other than initial applications fora WCS license must also comply withall technical requirements of the rulesgoverning the applicable frequencyband (see subparts C, D, F, and G ofthis part, as appropriate).

[65 FR 57268, Sept. 21, 2000]


399


§§ 27.310–27.320 [Reserved]


(a) Two or more pending applicationsare mutually exclusive if the grant ofone application would effectively pre-clude the grant of one or more of theothers under the Commission’s rulesgoverning the Wireless Communica-tions Services involved. The Commis-sion uses the general procedures in thissection for processing mutually exclu-sive applications in the Wireless Com-munications Services.

(b) An application will be entitled tocomparative consideration with one ormore conflicting applications only ifthe Commission determines that suchcomparative consideration will servethe public interest.

§§ 27.322–27.325 [Reserved]

Subpart F—Competitive BiddingProcedures for the 746–764MHz and 776–794 MHz Bands

SOURCE: 65 FR 3149, Jan. 20, 2000, unlessotherwise noted.

§ 27.501 746–764 MHz and 776–794 MHzbands subject to competitive bid-ding.

(a) Mutually exclusive initial appli-cations for licenses in the 746–764 MHzand 776–794 MHz bands are subject tocompetitive bidding procedures. Theprocedures set forth in part 1, subpartQ, of this chapter will apply unless oth-erwise provided in this part.

(b) For auctions of licenses in the747–762 and 777–792 MHz Bands using apackage bidding design, the paymentsimposed on bidders who default on pay-ments due after an auction closes orwho are disqualified, set forth in§ 1.2104(g) of this chapter, shall be cal-culated as follows. The default pay-ment consists of a deficiency portionand an additional payment. The addi-tional payment shall be 25 percent ofthe subsequent winning bid or the de-faulted bid, whichever is less. In thecase that either the subsequent win-ning bid or the defaulted bid is subjectto bidding credits, the additional pay-ment will be calculated in an analo-gous manner to that used in

§ 1.2104(g)(2) of this chapter. The defi-ciency portion of the default paymentshall be calculated as set forth in§ 27.501(b)(1) through (b)(4). In the casethat any of the relevant bids are sub-ject to bidding credits, the default pay-ment will be adjusted in an analogousmanner to that used in § 1.2104(g)(1) ofthis chapter. In calculating the addi-tional payment portion of the defaultpayment, to determine whether the de-faulted bid(s) or the subsequent win-ning bid(s) is the lesser amount, the de-faulted and subsequent bid(s) will becompared according to the rules setforth in paragraphs (b)(1) through (4) ofthis section for calculation of the defi-ciency portion of the default payment.

(1) Where a defaulting bidder won li-censes individually (i.e., not as part ofa package), and in a subsequent auc-tion the licenses are also won individ-ually, we will calculate the deficiencyportion as we do in our simultaneousmultiple round auctions, and on a li-cense-by-license basis (i.e., the dif-ferences between the amount origi-nally bid and the amount subsequentlybid will not be aggregated to determinea net amount owed). Where a license issold individually and not as part of apackage, we find no reason to modifythe calculation of the deficiency por-tion of the default payment.

(2) Where a defaulting bidder won li-censes in package(s), and in a subse-quent auction the licenses are won ei-ther in the same package(s), or insmaller packages or as individual li-censes that correlate to the defaultedpackage(s), the deficiency portion willbe determined on a package-by-pack-age basis, and the differences betweenthe amount originally bid and theamount(s) subsequently bid will not beaggregated to determine a net amountowed. Thus, in this situation, we willcalculate the deficiency portion in amanner analogous to where the li-censes are sold individually. However,because a bid on a package does notimply any specific allocation of thetotal amount to the individual licensesmaking up that package, where the li-censes are subsequently sold individ-ually or as part of smaller packages,we believe we should aggregate theamounts received in the subsequent


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47 CFR Ch. I (10–1–01 Edition)§ 27.502

auction in order to determine any defi-ciency.

(3) Where a defaulting bidder or bid-ders won licenses either individually oras part of packages, and in a subse-quent auction the licenses are won aslarger packages or different packages(not including the situation describedin § 27.501(b)(2)), the deficiency portionwill be calculated by subtracting theaggregate amount originally bid forthe licenses from the aggregateamount bid in the subsequent auctionfor the licenses. As stated in§ 27.501(b)(2), a bid on a package doesnot imply any specific allocation of thetotal amount to the licenses making upthat package. We believe that in thissituation we should aggregate theamounts bid on the various packages inorder to calculate the deficiency por-tion owed.

(4) When in the situation described in§ 27.501(b)(3), there are multiple default-ing bidders, the default payment (boththe deficiency portion and the addi-tional amount portion) will be allo-cated to the defaulting bidders in pro-portion to the amount they originallybid. For example, if Bidder 1 defaultson Package ABC for $200, and Bidder 2defaults on Package DE for $400, and ina subsequent auction the licenses arewon in Package AB for $150 and Pack-age CDE for $350, Bidder 1 would be lia-ble for 1⁄3 of the default payment andBidder 2 would be responsible for 2⁄3.The total default payment would beequal to the difference between thetotal of the original bids ($600) and thetotal of the subsequent amounts bid($500) plus an additional amount of 25percent of the total of the subsequentamounts bid. The total default pay-ment therefore would equal $100 ($600–$500) plus 25 percent of $500 ($125), for atotal default payment of $225.

[65 FR 17065, Apr. 4, 2000, as amended at 66FR 10377, Feb. 15, 2001; 66 FR 21287, Apr. 30,2001]

§ 27.502 Designated entities.

(a) Eligibility for small business pro-visions. (1) A small business is an enti-ty that, together with its controllinginterests and affiliates, has averagegross revenues not exceeding $40 mil-lion for the preceding three years.

(2) A very small business is an entitythat, together with its controlling in-terests and affiliates, has average grossrevenues not exceeding $15 million forthe preceding three years.

(3) For purposes of determiningwhether an entity meets either of thedefinitions set forth in paragraphs(a)(1) and (a)(2) of this section, thegross revenues of the entity, its con-trolling interests and affiliates shall beconsidered on a cumulative basis andaggregated. An applicant seeking sta-tus as a small business or very smallbusiness under this section must dis-close on its short-and long-form appli-cations, separately and in the aggre-gate, the gross revenues of the appli-cant (or licensee), its controlling inter-ests and affiliates for each of the pre-vious three years.

(4) Persons or entities that hold in-terests in an applicant (or licensee)that are affiliates of each other or havean identity of interests identified in§ 1.2110(b)(4)(iii) of this chapter will betreated as though they were one personor entity and their ownership interestsaggregated for purposes of determiningan applicant’s (or licensee’s) compli-ance with the requirements of this sec-tion.

(5) Where an applicant (or licensee)cannot identify controlling interestsunder the standards set forth in thissection, the gross revenues of all inter-est holders in the applicant, and theiraffiliates, will be attributable.

(6) A consortium of small businesses(or a consortium of very small busi-nesses) is a conglomerate organizationformed as a joint venture between oramong mutually independent businessfirms, each of which individually satis-fies the definition in paragraph (a)(1) ofthis section (or each of which individ-ually satisfies the definition in para-graph (a)(2) of this section). Where anapplicant or licensee is a consortium ofsmall businesses (or very small busi-nesses), the gross revenues of eachsmall business (or very small business)shall not be aggregated.

(7) Designated entities must describeon their long-form applications howthey satisfy the requirements for eligi-bility for designated entity status, andmust list and summarize on their long-form applications all agreements that


401


affect designated entity status such aspartnership agreements, shareholderagreements, management agreementsand other agreements, including oralagreements, establishing, as applica-ble, de facto or de jure control of theentity. Such information must bemaintained at the licensee’s facilitiesor by its designated agent for the termof the license in order to enable theCommission to audit designated entityeligibility on an ongoing basis.

(b) Controlling interest. (1) For pur-poses of this section, a controlling in-terest includes individuals or entitieswith either de jure or de facto control ofthe applicant. De jure control is evi-denced by holdings of greater than 50percent of the voting stock of a cor-poration, or in the case of a partner-ship, general partnership interests. Defacto control is determined on a case-by-case basis. An entity must discloseits equity interest and demonstrate atleast the following indicia of control toestablish that it retains de facto con-trol of the applicant:




(2) The following rules apply for thecalculation of certain interests. (i)Ownership interests shall be calculatedon a fully diluted basis; all agreementssuch as warrants, stock options, andconvertible debentures will generallybe treated as if the rights thereunderalready have been fully exercised.

(ii) Partnership and other ownershipinterests and any stock interest eq-uity, or outstanding stock or out-standing voting stock shall be attrib-uted as specified below.

(iii) Stock interests held in trustshall be attributed to any person whoholds or shares the power to vote suchstock, to any person who has the solepower to sell such stock, and to anyperson who has the right to revoke thetrust at will or to replace the trusteeat will. If the trustee has a familial,personal, or extra-trust business rela-tionship to the grantor or the bene-

ficiary, the stock interests held intrust will be attributed to the grantoror beneficiary, as appropriate.



(vi) Officers and directors of an enti-ty shall be considered to have an at-tributable interest in the entity. Theofficers and directors of an entity thatcontrols a licensee or applicant shallbe considered to have an attributableinterest in the licensee or applicant.


(viii) Any person who manages theoperations of an applicant or licenseepursuant to a management agreementshall be considered to have a control-ling interest in such applicant or li-censee if such person, or its affiliate,has authority to make decisions orotherwise engage in practices or activi-ties that determine, or significantly in-fluence:




(ix) Any licensee or its affiliate whoenters into a joint marketing arrange-ment with an applicant or licensee, orits affiliate, shall be considered to havea controlling interest, if such applicantor licensee, or its affiliate, has author-ity to make decisions or otherwise en-gage in practices or activities that de-termine, or significantly influence:


402

47 CFR Ch. I (10–1–01 Edition)§ 27.601


(B) The terms upon which such serv-ices are offered; or the prices chargedfor such services.

(c) Bidding credits. A winning bidderthat qualifies as a small business or aconsortium of small businesses as de-fined in this section may use the bid-ding credit specified in § 1.2110(e)(2)(iii)of this chapter. A winning bidder thatqualifies as a very small business or aconsortium of very small businesses asdefined in this section may use the bid-ding credit specified in § 1.2110(e)(2)(ii)of this chapter.

Subpart G—Guard BandManagers

SOURCE: 65 FR 17605, Apr. 4, 2000, unlessotherwise noted.

§ 27.601 Guard Band Manager author-ity and coordination requirements.

(a) Subject to the provisions of§ 27.2(b) and paragraphs (c) and (d) ofthis section, a Guard Band Managermay allow a spectrum user, pursuantto a written agreement, to constructand operate stations at any availablesite within the licensed area and onany channel for which the Guard BandManager is licensed, provided such sta-tions comply with Commission Rulesand coordination requirements.

(b) Subject to the provisions of§ 27.2(b) and paragraphs (c) and (d) ofthis section, a Guard Band Managermay allow a spectrum user, pursuantto a written agreement, to delete,move or change the operating param-eters of any of the user’s stations thatare covered under the Guard BandManager’s license without prior Com-mission approval, provided such sta-tions comply with Commission Rulesand coordination requirements.

(c)(1) A Guard Band Manager mustfile a separate station application andobtain all appropriate Commission ap-provals or authorizations prior to con-struction of stations that—

(i) Require submission of an Environ-mental Assessment under § 1.1307 ofthis chapter;

(ii) Require international coordina-tion; or

(iii) Would affect the radio frequencyquiet zones described in § 90.177 of thischapter.

(2) Prior to construction of a station,a Guard Band Manager must registerwith the Commission any station an-tenna structure for which notificationto the Federal Aviation Administra-tion is required by part 17 of this chap-ter.

(3) It is the Guard Band Manager’s re-sponsibility to determine whether a re-ferral to the Commission is needed forany individual station constructed inthe Guard Band Manager’s license area.

(d)(1) A Guard Band Manager mustnotify Commission-recognized publicsafety frequency coordinators for the700 MHz public safety band and adja-cent-area Guard Band Managers withinone business day after the Guard BandManager has:

(i) Coordinated a new station ormodification of an existing station; or

(ii) Filed an application for an indi-vidual station license with the Com-mission.

(2) The notification required in para-graph (d)(1) of this section must in-clude, at a minimum—

(i) The frequency or frequencies co-ordinated;

(ii) Antenna location and height;(iii) Type of emission;(iv) Effective radiated power;(v) A description of the service area,

date of coordination, and user name or,in the alternative, a description of thetype of operation.

(3) In the event a Guard Band Man-ager partitions its service area ordisaggregates its spectrum, it is re-quired to submit the notification re-quired in paragraph (d)(1) of this sec-tion to other Guard Band Managers inthe same geographic area.

(4) Entities coordinated by a GuardBand Manager must wait at least 10business days after the notification re-quired in paragraph (d)(1) of this sec-tion before operating under the GuardBand Manager’s license;

(5) If, in the event of harmful inter-ference, the Guard Band Manager is un-able to resolve the problem by mutu-ally satisfactory arrangements, theCommission may impose restrictionson the operations of any of the partiesinvolved.


403


(e) Where a deletion, move or changeauthorized under paragraph (b) of thissection constitutes a discontinuance,reduction, or impairment of serviceunder § 27.66 or where discontinuance,reduction or impairment of service re-sults from an involuntary act subjectto § 27.66(a), the Guard Band Managermust comply with the notification andauthorization requirements set forth inthat section.

§ 27.602 Guard Band Manager agree-ments.

Guard Band Managers are required toenter into written agreements regard-ing the use of their licensed spectrumby others, subject to the following con-ditions:

(a) The duration of spectrum useragreements may not extend beyond theterm of the Guard Band Manager’s FCClicense.

(b) The spectrum user agreementmust specify in detail the operating pa-rameters of the spectrum user’s sys-tem, including power, maximum an-tenna heights, frequencies of operation,base station location(s), area(s) of op-eration, and other parameters specifiedin Commission rules for the use ofspectrum identified in § 27.5(b)(1) and(b)(2).

(c) The spectrum user agreementmust require the spectrum user to useCommission-approved equipment whereappropriate and to complete post-con-struction proofs of system performanceprior to system activation.

(d) The spectrum user must agree tooperate its system in compliance withall technical specifications for the sys-tem contained in the agreement andagree to cooperate fully with any in-vestigation or inquiry conducted by ei-ther the Commission or the GuardBand Manager.

(e) The spectrum user must agree tocomply with all applicable Commissionrules, and the spectrum user must ac-cept Commission oversight and en-forcement.

(f) The spectrum user agreementmust stipulate that if the Guard BandManager determines that there is anongoing violation of the Commission’srules or that the spectrum user’s sys-tem is causing harmful interference,the Guard Band Manager shall have the

right to suspend or terminate oper-ation of the spectrum user’s system.The spectrum user agreement muststipulate that if the spectrum user re-fuses to comply with a suspension ortermination order, the Guard BandManager will be free to use all legalmeans necessary to enforce the order.

(g) The spectrum user agreementmay not impose unduly restrictive re-quirements on use of the licensed fre-quencies, including any requirementthat is not reasonably related to the ef-ficient management of the spectrum li-censed to the Guard Band Manager.

(h) Guard Band Managers shall main-tain their written agreements withspectrum users at their principal placeof business, and retain such records forat least two years after the date suchagreements expire. Such records shallbe kept current and be made availableupon request for inspection by theCommission or its representatives.

§ 27.603 Access to the Guard BandManager’s spectrum.

(a) A Guard Band Manager may notengage in unjust or unreasonable dis-crimination among spectrum users andmay not unreasonably deny prospec-tive spectrum users access to theGuard Band Manager’s licensed spec-trum.

(b) A Guard Band Manager may notimpose unduly restrictive require-ments on use of its licensed fre-quencies, including any requirementthat is not reasonably related to the ef-ficient management of the spectrum li-censed to the Guard Band Manager.

(c) A Guard Band Manager may leasea reasonable amount of its spectrum toan affiliate for the affiliate’s own in-ternal use or for the affiliate’s provi-sion of commercial or private radioservices. However, a Guard Band Man-ager must lease the predominantamount of its spectrum to non-affili-ates.

§ 27.604 Limitation on licenses won atauction.

(a) For the first auction of licenses inBlocks A and B, as defined in § 27.5, noapplicant may be deemed the winningbidder of both a Block A and a Block Blicense in a single geographic servicearea.


404

47 CFR Ch. I (10–1–01 Edition)§ 27.605

(b) For purposes of paragraph (a) ofthis section, licenses will be deemed tobe won by the same bidder if an entitythat wins one license at the auction isan affiliate of any other entity thatwins a license at the auction.

§ 27.605 Geographic partitioning andspectrum disaggregation.

An entity that acquires a portion of aGuard Band Manager’s geographic areaor spectrum subject to a geographicpartitioning or spectrumdisaggregation agreement under § 27.15must function as a Guard Band Man-ager and is subject to the obligationsand restrictions on Guard Band Man-ager licenses set forth in this subpart.

§ 27.606 Complaints against GuardBand Managers.

Guard Band Managers are expectedto resolve disputes with their cus-tomers or disputes between multiplecustomers of the Guard Band Managerin the same manner that the partieswould resolve other commercial dis-putes arising out of the spectrum useragreement. The Commission will alsoconsider complaints filed against aGuard Band Manager for violating theCommunications Act or the Commis-sion’s regulations or policies. Whenthere is a dispute between a GuardBand Manager, or its spectrum user,and a non-contracting party, and theGuard Band Manager is unable or un-willing to resolve such dispute in atimely fashion, the non-contractingparty may file a complaint with theCommission pursuant to § 1.41 of thischapter.

§ 27.607 Performance requirementsand annual reporting requirement.

(a) Guard Band Managers are subjectto the performance requirements speci-fied in § 27.14(a).

(b) Guard Band Managers are re-quired to file an annual report pro-viding the Commission with informa-tion about the manner in which theirspectrum is being utilized. Such re-ports shall be filed with the Commis-sion on a calendar year basis, no laterthan the March 1 following the close ofeach calendar year, unless another fil-ing date is specified by Public Notice.

(c) Guard Band Managers must, at aminimum, include the following infor-mation in their annual reports:

(1) The total number of spectrumusers and the number of those usersthat are affiliates of the Guard BandManager;

(2) The amount of the Guard BandManager’s spectrum being used by theGuard Band Manager’s affiliates in anypart of the licensed service area;

(3) The amount of Guard Band Man-ager’s spectrum being used pursuant toagreements with unaffiliated third par-ties;

(4) The nature of the spectrum use ofthe Guard Band Manager’s customers;and

(5) The length of the term of eachspectrum user agreement.

(d) The specific information thatGuard Band Managers will provide andthe procedures that they will follow insubmitting their annual reports will beannounced in a Public Notice issued bythe Wireless Telecommunications Bu-reau.

PART 32—UNIFORM SYSTEM OFACCOUNTS FOR TELECOMMUNI-CATIONS COMPANIES

Subpart A—Preface

Sec.32.1 Background.32.2 Basis of the accounts.32.3 Authority.32.4 Communications Act.

Subpart B—General Instructions

32.11 Classification of companies.32.12 Records.32.13 Accounts—general.32.14 Regulated accounts.32.15 [Reserved]32.16 Changes in accounting standards.32.17 Interpretation of accounts.32.18 Waivers.32.19 Address for reports and correspond-

ence.32.20 Numbering convention.32.21 Sequence of accounts.32.22 Comprehensive interperiod tax alloca-

tion.32.23 Nonregulated activities.32.24 Compensated absences.32.25 Unusual items and contingent liabil-

ities.32.26 Materiality.32.27 Transactions with affiliates.


405


Subpart C—Instructions for Balance SheetAccounts

32.101 Structure of the balance sheet ac-counts.

32.102 Nonregulated investments.32.103 Balance sheet accounts for other than

regulated-fixed assets to be maintained.32.1120 Cash and equivalents.32.1130 Cash.32.1140 Special cash deposits.32.1150 Working cash advances.32.1160 Temporary investments.32.1180 Telecommunications accounts re-

ceivable.32.1181 Accounts receivable allowance—tele-

communications.32.1190 Other accounts receivable.32.1191 Accounts receivable allowance—

other.32.1200 Notes receivable.32.1201 Notes receivable allowance.32.1210 Interest and dividends receivable.32.1220 Inventories.32.1280 Prepayments.32.1290 Prepaid rents.32.1300 Prepaid taxes.32.1310 Prepaid insurance.32.1320 Prepaid directory expenses.32.1330 Other prepayments.32.1350 Other current assets.32.1401 Investments in affiliated companies.32.1402 Investments in nonaffiliated compa-

nies.32.1406 Nonregulated investments.32.1407 Unamortized debt issuance expense.32.1408 Sinking funds.32.1410 Other noncurrent assets.32.1437 Deferred tax regulatory asset.32.1438 Deferred maintenance and retire-

ments.32.1439 Deferred charges.32.1500 Other jurisdictional assets—net.32.2000 Instructions for telecommunications

plant accounts.32.2001 Telecommunications plant in serv-

ice.32.2002 Property held for future tele-

communications use.32.2003 Telecommunications plant under

construction.32.2005 Telecommunications plant adjust-

ment.32.2006 Nonoperating plant.32.2007 Goodwill.32.2110 Land and support assets.32.2111 Land.32.2112 Motor vehicles.32.2113 Aircraft.32.2114 Tools and other work equipment.32.2121 Buildings.32.2122 Furniture.32.2123 Office equipment.32.2124 General purpose computers.32.2210 Central office—switching.32.2211 Analog electronic switching.32.2212 Digital electronic switching.

32.2215 Electro-mechanical switching.32.2220 Operator systems.32.2230 Central office—transmission.32.2231 Radio systems.32.2232 Circuit equipment.32.2310 Information origination/termi-

nation.32.2311 Station apparatus.32.2321 Customer premises wiring.32.2341 Large private branch exchanges.32.2351 Public telephone terminal equip-

ment.32.2362 Other terminal equipment.32.2410 Cable and wire facilities.32.2411 Poles.32.2421 Aerial cable.32.2422 Underground cable.32.2423 Buried cable.32.2424 Submarine cable.32.2425 Deep sea cable.32.2426 Intrabuilding network cable.32.2431 Aerial wire.32.2441 Conduit systems.32.2680 Amortizable tangible assets.32.2681 Capital leases.32.2682 Leasehold improvements.32.2690 Intangibles.32.3000 Instructions for balance sheet ac-

counts—Depreciation and amortization.32.3100 Accumulated depreciation.32.3200 Accumulated depreciation—held for

future telecommunications use.32.3300 Accumulated depreciation—nonop-

erating.32.3400 Accumulated amortization—tan-

gible.32.3410 Accumulated amortization—capital-

ized leases.32.3420 Accumulated amortization—lease-

hold improvements.32.3500 Accumulated amortization—intan-

gible.32.3600 Accumulated amortization—other.32.4000 Instructions for balance sheet ac-

counts—liabilities and stockholders’ eq-uity.

32.4010 Account payable.32.4020 Notes payable.32.4030 Advance billing and payments.32.4040 Customers’ deposits.32.4050 Current maturities—long-term debt.32.4060 Current maturities—capital leases.32.4070 Income taxes—accrued.32.4080 Other taxes—accrued.32.4100 Net current deferred operating in-

come taxes.32.4110 Net current deferred nonoperating

income taxes.32.4120 Other accrued liabilities.32.4130 Other current liabilities.32.4210 Funded debt.32.4220 Premium on long-term debt.32.4230 Discount on long-term debt.32.4240 Reacquired debt.32.4250 Obligations under capital leases.32.4260 Advances from affiliated companies.32.4270 Other long-term debt.


406


32.4310 Other long-term liabilities.32.4320 Unamortized operating investment

tax credits—net.32.4330 Unamortized nonoperating invest-

ment tax credits—net.32.4340 Net noncurrent deferred operating

income taxes.32.4341 Net deferred tax liability adjust-

ments.32.4350 Net noncurrent deferred nonop-

erating income taxes.32.4360 Other deferred credits.32.4361 Deferred tax regulatory liability.32.4370 Other jurisdictional liabilities and

deferred credits—net.32.4510 Capital stock.32.4520 Additional paid-in capital.32.4530 Treasury stock.32.4540 Other capital.32.4550 Retained earnings.

Subpart D—Instructions for RevenueAccounts

32.4999 General.32.5000 Basic local service revenue.32.5001 Basic area revenue.32.5002 Optional extended area revenue.32.5003 Cellular mobile revenue.32.5004 Other mobile services revenue.32.5040 Local private line revenue.32.5050 Customer premises revenue.32.5060 Other local exchange revenue.32.5069 Other local exchange revenue settle-

ments.32.5080 Network access revenue.32.5081 End user revenue.32.5082 Switched access revenue.32.5083 Special access revenue.32.5084 State access revenue.32.5100 Long distance message revenue.32.5110 Unidirectional long distance rev-

enue.32.5111 Long distance inward-only revenue.32.5112 Long distance outward-only revenue.32.5120 Long distance private network rev-

enue.32.5121 Subvoice grade long distance private

network revenue.32.5122 Voice grade long distance private

network revenue.32.5123 Audio program grade long distance

private network revenue.32.5124 Video program grade long distance

private network revenue.32.5125 Digital transmission long distance

private network revenue.32.5126 Long distance private network

switching revenue.32.5128 Other long distance private network

revenue.32.5129 Other long distance private network

revenue settlements.32.5160 Other long distance revenue.32.5169 Other long distance revenue settle-

ments.32.5200 Miscellaneous revenue.

32.5230 Directory revenue.32.5240 Rent revenue.32.5250 Corporate operations revenue.32.5260 Miscellaneous revenue.32.5261 Special billing arrangements rev-

enue.32.5262 Customer operations revenue.32.5263 Plant operations revenue.32.5264 Other incidental regulated revenue.32.5269 Other revenue settlements.32.5270 Carrier billing and collection rev-

enue.32.5280 Nonregulated operating revenue.32.5300 Uncollectible revenue.32.5301 Uncollectible revenue—tele-

communications.32.5302 Uncollectible revenue—other.

Subpart E—Instructions for ExpenseAccounts

32.5999 General.32.6110 Network support expenses.32.6112 Motor vehicle expense.32.6113 Aircraft expense.32.6114 Tools and other work equipment ex-

pense.32.6120 General support expenses.32.6121 Land and building expense.32.6122 Furniture and artworks expense.32.6123 Office equipment expense.32.6124 General purpose computers expense.32.6210 Central office switching expenses.32.6211 Analog electronic expense.32.6212 Digital electronic expense.32.6215 Electro-mechanical expense.32.6220 Operator systems expense.32.6230 Central office transmission expense.32.6231 Radio systems expense.32.6232 Circuit equipment expense.32.6310 Information origination/termination

expenses.32.6311 Station apparatus expense.32.6341 Large private branch exchange ex-

pense.32.6351 Public telephone terminal equip-

ment expense.32.6362 Other terminal equipment expense.32.6410 Cable and wire facilities expenses.32.6411 Poles expense.32.6421 Aerial cable expense.32.6422 Underground cable expense.32.6423 Buried cable expense.32.6424 Submarine cable expense.32.6425 Deep sea cable expense.32.6426 Intrabuilding network cable expense.32.6431 Aerial wire expense.32.6441 Conduit systems expense.32.6510 Other property, plant and equipment

expenses.32.6511 Property held for future tele-

communications use expense.32.6512 Provisioning expense.32.6530 Network operations expenses.32.6531 Power expense.32.6532 Network administration expense.32.6533 Testing expense.


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32.6534 Plant operations administration ex-pense.

32.6535 Engineering expense.32.6540 Access expense.32.6560 Depreciation and amortization ex-

penses.32.6561 Depreciation expense—telecommuni-

cations plant in service.32.6562 Depreciation expense—property held

for future telecommunications.32.6563 Amortization expense—tangible.32.6564 Amortization expense—intangible.32.6565 Amortization expense—other.32.6610 Marketing.32.6611 Product management.32.6612 Sales.32.6613 Product advertising.32.6620 Services.32.6621 Call completion services.32.6622 Number services.32.6623 Customer services.32.6710 Executive and planning.32.6711 Executive.32.6712 Planning.32.6720 General and administrative.32.6721 Accounting and finance.32.6722 External relations.32.6723 Human resources.32.6724 Information management.32.6725 Legal.32.6726 Procurement.32.6727 Research and development.32.6728 Other general and administrative.32.6790 Provision for uncollectible notes re-

ceivable.

Subpart F—Instructions for Other IncomeAccounts

32.6999 General.32.7099 Content of accounts.32.7100 Other operating income and ex-

penses.32.7110 Income from custom work.32.7130 Return from nonregulated use of

regulated facilities.32.7140 Gains and losses from foreign ex-

change.32.7150 Gains and losses from the disposi-

tion of land and artworks.32.7160 Other operating gains and losses.32.7199 Content of accounts.32.7200 Operating taxes.32.7210 Operating investment tax credits—

net.32.7220 Operating Federal income taxes.32.7230 Operating state and local income

taxes.32.7240 Operating other taxes.32.7250 Provision for deferred operating in-

come taxes—net.32.7299 Content of accounts.32.7300 Nonoperating income and expense.32.7310 Dividend income.32.7320 Interest income.32.7330 Income from sinking and other

funds.

32.7340 Allowance for funds used during con-struction.

32.7350 Gains or losses from the dispositionof certain property.

32.7360 Other nonoperating income.32.7370 Special charges.32.7399 Content of accounts.32.7400 Nonoperating taxes.32.7410 Nonoperating investment tax cred-

its—net.32.7420 Nonoperating Federal income taxes.32.7430 Nonoperating state and local income

taxes.32.7440 Nonoperating other taxes.32.7450 Provision for deferred nonoperating

income taxes—net.32.7499 Content of accounts.32.7500 Interest and related items.32.7510 Interest on funded debt.32.7520 Interest expense—capital leases.32.7530 Amortization of debt issuance ex-

pense.32.7540 Other interest deductions.32.7599 Content of accounts.32.7600 Extraordinary items.32.7610 Extraordinary income credits.32.7620 Extraordinary income charges.32.7630 Current income tax effect of extraor-

dinary items—net.32.7640 Provision for deferred income tax ef-

fect of extraordinary items—net.32.7899 Content of accounts.32.7910 Income effect of jurisdictional rate-

making differences—net.32.7990 Nonregulated net income.

Subpart G—Glossary

32.9000 Glossary of terms.

AUTHORITY: 47 U.S.C. 154(i), 154(j) and 220 asamended, unless otherwise noted..

SOURCE: 51 FR 43499, Dec. 2, 1986, unlessotherwise noted.

Subpart A—Preface

§ 32.1 Background.The revised Uniform System of Ac-

counts (USOA) is a historical financialaccounting system which reports theresults of operational and financialevents in a manner which enables bothmanagement and regulators to assessthese results within a specified ac-counting period. The USOA also pro-vides the financial community and oth-ers with financial performance results.In order for an accounting system tofulfill these purposes, it must exhibitconsistency and stability in financialreporting (including the results pub-lished for regulatory purposes). Accord-ingly, the USOA has been designed to


408

47 CFR Ch. I (10–1–01 Edition)§ 32.2

reflect stable, recurring financial databased to the extent regulatory consid-erations permit upon the consistencyof the well established body of account-ing theories and principles commonlyreferred to as generally accepted ac-counting principles.

§ 32.2 Basis of the accounts.(a) The financial accounts of a com-

pany are used to record, in monetaryterms, the basic transactions whichoccur. Certain natural groupings ofthese transactions are called (in dif-ferent contexts) transaction cycles,business processes, functions or activi-ties. The concept, however, is the samein each case; i.e., the natural groupingsrepresent what happens within thecompany on a consistent and con-tinuing basis. This repetitive nature ofthe natural groupings, over long peri-ods of time, lends an element of sta-bility to the financial account struc-ture.

(b) Within the telecommunicationsindustry companies, certain recurringfunctions (natural groupings) do takeplace in the course of providing prod-ucts and services to customers. Theseaccounts reflect, to the extent feasible,those functions. For example, the pri-mary bases of the accounts containingthe investment in telecommunicationsplant are the functions performed by theassets. In addition, because of the an-ticipated effects of future innovations,the telecommunications plant ac-counts are intended to permit techno-logical distinctions. Similarly, the pri-mary bases of plant operations, cus-tomer operations and corporate oper-ations expense accounts are the func-tions performed by individuals. The rev-enue accounts, on the other hand, re-flect a market perspective of naturalgroupings based primarily upon theproducts and services purchased by cus-tomers.

(c) In the course of developing thebases for this account structure, sev-eral other alternatives were explored.It was, for example, determined that,because of the variety and continualchanging of various cost allocationmechanisms, the financial accounts ofa company should not reflect an apriori allocation of revenues, invest-ments or expenses to products or serv-

ices, jurisdictions or organizationalstructures. (Note also § 32.14 (c) and (d)of subpart B.) It was also determinedthat costs (in the case of assets) shouldnot be recorded based solely upon phys-ical attributes such as location, de-scription or size.

(d) Care has been taken in this ac-count structure to avoid confusing afunction with an organizational re-sponsibility, particularly as it relatesto the expense accounts. Whereas inthe past, specific organizations mayhave performed specific functions, thefuture environment with its increasingmechanization and other changes willresult in entirely new or restructuredorganizations. Thus, any relationshipsdrawn between organizations and ac-counts would become increasinglymeaningless with the passage of time.

(e) These accounts, then, are in-tended to reflect a functional and tech-nological view of the telecommuni-cations industry. This view will pro-vide a stable and consistent foundationfor the recording of financial data.

(f) The financial data contained inthe accounts, together with the de-tailed information contained in the un-derlying financial and other subsidiaryrecords required by this Commission,will provide the information necessaryto support separations, cost of serviceand management reporting require-ments. The basic account structure hasbeen designed to remain stable as re-porting requirements change.

§ 32.3 Authority.This Uniform System of Accounts

has been prepared under the followingauthority: Section 4 of the Commu-nications Act of 1934, as amended, 47U.S.C. section 154 (1984); sections 219,220 of the Communications Act of 1934,as amended, 47 U.S.C. sections 219, 220,(1984).

§ 32.4 Communications Act.Attention is directed to the following

extract from section 220 of the Commu-nications Act of 1934, 47 U.S.C. 220(1984):

(e) Any person who shall willfully makeany false entry in the accounts of any bookof accounts or in any record or memorandakept by any such carrier, or who shall will-fully destroy, mutilate, alter, or by any


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other means or device falsify any such ac-count, record, or memoranda, or who shallwillfully neglect or fail to make full, true,and correct entries in such accounts,records, or memoranda of all facts and trans-actions appertaining to the business of thecarrier, shall be deemed guilty of a mis-demeanor, and shall be subject, upon convic-tion, to a fine of not less than $1,000 normore than $5,000 or imprisonment for a termof not less than one year nor more thanthree years, or both such fine and imprison-ment: Provided, that the Commission may inits discretion issue orders specifying such op-erating, accounting or financial papers,records, books, blanks, or documents whichmay, after a reasonable time, be destroyed,and prescribing the length of time suchbooks, papers, or documents shall be pre-served.

For regulations governing the periodsfor which records are to be retained,see part 42, Preservation of Records ofCommunications Common Carriers, ofthis chapter which relates to preserva-tion of records.

Subpart B—General Instructions

§ 32.11 Classification of companies.

(a) For accounting purposes, compa-nies are divided into classes as follows:

(1) Class A. Companies having annualrevenues from regulated telecommuni-cations operations that are equal to orabove the indexed revenue threshold.

(2) Class B. Companies having annualrevenues from regulated telecommuni-cations operations that are less thanthe indexed revenue threshold.

(b) Class A companies, except mid-sized incumbent local exchange car-riers, as defined by § 32.9000, shall keepall the accounts of this system of ac-counts which are applicable to their af-fairs and are designated as Class A ac-counts. Class A companies which in-clude mid-sized incumbent local ex-change carriers shall keep Basic Prop-erty Records in compliance with therequirements of §§ 32.2000(e) and (f) ofthis part.

(c) Class B companies shall keep allaccounts of this system of accountswhich are applicable to their affairsand are designated as Class B accounts.Class B companies shall keep Con-tinuing Property Records in compli-ance with the requirements of

§§ 32.2000(e)(7)(A) and 32.2000(f) of thispart.

(d) Class B companies and mid-sizedincumbent local exchange carriers, asdefined by § 32.9000 of this part, that de-sire more detailed accounting mayadopt the accounts prescribed for ClassA companies upon the submission of awritten notification to the Commis-sion. Mid-sized incumbent local ex-change carriers shall maintain sub-sidiary record categories necessary toprovide the pole attachment data cur-rently provided in the Class A ac-counts.

(e) The classification of a companyshall be determined at the start of thecalendar year following the first timeits annual operating revenue from reg-ulated operations equals, exceeds, orfalls below the indexed revenue thresh-old.

[51 FR 43499, Dec. 2, 1986, as amended at 61FR 50245, Sept. 25, 1996; 62 FR 39777, July 24,1997; 64 FR 50006, Sept. 15, 1999]

§ 32.12 Records.

(a) The company’s financial recordsshall be kept in accordance with gen-erally accepted accounting principlesto the extent permitted by this systemof accounts.

(b) The company’s financial recordsshall be kept with sufficient particu-larity to show fully the facts per-taining to all entries in these accounts.The detail records shall be filed in suchmanner as to be readily accessible forexamination by representatives of thisCommission.

(c) The Commission shall require acompany to maintain financial andother subsidiary records in such a man-ner that specific information, of a typenot warranting disclosure as an ac-count or subaccount, will be readilyavailable. When this occurs, or wherethe full information is not otherwiserecorded in the general books, the sub-sidiary records shall be maintained insufficient detail to facilitate the re-porting of the required specific infor-mation. The subsidiary records, inwhich the full details are shown, shallbe sufficiently referenced to permitready identification and examinationby representatives of this Commission.


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47 CFR Ch. I (10–1–01 Edition)§ 32.13

§ 32.13 Accounts—general.(a) As a general rule, all accounts

kept by reporting companies shall con-form in numbers and titles to thoseprescribed herein. However, reportingcompanies may use different numbersfor internal purposes when separate ac-counts (or subaccounts) maintained areconsistent with the title and content ofaccounts and subaccounts prescribed inthis system.

(1) For Class A reporting companies,accounts which are clearly summariesof other accounts or subaccounts are tobe used for reporting purposes and arenot otherwise required to be main-tained.

(2) A company may subdivide any ofthe accounts prescribed. The titles ofall such subaccounts shall refer bynumber or title to the controlling ac-count.

(3) A company may establish tem-porary or experimental accounts with-out prior notice to the Commission.

(b) Exercise of the preceding optionsshall be allowed only if the integrity ofthe prescribed accounts is not im-paired.

(c) As of the date a company becomessubject to the system of accounts, thecompany is authorized to make anysuch subdivisions, reclassifications orconsolidations of existing balances asare necessary to meet the requirementsof this system of accounts.

(d) Nothing contained in this partshall prohibit or excuse any company,receiver, or operating trustee of anycarrier from subdividing the accountshereby prescribed for the purpose of:

(1) Complying with the requirementsof the state commission(s) having ju-risdiction; or

(2) Securing the information requiredin the prescribed reports to such com-mission(s).

(e) Where the use of subsidiaryrecords is considered necessary in orderto secure the information required inreports to any state commission, thecompany shall incorporate the fol-lowing controls into their accountingsystem with respect to such subsidiaryrecords:

(1) Subsidiary records shall be rec-onciled to the company’s general ledg-er or books of original entry, as appro-priate.

(2) The company shall adequatelydocument the accounting proceduresrelated to subsidiary records.

(3) The subsidiary records shall bemaintained at an adequate level of de-tail to satisfy state regulators.


§ 32.14 Regulated accounts.(a) In the context of this part, the

regulated accounts shall be interpretedto include the investments, revenuesand expenses associated with thosetelecommunications products and serv-ices to which the tariff filing require-ments contained in Title II of the Com-munications Act of 1934, as amended,are applied, except as may be otherwiseprovided by the Commission. Regulatedtelecommunications products and serv-ices are thereby fully subject to the ac-counting requirements as specified inTitle II of the Communications Act of1934, as amended, and as detailed insubparts A through F of this part ofthe Commission’s Rules and Regula-tions.

(b) In addition to those amounts con-sidered to be regulated by the provi-sions of paragraph (a) of this section,those telecommunications productsand services to which the tariff filingrequirements of the several state juris-dictions are applied shall be accountedfor as regulated, except where suchtreatment is proscribed or otherwiseexcluded from the requirements per-taining to regulated telecommuni-cations products and services by thisCommission.

(c) In the application of detailed ac-counting requirements contained inthis part, when a regulated activity in-volves the common or joint use of as-sets and resources in the provision ofregulated and nonregulated productsand services, companies shall accountfor these activities within the accountsprescribed in this system for telephonecompany operations. Assets and ex-penses shall be subdivided in subsidiaryrecords among amounts solely assign-able to nonregulated activities,amounts solely assignable to regulatedactivities, and amounts related to as-sets used and expenses incurred jointlyor in common, which will be allocatedbetween regulated and nonregulated


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activities. Companies shall submit re-ports identifying regulated and non-regulated amounts in the manner andat the times prescribed by this Com-mission. Nonregulated revenue itemsnot qualifying for incidental treat-ment, as provided in § 32.4999(l), shall berecorded in Account 5280, Nonregulatedoperating revenue.

(d) Other income items which are in-cidental to the provision of regulatedproducts and services shall be ac-counted for as regulated activities.

(e) All costs and revenues related tothe offering of regulated products andservices which result from arrange-ments for joint participation or appor-tionment between two or more tele-phone companies (e.g., joint operatingagreements, settlement agreements,cost-pooling agreements) shall be re-corded within the detailed accounts.Under joint operating agreements, thecreditor will initially charge the entireexpenses to the appropriate primaryaccounts. The proportion of such ex-penses borne by the debtor shall becredited by the creditor and charged bythe debtor to the account initiallycharge. Any allowances for return onproperty used will be accounted for asprovided in Account 5240, Rent Rev-enue.

(f) All items of nonregulated revenue,investment and expense that are notproperly includible in the detailed, reg-ulated accounts prescribed in subpartsA through F of this part, as determinedby paragraphs (a) through (e) of thissection shall be accounted for and in-cluded in reports to this Commission asspecified in § 32.23 of this subpart.

[51 FR 43499, Dec. 2, 1986, as amended at 52FR 6560, Mar. 4, 1987; 53 FR 49321, Dec. 7, 1988]

§ 32.15 [Reserved]

§ 32.16 Changes in accounting stand-ards.

(a) The company’s records and ac-counts shall be adjusted to apply newaccounting standards prescribed by theFinancial Accounting Standards Boardor successor authoritative accountingstandard-setting groups, in a mannerconsistent with generally accepted ac-counting principles. The change in anaccounting standard will automati-cally take effect 90 days after the com-

pany informs this Commission of its in-tention to follow the new standard, un-less the Commission notifies the com-pany to the contrary. Concurrent withinforming this Commission of its in-tent to adopt an accounting standardschange, the company shall also file arevenue requirement study for the cur-rent year analyzing the effects of theaccounting standards change. Further-more, any change subsequently adopt-ed shall be disclosed in annual reportsto this Commission.

(b) The changes in accounting stand-ards which this Commission approveswill not necessarily be binding on theratemaking practices of the variousstate commissions.

[51 FR 43499, Dec. 2, 1986, as amended at 64FR 50007, Sept. 15, 1999]

§ 32.17 Interpretation of accounts.

To the end that uniform accountingshall be maintained within the pre-scribed system, questions involvingmatters of significant which are notclearly provided for shall be submittedto the Chief, Common Carrier Bureau,for explanation, interpretation, or res-olution. Questions and answers theretowith respect to this system of accountswill be maintained by the CommonCarrier Bureau.

§ 32.18 Waivers.

A waiver from any provision of thissystem of accounts shall be made bythe Federal Communications Commis-sion upon its own initiative or uponthe submission of written requesttherefor from any telecommunicationscompany, or group of telecommuni-cations companies, provided that sucha waiver is in the public interest andeach request for waiver expressly dem-onstrates that: existing peculiarities orunusual circumstances warrant a de-parture from a prescribed procedure ortechnique; a specifically defined alter-native procedure or technique will re-sult in a substantially equivalent ormore accurate portrayal of operatingresults or financial condition, con-sistent with the principles embodied inthe provisions of this system of ac-counts; and the application of such al-ternative procedure will maintain or


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47 CFR Ch. I (10–1–01 Edition)§ 32.19

improve uniformity in substantive re-sults as among telecommunicationscompanies.

§ 32.19 Address for reports and cor-respondence.

Reports, statements, and correspond-ence submitted to the Federal Commu-nications Commission in accordancewith or relating to instructions and re-quirements contained herein shall beaddressed to the Common Carrier Bu-reau, Federal Communications Com-mission, Washington, DC 20554.

§ 32.20 Numbering convention.(a) The number ‘‘32’’ (appearing to

the left of the first decimal point) indi-cates the part number.

(b) The numbers immediately fol-lowing to the right of the decimalpoint indicate, respectively, the sec-tion or account. All Part 32 Accountnumbers contain 4 digits to-the-right-ofthe decimal point.

(c) Cross references to accounts aremade by citing the account numbers tothe right of the decimal point; e.g., Ac-count 2232 rather than the cor-responding complete part 32 referencenumber 32.2232.

§ 32.21 Sequence of accounts.The order in which the accounts are

presented in this system of accounts isnot to be considered as necessarily in-dicative of the order in which they willbe scheduled at all times in reports tothis Commission.

§ 32.22 Comprehensive interperiod taxallocation.

(a) Companies shall apply interperiodtax allocation (tax normalization) toall book/tax temporary differenceswhich would be considered material forpublished financial report purposes.Furthermore, companies shall alsoapply interperiod tax allocation if anyitem or group of similar items whenaggregated would yield debit or creditentries which exceed or would exceed 5percent of the gross deferred incometax expense debits or credits duringany calendar year over the life of thetemporary difference. The tax effectsof book/tax temporary differences shallbe normalized and the deferrals shallbe included in the following accounts:

4100, Net Current Deferred Operating IncomeTaxes;

4110, Net Current Deferred Nonoperating In-come Taxes;

4340, Net Noncurrent Deferred Operating In-come Taxes;

4350, Net Noncurrent Deferred NonoperatingIncome Taxes.

In lieu of the accounting prescribedherein, any company shall treat the in-crease or reduction in current incometaxes payable resulting from the use offlow through accounting in prior yearsas an increase or reduction in currenttax expense.

(b) Supporting documentation shallbe maintained so as to separately iden-tify the amount of deferred taxes whicharise from the use of an acceleratedmethod of depreciation.

(c) Subsidiary records shall be usedto reduce the deferred tax assets con-tained in the accounts specified inparagraph (a) of this section when it islikely that some portion or all of thedeferred tax asset will not be realized.The amount recorded in the subsidiaryrecord should be sufficient to reducethe deferred tax asset to the amountthat is likely to be realized.

(d) The records supporting the activ-ity in the deferred income tax accountsshall be maintained in sufficient detailto identify the nature of the specifictemporary differences giving rise toboth the debits and credits to the indi-vidual accounts.

(e) Any company that uses acceler-ated depreciation (or recognizes tax-able income or losses upon the retire-ment of property) for income tax pur-poses shall normalize the tax differen-tials occasioned thereby as indicated inparagraphs (e)(1) and (e)(2) of this sec-tion.

(1) With respect to the retirement ofproperty the book/tax difference be-tween (i) the recognition of proceeds asincome and the accrual for salvagevalue and (ii) the book and tax capitalrecovery, shall be normalized.

(2) Records shall be maintained so asto show the deferred tax amounts byvintage year separately for each classor subclass of eligible depreciable tele-phone plant for which an acceleratedmethod of depreciation has been usedfor income tax purposes. When prop-erty is transferred to nonregulated ac-tivities, the associated deferred income


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taxes and unamortized investment taxcredits shall also be identified andtransferred to the appropriate nonregu-lated accounts.

(f) The tax differentials to be normal-ized as specified in this section shallalso encompass the additional effect ofstate and local income tax changes onFederal income taxes produced by theprovision for deferred state and localincome taxes for book/tax temporarydifferences related to such incometaxes.

(g) Companies that receive the taxbenefits from the filing of a consoli-dated income tax return by the parentcompany, (pursuant to closing agree-ments with the Internal Revenue Serv-ice, effective January 1, 1966) rep-resenting the deferred income taxesfrom the elimination of intercompanyprofits for income tax purposes on salesof regulated equipment, may creditsuch deferred taxes directly to theplant account which contains suchintercompany profit rather than cred-iting such deferred taxes to the appli-cable accounts in paragraph (a) of thissection. If the deferred income taxesare recorded as a reduction of the ap-propriate plant accounts, such reduc-tion shall be treated as reducing theoriginal cost of the plant and ac-counted for as such.


§ 32.23 Nonregulated activities.(a) This section describes the ac-

counting treatment of activities classi-fied for accounting purposes as ‘‘non-regulated.’’ Preemptively deregulatedactivities and activities (other than in-cidental activities) never subject toregulation will be classified for ac-counting purposes as ‘‘nonregulated.’’Activities that qualify for incidentaltreatment under the policies of thisCommission will be classified for ac-counting purposes as regulated activi-ties. Activities that have been deregu-lated by a state will be classified foraccounting purposes as regulated ac-tivities. Activities that have been de-regulated at the interstate level, butnot preemptively deregulated, will beclassified for accounting purposes asregulated activities until such time asthis Commission decides otherwise.

The treatment of nonregulated activi-ties shall differ depending on the ex-tent of the common or joint use of as-sets and resources in the provision ofboth regulated and nonregulated prod-ucts and services.

(b) When a nonregulated activitydoes not involve the joint or commonuse of assets and resources in the pro-vision of both regulated and nonregu-lated products and services, carriersshall account for these activities on aseparate set of books consistent withinstructions set forth in §§ 32.1406 and32.7990. Transfers of assets, and sales ofproducts and services between the reg-ulated activity and a nonregulated ac-tivity for which a separate set of booksis maintained, shall be accounted for inaccordance with the rules presented in§ 32.27, Transactions with Affiliates. Inthe separate set of books, carriers mayestablish whatever detail they deemappropriate beyond what is necessaryto provide this Commission with theinformation required in §§ 32.1406 and32.7990.

(c) When a nonregulated activitydoes involve the joint or common useof assets and resources in the provisionof regulated and nonregulated productsand services, carriers shall account forthese activities within accounts pre-scribed in this system for telephonecompany operations. Assets and ex-penses shall be subdivided in subsidiaryrecords among amounts solely assign-able to nonregulated activities,amounts solely assignable to regulatedactivities, and amounts related to as-sets and expenses incurred jointly or incommon, which will be allocated be-tween regulated and nonregulated ac-tivities. Carriers shall submit reportsidentifying regulated and nonregulatedamounts in the manner and at thetimes prescribed by this Commission.Nonregulated revenue items not quali-fying for incidental treatment as pro-vided in § 32.4999(l) of this part, shall berecorded in separate subsidiary recordcategories of Account 5280, Nonregu-lated operating revenue. Amounts as-signed or allocated to regulated prod-ucts or services shall be subject to part36 of this chapter.

[52 FR 6560, Mar. 4, 1987, as amended at 53 FR49322, Dec. 7, 1988; 59 FR 46930, Sept. 13, 1994;64 FR 50007, Sept. 15, 1999]


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47 CFR Ch. I (10–1–01 Edition)§ 32.24

§ 32.24 Compensated absences.(a) Companies shall record a liability

and charge the appropriate expense ac-counts for compensated absences (vaca-tions, sick leave, etc.) in the year inwhich these benefits are earned by em-ployees.

(b) With respect to the liability thatexists for compensated absences whichis not yet recorded on the books as ofthe effective date of this part, the li-ability shall be recorded in Account4120, Other Accrued Liabilities, with acorresponding entry to Account 1439,Deferred Charges. This deferred chargeshall be amortized on a straight linebasis over a period of ten years.

(c) Records shall be maintained so asto show that no more than ten percentof the deferred charge is being amor-tized each year.

§ 32.25 Unusual items and contingentliabilities.

Extraordinary items, prior period ad-justments, and contingent liabilitiesmay be recorded in the company’sbooks of account without prior Com-mission approval.

[65 FR 16334, Mar. 28, 2000]

§ 32.26 Materiality.Companies shall follow this system of

accounts in recording all financial andstatistical data irrespective of an indi-vidual item’s materiality under GAAP,unless a waiver has been granted underthe provisions of § 32.18 of this subpartto do otherwise.

§ 32.27 Transactions with affiliates.(a) Unless otherwise approved by the

Chief, Common Carrier Bureau, trans-actions with affiliates involving assettransfers into or out of the regulatedaccounts shall be recorded by the car-rier in its regulated accounts as pro-vided in paragraphs (b) through (f) ofthis section.

(b) Assets sold or transferred betweena carrier and its affiliate pursuant to atariff, including a tariff filed with astate commission, shall be recorded inthe appropriate revenue accounts atthe tariffed rate. Non-tariffed assetssold or transferred between a carrierand its affiliate that qualify for pre-vailing price valuation, as defined in

paragraph (d) of this section, shall berecorded at the prevailing price. Forall other assets sold by or transferredfrom a carrier to its affiliate, the as-sets shall be recorded at the higher offair market value and net book cost.For all other assets purchased by ortransfered to a carrier from its affil-iate, the assets shall be recorded at thelower of fair market value and netbook cost. For purposes of this sectioncarriers are required to make a goodfaith determination of fair marketvalue.

(c) Services provided between a car-rier and its affiliate pursuant to a tar-iff, including a tariff filed with a statecommission, shall be recorded in theappropriate revenue accounts at thetariffed rate. Non-tariffed services pro-vided between a carrier and its affiliatepursuant to publicly-filed agreementssubmitted to a state commission pur-suant to section 252(e) of the Commu-nications Act of 1934 or statements ofgenerally available terms pursuant tosection 252(f) shall be recorded usingthe charges appearing in such publicly-filed agreements or statements. Non-tariffed services provided between acarrier and its affiliate that qualify forprevailing price valuation, as definedin paragraph (d) of this section, shallbe recorded at the prevailing price. Forall other services provided by a carrierto its affiliate, the services shall be re-corded at the higher of fair marketvalue and fully distributed cost. For allother services received by a carrierfrom its affiliate, the service shall berecorded at the lower of fair marketvalue and fully distributed cost. Forpurposes of this section, carriers arerequired to make a good faith deter-mination of fair market value for aservice when the total aggregate an-nual value of that service reaches orexceeds $500,000. When a carrier reachesor exceeds the $500,000 threshold for aparticular service for the first time,the carrier must perform the marketvaluation and value the transaction inaccordance with the affiliate trans-actions rules on a going-forward basis.All services received by a carrier fromits affiliate(s) that exist solely to pro-vide services to members of the car-rier’s corporate family shall be re-corded at fully distributed cost.


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(d) In order to qualify for prevailingprice valuation in paragraphs (b) and(c) of this section, sales of a particularasset or service to third parties mustencompass greater than 50 percent ofthe total quantity of such product orservice sold by an entity. Carriers shallapply this 50 percent threshold on aasset-by-asset and service-by-servicebasis, rather than on a product line orservice line basis. In the case of trans-actions for assets and services subjectto section 272, a BOC may record suchtransactions at prevailing price regard-less of whether the 50 percent thresholdhas been satisfied.

(e) Income taxes shall be allocatedamong the regulated activities of thecarrier, its nonregulated divisions, andmembers of an affiliated group. Undercircumstances in which income taxesare determined on a consolidated basisby the carrier and other members ofthe affiliated group, the income tax ex-pense to be recorded by the carriershall be the same as would result if de-termined for the carrier separately forall time periods, except that the tax ef-fect of carry-back and carry-forwardoperating losses, investment tax cred-its, or other tax credits generated byoperations of the carrier shall be re-corded by the carrier during the periodin which applied in settlement of thetaxes otherwise attributable to anymember, or combination of members,of the affiliated group.

(f) Companies that employ averageschedules in lieu of actual costs are ex-empt from the provisions of this sec-tion. For other organizations, the prin-ciples set forth in this section shallapply equally to corporations, propri-etorships, partnerships and other formsof business organizations.

[52 FR 6561, Mar. 4, 1987; 52 FR 39534, Oct. 22,1987, as amended at 62 FR 2925, Jan. 21, 1997;65 FR 16334, Mar. 28, 2000]

Subpart C—Instructions forBalance Sheet Accounts

§ 32.101 Structure of the balance sheetaccounts.

The Balance Sheet accounts shall bemaintained as follows:

Account 1120, Cash and Equivalents,through Account 1500, Other Jurisdictional

Assets—Net, shall include assets other thanregulated-fixed assets.

Account 2001, Telecommunications Plantin Service, through Account 2007, Goodwill,shall include the regulated fixed assets.

Account 3100, Accumulated Depreciationthrough Account 3600, Accumulated Amorti-zation—Other, shall include the asset and de-ferred tax reserves.

Account 4010, Accounts Payable, throughAccount 4550, Retained Earnings, shall in-clude all liabilities and stockholders equity.

§ 32.102 Nonregulated investments.Nonregulated investments shall in-

clude the investment in nonregulatedactivities that are conducted throughthe same legal entity as the telephonecompany operations, but do not involvethe joint or common use of assets orresources in the provision of both regu-lated and nonregulated products andservices. See §§ 32.14 and 32.23.

[52 FR 6561, Mar. 4, 1987]

§ 32.103 Balance sheet accounts forother than regulated-fixed assets tobe maintained.

BALANCE SHEET ACCOUNTS

Account title Class Aaccount

Class Baccount

Current Assets

Cash and equivalents:Cash and equivalents ...................... .............. 1120Cash ................................................. 1130 ..............Special cash deposits ...................... 1140 ..............Working cash advances ................... 1150 ..............Temporary investments .................... 1160 ..............

Receivables and allowances for doubtfulaccounts:

Telecommunications accounts re-ceivable ......................................... 1180 1180

Accounts receivable allowance—telecommunications ...................... 1181 1181

Other accounts receivable ............... 1190 1190Accounts receivable allowance—

other ............................................. 1191 1191Notes receivable .............................. 1200 1200Notes receivable allowance ............. 1201 1201Interest and dividends receivable .... 1210 1210

Supplies:Material and supplies ....................... 1220 1220

Prepayments:Prepayments .................................... .............. 1280Prepaid rents .................................... 1290 ..............Prepaid taxes ................................... 1300 ..............Prepaid insurance ............................ 1310 ..............Prepaid directory expenses ............. 1320 ..............Other prepayments .......................... 1330 ..............

Other current assets:Other current assets ........................ 1350 1350

Noncurrent Assets

Investments:Investment in affiliated companies ... 1401 1401Investments in nonaffiliated compa-

nies ............................................... 1402 1402


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47 CFR Ch. I (10–1–01 Edition)§ 32.1120

BALANCE SHEET ACCOUNTS—Continued


Class Baccount

Nonregulated investments ............... 1406 1406Unamortized debt issuance expense 1407 1407Sinking funds .................................... 1408 1408Other noncurrent assets .................. 1410 1410

Deferred charges:Deferred tax regulatory asset .......... 1437 1437Deferred maintenance and retire-

ments ............................................ 1438 1438Deferred charges ............................. 1439 1439

Other:Other jurisdictional assets—net ....... 1500 1500


§ 32.1120 Cash and equivalents.This account shall be used by Class B

companies to record assets of the typerequired of Class A companies in Ac-counts 1130 through 1160.

§ 32.1130 Cash.(a) This account shall include the

amount of current funds available foruse on demand in the hands of financialofficers and agents, deposited in banksor other financial institutions and alsofunds in transit for which agents havereceived credit.

(b) Working cash advances shall beincluded in Account 1150, Working CashAdvances.

§ 32.1140 Special cash deposits.(a) This account shall include the

amount of cash on special deposit,other than in sinking and other specialfunds provided for elsewhere, to paydividends, interest, and other debts,when such payments are due one yearor less from the date of deposit; theamount of cash deposited to insure theperformance of contracts to be per-formed within one year from date ofthe deposit; and other cash deposits ofa special nature not provided for else-where. This account shall include theamount of cash deposited with trusteesto be held until mortgaged propertysold, destroyed, or otherwise disposedof is replaced, and also cash realizedfrom the sale of the company’s securi-ties and deposited with trustees to beheld until invested in physical propertyof the company or for disbursementwhen the purposes for which the securi-ties were sold are accomplished.

(b) Cash on deposit in special ac-counts where the funds are availablefor the current requirements of thecompany shall be included in Account1130, Cash.

(c) Cash on special deposit to be heldfor more than one year from the dateof deposit shall be included in Account1410, Other Noncurrent Assets.

§ 32.1150 Working cash advances.

This account shall include theamount of cash advanced to officers,agents, employees, and others as pettycash or working funds from which ex-penditures are to be made and ac-counted for.

§ 32.1160 Temporary investments.

(a) This account shall include thecost of current securities acquired forthe purpose of temporarily investingcash, such as time drafts receivableand time loans, bankers’ acceptances,United States Treasury certificates,marketable securities, and other simi-lar investments of a temporary char-acter.

(b) Accumulated changes in the netunrealized losses of current marketableequity securities shall be included inthe determination of net income in theperiod in which they occur in Account7360, Other Nonoperating Income.

(c) Subsidiary record categories shallbe maintained in order that the entitymay separately report the amountscontained herein that relate to affili-ates and nonaffiliates. Such subsidiaryrecord categories shall be reported asrequired by part 43 of this Commis-sion’s Rules and Regulations.

§ 32.1180 Telecommunications ac-counts receivable.

(a) This account shall include allamounts due from customers for serv-ices rendered or billed and from agentsand collectors authorized to make col-lections from customers. This accountshall also include all amounts due fromcustomers or agents for products sold.This account shall be kept in suchmanner as will enable the company tomake the following analysis:

(1) Amounts due from customers whoare receiving telecommunications serv-ice.


417


(2) Amounts due from customers whoare not receiving service and whose ac-counts are in process of collection.

(b) Collections in excess of amountscharged to this account may be cred-ited to and carried in this accountuntil applied against charges for serv-ices rendered or until refunded.


§ 32.1181 Accounts receivable allow-ance—telecommunications.

(a) This account shall be creditedwith amounts charged to Account 5301,Uncollectible Revenue—Telecommuni-cations, to provide for uncollectibleamounts included in Account 1180,Telecommunications Accounts Receiv-able. There shall also be credited tothis account amounts collected whichpreviously had been written offthrough charges to this account andcredits to Account 1180. There shall becharged to this account any amountscovered thereby which have been foundto be impracticable of collection.

(b) If no such allowance is main-tained, uncollectible amounts shall becharged directly to Account 5301,Uncollectible Revenue—Telecommuni-cations.


§ 32.1190 Other accounts receivable.(a) This account shall include all

amounts currently due, and not pro-vided for in other accounts, such asthose for traffic settlements, divisionsof revenue, material and supplies, ma-tured rents, and interest receivableunder monthly settlements on short-term loans, advances, and open ac-counts.

(b) Subsidiary record categories shallbe maintained in order that the entity

may separately report the amountscontained herein that relate to affili-ates and nonaffiliates. Such subsidiaryrecord categories shall be reported asrequired by part 43 of this Commis-sion’s Rules and Regulations.

(c) Amounts included in this accountpertaining to affiliates shall not in-clude amounts receivable from sales oftelecommunications service providedat tariffed rates. Such amounts shallbe included in Account 1180, Tele-communications Accounts Receivable.

(d) If any items included in this ac-count are not to be paid currently theyshall be transferred to Account 1410,Other Noncurrent Assets, or 1401, In-vestments in Affiliated Companies, asappropriate.

§ 32.1191 Accounts receivable allow-ance—other.

(a) This account shall be creditedwith amounts charged to Account 5302,Uncollectible Revenue—Other to pro-vide for uncollectible amounts includedin Account 1190, Other Accounts Re-ceivable. There shall also be creditedto this account amounts collectedwhich previously had been written offthrough charges to this account andcredits to Account 1190. There shall becharged to this account any amountscovered thereby which have been foundto be impracticable of collection.

(b) If no such allowance is main-tained, uncollectible amounts shall becharged directly to Account 5302,Uncollectible Revenue—Other.


§ 32.1200 Notes receivable.(a) This account shall include the

cost of demand or time notes, bills anddrafts receivable, or other similar evi-dences (except interest coupons) ofmoney receivable on demand or withina time not exceeding one year fromdate of issue.

(b) Subsidiary record categories shallbe maintained in order that the entitymay separately report the amounts


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47 CFR Ch. I (10–1–01 Edition)§ 32.1201

contained herein that relate to affili-ates and nonaffiliates. Such subsidiaryrecord categories shall be reported asrequired by part 43 of this Commis-sion’s Rules and Regulations.

§ 32.1201 Notes receivable allowance.(a) This account shall be credited

with amounts charged Account 6790,Provision for Uncollectible Notes Re-ceivable to provide for uncollectibleamounts included in Account 1200,Notes Receivable. There shall also becredited to this account amounts col-lected which previously had been writ-ten off through charges to this accountand credits to Account 1200. Thereshall be charged to this account anyamounts covered thereby which havebeen found to be impracticable of col-lection.

(b) If no such allowance is main-tained, uncollectible amounts shall becharged directly to Account 6790, Pro-vision for Uncollectible Notes Receiv-able.


§ 32.1210 Interest and dividends re-ceivable.

(a) This account shall include theamount of interest accrued to the dateof the balance sheet on bonds, notes,and other commercial paper owned, onloans made, and the amount of divi-dends receivable on stocks owned.

(b) This account shall not includedividends or other returns on securitiesissued or assumed by the company andheld by or for it, whether pledged ascollateral, or held in its treasury, inspecial deposits, or in sinking andother funds.

(c) Interest receivable under monthlysettlements on short-term loans, ad-vances, and open accounts, shall be in-cluded in Account 1180, Telecommuni-cations Accounts Receivable or Ac-count 1190, Other Accounts Receivable,as appropriate.

(d) Dividends received and receivablefrom affiliated companies accounted

for on the equity method shall be in-cluded in Account 1401, Investments inAffiliated Companies, as a reduction ofthe carrying value of the investment.

§ 32.1220 Inventories.(a) This account shall include the

cost of materials and supplies held instock and inventories of goods held forresale or lease. The investment in in-ventories shall be maintained in thefollowing subaccounts:

1220.1 Material and supplies1220.2 Property held for sale or lease

(b) These subaccounts shall not in-clude items which are related to a non-regulated activity unless that activityinvolves joint or common use of assetsand resources in the provision of regu-lated and nonregulated products andservices.

(c) 1220.1 Material and supplies. Thissubaccount shall include cost of mate-rial and supplies held in stock includ-ing plant supplies, motor vehicles sup-plies, tools, fuel, other supplies andmaterial and articles of the companyin process of manufacture for supplystock. (Note also § 32.2000(c)(2)(iii) ofthis subpart.)

(d) Transportation charges and salesand use taxes, so far as practicable,shall be included as a part of the costof the particular material to whichthey relate. Transportation and salesand use taxes which are not included aspart of the cost of particular materialshall be equitably apportioned amongthe detail accounts to which materialis charged.

(e) So far as practicable, cash andother discount on material shall be de-ducted in determining cost of the par-ticular material to which they relateor credited to the account to which thematerial is charged. When such deduc-tion is not practicable, discounts shallbe equitably apportioned among the de-tail accounts to which material ischarged.

(f) Material recovered in connectionwith construction, maintenance or re-tirement of property shall be chargedto this account as follows:

(1) Reusable items that, when in-stalled or in service, were retirementunits shall be included in this accountat the original cost, estimated if not


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known. (Note also § 32.2000(d)(3) of thissubpart.)

(2) Reusable minor items that, wheninstalled or in service, were not retire-ment units shall be included in this ac-count at current prices new.

(3) The cost of repairing reusable ma-terial shall be charged to the appro-priate account in the Plant SpecificOperations Expense accounts.

(4) Scrap and nonusable material in-cluded in this account shall be carriedat the estimated amount which will bereceived therefor. The difference be-tween the amounts realized for scrapand nonusable material sold and theamounts at which it is carried in thisaccount, so far as practicable, shall beadjusted in the accounts credited whenthe material was taken up in this ac-count.

(g) Interest paid on material bills,the payments of which are delayed,shall be charged to Account 7540, Otherinterest deductions.

(h) Inventories of material and sup-plies shall be taken during each cal-endar year and the adjustments to thisaccount shall be charged or credited toAccount 6512, Provisioning expense.

(i) 1220.2 Property held for sale orlease. This subaccount shall includethe cost of all items purchased for re-sale or lease. The cost shall include ap-plicable transportation charges, salesand use taxes, and cash and other pur-chase discounts. Inventory shortageand overage shall be charged and cred-ited, respectively, to Account 5280,Nonregulated operating revenue.

[52 FR 39534, Oct. 22, 1987, as amended at 53FR 49322, Dec. 7, 1988]

§ 32.1280 Prepayments.This account shall be used by Class B

companies to record assets of the typerequired of Class A companies in Ac-counts 1290 through 1330.

§ 32.1290 Prepaid rents.This account shall include the

amounts of rents paid in advance of theperiod in which they are chargeable toincome, except amounts chargeable totelecommunications plant under con-struction and minor amounts whichmay be charged directly to the finalaccounts. As the term expires forwhich the rents are paid, this account

shall be credited monthly and the ap-propriate account charged.

§ 32.1300 Prepaid taxes.This account shall include the bal-

ance of all taxes, other than amountschargeable to telecommunication plantunder construction and minor amountswhich may be charged to the final ac-counts, paid in advance and which arechargeable to income within one year.As the term expires for which the taxesare paid, this account shall be creditedmonthly and the appropriate accountcharged.

§ 32.1310 Prepaid insurance.This account shall include the

amount of insurance premiums paid inadvance of the period in which they arechargeable to income, except premiumschargeable to telecommunicationsplant under construction and minoramounts which may be charged di-rectly to the final accounts. As theterm expires for which the premiumsare paid, this account shall be creditedmonthly and the appropriate accountcharged.

§ 32.1320 Prepaid directory expenses.This account shall include the cost of

preparing, printing, binding, and deliv-ering directories and the cost of solic-iting advertisements for directories,except minor amounts which may becharged directly to Account 6622, Num-ber Services. Amounts in this accountshall be cleared to Account 6622 bymonthly charges representing that por-tion of the expenses applicable to eachmonth.

§ 32.1330 Other prepayments.This account shall include prepay-

ments, other than those includable inAccounts 1290 through 1320, exceptminor amounts which may be chargeddirectly to the final accounts. As theterm expires for which the paymentsapply, this account shall be creditedmonthly and the appropriate accountcharged.

§ 32.1350 Other current assets.This account shall include the

amount of all current assets which arenot includable in Accounts 1120through 1330.


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47 CFR Ch. I (10–1–01 Edition)§ 32.1401

§ 32.1401 Investments in affiliatedcompanies.

(a) This account shall include the ac-quisition cost of the company’s invest-ment in equity or other securitiesissued or assumed by affiliated compa-nies, other than securities held in spe-cial funds which shall be charged toAccount 1408, Sinking Funds. The car-rying value of the investment (securi-ties) accounted for on the equity meth-od shall be adjusted to recognize thecompany’s share of the earnings orlosses and dividends received or receiv-able of the affiliated company from thedate of acquisition. (Note also Account1210, Interest and Dividends Receiv-able, and Account 7310, Dividend In-come.)

(b) Declines in value of investmentsaccounted for under the cost methodshall be charged to Account 4540, OtherCapital, if temporary and as a currentperiod loss if permanent. Detail recordsshall be maintained to reflect unreal-ized losses for each investment.

(c) A subsidiary record shall be keptidentifying separately common stocks,preferred stocks, advances to affiliates,and long-term debt. Further, the com-pany’s records shall identify the securi-ties pledged as collateral for any of thecompany’s long-term debt or short-term loans or to secure performance ofcontracts.

(d) This account shall also includeadvances represented by book accountsonly with respect to which it is carriedor intended that they shall be eithersettled by issuance of capital stock ordebt; or shall not be subject to currentcost settlement.

(e) Amounts due from affiliated com-panies which are subject to current set-tlement shall be included in Account1180, Telecommunications AccountsReceivable, Account 1190, Other Ac-counts Receivable, or Account 1200,Notes Receivable, as appropriate.

(f) Subsidiary record categories shallbe maintained in order that the entitymay separately report the amountscontained herein that relate to the eq-uity method and the cost method. Suchsubsidiary record categories shall bereported as required by part 43 of thisCommission’s Rules and Regulations.

§ 32.1402 Investments in nonaffiliatedcompanies.

(a) This account shall include the ac-quisition cost of the Company’s invest-ment in securities issued or assumedby nonaffiliated companies and individ-uals, other than securities held in spe-cial funds which shall be charged toAccount 1408, Sinking Funds, and alsoits investment advances to such partiesand special deposits of cash for morethan one year from date of deposit.

(b) Declines in value of investmentsshall be charged to Account 4540, OtherCapital, if temporary and as a currentperiod loss if permanent. Detail recordsshall be maintained to reflect unreal-ized losses for each investment.

(c) This account shall also includeadvances represented by book accountsonly with respect to which it is agreedor intended that they shall be eithersettled by issuance of capital stock ordebt; or shall not be subject to currentcost settlement.

(d) A subsidiary record shall be keptidentifying separately common stocks,preferred stocks, long-term debt, in-vestment advances and special depositsof cash for more than one year fromthe date of deposit. Further, the com-pany’s record shall identify the securi-ties pledged as collateral for any of thecompany’s long-term debt or short-term loans or to secure performance ofcontracts.

(e) Amounts due from nonaffiliatedcompanies which are subject to currentsettlement shall be included in Ac-count 1180, Telecommunications Ac-counts Receivable, Account 1190, OtherAccounts Receivable, or Account 1200,Notes Receivable, as appropriate.

§ 32.1406 Nonregulated investments.

(a) This account shall include thecarrier’s investment in nonregulatedactivities accounted for in a separateset of books as provided in § 32.23(b).

(b) This account shall be subdividedas follows:

1406.1 Permanent investment.1406.2 Receivable/payable.1406.3 Current net income or loss.

[52 FR 6561, Mar. 4, 1987; 52 FR 39535, Oct. 22,1987]


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§ 32.1407 Unamortized debt issuanceexpense.

(a) This account shall include thetotal unamortized balance of debtissuance expense for all classes of out-standing long-term debt. Amounts in-cluded in this account shall be amor-tized monthly and charged to account7530, Amortization of Debt Issuance Ex-pense.

(b) Debt Issuance expense includes allexpenses in connection with theissuance and sale of evidence of debt,such as fees for drafting mortgages andtrust deeds; fees and taxes for issuingor recording evidences of debt; costs ofengraving and printing bonds, certifi-cates of indebtedness, and other com-mercial paper; fees paid trustees; spe-cific costs of obtaining governmentalauthority; fees for legal services; feesand commissions paid underwriters,brokers, and salesmen; fees and ex-penses of listing on exchanges, andother like costs.

(c) A subsidiary record shall be keptof each issue outstanding.

§ 32.1408 Sinking funds.(a) This account shall include the

amount of cash and other assets whichare held by trustees or by the com-pany’s treasurer in a distinct fund, forthe purpose of redeeming outstandingobligations.

(b) Interest or other income arisingfrom funds carried in this account shallgenerally be charged to this account.

(c) A subsidiary record shall be keptfor each sinking fund which shall des-ignate the obligation in support ofwhich the fund was created.

§ 32.1410 Other noncurrent assets.This account shall include the

amount of all noncurrent assets whichare not includable in Accounts 1401through 1408.

§ 32.1437 Deferred tax regulatoryasset.

(a) This account shall includeamounts of probable future revenue forthe recovery of future increases intaxes payable. As reversals occur,amounts recorded in this account shallbe reduced with a credit entry and adebit entry to Account 4341, Net De-ferred Tax Liability Adjustments.

(b) This account shall also be ad-justed for the impact of prospective taxrate changes on the deferred tax liabil-ity for those temporary differences un-derlying its existing balance. If the cu-mulative effect of such adjustments re-duce the account to a net credit bal-ance, such balance shall be reclassifiedto Account 4361.

[59 FR 9418, Feb. 28, 1994]

§ 32.1438 Deferred maintenance andretirements.

(a) This account shall include suchitems as the unprovided-for loss inservice value of telecommunicationsplant for extraordinary nonrecurringretirement not considered in deprecia-tion and the cost of extensive replace-ments of plant normally chargeable tothe current period Plant Specific Oper-ations Expense accounts.

(b) Charges provided for in paragraph(a) of this section shall be included inthis account only upon direction or ap-proval from this Commission. However,the company’s application to this Com-mission for such approval shall givefull particulars concerning the prop-erty retired, the extensive replace-ments, the amount chargeable to oper-ating expenses and the period overwhich in its judgment the amount ofsuch charges should be distributed.

§ 32.1439 Deferred charges.(a) This account shall include all de-

ferred charges not provided for in Ac-counts 1438, Deferred Maintenance andRetirements, and 1500, Other Jurisdic-tional Assets—Net. Such charges in-clude unaudited amounts and otherdebit balances in suspense that cannotbe cleared and disposed of until addi-tional information is received; theamount, pending determination of loss,of funds on deposit with banks whichhave failed; revenue, expense, and in-come items held in suspense; amountspaid for options pending final disposi-tion.

(b) This account shall include thecost of preliminary surveys, plans, in-vestigation, etc., made for constructionprojects under contemplation. If theprojects are carried out, the prelimi-nary costs shall be included in the costof the plant constructed. If the projectsare abandoned, the preliminary costs


422

47 CFR Ch. I (10–1–01 Edition)§ 32.1500

shall be charged to Account 7370, Spe-cial Charges.

(c) This account shall include alsothe cost of evaluations, inventories,and appraisals taken in connectionwith the acquisition or sale of prop-erty. If the property is subsequentlyacquired, the preliminary costs shall beaccounted for as a part of the cost ofacquisition, or if it is sold, such costsshall be deducted from the sale price inaccounting for the property sold. Ifpurchases or sales are abandoned, thepreliminary costs included herein (in-cluding options paid, if any) shall becharged to Account 7370.

§ 32.1500 Other jurisdictional assets—net.

This account shall include the cumu-lative impact on assets of jurisdic-tional ratemaking practices whichvary from those of this Commission.All entries recorded in this accountshall be recorded net of any applicableincome tax effects and shall be sup-ported by subsidiary records where nec-essary as provided for in § 32.13(e) ofsubpart B.

§ 32.2000 Instructions for tele-communications plant accounts.

(a) Purpose of telecommunications plantaccounts. (1) The telecommunicationsplant accounts (2001 to 2007 inclusive)are designed to show the investment inthe company’s tangible and intangibletelecommunications plant which ordi-narily has a service life of more thanone year, including such plant whetherused by the company or others in pro-viding telecommunications service.

(2) The telecommunications plant ac-counts shall not include the cost orother value of telecommunicationsplant contributed to the company. Con-tributions in the form of money or itsequivalent toward the construction oftelecommunications plant shall becredited to the accounts charged withthe cost of such construction. Amountsof non-recurring reimbursements basedon the cost of plant or equipment fur-nished in rendering service to a cus-tomer shall be credited to the accountscharged with the cost of the plant orequipment. Amounts received for con-struction which are ultimately to berepaid wholly or in part, shall be cred-

ited to Account 4360, Other DeferredCredits; when final determination hasbeen made as to the amount to be re-turned, any unrefunded amounts shallbe credited to the accounts chargedwith the cost of such construction.Amounts received for the constructionof plant, the ownership of which restswith or will revert to others, shall becredited to the accounts charged withthe cost of such construction. (Notealso Account 7110, Income from CustomWork.)

(3) When telecommunications plantordinarily having a service life of morethan one year is installed for tem-porary use in providing telecommuni-cations service, it shall be accountedfor in the same manner as plant havinga service life of more than one year.This includes temporary installationsof plant (such as poles, wire and cable)installed to maintain service duringthe progress of highway reconstructionor during interruptions due to stormsor other casualties, equipment used forthe training of operators, equipmentused to provide intercepting positionsin central offices to handle traffic for ashort period following extensive sys-tem changes and similar installationsof property used to provide tele-communications service.

(4) The cost of the individual items ofequipment, classifiable to Accounts2112, Motor vehicles; 2113, Aircraft;2114, Special purpose vehicles; 2115, Ga-rage work equipment; 2116, Other workequipment; 2122, Furniture; 2123, Officeequipment; 2124, General purpose com-puters, costing $2,000 or less or havinga life of less than one year shall becharged to the applicable expense ac-counts, except for personal computersfalling within Account 2124. Personalcomputers classifiable to Account 2124,with a total cost for all components of$500 or less, shall be charged to the ap-plicable Plant Specific Operations Ex-pense accounts. If the aggregate invest-ment in the items is relatively large atthe time of acquisition, such amountsshall be maintained in an applicablematerial and supplies account untilitems are used.

(b) Telecommunications plant acquired.(1) Property, plant and equipment ac-quired from an entity, whether or not


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affiliated with the accounting com-pany, shall be accounted for at originalcost, except that property, plant andequipment acquired from a non-affiliated entity shall be accounted forat acquisition cost if the purchaseprice is less than $100,000 for Class Acompanies or $25,000 for Class B compa-nies.

(2) The accounting for property,plant and equipment to be recorded atoriginal cost shall be as follows:

(i) The amount of money paid (or cur-rent money value of any considerationother than money exchanged) for theproperty (together with preliminaryexpenses incurred in connection withthe acquisition) shall be charged to Ac-count 1439, Deferred Charges.

(ii) The original cost, estimated ifnot known, of telecommunicationsplant, governmental franchises andother similar rights acquired shall becharged to the applicable tele-communications plant accounts, Tele-communications Plant Under Con-struction, and Property Held For Fu-ture Telecommunications Use, as ap-propriate, and credited to Account 1439.When the actual original cost cannotbe determined and estimates are used,the company shall be prepared to fur-nish the Commission with the particu-lars of such estimates.

(iii) Depreciation and amortization ofplant acquired shall be credited to Ac-count 3100, Accumulated Depreciation,or Account 3200, Accumulated Depre-ciation—Held for Future Telecommuni-cations Use, 3400, Accumulated Amorti-zation—Tangible, 3410, AccumulatedAmortization—Capitalized Leases, 3420,Accumulated Amortization—LeaseholdImprovements, 3500, Accumulated Am-ortization—Intangibles, and 3600, Accu-mulated Amortization—Other, and deb-ited to Account 1439.

(iv) Any amount remaining in Ac-count 1439, applicable to the plant ac-quired, shall, upon completion of theentries provided in paragraphs (b)(2)(i), (ii) and (iii) of this section, be deb-ited or credited, as applicable, to Ac-count 2007, Goodwill, or to Account2005, Telecommunications Plant Ad-justment, as appropriate.

(3) A memorandum record shall bekept showing the amount of contribu-tions in aid of construction applicable

to the property acquired as shown bythe accounts of the previous owner.

(c) Cost of construction. (1) Tele-communications plant represents aneconomic resource which will be usedto provide future services, the cost ofwhich will be allocated in a rationaland systematic manner to the futureperiods in which it provides benefits. Inaccounting for construction costs, theutility shall charge to the tele-communications plant accounts, whereapplicable, all direct and indirectcosts.

(2) Direct and indirect costs shall in-clude, but not be limited to:

(i) ‘‘Labor’’ includes the wages andexpenses of employees directly engagedin or in direct charge of constructionwork. It includes expenses directly re-lated to an employee’s wages, such asworker’s compensation insurance, pay-roll taxes, benefits and other similaritems of expense.

(ii) ‘‘Engineering’’ includes the por-tion of the wages and expenses of engi-neers, draftsmen, inspectors, and theirdirect supervision applicable to con-struction work. It includes expenses di-rectly related to an employee’s wages,such as worker’s compensation insur-ance, payroll taxes, benefits and othersimilar items of expense.

(iii) ‘‘Material and supplies’’ includesthe purchase price of material used atthe point of free delivery plus the costsof inspection, loading and transpor-tation, and an equitable portion of pro-visioning expense. In determining thecost of material used, proper allowanceshall be made for unused material, formaterial recovered from temporarystructures used in performing the workinvolved, and for discounts allowed andrealized in the purchase of material.This item does not include construc-tion material that is stolen or renderedunusable due to vandalism. Such mate-rial should be charged to the applicableplant specific operations expense ac-counts.

(iv) ‘‘Transportation’’ includes thecost of transporting employees, mate-rial and supplies, tools and other workequipment to and from the physicalconstruction location. It includesamounts paid therefor to other compa-nies or individuals and the cost of


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47 CFR Ch. I (10–1–01 Edition)§ 32.2000

using the company’s own motor vehi-cles or other transportation equip-ment.

(v) ‘‘Contract work’’ includesamounts paid for work performedunder contract or other agreement byother companies, firms or individuals;engineering and supervision applicableto such work; cost incident to theaward of contracts; and the inspectionof such work. The cost of constructionwork performed by affiliated compa-nies and other details relating theretoshall be available from the work inprogress and supporting records.

(vi) ‘‘Protection’’ includes the cost ofprotecting the company’s propertyfrom fire or other casualties and thecost of preventing damages to others orthe property of others.

(vii) ‘‘Privileges, Permits, and Rightsof way’’ includes such costs incurred inobtaining these privileges, permits, orrights of way in connection with con-struction work, such as for use of pri-vate property, streets or highways. Thecost of such privileges and permitsshall be included in the cost of thework for which the privileges or per-mits are obtained, except for costs in-cludable in Account 2111, Land, and Ac-count 2690, Intangibles.

(viii) ‘‘Taxes’’ includes taxes properlyincludable in construction costs beforethe facilities are completed for service,which taxes are assessed separatelyfrom taxes on operating property orunder conditions that permit separateidentification of the amount charge-able to construction.

(ix) ‘‘Special machine service’’ in-cludes the cost of labor expended, ma-terials and supplies consumed andother expenses incurred in the mainte-nance, operation and use of special andother labor saving machines (otherthan transportation equipment (suchas trenching equipment, cable plowsand pole setting trucks. Also includedare expenditures for rental, mainte-nance and operation of such machinesowned by others. When a constructionjob requires the purchase of specialmachines, the cost thereof, less the ap-praised or salvage value at the time ofrelease from the job, shall be includedin the cost of construction.

(x) Allowance for funds used duringconstruction (‘‘AFUDC’’) provides for

the cost of financing the constructionof telecommunications plant. AFUDCshall be charged to Account 2003, Tele-communications Plant Under Con-struction, and credited to Account 7340.The rate for calculating AFUDC shallbe determined as follows: If financingplans associate a specific new bor-rowing with an asset, the rate on thatborrowing may be used for the asset; ifno specific new borrowing is associatedwith an asset or if the average accumu-lated expenditures for the asset exceedthe amounts of specific new borrowingassociated with it, the capitalizationrate to be applied to such excess shallbe weighted average of the rates appli-cable to other borrowing of the enter-prise. The amount of interest cost cap-italized in an accounting period shallnot exceed the total amount of interestcost incurred by the company in thatperiod.

(xi) ‘‘Insurance’’ includes premiumspaid specifically for protection againstloss and damage in connection with theconstruction of telecommunicationsplant due to fire or other casualty, in-jury to or death of employees or oth-ers, damages to property of others, de-falcations of employees and agents andthe non-performance of contractual ob-ligations of others.

(xii) ‘‘Construction services’’ includethe cost of telephone, electricity,power, construction quarters, officespace and equipment directly relatedto the construction project.

(xiii) ‘‘Indirect construction costs’’shall include indirect costs such asgeneral engineering, supervision andsupport. Such costs, in addition to di-rect supervision, shall include indirectplant operations and engineering su-pervision up to, but not including, su-pervision by executive officers whosepay and expenses are chargeable to Ac-count 6711, Executive. The records sup-porting the entries for indirect con-struction costs shall be kept so as toshow the nature of the expenditures,the individual jobs and accountscharged, and the bases of the distribu-tion. The amounts charged to eachplant account for indirect costs shallbe readily determinable. The instruc-tions contained herein shall not be in-terpreted as permitting the addition to


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plant of amounts to cover indirectcosts based on arbitrary allocations.

(xiv) The cost of construction shallnot include any amounts classifiable asCorporate Operations Expense.

(d) Telecommunications plant retired.(1) Telecommunications plant accountsshall at all times disclose the originalcost of all property in service. Whenany item of property subject to plantretirement accounting is worn out,lost, sold, destroyed, abandoned, sur-rendered upon lapse of title, becomespermanently unserviceable, is with-drawn or for any other reason is retiredfrom service, the plant accounts appli-cable to that item shall be creditedwith the original cost of the plant re-tired whether replaced or not (exceptas provided for minor items in para-graph (d)(2)(ii) of this section). Nor-mally, these retirement credits withrespect to such plant as entire build-ings, entire central offices, all plantabandoned and any large sections ofplant withdrawn from service, shall beentered in the accounts for the monthin which use of the property ceased.For any other plant withdrawn fromservice, the retirement credits shall beentered no later than the next suc-ceeding month. Literal compliancewith the provision for timing of entrieswith respect to property amounting toless than $50,000 retired under any oneproject is not required if an unreason-able amount of recordkeeping and esti-mating of quantities, original costs andsalvage is necessary. The retiremententry shall refer to the continuingproperty record, or records supple-mental thereto, from which the costwas obtained (note also paragraph(d)(3) of this section). Every companyshall establish procedures which willensure compliance with these require-ments.

(2) To avoid undue refinement, depre-ciable telecommunications plant shallbe accounted for as follows:

(i) Retirement units: This group in-cludes major items of property, a rep-resentative list of which shall be pre-scribed by this Commission. In lieu ofthe retirement units prescribed withrespect to a particular account, a com-pany may, after obtaining specific ap-proval by this Commission, establishand maintain its own list of retirement

units for a portion or all of the plant inany such account. For items includedon the retirement units list, the origi-nal cost of any such items retired shallbe credited to the plant account andcharged to Account 3100, AccumulatedDepreciation, whether or not replaced.The original cost of retirement unitsinstalled in place of property retiredshall be charged to the applicable tele-communications plant account.

(ii) Minor items: This group includesany part or element of plant which isnot designated as a retirement unit.The original cost of a minor item ofproperty when included in the specificor average cost for a retirement unit orunits requires no separate credit to thetelecommunications plant accountwhen such a minor item is retired. Thecost of replacement shall be charged tothe account applicable for the cost ofrepairs of the property. However, if thereplacement effects a substantial bet-terment (the primary aim of which isto make the property affected moreuseful, of greater durability, of greatercapacity or more economical in oper-ation), the excess cost of such a re-placement, over the estimated cost atthe then current prices of replacementwithout betterment of the minor itemsbeing retired, shall be charged to theapplicable telecommunications plantaccount.

(3) The cost of property to be retiredshall be the amount at which propertyis included in the telecommunicationsplant accounts. However, when it is im-practicable to determine the cost ofeach item due to the relatively largenumber or small cost of such items, theaverage cost of all the items covered byan appropriate subdivision of the ac-count shall be used in determining thecost to be assigned to such items whenretired. The method used in deter-mining average cost must give due re-gard to the quantity, vintage, size andkind of items, the area in which theywere installed and their classificationin other respects. Average cost may beapplied in retirement of such items aspoles, wire, cable, cable terminals, con-duit and booths. Any company may useaverage cost of property installed in ayear or band of years as approved bythe Commission. It should be under-stood, however, that the use of average


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costs shall not relieve the company ofthe requirement for maintaining itscontinuing property records to show,where practicable, dates of installationand removal for purposes of mortalitystudies. (See § 32.2000(f) of this subpart,Standard Practices for Establishingand Maintaining Continuing PropertyRecords.)

(4) The accounting for the retirementof property, plant and equipment shallbe as provided above except:

(i) Amounts included in Account 2005,Telecommunications Plant Adjust-ment; Account 2680, Amortizable Tan-gible Assets; Account 2681, CapitalLeases; Account 2682, Leasehold Im-provements; Account 2690, Intangibles;and any amounts associated with am-ortizable leaseholds, easements, andsimilar rights in land included in Ac-count 2111, Land, shall be debited, asappropriate, to Account 3400, 3410, 3420,3500, or 3600, and credited to the appli-cable accounts.

(ii) Amounts in Account 2111, Land,and amounts for works of art recordedin Account 2122, Furniture, shall betreated at disposition as a gain or lossand shall be credited or debited to Ac-count 7150, Gains and Losses from Dis-position of Land and Artwork, as appli-cable. If land or artwork is retained bythe company and held for sale, the costshall be charged to Account 2006, Non-operating Plant.

(5) When the telecommunicationsplant is sold together with traffic asso-ciated therewith, the original cost ofthe property shall be credited to theapplicable plant accounts and the esti-mated amounts carried with respectthereto in the accumulated deprecia-tion and amortization accounts shallbe charged to such accumulated ac-counts. The difference, if any, betweenthe net amount of such debit and credititems and the consideration received(less commissions and other expensesof making the sale) for the propertyshall be included in Account 7350,Gains and Losses from Disposition ofCertain Property. The accounting fordepreciable telecommunications plantsold without the traffic associatedtherewith shall be in accordance withthe accounting provided in § 32.3100(c)of this subpart.

(e) Basic property records. (1) Thebasic property records are that portionof the total property accounting sys-tem which preserves the following de-tailed information:

(i) The identity, vintage, locationand original cost of units of property;

(ii) Original and ongoing trans-actional data (plant account activity)in terms of such units; and

(iii) Any other specific financial andcost accounting information not prop-erly warranting separate disclosure asan account or subaccount but which isneeded to support regulatory, cost, tax,management and other specific ac-counting information needs and re-quirements.

(2) The basic property records mustbe: (i) Subject to internal accountingcontrols, (ii) auditable, (iii) equal inthe aggregate to the total investmentreflected in the financial property con-trol accounts as well as the total of thecost allocations supporting the deter-mination of cost-of-service at any par-ticular point in time, and (iv) main-tained throughout the life of the prop-erty.

(3) The basic property records shallconsist of (i) continuing propertyrecords and (ii) records supplementalthereto which together reveal clearly,by accounting area, the detailed andsystematically summarized informa-tion necessary to meet fully the re-quirements of paragraphs (e)(1) and(e)(2) of this section.

(4) Companies shall establish andmaintain basic property records foreach class of property recorded in theseveral plant accounts which comprisethe balance sheet Account 2001, Tele-communications Plant In Service, Ac-count 2002, Property Held for FutureTelecommunications Use, and Account2006, Nonoperating Plant.

(5) The company shall notify theCommission of a plan for the basicproperty record as follows:

(i) Not later than June 30 of the yearfollowing that in which it becomes sub-ject to this system of accounts, thecompany shall file with the Commis-sion two (2) copies of a complete planof the method to be used in the com-pilation of a basic property record withrespect to each class of property. The


427


plan shall include a list of proposed ac-counting areas accompanied by de-scription of the boundaries of each areaas defined in accordance with the re-quirements of § 32.2000(f)(1) (i) and (ii)of this subpart. The plan shall also in-clude a list of property record unitsproposed for use under each regulatedplant account. These property recordunits shall be selected such that the re-quirements of § 32.2000(f)(2) (i), (ii) and(iii) of this subpart can be satisfied.

(ii) The company shall submit to theCommission one copy of any major pro-posed changes in its basic propertyrecord plan at least 30 days before theeffective date of the proposed changes.

(6) The company shall prepare andmaintain the basic property record asfollows:

(i) Not later than June 30 of the yearfollowing that in which the companybecomes subject to this system of ac-counts, begin the preparation of a basicproperty record.

(ii) Complete within two years of theprescribed beginning date, basic prop-erty records for all property as of theend of the preceding calendar year.

(iii) Promptly process in the basicproperty records all property changesaffecting periods subsequent to initialestablishment of the basic propertyrecord.

(7) The basic property record compo-nents (see paragraph (c) of this section)shall be arranged in conformity withthe regulated plant accounts prescribedin this section of accounts as follows:

(i) The continuing property recordsshall be compiled on the basis of origi-nal cost (or other book cost consistentwith this system of accounts). The con-tinuing property records shall be main-tained as prescribed in § 32.2000(f)(2)(iii)of this subpart in such manner as willmeet the following basic objectives:

(A) Provide for the verification ofproperty record units by physical ex-amination.

(B) Provide for accurate accountingfor retirements.

(C) Provide data for use in connec-tion with depreciation studies.

(ii) The records supplemental to thecontinuing property records shall dis-close such service designations, usagemeasurement criteria, apportionmentfactors, or other data as may be pre-

scribed by the Commission in this partor other parts of its Rules and Regula-tions. Such data are subject to thesame general controls and standardsfor auditability and support as are allother elements of the basic propertyrecords.

(f) Standard practices for establishingand maintaining continuing propertyrecords—(1) Accounting area. (i) Thecontinuing property record, as relatedto each primary plant account, shall beestablished and maintained by sub-accounts for each accounting area. Anaccounting area is the smallest terri-tory of the company for which account-ing records of investment are main-tained for all plant accounts within thearea. Areas already established for ad-ministrative, accounting, valuation, orother purposes may be adopted for thispurpose when appropriate. In no caseshall the boundaries of accountingareas cross either State lines or bound-aries prescribed by the Commission.

(ii) In determining the limit of eacharea, consideration shall be given tothe quantities of property, construc-tion conditions, operating districts,county and township lines, taxing dis-trict boundaries, city limits, and otherpolitical or geographical limits, inorder that the area adopted may havemaximum adaptability, within the con-fines of practicability, for both thecompany’s purpose and those of Fed-eral, State, and municipal authorities.

(2) Property record units. (i) In each ofthe established accounting areas, the‘‘property record units’’ which are tobe maintained in the continuing prop-erty record shall be set forth sepa-rately, classified by size and type withthe amount of original cost (or otherappropriate book cost) associated withsuch units. When a list of propertyrecord units has been accepted by theCommission, they shall become theunits referred to in this statement ofstandard practices. Such units shallapply to only the regulated portion ofthis system of accounts.

(ii) When it is found necessary to re-vise this list because of the addition ofunits used in providing new types ofservice, or new units resulting fromimprovements in technology, or be-cause of the grouping or elimination ofunits which no longer merit separate


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recognition as property record units,one copy of such changes shall be sub-mitted to the Commission. Upon appro-priate showing by the company, theCommission may specifically exemptthe company from these filing require-ments.

(iii) The continuing property recordshall reveal the description, location,date of placement, the essential detailsof construction, and the original cost(note also § 32.2000(f)(3) of this subpart)of the property record units. The con-tinuing property record and other un-derlying records of construction costsshall be so maintained that, upon re-tirement of one or more retirementunits or of minor items without re-placement when not included in thecosts of retirement units, the actualcost or a reasonably accurate estimateof the cost of the plant retired can bedetermined.

(3) Methods of determining original costof property record units. The originalcost of the property record units shallbe determined by analyses of the con-struction costs incurred as shown bycompletion reports and other data, ac-cumulated in the respective construc-tion work orders or authorizations.Costs shall be allocated to and associ-ated with the property record units tofacilitate accounting for retirements.The original cost of property recordunits shall be determined by unit iden-tification or averaging as described inparagraphs (f)(3) (i) and (ii) of this sec-tion.

(i) Unit identification. Cost shall beidentified and maintained by specificlocation for property record units con-tained within certain regulated plantaccounts or account groupings such asLand, Buildings, Central Office Assets,Motor Vehicles, Garage Work Equip-ment, and Furniture. In addition, unitsinvolved in any unusual or special typeof construction shall be recorded bytheir specific location costs (note also§ 32.2000(f)(3)(ii)(B) of this subpart.

(ii) Averaging. (A) Average costs maybe developed for plant consisting of alarge number of similar units such asterminal equipment, poles, wire, cable,cable terminals, conduit, furniture, andwork equipment. Units of similar sizeand type within each specified account-ing area and regulated plant account

may be grouped. Each such averagecost shall be set forth in the con-tinuing property record of the unitswith which it is associated.

(B) The averaging of costs permittedunder the provisions of the foregoingparagraph is restricted to plant in-stalled in a particular vintage or bandof years incurred within an accountingarea. This paragraph does not permitthe inclusion of the cost of units in-volved in any unusual or special typeof construction. The units involved insuch unusual or special type of con-struction shall be recorded at cost bylocation.

(4) Estimates. In cases where the ac-tual original cost of property cannot beascertained, such as pricing an inven-tory for the initial entry of a con-tinuing property record or the pricingof an acquisition for which a con-tinuing property record has not beenmaintained, the original cost may beestimated. Any estimated original costshall be consistent with the accountingpractices in effect at the time the prop-erty was constructed.

(5) Identification of property recordunits. There shall be shown in the con-tinuing property record or in recordsupplements thereof, a complete de-scription of the property records unitsin such detail as to identify such units.The description shall include the iden-tification of the work order underwhich constructed, the year of installa-tion (unless not determinable per§ 32.2000(f)(4) of this subpart, specific lo-cation of the property within each ac-counting area in such manner that itcan be readily spot-checked for proof ofphysical existence, the accountingcompany’s number or designation, andany other description used in connec-tion with the determination of theoriginal cost. Descriptions of units ofsimilar size and type shall follow pre-scribed groupings.

(6) Reinstalled units. When units towhich average costs are not applied,i.e., specific and fixed location units,are removed or retired and subse-quently reinstalled, the date when theunit was first charged to the appro-priate plant account shall, when re-quired for adequate service life studies


429


and reasonably accurate retirement ac-counting, be shown in addition to thedate of reinstallation.

(7) Age and service life of property. Thecontinuing property record shall dis-close the age of existing property andthe supporting records shall disclosethe service life of property retired. Ex-ceptions from this requirement for anyproperty record unit shall be submittedto the Commission for approval.

(8) Reference to sources of information.There shall be shown by appropriatereference the source of all entries. Alldrawings, computations, and other de-tailed records which support quantitiesand costs or estimated costs shall beretained as a part of or in support ofthe continuing property record.

(9) Jointly owned property. (i) With re-spect to jointly owned property, thereshall be shown in the continuing prop-erty record or records supplementalthereto:

(A) The identity of all joint owners.(B) The percentage owned by the ac-

counting company.(ii) When regulated plant is con-

structed under arrangements for jointownership, the amount received by theconstructing company from the otherjoint owner or owners shall be creditedas a reduction of the gross cost of theplant in place.

(iii) When a sale of a part interest inregulated plant is made, the fractionalinterest sold shall be treated as a re-tirement and the amount received shallbe treated as salvage. The continuingproperty record or records supple-mental thereto shall be so maintainedas to identify separately retirements ofthis nature from physical retirementsof jointly owned plant.

(iv) If jointly owned regulated prop-erty is substantial in relation to thetotal of the same kind of regulatedproperty owned wholly by the com-pany, such jointly owned regulatedproperty shall be appropriately seg-regated in the continuing propertyrecord.

(g) Depreciation accounting—(1) Com-putation of depreciation rates. (i) Unlessotherwise provided by the Commission,either through prior approval or uponprescription by the Commission, depre-ciation percentage rates shall be com-puted in conformity with a group plan

of accounting for depreciation andshall be such that the loss in servicevalue of the property, except for lossesexcluded under the definition of depre-ciation, may be distributed under thestraight-line method during the servicelife of the property.

(ii) In the event any composite per-centage rate becomes no longer appli-cable, revised composite percentagerates shall be computed in accordancewith paragraph (g)(1)(i) of this section.

(iii) The company shall keep suchrecords of property and property retire-ments as will allow the determinationof the service life of property which hasbeen retired, or facilitate the deter-mination of service life indications bymortality, turnover, or other appro-priate methods. Such records will alsoallow the determination of the percent-age of salvage value and cost of re-moval for property retired from eachclass of depreciable plant.

(2) Depreciation charges. (i) A separateannual percentage rate for each depre-ciation category of telecommuni-cations plant shall be used in com-puting depreciation charges.

(ii) Companies, upon receiving priorapproval from this Commission, or,upon prescription by this Commission,shall apply such depreciation rate, ex-cept where provisions of paragraph(g)(2)(iv) of this section apply, as willratably distribute on a straight linebasis the difference between the netbook cost of a class or subclass of plantand its estimated net salvage duringthe known or estimated remainingservice life of the plant.

(iii) Charges for currently accruingdepreciation shall be made monthly tothe appropriate depreciation accounts,and corresponding credits shall bemade to the appropriate depreciationreserve accounts. Current monthlycharges shall normally be computed bythe application of one-twelfth of theannual depreciation rate to the month-ly average balance of the associatedcategory of plant. The average month-ly balance shall be computed using thebalance as of the first and last days ofthe current month.

(iv) In certain circumstances andupon prior approval of this Commis-sion, monthly charges may be deter-mined in total or in part through the


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use of other methods whereby selectedplant balances or portions thereof areratably distributed over periods pre-scribed by this Commission. Such cir-cumstances could include but not belimited to factors such as the existenceof reserve deficiencies or surpluses,types of plant that will be completelyretired in the near future, and changesin the accounting for plant. Where al-ternative methods have been used inaccordance with this subparagraph,such amounts shall be applied sepa-rately or in combination with rates de-termined in accordance with paragraph(g)(2)(ii) of this section.

(3) Acquired depreciable plant. Whenacquired depreciable plant carried inAccount 1439, Deferred Charges, is dis-tributed to the appropriate plant ac-counts, adjusting entries shall be madecovering the depreciation charges ap-plicable to such plant for the periodduring which it was carried in Account1439.

(4) Plant Retired for NonrecurringFactors not Recognized in DepreciationRates.

(i) A retirement will be considered asnonrecurring (extraordinary) only ifthe following criteria are met:

(A) The impending retirement wasnot adequately considered in settingpast depreciation rates.

(B) The charging of the retirementagainst the reserve will unduly depletethat reserve.

(C) The retirement is unusual suchthat similar retirements are not likelyto recur in the future.

(5) Upon direction or approval fromthis Commission, the company shallcredit Account 3100, Accumulated De-preciation, and charge Account 1438,Deferred Maintenance and Retire-ments, with the unprovided-for loss inservice value. Such amounts shall bedistributed from Account 1438 to Ac-count 6561, Depreciation Expense—Telecommunications Plant in Service,or Account 6562, Depreciation Ex-pense—Property Held for Future Tele-communications Use, over such periodas this Commission may direct or ap-prove.

(h) Amortization accounting. (1) Unlessotherwise provided by this Commis-sion, either through approval, or uponprescription by this Commission, amor-

tization shall be computed on thestraight-line method, i.e., equal annualamounts shall be applied. The cost ofeach type asset shall be amortized onthe basis the estimated life of thatasset and shall not be written off in theaccounting period in which the asset isacquired. A reasonable estimate of theuseful life may be based on the upperor lower limits even though a fixed ex-istence is not determinable. However,the period of amortization shall not ex-ceed forty years.

(2) In the event any estimated usefullife becomes no longer applicable, a re-vised estimated useful life shall be de-termined in accordance with paragraph(h)(1) of this section.

(3) Amortization charges shall bemade monthly to the appropriate am-ortization expense accounts and cor-responding credits shall be made to theappropriate amortization reserve ac-counts. Monthly charges shall be com-puted by the application of one-twelfthto the annual amortization amount.

(4) The company shall keep suchrecords as will allow the determinationof the useful life of the asset.

(i) Accounting for software. The origi-nal cost of initial operating systemsoftware for computers shall be classi-fied to the same account as the associ-ated hardware whether acquired sepa-rately or in conjunction with the asso-ciated hardware.

(j) Plant Accounts to be Maintainedby Class A and Class B telephone com-panies as indicated:


Class Baccount

REGULATED PLANT

Property, plant and equipment:Telecommunications plant in

service .................................... 1 2001 1 2001Property held for future tele-

communications use ............... 2002 2002Telecommunications plant under

construction—short term ......... 2003 2003Telecommunications plant under

construction—long term .......... 2004 2004Telecommunications plant ad-

justment .................................. 2005 2005Nonoperating plant ..................... 2006 2006Goodwill ...................................... 2007 2007

TELECOMMUNICATIONS PLANT INSERVICE (TPIS)

TPIS—General support assets:Land and support assets ........... ................ 2110Land ........................................... 2111 ................Motor vehicles ............................ 2112 ................Aircraft ........................................ 2113 ................


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Class Baccount

Tools and other work equipment 2114 ................Buildings ..................................... 2121 ................Furniture ..................................... 2122 ................Office equipment ........................ 2123 ................General purpose computers ...... 2124 ................

TPIS—Central Office assets:Central Office—Switching .......... ................ 2210Analog electronic switching ........ 2211 ................Digital electronic switching ......... 2212 ................Electro-mechanical switching ..... 2215 ................Operator systems ....................... 2220 2220Central Office—Transmission .... ................ 2230Radio systems ............................ 2231 ................Circuit equipment ....................... 2232 ................

TPIS—Information origination/termi-nation assets:

Information origination/termi-nation ...................................... ................ 2310

Station apparatus ....................... 2311 ................Customer premises wiring .......... 2321 ................Large private branch exchanges 2341 ................Public telephone terminal equip-

ment ........................................ 2351 ................Other terminal equipment ........... 2362 ................

TPIS—Cable and wire facilities as-sets:

Cable and wire facilities ............. ................ 2410Poles .......................................... 2411 ................Aerial cable ................................ 2421 ................Underground cable ..................... 2422 ................Buried cable ............................... 2423 ................Submarine cable ........................ 2424 ................Deep Sea cable ......................... 2425 ................Intrabuilding network cable ........ 2426 ................Aerial wire .................................. 2431 ................Conduit systems ......................... 2441 ................

TPIS—Amortizable assets:Amortizable tangible assets ....... ................ 2680Capital leases ............................. 2681 ................Leasehold improvements ........... 2682 ................Intangibles .................................. 2690 2690

1 Balance sheet summary account only.

[51 FR 43499, Dec. 2, 1986, as amended at 52FR 7580, Mar. 12, 1987; 53 FR 30059, Aug. 10,1988; 59 FR 46930, Sept. 13, 1994; 60 FR 12138,Mar. 6, 1995; 62 FR 39451, July 23, 1997; 64 FR50007, Sept. 15, 1999]

EFFECTIVE DATE NOTE: At 64 FR 50007,Sept. 15, 1999, § 32.2000 was amended by re-moving paragraph (b)(4). This section con-tains information collection requirementsand will not become effective until approvedby the Office of Management and Budget.

§ 32.2001 Telecommunications plant inservice.

This account shall include the origi-nal cost of the investment included inAccounts 2110 through 2690.

§ 32.2002 Property held for future tele-communications use.

(a) This account shall include theoriginal cost of property owned andheld for no longer than two years undera definite plan for use in telecommuni-

cations service. If at the end of twoyears the property is not in service, theoriginal cost of the property may re-main in this account so long as the car-rier excludes the original cost and as-sociated depreciation from its ratebaseand ratemaking considerations and re-port those amounts in reports filedwith the Commission pursuant to43.21(e)(1) and 43.21(e)(2) of this chapter.

(b) Subsidiary records shall be main-tained to show the character of theamounts carried in this account.

[65 FR 16334, Mar. 28, 2000]

§ 32.2003 Telecommunications plantunder construction.

(a) This account shall include theoriginal cost of construction projects(note also § 32.2000(c)) of this part andthe cost of software developmentprojects that are not yet ready fortheir intended use.

(b) There may be charged directly tothe appropriate plant accounts the costof any construction project which is es-timated to be completed and ready forservice within two months from thedate on which the project was begun.There may also be charged directly tothe plant accounts the cost of any con-struction project for which the grossadditions to plant are estimated toamount to less than $100,000.

(c) If a construction project has beensuspended for six months or more, thecost of the project included in this ac-count may remain in this account solong as the carrier excludes the origi-nal cost and associated depreciationfrom its ratebase and ratemaking con-siderations and reports those amountsin reports filed with the Commissionpursuant to 43.21(e)(1) and 43.21(e)(2) ofthis chapter. If a project is abandoned,the cost included in this account shallbe charged to Account 7370, SpecialCharges.

(d) When any telecommunicationsplant, the cost of which has been in-cluded in this account, is completedready for service, the cost thereof shallbe credited to this account and chargedto the appropriate telecommunicationsplant or other accounts.

[51 FR 43499, Dec. 2, 1986, as amended at 60FR 12138, Mar. 6, 1995; 64 FR 50007, Sept. 15,1999; 65 FR 16335, Mar. 28, 2000]


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47 CFR Ch. I (10–1–01 Edition)§ 32.2005

§ 32.2005 Telecommunications plantadjustment.

(a) This account shall includeamounts determined in accordancewith § 32.2000(b) of this subpart rep-resenting the difference between (1) thefair market value of the telecommuni-cations plant acquired, plus prelimi-nary expenses incurred in connectionwith the acquisition; and (2) the origi-nal cost of such plant, governmentalfranchises and similar rights acquired,less the amounts of reserve require-ments for depreciation and amortiza-tion of the property acquired. If the ac-tual original cost is not known, the en-tries in this account shall be basedupon an estimate of such costs.

(b) The amounts recorded in this ac-count with respect to each property ac-quisition (except land and artworks)shall be disposed of, written off, or pro-vision shall be made for the amortiza-tion thereof, as follows:

(1) Debit amounts may be charged toAccount 7370, Special Charges, in wholeor in part, or amortized over a reason-able period through charges to Account7360, Other Nonoperating Income, with-out further direction or approval bythis Commission. When specifically ap-proved by this Commission, or whenthe provisions of paragraph (b)(3) ofthis section apply, debit amounts shallbe amortized to Account 6565, Amorti-zation Expense—Other.

(2) Credit amounts shall be disposedof in such manner as this Commissionmay approve or direct, except for cred-it amounts referred to in paragraph(b)(3) of this section.

(3) Within one year from the date ofinclusion in this account of a debit orcredit amount with respect to a cur-rent acquisition, the company may dis-pose of the total amount from an ac-quisition of telephone plant by a lump-sum charge or credit, as appropriate, toAccount 6565 without further approvalof this Commission, provided that suchamount does not exceed $100,000 andthat the plant was not acquired froman affiliated company.

§ 32.2006 Nonoperating plant.(a) This account shall include the

company’s investment in regulatedproperty which is not includable in theplant accounts as operating tele-

communications plant. It shall includethe company’s investment in tele-communications property held for sale.(Note also Account 1406, NonregulatedInvestments.)

(b) Subsidiary records shall be main-tained to show the character of theamounts carried in this account.

§ 32.2007 Goodwill.(a) This account shall include any

portion of the plant purchase pricethat cannot be assigned to specificallyidentifiable property acquired and suchamount should be identified as ‘‘good-will’’. Such amounts included in thisaccount shall be amortized to Account7360, Other Nonoperating Income, on astraight line basis over the remaininglife of the acquired plant, not to exceed40 years.

(b) The amounts included in this ac-count shall be maintained to show thenature of each amount.

§ 32.2110 Land and support assets.This account shall be used by Class B

companies to record the original costof land and support assets of the typeand character required of Class A com-panies in Accounts 2111 through 2124.

§ 32.2111 Land.(a) This account shall include the

original cost of all land held in fee andof easements, and similar rights inland having a term of more than oneyear used for purposes other than thelocation of outside plant (see Accounts2411 through 2441) or externally mount-ed central office equipment (see Ac-counts 2211 and 2212). It shall also in-clude special assessments upon land forthe construction of public improve-ments.

(b) When land, together with build-ings thereon, is acquired, the originalcost shall be fairly apportioned be-tween the land and the buildings andaccounted for accordingly. If the planof acquisition contemplates the re-moval of buildings, the total cost ofthe land and buildings shall be ac-counted for as the cost of the land, andthe salvage value of the buildings whendisposed of shall be deducted from thecost of the land so determined.

(c) Annual or more frequent pay-ments for use of land shall be recorded


433


in the rent subsidiary record categoryfor Account 6121, Land and BuildingExpense.

(d) When land is acquired for whichthere is not a definite plan for its usein telecommunications service, itscosts shall be included in Account 2006,Nonoperating Plant.

(e) When land is acquired in excess ofthat required for telecommunicationspurposes, the cost of such excess landshall be included in Account 2006.

(f) Installments of assessments forpublic improvement, including inter-est, if any, which are deferred withoutoption to the company shall be in-cluded in this account only as they be-come due and payable. Interest on as-sessments which are not paid when dueshall be included in Account 7540,Other Interest Deductions.

(g) When land is purchased for imme-diate use in a construction project, itscost shall be included in Account 2003,Telecommunications Plant Under Con-struction—Short Term, or Account2004, Telecommunications Plant UnderConstruction—Long Term, as appro-priate, until such time as the projectinvolved is completed and ready forservice.

(h) The original cost of leaseholds,easements, rights of way, and similarrights in land having a term of morethan one year and not includable in Ac-count 2111 shall be included in the ac-counts for outside plant or externallymounted central office equipment inconnection with which the rights wereacquired.

§ 32.2112 Motor vehicles.This account shall include the origi-

nal cost of motor vehicles of the typewhich are designed and routinely li-censed to operate on public streets andhighways.

§ 32.2113 Aircraft.This account shall include the origi-

nal cost of aircraft and any associatedequipment and furnishings installed asan integral part of the aircraft.

§ 32.2114 Tools and other work equip-ment.

This account shall include the origi-nal cost of special purpose vehicles andthe original cost of tools and equip-

ment used to maintain special purposevehicles and items included in Ac-counts 2112 and 2113. This account shallalso include the original cost of power-operated equipment, general purposetools, and other items of work equip-ment.

[64 FR 50007, Sept. 15, 1999]

§ 32.2121 Buildings.(a) This account shall include the

original cost of buildings, and the costof all permanent fixtures, machinery,appurtenances and appliances installedas a part thereof. It shall include costsincident to the construction or pur-chase of a building and to securing pos-session and title.

(b) When land, together with thebuildings thereon, is acquired, theoriginal cost shall be fairly appor-tioned between the land and buildings,and the amount applicable to the build-ings shall be included in this account.The amount applicable to the landshall be included in Account 2111,Land.

(c) This account shall not include thecost of any telephone equipment orwiring apparatus for generating or con-trolling electricity for operating thetelephone system.

§ 32.2122 Furniture.This account shall include the origi-

nal cost of furniture in offices, store-rooms, shops, and all other quarters.This account shall also include the costof objects which possess aestheticvalue, are of original or limited edi-tion, and do not have a determinableuseful life. The cost of any furnitureattached to and constituting a part ofa building shall be charged to account2121, Buildings.

§ 32.2123 Office equipment.(a) This account shall include the

original cost of office equipment in of-fices, shops and all other quarters. Thecost of any equipment attached to andconstituting a part of a building shallbe charged to Account 2121, Buildings.

(b) Office Equipment shall be main-tained by the following subaccounts:

2123.1 Office Support Equipment2123.2 Company Communications Equip-

ment


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47 CFR Ch. I (10–1–01 Edition)§ 32.2124

§ 32.2124 General purpose computers.(a) This account shall include the

original cost of computers and periph-eral devices which are designed to per-form general administrative informa-tion processing activities.

(b) Administrative information proc-essing includes but is not limited to ac-tivities such as the preparation of fi-nancial, statistical, or other businessanalytical reports; preparation of pay-roll, customer bills, and cash manage-ment reports, and other records and re-ports not specifically designed for test-ing, diagnosis, maintenance or controlof the telecommunications network fa-cilities.

(c) [Reserved](d) This account does not include the

cost of computers and their associatedperipheral devices associated withswitching, network signaling, networkoperations, or other specific tele-communications plant. Such com-puters and peripherals shall be classi-fied to the appropriate switching, net-work signaling, network expense, orother plant account.


§ 32.2210 Central office—switching.This account shall be used by Class B

companies to record the original costof switching assets of the type andcharacter required of Class A compa-nies in Accounts 2211 through 2215.

§ 32.2211 Analog electronic switching.(a) This account shall include the

original cost of stored program controlanalog circuit-switching and associ-ated equipment. This account shallalso include the cost of remote analogelectronic circuit switches.

(b) Switching plant excludes switch-boards which perform an operator as-sistance function and equipment whichis an integral part thereof. It does notexclude equipment used solely for therecording of calling telephone numbersin connection with customer dialedcharged traffic, dial tandem switch-boards and special service switchboardsused in conjunction with private lineservice; such equipment shall be classi-fied to the particular switch that ifserves.

§ 32.2212 Digital electronic switching.(a) This account shall include the

original cost of stored program controldigital switches and their associatedequipment. Included in this accountare digital switches which utilize ei-ther dedicated or non-dedicated cir-cuits. This account shall also includethe cost of remote digital electronicswitches.

(b) Switching plant excludes switch-boards which perform an operator as-sistance function and equipment whichis an integral part thereof. It does notexclude equipment used solely for therecording of calling telephone numbersin connection with customer dialedcharged traffic, dial tandem switch-boards and special service switchboardsused in conjunction with private lineservice; such equipment shall be classi-fied to the particular switch that itserves.

§ 32.2215 Electro-mechanical switch-ing.

(a) This account shall include theoriginal cost of non-electronic circuit-switching equipment. The investmentin electro-mechanical switching equip-ment shall be maintained in the fol-lowing subaccounts:

2215.1 Step-by-Step Switching2215.2 Crossbar Switching2215.3 Other Electro-Mechanical Switching

(b)2215.1 Step-by-step switching. Thissubaccount shall include the originalcost of step-by-step and associated cir-cuit-switching equipment.

(c) 2215.2 Crossbar switching. This sub-account shall include the original costof crossbar and associated circuit-switching equipment. Also included inthis account is the cost of electronictranslator system equipment used inswitching.

(d) 2215.3 Other Electro-mechanicalswitching. This subaccount shall in-clude the original cost of all othertypes of non-electronic circuit-switch-ing equipment such as panel systemsand their associated circuit-switchingequipment.

(e) Switching plant excludes switch-boards which perform an operator as-sistance function and equipment whichis an integral part thereof. It does notexclude equipment used solely for the


435


recording of calling telephone numbersin connection with customer dialedcharged traffic, dial tandem switch-boards and special service switchboardsused in conjunction with private lineservice; such equipment shall be classi-fied to the particular switch that itserves.

§ 32.2220 Operator systems.(a) This account shall include the

original cost of those items of equip-ment used to assist subscribers in uti-lizing the network and equipment usedin the provision of directory assist-ance, call intercept, and other operatorassisted call completion activities.

(b) This account does not includeequipment used solely for the recordingof calling telephone numbers in con-nection with customer dialed chargedtraffic, dial tandem switchboards andspecial service switchboards used inconjunction with private line service;such equipment shall be classfied tothe particular switch that it serves.


§ 32.2230 Central office—transmission.This account shall be used by Class B

companies to record the original costof radio systems and circuit equipmentof the type and character required ofClass A companies in Accounts 2231 and2232.

§ 32.2231 Radio systems.(a) This account shall include the

original cost of ownership of radiotransmitters and receivers. The invest-ment in radio systems shall be main-tained in the following subaccounts:

2231.1 Satellite and Earth Station Facilities2231.2 Other Radio Facilities

(b) 2231.1 Satellite and earth station fa-cilities. This subaccount shall includethe original cost of ownership interestin satellities (including land-sidespares), other spare parts, material andsupplies. It shall include launch insur-ance and other satellite launch costs.This subaccount shall also include theoriginal cost of earth stations andspare parts, material or supplies there-for.

(c) 2231.2 Other radio facilities. (1) Thissubaccount shall include the original

cost of radio equipment used to provideradio communication channels. Radioequipment is that equipment which isused for the generation, amplification,propagation, reception, modulation,and demodulation of radio waves infree space over which communicationchannels can be provided. This sub-account shall also include the associ-ated carrier and auxiliary equipmentand patch bay equipment which is anintegral part of the radio equipment.Such equipment may be located in cen-tral office buildings, terminal rooms,or repeater stations or may be mount-ed on towers, masts or other supports.

(2) This subaccount shall be main-tained in order that the company mayseparately report the amounts con-tained herein that relate to cellularradio facilities, non-cellular radio fa-cilities, and terrestrial microwaveradio facilities. Such subsidiary recordcategories shall be reported as requiredby Part 43 of this Commission’s Rulesand Regulations.


§ 32.2232 Circuit equipment.

(a) This account shall include theoriginal cost of equipment which isused to reduce the number of physicalpairs otherwise required to serve agiven number of subscribers by uti-lizing carrier systems, concentrationstages or combinations of both. It shallinclude equipment that provides for si-multaneous use of a number of inter-office channels on a single trans-mission path. This account shall alsoinclude equipment which is used forthe amplification, modulation, regen-eration, circuit patching, balancing orcontrol of signals transmitted overinteroffice communications trans-mission channels. This account shallinclude equipment which utilizes themessage path to carry signaling infor-mation or which utilizes separate chan-nels between switching offices to trans-mit signaling information independentof the subscribers’ communicationpaths or transmission channels. Thisaccount shall also include the originalcost of associated material used in theconstruction of such plant. Circuitequipment may be located in central


436

47 CFR Ch. I (10–1–01 Edition)§ 32.2310

offices, in manholes, on poles, in cabi-nets or huts or at other company loca-tions.

(b) This account excludes carrier andauxiliary equipment and patch bayswhich are includable in Account 2231.2,Other Radio Facilities. This accountalso excludes such equipment which isan integral component of a major unitwhich is classifiable to other accounts.

(c) Subsidiary record categories shallbe maintained in order that the com-pany may separately report theamounts contained herein that relateto digital and analog. Such subsidiaryrecord categories shall be reported asrequired by part 43 of this Commis-sion’s Rules and Regulations.

§ 32.2310 Information origination/ter-mination.

This account shall be used by Class Bcompanies to record the original costof information origination/terminationequipment of the type and characterrequired of Class A companies in Ac-counts 2311 through 2362.

§ 32.2311 Station apparatus.(a) This account shall include the

original cost of station apparatus, in-cluding teletypewriter equipment, tele-phone and miscellaneous equipment,small private branch exchanges andradio equipment (excluding mobile), in-stalled for customer’s use. Items in-cluded in this account shall remainherein until finally disposed of or untilused in such manner as to warrant in-clusion in other accounts.

(b) Each company shall prepare a listof station apparatus which shall beused as its list of disposition units forthis account, the cost of which when fi-nally disposed of shall be credited tothis account and charged to Account3100, Accumulated Depreciation.

(c) The cost of cross-connectionboxes, distributing frames or other dis-tribution points which are installed toterminate intrabuilding network cableshall be charged to Account 2426,Intrabuilding Network Cable.

(d) Operator head sets and transmit-ters in central offices and at privatebranch exchanges, and test sets such asthose used by wire chiefs, outside planttechnicians, and others, shall be in-cluded in Account 2114, Tools and other

work equipment, Account 2220, Oper-ator systems, or Account 2341, LargePrivate Branch Exchanges, as appro-priate.

(e) Station apparatus for company of-ficial use shall be included in Account2123, Office Equipment.

(f) An annual inventory shall betaken of all station apparatus in stockthat are included in this account. Thenumber of such station apparatusitems as determined by this inventory,together with the number of all otherstation apparatus items included inthis account, shall be compared withthe corresponding number of stationapparatus items as shown by the re-spective control records. The originalcost of any unreconciled differencesthereby disclosed shall be adjustedthrough Account 3100, AccumulatedDepreciation. Appropriate verificationsshall be made at suitable intervals andnecessary adjustments between this ac-count and Account 3100 shall be madefor all station apparatus included inthis account.

(g) Items of station apparatus instock for which no further use in theordinary conduct of the business iscontemplated, but which as a pre-cautionary measure are held for pos-sible future contingencies instead ofbeing discarded shall be excluded fromthis account and included in Account1220, Inventories.

(h) Embedded CPE is that equipmentor inventory which was tariffed or oth-erwise subject to the jurisdictional sep-arations process as of January 1, 1983.

[51 FR 43499, Dec. 2, 1986, as amended at 52FR 6561, Mar. 4, 1987; 52 FR 39535, Oct. 22,1987; 59 FR 46930, Sept. 13, 1994; 64 FR 50007,Sept. 15, 1999]

§ 32.2321 Customer premises wiring.

(a) This account shall include allamounts transferred from the formerAccount 232, Station Connections, in-side wiring subclass.

(b) Embedded Customer PremisesWiring is that investment in customerpremises wiring equipment or inven-tory which was capitalized prior to Oc-tober 1, 1984.



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§ 32.2341 Large private branch ex-changes.

(a) This account shall include theoriginal cost, including the cost of in-stallation, of multiple manual privatebranch exchanges and of dial systemprivate branch exchanges of types de-signed to accommodate 100 or morelines or which can normally be ex-panded to 100 or more lines, installedfor customers’ use. This account shallalso include the original cost of otherlarge installations of station equip-ment: (1) Which do not constitute sta-tions, (2) which require special or indi-vidualized treatment because of theircomplexity, special design, or otherdistinctive characteristics, and (3) forwhich individual or other specializedcost records are appropriate. (Note alsoAccount 2311, Station Apparatus.)

(b) The cost of intrabuilding networkcables including their associated cross-connection boxes, terminals, distrib-uting frames, etc., is chargeable to Ac-count 2426, Intrabuilding NetworkCable.

(c) The cost of outside plant, whetheror not on private property, used withintrabuilding, network cable shall becharged to the appropriate outsideplant accounts.

(d)–(e) [Reserved](f) Private branch exchanges for com-

pany official use shall be included inAccount 2123, Office Equipment.

(g) Embedded CPE is that equipmentor inventory which is tariffed or other-wise subject to the jurisdictional sepa-rations process as of January 1, 1983.Inventories of large private branch ex-changes equipment are included in Ac-count 1220, Inventories.

[51 FR 43499, Dec. 2, 1986, as amended at 52FR 6562, Mar. 4, 1987; 52 FR 39535, Oct. 22,1987; 59 FR 46930, Sept. 13, 1994]

§ 32.2351 Public telephone terminalequipment.

(a) This account shall include theoriginal cost of coinless, coin-operated(including public and semi-public),credit card and pay telephone installedfor use by the public.

(b) This account shall also includethe original cost of operating sparesthat are required to provide a con-tinuity of service for public telephones.The operating spares shall not exceed

six months supply in terms of turnoverand be available to installers from lo-cations in reasonable proximity to thelocation of the installed equipment.

(c) The original cost of installingpublic telephone equipment shall notinclude the labor and minor materialscosts of installing the public telephoneequipment or premises wiring. Thesecosts as well as the cost of replacing apublic telephone shall be charged toAccount 6351 Public Telephone Ter-minal Equipment Expense. The laborand minor materials costs of removalof public telephones will also becharged to Account 6351.

[51 FR 43499, Dec. 2, 1986, as amended at 52FR 29019, Aug. 5, 1987]

§ 32.2362 Other terminal equipment.

(a) This account shall include theoriginal cost of other Non-CPE ter-minal equipment not specifically pro-vided for elsewhere and items such asspecialized communications equipmentprovided to meet the needs of the dis-abled, over-voltage protection equip-ment, multiplexing equipment to de-liver multiple channels to customers,etc.

(b) Each company shall prepare a listof other terminal equipment whichshall be used as its list of retirementunits for this account, the cost ofwhich when finally disposed of shall becredited to this account and charged toAccount 3100, Accumulated Deprecia-tion.

§ 32.2410 Cable and wire facilities.

This account shall be used by Class Bcompanies to record the original costof cable and wire facilities of the typeand character required of Class A com-panies in Accounts 2411 through 2441.

§ 32.2411 Poles.

This account shall include the origi-nal cost of poles, crossarms, guys andother material used in the constructionof pole lines and shall include the costof towers when not associated withbuildings. This account shall also in-clude the cost of clearing pole lineroutes and of tree trimming but shallexclude the cost of maintaining pre-viously cleared routes.


438

47 CFR Ch. I (10–1–01 Edition)§ 32.2421

§ 32.2421 Aerial cable.(a) This account shall include the

original cost of aerial cable and of dropand block wires served by such cable oraerial wire as well as the cost of othermaterial used in construction of suchplant. Subsidiary record categories, asdefined below, are to be maintained fornonmetallic aerial cable and metallicaerial cable.

(1) Nonmetallic cable. This subsidiaryrecord category shall include the origi-nal cost of optical fiber cable and otherassociated material used in con-structing a physical path for the trans-mission of telecommunications signals.

(2) Metallic cable. This subsidiaryrecord category shall include the origi-nal cost of single or paired conductorcable, wire and other associated mate-rial used in constructing a physicalpath for the transmission of tele-communications signals.

(b) The cost of permits and privilegesfor the construction of cable and wirefacilities shall be included in the ac-count chargeable with such construc-tion.

§ 32.2422 Underground cable.(a) This account shall include the

original cost of underground cable in-stalled in conduit and of other materialused in the construction of such plant.Subsidiary record categories, as de-fined below, are to be maintained fornonmetallic underground cable andmetallic underground cable.



(b) The cost of pumping water out ofmanholes and of cleaning manholes andducts in connection with constructionwork and the cost of permits and privi-leges for the construction of cable andwire facilities shall be included in theaccount chargeable with such construc-tion.

(c) The cost of drop and block wiresserved by underground cable shall beincluded in Account 2423, Buried Cable.

(d) The cost of cables leading fromthe main distributing frame or equiva-lent to central office equipment shallbe included in the appropriate switch-ing, transmission or other operationsasset account.

§ 32.2423 Buried cable.

(a) This account shall include theoriginal cost of buried cable as well asthe cost of other material used in theconstruction of such plant. This ac-count shall also include the cost oftrenching for and burying cable run inconduit not classifiable to Account2441, Conduit Systems. Subsidiaryrecord categories, as defined below, areto be maintained for nonmetallic bur-ied cable and metallic buried cable.




§ 32.2424 Submarine cable.

(a) This account shall include theoriginal cost of submarine cable andother material used in the constructionof such plant. Subsidiary record cat-egories, as defined below, are to bemaintained for nonmetallic submarinecable and metallic submarine cable.



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(b) The cost of permits and privilegesfor the constructon of cable and wirefacilities shall be included in the ac-count chargeable with such construc-tion.

§ 32.2425 Deep sea cable.

(a) This account includes the originalcost of deep sea cable and other mate-rial used in the construction of suchplant. Subsidiary record categories, asdefined below, are to be maintained fornonmetallic deep sea cable and metal-lic deep sea cable.


(2) Metallic cable. This subisidaryrecord category shall include the origi-nal cost of single or paired conductorcable, wire and other associated mate-rial used in constructing a physicalpath for the transmission of tele-communications signals.


§ 32.2426 Intrabuilding network cable.

(a) This account shall include theoriginal cost of cables and wires lo-cated on the company’s side of the de-marcation point or standard networkinterface inside subscribers’ buildingsor between buildings on one customer’ssame premises. Intrabuilding networkcables are used to distribute networkaccess facilities to equipment rooms,cross-connection or other distributionpoints at which connection is madewith customer premises wiring. Sub-sidiary record categories, as definedbelow, are to be maintained for non-metallic intrabuilding network cableand metallic intrabuilding networkcable.




(c) Intrabuilding network cable doesnot include the cost of cables or wireswhich are classifiable as network ter-minating wire, nor the cables or wiresfrom the demarcation point or stand-ard network interface to subscribers’stations.

§ 32.2431 Aerial wire.(a) This account shall include the

original cost of bare line wire andother material used in the constructionof such plant.


(c) The cost of drop and block wiresserved by aerial wire shall be includedin Account 2421, Aerial Cable.

§ 32.2441 Conduit systems.(a) This account shall include the

original cost of conduit, whether un-derground, in tunnels or on bridges,which is reusable in place. It shall alsoinclude the cost of opening trenchesand of any repaving necessary in theconstruction of conduit plant.



440

47 CFR Ch. I (10–1–01 Edition)§ 32.2680

(c) The cost of protective coveringfor buried cable shall be charged to Ac-count 2423, Buried Cable, as appro-priate, unless such protective coveringis reusable in place. The amounts thuscharged shall be included in the non-metallic buried cable or metallic bur-ied cable subsidiary record category, asappropriate.

(d) The cost of pipes or other protec-tive covering for underground drop andblock wires shall be included in Ac-count 2421, Aerial Cable, or Account2423, Buried Cable, as appropriate. Theamounts thus charged shall be includedin the nonmetallic or metallic sub-sidiary record category, as appropriate.

§ 32.2680 Amortizable tangible assets.This account shall be used by Class B

carriers to record amounts for propertyacquired under capital leases and theoriginal cost of leasehold improve-ments of the type of character requiredof Class A companies in Accounts 2681and 2682.

§ 32.2681 Capital leases.(a) This account shall include all

property acquired under a capitallease. A lease qualifies as a capitallease when one or more of the followingcriteria is met:

(1) By the end of the lease term, own-ership of the leased property is trans-ferred to the leasee.

(2) The lease contains a bargain pur-chase option.

(3) The lease term is substantially(75% or more) equal to the estimateduseful life of the leased property. How-ever, if the beginning of the lease termfalls within the last 25% of the total es-timated economic life of the leasedproperty, including earlier years of use,this criterion shall not be used for pur-poses of classifying the lease.

(4) At the inception of the lease, thepresent value of the minimum leasepayments, excluding that portion ofthe payments representing executorycosts to be paid by the lessor, includingany profit thereon, equals or exceeds90% or more of the fair value of theleased property. However, if the begin-ning of the lease term falls within thelast 25% of the total estimated eco-nomic life of the leased property, in-cluding earlier years of use, this cri-

terion shall not be used for purposes ofclassifying the lease.

(b) All other leases are operatingleases.

(c) The amounts recorded in this ac-count at the inception of a capitallease shall be equal to the originalcost, if known, or to the present valuenot to exceed fair value, at the begin-ning of the lease term, of minimumlease payments during the lease term,excluding that portion of the paymentsrepresenting executory costs to be paidby the lessor, together with any profitthereon.

§ 32.2682 Leasehold improvements.

(a) This account shall include theoriginal cost of leasehold improve-ments made to telecommunicationsplant held under a capital or operatinglease, which are subject to amortiza-tion treatment. This account shall alsoinclude those improvements which willrevert to the lessor.

(b) Improvements to leased tele-communications plant which are of arelatively minor cost or short life orfor which the period of the lease is oneyear or less shall be charged to the ac-count chargeable with the cost of re-pairs to such plant.

(c) Amounts contained in this ac-count shall be amortized over the termof the related lease.

§ 32.2690 Intangibles.

(a) This account shall include thecost of organizing and incorporatingthe company, the original cost of gov-ernment franchises, the original cost ofpatent rights, and other intangibleproperty having a life of more than oneyear and used in connection with thecompany’s telecommunications oper-ations.

(b) Subsidiary records for this ac-count shall include a description ofeach class of intangible property.

(c) The cost of other intangible as-sets, not including software, having alife of one year or less shall be chargeddirectly to Account 6564, AmortizationExpense—Intangible. Such intangiblesacquired at small cost may also becharged to Account 6564, irrespective oftheir term of life. The cost of softwarehaving a life of one year or less shall be


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charged directly to the applicable ex-pense account with which the softwareis associated.

(d) This account shall not includeany discounts on securities issued, norshall it include costs incident to nego-tiating loans, selling bonds or otherevidences of debt, or expenses in con-nection with the authorization,issuance, sale or resale of capitalstock.

(e) When charges are made to this ac-count for expenses incurred in mergers,consolidations, or reorganizations,amounts previously included in this ac-count on the books of the various com-panies concerned shall not be carriedover.

(f) Franchise taxes payable annuallyor more frequently shall be charged toAccount 7240, Operating Other Taxes.

(g) This account shall not include thecost of plant, material and supplies, orequipment furnished to municipalitiesor other governmental authoritieswhen given other than as initial con-sideration for franchises or similarrights. (Note also Account 6728, OtherGeneral & Administative.).

(h) This account shall not include theoriginal cost of easements, rights ofway, and similar rights in land havinga term of more than one year. Suchamounts shall be recorded in Account2111, Land, or in the appropriate out-side plant account (see Accounts 2411through 2441), or in the appropriatecentral office account (see Accounts2211 through 2232).


§ 32.3000 Instructions for balancesheet accounts—Depreciation andamortization.

(a) Depreciation and AmortizationSubsidiary Records:

(1) Subsidiary record categories shallbe maintained for each class of depre-ciable telecommunications plant in Ac-count 3100 for which there is a pre-scribed depreciation rate. (See also§ 32.2000(g)(1)(iii) of this subpart.)

(2) Subsidiary records shall be main-tained for Accounts 3400, 3410, 3420, 3500and 3600 in accordance with§ 32.2000(h)(4) of this subpart.

(b) Depreciation and AmortizationAccounts to be Maintained by Class A

and Class B telephone companies, as in-dicated:


Class Baccount

Depreciation and amortization:Accumulated depreciation .............. 3100 3100Accumulated depreciation—Held

for future telecommunicationsuse .............................................. 3200 3200

Accumulated depreciation—Nonop-erating ......................................... 3300 3300

Accumulated amortization—Tan-gible ............................................ .............. 3400

Accumulated amortization—Cap-italized leases ............................. 3410 ..............

Accumulated amortization—Lease-hold improvements ..................... 3420 ..............

Accumulated amortization—Intan-gible ............................................ 3500 3500

Accumulated amorization—Other .. 3600 3600


§ 32.3100 Accumulated depreciation.(a) This account shall include the ac-

cumulated depreciation associatedwith the investment contained in Ac-count 2001, Telecommunications Plantin Service.

(b) This account shall be creditedwith depreciation amounts concur-rently charged to Account 6561, Depre-ciation Expense—TelecommunicationsPlant in Service. (Note also Account3300, Accumulated Depreciation—Non-operating.)

(c) At the time of retirement of de-preciable operating telecommuni-cations plant, this account shall becharged with the original cost of theproperty retired plus the cost of re-moval and credited with the salvagevalue and any insurance proceeds re-covered.

(d) This account shall be creditedwith amounts charged to Account 1438,Deferred Maintenance and Retire-ments, as provided in § 32.2000(g)(4) ofthis subpart. This account shall becredited with amounts charged to Ac-count 6561 with respect to other thanrelatively minor losses in service val-ues suffered through terminations ofservice when charges for such termi-nations are made to recover the losses.

§ 32.3200 Accumulated depreciation—held for future telecommunicationsuse.

(a) This account shall include the ac-cumulated depreciation associated


442

47 CFR Ch. I (10–1–01 Edition)§ 32.3300

with the investment contained in Ac-count 2002, Property Held for FutureTelecommunications Use.

(b) This account shall be creditedwith amounts concurrently charged toAccount 6562, Depreciation Expense—Property Held for Future Tele-communications Use.

§ 32.3300 Accumulated depreciation—nonoperating.

(a) This account shall include the ac-cumulated amortization and deprecia-tion associated with the investmentcontained in Account 2006, Nonop-erating Plant.

(b) This account shall be creditedwith amortization and depreciationamounts concurrently charged to Ac-count 7360, Other Nonoperating In-come.

(c) When nonoperating plant not pre-viously used in telecommunicationsservice is disposed of, this accountshall be charged with the amount pre-viously credited hereto with respect tosuch property and the book cost of theproperty so retired less the amountchargeable to this account and less thevalue of the salvage recovered or theproceeds from the sale of the propertyshall be included in Account 7350,Gains or Losses on Disposition of Cer-tain Property. In case the property hadbeen used in telecommunications serv-ice previous to its inclusion in Account2006, Nonoperating Plant, the amountaccrued for depreciation thereon afterits retirement from telecommuni-cations service shall be charged to thisaccount and credited to Account 3100,Accumulated Depreciation, and the ac-counting for its retirement from Ac-count 2006 shall be in accordance withthat applicable to telecommunicationsplant retired.


§ 32.3400 Accumulated amortization—tangible.

This account shall be used by Class Bcompanies to record accumulated am-ortization of the type and character re-quired of Class A companies in Ac-counts 3410 and 3420.

§ 32.3410 Accumulated amortization—capitalized leases.

(a) This account shall include the ac-cumulated amortization associatedwith the investment contained in Ac-count 2681, Capital Leases.

(b) This account shall be creditedwith amounts for the amortization ofcapital leases concurrently charged toAccount 6563, Amortization Expense—Tangible. (Note also Account 3300, Ac-cumulated Depreciation—Nonop-erating.)

(c) When any item carried in Account2681 is sold, is relinquished, or is other-wise retired from service, this accountshall be charged with the cost of theretired item. Remaining amounts asso-ciated with the item shall be debited toAccount 7160, Other Operating Gainsand Losses, or Account 7360, OtherNonoperating Income, as appropriate.

§ 32.3420 Accumulated amortization—leasehold improvements.

(a) This account shall include the ac-cumulated amortization associatedwith the investment contained in Ac-count 2682, Leasehold Improvements.

(b) This account shall be creditedwith amounts for the amortization ofleasehold improvements concurrentlycharged to Account 6563, AmortizationExpense—Tangible. (Note also Account3300, Accumulated Depreciation—Non-operating.)

(c) When any item carried in Account2682 is sold, is relinquished, or is other-wise retired from service, this accountshall be charged with the cost of theretired item. Remaining amounts asso-ciated with the item shall be debited toAccount 7360, Other Nonoperating In-come.

§ 32.3500 Accumulated amortization—intangible.

(a) This account shall include the ac-cumulated amortization associatedwith the investment contained in Ac-count 2690, Intangibles.

(b) This account shall be creditedwith amortization amounts concur-rently charged to Account 6564, Amor-tization Expense—Intangible. (Notealso Account 3300, Accumulated Depre-ciation—Nonoperating.)


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(c) When any item carried in Account2690, other than software, is sold, relin-quished, or otherwise retired from serv-ice, this account shall be charged withthe cost of the retired item. Remainingamounts associated with the item shallbe debited to Account 7360, Other Non-operating Income.

(d) When software that is classifiedto Account 2690 is sold, relinquished, orotherwise retired from service, this ac-count shall be credited, and Account6564, Amortization expense—intangible,shall be charged with the unamortizedcost of the existing software.


§ 32.3600 Accumulated amortization—other.

(a) This account shall include the ac-cumulated amortization associatedwith the investment contained in Ac-count 2005, Telecommunications PlantAdjustment.

(b) This account shall be creditedwith amortization amounts concur-rently charged to Account 6565, Amor-tization Expense—Other. (Note also Ac-count 3300, Accumulated Deprecia-tion—Nonoperating.)

(c) When any item carried in Account2005 is sold, relinquished, or otherwiseretired from service, this account shallbe charged with the cost of the retireditem. Remaining amounts associatedwith the item shall be debited Account7360, Other Nonoperating Income.

§ 32.4000 Instructions for balancesheet accounts—liabilities andstockholders’ equity.

Liabilities and Stockholders’ EquityAccounts to be Maintained by Class Aand Class B telephone companies:


Class Baccount

Current liabilities:Accounts payable ........................... 4010 4010Notes payable ................................ 4020 4020Advance billing and payments ....... 4030 4030Customer’s deposits ....................... 4040 4040Current maturities—long-term debt 4050 4050Current maturities—capital leases 4060 4060Income taxes—accrued .................. 4070 4070Other taxes—accrued .................... 4080 4080Net Current Deferred Operating In-

come Taxes ................................ 4100 4100Net Current Deferred Nonoperating

Income Taxes ............................. 4110 4110Other accrued liabilities .................. 4120 4120


Class Baccount

Other current liabilities ................... 4130 4130Long-term debt:

Funded debt ................................... 4210 4210Premium on long-term debt ........... 4220 4220Discount on long-term debt ............ 4230 4230Reacquired debt ............................. 4240 4240Obligations under capital leases .... 4250 4250Advances from affiliated compa-

nies ............................................. 4260 4260Other long-term debt ...................... 4270 4270

Other liabilities and deferred credits:Other long-term liabilities ............... 4310 4310Unamortized operating investment

tax credits—net ........................... 4320 4320Unamortized nonoperating invest-

ment tax credits—net .................. 4330 4330Net noncurrent deferred operating

income taxes ............................... 4340 4340Net deferred tax liability adjust-

ments .......................................... 4341 4341Net noncurrent deferred nonop-

erating income taxes .................. 4350 4350Other deferred credits .................... 4360 4360Deferred tax regulatory liability ...... 4361 4361Other jurisdictional liabilities and

deferred credits—net .................. 4370 4370Stockholders’ equity:

Capital stock ................................... 4510 4510Additional paid-in capital ................ 4520 4520Treasury stock ................................ 4530 4530Other capital ................................... 4540 4540Retained earnings .......................... 4550 4550


§ 32.4010 Account payable.

(a) This account shall include allamounts currently due to others for re-curring trade obligations, and not pro-vided for in other accounts, such asthose for traffic settlements, materialand supplies, repairs to telecommuni-cations plant, matured rents, and in-terest payable under monthly settle-ments on short-term loans, advances,and open accounts. It shall also includeamounts of taxes payable that havebeen withheld from employees’ sala-ries.

(b) Subsidiary record categories shallbe maintained for this account in orderthat the company may separately re-port the amounts contained hereinthat relate to nonaffiliates and affili-ates. Such subsidiary record categoriesshall be reported as required by Part 43of this Commission’s Rules and Regula-tions.

(c) There shall be included herein ac-counts payable arising from sharing ofrevenues.


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47 CFR Ch. I (10–1–01 Edition)§ 32.4020

§ 32.4020 Notes payable.

(a) This account shall include theface amount of notes, drafts, and otherevidences of indebtedness issued or as-sumed by the company (except interestcoupons) which are payable on demandor not more than one year or less fromdate of issue.

(b) Subsidiary record categories shallbe maintained for this account in orderthat the company may separately re-port the amounts contained hereinthat relate to nonaffiliates and affili-ates. Such subsidiary record categoriesshall be reported as required by Part 43of this Commission’s Rules and Regula-tions.

(c) If any part of an obligation, other-wise includable in this account ma-tures more than one year from date ofissue, it shall be included in Account4210, Funded Debt, 4260, Advances fromAffiliated Companies, or other appro-priate account.

(d) The records supporting the en-tries to this account shall be kept sothat the company can furnish completedetails as to each note, when it isissued, the consideration received, andwhen it is payable.

§ 32.4030 Advance billing and pay-ments.

This account shall include theamount of advance billing creditable torevenue accounts in future months;also advance payments made by pro-spective customers prior to the estab-lishment of service. Amounts includedin this account shall be credited to theappropriate revenue accounts in themonths in which the service is ren-dered or cleared from this account asrefunds are made.

§ 32.4040 Customers’ deposits.

(a) This account shall include theamount of cash deposited with thecompany by customers as security forthe payment for telecommunicationsservice.

(b) Advance payments made by pro-spective customers prior to the estab-lishment of service shall be credited toAccount 4030, Advance Billing and Pay-ments.

§ 32.4050 Current maturities—long-term debt.

This account shall include theamount (including any obligations forpremiums) of long-term debt maturedand unpaid without any specific agree-ment for extension of maturity, includ-ing unpresented bonds drawn for re-demption through the operation ofsinking and redemption fund agree-ments.

§ 32.4060 Current maturities—capitalleases.

This account shall include the cur-rent portion of obligations applicableto property obtained under capitalleases.

§ 32.4070 Income taxes—accrued.(a) This account shall be credited or

charged and the following accountsshall be charged or credited with theoffsetting amount of current year in-come taxes (Federal, state and local)accrued during the period or adjust-ments to prior accruals:

7220 Operating Federal Income Taxes7230 Operating State and Local In-

come Taxes7420 Nonoperating Federal Income

Taxes7430 Nonoperating State and Local In-

come Taxes7630 Current Income Tax Effect of Ex-

traordinary Items—Net

(b) If significant, current year in-come taxes paid in advance shall be re-classified to Account 1300, PrepaidTaxes.

§ 32.4080 Other taxes—accrued.(a) This account shall be credited or

charged and Account 7240, OperatingOther Taxes, or 7440, NonoperatingOther Taxes, or, for payroll relatedcosts, the appropriate expense accountsshall be charged or credited for alltaxes, other than Federal, State andlocal income taxes, accrued or adjustedfor previous accruals during the period.Among the taxes includable in this ac-count are property, gross receipts,franchise, capital stock, social securityand unemployment taxes.

(b) Taxes paid in advance of the pe-riod in which they are chargeable to in-come shall be included in the prepaid


445


taxes Account 1300, Prepaid Taxes, or1410, Other Noncurrent Assets, as ap-propriate.

§ 32.4100 Net current deferred oper-ating income taxes.

(a) This account shall include thebalance of income tax expense relatedto current items from regulated oper-ations which have been deferred tolater periods as a result of the normal-ized method of accounting for tax dif-ferentials authorized by this Commis-sion and not provided for elsewhere.

(b) As regulated assets or liabilitieswhich generated the deferred incometax are reclassified from long-term ornoncurrent status to current, the ap-propriate deferred income tax shall bereclassified from Account 4340, NetNoncurrent Deferred Operating IncomeTaxes, to this account.

(c) This account shall be debited orcredited with the amount being debitedor credited to Account 7250, ProvisionFor Deferred Operating Income Taxes—Net, in accordance with that account’sdescription and § 32.22 of subpart B.

(d) The classification of deferred in-come taxes as current or noncurrentshall follow the classification of theasset or liability that gave rise to thedeferred income tax. If there is no re-lated asset or liability, classificationshall be based on the expected turn-around of the temporary differences.

(e) Subsidiary record categories shallbe maintained in order that the com-pany may separately report theamounts contained herein that areproperty related and those that arenonproperty related. Such subsidiaryrecord categories shall be reported asrequired by Part 43 of this Commis-sion’s Rules and Regulations.


§ 32.4110 Net current deferred nonop-erating income taxes.

(a) This account shall include thebalance of income tax expense result-ing from comprehensive interpretedtax allocation which has been deferredto later periods.

(b) As other assets or liabilitieswhich generated the deferred incometax are reclassified from long-term ornoncurrent status to current, the ap-

propriate deferred income tax shall bereclassified from Account 4350, NetNoncurrent Deferred Nonoperating In-come Taxes, to this account.

(c) This account shall be debited orcredited with the amount being cred-ited or debited to Account 7450, Provi-sion For Deferred Nonoperating IncomeTaxes—Net, in accordance with thataccount’s description and § 32.22 of Sub-part B.

(d) This account shall also includethe balance of the income taxes (Fed-eral, state and local) related to currentextraordinary items which have beendeferred to later periods resulting fromcomprehensive interperiod tax alloca-tion.

(e) As the extraordinary item whichgenerated the deferred income tax be-comes current, the appropriate de-ferred income tax shall be reclassifiedfrom Account 4350, Net Noncurrent De-ferred Nonoperating Income Taxes, tothis account.

(f) This account shall be debited orcredited with the amount being cred-ited and debited to Account 7640, Provi-sion for Deferred Income Tax Effect ofExtraordinary Items—Net.

(g) The classification of deferred in-come taxes as current or noncurrentshall follow the classification of theasset or liability that gave rise to de-ferred income tax. If there is no relatedasset or liability, classification shallbe based on the expected turnaround ofthe temporary differences.

(h) Subsidiary record categories shallbe maintained in order that the com-pany may separately report theamounts contained herein that areproperty related and those that arenonproperty related. Such subsidiaryrecord categories shall be reported asrequired by part 43 of this Commis-sion’s Rules and Regulations.


§ 32.4120 Other accrued liabilities.

(a) This account shall include theamount of wages, compensated ab-sences, interest on indebtedness of thecompany, dividends on capital stock,and rents accrued to the date for whichthe balance sheet is made, but not pay-able until after that date.


446

47 CFR Ch. I (10–1–01 Edition)§ 32.4130

(b) This account shall be maintainedso as to show separately the amountand nature of the items accrued to thedate of the balance sheet.

(c) Matured rents, dividends and in-terest shall be included in Account4010, Accounts Payable.

(d) Interest payable under monthlysettlements on short-term loans, ad-vances, and open accounts shall be in-cluded in Account 4010.

§ 32.4130 Other current liabilities.This account shall include liabilities

of current character which are not in-cludable in Accounts 4010 through 4120.

§ 32.4210 Funded debt.(a) This account shall include the

total face amount of unmatured debt,maturing more than one year fromdate of issue, issued by the companyand not retired, and the total faceamount of similar unmatured debt ofother companies, the payment of whichhas been assumed by the company, in-cluding funded debt the maturity ofwhich has been extended by specificagreement.

(b) This account shall include suchitems as mortgage bonds, collateraltrust bonds, income bonds, convertibledebt, debt securities with detachablewarrants and other similar obligationsmaturing more than one year fromdate of issue.

(c) In the case of debt securities withdetachable warrants this account shallinclude only the face amount of the se-curity at the time of issuance. Thevalue of detachable warrants shall becharged to either Account 4220, Pre-mium on Long-Term Debt, or Account4230, Discount on Long-Term Debt, asappropriate, and credited to Account4520, Additional Paid-in Capital, in thecase of capital stock warrants or re-tained in this account as a separatelyidentifiable amount in the case of de-tachable long-term debt warrants. Nosimilar allocation shall be made for theissuance of either convertible debt ordebt securities with non-detachablewarrants.

(d) Subsidiary records shall be main-tained for each issue.

(e) Securities maturing in one yearor less, including securities maturingserially, shall be included in Account

4050, Current Maturities—Long-TermDebt.

(f) Investment advances, includingthose represented by notes, shall be in-cluded in Account 4270, Other Long-Term Debt.

§ 32.4220 Premium on long-term debt.

(a) This account shall include thepremium associated with all classes oflong-term debt. Premium, as applied tosecurities issued or assumed by thecompany, means the excess of the cur-rent money value received at their saleover the sum of their book or faceamount and interest or dividends ac-crued at the date of the sale.

(b) Amounts included in this accountshall be amortized monthly by the in-terest method and credited to Account7510, Interest on Funded Debt. (Notealso § 32.4210(c) of this subpart.)

(c) Subsidiary records shall be main-tained to identify the premium attrib-utable to each issue.

§ 32.4230 Discount on long-term debt.

(a) This account shall include the dis-count associated with all classes oflong-term debt. Discount, as applied tosecurities issued or assumed by thecompany, means the excess of the bookor face amount of the securities plusinterest or dividends accrued at thedate of the sale over the current moneyvalue of the consideration received attheir sale.

(b) Amounts included in this accountshall be amortized monthly by the in-terest method and charged to Account7510, Interest On Funded Debt. (Notealso § 32.4210(c) of this subpart.)

(c) Subsidiary records shall be main-tained to identify the discount attrib-utable to each issue.

§ 32.4240 Reacquired debt.

This account shall include the faceamount of debt reacquired prior to ma-turity that has not been retired. Gainor loss shall be recognized at the timeof reacquisition by credits or chargesto Account 7360, Other NonoperatingIncome, except that material gains orlosses shall be treated as extraor-dinary. (See Accounts 7610, Extraor-dinary Income Credits, and 7620, Ex-traordinary Income Charges.)


447


§ 32.4250 Obligations under capitalleases.

(a) This account shall include thenoncurrent portion of obligations ap-plicable to property obtained undercapital leases.

(b) Amounts subject to current set-tlement shall be included in Account4060, Current Maturities—CapitalLeases.

§ 32.4260 Advances from affiliatedcompanies.

(a) This account shall include theamount of advance from affiliated com-panies.

(b) Amounts due affiliated companieswhich are subject to current settle-ment shall be included in Account 4010or 4020, as appropriate.

§ 32.4270 Other long-term debt.This account shall include long-term

debt not provided for elsewhere.

§ 32.4310 Other long-term liabilities.(a) This account shall include

amounts accrued to provide for suchitems as unfunded pensions (if actuari-ally determined), death benefits, de-ferred compensation costs and otherlong-term liabilities not provided forelsewhere.

(b) Subsidiary records shall be main-tained to identify the nature of theitems included herein.

§ 32.4320 Unamortized operating in-vestment tax credits—net.

(a) This account shall be credited andAccount 7210, Operating InvestmentTax Credits—Net, should be debitedwith investment tax credits generatedfrom qualified expenditures related toregulated operations which the com-pany defers rather than recognizes cur-rently in income.

(b) This account shall be debited andAccount 7210 credited with a propor-tionate amount determined in relationto the period of time used for com-puting book depreciation on the prop-erty to which the tax credit relates.

§ 32.4330 Unamortized nonoperatinginvestment tax credits—net.

(a) This account shall be credited andAccount 7410, Nonoperating InvestmentTax Credits—Net, shall be debited with

investment tax credits generated fromqualified expenditures related to otheroperations which the company haselected to defer rather than recognizecurrently in income.

(b) This account shall be debited andAccount 7410 credited with a propor-tionate amount determined in relationto the useful book life of the propertyto which the tax credit relates.

§ 32.4340 Net noncurrent deferred op-erating income taxes.

(a) This account shall include thebalance of income tax expense relatedto noncurrent items from regulated op-erations which have been deferred tolater periods as a result of comprehen-sive interperiod tax allocation relatedto temporary differences that arisefrom regulated operations.

(b) This account shall be credited ordebited, as appropriate, and Account7250, Provision for Deferred OperatingIncome Taxes—Net, shall reflect theoffset for the tax effect of revenues andexpenses from regulated operationswhich have been included in the deter-mination of taxable income, but whichwill not be included in the determina-tion of book income or for the tax ef-fect of revenues and expenses from reg-ulated operations which have been in-cluded in the determination of book in-come prior to the inclusion in the de-termination of taxable income.

(c) As regulated assets or liabilitieswhich generated the prepaid incometax or deferred income tax are reclassi-fied from long-term or noncurrent sta-tus to current status, the appropriatedeferred income tax shall be reclassi-fied from this account to Account 4100,Net Current Deferred Operating IncomeTaxes.

(d) The classification of deferred in-come taxes as current or noncurrentshall follow the classification of theasset or liability that gave rise to thedeferred income tax. If there is no re-lated asset or liability, classificationshall be based on the expected turn-around of the temporary difference.

(e) Subsidiary record categories shallbe maintained in order that the com-pany may separately report theamounts contained herein that areproperty related and those that arenonproperty related. Such subsidiary


448

47 CFR Ch. I (10–1–01 Edition)§ 32.4341

record categories shall be reported asrequired by Part 43 of this Commis-sion’s Rules and Regulations.


§ 32.4341 Net deferred tax liability ad-justments.

(a) This account shall include theportion of deferred income tax chargesand credits pertaining to Accounts32.1437, Deferred Tax Regulatory Asset,and 32.4361, Deferred Tax RegulatoryLiability.

(b) This account shall be used torecord adjustments to the accumulateddeferred tax liabilities recorded in Ac-counts 4100 and 4340 for:

(1) Tax effects of temporary dif-ferences accounted for under the flow-through method or treated as perma-nent differences.

(2) Reclassification attributable tochanges in tax rates (Federal, state andlocal). As tax rates increase or de-crease, the offsetting debit or creditwill be recorded in Account 1437 and/or4361 as required by paragraph (a) of thissection.

(3) The tax effects of carryforwardnet operating losses and carryforwardinvestment tax credits expected to re-duce future taxes payable that are re-ported in published financial state-ments.

(4) Reversals of the tax effects ofcarryforward net operating losses andcarryforward investment tax creditspreviously recorded in this account atthe time they become recognized as re-ductions in current taxable income andcurrent taxes payable on tax returns.

(c) This account shall be exemptfrom the vintage year detail record re-quirements of § 32.22(e)(2).

[59 FR 9419, Feb. 28, 1994]

§ 32.4350 Net noncurrent deferred non-operating income taxes.

(a) This account shall include thebalance of income tax expense (Fed-eral, state, and local) that has been de-ferred to later periods as a result ofcomprehensive interperiod allocationrelated to nonoperating differences.

(b) This account shall be credited ordebited, as appropriate, and Account7450, Provision for Deferred Nonop-

erating Income Taxes—Net, shall re-flect the offset for the tax effect of rev-enues from other operations and ex-traordinary items and nonoperating ex-penses which have been included in thedetermination of taxable income, butwhich will not be included in the deter-mination of book income or for the taxeffect of nonoperating expenses and ex-traordinary items and nonoperating in-come which have been included in thedetermination of book income prior tothe inclusion in the determination oftaxable income.

(c) As other assets or liabilitieswhich generated the prepaid incometax or deferred income tax are reclassi-fied from long-term or non-current sta-tus to current status, the appropriatedeferred income tax shall be reclassi-fied from this account to account 4110,Net Current Deferred Nonoperating In-come Taxes.

(d) This account shall also includethe balance of the income tax effect(Federal, State and local) related tononcurrent extraordinary items whichhave been included in the determina-tion of taxable income in a period dif-ferent from when it is included in thedetermination of book income, that is,more than one year.

(e) This account shall be charged orcredited with the contra amount re-corded to Account 7640, Provision forDeferred Income Tax Effect of Extraor-dinary Items—Net, in accordance with§ 32.22 of subpart B.

(f) As the extraordinary item whichgenerated the deferred income tax be-comes current, the appropriate de-ferred income tax shall be reclassifiedfrom this account to Account 4110, NetCurrent Deferred Nonoperating IncomeTaxes.

(g) The classificaiton of deferred in-come taxes as current or noncurrentshall follow the classification of theasset or liability that gave rise to thedeferred income tax. If there is no re-lated asset or liability, classificationshall be based on the expected turn-around of the temporary difference.

(h) Subsidiary record categories shallbe maintained in order that the com-pany may separately report theamounts contained herein that areproperty related and those that arenonproperty related. Such subsidiary


449


record categories shall be reported asrequired by part 43 of this Commis-sion’s Rules and Regulations.


§ 32.4360 Other deferred credits.This account shall include the

amount of all deferred credits not pro-vided for elsewhere, such as amountsawaiting adjustment between accounts;and revenue, expense, and incomeitems in suspense.

§ 32.4361 Deferred tax regulatory li-ability.

(a) This account shall includeamounts of probable future revenue re-ductions attributable to future de-creases in taxes payable. As reductionsoccur, amounts recorded in thisamount shall be reduced with a debitentry and a credit entry to Account4341, Net Deferred Tax Liability Ad-justments.

(b) This account shall also be ad-justed for the impact of prospective taxrate changes on the deferred tax liabil-ity for those temporary differences un-derlying its existing balance. If the cu-mulative effect on such adjustmentsreduces the account to a net debit bal-ance, such balance shall be reclassifiedto Account 1437.

[59 FR 9419, Feb. 28, 1994]

§ 32.4370 Other jurisdictional liabil-ities and deferred credits—net.

This account shall include the cumu-lative impact on liabilities and de-ferred credits of the jurisdictional rate-making practices which vary fromthose of this Commission. All entriesrecorded in this account shall be re-corded net of any applicable incometax effects and shall be supported byappropriate subsidiary records wherenecessary as provided for in § 32.13 ofsubpart B.

§ 32.4510 Capital stock.(a) This account shall include the par

value, stated amount, or in the case ofno-par stock, the amount received forcapital stock issued and outstanding.

(b) Subsidiary records shall be main-tained so as to show separately eachclass of stock.

(c) This account shall be chargedwith the book amount of any stock re-tired.

§ 32.4520 Additional paid-in capital.

(a) This account shall include the dif-ference between the net proceeds (in-cluding discount, premium and stockissuance expense) received from theissuance of capital stock and theamount includable in Account 4510,Capital Stock, unless such differenceresults in a debit balance for that classof stock, in which case the amountshall be charged to Account 4550, Re-tained Earnings.

(b) This account shall also includegains arising from the retirement andcancellation of capital stock. Lossesfrom the retirement and cancellationof capital stock shall be charged to thisaccount to the extent that there existcredits in this account for the sameclass of stock; otherwise to Account4550.

§ 32.4530 Treasury stock.

This account shall include the cost ofthe company’s own capital stock whichhas been issued and subsequently reac-quired but not retired or resold.

§ 32.4540 Other capital.

This account shall include amountswhich are credits arising from the do-nation by stockholders of the com-pany’s capital stock, capital recordedupon the reogranization or recapital-ization of the company and temporarydeclines in the value of marketable se-curities held for investment purposes.(See also Account 1401 Investment inAffiliated Companies.)

§ 32.4550 Retained earnings.

(a) This account shall include the un-distributed balance of retained earn-ings derived from the operations of thecompany and from all other trans-actions not includable in the other ac-counts appropriate for inclusion ofstockholders’ equity.

(b) Subsidiary records shall be main-tained wherein are recorded all entriesto retained earnings during the yearsuch that the detail of the entries maybe disclosed to the Commission.


450

47 CFR Ch. I (10–1–01 Edition)§ 32.4999

Subpart D—Instructions ForRevenue Accounts

§ 32.4999 General.(a) Purpose of revenue accounts. The

revenue accounts are intended to in-clude the actual cash inflows (orequivalents) that have or will occur asa result of the company’s ongoingmajor or central operations during theperiod. They will include the revenueswhich arise from furnishing regulatedtelecommunications services to others,from directory advertising, rentals oftelecommunications assets and fromproviding other services which are di-rectly associated with the provision ofregulated telecommunications serv-ices.

(b) Deductions from revenue. Correc-tions of overcharges, authorized re-funds of overcollections previouslycredited to revenue, authorized refundsand adjustments on account of failurein service, and other corrections shallbe charged to the revenue account pre-viously credited with the amounts in-volved.

(c) Commissions. Commissions paid toothers or employees in place of com-pensation or salaries for services ren-dered, such as public telephone com-missions, shall be charged to Account6623, Customer Services, and not to therevenue accounts. Other commissionsshall be charged to the appropriate ex-pense accounts.

(d) Revenue recognition. Credits shallbe made to the appropriate revenue ac-counts when such revenue is actuallyearned. When the billing cycle encom-passes more than one accounting pe-riod, adjustments are necessary toproperly recognize the revenue applica-ble to the current accounting periodunder report. Revenues recorded underthe terms of two-tier contracts orother variable payment plans should bedeferred, if necessary, and recognizedratably with expenses over the terms ofthe related contract. Any amounts de-ferred shall be credited to Account4360, Other Deferred Credits.

(e) Contractual arrangements. Chargesand credits resulting from activitiesassociated with the provisions of regu-lated telecommunications servicesshall be recorded in a manner con-sistent with the nature of the under-

lying contractual arrangements. Thecharges and credits resulting from ex-pense sharing or apportionment ar-rangements associated with the provi-sion of regulated telecommunicationsservices shall be recorded in the de-tailed regulated accounts. Charges andcredits resulting from revenue settle-ment agreements or other revenuepooling arrangements associated withthe provision of regulated tele-communications services shall be in-cluded in the appropriate revenue ac-counts. Those charges and credits re-sulting from contractual revenue pool-ing and/or sharing agreements shall berecorded in each prescribed revenue ac-count and prescribed subsidiary recordcategories thereof to the extent thateach is separately identifiable in thesettlement process. It is not intendedthat settlement amounts be allocatedor generally spread to the individualrevenue accounts where they are notseparately identifiable in the settle-ment process. When the settlementamounts are not identifiable by a rev-enue account they shall be recorded inAccount 5069, Other Local ExchangeRevenue Settlements, 5129, Other LongDistance Private Network RevenueSettlements, 5169, Other Long DistanceRevenue Settlements, or 5269, OtherRevenue Settlements, as appropriate.

(f) Subsidiary records—jurisdictionalsubdivisions. (1) Subsidiary record cat-egories shall be maintained in orderthat the company may separately re-port revenues derived from charges im-posed under intrastate, interstate andinternational tariff filings. Such sub-sidiary record categories shall be re-ported as required by part 43 of thisCommission’s Rules and Regulations.

(2) This jurisdictional subsidaryrecord requirement applies to all ac-counts except the Network AccessServices Group where separate ac-counts have been established for Fed-eral and state access revenues.

(g) Structure of revenue accounts. (1)The revenue section of the system ofaccounts shall be organized by revenuegroup summary account, account andsubsidiary record category (if re-quired).

(2) The revenue section of this sys-tem of accounts shall be comprised offive major groups—Local Network


451


Services Revenues, Network AccessServices Revenues, Long Distance Net-work Services Revenues, MiscellaneousRevenues, and Uncollectible Revenues,which shall be considered as a revenuegroup for the purposes of the construc-tion of the system.

(3) Summary accounts within rev-enue groups shall be used to describeaggregations of two or more accountshaving a certain commonality. Sum-mary accounts are assigned numbers sothat they may be used by Class A tele-phone companies to aggregate accountsfor reporting purposes; and, as specifi-cally directed, so that they may beused as accounts by Class B telephonecompanies.

(4) Accounts shall be maintained asprescribed in this Section subject tothe conditions described in section32.13 of subpart B. In certain instances,subsidiary record categories may be re-quired below the account level by thissystem of accounts or by Commissionorder.

(h) Local Network Services revenues.Local Network Services revenues (Ac-counts 5000–5069) shall include revenuesderived from the provision of serviceand equipment entirely within thebasic service area. That area is definedas the normal boundaries for local call-ing plus Extended Area Service (EAS)boundaries as they apply to that serv-ice. It includes revenues derived fromboth local private network service andlocal public network services as well asfrom customer premises facilities serv-ices. Local revenues include associatedcharges such as one-time service con-nection or termination charges andsecondary features such as call wait-ing.

(i) Network Access revenues. (1) Net-work Access revenues (Accounts 5080–5084) shall include revenues derivedfrom the provision of exchange accessservices to an interexchange carrier orto an end user of telecommunicationsservices beyond the exchange carrier’snetwork.

(2) Billing and collections serviceprovided under exchange access tariffsshall be included in the MiscellaneousRevenues Group.

(j) Long Distance Network Service reve-nues. Long Distance Network Servicerevenues shall include revenues derived

from the provision of services beyondthe basic service area, whether mes-sage or flat-rate and including publicnetwork switching as well as private.

(k) Miscellaneous revenues. Miscella-neous revenues are those revenues de-rived from the provision of regulatedproducts and services provided undertariff or contract but not containedelsewhere. They shall also include op-erating revenue derived from activitiesperformed incident to the company’stariffed telecommunications oper-ations which, though non-tariffed, areincluded in the regulatory process.

(l) Nonregulated revenues. The non-regulated revenue account shall beused for nonregulated operating reve-nues when a nonregulated activity in-volves the common or joint use of as-sets or resources in the provision ofregulated and nonregulated products orservices as required in § 32.23(c) of thissubpart. Revenues from nontariffed ac-tivities offered incidental to tariffedservices may be accounted for as regu-lated revenues, provided the activitiesare outgrowths of regulated operationsand the revenues do not exceed, in theaggregate, one percent of total reve-nues for three consecutive years. Suchactivities must be listed in the Com-mission-approved Cost Allocation Man-ual for any company required to file aCost Allocation Manual.

(m) Uncollectible revenues.Uncollectible revenues shall includeamounts originally credited to the rev-enue accounts which have proved im-practicable of collection.

(n) Revenue accounts to be maintained.


Class Baccount

Local Network Services Revenues:Basic local service revenue ........ 1 5000 5000Basic area revenue .................... 5001 ................Optional extended area revenue 5002 ................Cellular mobile revenue .............. 5003 ................Other mobile services revenue .. 5004 ................Local private line revenue .......... 5040 ................Customer premises revenue ...... 5050 ................Other local exchange revenue ... 5060 ................Other local exchange revenue

settlements .............................. 5069 ................Network Access Services Revenues:

Network access revenue ............ 1 5080 5080End user revenue ....................... 5081 5081Switched access revenue ........... 5082 5082Special access revenue ............. 5083 5083State access revenue ................. 5084 5084

Long Distance Network ServicesRevenues:

Long distance message revenue 5100 5100


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47 CFR Ch. I (10–1–01 Edition)§ 32.5000


Class Baccount

Unidirectional long distance rev-enue ........................................ 1 5110 ................

Long distance inward-only rev-enue ........................................ 5111 ................

Long distance outward-only rev-enue ........................................ 5112 ................

Long distance private networkrevenue ................................... 1 5120 ................

Subvoice grade long distanceprivate network revenue ......... 5121 ................

Voice grade long distance pri-vate network revenue ............. 5122 ................

Audio program grade long dis-tance private network revenue 5123 ................

Video program grade long dis-tance private network revenue 5124 ................

Digital transmission long dis-tance private network revenue 5125 ................

Long distance private networkswitching revenue ................... 5126 ................

Other long distance private net-work revenue .......................... 5128 ................

Other long distance private net-work revenue settlements ....... 5129 ................

Other long distance revenue ...... 5160 ................Other long distance revenue set-

tlements ................................... 5169 ................Miscellaneous Revenues:

Miscellaneous revenue ............... ................ 5200Directory revenue ....................... 5230 ................Rent revenue .............................. 5240 ................Corporate operations revenue .... 5250 ................Miscellaneous revenue ............... 1 5260 ................Special billing arrangements rev-

enue ........................................ 5261 ................Customer operations revenue .... 5262 ................Plant operations revenue ........... 5263 ................Other incidental regulated rev-

enue ........................................ 5264 ................Other revenue settlements ......... 5269 ................Carrier billing and collection rev-

enue ........................................ 5270 ................Nonregulated Revenues:

Nonregulated operating revenue 5280 5280Uncollectible Revenues:

Uncollectible revenue ................. 1 5300 5300Uncollectible revenue—Tele-

communications ...................... 5301 ................Uncollectible revenue—Other ..... 5302 ................

1 To be used by Class A telephone companies to summa-rize accounts for reporting purposes.

[51 FR 43499, Dec. 2, 1986, as amended at 53FR 49322, Dec. 7, 1988; 59 FR 46930, Sept. 13,1994; 64 FR 50008, Sept. 15, 1999]

§ 32.5000 Basic local service revenue.

This account number shall be used byClass A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 5001 through 5004.Class B telephone companies shall usethis account for revenues of the typeand character required of Class A com-panies in Accounts 5001 through 5069.

§ 32.5001 Basic area revenue.(a) This account shall include rev-

enue derived from the provision ofbasic area message services such as flatrate services and measured services. In-cluded is revenue derived from non-op-tional extended area services. Also in-cluded is revenue derived from thebilled or guaranteed portion of semi-public services.

(b) Revenue derived from charges fornonpublished number or additional andboldfaced listings in the alphabeticalsection of the company’s telephone di-rectories shall be included in Account5230, Directory Revenue.

§ 32.5002 Optional extended area rev-enue.

This account shall include total rev-enue derived from the provision of op-tional extended area service.

§ 32.5003 Cellular mobile revenue.This account shall include message

revenue derived from cellular mobiletelecommunications systems con-nected to the public switched networkplaced between mobile units and otherstations within the mobile servicearea.

§ 32.5004 Other mobile services rev-enue.

(a) This account shall include mes-sage revenue derived from generalradio telecommunications systemsconnected to the public switched net-work placed between mobile units andother stations within the mobile serv-ice area, as well as revenue from mo-bile radio paging, mobile dispatching,and signaling services.

(b) Revenue from private mobile tele-phone services which do not have ac-cess to the public switched networkshall be included in Account 5264,Other Incidental Regulated Revenue.

§ 32.5040 Local private line revenue.This account shall include revenue

derived from local services that involvededicated circuits, private switchingarrangements, and/or predefined trans-mission paths, whether virtual or phys-ical, which provide communicationsbetween specific locations (e.g., point-to-point communications. It includesrevenue from subvoice grade, voice


453


grade, audio and video program grade,digital transmission and local privatenetwork switching as well as the rev-enue from administrative and oper-ational support services associatedwith private network services and fa-cilities, e.g., charges for company-di-rected testing, expedited installation,and service restoration priority.

§ 32.5050 Customer premises revenue.This account shall include revenue

derived from tariffed information origi-nation/termination plant. Included isrevenue derived from the provisionunder leasing arrangements of tariffedcustomer premises equipment (CPE),terminal equipment, station apparatusand large private branch exchanges aswell as tariffed nonrecurring chargesrelated solely to station apparatus.Also included are all tariffed chargesfor customer premises activities andfacilities not related solely to stationapparatus.

§ 32.5060 Other local exchange rev-enue.

This account shall include revenuefrom the provision of secondary fea-tures which are integrated with thetelecommunications network such ascall forwarding, call waiting and touch-tone line service. Also included is rev-enue derived from the provision of pub-lic announcement and other recordmessage services, directory assistanceand other call completion services (ex-cluding operator assisted basic longdistance calls), as well as revenue de-rived from central office related serv-ice connection and terminationcharges, and other non-premise cus-tomer specific charges associated withpublic network services. This accountshall also include local revenue notprovided for in other accounts.


§ 32.5069 Other local exchange rev-enue settlements.

This account shall include thecharges and credits resulting from con-tractual revenue pooling and/or sharingagreements for tariffed local networkservices only when they are not sepa-rately identifiable by local networkservices revenue accounts in the settle-

ment process. (See also § 32.4999(e) ofthis subpart.) To the extent that thecharges and credits resulting from asettlement process can be identified byLocal Network Services Revenue ac-count they shall be recorded in the ap-plicable account.

§ 32.5080 Network access revenue.(a) This account number shall be

used by Class A and Class B telephonecompanies to summarize for reportingpurposes the contents of Accounts 5081through 5084. It shall include revenuederived from the provision of exchangeaccess services to an interexchangecarrier or to an end user of tele-communications services beyond theexchange carrier’s network.

(b) Accounts 5081 through 5083 are forfederally tariffed access charges whileAccount 5084 is to be used for statetariffed access charges.

§ 32.5081 End user revenue.This account shall contain the feder-

ally tariffed monthly flat rate chargeassessed upon end users.

§ 32.5082 Switched access revenue.(a) This account shall consist of fed-

erally tariffed charges assessed tointerexchange carriers for access tolocal exchange facilities.

(b) Subsidiary record categories shallbe maintained in order that the com-pany may separately report theamounts contained herein that relateto limited pay telephone, carrier com-mon line, line termination, localswitching, intercept, information, com-mon transport and dedicated transport.Such subsidiary record categories shallbe reported as required by part 43 ofthis Commission’s Rules and Regula-tions.

§ 32.5083 Special access revenue.(a) This account shall include all fed-

erally tariffed charges assessed forother than end user or switched accesscharges referred to in Account 5081,End User Revenue, and Account 5082,Switched Access Revenue.

(b) Subsidiary record categories shallbe maintained in order that the com-pany may separately report theamounts contained herein that relateto recurring charges, nonrecurring


454

47 CFR Ch. I (10–1–01 Edition)§ 32.5084

charges and surcharges. Such sub-sidiary record categories shall be re-ported as required by part 43 of thisCommission’s Rules and Regulations.

§ 32.5084 State access revenue.(a) This account shall include all

state tariffed charges assessed by localexchange carriers upon interexchangecarriers and end users for access to thelocal exchange network for intrastatetelecommunications.

(b) Billing and collections servicesprovided under exchange access tariffsshall be included in Account 5270, Car-rier Billing and Collection Revenue.

§ 32.5100 Long distance message rev-enue.

(a) This account shall be used byClass A telephone companies for rev-enue derived from message servicesthat terminate beyond the basic serv-ice area of the originating wire centerand are individually prices. This in-cludes those message services whichutilize the public long distance switch-ing network and the basic subscriberaccess line. (See also Account 5111,Long Distance Inward-Only Revenue,and Account 5112, Long Distance-Out-ward Only Revenue.) It also includesthose long distance calls placed frommobile and public telephones, as wellas any charges for operator assistanceor special billing directly related tothe completion of a specific call. Thisaccount shall also include revenue de-rived from individually priced messageservices offered under calling plans(discounted long distance) which do notutilize dedicated access lines, as wellas those priced at the basic long dis-tance rates where a discounted tollcharge is on a per message basis. Anyrevenue derived from monthly or one-time charges for obtaining calling planservices shall be included in this ac-count.

(b) Class B telephone companies shalluse this account for revenues of thetype and character required of Class Acompanies in Accounts 5100 through5169.

§ 32.5110 Unidirectional long distancerevenue.

This account number shall be used byClass A telephone companies to sum-

marize for reporting purposes the con-tents of Accounts 5111 and 5112. It shallinclude revenue derived from long dis-tance services which permitunidirectional calls to a subscriberfrom specified service areas or whichpermit the subscriber to place tele-phone calls from one location to otherspecified services areas. It shall alsoinclude revenue derived from toll call-ing plans which embody flat-rate ormeasured time toll service. (See alsoAccount 5100, Long Distance MessageRevenue.)

§ 32.5111 Long distance inward-onlyrevenue.

This account shall include the rev-enue derived from long distance serv-ices which permit unidirectional callsto a subscriber from specified servicesareas (multipoint-to-point service).These calls require the use of dedicatedaccess lines connecting a subscriber’spremises and a designated central of-fice. These dedicated access lines aregenerally separate from those requiredfor the subscriber to place outwardcalls. The call is billed to the sub-scriber even though it is generally ini-tiated by the subscriber’s customer orcorrespondent.

§ 32.5112 Long distance outward-onlyrevenue.

This account shall include revenuederived from long distance serviceswhich permit the subscriber to placetelephone calls from one location toother specified service areas (point-to-multipoint service). These calls arecompleted without operator assistanceand require the use of a dedicated ac-cess line. The dedicated access line isgenerally separate from those requiredfor inward message services and cannotbe used to place calls within the basicservice area or calls outside the se-lected service areas. Outward calls arescreened and blocked to determinewhether the calls are within an author-ized service area.

§ 32.5120 Long distance private net-work revenue.

(a) This account number shall beused by Class A telephone companies tosummarize for reporting purposes thecontents of Accounts 5121 through 5129.


455


It shall include revenue derived fromservices extending beyond the basicservice area that involve dedicated cir-cuits, private switching arrangements,and/or predefined transmission paths,whether virtual or physical, which pro-vide communications between specificlocations (e.g., point-to-point commu-nications).

(b) Service connection charges, ter-mination charges, rearrangements andchanges, etc., shall be included in eachaccount to which they apply. Revenuederived from associated administrativeand operational support services shallbe included in Account 5128, OtherLong Distance Private Network Rev-enue.

§ 32.5121 Subvoice grade long distanceprivate network revenue.

This account which consists of rev-enue from narrow-band analog privatenetwork circuits and facilities fur-nished exclusively for record forms ofcommunications, such as teletype-writer, teletypesetter, telewriter, tick-er, Morse, signaling, remote metering,and supervisory services.

§ 32.5122 Voice grade long distanceprivate network revenue.

This account consists of revenuefrom private network circuits and fa-cilities (including multipurpose wide-band) which provide voice grade serv-ices for the transmission of analog sig-nals. It includes revenue from servicessuch as voice, data and telephoto com-munication, as well as remote meter-ing, supervisory control, miscellaneoussignaling and channels furnished forthe purpose of extending customer—provided communications systems. Itincludes revenue from the provision offacilities between customer premisesand (a) a serving office, (b) a carrierdistribution point or (c) an extensiondistribution channel, except when fur-nished as a subscriber access line underan unidirectional long distance service(in which case the revenue should beincluded in Account 5111, Long Dis-tance Inward-Only Revenue, or Ac-count 5112, Long Distance Outward-Only Revenue.)

§ 32.5123 Audio program grade longdistance private network revenue.

(a) This account consists of revenuefrom private network circuits and fa-cilities furnished for audio programtransmission purposes, such as radiobroadcasting, sound recording (wiredmusic) and loud speaker services. It in-cludes revenue from the provision offacilities for the transmission of ana-log signals between customer premisesand (1) a serving office, (2) a carrier dis-tribution point or (3) an extension dis-tribution channel furnished in connec-tion with such services. It also includesrevenue from facilities furnished tocarry the audio portion of a televisionprogram if furnished under separateaudio rates.

(b) If the rate for television programservices includes both the picture andsound portion of the transmission, therevenue shall be included in Account5124, Video Program Grade Long Dis-tance Private Network Revenue.

§ 32.5124 Video program grade longdistance private network revenue.

This account consists of revenuefrom private network circuits and fa-cilities furnished for television pro-gram transmission purposes, such ascommercial broadcast and educationalor private television services. It in-cludes revenue from the provision offacilities for the transmission of ana-log signals between customer premisesand (a) a serving office, (b) a carrierdistribution point or (c) an extensiondistribution channel furnished in con-nection with such services. It also in-cludes revenue from both the pictureand sound portions of transmission fortelevision program service when pro-vided under a combined rate schedule.

§ 32.5125 Digital transmission long dis-tance private network revenue.

This account consists of revenuefrom the provision of circuits and fa-cilities for the transmission of digitalsignals only.

§ 32.5126 Long distance private net-work switching revenue.

This account consists of revenue de-rived from the provision of common


456

47 CFR Ch. I (10–1–01 Edition)§ 32.5128

user channels and switching capabili-ties used for the transmission of tele-communication signals between three(3) or more points in the network. Alsoincluded is revenue derived from theprovision of basic switching and trans-fer arrangements used to connect pri-vate line channels.

§ 32.5128 Other long distance privatenetwork revenue.

This account consists of revenuefrom administrative and operation sup-port services associated with privatenetwork services and facilities, e.g.,charges for company-directed testing,expedited installation, and service res-toration priority. Also included isother private network services revenuenot provided for in other accounts.

§ 32.5129 Other long distance privatenetwork revenue settlements.

This account shall include thecharges and credits resulting from con-tractual revenue pooling and/or sharingagreements for tariffed long distanceprivate network services only whenthey are not identifiable by privatenetwork services revenue account inthe settlement process. (See also§ 32.4999(e) of this subpart.) To the ex-tent that the charges and credits re-sulting from a settlement process canbe identified by private network serv-ices revenue account, they shall be re-corded in the applicable account.

§ 32.5160 Other long distance revenue.

This account shall include long dis-tance revenues not provided for else-where.

§ 32.5169 Other long distance revenuesettlements.

This account shall include thecharges and credits resulting from con-tractual revenue pooling and/or sharingagreements for tariffed long distancespublic network services only when theyare not identifiable by long distancepublic network services revenue ac-counts in the settlement process. (Seealso § 32.4999(e) of this subpart.) To theextent that the charges and credits re-sulting from a settlement process canbe identified by long distance publicnetwork services revenue account they

shall be recorded in the applicable ac-count.

§ 32.5200 Miscellaneous revenue.

Class B telephone companies shalluse this account for revenues of thetype and character required of Class Acompanies in Accounts 5230 through5270.

§ 32.5230 Directory revenue.

This account shall include revenuederived from alphabetical and classi-fied sections of directories and shallalso include fees paid by other entitiesfor the right to publish the company’sdirectories. Items to be included are:

(a) All revenue derived from the clas-sified section of the directories;

(b) Revenue from the sale of new tele-phone directories whether they are thecompany’s own directories or direc-tories purchased from others. Thisshall also include revenue from thesale of specially bound telephone direc-tories and special telephone directorycovers;

(c) Amounts charged for additionaland boldface listings, marginal dis-plays, inserts, and other advertise-ments in the alphabetical of the com-pany’s telephone directories; and

(d) Changes for unlisted and non-pub-lished telephone numbers.

§ 32.5240 Rent revenue.

(a) This account shall include reve-nues (including taxes when borne bythe lessee) derived from the rental orsubrental to others of telecommuni-cations plant furnished apart fromtelecommunications services renderedby the company. It includes revenuefrom the rent of such items as space inconduit, pole line space for attach-ments, and any allowance for return onproperty used in joint operations andshared facilities agreements.

(b) The expense of maintaining andoperating the rented property, includ-ing depreciation and insurance, shallbe included in the appropriate oper-ating expense accounts. Taxes applica-ble to the rented property shall be in-cluded by the owner of the rented prop-erty in appropriate tax accounts.


457


(c) When land or buildings are rentedon an incidental basis for non-tele-communications use the rental and ex-penses are included in Account 7360,Other Nonoperating Income.

§ 32.5250 Corporate operations rev-enue.

This account shall include revenuederived from services rendered to othercompanies under a license agreement,general services contract, or other ar-rangement providing for the furnishingof general accounting, financial, legal,patent, and other general services asso-ciated with the provision of regulatedtelecommunications services. (See alsoAccounts 5230 and 5270.)

§ 32.5260 Miscellaneous revenue.This account number shall be used by

Class A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 5261 through 5269.

§ 32.5261 Special billing arrangementsrevenue.

This account shall include revenuederived from the provision, eitherunder tariff or through contractual ar-rangements, of special billing informa-tion to customers in the form of mag-netic tapes, cards or statements. Spe-cial billing information provides detailin a format and/or at a level of detailnot normally provided in the standardbilling rendered for the regulated tele-phone services utilized by the cus-tomer.

§ 32.5262 Customer operations rev-enue.

This account shall include revenuederived from the performance of cus-tomer operations services for others in-cident to the company’s regulated tele-communications operations which arenot provided for elsewhere. (See also§§ 32.14(e) and 32.4999(e) of this part.)

§ 32.5263 Plant operations revenue.(a) This account shall include rev-

enue derived from contract services(plant maintenance) performed for oth-ers incident to the company’s regu-lated telecommunications operations.This includes revenue from the inci-dental performance of nontariffed oper-ating and maintenance activities for

others which are similar in nature tothose activities which are performed bythe company in operating and main-taining its own telecommunicationsplant facilities.

(b) The records supporting the en-tries in this account shall be main-tained with sufficient particularity toidentify the revenue and associatedPlant Specific Operations Expenses re-lated to each undertaking.

(c) This account does not include rev-enue related to the performance of op-eration or maintenance activitiesunder a joint operating agreement.(See also Account 5240.)

§ 32.5264 Other incidental regulatedrevenue.

(a) This account shall include theother incidental regulated revenue notprovided for in other Revenues ac-counts. Such revenues to be includedare:

(1) Collection overages (collectionshortages shall be charged to Account6623, Customer services.)

(2) Unclaimed refunds for tele-communications services when not sub-ject to escheats;

(3) Charges (penalties) imposed bythe company for customer checks re-turned for non-payment;

(4) Discounts allowed customers forprompt payment;

(5) Late-payment charges;(6) Revenue from private mobile tele-

phone services which do not have ac-cess to the public switched network;and

(7) Other incidental revenue not pro-vided for elsewhere in other Revenueaccounts.

(b) Any definitely known amounts oflosses of revenue collections due to fireor theft, (1) at customers’ coin-box sta-tions, (2) at public or semipublic tele-phone stations, (3) in the possession ofcollectors en route to collection of-fices, (4) on hand at collection offices,and (5) between collection offices andbanks shall be charged to Account 6728,Other General and Administrative.

§ 32.5269 Other revenue settlements.This account shall include the

charges and credits resulting from con-tractual revenue pooling and/or sharingagreements for activities included in


458

47 CFR Ch. I (10–1–01 Edition)§ 32.5270

the miscellaneous revenue accountsonly when they are not identifiable bymiscellaneous revenue account in thesettlement process. (See also § 32.4999(e)of this subpart.) The extent that thecharges and credits resulting from asettlement process can be identified bymiscellaneous revenue accounts theyshall be recorded in the applicable ac-count.

§ 32.5270 Carrier billing and collectionrevenue.

This account shall include revenuederived from the provision of billingand collection services to other tele-communications companies. This in-cludes amounts charged for servicessuch as message recording, billing, col-lection, billing analysis, and billing in-formation services, whether renderedunder tariff or contractual arrange-ments.

§ 32.5280 Nonregulated operating rev-enue.

(a) This account shall include reve-nues derived from a nonregulated ac-tivity involving the common or jointuse of assets or resources in the provi-sion of regulated and nonregulatedproducts or services.

(b) This account shall be debited andregulated revenue accounts shall becredited at tariffed rates when tariffedservices are provided to nonregulatedactivities that are accounted for asprescribed in § 32.23(c) of this subpart.

(c) Separate subsidiary record cat-egories shall be maintained for eachnonregulated revenue item recorded inthis account.


§ 32.5300 Uncollectible revenue.This account number shall be used by

Class A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 5301 and 5302. Class Btelephone companies shall use this ac-count for revenues of the type andcharacter required of Class A compa-nies in Accounts 5301 and 5302.

§ 32.5301 Uncollectible revenue—tele-communications.

This account shall be charged withamounts concurrently credited to Ac-

count 1181, Accounts Receivable Allow-ances—Telecommunications.

§ 32.5302 Uncollectible revenue—other.This account shall be charged with

amounts concurrently credited to Ac-count 1190, Other Accounts Receivable,or to Account 1191, Accounts Receiv-able Allowance—Other, when such al-lowance is maintained.

Subpart E—Instructions forExpense Accounts

§ 32.5999 General.(a) Structure of the expense accounts.

(1) The expense section of the system ofaccounts shall be organized by expensegroup summary account, and sub-sidiary record category (if required).

(2) The expense section of this systemof accounts shall be comprised of fourmajor expense groups—Plant SpecificOperations, Plant Nonspecific Oper-ations, Customer Operations and Cor-porate Operations. Expenses to be re-corded in Plant Specific and PlantNonspecific Operations Expense Groupsgenerally reflect cost associated withthe various kinds of equipment identi-fied in the plant asset accounts. Ex-penses to be recorded in the CustomerOperations and Corporate Operationsaccounts reflect the costs of, or are as-sociated with, functions performed bypeople, irrespective of the organizationin which any particular function is per-formed.

(3) Summary accounts within ex-pense groups shall be used to describeaggregations of two or more accountshaving a certain commonality. Sum-mary accounts are assigned numbers sothat they may be used by Class A tele-phone companies to aggregate accountsfor reporting purposes; and as specifi-cally directed, so that they may beused as accounts by Class B telephonecompanies.

(4) Accounts shall be maintained asprescribed in this section subject to theconditions described in § 32.13 in sub-part B. Subsidiary record categoriesmay be required below the accountlevel by this system of accounts or byCommission order.

(b) Plant Specific Operations Expense.(1) The Plant Specific Operations Ex-pense Accounts, 6110 through 6441, are


459


used to record costs related to specifickinds of telecommunications plant.

(2) The Plant Specific Operations Ex-pense accounts predominantly mirrorthe telecommunications plant in serv-ice detail accounts and are numberedconsistently with them; the first digitof the expense account being six (6) andthe remaining digits being the same asthe last three numbers of the relatedplant account. In classifying PlantSpecific Operations expenses, the textof the corresponding plant accountshould be consulted to ensure appro-priateness.

(3) The Plant Specific Operations Ex-pense accounts shall include the costsof inspecting, testing (except as speci-fied in Account 6533, Testing Expense)and reporting on the condition of tele-communications plant to determinethe need for repairs, replacements, re-arrangements and changes; performingroutine work to prevent trouble (ex-cept as specified in Account 6533), re-placing items of plant other than re-tirement units; rearranging and chang-ing the location of plant not retired;repairing material for reuse; restoringthe condition of plant damaged bystorms, floods, fire or other casualties(other than the cost of replacing retire-ment units); inspecting after repairshave been made; and receiving trainingto perform these kinds of work. Alsoincluded are the costs of direct super-vision (immediate of first-level) and of-fice support of this work.

(4) In addition to the activities speci-fied in paragraph (b)(3) of this section,the appropriate Plant Specific Oper-ations Expense accounts shall includethe cost of personnel whose principaljob is the operation of plant equip-ment, such as general purpose com-puter operators, aircraft pilots, chauf-feurs and shuttle bus drivers. However,when the operation of equipment isperformed as part of other identifiablefunctions (such as the use of officeequipment, capital tools or motor vehi-cles) the operators’ cost shall becharged to accounts appropriate forthose functions. (For costs of operatorservices personnel, see Accounts 6621,Call Completion Services, and 6622,Number Services, and for costs of testboard personnel see Account 6533.)

(c) Plant Nonspecific Operations Ex-pense. The Plant Nonspecific Oper-ations Expense accounts shall includeexpenses related to property held forfuture telecommunications use, provi-sioning expenses, network operationsexpenses, and depreciation and amorti-zation expenses. Accounts in this group(except for Account 6540, Access Ex-pense, and Accounts 6560 through 6565)shall include the costs of performingactivities described in narratives forindividual accounts. These costs shallalso include the costs of supervisionand office support of these activities.

(d) Customer Operations Expense. TheCustomer Operations Expense accountsshall include the cost of performingcustomer related marketing and serv-ices activities described in narrativesfor individual accounts. These costsshall also include the costs of super-vision, office support and training forthese activities.

(e) Corporate Operations Expense. TheCorporate Operations Expense accountsshall include the costs of performingexecutive and planning activities andgeneral and administrative activitiesdescribed in narratives for individualaccounts. These costs shall also includethe costs of supervision, office supportand training for these activities.

(f) Reimbursements. Reimbursementsof actual costs incurred in connectionwith joint operations or projects re-pairing plant due to damages by oth-ers, and obligations to make changes intelecommunications plant (such ashighway relocations), shall be creditedto the accounts originally charged.

(g) Expense accounts to be maintained.


Class Baccount

Income Statement Accounts

Plant specific operations expense:Network support expense .......... 1 2 6110 6110Motor vehicle expense ............... 1 6112 ..............Aircraft expense ......................... 1 6113 ..............Tools and other work equipment

expense .................................. 1 6114 ..............General support expenses ......... 1 2 6120 6120Land and building expenses ...... 1 6121 ..............Furniture and artworks expense 1 6122 ..............Office equipment expense ......... 1 6123 ..............General purpose computers ex-

pense ...................................... 1 6124 ..............Central office switching expense 1 2 6210 6210Analog electronic expense ......... 1 6211 ..............Digital electronic expense .......... 1 6212 ..............Electro-mechanical expense ...... 1 6215 ..............Operators system expense ........ 1 6220 6220


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47 CFR Ch. I (10–1–01 Edition)§ 32.6110


Class Baccount

Central office transmission ex-penses .................................... 1 2 6230 6230

Radio systems expense ............. 1 6231 ..............Circuit equipment expense ........ 1 6232 ..............Information origination/termi-

nation expense ....................... 1 2 6310 6310Station apparatus expense ........ 1 6311 ..............Large private branch exchange

expense .................................. 1 6341 ..............Public telephone terminal equip-

ment expense ......................... 1 6351 ..............Other terminal equipment ex-

pense ...................................... 1 6362 ..............

Cable and wire facilities ex-penses .................................... 1 2 6410 6410

Poles expense ............................ 1 6411 ..............Aerial cable expense .................. 1 6421 ..............Underground cable expense ...... 1 6422 ..............Buried cable expense ................ 1 6423 ..............Submarine cable expense ......... 1 6424 ..............Deep sea cable expense ........... 1 6425 ..............Intrabuilding network cable ex-

pense ...................................... 1 6426 ..............Aerial wire expense .................... 1 6431 ..............Conduit systems expense .......... 1 6441 ..............

Plant nonspecific operations ex-pense:

Other property plant and equip-ment expenses ....................... 1 2 6510 6510

Property held for future .............. .................. ..............Telecommunications use ex-

pense ...................................... 1 6511 ..............Provisioning expense ................. 1 6512 ..............Network operations expenses .... 1 2 6530 6530Power expense .......................... 1 6531 ..............Network administration expense 1 6532 ..............Testing expense ......................... 1 6533 ..............Plant operations administration

expense .................................. 1 6534 ..............Engineering expense ................. 1 6535 ..............Access expense ......................... 1 6540 6540

Depreciation and amortizationexpenses ................................ 2 6560 6560

Depreciation expense—tele-communications plant in serv-ice ........................................... 6561 ..............

Depreciation expense—propertyheld for future telecommuni-cations use ............................. 6562 ..............

Amortization expense—tangible 6563 ..............Amortization expense—intan-

gible ........................................ 6564 ..............Amortization expense—other ..... 6565 ..............

Customer operations expense:Marketing .................................... 1 2 6610 6610Product management ................. 1 6611 ..............Sales .......................................... 1 6612 ..............Product advertising ..................... 1 6613 ..............

Services ...................................... 1 2 6620 6620Call completion services ............ 1 6621 ..............Number services ........................ 1 6622 ..............Customer services ...................... 1 6623 ..............

Corporate operations expense:Executive and planning .............. 1 2 6710 6710Executive .................................... 1 6711 ..............Planning ..................................... 1 6712 ..............

General and administrative ........ 1 2 6720 6720Accounting and finance .............. 1 6721 ..............External relations ....................... 1 6722 ..............Human resources ....................... 1 6723 ..............Information management ........... 1 6724 ..............


Class Baccount

Legal ........................................... 1 6725 ..............Procurement ............................... 1 6726 ..............Research and development ....... 1 6727 ..............Other general and administrative 1 6728 ..............Provision for uncollectible notes

receivable ............................... 6790 6790

1 Subsidiary record categories required in accordance with§ 32.5999(f) of this subpart.

2 To be used by Class A telephone companies to summa-rize accounts for reporting purposes.

[51 FR 43499, Dec. 2, 1986, as amended at 52FR 7580, Mar. 12, 1987; 64 FR 50008, Sept. 15,1999; 65 FR 16335, Mar. 28, 2000]

§ 32.6110 Network support expenses.

(a) This account number shall beused by Class A telephone companies tosummarize for reporting purposes thecontents of Accounts 6112 through 6114.Class B telephone companies shall usethis account for expenses of the typeand character required of Class A com-panies in Accounts 6112 through 6114.

(b) Credits shall be made to this ac-count by Class B companies foramounts transferred to Constructionand/or other Plant Specific OperationsExpense accounts. These amounts shallbe computed on the basis of directlabor hours. (See also § 32.5999(f)(5) ofthis subpart.)


§ 32.6112 Motor vehicle expense.

(a) This account shall include costsof fuel, lubrications, license and in-spection fees, washing, repainting, andminor accessories. Also included arethe costs of personnel whose principaljob is operating motor vehicles, such aschauffeurs and shuttle bus drivers. Thecosts of users of motor vehicles whoseprincipal job is not the operation ofmotor vehicles shall be charged to ac-counts appropriate for the activitiesperformed.

(b) Credits shall be made to this ac-count for amounts transferred to Con-struction and/or to other Plant SpecificOperations Expense accounts. Theseamounts shall be computed on thebasis of direct labor hours. (See also§ 32.5999(f)(5) of this subpart.)


461


§ 32.6113 Aircraft expense.

(a) This account shall include suchcosts as aircraft fuel, flight crews, me-chanics and ground crews, licenses andinspection fees, washing, repainting,and minor accessories.

(b) Credits shall be made to this ac-count for amounts transferred to Con-struction and/or to other Plant SpecificOperations Expense accounts. Theseamounts shall be computed on thebasis of direct labor hours. (See also§ 32.5999(f)(5) of this subpart.)

§ 32.6114 Tools and other work equip-ment expense.

(a) This account shall include costsincurred in connection with specialpurpose vehicles, garage work equip-ment and other work equipment in-cluded in Account 2114, Tools and otherwork equipment. This account shall becharged with costs incurred in connec-tion with the work equipment itself.This account shall also include suchcosts as fuel, licenses and inspectionfees, washing, repainting and minor ac-cessories. The costs of using garagework equipment to maintain motor ve-hicles shall be charged to Account 6112,Motor vehicles expense. This accountshall not be charged with the costs ofoperators of special purpose vehiclesand other work equipment. The costsof operators of this equipment shall becharged to accounts appropriate for theactivities performed.

(b) Credits shall be made to this ac-count for amounts related to specialpurpose vehicles and other work equip-ment transferred to Construction and/or to other Plant Specific OperationsExpense accounts. These amounts shallbe computed on the basis of directlabor hours. (See also § 32.5999(f)(5).

[64 FR 50008, Sept. 15, 1999]

§ 32.6120 General support expenses.

This account number shall be used byClass A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 6121 through 6124.Class B telephone companies shall usethis account for expenses of the typeand character required of Class A com-panies in Accounts 6121 through 6124.

§ 32.6121 Land and building expense.(a) This account shall include ex-

penses associated with land and build-ings (excluding amortization of lease-hold improvements). This account shallalso include janitorial service, cleaningsupplies, water, sewage, fuel and guardservice, and electrical power.

(b) The cost of electrical power usedto operate the telecommunicationsnetwork shall be charged to Account6531, Power Expense, and the cost ofseparately metered electricity used foroperating specific types of equipment,such as computers, shall be charged tothe expense account appropriate forsuch use.

§ 32.6122 Furniture and artworks ex-pense.

This account shall include expensesassociated with furniture andartworks.

§ 32.6123 Office equipment expense.This account shall be charged only

with costs incurred in connection withthe office equipment itself. The costsof operators of this equipment shall becharged to accounts appropriate for theactivities performed.

§ 32.6124 General purpose computersexpense.

This account shall include the costsof personnel whose principal job is thephysical operation of general purposecomputers and the maintenance of op-erating systems. This excludes the costof preparation of input data or the useof outputs which are chargeable to theaccounts appropriate for the activitiesbeing performed. Also excluded arecosts incurred in planning and main-taining application systems and data-bases for general purpose computers.(See also § 32.6724, Information manage-ment.) Separately metered electricityfor general purpose computers shallalso be included in this account.

[64 FR 50008, Sept. 15, 1999]

§ 32.6210 Central office switching ex-penses.

This account number shall be used byClass A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 6211 through 6215.


462

47 CFR Ch. I (10–1–01 Edition)§ 32.6211

Class B telephone companies shall usethis account for expenses of the typeand character required of Class A com-panies in Accounts 6211 through 6215.

§ 32.6211 Analog electronic expense.This account shall include expenses

associated with analog electronicswitching.

§ 32.6212 Digital electronic expense.This account shall include expenses

associated with digital electronicswitching.

§ 32.6215 Electro-mechanical expense.(a) This account shall include ex-

penses associated with electro-mechan-ical switching.

(b) Subsidiary record categories shallbe maintained as provided in § 32.2215(a)of subpart C.

§ 32.6220 Operator systems expense.This account shall include expenses

associated with operator systemsequipment.

§ 32.6230 Central office transmissionexpense.

This account number shall be used byClass A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 6231 and 6232. Class Btelephone companies shall use this ac-count for expenses of the type andcharacter required of Class A compa-nies in Accounts 6231 and 6232.

§ 32.6231 Radio systems expense.(a) This account shall include ex-

penses associated with radio systems.(b) Subsidiary record categories shall

be maintained as provided in § 32.2231(a)of subpart C.

§ 32.6232 Circuit equipment expense.This account shall include expenses

associated with circuit equipment.

§ 32.6310 Information origination/ter-mination expenses.

This account number shall be used byClass A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 6311 through 6362.Class B telephone companies shall usethis account for expenses of the typeand character required of Class A tele-

phone companies in Accounts 6311through 6362.

§ 32.6311 Station apparatus expense.

This account shall include expensesassociated with station apparatus. Ex-penses associated with company inter-nal use communication equipmentshall be recorded in Account 6123, Of-fice Equipment Expense.

§ 32.6341 Large private branch ex-change expense.

This account shall include expensesassociated with large private branchexchanges. Expenses associated withcompany internal use communicationequipment shall be recorded in Account6123, Office Equipment Expense.

§ 32.6351 Public telephone terminalequipment expense.

This account shall include expensesassociated with public telephone ter-minal equipment.

§ 32.6362 Other terminal equipmentexpense.

This account shall include expensesassociated with other terminal equip-ment.

§ 32.6410 Cable and wire facilities ex-penses.



§ 32.6411 Poles expense.

This account shall include expensesassociated with poles.

§ 32.6421 Aerial cable expense.

(a) This account shall include ex-penses associated with aerial cable.

(b) Subsidiary record categories shallbe maintained as provided in §32.2421(a)of subpart C.


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§ 32.6422 Underground cable expense.

(a) This account shall include ex-penses associated with undergroundcable.


§ 32.6423 Buried cable expense.

(a) This account shall include ex-penses associated with buried cable.


§ 32.6424 Submarine cable expense.

(a) This account shall include ex-penses associated with submarinecable.


§ 32.6425 Deep sea cable expense.

(a) This account shall include ex-penses associated with deep sea cable.


§ 32.6426 Intrabuilding network cableexpense.

(a) This account shall include ex-penses associated with intrabuildingnetwork cable.


§ 32.6431 Aerial wire expense.

This account shall include expensesassociated with aerial wire.

§ 32.6441 Conduit systems expense.

This account shall include expensesassociated with conduit systems.

§ 32.6510 Other property, plant andequipment expenses.

This account number shall be used byClass A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 6511 and 6512. Class Btelephone companies shall use this ac-count for expenses of the type andcharacter required of Class A compa-nies in Accounts 6511 and 6512.

§ 32.6511 Property held for future tele-communications use expense.

This account shall include expensesassociated with property held for fu-ture telecommunications use.

§ 32.6512 Provisioning expense.

(a) This account shall include costsincurred in provisioning material andsupplies, including office supplies. Thisincludes receiving and stocking, fillingrequisitions from stock, monitoringand replenishing stock levels, deliveryof material, storage, loading or unload-ing and administering the reuse or re-furbishment of material. Also includedare adjustments resulting from the an-nual or more frequent inventory of ma-terial and supplies.

(b) Credits shall be made to this ac-count for amounts transferred to con-struction and/or to plant specific oper-ations expense. These costs are to becleared by adding to the cost of mate-rial and supplies a suitable loadingcharge. (See also § 32.5999(f)(5) of thissubpart.)

§ 32.6530 Network operations ex-penses.


§ 32.6531 Power expense.

This account shall include the cost ofelectrical power used to operate thetelecommunications network.

§ 32.6532 Network administration ex-pense.

This account shall include costs in-curred in network administration. Thisincludes such activities as controllingtraffic flow, administering trafficmeasuring and monitoring devices, as-signing equipment and load balancing,collecting and summarizing trafficdata, administering trunking, and as-signing interoffice facilities and circuitlayout work.


464

47 CFR Ch. I (10–1–01 Edition)§ 32.6533

§ 32.6533 Testing expense.This account shall include costs in-

curred in testing telecommunicationsfacilities from a testing facility (testdesk or other testing system) to deter-mine the condition of plant on either aroutine basis or prior to assignment ofthe facilities; receiving, recording andanalyzing trouble reports; testing todetermine the nature and location ofreported trouble condition; and dis-patching repair persons or otherwiseinitiating corrective action. (Note also§ 32.5999(b)(3) of this subpart.)

§ 32.6534 Plant operations administra-tion expense.

(a) This account shall include costsincurred in the general administrationof plant operations. This includes su-pervising plant operations (except asspecified in § 32.5999(a)(3) of this sub-part; planning, coordinating and moni-toring plant operations; and per-forming staff work such as developingmethods and procedures, preparing andconducting training (except on-the-jobtraining) and coordinating safety pro-grams.

(b) Credits shall be made to this ac-count for amounts transferred to con-struction accounts. These amountsshall be computed on the basis of directlabor hours. (See § 32.2000(c)(2)(ii) ofsubpart C.)

§ 32.6535 Engineering expense.(a) This account shall include costs

incurred in the general engineering ofthe telecommunications plant whichare not directly chargeable to an un-dertaking or project. This includes de-veloping input to the fundamentalplanning process, performing prelimi-nary work or advance planning in con-nection with potential undertakings,and performing special studies of anengineering nature.

(b) Credits shall be made to this ac-count for amounts transferred to con-struction accounts. These amountsshall be computed on the basis of directlabor hours. (See § 32.2000(c)(2)(ii) ofsubpart C.)

§ 32.6540 Access expense.(a) This account shall include

amounts paid by interexchange car-riers or other exchange carriers to an-

other exchange carrier for the provi-sion of carrier’s carrier access.

(b) Subsidiary record categories shallbe maintained in order that the entitymay separately report interstate andintrastate carrier’s carrier expense.Such subsidiary record categories shallbe reported as required by Part 43 ofthis Commission’s Rules and Regula-tions.

[52 FR 43917, Nov. 17, 1987]

§ 32.6560 Depreciation and amortiza-tion expenses.

This account shall be used by Class Atelephone companies to summarize forreporting purposes the contents of Ac-counts 6561 through 6565. Class B tele-phone companies shall use this accountfor expenses of the type and characterrequired of Class A companies in Ac-counts 6561 through 6565.

§ 32.6561 Depreciation expense—tele-communications plant in service.

This account shall include the depre-ciation expense of capitalized costs inAccounts 2112 through 2441, inclusive.

§ 32.6562 Depreciation expense—prop-erty held for future telecommuni-cations.

This account shall include the depre-ciation expense of capitalized costs in-cluded in Account 2002, Property Heldfor Future Telecommunications Use.

§ 32.6563 Amortization expense—tan-gible.

This account shall include only theamortization of costs included in Ac-counts 2681, Capital Leases, and 2682,Leasehold Improvements.

§ 32.6564 Amortization expense—intan-gible.

This account shall include the amor-tization of costs included in Account2690, Intangibles.

§ 32.6565 Amortization expense—other.(a) This account shall include only

the amortization of costs included inAccount 2005, TelecommunicationsPlant Adjustment.

(b) This account shall also includelump-sum write offs of amounts ofplant acquisition adjustment as pro-vided for in § 32.2005(b)(3) of Subpart C.


465


(c) Subsidiary records shall be main-tained so as to show that character ofthe amounts contained in this account.

§ 32.6610 Marketing.


§ 32.6611 Product management.

This account shall include costs in-curred in performing administrativeactivities related to marketing prod-ucts and services. This includes com-petitive analysis, product and serviceidentification and specification, testmarket planning, demand forecasting,product life cycle analysis, pricinganalysis, and identification and estab-lishment of distribution channels.

§ 32.6612 Sales.

This account shall include costs in-curred in selling products and services.This includes determination of indi-vidual customer needs, developmentand presentation of customer pro-posals, sales order preparation andhandling, and preparation of salesrecords.

§ 32.6613 Product advertising.

This account shall include costs in-curred in developing and implementingpromotional strategies to stimulatethe purchase of products and services.This excludes nonproduct-related ad-vertising, such as corporate image,stock and bond issue and employmentadvertisements, which shall be in-cluded in the appropriate functionalaccounts.

§ 32.6620 Services.


§ 32.6621 Call completion services.

This account shall include costs in-curred in helping customers place andcomplete calls, except directory assist-ance. This includes handling and re-cording; intercept; quoting rates, timeand charges; and all other activities in-volved in the manual handling of calls.

§ 32.6622 Number services.

This account shall include costs in-curred in providing customer numberand classified listings. This includespreparing or purchasing, compiling,and disseminating those listingsthrough directory assistance or othermeans.

§ 32.6623 Customer services.

(a) This account shall include costsincurred in establishing and servicingcustomer accounts. This includes:

(1) Initiating customer service ordersand records;

(2) Maintaining and billing customeraccounts;

(3) Collecting and investigating cus-tomer accounts, including collectingrevenues, reporting receipts, admin-istering collection treatment, and han-dling contacts with customers regard-ing adjustments of bills;

(4) Collecting and reporting pay sta-tion receipts; and

(5) Instructing customers in the useof products and services.

(b) This account shall also includeamounts paid by interexchange car-riers or other exchange carriers to an-other exchange carrier for billing andcollection services. Subsidiary recordcategories shall be maintained in orderthat the entity may separately reportinterstate and intrastate amounts.Such subsidiary record categories shallbe reported as required by Part 43 ofthis Commission’s Rules and Regula-tions.

[52 FR 43917, Nov. 17, 1987]

§ 32.6710 Executive and planning.

This account number shall be used byClass A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 6711 and 6712. Class Btelephone companies shall use this ac-count for expenses of the type and


466

47 CFR Ch. I (10–1–01 Edition)§ 32.6711

character required of Class A compa-nies in Accounts 6711 and 6712.

§ 32.6711 Executive.

This account shall include costs in-curred in formulating corporate policyand in providing overall administrationand management. Included are the pay,fees and expenses of boards of directorsor similar policy boards and all board-designated officers of the company andtheir office staffs, e.g., secretaries andstaff assistants.

§ 32.6712 Planning.

This account shall include costs in-curred in developing and evaluatinglong-term courses of action for the fu-ture operations of the company. Thisincludes performing corporate organi-zation and integrated long-range plan-ning, including management studies,options and contingency plans, andeconomic strategic analysis.

§ 32.6720 General and administrative.


§ 32.6721 Accounting and finance.

This account shall include costs in-curred in providing accounting and fi-nancial services. Accounting servicesinclude payroll and disbursements,property accounting, capital recovery,regulatory accounting (revenue re-quirements, separations, settlementsand corollary cost accounting), non-customer billing, tax accounting, inter-nal and external auditing, capital andoperating budget analysis and control,and general accounting (accountingprinciples and procedures and journals,ledgers, and financial reports). Finan-cial services include banking oper-ations, cash management, benefit in-vestment fund management (includingactuarial services), securities manage-ment, debt trust administration, cor-porate financial planning and analysis,and internal cashier services.

§ 32.6722 External relations.

This account shall include costs in-curred in maintaining relations withgovernment, regulators, other compa-nies and the general public. This in-cludes:

(a) Reviewing existing or pendinglegislation (See also account 7370, Spe-cial Charges, for lobbying expenses.);

(b) Preparing and presenting infor-mation for regulatory purposes, includ-ing tariff and service cost filings, andobtaining radio licenses and construc-tion permits;

(c) Performing public relations andnon-product-related corporate imageadvertising activities;

(d) Administering relations, includ-ing negotiating contracts (See also Ac-count 6725, Legal.), with telecommuni-cations companies and other utilities,businesses, and industries. This ex-cludes sales contracts (See also Ac-count 6612, Sales.); and

(e) Administering investor relations.

§ 32.6723 Human resources.

This account shall include costs in-curred in performing personnel admin-istration activities. This includes:

(a) Equal Employment Opportunityand Affirmative Action Programs;

(b) Employee data for forecasting,planning and reporting;

(c) General employment services;(d) Occupational medical services;(e) Job analysis and salary programs;(f) Labor relations activities;(g) Personnel development and staff-

ing services, including counseling, ca-reer planning, promotion and transferprograms;

(h) Personnel policy development;(i) Employee communications;(j) Benefit administration;(k) Employee activity programs;(l) Employee safety programs; and(m) Nontechnical training course de-

velopment and presentation.

§ 32.6724 Information management.

This account shall include costs in-curred in planning and maintaining ap-plication systems and databases forgeneral purpose computers.

[64 FR 50008, Sept. 15, 1999]


467


§ 32.6725 Legal.This account shall include costs in-

curred in providing legal services. Thisincludes conducting and coordinatinglitigation, providing guidance on regu-latory and labor matters, preparing, re-viewing and filing patents and con-tracts and interpreting legislation.Also included are court costs, filingfees, and the costs of outside counsel,depositions, transcripts and witnesses.

§ 32.6726 Procurement.This account shall include costs in-

curred in procuring material and sup-plies, including office supplies. This in-cludes analyzing and evaluating sup-pliers’ products, selecting appropriatesuppliers, negotiating supply con-tracts, placing purchase orders, expe-diting and controlling orders placed formaterial, developing standards for ma-terial purchased and administeringvendor or user claims.

§ 32.6727 Research and development.(a) This account shall include costs

incurred in making planned search orcritical investigation aimed at dis-covery of new knowledge. It also in-cludes translating research findingsinto a plan or design for a new productor process or for a significant improve-ment to an existing product or process,whether intended for sale or use.

(b) This excludes making routine al-terations to existing products, proc-esses, and other ongoing operationseven though those alterations may rep-resent improvements.

§ 32.6728 Other general and adminis-trative.

This account shall include costs in-curred in performing general adminis-trative activities not directly chargedto the user, and not provided for inother accounts. This includes providinggeneral reference libraries, food serv-ices (e.g., cafeterias, lunch rooms andvending facilities), archives, generalsecurity investigation services, oper-ating official private branch exchangesin the conduct of the business, andtelecommunications and mail services.Also included are payments in settle-ment of accident and damage claims,insurance premiums for protectionagainst losses and damages, direct ben-

efit payments to or on behalf of retiredand separated employees, accident andsickness disability payments, supple-mental payments to employees whilein governmental service, death pay-ments, and other miscellaneous costsof a corporate nature. This account ex-cludes the cost of office services, whichare to be included in the accounts ap-propriate for the activities supported.

§ 32.6790 Provision for uncollectiblenotes receivable.

This account shall be charged withamounts concurrently credited to Ac-count 1200, Notes Receivable, or to Ac-count 1201, Notes Receivable Allow-ance, when such allowance is main-tained.

Subpart F—Instructions For OtherIncome Accounts

§ 32.6999 General.(a) Structure of the Other Income Ac-

counts. The Other Income Accounts aredesigned to reflect both operating andnonoperating income items includingtaxes, extraordinary items and otherincome and expense items not properlyincluded elsewhere.

(b) Other Income Accounts Listing.


Class Baccount

Other operating income and ex-pense:

Other operating income and ex-pense ...................................... 1 7100 7100

Income from custom work .......... 7110 ................Return from nonregulated use of

regulated facilities ................... 7130 ................Gains and losses from foreign

exchange ................................ 7140 ................Gains or losses from disposition

of land and artwork ................. 7150 ................Other operating gains and

losses ...................................... 7160 ................Operating taxes:

Operating taxes .......................... 1 7200 7200Operating investment tax cred-

its—net .................................... 7210 ................Operating Federal income taxes 7220 ................Operating State and local in-

come taxes ............................. 7230 ................Operating other taxes ................ 7240 ................Provision for deferred operating

income taxes—net .................. 7250 ................Nonoperating income and expense:

Nonoperating income and ex-pense ...................................... 1 7300 7300

Dividend income ......................... 7310 ................Interest income ........................... 7320 ................Income from sinking and other

funds ....................................... 7330 ................


468

47 CFR Ch. I (10–1–01 Edition)§ 32.7099


Class Baccount

Allowance for funds used duringconstruction ............................ 7340 ................

Gains or losses from the dis-position of certain property ..... 7350 ................

Other nonoperating income ....... 7360 ................Special charges .......................... 7370 ................

Nonoperating taxes:Nonoperating taxes .................... 1 7400 7400Nonoperating investment tax

credits—net ............................. 7410 ................Nonoperating Federal income

taxes ....................................... 7420 ................Nonoperating State and local in-

come taxes ............................. 7430 ................Nonoperating other taxes ........... 7440 ................Provision for deferred nonop-

erating income taxes—net ...... 7450 ................Interest and related items:

Interest and related items .......... 1 7500 7500Interest on funded debt .............. 7510 ................Interest expense—capital

Leases .................................... 7520 ................Amortization of debt issuance

expense .................................. 7530 ................Other interest deductions ........... 7540 ................

Extraordinary items:Extraordinary items .................... 1 7600 7600Extraordinary income credits ...... 7610 ................Extraordinary income charges ... 7620 ................Current income tax effect of ex-

traordinary items—net ............ 7630 ................Provision for deferred income

tax effect of extraordinaryitems—net ............................... 7640 ................

Jurisdictional Differences and non-regulated income items:

Income effect of jurisdictionalratemaking difference—net ..... 7910 7910

Nonregulated net income ........... 7990 7990

1 To be used by Class A companies to summarize ac-counts for reporting purposes.

[51 FR 43499, Dec. 2, 1986, as amended at 52FR 6562, Mar. 4, 1987; 53 FR 49322, Dec. 7, 1988]

§ 32.7099 Content of accounts.Other Operating Income and Expense

accounts are intended to record the re-sults of transactions, events or cir-cumstances during the periods whichare incidental or peripheral to themajor or central operations of the com-pany. They shall include all items of anoperating nature as incidental workperformed for others not provided forelsewhere. Whenever practicable theinflows and outflows associated with atransaction, event or circumstancesshall be matched and the result shownas a net gain or loss.

§ 32.7100 Other operating income andexpenses.

This account number shall be used byClass A telephone companies to sum-marize for reporting purposes the con-

tents of Accounts 7110 through 7160.Class B companies shall use this ac-count for other operating income andexpense items of the type and char-acter required of Class A companies inAccounts 7110 through 7160.

§ 32.7110 Income from custom work.

(a) This account shall include profitsrealized from custom work (plant con-struction) performed for others inci-dent to the company’s regulated tele-communications operations. This in-cludes profits from the incidental per-formance of nontariffed constructionactivities (including associated engi-neering and design) for others whichare similar in nature to those activi-ties which are performed by the com-pany in constructing its own tele-communications plant facilities.

(b) The records supporting the en-tries in this account shall be main-tained with sufficient particularity toidentify separately the revenue andcosts associated with each under-taking.

§ 32.7130 Return from nonregulateduse of regulated facilities.

This account shall include a returnon investment for the use of regulatedproperty plant and equipment to pro-vide nonregulated products and serv-ices.

§ 32.7140 Gains and losses from foreignexchange.

This account shall include all gainsand losses resulting from the exchangeof foreign currency. Transaction (real-ized) gains or losses shall be measuredbased on the exchange rate in effect onthe transaction date. Unrealized gainsor losses shall be measured based onthe exchange rate in effect at the bal-ance sheet date.

§ 32.7150 Gains and losses from thedisposition of land and artworks.

This account shall include gains orlosses resulting from the disposition ofland or artworks.

§ 32.7160 Other operating gains andlosses.

This account shall be charged orcredited, as appropriate, to record the


469


results of transactions, events or cir-cumstances which are of an operationalnature, but occur irregularly or are pe-ripheral to the major or central oper-ations of the company and not providedfor elsewhere.

§ 32.7199 Content of accounts.The Operating Tax accounts shall in-

clude the taxes arising from the cen-tral operations of the company.

§ 32.7200 Operating taxes.This account number shall be used by

Class A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 7210 through 7250.Class B telephone companies shall usethis account for operating taxes of thetype and character required of Class Acompanies in Accounts 7210 through7250.

§ 32.7210 Operating investment taxcredits—net.

(a) This account shall be charged andAccount 4320, Unamortized OperatingInvestment Tax Credits—Net, shall becredited with investment tax creditsgenerated from qualified expendituresrelated to regulated operations whichthe company defers rather than recog-nizes currently in income.

(b) This account shall be credited andAccount 4320 shall be charged ratablywith the amortization of each year’sinvestment tax credits included in Ac-count 4320 for investment services forratemaking purposes. (See also Ac-count 7410, Nonoperating InvestmentTax Credits—Net.) Such amortizationshall be determined in relation to theperiod of time used for computing bookdepreciation on the property with re-spect to which the tax credits relate.

§ 32.7220 Operating Federal incometaxes.

(a) This account shall be charged andAccount 4070, Income Taxes-Accrued,shall be credited for the amount ofFederal Income Taxes for the currentperiod. This account shall also reflectsubsequent adjustments to amountspreviously charged.

(b) Taxes should be accrued eachmonth on an estimated basis and ad-justments made as later data becomesavailable.

(c) Tax credits, other than invest-ment tax credits, if normalized, shallbe recorded consistent with the ac-counting for investment tax creditsand shall be amortized to income as di-rected by this Commission.

(d) No entries shall be made to thisaccount to reflect interperiod tax allo-cations.

§ 32.7230 Operating state and local in-come taxes.

(a) This account shall be charged andAccount 4070, Income Taxes—Accrued,shall be credited for the amount ofstate and local income taxes for thecurrent period. This account shall alsoreflect subsequent adjustments toamounts previously charged.

(b) Taxes should be accrued eachmonth on an estimated basis and ad-justments made as later data becomesavailable.

(c) No entries shall be made to thisaccount to reflect interperiod tax allo-cations.

§ 32.7240 Operating other taxes.

(a) This account shall be charged andAccount 4080, Other Taxes—Accrued,shall be credited for all taxes, otherthan Federal, state and local incometaxes and payroll related taxes, relatedto regulated operations applicable tocurrent periods. Among the items in-cludable in this account are property,gross receipts, franchise and capitalstock taxes; this account shall also re-flect subsequent adjustments toamounts previously charged.

(b) Special assessments for street andother improvements and special benefittaxes, such as water taxes and the like,shall be included in the operating ex-pense accounts or investment ac-counts, as may be appropriate.

(c) Discounts allowed for prompt pay-ment of taxes shall be credited to theaccount to which the taxes are charge-able.

(d) Interest on tax assessments whichare not paid when due shall be includedin Account 7540, Other Interest Deduc-tions.

(e) Taxes paid by the company undertax-free covenants on indebtednessshall be charged to Account 7360, OtherNonoperating Income.


470

47 CFR Ch. I (10–1–01 Edition)§ 32.7250

(f) Sales and use taxes shall be ac-counted for, so far as practicable, aspart of the cost of the items to whichthe taxes relate.

(g) Taxes on rented telecommuni-cations plant which are borne by thelessee shall be credited by the owner toAccount 5240, Rent Revenue, and shallbe charged by the lessee to the appro-priate Plant Specific Operations Ex-pense account.

§ 32.7250 Provision for deferred oper-ating income taxes—net.

(a) This account shall be charged orcredited, as appropriate, with contra en-tries recorded to the following accountsfor income tax expense that has beendeferred in accordance with § 32.22 ofSubpart B.

4100 Net Current Deferred OperatingIncome Taxes

4340 Net Noncurrent Deferred Oper-ating Income Taxes

(b) Subsidiary record categories shallbe maintained to distinguish betweenproperty and nonproperty related de-ferrals and so that the company mayseparately report that amounts con-tained herein that relate to Federal,state and local income taxes. Such sub-sidiary record categories shall be re-ported as required by part 43 of thisCommission’s Rules and Regulations.

§ 32.7299 Content of accounts.The nonoperating income and ex-

pense accounts are intended to recordthe results of transactions, events andcircumstances affecting the companyduring a period and which are not oper-ational in nature. They shall includesuch items as nonoperating taxes, divi-dend income and interest income.Whenever practicable the inflows andoutflows associated with a transactionor event shall be matched and the re-sult shown as a net gain or loss.

§ 32.7300 Nonoperating income and ex-pense.

This account number shall be used byClass A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 7310 through 7370.Class B telephone companies shall usethis account for nonoperating incomeand expense items of the type and char-

acter required of Class A companies inAccounts 7310 through 7370.

§ 32.7310 Dividend income.

(a) This account shall include divi-dends on investments in common andpreferred stock, which is the propertyof the company, whether such stock isowned by the company and held in itstreasury, or deposited in trust (exceptin sinking or other funds, see para-graph (c) of this section), or otherwisecontrolled.

(b) These accounts shall not includedividends or other returns on securitiesissued or assumed by the company andheld by or for it, whether pledged ascollateral, or held in its treasury, inspecial deposits, or in sinking or otherfunds.

(c) Dividends on stocks of other com-panies held in sinking or other fundsshall be credited to Account 7330, In-come from Sinking and Other Funds.

(d) Dividends received and receivablefrom affiliated companies accountedfor on the equity method shall be in-cluded in Account 1401, Investments inAffiliated Companies, as a reduction ofthe carrying value of the investments.

§ 32.7320 Interest income.

(a) This account shall include inter-est on securities, including notes andother evidences of indebtedness, whichare the property of the company,whether such securities are owned bythe company and held in its treasury,or deposited in trust (except in sinkingor other funds, see paragraph (d) tothis section) or otherwise controlled. Itshall also include interest on bank bal-ances, certificates of deposits, open ac-counts, and other analogous items.

(b) There shall be included in this ac-count for each month the applicableamount requisite to extinguish, duringthe interval between the date of acqui-sition and date of maturity, the dif-ference between the purchase price andthe par value of securities owned, theincome from which is includable in thisaccount. Amounts thus credited orcharged shall be concurrently includedin the accounts in which the securitiesare carried. Any such difference re-maining unextinguished at the sale orupon the maturity and satisfaction of


471


such securities shall be cleared to Ac-count 7360, Other Nonoperating In-come.

(c) These accounts shall not includeinterest or other returns on securitiesissued or assumed by the company andheld by or for it, whether pledged ascollateral, or held in its treasury, inspecial deposits, or in sinking or otherfunds.

(d) Interest on cash and on securitiesissued by others shall be included inAccount 7330, Income from Sinking andOther Funds, when such assets are heldin sinking or other funds.

(e) Cash discounts on bills for mate-rial purchased shall not be included inthis account.

§ 32.7330 Income from sinking andother funds.

(a) This account shall include the in-come accrued on cash, securities issuedby other companies, and other assets(not including securities issued or as-sumed by the company) held in sinkingand other funds.

(b) There shall be included in this ac-count for each month the applicableamount requisite to extinguish, duringthe interval between the date of acqui-sition and the date of maturity, thedifference between the purchase priceand the par value of securities held insinking or other funds. Amounts thuscredited or charged shall be concur-rently included in the accounts inwhich the securities are carried. Anysuch differences remainingunextinguished upon the maturity andsatisfaction of such securities shall becleared to Account 7360, Other Nonop-erating Income.

§ 32.7340 Allowance for funds usedduring construction.

This account shall be credited withamounts charged to the telecommuni-cations plant under construction ac-count. (See § 32.2000(c)(2)(x).)

[60 FR 12138, Mar. 6, 1995]

§ 32.7350 Gains or losses from the dis-position of certain property.

This account shall include gains orlosses resulting from the disposition ofthe following:

(a) Gains or losses from the disposi-tion of land or artworks;

(b) Gains or losses from the disposi-tion of plant with traffic; and

(c) Gains or losses from the disposi-tion of nonoperating telecommuni-cations plant not previously used inthe provision of telecommunicationsservices.

§ 32.7360 Other nonoperating income.(a) This account shall include all

other items of income and gains orlosses from activities not specificallyprovided for elsewhere.

(b) This account shall include rep-resentative items as follows:

(1) Fees collected in connection withthe exchange of coupon bonds for reg-istered bonds;

(2) Gains or losses realized on thesale of temporary cash investments ormarketable equity securities;

(3) Uncollectible amounts previouslycredited to accounts 7310 through 7350,inclusive;

(4) Net unrealized losses on invest-ments in current marketable equity se-curities;

(5) Write-downs or write-offs of thebook costs of investment in equity se-curities due to permanent impairment;

(6) Gains or losses of nonoperatingnature arising from foreign currencyexchange or translation;

(7) Gains or losses from the extin-guishment of debt made to satisfysinking fund requirements;

(8) Amortization of Goodwill;(9) Company’s share of the earnings

or losses of affiliated companies ac-counted for on the equity method; and

(10) The net balance of the revenuefrom and the expenses (including de-preciation, amortization and insur-ance) of property, plant, and equip-ment, the cost of which is includable inAccount 2006, Nonoperating Plant.

§ 32.7370 Special charges.This account shall include the fol-

lowing costs that are typically givenspecial regulatory scrutiny for rate-making purposes. Unless specific jus-tification to the contrary is given, suchcosts are presumed to be excluded fromthe costs of service in setting rates.

(a) Lobbying includes expendituresfor the purpose of influencing publicopinion with respect to the election orappointment of public officials,


472

47 CFR Ch. I (10–1–01 Edition)§ 32.7399

referenda, legislation, or ordinances(either with respect to the possibleadoption of new referenda, legislationor ordinances, or repeal or modifica-tion of existing referenda, legislationor ordinances) or approval, modifica-tion, or revocation of franchises, or forthe purpose of influencing the deci-sions of public officials. This also in-cludes advertising, gifts, honoraria,and political contributions. This doesnot include such expenditures whichare directly related to communicationswith and appearances before regulatoryor other governmental bodies in con-nection with the reporting utility’s ex-isting or proposed operations;

(b) Contributions for charitable, so-cial or community welfare purposes;

(c) Membership fees and dues in so-cial, service and recreational or ath-letic clubs and organizations;

(d) Penalties and fines paid on ac-count of violations of statutes. This ac-count shall also include penalties andfines paid on account of violations ofU.S. antitrust statutes, includingjudgements and payments in settle-ment of civil and criminal suits alleg-ing such violations; and

(e) Abandoned construction projects.

[51 FR 43499, Dec. 2, 1986, as amended at 54FR 22758, May 26, 1989; 62 FR 20126, Apr. 25,1997]

§ 32.7399 Content of accounts.The Nonoperating Tax accounts shall

include taxes arising from activitieswhich are not a part of the central op-erations of the entity.

§ 32.7400 Nonoperating taxes.This account number shall be used by

Class A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 7410 through 7450.Class B telephone companies shall usethis account for nonoperating taxes ofthe type and character required ofClass A companies in Accounts 7410through 7450.

§ 32.7410 Nonoperating investment taxcredits—net.

(a) This account shall be charged andAccount 4330, Unamortized Nonop-erating Investment Tax Credits—Net,shall be credited with investment taxcredits generated from qualified ex-

penditures related to other operationswhich the company has elected to deferrather than recognize currently in in-come.

(b) This account shall be credited andAccount 4330 shall be charged with theamortization of each year’s investmenttax credits included in such accountsrelating to amortization of previouslydeferred investment tax credits ofother property or regulated property,the amortization of which does notserve to reduce costs of service (but theunamortized balance does reduce ratebase) for ratemaking purposes. Suchamortization shall be determined withreference to the period of time used forcomputing book depreciation on theproperty with respect to which the taxcredits relate.

§ 32.7420 Nonoperating Federal in-come taxes.

(a) This account shall be charged andAccount 4070, Income Taxes—Accrued,shall be credited for the amount ofnonoperating Federal income taxes forthe current period. This account shallalso reflect subsequent adjustments toamounts previously charged.

(b) Taxes shall be accrued eachmonth on an estimated basis and ad-justments made as later data becomesavailable.

(c) Companies that adopt the flow-through method of accounting for in-vestment tax credits shall reduce thecalculated provision in this account bythe entire amount of the credit realizedduring the year. Tax credits, otherthan investment tax credits, if normal-ized, shall be recorded consistent withthe accounting for investment taxcredits.

(d) No entries shall be made to thisaccount to reflect interperiod tax allo-cation.

§ 32.7430 Nonoperating state and localincome taxes.

(a) This account shall be charged andAccount 4070, Income Taxes—Accrued,should be credited for the amount ofstate and local income taxes for thecurrent period. This account shall alsoreflect subsequent adjustments toamounts previously charged.


473


(b) Taxes shall be accrued eachmonth on an estimated basis and ad-justments made as later data becomesavailable.

(c) No entries shall be made to thisaccount to reflect interperiod tax allo-cation.

§ 32.7440 Nonoperating other taxes.This account shall be charged and

Account 4080, Other Taxes—Accrued,shall be credited for all nonoperatingtaxes, other than Federal, state andlocal income taxes, and payroll relatedtaxes for the current period. Amongthe items includable in this accountare property, gross receipts, franchiseand capital stock taxes. This accountshall also reflect subsequent adjust-ments to amounts previously charged.

§ 32.7450 Provision for deferred non-operating income taxes—net.

(a) This account shall be charged orcredited, as appropriate, with contraenties recorded to the following ac-counts for nonoperating tax expensesthat has been deferred in accordancewith § 32.22 of subpart B:

4110 Net Current Deferred Nonop-erating Income Taxes

4350 Net Noncurrent Deferred Nonop-erating Income Taxes

(b) Subsidiary record categories shallbe maintained to distinguish betweenproperty and nonproperty related de-ferrals and so that the company mayseparately report the amounts con-tained herein that relate to Federal,state and local income taxes. Such sub-sidiary record categories shall be re-ported as required by part 43 of thisCommission’s Rules and Regulations.

§ 32.7499 Content of accounts.Interest and related amounts shall be

included in Accounts 7510 through 7540.

§ 32.7500 Interest and related items.This account number shall be used by

Class A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 7510 through 7540.Class B telephone companies shall usethis account for interest and relateditems of the type and character re-quired of Class A companies in Ac-counts 7510 through 7540.

§ 32.7510 Interest on funded debt.(a) This account shall include the

current accruals of interest on allclasses of debt the principal of which isincludable in Account 4210, FundedDebt. It shall also include the intereston funded debt the maturity of whichhas been extended by specific agree-ment.

(b) This account shall be kept so thatthe interest on each class of fundeddebt may be shown separately in theannual reports to this Commission.

(c) These accounts shall not includecharges for interest on funded debtissued or assumed by the company andheld by or for it, whether pledged ascollateral or held in its treasury, inspecial deposits or in sinking or otherfunds.

(d) Interest expressly provided forand included in the face amount of se-curities issued shall be charged at thetime of issuance to Account 1330, OtherPrepayments, and cleared to this ac-count as the term expires to which theinterest applies.

(e) This account shall also includemonthly amortization of balances inAccounts 4220, Premium on Long-TermDebt, and 4230, Discount on Long-TermDebt.

§ 32.7520 Interest expense—capitalleases.

This account shall include the inter-est portion of each capital lease pay-ment.

§ 32.7530 Amortization of debtissuance expense.

This account shall include themonthly amortization of the balancesin Account 1407, Unamortized DebtIssuance Expense.

§ 32.7540 Other interest deductions.(a) This account shall include all in-

terest deductions not provided for else-where, e.g., discount, premium, and ex-pense on notes maturing one year ofless from date of issue.

(b) A list of representative items ofindebtedness, the interest on which ischargeable to this account, follows:

(1) Advances from affiliated compa-nies;

(2) Advances from nonaffiliated com-panies and other liabilities


474

47 CFR Ch. I (10–1–01 Edition)§ 32.7599

(3) Assessments for public improve-ments past due;

(4) Bond coupons, matured and un-paid;

(5) Claims and judgments;(6) Customers’ deposits;(7) Funded debt mature, with respect

to which a definite agreement as to ex-tension has not been made;

(8) Notes payable on demand or ma-turing one year or less from date ofissue;

(9) Open accounts;(10) Tax assessments, past due; and(11) Discount, premium, and issuance

expense of notes maturing one year orless from date of issue.

(c) Interest payable on notes or otherevidences of indebtedness maturing se-rially shall be charged to Account 7510,Interest of Funded Debt, if any portionof the obligation matures more thanone year from date of issue.

§ 32.7599 Content of accounts.These accounts are intended to seg-

regate the effects of events or trans-actions that are extraordinary. Ex-traordinary events and transactionsare distinguished by both their unusualnature and by the infrequency of theiroccurrence, taking into account the en-vironment in which the company oper-ates. These accounts shall also includethe related income tax effect of the ex-traordinary items.

§ 32.7600 Extraordinary items.This account number shall be used by

Class A telephone companies to sum-marize for reporting purposes the con-tents of Accounts 7610 through 7640.Class B telephone companies shall usethis account for transactions of thetype and character required of Class Acompanies in Accounts 7610 through7640.

§ 32.7610 Extraordinary income cred-its.

This account shall be credited withnontypical, noncustomary and infre-quently recurring gains which wouldsignificantly distort the current year’sincome computed before such extraor-dinary items, if reported other than asextraordinary items. Income tax relat-ing to the amounts recorded in this ac-count shall be recorded in Account

7630, Current Income Tax Effect for Ex-traordinary Items—Net, and Account7640, Provision for Deferred Income TaxEffect of Extraordinary Items—Net.

§ 32.7620 Extraordinary incomecharges.

This account shall be debited withnontypical, noncustomary and infre-quently recurring losses which wouldsignificantly distort the current year’sincome computed before such extraor-dinary items, if reported other than asextraordinary items. Income tax relat-ing to the amounts recorded in this ac-count shall be recorded in Account7630, Current Income Tax Effect for Ex-traordinary Items—Net, and Account7640, Provision for Deferred Income TaxEffect of Extraordinary Items—Net.

[54 FR 22758, May 26, 1989]

§ 32.7630 Current income tax effect ofextraordinary items—net.

This account shall be charged orcredited and Account 4070, IncomeTaxes—Accrued, shall be credited orcharged for all current income tax ef-fects (Federal, state and local) of itemsincluded in Accounts 7610, Extraor-dinary Income Credits, and 7620, Ex-traordinary Income Charges.

§ 32.7640 Provision for deferred in-come tax effect of extraordinaryitems—net.

This account shall be charged orcredited, as appropriate, with a contraamount recorded to Account 4350, NetNoncurrent Deferred Nonoperating In-come Taxes or Account 4110, Net Cur-rent Deferred Nonoperating IncomeTaxes for the income tax effects (Fed-eral, state and local) of items includedin Accounts 7610, Extraordinary In-come Credits, and 7620, ExtraordinaryIncome Charges, that have been de-ferred in accordance with § 32.22 of Sub-part B.

§ 32.7899 Content of accounts.Jurisdictional differences and non-

regulated income amounts shall be in-cluded in Accounts 7910 and 7990.

§ 32.7910 Income effect of jurisdic-tional ratemaking differences—net.

This account shall include the im-pact on revenues and expenses of the


475


jurisdictional ratemaking practiceswhich vary from those of this Commis-sion. All entries recorded in this ac-count shall be recorded net of the ap-plicable income tax effects and shall besupported by appropriate subsidiaryrecords, where necessary, as providedfor in § 32.13(e) of subpart B.

§ 32.7990 Nonregulated net income.(a) This account shall be used by

those companies who offer nonregu-lated activities that do not involve thejoint or common use of assets or re-sources used in the provision of bothregulated and nonregulated productsand services, and which have not estab-lished a separate subsidiary for thatpurpose.

(b) All revenue and expenses (includ-ing taxes) incurred in these nonregu-lated activities shall be recorded onseparate books of account for such op-erations. Only the net of the total reve-nues and total expenses shall be re-corded in this account, with a contradebit or credit to account 1406.3.

[52 FR 6562, Mar. 4, 1987]

Subpart G—Glossary

§ 32.9000 Glossary of terms.When used in this system of ac-

counts:Accelerated depreciation means a de-

preciation method or period of time,including the treatment given cost ofremoval and gross salvage, used in cal-culating depreciation deductions on in-come tax returns which is differentfrom the depreciation method or periodof time prescribed by this Commissionfor use in calculating depreciation ex-pense recorded in a company’s books ofaccount.

Account means a specific element of achart of accounts used to record, clas-sify and accumulate similar financialtransactions resulting from the oper-ations of the entity. ‘‘Accounts’’ or‘‘these accounts’’ refer to the accountsof this system of accounts.

Accounting system means the total setof interrelated principles, rules, re-quirements, definitions, accounts,records, procedures and mechanismsnecessary to operate and evaluate theentity from a financial perspective. An

accounting system generally consistsof a chart of accounts, various parallelsubsystems and subsidiary records. Anaccounting system is utilized to pro-vide the necessary financial informa-tion to users to meet judiciary andother responsibilities.

Affiliated companies means companiesthat directly or indirectly through oneor more intermediaries, control or arecontrolled by, or are under commoncontrol with, the accounting company.See also Control.

Amortization means the systematicrecoveries, through ratable charges toexpense, of the cost of assets.

Associated equipment means thatequipment which functions with a spe-cific type of plant or with two (2) ormore types of plant, e.g., switchingequipment, network power equipment,circuit equipment, common channelnetwork signaling equipment or net-work operations equipment. Associatedequipment shall be classified to the ac-count appropriate for the type of equip-ment with which it is predominatelyused rather than on its own character-istics.

Illustrative examples of associatedequipment are:

Alarm and signal apparatusAuxiliary framingCable and cable racksDistributing frames and equipment thereonFrame and aisle lighting equipment (not per-

manently attached to the building)Relay racks and panels

Basic service area means the min-imum specified calling area for which atariff is prescribed.

Book cost means the amount at whichproperty is recorded in these accounts,without deduction of related allow-ances.

Common carrier or carrier means anyperson engaged as a common carrierfor hire, in interstate or foreign com-munication by wire or radio or ininterstate or foreign radio trans-mission of energy, except where ref-erence is made to common carriers notsubject to this Act; but a person en-gaged in radio broadcasting shall not,insofar as such person is so engaged, bedeemed a common carrier.

Company or the company, when nototherwise indicated in the context,


476

47 CFR Ch. I (10–1–01 Edition)§ 32.9000

means the accounting entity. It in-cludes such unincorporated entitieswhich may be subject to the Commu-nications Act of 1934, as amended.

Control (including the terms ‘‘con-trolling,’’ ‘‘controlled by,’’ and ‘‘undercommon control with’’) means the pos-session directly or indirectly, of thepower to direct or cause the directionof the management and policies of acompany, whether such power is exer-cised through one or more inter-mediary companies, or alone, or in con-junction with, or pursuant to an agree-ment with, one or more other compa-nies, and whether such power is estab-lished through a majority or minorityownership or voting of securities, com-mon directors, officers, or stock-holders, voting trusts, holding trusts,affiliated companies, contract, or anyother direct or indirect means.

Cost, except as applied to tele-communications plants, franchises, andpatent rights, means the amount ofmoney actually paid (or the currentmoney value of any considerationother than money exchanged) for prop-erty or services. See also Original Cost.

Cost of removal means the cost of de-molishing, dismantling, removing,tearing down, or otherwise disposing oftelecommunications plant and recov-ering the salvage, including the cost oftransportation and handling incidentthereto.

Depreciation means the loss not re-stored by current maintenance, in-curred in connection with the con-sumption or prospective retirement oftelecommunications plant in thecourse of service from causes which areknown to be in current operation,against which the company is not pro-tected by insurance, and the effect ofwhich can be forecast with a reason-able approach to accuracy. Among thecauses to be given consideration arewear and tear, decay, action of the ele-ments, inadequacy, obsolescence,changes in technology, changes in de-mand and requirements of public au-thorities.

Entity means a legal enterprise (com-mon carrier) engaged in interstatecommunications within the meaning ofthe Communications Act of 1934, asamended.

Group plan, as applied to depreciationaccounting, means the plan underwhich depreciation charges are accruedupon the basis of the original cost ofall property included in each depre-ciable plant account, using the averageservice life thereof properly weighted,and upon the retirement of any depre-ciable property its cost is charged tothe depreciation reserve whether or notthe particular item has attained theaverage service life.

Indexed revenue threshold for a givenyear means $100 million, adjusted forinflation, as measured by the Depart-ment of Commerce Gross DomesticProduct Chain-type Price Index (GDP–CPI), for the period from October 19,1992 to the given year. The indexed rev-enue threshold for a given year shall bedetermined by multiplying $100 millionby the ratio of the annual value of theGDP–CPI for the given year to the esti-mated seasonally adjusted GDP–CPI onOctober 19, 1992. The indexed revenuethreshold shall be rounded to the near-est $1 million. The seasonally adjustedGDP–CPI on October 19, 1992 is deter-mined to be 100.69.

Intangible property means assets thathave no physical existence but insteadhave value because of the rights whichownership confers.

Intrasystems means assets consistingof:

(1) PBX and Key System CommonEquipment (a switchboard or switchingequipment shared by all stations);

(2) Associated CPE station equipment(usually telephone or Key TelephoneSystems); and

(3) Intrasystem wiring (all cable orwiring and associated componentswhich connect the common equipmentand the station equipment, located onthe customer’s side of the demarcationpoint).

An intrasystem does not includeproperty, plant or equipment which arenot solely dedicated to its operation.

Mid-sized incumbent local exchangecarrier is a carrier whose operating rev-enue equals or exceeds the indexed rev-enue threshold and whose revenuewhen aggregated with the revenues ofany local exchange carrier that it con-trols, is controlled by, or with which itis under common control is less than $7billion. Each of these local exchange


477


carriers would be eligible for Class Baccounting, except as noted in § 32.11(b)and (d), even if the annual operatingrevenue of any individual local ex-change carrier exceeds the indexed rev-enue threshold (see definition for in-dexed revenue threshold in this sec-tion).

Minor items, as applied to depreciabletelecommunications plant, means anypart or element of such plant, whichwhen removed, (with or without re-placement) does not initiate retire-ment accounting.

Original cost or cost, as applied totelecommunications plant, rights ofway and other intangible property,means the actual money cost of (or thecurrent money value of any consider-ation other than money exchanged for)property at the time when it was firstdedicated to use by a regulated tele-communications entity, whether theaccounting company or by prede-cessors.

For the application of this definition toproperty acquired from predecessorssee § 32.2000(b)(1) of subpart C. Note alsothe definition of Cost in this section.

Plant retired means plant which hasbeen removed, sold, abandoned, de-stroyed, or otherwise withdrawn fromservice.

Retirement units, as applied to depre-ciable telecommunications plant,means those items of plant which whenremoved (with or without replacement)cause the initiation of retirement ac-counting entries.

Salvage value means the amount re-ceived for property retired, if sold, or ifretained for reuse, the amount atwhich the material recovered ischargeable to Account 1220, Materialand Supplies, or other appropriate ac-count.

Straight-line method, as applied to de-preciation accounting, means the planunder which the cost of property ischarged to operating expenses andcredited to accumulated depreciation

through equal annual charges as nearlyas may be during its service life.

Subsidiary record means accumulationof detailed information which is re-quired by this Commission to be main-tained in support of entries to the ac-counts.

Subsidiary record categories meansthose segregations of certain regulatedcosts, expenses and revenues whichmust be maintained and are subject tospecific reporting requirements of thisCommission.

Subsystems, parallel mechanisms meansprocesses or procedures which augmentthe use of a chart of accounts in the fi-nancial operation of the entity. Thesesubsystems operate on and/or processaccount and subsidiary record informa-tion for specific purposes.

Telecommunications means any trans-mission, emission, or reception ofsigns, signals, writing, images orsounds or intelligence of any nature bywire, radio, visual or other electro-magnetic systems. This encompassesthe aggregate of several modes of con-veying information, signals or mes-sages over a distance. Included in thetelecommunications industry is thetransmitting, receiving, or exchangingof information among multiple loca-tions. The minimum elements requiredfor the telecommunications process tooccur are a message source, a trans-mission medium and a receiver.

Time of installation means the date atwhich telecommunications plant isplaced in service.

Time of retirement means the date atwhich telecommunications plant is re-tired from service.

Tangible property means assets char-acterized by physical existence, such asland, buildings, equipment, furniture,fixtures and tools.

[51 FR 43499, Dec. 2, 1986, as amended at 61FR 50245, Sept. 25, 1996; 62 FR 39778, July 24,1997; 62 FR 51064, Sept. 30, 1997; 64 FR 50008,Sept. 15, 1999]


478


1 The Commission has determined that thesame jurisdictional separations used in thecontiguous states are to be used for Alaska,Hawaii, Puerto Rico and the Virgin Islands.Integration of Rates and Services, Docket No.21263, 87 FCC 2nd 18 (1981); Integration of Ratesand Services, Docket No. 21264, 72 FCC 2nd 699(1979).

PART 36—JURISDICTIONAL SEPA-RATIONS PROCEDURES; STAND-ARD PROCEDURES FOR SEPA-RATING TELECOMMUNICATIONSPROPERTY COSTS, REVENUES, EX-PENSES, TAXES AND RESERVESFOR TELECOMMUNICATIONSCOMPANIES 1

Subpart A—General

Sec.36.1 General.36.2 Fundamental principles underlying pro-

cedures.36.3 Freezing of jurisdictional separations

category relationships and/or allocationfactors.

Subpart B—Telecommunications Property

GENERAL

36.101 Section arrangement.36.102 General.

GENERAL SUPPORT FACILITIES

36.111 General.36.112 Apportionment procedure.

CENTRAL OFFICE EQUIPMENT

36.121 General.36.122 Categories and apportionment proce-

dures.36.123 Operator systems equipment—Cat-

egory 1.36.124 Tandem switching equipment—Cat-

egory 2.36.125 Local switching equipment—Category

3.36.126 Circuit equipment—Category 4.

INFORMATION ORIGINATION/TERMINATION (IOT)EQUIPMENT

36.141 General.36.142 Categories and apportionment proce-

dures.

CABLE AND WIRE FACILITIES

36.151 General.36.152 Categories of Cable and Wire Facili-

ties (C&WF).36.153 Assignment of Cable and Wire Facili-

ties (C&WF) to categories.

36.154 Exchange Line Cable and Wire Facili-ties (C&WF)—Category 1—apportionmentprocedures.

36.155 Wideband and exchange truck(C&WF)—Category 2—apportionmentprocedures.

36.156 Interexchange Cable and Wire Facili-ties (C&WF)—Category 3—apportionmentprocedures.

36.157 Host/remote message Cable and WireFacilities (C&WF)—Category 4—appor-tionment procedures.

AMORTIZABLE ASSETS

36.161 Tangible assets—Account 2680.36.162 Intangible assets—Account 2690.

TELECOMMUNICATIONS PLANT—OTHER

36.171 Property held for future tele-communications use—Account 2002; Tele-communications plant under construc-tion—Account 2003; and Telecommuni-cations plant adjustment—Account 2005.

RURAL TELEPHONE BANK STOCK

36.172 Investment in nonaffiliated compa-nies—Account 1402.

MATERIAL AND SUPPLIES AND CASH WORKINGCAPITAL

36.181 Material and supplies—Account 1220.36.182 Cash working capital.

EQUAL ACCESS EQUIPMENT

36.191 Equal access equipment.

Subpart C—Operating Revenues andCertain Income Accounts

GENERAL


OPERATING REVENUES

36.211 General.36.212 Basic local services revenue—Account

5000.36.213 Network access services revenues.36.214 Long distance message revenue—Ac-

count 5100.36.215 Miscellaneous revenue—Account 5200.36.216 Uncollectible revenue—Account 5300.

CERTAIN INCOME ACCOUNTS

36.221 Other operating income and ex-penses—Account 7100.

36.222 Nonoperating income and expenses—Account 7300.

36.223 Interest and related items—Account7500.

36.224 Extraordinary items—Account 7600.36.225 Income effect of jurisdictional rate-

making differences—Account 7910.


479


Subpart D—Operating Expenses and Taxes

GENERAL


PLANT SPECIFIC OPERATIONS EXPENSES

36.310 General.

NETWORK SUPPORT/GENERAL SUPPORTEXPENSES

36.311 Network support expenses—Account6110 and general support expenses—Ac-count 6120.

CENTRAL OFFICE EXPENSES

36.321 Central office expenses—Accounts6210, 6220, and 6230.

INFORMATION ORIGINATION/TERMINATIONEXPENSES

36.331 Information origination/terminationexpenses—Account 6310.

CABLE AND WIRE FACILITIES EXPENSES

36.341 Cable and wire facilities expenses—Account 6410.

PLANT NONSPECIFIC OPERATIONS EXPENSES

36.351 General.

PLANT EXPENSES—OTHER

36.352 Other property plant and equipmentexpenses—Account 6510.

NETWORK OPERATIONS EXPENSES

36.353 Network operations expenses—Ac-count 6530.

36.354 Access expenses—Account 6540.

DEPRECIATION AND AMORTIZATION EXPENSES

36.361 Depreciation and amortization ex-penses—Account 6560.

CUSTOMER OPERATIONS EXPENSES

36.371 General.36.372 Marketing—Account 6610.36.373 Services—Account 6620.36.374 Telephone operator services.36.375 Published directory listing.36.376 All other.36.377 Category 1—Local business office ex-

pense.36.378 Category 2—Customer services (rev-

enue accounting).36.379 Message processing expense.36.380 Other billing and collecting expense.36.381 Carrier access charge billing and col-

lecting expense.36.382 Category 3—All other customer serv-

ices expense.

CORPORATE OPERATIONS EXPENSE

36.391 General.

36.392 Executive and planning—Account6710, and general and administrative—Account 6720.

OPERATING TAXES

36.411 Operating taxes—Account 7200.36.412 Apportionment procedures.

EQUAL ACCESS EXPENSES

36.421 Equal access expenses.

Subpart E—Reserves and Deferrals

36.501 General.36.502 Other jurisdictional assets—Net—Ac-

count 1500.36.503 Accumulated depreciation—Account

3100.36.504 Accumulated depreciation—Property

held for future telecommunications use—Account 3200.

36.505 Accumulated amortization—Tan-gible—Account 3400. Accumulated amor-tization—Intangible—Account 3500, andaccumulated amortization—Other—Ac-count 3600.

36.506 Net current deferred operating in-come taxes—Account 4100, Net noncur-rent deferred operating income taxes—Account 4340.

36.507 Other jurisdictional liabilities anddeferred credits—Net—Account 4370.

Subpart F—Universal Service Fund

GENERAL

36.601 General.36.602 Calculation of non-rural carrier por-

tion of nationwide loop cost expense ad-justment.

36.603 Calculation of rural incumbent localexchange carrier portion of nationwideloop cost expense adjustment.

36.604 Calculation of the rural growth fac-tor.

36.605 Calculation of safety net additive.

DATA COLLECTION

36.611 Submission of information to the Na-tional Exchange Carrier Association(NECA).

36.612 Updating information submitted tothe National Exchange Carrier Associa-tion.

36.613 Submission of information by the Na-tional Exchange Carrier Association.

CALCULATION OF LOOP COSTS FOR EXPENSEADJUSTMENT

36.621 Study area total unseparated loopcost.

36.622 National and study area averageunseparated loop costs.


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47 CFR Ch. I (10–1–01 Edition)§ 36.1

CALCULATION OF EXPENSE ADJUSTMENT—AD-DITIONAL INTERSTATE EXPENSE ALLOCATION

36.631 Expense adjustment.

TRANSITIONAL EXPENSE ADJUSTMENT

36.641 Transition.

Subpart G—Lifeline Connection AssistanceExpense Allocation

36.701 General.

DEFINITIONS

36.711 Lifeline connection assistance.

TELEPHONE COMPANY ELIGIBILITY

36.721 Telephone company eligibility forlifeline connection assistance expense al-location.

DATA COLLECTION

36.731 Submission of information to the Na-tional Exchange Carrier Association.

CALCULATION OF LIFELINE CONNECTIONASSISTANCE EXPENSE ADJUSTMENT

36.741 Expense adjustment.APPENDIX—GLOSSARY

AUTHORITY: 47 U.S.C. Secs. 151, 154 (i) and(j), 205, 221(c), 254, 403 and 410.


Subpart A—General§ 36.1 General.

(a) This part contains an outline ofseparations procedures for tele-communications companies on the sta-tion-to-station basis. These proceduresare applicable either to property costs,revenues, expenses, taxes, and reservesas recorded on the books of the com-pany or to estimated amounts.

(1) Where a value basis is used in-stead of book costs, the ‘‘costs’’ re-ferred to are the ‘‘values’’ of the prop-erty derived from the valuation.

(b) The separations procedures setforth in this part are designed pri-marily for the allocation of propertycosts, revenues, expenses, taxes and re-serves between state and interstate ju-risdictions. For separations, where re-quired, of the state portion between ex-change and toll or for separations of in-dividual exchanges or special services,further analyses and studies may be re-quired to adapt the procedures to suchadditional separations.

(c) The fundamental basis on whichseparations are made is the use of tele-communications plant in each of theoperations. The first step is the assign-ment of the cost of the plant to cat-egories. The basis for making this as-signment is the identification of theplant assignable to each category andthe determination of the cost of theplant so identified. The second step isthe apportionment of the cost of theplant in each category among the oper-ations by direct assignment where pos-sible, and all remaining costs are as-signed by the application of appro-priate use factors.

(d) In assigning book costs to cat-egories, the costs used for certain plantclasses are average unit costs whichequate to all book costs of a particularaccount or subaccount; for other plantclasses, the costs used are those whicheither directly approximate book costlevels or which are equated to matchtotal book costs at a given location.

(e) The procedures outlined herein re-flect ‘‘short-cuts’’ where practicableand where their application producessubstantially the same separations re-sults as would be obtained by the use ofmore detailed procedures, and they as-sume the use of records generallymaintained by TelecommunicationsCompanies.

(f) The classification to accounts oftelecommunications property, reve-nues, expenses, etc., set forth in thismanual is that prescribed by the Fed-eral Communications Commission’sUniform System of Accounts for Tele-communications Companies.

(g) In the assignment of propertycosts to categories and in the appor-tionment of such costs among the oper-ations, each amount so assigned andapportioned is identified as to the ac-count classification in which the prop-erty is included. Thus, the separatedresults are identified by property ac-counts and apportionment bases areprovided for those expenses which areseparated on the basis of the apportion-ment of property costs. Similarly,amounts of revenues and expenses as-signed each of the operations are iden-tified as to account classification.

(h) The separations procedures de-scribed in this part are not to be inter-preted as indicating what property,


481


revenues, expenses and taxes, or whatitems carried in the income, reserveand retained earnings accounts, shouldor should not be considered in any in-vestigation or rate proceeding.

§ 36.2 Fundamental principles under-lying procedures.

(a) The following general principlesunderlie the procedures outlined in thispart:

(1) Separations are intended to appor-tion costs among categories or jurisdic-tions by actual use or by direct assign-ment.

(2) Separations are made on the ‘‘ac-tual use’’ basis, which gives consider-ation to relative occupancy and rel-ative time measurements.

(3) In the development of ‘‘actualuse’’ measurements, measurements ofuse are (i) determined for tele-communications plant or for work per-formed by operating forces on a unitbasis (e.g., conversation-minute-kilo-meters per message, weighted standardwork seconds per call) in studies oftraffic handled or work performed dur-ing a representative period for all traf-fic and (ii) applied to overall trafficvolumes, i.e., 24-hour rather than busy-hour volumes.

(b) Underlying the procedures in-cluded in this manual for the separa-tion of plant costs is an over-all con-cept which may be described as follows:

(1) Telecommunications plant, ingeneral, is segregable into two broadclassifications, namely, (i) inter-exchange plant, which is plant usedprimarily to furnish toll services, and(ii) exchange plant, which is plant usedprimarily to furnish local services.

(2) Within the interexchange classi-fication, there are three broad types ofplant, i.e., operator systems, switchingplant, and trunk transmission equip-ment. Within the exchange classifica-tion there are four board types ofplant, i.e., operator systems, switchingplant, truck equipment and subscriberplant. Subscriber plant comprises linesto the subscriber.

(3) In general, the basis for appor-tioning telecommunications plant usedjointly for state and interstate oper-ations are:

(i) Operator work time expressed inweighted standard work seconds is the

basis for measuring the use of operatorsystems.

(ii) Holding-time-minutes is the basisfor measuring the use of toll switchingplant.

(iii) Conversation-minute-kilometersor conversation minutes is the basis formeasuring the use of interexchange cir-cuit plant and holding-time minutes isthe basis for measuring the use of ex-change trunk plant. While the use ofholding-time-minute-kilometers is thebasic fundamental allocation factor forinterexchange circuit plant and ex-change trunk plant, the use of con-versation-minute-kilometers or con-versation-minutes for the allocation ofinterexchange circuit plant and hold-ing-time minutes for the allocation ofexchange trunk plant are consideredpractical approximations for separa-tions between state and interstate op-erations when related to the broadtypes of plant classifications used here-in.

(iv) A subscriber plant factor is thebasis of apportioning the cost of mes-sage telecommunications subscriberplant and local switching plant be-tween State and interstate operations.The subscriber plant factor is devel-oped and used according to the proce-dures set forth in §§ 36.154(c) through36.154(f).

(c) Property rented to affiliates, ifnot substantial in amount, is includedas used property of the owning com-pany with the associated revenues andexpenses treated consistently: Alsosuch property rented from affiliates isnot included with the used property ofthe company making the separations;the rent paid is included in its ex-penses. If substantial in amount, thefollowing treatment is applied:

(1) In the case of property rented toaffiliates, the property and related ex-penses and rent revenues are excludedfrom the telephone operations of theowning company, and

(2) In the case of property rentedfrom affiliates, the property and re-lated expenses are included with, andthe rent expenses are excluded from,the telephone operations of the com-pany making the separation.

(d) Property rented to or from non-affiliates is usually to be included asused property of the owning company


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47 CFR Ch. I (10–1–01 Edition)§ 36.3

with the associated revenues and ex-penses treated consistently. In theevent the amount is substantial, theproperty involved and the revenues andexpenses associated therewith may beexcluded from or included in the tele-communications operations of thecompany. When required, the cost ofproperty rented to or from non-affili-ates is determined using proceduresthat are consistent with the proceduresfor the allocation of costs among theoperations.

(e) Costs associated with services orplant billed to another company whichhave once been separated under proce-dures consistent with general prin-ciples set forth in this part, and arethus identifiable as entirely interstateor State in nature, shall be directly as-signed to the appropriate operation andjurisdiction.

[52 FR 17229, May 6, 1987, as amended at 58FR 44905, Aug. 25, 1993]

§ 36.3 Freezing of jurisdictional sepa-rations category relationships and/or allocation factors.

(a) Effective July 1, 2001, throughJune 30, 2006, all local exchange car-riers subject to part 36 rules shall ap-portion costs to the jurisdictions usingtheir study area and/or exchange spe-cific jurisdictional allocation factorscalculated during the twelve month pe-riod ending December 31, 2000, for eachof the categories/sub-categories asspecified herein. Direct assignment ofprivate line service costs between ju-risdictions shall be updated annually.Other direct assignment of investment,expenses, revenues or taxes between ju-risdictions shall be updated annually.Local exchange carriers that invest intelecommunications plant categoriesduring the period July 1, 2001, throughJune 30, 2006, for which it had no sepa-rations allocation factors for thetwelve month period ending December31, 2000, shall apportion that invest-ment among the jurisdictions in ac-cordance with the separations proce-dures in effect as of December 31, 2000for the duration of the freeze.

(b) Effective July 1, 2001, throughJune 30, 2006, local exchange carrierssubject to price cap regulation, pursu-ant to § 61.41, shall assign costs fromthe part 32 accounts to the separations

categories/sub-categories, as specifiedherein, based on the percentage rela-tionships of the categorized/sub-cat-egorized costs to their associated part32 accounts for the twelve month pe-riod ending December 31, 2000. If a part32 account for separations purposes iscategorized into more than one cat-egory, the percentage relationshipamong the categories shall be utilizedas well. Local exchange carriers thatinvest in types of telecommunicationsplant during the period July 1, 2001,through June 30, 2006, for which it hadno separations category investment forthe twelve month period ending De-cember 31, 2000, shall assign such in-vestment to separations categories inaccordance with the separations proce-dures in effect as of December 31, 2000.Local exchange carriers not subject toprice cap regulation, pursuant to § 61.41of this chapter, may elect to be subjectto the provisions of § 36.3(b). Such elec-tion must be made prior to July 1, 2001.Local exchange carriers electing to be-come subject to § 36.3(b) shall not be el-igible to withdraw from such regula-tion for the duration of the freeze.Local exchange carriers participatingin Association tariffs, pursuant to§ 69.601 of this chapter et seq., shall no-tify the Association prior to July 1,2001, of such intent to be subject to theprovisions of § 36.3(b). Local exchangecarriers not participating in Associa-tion tariffs shall notify the Commis-sion prior to July 1, 2001, of such intentto be subject to the provisions of§ 36.3(b).

(c) Effective July 1, 2001, throughJune 30, 2006, any local exchange car-rier that sells or otherwise transfersexchanges, or parts thereof, to anothercarrier’s study area shall continue toutilize the factors and, if applicable,category relationships as specified in§§ 36.3(a) and (b).

(d) Effective July 1, 2001, throughJune 30, 2006, any local exchange car-rier that buys or otherwise acquires ex-changes or part thereof, shall calculatenew, composite factors and, if applica-ble, category relationships based on aweighted average of both the seller’sand purchaser’s factors and categoryrelationships calculated pursuant to§§ 36.3(a) and 36.3(b). This weighted av-erage should be based on the number of


483


access lines currently being served bythe acquiring carrier and the numberof access lines in the acquired ex-changes.

(1) To compute the composite alloca-tion factors and, if applicable, the com-posite category percentage relation-ships of the acquiring company, the ac-quiring carrier shall first sum its exist-ing (pre-purchase) access lines (A) withthe total access lines acquired fromselling company (B). Then, multiply itsfactors and category relationship per-centages by (A/(A+B)) and those of theselling company by (B/(A+B)) and sumthe results.

(2) For carriers subject to a freeze ofcategory relationships, the acquiringcarrier should remove all categories ofinvestment from the selling carrier’slist of frozen category relationshipswhere no such category investment ex-ists within the sold exchange(s). Theseller’s remaining category relation-ships must then be increased propor-tionately to total 100 percent. Then,the adjusted seller’s category relation-ships must be combined with those ofthe acquiring carrier as specified in§ 36.3(d)(1) to determine the categoryrelationships for the acquiring carrier’spost-transfer study area.

(e) Any local exchange carrier studyarea converting from average schedulecompany status, as defined in § 69.605(c)of this chapter, to cost company statusduring the period July 1, 2001, throughJune 30, 2006, shall, for the first twelvemonths subsequent to conversion cat-egorize the telecommunications plantand expenses and develop separationsallocation factors in accordance withthe separations procedures in effect asof December 31, 2000. Effective July 1,2001 through June 30, 2006, such compa-nies shall utilize the separations allo-cation factors and account categoriza-tion subject to the requirements of§§ 36.3(a) and (b) based on the categoryrelationships and allocation factors forthe twelve months subsequent to theconversion to cost company status.

[66 FR 33204, June 21, 2001]

Subpart B—TelecommunicationsPropertyGENERAL

§ 36.101 Section arrangement.(a) This subpart is arranged in sec-

tions as follows:

GENERAL

Telecommunications Plant in Service—Ac-count 2001—36.101 and 36.102.

General Support Facilities—Account 2110—36.111 and 36.112.

Central Office Equipment—Accounts 2210,2220, 2230—36.121 thru 36.126.

Information Origination/Termination Equip-ment—Account 2310—36.141 and 36.142.

Cable and Wire Facilities—Account 2410—36.151 thru 36.157.

Amortization Assets—Accounts 2680 and2690—36.161 and 36.162.

Telecommunications Plant—Other Accounts2002 thru 2005—36.171.

Rural Telephone Bank Stock—36.172.Material and Supplies—Accounts 1220, and

Cash Working Capital—36.181 and 36.182.Equal Access Equipment—36.191.

[60 FR 12138, Mar. 6, 1995]

§ 36.102 General.(a) This section contains an outline

of the procedures used in the assign-ment of Telecommunications Plant inService—Account 2001 to categoriesand the apportionment of the cost as-signed to each category among the op-erations.

(b) The treatment of rental plant isoutlined in §§ 36.2(c) through 36.2(e). Ifthe amount of such plant is substan-tial, the cost may be determined byusing the general procedures set forthfor the assignment of the various kindsof property to categories.

(c) The amount of depreciation de-ductible from the book cost or ‘‘value’’is apportioned among the operations inproportion to the separation of the costof the related plant accounts.

GENERAL SUPPORT FACILITIES

§ 36.111 General.(a) The costs of the general support

facilities are contained in Account2110, Land and Support Assets. This ac-count contains land, buildings, motor


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47 CFR Ch. I (10–1–01 Edition)§ 36.112

vehicles, aircraft, special purpose vehi-cles, garage work equipment, otherwork equipment, furniture, officeequipment and general purpose com-puters.

§ 36.112 Apportionment procedure.(a) The costs of the general support

facilities of Class A Companies (whichare defined in part 32 of the Commis-sion’s Rules) are apportioned amongthe operations on the basis of the sepa-ration of the costs of the combined BigThree Expenses which include the fol-lowing accounts:

PLANT SPECIFIC EXPENSES

6210 Central Office Switching Expenses6220 Operators Systems Expenses6230 Central Office Transmission Expenses6310 Information Origination/Termination

Expenses6410 Cable and Wire Facilities Expenses

PLANT NON-SPECIFIC EXPENSES

6530 Network Operations Expenses


6610 Marketing6620 Services

(b) The costs of the general supportfacilities for Class B Companies (whichare defined by part 32 of the Commis-sion’s Rules) are apportioned amongthe operations on the basis of the sepa-ration of the costs of Central OfficeEquipment, Information Origination/Termination Equipment, and Cable andWire Facilities, combined.


CENTRAL OFFICE EQUIPMENT

§ 36.121 General.(a) The costs of central office equip-

ment are carried in the following ac-counts:Central Office Switching .. Account 2210

Analog ElectronicSwitching.

Account 2211

Digital ElectronicSwitching.

Account 2212

Electro-MechanicalSwitching.

Account 2215

Operator Systems ............. Account 2220Central Office—Trans-

mission.Account 2230

Radio Systems ............... Account 2231Circuit Equipment ......... Account 2232

(b) Records of the cost of central of-fice equipment are usually maintainedfor each study area separately by ac-counts. However, each account fre-quently includes equipment havingmore than one use. Also, equipment inone account frequently is associatedclosely with equipment in the samebuilding in another account. Therefore,the separations procedures for centraloffice equipment have been designed todeal with categories of plant ratherthan with equipment in an account.

(c) In the separation of the cost ofcentral office equipment among the op-erations, the first step is the assign-ment of the equipment in each studyarea to categories. The basic method ofmaking this assignment is the identi-fication of the equipment assignable toeach category, and the determinationof the cost of the identified equipmentby analysis of accounting, engineeringand other records.

(1) The cost of common equipmentnot assigned to a specific category,e.g., common power equipment, includ-ing emergency power equipment, aislelighting and framework, including dis-tributing frames, is distributed amongthe categories in proportion to the costof equipment, (excluding power equip-ment not dependent upon commonpower equipment) directly assigned tocategories.

(i) The cost of power equipment usedby one category is assigned directly tothat category, e.g., 130 volt power sup-ply provided for circuit equipment. Thecost of emergency power equipmentprotecting only power equipment usedby one category is also assigned di-rectly to that category.

(ii) Where appropriate, a weightingfactor is applied to the cost of circuitequipment in distributing the powerplant costs not directly assigned, inorder to reflect the generally greaterpower use per dollar of cost of thisequipment.

(d) The second step is the apportion-ment of the cost of the equipment ineach category among the operationsthrough the application of appropriateuse factors or by direct assignment.


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§ 36.122 Categories and apportionmentprocedures.

(a) The following categories of cen-tral office equipment and apportion-ment procedures therefore are set forthin §§ 36.123 through 36.126.Operator Systems Equip-

ment.Category 1.

Tandem Switching Equip-ment.

Category 2.

Local Switching Equip-ment.

Category 3.

Circuit Equipment ............ Category 4.

§ 36.123 Operator systems equipment—Category 1.

(a) Operator systems equipment iscontained in Account 2220. It includesall types of manual telephone switch-boards except tandem switchboards andthose used solely for recording of call-ing telephone numbers in connectionwith customer dialed charge traffic. Itincludes all face equipment, termi-nating relay circuits of trunk and tollline circuits, cord circuits, cable turn-ing sections, subscriber line equipment,associated toll connecting trunk equip-ment, number checking facilities, tick-et distributing systems, calculagraphs,chief operator and other desks, oper-ator chairs, and other such equipment.

(1) Operator systems equipment isgenerally classified according to oper-ating arrangements of which the fol-lowing are typical:

(i) Separate toll boards(ii) Separate local manual boards(iii) Combined local manual and toll

boards(iv) Combined toll and DSA boards(v) Separate DSA and DSB boards(vi) Service observing boards(vii) Auxiliary service boards(viii) Traffic service positions

(2) If switchboards as set forth in§ 36.123(a) are of the key pulsing type,the cost of the key pulsing senders,link and trunk finder equipment is in-cluded with the switchboards.

(3) DSB boards include the associatedDSB dial equipment, such as link andsender equipment.

(4) Traffic service position systemsinclude the common control and trunkequipment in addition to the associ-ated groups of positions wherever lo-cated.

(5) Effective July 1, 2001, throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the aver-age balance of Account 2220, OperatorSystems, to the categories/subcat-egories, as specified in § 36.123(a)(1),based on the relative percentage as-signment of the average balance of Ac-count 2220 to these categories/subcat-egories during the twelve month periodending December 31, 2000.

(6) Effective July 1, 2001 throughJune 30, 2006, all study areas shall ap-portion the costs assigned to the cat-egories/subcategories, as specified in§ 36.123(a)(1), among the jurisdictionsusing the relative use measurementsfor the twelve month period ending De-cember 31, 2000 for each of the cat-egories/subcategories specified in§§ 36.123 (b) through 36.123(e).

(b) The cost of the following operatorsystems equipment is apportionedamong the operations on the basis ofthe relative number of weighted stand-ard work seconds handled at theswitchboards under consideration.

(1) The following types of switch-boards at toll centers are generally ap-portioned individually:

(i) Separate toll boards. These usuallyinclude outward, through and inwardpositions in separate lines and associ-ated inward toll switchboard positionsin line.

(ii) Switchboards handling both localand toll, either combined or havingsegregated local and toll positions inthe same line.

(iii) Switchboards handling both tolland DSA, either combined or havingsegregated toll and DSA positions inthe same line.

(iv) Traffic service positions, includ-ing separately located groups of thesepositions when associated with a com-mon basic control unit.

(2) The following types of switch-boards at toll centers are apportionedindividually, or by groups of com-parable types of boards for each ex-change:

(i) Separate local manual boards. Thisincludes the local positions of manualboards where inward toll positions arein the same line.

(ii) Separate DSA boards.(iii) Separate DSB boards.


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47 CFR Ch. I (10–1–01 Edition)§ 36.124

(3) Tributary boards may be treatedindividually if warranted or they maybe treated on a group basis.

(c) Auxiliary service boards generallyhandle rate and route, information,and intercept service at individual orjoint positions. The cost of theseboards is apportioned as follows:

(1) The cost of separate directory as-sistance boards is apportioned amongthe operations on the basis of the rel-ative number of weighted standardwork seconds handled at the boardsunder consideration. Directory assist-ance weighted standard work secondsare apportioned among the operationson the basis of the classification ofthese weighted standard work secondsas follows:

(i) Directory assistance weightedstandard work seconds first are classi-fied between calls received over toll di-rectory assistance trunks from opera-tors or customers and all other direc-tory assistance calls.

(ii) The directory assistance weightedstandard work seconds of each typefurther are classified separately amongthe operations on the basis of an anal-ysis of a representative sample of di-rectory assistance calls of each typewith reference to the locations of thecalling and called stations for eachcall.

(2) The cost of separate interceptboards and automated intercept sys-tems in the study area is appportionedamong the operations on the basis ofthe relative number of subscriber lineminutes of use.

(3) The cost of separate rate androute boards is generally included withthe cost of the toll boards served and isapportioned with those boards.

(4) Where more than one auxiliaryservice is handled at an auxiliaryboard, the cost of the board is appor-tioned among the auxiliary services onthe basis of the relative number ofweighted standard work seconds foreach service. The cost of that part ofthe board allocated to each auxiliaryservice is apportioned among the oper-ations in the same manner as for a sep-arate auxiliary board.

(d) The cost of joint exchange andtoll service observing boards is first ap-portioned between exchange and tolluse on the basis of the relative number

of exchange and toll service observingunits at these boards. The cost of sepa-rate toll service observing boards andthe toll portion of joint service observ-ing boards is apportioned between stateand interstate operations on the basisof the relative number of toll minutesof use associated with the toll mes-sages originating in the offices ob-served.

(e) Traffic Service Position System(TSPS) investments are apportioned asfollows:

(1) Operator position investments areapportioned on the basis of the relativeweighted standard work seconds for theentire TSPS complex.

(2) Remote trunk arrangement (RTA)investments are apportioned on thebasis of the relative processor realtime (i.e., actual seconds) required toprocess TSPS traffic originating fromthe end offices served by each RTA.

(3) The remaining investments at thecentral control location, such as thestored program control and memory, isapportioned on the basis of the relativeprocessor real time (i.e., actual sec-onds) for the entire TSPS complex.

[52 FR 17229, May 6, 1987, as amended at 66FR 33205, June 21, 2001]

§ 36.124 Tandem switching equip-ment—Category 2.

(a) Tandem switching equipment iscontained in Accounts 2210, 2211, 2212and 2215. It includes all switchingequipment in a tandem central office,including any associated tandemswitchboard positions and any intertollswitching equipment. Intertoll switch-ing equipment includes switchingequipment used for the interconnectionof message toll telephone circuits witheach other or with local or tandemtelephone central office trucks,intertoll dial selector equipment, orintertoll trunk equipment in No. 5 typeelectronic offices. Equipment, includ-ing switchboards used for recording ofcalling telephone numbers and otherbilling information in connection withcustomer dialed charge traffic is in-cluded with Local Switching Equip-ment—Category 3.

(1) At toll center toll offices,intertoll switching equipment com-prises equipment in the toll office usedin the interconnection of: Toll center


487


to toll center circuits; toll center totributary circuits; tributary to tribu-tary circuits; toll center to tandem cir-cuits or in the interconnection of theaforementioned types of circuits withtrunks to local offices in the toll cen-ter city, i.e., interconnection with tollswitching trunks, operator trunks, in-formation trunks, testing trunks, etc.Equipment associated with the localoffice end of such trunks is includedwith local switching equipment orswitchboard categories as appropriate.

(2) At tributary offices, this categoryincludes intertoll switching equipmentsimilar to that at toll center toll of-fices if it is used in the interconnectionof: Tributary to tributary circuits;tributary to subtributary circuits; sub-tributary to subtributary circuits; tollcenter to subtributary circuits; or if itis used jointly in the interconnectionof any of the aforementioned types ofcircuits and in the interconnection ofsuch toll circuits with trunk circuitsfor the handling of traffic terminatingin the tributary office. Where com-parable equipment has no joint use butis used only for the handling of trafficterminating in the tributary office, itis included in the local switchingequipment category.

(3) At all switching entities, this cat-egory includes intertoll switchingequipment similar to that at toll cen-ter toll offices if it is used in the inter-connection of switched private linetrunks or TWX switching plant trunkswhen these functions are in addition tothe message telephone switching func-tion. Switching entities wholly dedi-cated to switching of special servicesare assigned to Category 3—LocalSwitching Equipment.

(b) The costs of central office equip-ment items assigned this category areto be directly assigned when possible.When direct assignment is not possiblethe costs shall be apportioned amongthe operations on the basis of the rel-ative number of study area minutes ofuse of this equipment.

(c) Effective July 1, 2001, throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the aver-age balances of Accounts 2210, 2211, 2212and 2215, to the Category 2, TandemSwitching Equipment based on the rel-

ative percentage assignment of the av-erage balances of Account 2210, 2211,2212 and 2215 to Category 2, TandemSwitching Equipment during thetwelve month period ending December31, 2000.

(d) Effective July 1, 2001, throughJune 30, 2006, all study areas shall ap-portion costs in Category 2, TandemSwitching Equipment, among the juris-dictions using the relative number ofstudy area minutes of use, as specifiedin § 36.124(b), for the twelve month pe-riod ending December 31, 2000. Directassignment of any subcategory of Cat-egory 2 Tandem Switching Equipmentbetween jurisdictions shall be updatedannually.


§ 36.125 Local switching equipment—Category 3.

(a) Local switching equipment is in-cluded in accounts 2210, 2211, 2212 and2215. It comprises all central officeswitching equipment not assignedother categories. Examples of localswitching equipment are basic switch-ing train, toll connecting trunk equip-ment, interlocal trunks, tandemtrunks, terminating senders used fortoll completion, toll completing train,call reverting equipment, weather andtime of day service equipment, andswitching equipment at electronic ana-log or digital remote line locations.Equipment used for the identification,recording and timing of customerdialed charge traffic, or switched pri-vate line traffic (e.g. transmitters, re-corders, call identity indexers, per-forators, ticketers, detectors,mastertimes) switchboards used solelyfor recording of calling telephone num-bers in connection with customerdialed charge traffic, or switched pri-vate line traffic (or both) is included inthis local switching category. Equip-ment provided and used primarily foroperator dialed toll or customer dialedcharge traffic except such equipmentincluded in Category 2 Tandem Switch-ing Equipment is also included in thislocal switching category. This includessuch items as directors translators,sender registers, out trunk selectorsand facilites for toll intercepting anddigit absorption. Special services


488

47 CFR Ch. I (10–1–01 Edition)§ 36.125

switching equipment which primarilyperforms the switching function forspecial services (e.g. switching equip-ment, TWX concentrators and switch-boards) is also included in this localswitching category.

(1) Local office, as used in § 36.125,comprises one or more local switchingentities of the same equipment type(e.g., step-by-step, No. 5 Crossbar) in anindividual location. A local switchingentity comprises that local central of-fice equipment of the same type whichhas a common intermediate distrib-uting frame, market group or otherseparately identifiable switching unitserving one or more prefixes (NNXcodes).

(2) A host/remote local switchingcomplex is composed of an electronicanalog or digital host office and all ofits remote locations. A host/remotelocal switching complex is treated asone local office. The current jurisdic-tional definition of an exchange willapply.

(3) Dial equipment minutes of use(DEM) is defined as the minutes ofholding time of the originating and ter-minating local switching equipment.Holding time is defined in the Glos-sary.

(4) The interstate allocation factor isthe percentage of local switching in-vestment apportioned to the interstatejurisdiction.

(5) The interstate DEM factor is theratio of the interstate DEM to thetotal DEM. A weighted interstate DEMfactor is the product of multiplying aweighting factor, as defined in para-graph (f) of this section, to the inter-state DEM factor. The state DEM fac-tor is the ratio of the state DEM to thetotal DEM.

(b) Beginning January 1, 1993, Cat-egory 3 investment for study areaswith 50,000 or more access lines is ap-portioned to the interstate jurisdictionon the basis of the interstate DEM fac-tor. Category 3 investment for studyareas with 50,000 or more access lines isapportioned to the state jurisdiction onthe basis of the state DEM factor.

(c)–(e) [Reserved](f) Beginning January 1, 1993 and end-

ing December 31, 1997, for study areaswith fewer than 50,000 access lines, Cat-egory 3 investment is apportioned to

the interstate jurisdiction by the appli-cation of an interstate allocation fac-tor that is the lesser of either .85 or theproduct of the interstate DEM factorspecified in paragraph (a)(5) of this sec-tion multiplied by a weighting factor,as determined by the table below. Be-ginning January 1, 1998, for study areaswith fewer than 50,000 access lines, Cat-egory 3 investment is apportioned tothe interstate jurisdiction by the appli-cation of an interstate allocation fac-tor that is the lesser of either .85 or thesum of the interstate DEM factor spec-ified in paragraph (a)(5) of this sectionand the difference between the 1996weighted interstated DEM factor andthe 1996 interstate DEM factor. TheCategory 3 investment that is not as-signed to the interstate jurisdictionpursuant to this paragraph is assignedto the state jurisdiction.

No. of access lines in service in study area Weightingfactor

0–10,000 ................................................................ 3.010,001–20,000 ....................................................... 2.520,001–50,000 ....................................................... 2.050,001–or above .................................................... 1.0

(g) For purposes of this section, anaccess line is a line that does not in-clude WATS access lines, special accesslines or private lines.

(h) Effective July 1, 2001, throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the aver-age balances of Accounts 2210, 2211,2212, and 2215 to Category 3, LocalSwitching Equipment, based on the rel-ative percentage assignment of the av-erage balances of Account 2210, 2211,2212 and 2215 to Category 3, during thetwelve month period ending December31, 2000.

(i) Effective July 1, 2001, throughJune 30, 2006, all study areas shall ap-portion costs in Category 3, LocalSwitching Equipment, among the juris-dictions using relative dial equipmentminutes of use for the twelve monthperiod ending December 31, 2000.

(j) If during the period from January1, 1997, through June 30, 2006, the num-ber of a study area’s access lines in-creased or will increase such that,under § 36.125(f) the weighting factorwould be reduced, that lower weightingfactor shall be applied to the study


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area’s 1996 unweighted interstate DEMfactor to derive a new local switchingsupport factor. The study area will re-state its Category 3, Local SwitchingEquipment factor under § 36.125(f) anduse that factor for the duration of thefreeze period.

[52 FR 17229, May 6, 1987, as amended at 53FR 33011, 33012, Aug. 29, 1988; 62 FR 32946,June 17, 1997; 63 FR 2124, Jan. 13, 1998; 66 FR33205, June 21, 2001]

§ 36.126 Circuit equipment—Category4.

(a) For the purpose of this section,the term ‘‘Circuit Equipment’’ encom-passes the Radio Systems and CircuitEquipment contained in Accounts 2230through 2232 respectively. It includescentral office equipment, other thanswitching equipment and automaticmessage recording equipment, which isused to derive communications trans-mission channels or which is used forthe amplification, modulation, regen-eration, testing, balancing or controlof signals transmitted over commu-nications transmission channels. Ex-amples of circuit equipment in generaluse include:

(1) Carrier telephone and telegraphsystem terminals.

(2) Telephone and telegraph repeat-ers, termination sets, impedance com-pensators, pulse link repeaters, echosuppressors and other intermediatetransmission amplification and bal-ancing equipment except that includedin switchboards.

(3) Radio transmitters, receivers, re-peaters and other radio central officeequipment except message switchingequipment associated with radio sys-tems.

(4) Composite ringers, line signalingand switching pad circuits.

(5) Concentration equipment.(6) Composite sets and repeating

coils.(7) Program transmission amplifiers,

monitoring devices and volume indica-tors.

(8) Testboards, test desks, repairdesks and patch bays, including thoseprovided for test and control, and fortelegraph and transmission testing.

(b) For apportionment among the op-erations, the cost of circuit equiment

is assigned to the following subsidiarycategories:

(1) Exchange Circuit Equipment—Cat-egory 4.1.

(i) Wideband Exchange Line CircuitEquipment—Category 4.11.

(ii) Exchange Trunk Circuit Equip-ment (Wideband and Non-Wideband)—Category 4.12.

(iii) Exchange Line Circuit Equip-ment Excluding Wideband—Category4.13.

(2) Interexchange Circuit Equipment—Category 4.2.

(i) Interexchange Circuit EquipmentFurnished to Another Company forInterstate Use—Category 4.21.

(ii) Interexchange Circuit EquipmentUsed for Wideband Services includingSatellite and Earth Station Equipmentused for Wideband Service—Category4.22.

(iii) All Other Interexchange CircuitEquipment—Category 4.23.

(3) Host/Remote Message Circuit Equip-ment—Category 4.3.

(4) In addition, for the purpose ofidentifying and separating property as-sociated with special services, circuitequipment included in Categories 4.12(other than wideband equipment) 4.13and 4.23 is identified as either basic cir-cuit equipment, i.e., equipment thatperforms functions necessary to pro-vide and operate channels suitable forvoice transmission (telephone gradechannels), or special circuit equipment,i.e., equipment that is peculiar to spe-cial service circuits. Carrier telephoneterminals and carrier telephone repeat-ers are examples of basic circuit equip-ment is general use, while audio pro-gram transmission amplifiers, bridges,monitoring devices and volume indica-tors, telegraph carrier terminals andtelegraph repeaters are examples ofspecial circuit equipment in generaluse. Cost of exchange circuit equip-ment included in Categories 4.12 and4.13 and the interexchange circuitequipment in Categories 4.21, 4.22 and4.23 are segregated between basic cir-cuit equipment and special circuitequipment only at those locationswhere amounts of interexchange andexchange special circuit equipment aresignificant. Where such segregation is


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47 CFR Ch. I (10–1–01 Edition)§ 36.126

not made, the total costs in these cat-egories are classified as basic circuitequipment.

(5) Effective July 1, 2001, throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to§ 61.41, shall assign the average bal-ances of Accounts 2230 through 2232 tothe categories/subcategories as speci-fied in §§ 36.126(b)(1) through (b)(4)based on the relative percentage as-signment of the average balances ofAccounts 2230 through 2232 costs tothese categories/subcategories duringthe twelve month period ending De-cember 31, 2000.

(c) Apportionment of Exchange Cir-cuit Equipment Among the Operations:

(1) Wideband Exchange Line CircuitEquipment—Category 4.11—The cost ofexchange circuit equipment in this cat-egory is determined separately for eachwideband facility. The respective costsare allocated to the appropriate oper-ation in the same manner as the re-lated exchange line cable and wire fa-cilities described in § 36.155.

(2) Exchange Trunk Circuit Equip-ment (Wideband and Non-Wideband)—Category 4.12—The cost of exchangecircuit equipment associated with thiscategory for the study area is allocatedto the appropriate operation in thesame manner as the related exchangetrunk cable and wire facilities as de-scribed in § 36.155.

(3) Exchange Line Circuit EquipmentExcluding Wideband—Category 4.13—The cost of Circuit Equipment associ-ated with exchange line plant exclud-ing wideband for the study area is as-signed to subcategories and is allocatedto the appropriate operation in thesame manner as the related exchangeline cable and wire facilities for non-wideband service as described in§ 36.154.

(4) Effective July 1, 2001, throughJune 30, 2006, all study areas shall ap-portion costs in the categories/subcat-egories, as specified in §§ 36.126(b)(1)through (b)(4), among the jurisdictionsusing the relative use measurements orfactors, as specified in §§ 36.126(c)(1)through (c)(3) for the twelve month pe-riod ending December 31, 2000. Directassignment of any subcategory of Cat-egory 4.1 Exchange Circuit Equipment

to the jurisdictions shall be updatedannually.

(d) Apportionment of InterexchangeCircuit Equipment among the Oper-ations: Procedures to be Used by Inter-exchange Carriers.

(1) Interexchange Circuit EquipmentFurnished to Another Company forInterstate Use—Category 4.21—Thiscategory comprises that circuit equip-ment provided for the use of anothercompany as an integral part of itsinterexchange circuit facilities usedwholly for interstate services. This cat-egory includes such circuit equipmentas telephone carrier, terminals tele-graph carrier terminals, and micro-wave systems used wholly for inter-state services. The total cost of the cir-cuit equipment in this category for thestudy area is assigned to the interstateoperation.

(2) Interexchange Circuit EquipmentUsed for Wideband Service—Category4.22—This category includes the circuitequipment portion of interexchangechannels used for wideband services.The cost of interexchange circuitequipment in this category is deter-mined separately for each widebandchannel and is segregated between mes-sage and private line services on thebasis of the use of the channels pro-vided. The respective costs are allo-cated to the appropriate operation inthe same manner as the related inter-exchange cable and wire facilities asdescribed in § 36.156.

(3) All Other Interexchange CircuitEquipment—Category 4.23—This cat-egory includes the cost of all inter-exchange circuit equipment not as-signed to Categories 4.21 and 4.22.Interexchange carriers shall freeze theallocation factors for Category 4.23 in-vestment at levels reached on Decem-ber 31, 1985, derived by using the proce-dures in effect at that time. On Janu-ary 1, 1988, and thereafter, that frozenallocation factor shall be applied toeach interexchange carrier’s Category4.23 investment to derive the interstateallocation. On January 1, 1988, andthereafter, the amount of investmentallocated to the interstate jurisdictionwill vary but the relative proportion ofthe total investment that is allocatedto the interstate jurisdiction will re-main frozen at 1985 levels.


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(e) Apportionment of InterexchangeCircuit Equipment among the Oper-ations: Procedures To Be Used by Ex-change Carriers.

(1) Interexchange Circuit EquipmentFurnished to Another Company forInterstate Use—Category 4.21—Thiscategory comprises that circuit equip-ment provided for the use of anothercompany as an integral part of itsinterexchange circuit facilities usedwholly for interstate services. This cat-egory includes such circuit equipmentas telephone carrier terminals tele-graph carrier terminals, and micro-wave systems used wholly for inter-state services. The total cost of the cir-cuit equipment in this category for thestudy area is assigned to the interstateoperation.

(2) Interexchange Circuit EquipmentUsed for Wideband Service—Category4.22—This category includes the circuitequipment portion of interexchangechannels used for wideband services.The cost of interexchange circuitequipment in this category is deter-mined separately for each widebandchannel and is segregated between mes-sage and private line services on thebasis of the use of the channels pro-vided. The respective costs are allo-cated to the appropriate operation inthe same manner as the related inter-exchange cable and wire facilities de-scribed in § 36.156.

(3) All Other Interexchange CircuitEquipment—Category 4.23—This cat-egory includes the cost of all inter-exchange circuit equipment not as-signed to Categories 4.21 and 4.22. Thecost of interexchange basic circuitequipment used for the following class-es of circuits is included in this cat-egory: Jointly used message circuits,i.e., message switching plant circuitscarrying messages from the state andinterstate operations; circuits used ex-clusively for TWX service; circuits usesfor interstate private line service; andcircuits used for state private line serv-ices.

(i) An average interexchange circuitequipment cost per equivalent inter-exchange telephone termination for allcircuits is determined and applied tothe equivalent interexchange telephonetermination counts of each of the fol-lowing classes of circuits: Interstate

Private Line, State Private Line, Mes-sage, and TWX. The cost of interstateprivate line circuits is assigned di-rectly to the interstate operation. Thecost of state private line circuits is as-signed directly to the state operation.The cost of message circuits is appor-tioned between the state and interstateoperations on the basis of the relativenumber of study area conversation-minutes applicable to such facilities.

(ii) The cost on interexchange circuitequipment assigned TWX circuits is ap-portioned between state and interstatetoll in accordance with § 36.126(e)(3)(i)and pursuant to the following proce-dures. The cost of circuit equipmentassociated with the TWX intertoll cir-cuits used jointly for state and inter-state operations is apportioned be-tween the operations on the basis ofthe relative number of study area TWXconnection-minutes applicable to suchfacilities. The cost of circuit equip-ment associated with the inter-exchange portion of the TWX remoteaccess lines is apportioned betweenstate and interstate operation on thebasis of the relative number of studyarea TWX connection-minutes applica-ble to those facilities.

(iii) The cost of special circuit equip-ment is segregated among TWX serv-ice, telegraph grade private line serv-ices and other private line servicesbased on an analysis of the use of theequipment and in accordance with§ 36.126(b)(4). The cost of TWX specialcircuit equipment is apportioned onthe same basis as that used forintertoll TWX circuits. The special cir-cuit equipment cost assigned to tele-graph grade and other private lineservices is directly assigned to the ap-propriate operation.

(4) Effective July 1, 2001, throughJune 30, 2006, all study areas shall ap-portion costs in the categories/subcat-egories specified in §§ 36.126(e)(1)through (e)(3) among the jurisdictionsusing relative use measurements orfactors, as specified in §§ 36.126(e)(1)through (e)(3) for the twelve month pe-riod ending December 31, 2000. Directassignment of any subcategory of Cat-egory 4.2 Interexchange Circuit Equip-ment to the jurisdictions shall be up-dated annually.


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47 CFR Ch. I (10–1–01 Edition)§ 36.141

(f) Apportionment of Host/RemoteMessage Circuit Equipment Among theOperations.

(1) Host/Remote Message CircuitEquipment—Category 4.3. This cat-egory includes message host/remote lo-cation circuit equipment for which amessage circuit switching function isperformed at the host central office as-sociated with cable and wire facilitiesas described in § 36.152(c).

(i) The category 4.3 cost of host/re-mote circuit equipment assigned tomessage services for the study area isapportioned among the exchange,intrastate toll, and interstate toll op-erations on the basis of the assignmentof host/remote message cable and wirefacilities as described in § 36.157.

(ii) [Reserved](2) Effective July 1, 2001, through

June 30, 2006, all study areas shall ap-portion costs in the subcategory speci-fied in § 36.126(f)(1) among the jurisdic-tions using the allocation factor, asspecified in § 36.126(f)(1)(i), for this sub-category for the twelve month periodending December 31, 2000. Direct as-signment of any Category 4.3 Host/Re-mote Message Circuit Equipment tothe jurisdictions shall be updated an-nually.

[52 FR 17229, May 6, 1987, as amended at 53FR 33012 Aug. 29, 1988; 66 FR 33205, June 21,2001]

INFORMATION ORIGINATION/TERMINATION(IOT) EQUIPMENT

§ 36.141 General.(a) Information Origination/Termi-

nation Equipment is maintained in Ac-count 2310 and includes station appa-ratus, embedded customer premiseswiring, large private branch exchanges,public telephone terminal equipment,and other terminal equipment.

(b) The costs in Account 2310 shall besegregated between Other InformationOrigination/Termination Equipment—Category 1, and New Customer Prem-ises Equipment—Category 2 by an anal-ysis of accounting, engineering andother records.

(c) Effective July 1, 2001, throughJune 30, 2006, local exchange carrierssubject to price cap regulation, pursu-ant to § 61.41 of this chapter, shall as-sign the average balance of Account

2310 to the categories, as specified in§ 36.141(b), based on the relative per-centage assignment of the average bal-ance of Account 2310 to these cat-egories during the twelve month periodending December 31, 2000.


§ 36.142 Categories and apportionmentprocedures.

(a) Other Information Origination/Ter-mination Equipment—Category 1. Thiscategory includes the cost of other in-formation origination/terminationequipment not assigned to Category 2.The costs of other information origina-tion/termination equipment are allo-cated pursuant to the factor that isused to allocate subcategory 1.3 Ex-change Line C&WF. If amounts ofcoinless pay telephone equipment aresubstantial, the cost of such equipmentshould be separately identified and al-located on the basis of relative tollminutes-of-use for interexchange car-riers and minutes-of-use for exchangecarriers.

(b) Customer Premises Equipment—Cat-egory 2. This category includes the costof Customer Premises Equipment thatwas detariffed pursuant to the SecondComputer Inquiry decision. It shall beassigned to the state operations.

(c) Effective July 1, 2001, throughJune 30, 2006, all study areas shall ap-portion costs in the categories, as spec-ified in § 36.141(b), among the jurisdic-tions using the relative use measure-ments or factors, as specified in§ 36.142(a), for the twelve month periodending December 31, 2000. Direct as-signment of any category of Informa-tion Origination/Termination Equip-ment to the jurisdictions shall be up-dated annually.


CABLE AND WIRE FACILITIES

§ 36.151 General.

(a) Cable and Wire Facilities, Ac-count 2410, includes the following typesof communications plant in service:Poles and antenna supporting struc-tures, aerial cable, underground cable,buried cable, submarine cable, deep sea


493


cable, intrabuilding network cable,aerial wire and conduit systems.

(b) For separations purposes, it isnecessary to analyze the cable and wirefacilities classified in subordinaterecords in order to determine their as-signment to the categories listed in thefollowing paragraphs.

(c) In the separation of the cost ofcable and wire facilities among the op-erations, the first step is the assign-ment of the facilities to certain cat-egories. The basic method of makingthis assignment is the identification ofthe facilities assignable to each cat-egory and the determination of thecost of the facilities so identified. Be-cause of variations among companiesin the character of the facilities andoperating conditions, and in the ac-counting and engineering recordsmaintained, the detailed methods fol-lowed, of necessity, will vary amongthe companies. The general principlesto be followed, however, will be thesame for all companies.

(d) The second step is the apportion-ment of the cost of the facilities ineach category among the operationsthrough the application of appropriatefactors or by direct assignment.

§ 36.152 Categories of Cable and WireFacilities (C&WF).

(a) C&WF are basically divided be-tween exchange and interexchange. Ex-change C&WF consists of the followingcategories:

(1) Exchange Line C&WF ExcludingWideband—Category 1—This categoryincludes C&W facilities between localcentral offices and subscriber premisesused for message telephone, TWX sub-scriber lines, private line, local chan-nels, and for circuits between controlterminals and radio stations providingvery high frequency maritime serviceor urban or highway mobile service.

(2) Wideband and Exchange TrunkC&WF—Category 2—This category in-cludes all wideband, including Ex-change Line Wideband and C&WF be-tween local central offices and Wide-band facilities. It also includes C&WFbetween central offices or other switch-ing points used by any common carrierfor interlocal trunks wholly within an

exchange or metropolitan service area,interlocal trunks with one or both ter-minals outside a metropolitan servicearea carrying some exchange traffic,toll connecting trunks, tandem trunksprincipally carrying exchange traffic,the exchange trunk portion of TWXand WATS access lines the exchangetrunk portion of private line localchannels, and the exchange trunk por-tion of circuits between control termi-nals and radio stations providing veryhigh frequency maritime service orurban or highway mobile service.

(3) The procedures for apportioningthe cost of exchange cable and wirefacilites among the operations are setforth in §§ 36.154 and 36.155.

(b) Interexchange C&WF—Category3—This category includes the C&WFused for message toll and toll privateline services. It includes cable and wirefacilities carrying intertoll circuits,tributary circuits, the interexchangechannel portion of special service cir-cuits, circuits between control termi-nals and radio stations used for over-seas or coastal harbor service,interlocal trunks between offices in thedifferent exchange or metropolitanservice areas carrying only messagetoll traffic and certain tandem trunkswhich carry principally message tolltraffic.

(1) The procedures for apportioningthe cost of interexchange cable andwire facilities among the operationsare set forth in § 36.156.

(c) Host/Remote Message C&WF—Category 4—This category includes thecost of message host/remote locationC&WF for which a message circuitswitching function is performed at thehost central office. It applies to C&WFbetween host offices and all remote lo-cations. The procedures for appor-tioning the cost of these facilitiesamong the operations are set forth in§ 36.157.

(d) Effective July 1, 2001, throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to§ 61.41, shall assign the average balanceof Account 2410 to the categories/sub-categories, as specified in §§ 36.152(a)


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47 CFR Ch. I (10–1–01 Edition)§ 36.153

through (c), based on the relative per-centage assignment of the average bal-ance of Account 2410 to these cat-egories/subcategories during the twelvemonth period ending December 31, 2000.


§ 36.153 Assignment of Cable and WireFacilities (C&WF) to categories.

(a) Cable consists of: Aerial cable,underground cable, buried cable, sub-marine cable, deep sea cable andintrabuilding network cable. Where anentire cable or aerial wire is assignableto one category, its cost and quantityare, where practicable, directly as-signed.

(1) Cable. (i) There are two basicmethods for assigning the cost of cableto the various categories. Both of themare on the basis of conductor cross sec-tion. The methods are as follows:

(A) By section of cable, uniform as tomakeup and relative use by categories.From an analysis of cable engineeringand assignment records, determine interms of equivalent gauge the numberof pairs in use or reserved, for each cat-egory. The corresponding percentagesof use, or reservation, are applied tothe cost of the section of cable, i.e.,sheath meters times unit cost permeter, to obtain the cost assignable toeach category.

(B) By using equivalent pair kilo-meters, i.e., pair kilometers expressedin terms of equivalent gauge. From ananalysis of cable engineering and as-signment records, determine the equiv-alent pair kilometers in use for eachcategory by type of facility, e.g., quad-ded, paired. The equivalent pair kilo-meters are then divided by a cable fillfactor to obtain the equivalent pairkilometers in plant. The total equiva-lent pair kilometers in plant assignedto each category is summarized bytype of facility, e.g., quadded andpaired, and priced at appropriate aver-age unit costs per equivalent pair kilo-meter in plant. If desired, this studymay be made in terms of circuit kilo-meters rather than physical pair kilo-meters, with average cost and fill dataconsistent with the basis of the facili-ties kilometer count.

(ii) In the assignment of the cost ofcable under the two basic methods de-

scribed in § 36.153(a)(1)(i) considerationis given to the following:

(A) Method (A) described in§ 36.153(a)(1)(i)(A) will probably befound more desirable where there is arelatively small amount of cable ofvariable make-up and use by cat-egories. Conversely, method (B) de-scribed in § 36.153(a)(1)(i)(B) will prob-ably be more desirable where there is alarge amount of cable of variablemake-up and use by categories. How-ever, in some cases a combination ofboth methods may be desirable.

(B) It will be desirable in some casesto determine the amount assignable toa particular category by deductingfrom the total the sum of the amountsassigned to all other categories.

(C) For use in the assignment of polesto categories, the equivalent sheathkilometers of aerial cable assigned toeach category are determined. For con-venience, these quantities are deter-mined in connection with assignmentof cable costs.

(D) Where an entire cable is assign-able to one category, its costs andquantity are, where practicable, di-rectly assigned.

(iii) For cables especially arrangedfor high-frequency transmission suchas shielded, disc-insulated and coaxial,recognition is given to the additionalcosts which are charged to the high-frequency complement.

(2) Cable Loading. (i) Methods for as-signing the cost of loading coils, cases,etc., to categories are comparable withthose used in assigning the associatedcable to categories. Loading associatedwith cable which is directly assigned toa given category is also directly as-signed. The remaining loading is as-signed to categories in either of thefollowing bases:

(A) By an analysis of the use made ofthe loading facilities where a loadingcoil case includes coils assignable tomore than one category, e.g., in thecase of a single gauge uniformly loadedsection, the percentage used in the re-lated cable assignment are applicable,or

(B) By pricing out each category bydetermining the pair meters of loadedpairs assigned to each category andmultiplying by the unit cost per pairmeter of loading by type.


495


(3) Other Cable Plant. (i) In view ofthe small amounts involved, the cost ofall protected terminals and gas pres-sure contactor terminals in the tollcable subaccounts is assigned to theappropriate Interexchange Cable &Wire Facilities categories. The cost ofall other terminals in the exchange andtoll cable subaccounts is assigned toExchange Cable and Wire Facilities.

(b) Aerial Wire. (1) The cost of wireaccounted for as exchange is assignedto the appropriate Exchange Cable &Wire Facilities categories. The cost ofwire accounted for as toll, which isused for exchange, is also assigned tothe appropriate Exchange Cable & WireFacilities categories. The cost of theremaining wire accounted for as toll isassigned to the appropriate Inter-exchange Cable & Wire Facilities cat-egories as described in § 36.156. Forcompanies not maintaining exchangeand toll subaccounts, it is necessary toreview the plant records and identifywire plant by use. The cost of wire usedfor providing circuits directly assign-able to a category is assigned to thatcategory. The cost of wire used for pro-viding circuit facilities jointly used forexchange and interexchange lines is as-signed to categories on the basis of therelative number of circuit kilometersinvolved.

(c) Poles and Antenna SupportingStructures. (1) In the assignment ofthese costs, anchors, guys, crossarms,antenna supporting structure, andright-of-way are included with thepoles.

(2) Poles. (i) The cost of poles is as-signed to categories based on the ratioof the cost of poles to the total cost ofaerial wire and aerial cable.

(d) Conduit Systems. (1) The cost ofconduit systems is assigned to cat-egories on the basis of the assignmentof the cost of underground cable.

[53 FR 17229, May 6, 1987, as amended at 53FR 33012, Aug. 29, 1988; 58 FR 44905, Aug. 25,1993]

§ 36.154 Exchange Line Cable and WireFacilities (C&WF)—Category 1—ap-portionment procedures.

(a) Exchange Line C&WF—Category 1.The first step in apportioning the costof exchange line cable and wire facili-ties among the operations is the deter-

mination of an average cost per work-ing loop. This average cost per workingloop is determined by dividing thetotal cost of exchange line cable andwire Category 1 in the study area bythe sum of the working loops describedin subcategories listed below. The sub-categories are:

Subcategory 1.1—State private linesand state WATS lines. This sub-category shall include all private linesand WATS lines carring exclusivelystate traffic as well as private lines andWATS lines carrying exclusively inter-state traffic as well as private lines andWATS lines carrying both state andinterstate traffic if the interstate traf-fic on the line involved constitutes tenpercent or less of the total traffic onthe line.

Subcategory 1.2—Interstate privatelines and interstate WATS lines. Thissubcategory shall include all privatelines and WATS lines that carry exclu-sively interstate traffic as well as pri-vate lines and WATS lines carryingboth state and interstate traffic if theinterstate traffic on the line involvedconstitutes more than ten percent ofthe total traffic on the line.

Subcategory 1.3—Subscriber or com-mon lines that are jointly used forlocal exchange service and exchangeaccess for state and interstate inter-exchange services.

(b) The costs assigned to subcat-egories 1.1 and 1.2 shall be directly as-signed to the appropriate jurisdication.

(c) Except as provided in § 36.154 (d)through (f), effective January 1, 1986, 25percent of the costs assigned to sub-category 1.3 shall be allocated to theinterstate jurisdiction.

(d) Except as provided in § 36.154(f),the interstate allocation of sub-category 1.3 costs for the years 1988,1989, 1990, 1991 and 1992 will be as fol-lows:

(1) 1988—The § 36.154(e) allocation fac-tor multiplied by .625 plus .09375.






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47 CFR Ch. I (10–1–01 Edition)§ 36.154

2 In the case of a company that cannot cal-culate the average interstate subscriber lineusage (SLU) ratio for the calendar year 1981,the average interstate SLU for the custom-arily used 12-month study period ending in1981 may be utilized. In the case of a com-pany for which no such 1981 annual averageSLU exists, the annual average interstateSLU for the initial study period will be uti-lized.

(e) For purposes of the transitionalallocations described in § 36.154 (d) and(f) an allocation factor known as thesubscriber plant factor or SPF that isthe sum of the following shall be com-puted:

(1) Annual average interstate sub-scriber line use (SLU), for the calendaryear 1981.2 representing the interstateuse of the subscriber plant as measuredby the ratio of interstate holding timeminutes of use to total holding timeminutes of use applicable to trafficoriginating and terminating in thestudy area, multiplied by .85, the na-tionwide ratio of subscriber plant costsassignable to the exchange operationper minute of exchange use to totalsubscriber plant cost per total minuteof use of subscriber plant, plus

(2) Twice the annual average inter-state subscriber line use ratio for thestudy area for the calendar year 1981,multiplied by the annual average com-posite station rate ratio used for thecalendar year 1981 (ratio of the nation-wide, industry-wide average interstateinitial 3-minute station charge at thestudy area average interstate length ofhaul to the nationwide, industry-wideaverage total toll initial 3-minute sta-tion charge at the nationwide averagelength of haul for all toll traffic for thetotal telephone industry).

(f) Limit on Change in Interstate Allo-cation. (1) No study area’s percentageinterstate allocation for Subcategory1.3 Exchange Line C&WF and COE, Ex-change Line Circuit Equipment Ex-cluding Wideband—Category 4.13 in-vestment as well as associated mainte-nance and depreciation shall decreaseby a total of more than five percentagepoints from one calendar year to thenext as a result of the combined oper-ations of §§ 36.154(d) and 36.641 (a) and(b).

(2) The determination of whether thedecrease in the interstate allocation

for a given study area resulting fromthe operation of §§ 36.154(d) and 36.641(a)through 36.641(b) exceeds five percent-age points shall be made by calculatinga percentage interstate allocation forboth of the years involved. This shallbe done by dividing the interstate allo-cation of subcategory 1.3 ExchangeLine C&WF and COE exchange Linecircuit Equipment Excluding WidebandCategory 4.13 and associated expensesfor each year as calculated pursuant to§ 36.154(f)(4) by the total unseparatedinvestment in Exchange Line C&WFsubcategory 1.3 and COE Category 4.13and associated expenses for the cor-responding year as calculated pursuantto § 36.154(f)(5).

(3) If the resulting percentage for themore recent of the two years is morethan five percentage points less thanthe percentage for the earlier year, thedecrease in the interstate allocationsshall be reduced pro rata for plant in-vestment, maintenance and deprecia-tion so that the difference between thetwo percentages does not equal morethan five percentage points.

(4) The sum of the following:(i) The net interstate allocation of

Exchange Line C&WF—subcategory 1.3investment calculated pursuant to§36.154(d) and (e) multiplied by the au-thorized interstate rate of return.

(ii) The net interstate allocation ofCOE Exchange Line Circuit Equip-ment—Category 4.13 investment cal-culated purusant to § 36.154 (d) and (e)multiplied by the authorized interstaterate of return.

(iii) The interstate allocation ofmaintenance and depreciation attrib-utable to Exchange Line C&WF sub-category 1.3 customer premises wireand COE Exhange Line Circuit Equip-ment—Category 4.13 calculated pursu-ant to § 36.154 (d) and (e).

(iv) The amount of the additionalinterstate expense allocation cal-culated pursuant to § 36.641.

(5) The sum of the following:(i) The net unseparated Exchange

Line C&WF subcategory 1.3 investmentmultiplied by the authorized interstaterate of return.

(ii) The net unseparated COE Ex-change Line Circuit—Category 4.13 in-vestment multiplied by the authorizedinterstate rate of return.


497


(iii) The unseparated maintenanceand depreciation attributable to Ex-change Line C&WF subcategory 1.3 in-vestment, customer premises wiring in-vestment and COE Exhange Line Cir-cuit Equipment—Category 4.13 invest-ment.

(g) Effective July 1, 2001, throughJune 30, 2006, all study areas shall ap-portion Subcategory 1.3 Exchange LineC&WF among the jurisdictions as spec-ified in § 36.154(c). Direct assignment ofsubcategory Categories 1.1 and 1.2 Ex-change Line C&WF to the jurisdictionsshall be updated annually as specifiedin § 36.154(b).

[52 FR 17229, May 6, 1987, as amended at 53FR 33012, Aug. 29, 1988; 54 FR 31033, July 26,1989; 66 FR 33206, June 21, 2001]

§ 36.155 Wideband and exchange trunk(C&WF)—Category 2—apportion-ment procedures.

(a) The cost of C&WF applicable tothis category shall be directly assignedwhere feasible. If direct assignment isnot feasible, cost shall be apportionedbetween the state and interstate juris-dictions on the basis of the relativenumber of minutes of use.

(b) Effective July 1, 2001, throughJune 30, 2006, all study areas shall ap-portion Category 2 Wideband and ex-change trunk C&WF among the juris-dictions using the relative number ofminutes of use, as specified in§ 36.155(a), for the twelve-month periodending December 31, 2000. Direct as-signment of any Category 2 equipmentto the jurisdictions shall be updatedannually.


§ 36.156 Interexchange Cable and WireFacilities (C&WF)—Category 3—ap-portionment procedures.

(a) An average interexchange cableand wire facilities cost per equivalentinterexchange telephone circuit kilo-meter for all circuits in Category 3 isdetermined and applied to the equiva-lent interexchange telephone circuitkilometer counts of each of the classesof circuits.

(b) The cost of C&WF applicable tothis category shall be directly assignedwere feasible. If direct assignment isnot feasible, cost shall be apportioned

between the state and interstate juris-diction on the basis of conversation-minute kilometers as applied to tollmessage circuits, TWX circuits, etc.

(c) Effective July 1, 2001, throughJune 30, 2006, all study areas shall di-rectly assign Category 3 InterexchangeCable and Wire Facilities C&WF wherefeasible. All study areas shall appor-tion the non-directly assigned costs inCategory 3 equipment to the jurisdic-tions using the relative use measure-ments, as specified in § 36.156 (b), duringthe twelve-month period ending De-cember 31, 2000.

[58 FR 44905, Aug. 25, 1993, as amended at 66FR 33206, June 21, 2001]

§ 36.157 Host/remote message Cableand Wire Facilities (C&WF)—Cat-egory 4—apportionment proce-dures.

(a) Host/Remote Message C&WF—Cat-egory 4. The cost of host/remote C&WFused for message circuits, i.e., circuitscarrying only message traffic, is in-cluded in this category.

(1) The cost of host/remote messageC&WF excluding WATS closed end ac-cess lines for the study area is appor-tioned on the basis of the relative num-ber of study area minutes-of-use kilo-meters applicable to such facilities.

(2) The cost of host/remote messageC&WF used for WATS closed end accessfor the study area is directly assignedto the appropriate jurisdiction.

(b) Effective July 1, 2001, throughJune 30, 2006, all study areas shall ap-portion Category 4 Host/Remote mes-sage Cable and Wire Facilities C&WFamong the jurisdictions using the rel-ative number of study area minutes-of-use kilometers applicable to such fa-cilities, as specified in § 36.157(a)(1), forthe twelve month period ending De-cember 31, 2000. Direct assignment ofany Category 4 equipment to the juris-dictions shall be updated annually.

[52 FR 17229, May 6, 1987, as amended at 58FR 44905, Aug. 25, 1993; 66 FR 33206, June 21,2001]

AMORTIZABLE ASSETS

§ 36.161 Tangible assets—Account2680.

(a) Tangible Assets, Account 2680 in-cludes the costs of property acquired


498

47 CFR Ch. I (10–1–01 Edition)§ 36.162

under capital leases and the originalcost of leasehold improvements.

(b) The costs of capital leases are ap-portioned among the operations basedon similar plant owned or by analysis.

(c) The cost of leasehold improve-ments are apportioned among the oper-ations in direct proportion to the costsof the related primary account.

§ 36.162 Intangible assets—Account2690.

(a) Intangible Assets, Account 2690includes the costs of organizing and in-corporating the company, franchises,patent rights, and other intangibleproperty having a life of more than oneyear.

(b) The amount included in this ac-count is apportioned among the oper-ations on the basis of the separation ofthe cost of Telecommunications PlantIn Service, Account 2001, excluding theIntangible Assets, Account 2690.

TELECOMMUNICATIONS PLANT—OTHER

§ 36.171 Property held for future tele-communications use—Account 2002;Telecommunications plant underconstruction—Account 2003; andTelecommunications plant adjust-ment—Account 2005.

The amounts carried in Accounts2002, 2003, and 2005 are apportionedamong the operations on the basis ofthe apportionment of Account 2001,Telecommunications Plant in Service.

[60 FR 12138, Mar. 6, 1995]

RURAL TELEPHONE BANK STOCK

§ 36.172 Investment in nonaffiliatedcompanies—Account 1402.

(a) The amounts carried in this ac-count shall be separated into sub-sidiary record categories:

(1) Class B RTB Stock and(2) All other.(b) The amounts contained in cat-

egory (2) all other of § 36.172(a)(2), shallbe excluded from part 36 jurisdictionalseparations.

(c) The amounts contained in cat-egory (1) Class B RTB stock of§ 36.172(a)(1), shall be allocated based on

the relative separations of Account2001, Telephone Plant in Service.


MATERIAL AND SUPPLIES AND CASHWORKING CAPITAL

§ 36.181 Material and supplies—Ac-count 1220.

(a) The amount included in Account1220 is apportioned among the oper-ations on the basis of the apportion-ment of the cost of cable and wire fa-cilities in service. Any amounts in-cluded in Account 1220 associated withthe Customer Premises portion of Ac-count 2310 equipment, shall be excludedfrom the amounts which are allocatedto the interstate operation.

§ 36.182 Cash working capital.(a) The amount for cash working cap-

ital, if not determined directly for aparticular operation, is apportionedamong the operations on the basis oftotal expenses less non-cash expenseitems.

EQUAL ACCESS EQUIPMENT

§ 36.191 Equal access equipment.(a) Equal access investment includes

only initial incremental expendituresfor hardware and other equipment re-lated directly to the provision of equalaccess which would not be required toupgrade the capabilities of the officeinvolved absent the provision of equalaccess. Equal access investment is lim-ited to such expenditures for con-verting central offices which servecompetitive interexchange carriers orwhere there has been a bona fide re-quest for conversion to equal access.

(b) Equal access investment is firstsegregated from all other amounts inthe primary accounts.

(c) The equal access investment de-termined in this manner is allocatedbetween the jurisdictions on the basisof relative state and interstate equalaccess traffic including interstateinterLATA equal access traffic, intra-state interLATA equal access traffic,and BOC interstate corridor toll trafficas well as AT&T and OCC intraLATAequal access usage. Local exchangetraffic and BOC intraLATA toll traffic


499


is excluded. In the case of independenttelephone companies, intrastate tollservice provided by the independentlocal exchange company is excluded indetermining intrastate usage, butintrastate toll service provided by longdistance carriers affiliated with thelocal exchange company is included.

(d) Effective July 1, 2001, throughJune 30, 2006, all study areas shall ap-portion Equal Access Equipment, asspecified in § 36.191(a), among the juris-dictions using the relative state andinterstate equal access traffic, as speci-fied in § 36.191(c), for the twelve monthperiod ending December 31, 2000.

[52 FR 17229, May 6, 1987, as amended at 53FR 33012, Aug. 29, 1988; 66 FR 33206, June 21,2001]

Subpart C—Operating Revenuesand Certain Income Accounts

GENERAL


tions as follows:General ...................................... 36.202Operating Revenues: ................. 36.211

Basic Local Service Rev-enue—Account 5000.

36.212

Network Access Services Rev-enues—Accounts 5080 thru5084.

36.213

Long Distance Message Rev-enue—Account 5100.

36.214

Miscellanous Revenue—Ac-count 5200.

36.215

Uncollectible Revenue—Ac-count 5300.

36.216

Certain Income Accounts:Other Operating Income and

Expenses—Account 7100.36.221

Nonoperating Income and Ex-penses—Account 7300.

36.222

Interest and Related Items—Account 7500.

36.223

Extraordinary Items—Ac-count 7600.

36.224

Income Effect of Jurisdic-tional Ratemaking Dif-ferences—Accounts 7910.

36.225


§ 36.202 General.(a) This section sets forth procedures

for the apportionment among the oper-ations of operating revenues and cer-tain income and expense accounts.

(b) Except for the Network AccessServices Revenues, subsidiary recordcategories are maintained for all rev-enue accounts in accordance with therequirements of part 32. These sub-sidiary records identify services for theappropriate jurisdiction and will beused in conjunction with apportion-ment procedures stated in this manual.

OPERATING REVENUES

§ 36.211 General.(a) Operating revenues are included

in the following accounts:

Account Title AccountNo.

Basic Local Service Revenue ............................... 5000Network Access Service Revenues:

Network Access Revenue .................................. 5080End User Revenue ............................................ 5081Switched Access Revenue ................................ 5082Special Access Revenue ................................... 5083State Access Revenue ...................................... 5084

Long Distance Message Revenue ........................ 5100Miscellaneous Revenue ........................................ 5200Uncollectible Revenue ........................................... 5300

§ 36.212 Basic local services revenue—Account 5000.

(a) Local private line revenues frombroadcast program transmission audioservices and broadcast program trans-mission video services are assigned tothe interstate operation.

(b) Revenues that are attributable tothe origination or termination of inter-state FX or CCSA like services shall beassigned to the interstate jurisdiction.

(c) Wideband Message Service andTWX revenues from monthly and mis-cellaneous charges, service connec-tions, move and change charges, areapportioned between state and inter-state operations on the basis of the rel-ative number of TWX minutes-of-use inthe study area. Effective July 1, 2001,through June 30, 2006, all study areasshall apportion Wideband MessageService and TWX revenues among thejurisdictions using the relative numberof TWX minutes of use for the twelve-month period ending December 31, 2000.

(d) All other revenues in this accountare assigned to the exchange operationbased on their subsidiary record cat-egories or on the basis of analysis andstudies.



500

47 CFR Ch. I (10–1–01 Edition)§ 36.213

§ 36.213 Network access services reve-nues.

(a) Network Access Revenue—Account5080. (1) This account shall be used byClass A and Class B telecommuni-cations companies to summarize thecontents of accounts 5081 through 5084.

(b) End User Revenue—Account 5081.(1) Revenues in this account are as-signed to the interstate operation.

(c) Switched Access Revenue—Account5082. (1) Revenues in this account areassigned to the interstate operation.

(d) Special Access Revenue—Account5083. (1) Revenues in this account areassigned to the interstate operation.

(e) State Access Revenue—Account 5084.(1) Revenues in this account are as-signed to the state operation.

§ 36.214 Long distance message rev-enue—Account 5100.

(a) Wideband message service andTWX revenues from monthly and mis-cellaneous charges, service connec-tions, move and change charges, areapportioned between state and inter-state operations on the basis of the rel-ative number of minutes-of-use in thestudy area. Effective July 1, 2001through June 30, 2006, all study areasshall apportion Wideband MessageService and TWX revenues among thejurisdictions using the relative numberof TWX minutes of use for the twelve-month period ending December 31, 2000.

(b) Long Distance private line servicerevenues from broadcast programtransmission audio services and broad-cast program transmission video serv-ices are assigned to the interstate oper-ation.

(c) All other revenues in this accountare directly assigned based on theirsubsidiary record categories or on thebasis of analysis and studies.


§ 36.215 Miscellaneous revenue—Ac-count 5200.

(a) Directory revenues are assignedto the exchange operation.

(b) Billing and collection revenuesare assigned on the basis of servicesbeing provided.

(c) All other revenues are appor-tioned on the basis of analysis.

§ 36.216 Uncollectible revenue—Ac-count 5300.

(a) The amounts in this account areapportioned among the operations onthe basis of analysis of Account 1181-Accounts Receivable Allowance—Tele-communication, during a representa-tive period.


CERTAIN INCOME ACCOUNTS

§ 36.221 Other operating income andexpenses—Account 7100.

(a) Amounts relating to translationin foreign exchange differentials areassigned to the interstate operations.

(b) All other amounts are appor-tioned based on TelecommunicationsPlant in Service, Account 2001, if plantrelated, or on the nature of the itemreflected in the account, if not plantrelated.

§ 36.222 Nonoperating income and ex-penses—Account 7300.

(a) Only allowance for funds usedduring construction, and charitable,social and community welfare con-tributions are considered in this ac-count for separations purposes.

(b) Subsidiary record categoriesshould be maintained for this accountthat include identification of amountsmade to the account for (1) credits rep-resenting allowance for funds used dur-ing construction and (2) contributionsfor charitable, social or communitywelfare purposes, employee activities,membership dues and fees in serviceclubs, community welfare associationand similar organizations.

(c) The portion reflecting allowancefor funds used during construction isapportioned on the basis of the cost ofTelecommunications Plant Under Con-struction—Account 2003. The portionreflecting costs for social and commu-nity welfare contributions and fees isapportioned on the basis of the appor-tionment of corporate operations ex-penses.

[52 FR 17229, May 6, 1987, as amended at 60FR 12138, Mar. 6, 1995]


501


§ 36.223 Interest and related items—Account 7500.

(a) Only interest paid relating to cap-ital leases is considered in this accountfor separations purposes. SubsidiaryRecord Categories should be main-tained for this account that include de-tails relating to interest expense oncapital leases. Such interest expense isapportioned on a basis consistent withthe associated capital leases in Ac-count 2680.

§ 36.224 Extraordinary items—Account7600.

(a) Amounts in this account of an op-erating nature are apportioned on abasis consistent with the nature ofthese items.

§ 36.225 Income effect of jurisdictionalratemaking differences—Account7910.

(a) Amounts in this account are di-rectly assigned to the appropriate ju-risdiction.

Subpart D—Operating Expensesand Taxes

GENERAL


tions as follows:General ...................................... 36.301 and

36.302.Plant Specific Operations Ex-

penses:General ................................... 36.310.Network Support/General

Support Expenses—Ac-counts 6110 and 6120.

36.311.

Central Office Expenses—Ac-count 6210, 6220, 6230.

36.321.

Information Origination/Ter-mination Expenses—Ac-count 6310.

36.331.

Cable and Wire Facilities Ex-penses—Account 6410.

36.341.

Plant Nonspecific OperationsExpenses:General ................................... 36.351.Other Property Plant and

Equipment Expenses—Ac-count 6510.

36.352.

Network Operations Ex-penses—Account 6530.

36.353.

Access Expenses—Account6540.

36.354.

Depreciation and Amortiza-tion Expenses—Account 6560.

36.361.

Customer Operations Expenses:General ................................... 36.371.Marketing—Account 6610 ....... 36.372.Services—Account 6620 ........... 36.373.Telephone Operator Services 36.374.Published Director Listing .... 36.375.All Other ................................ 36.376.Category 1—Local Bus. Office

Expense.36.377.

Category 2—Customer Serv-ices (Revenue Accounting).

36.378.

Message Processing Expense .. 36.379.Other Billing and Collecting

Expense.36.380.

Carrier Access Charge Billingand Collecting Expense.

36.381.

Category 3—All other Cus-tomer Service Expense.

36.382.

Corporate Operations Expenses:General ................................... 36.391.Executive and Planning Ex-

penses—Account 6710 andGeneral and AdministrativeExpenses—Account 6720.

36.392.

Operating Taxes—Account 7200 36.411 and36.412.

Equal Access Expenses .............. 36.421.


§ 36.302 General.(a) This section sets forth procedures

for the apportionment among the oper-ations of operating expenses and oper-ating taxes.

(b) As covered in § 36.2 (c) and (d), thetreatment of expenses relating to plantfurnished to and obtained from othersunder rental arrangements is con-sistent with the treatment of suchplant.

(c) In accordance with requirementsin part 32 § 32.5999 (f) expenses recordedin the expense accounts are segregatedin the accounting process among thefollowing subsidiary record categoriesas appropriate to each account:

Salaries and WagesBenefitsRentsOther ExpensesClearances

(1) Subsidiary Record Categories(SRC) for Salaries and Wages, Benefitsand Other Expenses are applicable toall of the expense accounts except for:Access Expense contained in Account

6540Depreciation and Amortization Ex-

penses—Account 6560


502

47 CFR Ch. I (10–1–01 Edition)§ 36.310

(i) SRC for access expenses are main-tained to identify interstate and stateaccess expense and billing and collec-tion expense for carrier’s carrier.

(ii) Depreciation and AmortizationExpense SRCs identify the character ofthe items contained in the account.

(2) SRCs for Rents and Clearance areonly applicable to the Plant SpecificOperating Expense accounts 6110 thru6410.

PLANT SPECIFIC OPERATIONS EXPENSES

§ 36.310 General.(a) Plant specific operations expenses

include the following accounts:Network Support Expenses Account 6110General Support Expenses .. Account 6120Central Office Switching

Expenses.Account 6210

Operators System Expenses Account 6220Central Office Transmission

Expenses.Account 6230

Information Origination/Termination Expenses.

Account 6310

Cable and Wire FacilitiesExpenses.

Account 6410

(b) These accounts are used to recordcosts related to specific kinds of tele-communications plant and predomi-nantly mirror the telecommunicationsplant in service detail accounts. Ac-cordingly, these expense accounts willgenerally be apportioned in the samemanner as the related plant accounts.

(c) Except where property obtainedfrom or furnished to other companies istreated as owned property by the com-pany making the separation, and therelated operating rents are excludedfrom the separation studies as set forthin § 36.2 (c) and (d), amounts are appor-tioned among the operations on basesgenerally consistent with the treat-ment prescribed for similar plant costsand consistent with the relative mag-nitude of the items involved.


NETWORK SUPPORT/GENERAL SUPPORTEXPENSES

§ 36.311 Network support expenses—Account 6110 and general supportexpenses—Account 6120.

(a) Network Support Expenses are ex-penses associated with motor vehicles,

aircraft, special purpose vehicles, ga-rage work equipment, and other workequipment. General Support Expensesare expenses associated with land andbuildings, furniture and artworks, of-fice equipment, and general purposecomputers.

(b) The expenses in these account areapportioned among the operations onthe basis of the separation of account2110, Land and Support Assets.

CENTRAL OFFICE EXPENSES

§ 36.321 Central office expenses—Ac-counts 6210, 6220, and 6230.

(a) The expenses related to centraloffice equipment are summarized inthe following accounts:Central Office Switching

Expense.Account

6210@@Q02Operator Systems Expense Account

6220@@Q02Central Office Transmission

Expense.Account 6230

(b) The expense in these accounts areapportioned among the operations onthe basis of the separation of the in-vestments in central office equipment.Accounts 2210, 2220 and 2230, combined.

INFORMATION ORIGINATION/TERMINATION

EXPENSES

§ 36.331 Information origination/termi-nation expenses—Account 6310.

(a) The expenses in this account areclassified as follows:

(1) Other Information Origination/Termination Equipment Expenses; Cus-tomer Premises Equipment Expenses

(2) For some companies, these classi-fications are available from accountingrecords; for others, they are obtainedby means of analyses of plant, account-ing or other records for a representa-tive period.

(b) Other Information Origination/Termination Equipment Expenses in-clude all expenses not associated withCustomer Premises Equipment ex-penses. These expenses shall be appor-tioned between state and interstate op-erations in accordance with the appor-tionment of the related investment asper § 36.142(a).


503


(c) Expenses related to CustomerPremises Equipment shall be assignedto the state operations.


CABLE AND WIRE FACILITIES EXPENSES

§ 36.341 Cable and wire facilities ex-penses—Account 6410.

(a) This account includes the ex-penses for poles, antenna supportingstructures, aerial cable, undergroundcable, buried cable, submarine cable,deep sea cable, intrabuilding networkcable, aerial wire, and conduit systems.

(b) The general method of separatingcable and wire facilities expensesamoung the operations is to assignthem on the basis of Account 2410—Cable and Wire Facilities.

PLANT NONSPECIFIC OPERATIONSEXPENSES

§ 36.351 General.(a) Plant nonspecific operations ex-

penses include the following accounts:Other Property Plant and

Equipment Expenses.Account 6510

Network Operations Ex-penses.

Account 6530

Access Expenses ................. Account 6540Depreciation and Amortiza-

tion Expenses.Account 6560

PLANT EXPENSES—OTHER

§ 36.352 Other property plant andequipment expenses—Account 6510.

(a) This account is used to record theexpenses associated with (1) propertyheld for future telecommunications useand (2) the provisioning of material andsupplies.

(b) The expenses in this account areapportioned among the operationsbased on the separation of Account2001—Telecommunications Plant inService.

NETWORK OPERATIONS EXPENSES

§ 36.353 Network operations ex-penses—Account 6530.

(a) This account includes the ex-penses associated with the provisionsof power, network administration, test-ing, plant operations administration,and engineering.

(b) The expenses in this account areapportioned among the operationsbased on the separations of Account2210, Central Office Switching, Account2220 Operator Systems, Account 2230Central Office Transmission, Account2310, Information Origination/Termi-nation and Account 2410, Cable andWire Facilities, Combined.

§ 36.354 Access expenses—Account6540.

(a) This account includes accesscharges paid to exchange carriers forexchange access service. These are di-rectly assigned to the appropriate ju-risdiction based on subsidiary recordcategories or on analysis and study.

DEPRECIATION AND AMORTIZATION

EXPENSES

§ 36.361 Depreciation and amortizationexpenses—Account 6560.

(a) This account includes the depre-ciation expenses for telecommuni-cations plant in service and for prop-erty held for future telecommuni-cations use. It also includes the amor-tization expense for tangible and intan-gible asserts.

(b) Expenses recorded in this accountshall be separated on the basis of theseparation of the associated primaryPlant Accounts or related categories.


§ 36.371 General.

(a) Customer Operations Expensesare included in the following accounts:

Marketing...................................Account 6610Services ......................................Account 6620

§ 36.372 Marketing—Account 6610.

The expenses in this account are ap-portioned among the operations on thebasis of an analysis of current billingfor a representative period, excludingcurrent billing on behalf of others andbilling in connection with intercom-pany setttlements. Effective July 1,2001 through June 30, 2006, all studyareas shall apportion expenses in thisaccount among the jurisdictions usingthe analysis, as specified in § 36.372(a),


504

47 CFR Ch. I (10–1–01 Edition)§ 36.373

during the twelve-month period endingDecember 31, 2000.

[52 FR 32923, Sept. 1, 1987, as amended at 66FR 33207, June 21, 2001]

§ 36.373 Services—Account 6620.

(a) For apportionment purposes, theexpenses in this account are first seg-regated on the basis of an analysis ofjob functions into the following classi-fications: Telephone operator services:publishing directory listing; and allother.

(1) Expenses may be apportionedamong the operations for groups of ex-changes. A group of exchanges may in-clude all exchanges in the study area.

§ 36.374 Telephone operator services.

(a) Expenses in this classification in-clude costs incurred for operators incall completion service and numberservices. This includes intercept,quoting rates, directory information,time charges, and all other operatorfunctions performed in the central of-fice, private branch exchange, teletype-writer exchange, and at public tele-phone stations.

(b) Effective July 1, 2001, throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the bal-ance of Account 6620–Services to theTelephone operator expense classifica-tion based on the relative percentageassignment of the balance of Account6620 to this classification during thetwelve month period ending December31, 2000.

(c) Expenses in this classification areapportioned among the operations onthe basis of the relative number ofweighted standard work seconds as de-termined by analysis and study for arepresentative period.

(d) Effective July 1, 2001, throughJune 30, 2006, all study areas shall ap-portion Telephone operator expensesamong the jurisdictions using the rel-ative number of weighted standardwork seconds, as specified in § 36.374(c),during the twelve-month period endingDecember 31, 2000.


§ 36.375 Published directory listing.

(a) This classification includes ex-penses for preparing or purchasing,compiling and disseminating directorylistings.

(b) Published directory expense is as-signed as follows:

(1) Classified directory expense andall expense of soliciting advertising isassigned to the exchange operation.

(2) TWX directory expense is assignedto State toll and interstate toll oper-ations, respectively, on the basis of therelative number of TWX minutes-of-use.

(3) The expense of alphabetical andstreet address directories and trafficinformation records is apportionedamong the operations on the basis ofthe relative number of study area sub-scriber line minutes-of-use applicableto each operation.

(4) The expense associated with direc-tories and traffic information recordsprepared for one locality and used inanother locality is known as ‘‘foreigndirectories expense.’’ Such expense isassigned to the appropriate operationon the basis of the location of the pointwhere used with respect to the localityfor which the directories and recordswere prepared.

(5) Effective July 1, 2001, throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to§ 61.41, shall assign the balance of Ac-count 6620-Services to the classifica-tions, as specified in §§ 36.375(b)(1)through 36.375(b)(4), based on the rel-ative percentage assignment of the bal-ance of Account 6620 to these classi-fications during the twelve month pe-riod ending December 31, 2000.

(6) Effective July 1, 2001 throughJune 30, 2006, all study areas shall ap-portion Published directory listing ex-penses using the underlying relativeuse measurements, as specified in§§ 36.375(b)(1) through 36.375(b)(4), dur-ing the twelve-month period ending De-cember 31, 2000. Direct assignment ofany Publishing directory listing ex-pense to the jurisdictions shall be up-dated annually.



505


§ 36.376 All other.

(a) For apportionment purposes thisclassification must be divided intothree categories:

(1) Category 1—Local Business OfficeExpense.

(2) Category 2—Customer ServicesExpense.

(3) Category 3—All Other CustomerServices Expense.

§ 36.377 Category 1— Local businessoffice expense.

(a) The expense in this category forthe area under study is first segregatedon the basis of an analysis of job func-tions into the following subcategories:End user service order processing; enduser payment and collection; end userbilling inquiry; interexchange carrierservice order processing; interexchangecarrier payment and collection; inter-exchange carrier billing inquiry; andcoin collection and administration. Ef-fective July 1, 2001, through June 30,2006, study areas subject to price capregulation, pursuant to § 61.41 of thischapter, shall assign the balance of Ac-count 6620–Services to the subcat-egories, as specified in § 36.377(a), basedon the relative percentage assignmentof the balance of Account 6620 to thesecategories/subcategories during thetwelve month period ending December31, 2000.

(1) End-user service order processingincludes expenses related to the receiptand processing of end users’ orders forservice and inquiries concerning serv-ice. This subcategory does not includeany service order processing expensesfor services provided to the inter-exchange carriers. End user serviceorder processing expenses are first seg-regated into the following subcat-egories based on the relative number ofactual contacts which are weighted, ifappropriate, to reflect differences inthe average work time per contact:Local service order processing;presubscription; directory advertising;State private line and special access;interstate private line and special ac-cess; other State message toll includ-ing WATS; other interstate messagetoll including WATS; and TWX.

(i) Local service order processing ex-pense (primarily local telephone serv-

ice orders) is assigned to the State ju-risdiction.

(ii) Presubscription service orderprocessing expense is assigned to theinterstate jurisdiction.

(iii) Directory advertising serviceorder processing expense is assigned tothe State jurisdiction.

(iv) State private line and special ac-cess service order processing expense isassigned to the State jurisdiction.

(v) Interstate private line and specialaccess service order processing expenseis assigned to the interstate jurisdic-tion.

(vi) Other State message toll includ-ing WATS service order processing ex-pense is assigned to the State jurisdic-tion.

(vii) Other Interstate message toll in-cluding WATS service order processingexpense is assigned to the interstatejurisdiction.

(viii) TWX service order processingexpense is allocated between the juris-dictions based on relative State andinterstate billed TWX revenues.

(ix) Effective July 1, 2001, throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the bal-ance of Account 6620-Services to thecategories/subcategories, as specifiedin §§ 36.377(a)(1)(i) through36.77(a)(1)(viii), based on the relativepercentage assignment of the balanceof Account 6620 to these categories/sub-categories during the twelve month pe-riod ending December 31, 2000. EffectiveJuly 1, 2001 through June 30, 2006, allstudy areas shall apportion TWX serv-ice order processing expense, as speci-fied in § 36.377(a)(1)(viii) among the ju-risdictions using relative billed TWXrevenues for the twelve-month periodending December 31, 2000. All othersubcategories of End-user service orderprocessing expense, as specified in§§ 36.377(a)(1)(i) through36.377(a)(1)(viii), shall be directly as-signed.

(2) End User payment and collectionincludes expenses incurred in relationto the payment and collection ofamounts billed to end users. It also in-cludes commissions paid to paymentagencies (which receive payment oncustomer accounts) and collection


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47 CFR Ch. I (10–1–01 Edition)§ 36.377

agencies. This category does not in-clude any payment or collection ex-penses for services provided to inter-exchange carriers. End user paymentand collection expenses are first seg-regated into the following subcat-egories based on relative total stateand interstate billed revenues (exclud-ing revenues billed to interexchangecarriers and/or revenues deposited incoin boxes) for services for which enduser payment and collection is pro-vided: State private line and special ac-cess; interstate private line and specialaccess; State message toll includingWATS; interstate message toll includ-ing WATS, and interstate subscriberline charge; local, including directoryadvertising; and TWX.

(i) State private line and special ac-cess payment and collection expense isassigned to the State jurisdiction.

(ii) Interstate private line and specialaccess payment and collection expenseis assigned to the interstate jurisdic-tion.

(iii) State message toll includingWATS payment and collection expenseis assigned to the State jurisdiction.

(iv) Interstate message toll includingWATS and interstate subscriber linecharge payment and collection expenseis assigned to the interstate jurisdic-tion.

(v) Local, including directory adver-tising payment and collection expenseis assigned to the State jurisdiction.

(vi) TWX payment and collection ex-pense is allocated between the jurisdic-tions based on relative State and inter-state billed TWX revenues for servicefor which end user payment and collec-tion is provided.

(vii) Effective July 1, 2001, throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the bal-ance of Account 6620-Services to thesubcategories, as specified in§§ 36.377(a)(2)(i) through 36.377(a)(2)(vi),based on the relative percentage as-signment of the balance of Account6620 to these categories/subcategoriesduring the twelve month period endingDecember 31, 2000. Effective July 1, 2001through June 30, 2006, all study areasshall apportion TWX payment and col-lection expense, as specified in§ 36.377(2)(vi) among the jurisdictions

using relative billed TWX revenues forthe twelve-month period ending De-cember 31, 2000. All other subcategoriesof End User payment and collection ex-pense, as specified in §§ 36.377(a)(2)(i)through 36.377(a)(2)(vi), shall be di-rectly assigned.

(3) End user billing inquiry includesexpenses related to handling end users’inquiries concerning their bills. Thiscategory does not include expenses re-lated to the inquiries of interexchangecarriers concerning their bills. Enduser billing inquiry costs are first seg-regated into the following subcat-egories based on the relative number ofactual contracts, weighted if appro-priate, to reflect differences in the av-erage work time per contact: State pri-vate line and special access; interstateprivate line and special access; Statemessage toll including WATS, inter-state message toll including WATS,interstate subscriber line charge; TWX;and other.

(i) State private line and special ac-cess billing inquiry expense is directlyassigned to the State jurisdiction.

(ii) Interstate private line and specialaccess billing inquiry expense is di-rectly assigned to the interstate juris-diction.

(iii) State message toll includingWATS billing inquiry expense is di-rectly assigned to the State jurisdic-tion.

(iv) Interstate message toll includingWATS, and interstate subscriber linecharge billing inquiry expense is di-rectly assigned to the interstate juris-diction.

(v) TWX billing inquiry expense is al-located between the jurisdictions basedon relative State and interstate billedTWX revenues for service for which enduser billing inquiry is provided.

(vi) Other billing inquiry expense(primarily related to local bills butalso including directory advertising) isdirectly assigned to the State jurisdic-tion.

(vii) Effective July 1, 2001, throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the bal-ance of Account 6620-Services to thesubcategories, as specified in§§ 36.377(a)(3)(i) through 36.377(a)(3)(vi),


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based on the relative percentage as-signment of the balance of Account6620 to these subcategories during thetwelve month period ending December31, 2000. Effective July 1, 2001 throughJune 30, 2006, all study areas shall ap-portion TWX billing inquiry expense,as specified in § 36.377(a)(3)(v) amongthe jurisdictions using relative billedTWX revenues for the twelve-monthperiod ending December 31, 2000. Allother subcategories of End user billinginquiry expense, as specified in§§ 36.377(a)(3)(i) through 36.377(a)(3)(vi),shall be directly assigned.

(4) Interexchange carrier serviceorder processing includes expenses as-sociated with the receipt and proc-essing of interexchange carrier ordersfor service and inquiries about service.Interexchange carrier service orderprocessing expenses are assigned to thefollowing subcategories based on therelative number of actual contactswhich are weighted, if appropriate, toreflect differences in the average worktime per contact: State special accessand private line; interstate special ac-cess and private line; State switchedaccess and message toll includingWATS; interstate switched access andmessage toll including WATS; Statebilling and collection; and interstatebilling and collection.

(i) State special access and privateline service order processing expense isdirectly assigned to the State jurisdic-tion.

(ii) Interstate special access and pri-vate line service order processing ex-pense is directly assigned to the inter-state jurisdiction.

(iii) State switched access and mes-sage toll including WATS service orderprocessing expense is directly assignedto the State jurisdiction.

(iv) Interstate switched access andmessage toll including WATS serviceorder processing expense is directly as-signed to the interstate jurisdiction.

(v) State billing and collection serv-ice order processing expense is directlyassigned to the state jurisdiction.

(vi) Interstate billing and collectionservice order processing expense is di-rectly assigned to the interstate juris-diction.

(vii) Effective July 1, 2001 throughJune 30, 2006, study areas subject to

price cap regulation, pursuant to § 61.41of this chapter, shall assign the bal-ance of Account 6620–Services to thesubcategories, as specified in§§ 36.377(a)(4)(i) through 36.377(a)(4)(vi),based on the relative percentage as-signment of the balance of Account6620 to these subcategories during thetwelve month period ending December31, 2000. All subcategories of Inter-exchange carrier service order proc-essing expense, as specified in§§ 36.377(a)(4)(i) through 36.377(a)(4)(vi),shall be directly assigned.

(5) Interexchange carrier paymentand collection includes expenses asso-ciated with the payment and collectionof interexchange carrier billings, in-cluding commissions paid to paymentand collection agents. Interexchangecarrier payment and collection ex-penses are assigned to the followingsubcategories based on relative totalState and interstate revenues billed tothe interexchange carriers: State spe-cial access and private line; interstatespecial access and private line; Stateswitched access and message toll in-cluding WATS; interstate switched ac-cess and message toll including WATS;State billing and collection; and inter-state billing and collection.

(i) State special access and privateline payment and collection expense isdirectly assigned to the Interstate ju-risdiction.

(ii) Interstate special access and pri-vate line payment and collection ex-pense is directly assigned to the inter-state jurisdiction.

(iii) State switched access and mes-sage toll including WATS payment andcollection expense is directly assignedto the State jurisdiction.

(iv) Interstate switched access andmessage toll including WATS paymentand collection expense is directly as-signed to the interstate jurisdiction.

(v) State billing and collection pay-ment and collection expense is directlyassigned to the interstate jurisdiction.

(vi) Interstate billing and collectionpayment and collection expense is di-rectly assigned to the State jurisdic-tion.

(vii) Effective July 1, 2001 throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41


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47 CFR Ch. I (10–1–01 Edition)§ 36.378

of this chapter, shall assign the bal-ance of Account 6620–Services to thesubcategories, as specified in§§ 36.377(a)(5)(i) through 36.377(a)(5)(vi),based on the relative percentage as-signment of the balance of Account6620 to these subcategories during thetwelve month period ending December31, 2000. All subcategories of Inter-exchange carrier payment expense, asspecified in §§ 36.377(a)(5)(i) through36.377(a)(5)(vi), shall be directly as-signed.

(6) Interexchange carrier billing in-quiry includes expenses related to thehandling of interexchange carrier bill-ing inquiries. Interexchange carrierbilling inquiry expenses are assigned tothe following subcategories based onthe relative number of actual contacts,weighted if appropriate, to reflect dif-ferences in the average work time percontact: State special access and pri-vate line; interstate special access andprivate line; State switched access andmessage toll including WATS; inter-state switched access and message tollincluding WATS; State billing and col-lection; and interstate billing and col-lection.

(i) State special access and privateline billing inquiry expenses is directlyassigned to the State jurisdiction.

(ii) Interstate special access and pri-vate line billing inquiry expense is di-rectly assigned to the interstate juris-diction.

(iii) State switched access and mes-sage toll including WATS billing in-quiry expense is directly assigned tothe State jurisdiction.

(iv) Interstate switched access andmessage toll including WATS billinginquiry expense is directly assigned tothe interstate jurisdiction.

(v) State billing and collection bill-ing inquiry expense is directly assignedto the State jurisdiction.

(vi) Interstate Billing and Collectionbilling inquiry expense is directly as-signed to the interstate jurisdiction.

(vii) Effective July 1, 2001 throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the bal-ance of Account 6620–Services to thesubcategories, as specified in§ 36.377(a)(6)(i) through 36.377(a)(6)(vi),based on the relative percentage as-

signment of the balance of Account6620 to these subcategories during thetwelve month period ending December31, 2000. All subcategories of Inter-change carrier billing inquiry expense,as specified in §§ 36.377(a)(6)(i) through36.377(a)(6)(vi), shall be directly as-signed.

(7) Coin collection and administra-tion includes expenses for the collec-tion and counting of money depositedin public or semi-public phones. It alsoincludes expenses incurred for requiredtravel, coin security, checking theserviceability of public or semi-publictelephones, and related functions.These expenses are apportioned be-tween the State and interstate juris-dictions in proportion to the relativeState and interstate revenues depos-ited in the public and semi-public tele-phones.

(i) Effective July 1, 2001 through June30, 2006, study areas subject to pricecap regulation, pursuant to § 61.41 ofthis chapter, shall assign the balanceof Account 6620–Services to the subcat-egories, as specified in § 36.377(a)(7),based on the relative percentage as-signment of the balance of Account6620 to these subcategories during thetwelve month period ending December31, 2000.

(ii) Effective July 1, 2001 throughJune 30, 2006, all study areas shall ap-portion Coin collection and adminis-tration expense among the jurisdic-tions using the relative state and inter-state revenues deposited in the publicand semi-public telephones, as speci-fied in §§ 36.377(a)(7), for the twelvemonth period ending December 31, 2000.Direct assignment of any Coin collec-tion and administration expense amongthe jurisdictions shall be updated an-nually.


§ 36.378 Category 2—Customer serv-ices (revenue accounting).

(a) The Revenue Accounting propor-tion of Account 6620 expenses comprisethe salaries and other expenses in Ac-count 6620 directly assignable or allo-cable to the billing of customers andthe accounting for revenues, includingthe supervision of such work.


509


(b) Revenue Accounting expenses forthe study area are separated on thebasis of a Job Function analysis intothree main classifications: Messageprocessing expense, other billing andcollecting expense, and carrier accesscharge billing and collecting expense.

(1) Effective July 1, 2001 throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the bal-ance of Account 6620–Services to theclassifications, as specified in§ 36.378(b), based on the relative per-centage assignment of the balance ofAccount 6620 to those classificationsduring the twelve month period endingDecember 31, 2000.

(2) [Reserved](c) The term ‘‘ticket’’ denotes either

a ticket prepared manually by an oper-ator or the mechanized equivalent ofsuch a ticket processed by the revenueaccounting office.


§ 36.379 Message processing expense.(a) This classification includes the

salary and machine expense of dataprocessing equipment, including super-vision, general accounting administra-tive and miscellaneous expense associ-ated with the processing of individualtoll tickets and local message tickets.

(b) The expense assigned to this clas-sification is divided into the subcat-egories Toll Ticket Processing Expenseand Local Message Processing Expenseon the basis of the relative number ofmessages. Toll Ticket Processing Ex-pense is allocated between the Stateand interstate jurisdiction on the basisof the relative number of toll messages.Local Message Processing Expense isassigned to the exchange operation.

(1) Effective July 1, 2001 throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the bal-ance of Account 6620–Services to thesubcategories, as specified in § 36.379(b),based on the relative percentage as-signment of the balance of Account6620 to those subcategories during thetwelve month period ending December31, 2000.

(2) Effective July 1, 2001 throughJune 30, 2006, all study areas shall ap-

portion Toll Ticketing Processing Ex-pense among the jurisdictions usingthe relative number of toll messagesfor the twelve-month period ending De-cember 31, 2000. Local Message ProcessExpense is assigned to the state juris-diction.


§ 36.380 Other billing and collectingexpense.

(a) This classification includes thesalary expense, including supervision,general accounting administrative, andmiscellaneous expense, associated withthe preparation of customer bills otherthan carrier access charge bills andwith other revenue accounting func-tions not covered in § 36.379. Included inthis classification are the expenses in-curred in the preparation of monthlybills, initial and final bills, the applica-tion of service orders to billing records(establishing, changing, or dis-continuing customers’ accounts), sta-tion statistical work, controllingrecord work and the preparation of rev-enue reports.

(b) Local exchange carriers that billor collect from end users on behalf ofinterexchange carriers shall allocateone third of the expenses assigned thisclassification to the interstate juris-diction, and two thirds of the expensesassigned this classification to the statejurisdiction.

(c) Local exchange carriers that donot bill or collect from end users on be-half of interexchange carriers shall al-locate five percent of the expenses as-signed this classification to the inter-state jurisdiction, and ninety-five per-cent of the expenses assigned this clas-sification to the state jurisdiction.

(d) Effective July 1, 2001 throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the bal-ance of Account 6620–Services to theOther billing and collecting expenseclassification based on the relative per-centage assignment of the balance ofAccount 6620 to those subcategory dur-ing the twelve month period ending De-cember 31, 2000.


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47 CFR Ch. I (10–1–01 Edition)§ 36.381

(e) Effective July 1, 2001 throughJune 30, 2006, all study areas shall ap-portion Other billing and collecting ex-pense among the jurisdictions usingthe allocation factor utilized, pursuantto §§ 36.380(b) or 36.380(c), for the twelvemonth period ending December 31, 2000.

[53 FR 33011, Aug. 29, 1988, as amended at 62FR 15416, Apr. 1, 1997; 66 FR 33208, June 21,2001]

§ 36.381 Carrier access charge billingand collecting expense.

(a) This classification includes therevenue accounting functions associ-ated with the billing and collecting ofaccess charges to interexchange car-riers.

(b) Of access charges other than enduser common line access charges areassessed for the origination or termi-nation of intrastate services in a par-ticular state, one-half of such expenseshall be apportioned to interstate oper-ations. If no such access charges are as-sessed in a particular state, all such ex-pense shall be assigned to interstateoperations.

(c) Effective July 1, 2001, throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the bal-ance of Account 6620–Services to theCarrier access charge billing and col-lecting expense classification based onthe relative percentage assignment ofthe balance of Account 6620 to thatclassification during the twelve monthperiod ending December 31, 2000.

(d) Effective July 1, 2001, throughJune 30, 2006, all study areas shall ap-portion Carrier access charge billingand collecting expense among the ju-risdictions using the allocation factor,pursuant to § 36.381(b), for the twelve-month period ending December 31, 2000.


§ 36.382 Category 3—All other cus-tomer services expense.

(a) Effective July 1, 2001, throughJune 30, 2006, study areas subject toprice cap regulation, pursuant to § 61.41of this chapter, shall assign the bal-ance of Account 6620–Services to thiscategory based on the relative percent-age assignment of the balance of Ac-count 6620 to this category during the

twelve month period ending December31, 2000.

(b) Category 3 is apportioned on thebasis of Categories 1 and 2.

[66 FR 33208, June 21, 2001]

CORPORATE OPERATIONS EXPENSE

§ 36.391 General.(a) Corporate Operations Expenses

are included in the following accounts:Executive and Planning .............Account 6710General and Administrative .......Account 6720

§ 36.392 Executive and planning—Ac-count 6710, and general and admin-istrative—Account 6720.

(a) These expenses are divided intotwo categories:

(1) Extended Area Services (EAS).(2) All other.(b) Extended Area Services (EAS)

settlements are directly assigned tothe exchange operation.

(c) The expenses in these accountsare apportioned among the operationson the basis of the separation of thecost of the combined Big Three Ex-penses which include the following ac-counts:

PLANT SPECIFIC EXPENSES

6210 Central Office Switching Expenses6220 Operators Systems Expenses6230 Central Office Transmission Expenses6310 Information Origination/Termination

Expenses6410 Cable and Wire Facilities Expense

PLANT NON-SPECIFIC EXPENSES

6530 Network Operations Expenses


6610 Marketing6620 Services

OPERATING TAXES

§ 36.411 Operating taxes—Account7200.

(a) This account includes the taxesarising from the operations of the com-pany, i.e.,

Operating Investment Tax CreditsOperating Federal Income TaxesOperating State and Local Income TaxesOperating Other TaxesProvision for Deferred Operating Income

Taxes


511


§ 36.412 Apportionment procedures.(a) For apportionment purposes, the

expenses in this account are segregatedinto two groups as follows: (1) Oper-ating Federal, State and local incometaxes and (2) all other operating taxes.

(b) Operating Federal, State andlocal income taxes are apportionedamong the operations on the basis ofthe approximate net taxable income(positive or negative) applicable toeach of the operations. The approxi-mate net taxable income from each ofthe operations is the summation of thefollowing amounts apportioned to eachoperation by means of the proceduresset forth in this Manual:

(1) Operating revenues,(2) Less operating expenses,(3) Less operating taxes except the

net income tax being apportioned andexcept any other tax not treated as adeductible item in the determinationof taxable net income for this purpose.

(4) Less operating fixed charges.(i) The amount of fixed charges at-

tributable to the operations is obtainedby subtracting the tax component(positive or negative) attributable toother than the operating fixed charges,i.e., fixed charges on non-operating in-vestments are that proportion of totalfixed charges which non-operating netinvestments are of total operating andnon-operating net investments.

(ii) Operating fixed charges includinginterest on Rural Telephone BankStock are apportioned among the oper-ations on the basis of the separation ofthe cost of telephone plant less appro-priate reserves.

(c) Other operating taxes should bedirectly assigned to the appropriate ju-risdiction where possible, e.g., LocalGross Receipts may be directly identi-fied as applicable to one jurisdiction.Where direct assignment is not fea-sible, these expenses should be appor-tioned among the operations on thebasis of the separation of the cost ofTelecommunications Plant in Serv-ice—Account 2001.

EQUAL ACCESS EXPENSES

§ 36.421 Equal access expenses.(a) Equal access expenses include

only initial incremental pre-subscrip-tion costs and other initial incre-

mental expenditures related directly tothe provision of equal access, thatwould not be required to upgrade thecapabilities of the office involved ab-sent the provision of equal access.Equal access expenses are limited tosuch expenditures for converting cen-tral offices that serve competitiveinterexchange carriers or where therehas been a bona fide request for conver-sion to equal access.

(b) Equal access expenses are appor-tioned between the jurisdictions byfirst segregating them from all otherexpenses in the primary accounts andthen allocating them on the same basisas equal access investment.

Subpart E—Reserves and Deferrals

§ 36.501 General.

(a) For separations purposes, reservesand deferrals include the following ac-counts:Other Jurisdictional As-

sets—Net.Account 1500

Accumulated Depreciation Account 3100Accumulated Deprecia-

tion—Property Held forFuture Telecommuni-cations Use.

Account 3200

Accumulated Amortiza-tion—Tangible.

Account 3400

Accumulated Amortiza-tion—Intangible.

Account 3500

Accumulated Amortiza-tion—Other.

Account 3600

Net Current Deferred Oper-ating Income Taxes.

Account 4100

Net Noncurrent DeferredOperating Income Taxes.

Account 4340

Other Jurisdictional Liabil-ities and Deferred Cred-its—Net.

Account 4370

§ 36.502 Other jurisdictional assets—Net—Account 1500.

(a) Amounts in this account are sepa-rated based upon analysis of the spe-cific items involved.

§ 36.503 Accumulated depreciation—Account 3100.

(a) Amounts recorded in this accountshall be separated on the basis of theseparation of the associated primaryPlant Accounts or related categories,excluding amortizable assets.


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47 CFR Ch. I (10–1–01 Edition)§ 36.504

§ 36.504 Accumulated depreciation—Property held for future tele-communications use—Account 3200.

(a) Amounts in this account are ap-portioned among the operations on thebasis of the separation of the costs ofthe related items carried in Account2002—Property Held for Future Tele-communications Use.

§ 36.505 Accumulated amortization—Tangible—Account 3400. Accumu-lated amortization—Intangible—Ac-count 3500, and accumulated amor-tization—Other—Account 3600.

(a) Amounts in these accounts areapportioned among the operations onthe basis of the separation of the re-lated accounts.

§ 36.506 Net current deferred oper-ating income taxes—Account 4100,Net noncurrent deferred operatingincome taxes—Account 4340.

(a) Amounts in these accounts aremaintained by plant account and areapportioned among the operations onthe basis of the separations of the re-lated plant accounts.

§ 36.507 Other jurisdictional liabilitiesand deferred credits—Net—Account4370.

(a) Amounts in this account are sepa-rated based upon an analysis of thespecific items involved.

Subpart F—Universal Service FundGENERAL

§ 36.601 General.(a) The term Universal Service Fund

in this subpart refers only to the sup-port for loop-related costs included in§ 36.621. The term Universal Service inpart 54 of this chapter refers to thecomprehensive discussion of the Com-mission’s rules implementing section254 of the Communications Act of 1934,as amended, 47 U.S.C. 254, which ad-dresses universal service support forrural, insular, and high cost areas, low-income consumers, schools and librar-ies, and heath care providers. The ex-pense adjustment calculated pursuantto this subpart F shall be added tointerstate expenses and deducted fromstate expenses after expenses and taxes

have been apportioned pursuant to sub-part D of this part. Beginning January1, 1998, the expense adjustment cal-culated pursuant to this subpart willbe administered and funded throughthe new universal service system dis-cussed in part 54 of this chapter.

(b) The expense adjustment will becomputed on the basis of data for a pre-ceding calendar year which may be up-dated at the option of the carrier pur-suant to § 36.612(a).

(c) Until June 30, 2001, the annualamount of the total nationwide ex-pense adjustment shall consist of theamounts calculated pursuant to § 54.309of this chapter and the amounts cal-culated pursuant to this subpart F. Theannual amount of the total nationwideloop cost expense adjustment cal-culated pursuant to this subpart Fshall not exceed the amount of thetotal loop cost expense adjustment forthe immediately preceding calendaryear, increased by a rate equal to therate of increase in the total number ofworking loops during the calendar yearpreceding the July 31st filing. Thetotal loop cost expense adjustmentshall consist of the loop cost expenseadjustments, including amounts cal-culated pursuant to § 36.612(a) and§ 36.631. The rate of increase in totalworking loops shall be based upon thedifference between the number of totalworking loops on December 31 of thecalendar year preceding the July 31stfiling and the number of total workingloops on December 31 of the second cal-endar year preceding that filing, bothdetermined by the company’s submis-sions pursuant to § 36.611. BeginningJanuary 1, 2000, non-rural incumbentlocal exchange carriers and, eligibletelecommunications carriers servinglines in the service area of non-ruralincumbent local exchange carriers,shall only receive support pursuant tothis subpart F to the extent that theyqualify pursuant to § 54.311 of this chap-ter for interim hold-harmless support.Support amounts calculated pursuantto this subpart F but not received dueto the phase down of interim hold-harmless support or the receipt of for-ward-looking support pursuant to


513


§ 54.311 of this chapter shall not be re-distributed to other carriers.

[52 FR 17229, May 6, 1987, as amended at 56FR 27422, June 14, 1991; 58 FR 69242, Dec. 30,1993; 61 FR 34376, July 2, 1996; 62 FR 32947,June 17, 1997; 62 FR 40748, July 30, 1997; 63 FR2124, Jan. 13, 1998; 64 FR 30924, June 9, 1999; 64FR 67430, Dec. 1, 1999; 65 FR 78992, Dec. 18,2000; 66 FR 30085, June 5, 2001]

§ 36.602 Calculation of non-rural car-rier portion of nationwide loop costexpense adjustment.

Effective July 1, 2001, for purposes ofdetermining non-rural carrier interimhold-harmless support, pursuant to§ 54.311 of this chapter, the annualamount of the total nationwide loopcost expense adjustment calculatedpursuant to this subpart F shall not ex-ceed the amount of the total loop costexpense adjustment for the imme-diately preceding calendar year, in-creased by a rate equal to the rate ofincrease in the total number of work-ing loops during the calendar year pre-ceding the July 31st filing. The totalloop cost expense adjustment shall con-sist of the loop cost expense adjust-ments, including amounts calculatedpursuant to §§ 36.612(a) and 36.631. Therate of increase in total working loopsshall be based upon the difference be-tween the number of total workingloops on December 31 of the calendaryear preceding the July 31st filing andthe number of total working loops onDecember 31 of the second calendaryear preceding that filing, both deter-mined by the company’s submissionspursuant to § 36.611. Non-rural incum-bent local exchange carriers and eligi-ble telecommunications carriers serv-ing lines in the service area of non-rural incumbent local exchange car-riers shall only receive support pursu-ant to this subpart F to the extent thatthey qualify pursuant to § 54.311 of thischapter for interim hold-harmless sup-port. Support amounts calculated pur-suant to this subpart F but not re-ceived due to the phase down of in-terim hold-harmless support or the re-ceipt of forward-looking support pursu-ant to § 54.311 of this chapter shall notbe redistributed to other carriers.

[66 FR 30085, June 5, 2001]

§ 36.603 Calculation of rural incum-bent local exchange carrier portionof nationwide loop cost expense ad-justment.

(a) Effective July 1, 2001, the rural in-cumbent local exchange carrier portionof the annual nationwide loop cost ex-pense adjustment will be recomputedby the fund administrator as if the in-dexed cap calculated pursuant to§ 36.601(c) and the corporate operationsexpense limitation calculated pursuantto § 36.621 had not been in effect for thecalendar year 2000. For the period July1, 2001, to December 31, 2001, theannualized amount of the rural incum-bent local exchange carrier portion ofthe nationwide loop cost expense ad-justment calculated pursuant to thissubpart F shall not exceed the non-capped amount of the total rural in-cumbent local exchange carrier loopcost expense adjustment for the cal-endar year 2000, multiplied times oneplus the Rural Growth Factor cal-culated pursuant to § 36.604. BeginningJanuary 1, 2002, the annual amount ofthe rural incumbent local exchangecarrier portion of the nationwide loopcost expense adjustment calculatedpursuant to this subpart F shall not ex-ceed the amount of the total rural in-cumbent local exchange carrier loopcost expense adjustment for the imme-diately preceding calendar year, multi-plied times one plus the Rural GrowthFactor calculated pursuant to § 36.604.

(b) The annual rural incumbent localexchange carrier portion of the nation-wide loop cost expense adjustmentshall be reduced to reflect the transferof rural incumbent local exchange car-rier access lines that are eligible forexpense adjustments pursuant to§ 36.631. The reduction shall equal theamount of the § 36.631 expense adjust-ment available to the transferred ac-cess lines at the time of the transferand shall be effective in the next cal-endar quarter after the access lines aretransferred.

(c) Safety net additive support cal-culated pursuant to § 36.605, and trans-ferred high-cost support and safetyvalve support calculated pursuant to§ 54.305 of this chapter shall not be in-cluded in the rural incumbent local ex-change carrier portion of the annual


514

47 CFR Ch. I (10–1–01 Edition)§ 36.604

nationwide loop cost expense adjust-ment.

[66 FR 30085, June 5, 2001]

§ 36.604 Calculation of the ruralgrowth factor.

The Rural Growth Factor (RGF) isequal to the sum of the annual percent-age change in the United States De-partment of Commerce’s Gross Domes-tic Product—Chained Price Index(GPD–CPI) plus the percentage changein the total number of rural incumbentlocal exchange carrier working loopsduring the calendar year preceding theJuly 31st filing submitted pursuant to§ 36.611. The percentage change in totalrural incumbent local exchange carrierworking loops shall be based upon thedifference between the total number ofrural incumbent local exchange carrierworking loops on December 31 of thecalendar year preceding the July 31stfiling and the total number of rural in-cumbent local exchange carrier work-ing loops on December 31 of the secondcalendar year preceding that filing,both determined by the company’s sub-missions pursuant to § 36.611. Loops ac-quired by rural incumbent local ex-change carriers shall not be included inthe RGF calculation.

[66 FR 30085, June 5, 2001]

§ 36.605 Calculation of safety net addi-tive.

(a) ‘‘Safety net additive support.’’ Arural incumbent local exchange carriershall receive safety net additive sup-port if it satisfies the conditions setforth in paragraph (c) of this section.Safety net additive support is supportavailable to rural telephone companies,as conditioned in paragraph (c) of thissection, in addition to support cal-culated pursuant to § 36.631. Safety netadditive support shall not be availableto rural telephone companies for ex-change(s) that are subject to § 54.305 ofthis chapter.

(b) Calculation of safety net additivesupport: Safety net additive support isequal to the amount of capped supportcalculated pursuant to this subpart Fin the qualifying year minus theamount of support in the year prior toqualifying for support subtracted fromthe difference between the uncapped

expense adjustment for the study areain the qualifying year minus the un-capped expense adjustment in the yearprior to qualifying for support asshown in the following equation: Safe-ty net additive support = (Uncappedsupport in the qualifyingyear¥Uncapped support in the baseyear)¥(Capped support in the quali-fying year¥Amount of support re-ceived in the base year).

(c) Operation of safety net additive sup-port: (1) In any year in which the totalcarrier loop cost expense adjustment islimited by the provisions of § 36.603 arural incumbent local exchange carriershall receive safety net additive sup-port as calculated in paragraph (b) ofthis section, if in any study area, therural incumbent local exchange carrierrealizes growth in end of period Tele-communications Plant in Service(TPIS), as prescribed in § 32.2001 of thischapter, on a per loop basis, of at least14 percent more than the study area’sTPIS per loop investment at the end ofthe prior period.

(2) If paragraph (c)(1) of this sectionis met, the rural incumbent local ex-change carrier must notify the Admin-istrator; failure to properly notify theAdministrator of eligibility shall re-sult in disqualification of that studyarea for safety net additive, requiringthe rural incumbent local exchangecarrier to again meet the eligibility re-quirements in paragraph (c)(1) of thissection for that study area in a subse-quent period.

(3) Upon completion of verificationby the Administrator that the studyarea meets the stated criterion in para-graphs (a), (b), (c) of this section, theAdministrator shall:

(i) Pay to any qualifying rural tele-phone company, safety net additivesupport for the qualifying study area inaccordance with the calculation setforth in paragraph (b) of this section;and

(ii) Continue to pay safety net addi-tive support for the succeeding fouryears. Support in the four succeedingyears shall be the lesser of:

(A) The amount of support paid inthe qualifying year; or


515


(B) The amount of support based onrecalculation of support pursuant toparagraph (b) in this section.

[66 FR 30086, June 5, 2001]

DATA COLLECTION

§ 36.611 Submission of information tothe National Exchange Carrier As-sociation (NECA).

In order to allow determination ofthe study areas and wire centers thatare entitled to an expense adjustmentpursuant to § 36.631, each incumbentlocal exchange carrier (LEC) must pro-vide the National Exchange Carrier As-sociation (NECA) (established pursuantto part 69 of this chapter) with the in-formation listed for each study area inwhich such incumbent LEC operates,with the exception of the informationlisted in paragraph (h) of this section,which must be provided for each studyarea and, if applicable, for each wirecenter, as defined in part 54 of thischapter, and each disaggregation zoneas established pursuant to § 54.315 ofthis chapter. This information is to befiled with NECA by July 31st of eachyear. The information provided pursu-ant to paragraph (h) of this sectionmust be updated pursuant to § 36.612.Rural telephone companies that ac-quired exchanges subsequent to May 7,1997, and incorporated those acquiredexchanges into existing study areasshall separately provide the informa-tion required by paragraphs (a)through (h) of this section for both theacquired and existing exchanges.

(a) Unseparated, i.e., state and inter-state, gross plant investment in Ex-change Line Cable and Wire Facilities(C&WF) Subcategory 1.3 and ExchangeLine Central Office (CO) Circuit Equip-ment Category 4.13. This amount shallbe calculated as of December 31st ofthe calendar year preceding each July31st filing.

(b) Unseparated accumulated depre-ciation and noncurrent deferred federalincome taxes, attributable to ExchangeLine C&WF Subcategory 1.3 invest-ment, and Exchange Line CO CircuitEquipment Category 4.13 investment.These amounts shall be calculated as ofDecember 31st of the calendar year pre-ceding each July 31st filing, and shallbe stated separately.

(c) Unseparated depreciation expenseattributable to Exchange Line C&WFSubcategory 1.3 investment, and Ex-change Line CO Circuit EquipmentCategory 4.13 investment. This amountshall be the actual depreciation ex-pense for the calendar year precedingeach July 31st filing.

(d) Unseparated maintenance expenseattributable to Exchange Line C&WFSubcategory 1.3 investment and Ex-change Line CO Circuit EquipmentCategory 4.113 investment. Thisamount shall be the actual repair ex-pense for the calendar year precedingeach July 31st filing.

(e) Unseparated corporate operationsexpenses, operating taxes, and the ben-efits and rent proportions of operatingexpenses. The amount for each of thesecategories of expense shall be the ac-tual amount for that expense for thecalendar year preceding each July 31stfiling. The amount for each category ofexpense listed shall be stated sepa-rately.

(f) Unseparated gross telecommuni-cations plant investment. This amountshall be calculated as of December 31stof the calendar year preceding eachJuly 31st filing.

(g) Unseparated accumulated depre-ciation and noncurrent deferred federalincome taxes attributable to localunseparated telecommunications plantinvestment. This amount shall be cal-culated as of December 31st of the cal-endar year preceding each July 31st fil-ing.

(h) For rural telephone companies, asthat term is defined in § 51.5 of thischapter, the number of working loopsfor each study area. For non-rural tele-phone companies, the number of work-ing loops for each study area and foreach wire center. For universal servicesupport purposes, working loops are de-fined as the number of working Ex-change Line C&WF loops used jointlyfor exchange and message tele-communications service, includingC&WF subscriber lines associated withpay telephones in C&WF Category 1,but excluding WATS closed end accessand TWX service. These figures shall becalculated as of December 31st of the


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47 CFR Ch. I (10–1–01 Edition)§ 36.612

calendar year preceding each July 31stfiling.

[62 FR 32947, June 17, 1997, as amended at 64FR 67430, Dec. 1, 1999; 66 FR 30086, June 5,2001]

§ 36.612 Updating information sub-mitted to the National ExchangeCarrier Association.

(a) Any rural telephone company, asthat term is defined in § 51.5 of thischapter, may update the informationsubmitted to the National ExchangeCarrier Association (NECA) on July31st pursuant to §§ 36.611 (a) through (h)one or more times annually on a roll-ing year basis according to the sched-ule, except that rural telephone compa-nies in service areas where an eligibletelecommunications carrier has initi-ated service and has reported linecount data pursuant to § 54.307(c) ofthis chapter must update the informa-tion submitted to NECA on July 31stpursuant to § 36.611(h) according to theschedule. Every non-rural telephonecompany must update the informationsubmitted to NECA on July 31st pursu-ant to § 36.611 (h) according to theschedule.

(1) Submit data covering the lastnine months of the previous calendaryear and the first three months of theexisting calendar year no later thanSeptember 30th of the existing year;

(2) Submit data covering the last sixmonths of the previous calendar yearand the first six months of the existingcalendar year no later than December30th of the existing year;

(3) Submit data covering the lastthree months of the second previouscalendar year and the first ninemonths of the previous calendar yearno later than March 30th of the exist-ing year.

(b) [Reserved]

[52 FR 17229, May 6, 1987, as amended at 62FR 32947, June 17, 1997; 63 FR 2124, Jan. 13,1998; 64 FR 67430, Dec. 1, 1999; 66 FR 30086,June 5, 2001]

§ 36.613 Submission of information bythe National Exchange Carrier As-sociation.

(a) On October 1 of each year, the Na-tional Exchange Carrier Associationshall file with the Commission and Ad-ministrator the information listed

below. Information filed with the Com-mission shall be compiled from infor-mation provided to the Association bytelephone companies pursuant to§ 36.611.

(1) The unseparated loop cost foreach study area and a nationwide-aver-age unseparated loop cost.

(2) The annual amount of the highcost expense adjustment for each studyarea, and the total nationwide amountof the expense adjustment.

(3) The dollar amount and percentageof the increase in the nationwide aver-age unseparated loop cost, as well asthe dollar amount and percentage in-crease for each study area, for the pre-vious 5 years, or the number of yearsNECA has been receiving informationunder § 36.611, whichever is the shortertime period.

(b) [Reserved]

[52 FR 17229, May 6, 1997, as amended at 62FR 32948, June 17, 1997; 63 FR 2124, Jan. 13,1998]

CALCULATION OF LOOP COSTS FOREXPENSE ADJUSTMENT

§ 36.621 Study area total unseparatedloop cost.

(a) For the purpose of calculating theexpense adjustment, the study areatotal unseparated loop cost equals thesum of the following:

(1) Return component for netunseparated Exchange Line C&WF sub-category 1.3 investment and ExchangeLine CO Circuit Equipment Category4.13 investment. This amount is cal-culated by deducting the accumulateddepreciation and noncurrent deferredFederal income taxes attributable toC&WF subcategory 1.3 investment andExchange Line Category 4.13 circuit in-vestment reported pursuant to§ 36.611(b) from the gross investment inExchange Line C&WF subcategory 1.3and CO Category 4.13 reported pursuantto § 36.611(a) to obtain the netunseparated C&WF subcategory 1.3 in-vestment, and CO Category 4.13 invest-ment. The net unseparated C&WF sub-category 1.3 investment and CO Cat-egory 4.13investment is multiplied bythe study area’s authorized interstaterate of return.

(2) Depreciation expense attributableto C&WF subcategory 1.3 investment,


517


and CO Category 4.13 investment as re-ported in § 36.611(c).

(3) Maintenance expense attributableto C&WF subcategory 1.3 investment,and CO Category 4.13 investment as re-ported in § 36.611(d).

(4) Corporate Operations Expenses,Operating Taxes and the benefits andrent portions of operating expenses, asreported in § 36.611(e) attributable toinvestment in C&WF Category 1.3 andCOE Category 4.13. This amount is cal-culated by multiplying the totalamount of these expenses and taxes bythe ratio of the unseparated gross ex-change plant investment in C&WF Cat-egory 1.3 and COE Category 4.13, as re-ported in § 36.611(a), to the unseparatedgross telecommunications plant invest-ment, as reported in § 36.611(f). TotalCorporate Operations Expense, for pur-poses of calculating universal servicesupport payments beginning July 1,2001, shall be limited to the lesser of:

(i) The actual average monthly per-loop Corporate Operations Expense; or

(ii) A monthly per-loop amount com-puted according to paragraphs(a)(4)(ii)(A), (a)(4)(ii)(B), (a)(4)(ii)(C),and (a)(4)(ii)(D) of this section. To theextent that some carriers’ corporateoperations expenses are disallowed pur-suant to these limitations, the na-tional average unseparated cost perloop shall be adjusted accordingly.

(A) For study areas with 6,000 orfewer working loops the amountmonthly per working loop shall be$33.30853¥(.00246 × the number of work-ing loops), or, $50,000 ÷ the number ofworking loops, whichever is greater;

(B) For study areas with more than6,000 but fewer than 18,006 workingloops, the monthly amount per work-ing loop shall be $3.83195 + (88,429.20 ÷the number of working loops); and

(C) For study areas with 18,006 ormore working loops, the monthlyamount per working loop shall be$8.74472.

(D) Beginning January 1, 2002, themonthly per-loop amount computed ac-cording to paragraphs (a)(4)(ii)(A),(a)(4)(ii)(B), and (a)(4)(ii)(C) of this sec-tion shall be adjusted each year to re-flect the annual percentage change inthe United States Department of Com-merce’s Gross Domestic Product-Chained Price Index (GDP–CPI).

(b) [Reserved]

[52 FR 17229, May 6, 1987, as amended at 56FR 27422, June 14, 1991; 62 FR 32948, June 17,1997; 62 FR 40748, July 30, 1997; 63 FR 2124,Jan. 13, 1998; 66 FR 30086, June 5, 2001]

§ 36.622 National and study area aver-age unseparated loop costs.

(a) National Average UnseparatedLoop Cost per Working Loop. Except asprovided in paragraph (c) of this sec-tion, this is equal to the sum of theLoop Costs for each study area in thecountry as calculated pursuant to§ 36.621(a) divided by the sum of theworking loops reported in § 36.611(h) foreach study area in the country. The na-tional average unseparated loop costper working loop shall be calculated bythe National Exchange Carrier Associa-tion. Effective July 1, 2001, the na-tional average unseparated loop costfor purposes of calculating expense ad-justments for rural incumbent local ex-change carriers, as that term is definedin § 54.5 of this chapter, is frozen at$240.00.

(1) The National AverageUnseparated Loop Cost per WorkingLoop shall be recalculated by the Na-tional Exchange Carrier Association toreflect the September, December, andMarch update filings.

(2) Each new nationwide averageshall be used in determining the addi-tional interstate expense allocation forcompanies which made filings by themost recent filing date.

(3) The calculation of a new nationalaverage to reflect the update filingsshall not affect the amount of the addi-tional interstate expense allocation forcompanies which did not make an up-date filing by the most recent filingdate.

(b) Study Area Average UnseparatedLoop Cost per Working Loop. This isequal to the unseparated loop costs forthe study area as calculated pursuantto § 36.621(a) divided by the number ofworking loops reported in § 36.611(h) forthe study area.

(1) If a company elects to, or is re-quired to, update the data which it hasfiled with the National Exchange Car-rier Association as provided in§ 36.612(a), the study area averageunseparated loop cost per working loop


518

47 CFR Ch. I (10–1–01 Edition)§ 36.631

and the amount of its additional inter-state expense allocation shall be recal-culated to reflect the updated data.

(2) [Reserved](c) The National Average

Unseparated Loop Cost per WorkingLoop shall be the greater of:

(1) The amount calculated pursuantto the method described in paragraph(a) of this section; or

(2) An amount calculated to producethe maximum total Universal ServiceFund allowable pursuant to § 36.601(c).

[52 FR 17229, May 6, 1987, as amended at 56FR 27422, June 14, 1991; 58 FR 69242, Dec. 30,1993; 60 FR 65012, Dec. 15, 1995; 61 FR 34377,July 2, 1996; 62 FR 32948, June 17, 1997; 63 FR2125, Jan. 13, 1998; 64 FR 67430, Dec. 1, 1999; 66FR 30087, June 5, 2001]

CALCULATION OF EXPENSE ADJUST-MENT—ADDITIONAL INTERSTATE EX-PENSE ALLOCATION

§ 36.631 Expense adjustment.(a) Until December 31, 1997, for study

areas reporting 50,000 or fewer workingloops pursuant to § 36.611(h), the ex-pense adjustment (additional inter-state expense allocation) is equal tothe sum of the following:

(1) Fifty percent of the study area av-erage unseparated loop cost per work-ing loop as calculated pursuant to§ 36.622(b) in excess of 115 percent of thenational average for this cost but notgreater than 150 percent of the nationalaverage for this cost as calculated pur-suant to § 36.622(a) multiplied by thenumber of working loops reported in§ 36.611(h) for the study area; and

(2) Seventy-five percent of the studyarea unseparated loop cost per workingloop as calculated pursuant to§ 36.622(b) in excess of 150 percent of thenational average for this cost as cal-culated pursuant to § 36.622(a) multi-plied by the number of working loopsreported in § 36.611(h) for the studyarea.

(b) Until December 31, 1987, for studyareas reporting more than 50,000 work-ing loops pursuant to § 36.611(h), the ex-pense adjustment (additional inter-state expense allocation) is equal tothe sum of the following:

(1) Twenty-five percent of the studyarea average unseparated loop cost perworking loop as calculated pursuant to

§ 36.622(b) in excess of 115 percent of thenational average for this cost but notgreater than 150 percent of the nationalaverage for this cost as calculated pur-suant to § 36.622(a) multiplied by thenumber of working loops reported in§ 36.611(h) for the study area; and

(2) The amount calculated pursuantto § 36.631(a)(2).

(c) Beginning January 1, 1998, forstudy areas reporting 200,000 or fewerworking loops pursuant to § 36.611(h),the expense adjustment (additionalinterstate expense allocation) is equalto the sum of paragraphs (c)(1) through(2). After January 1, 2000, the expenseadjustment (additional interstate ex-pense allocation) for non-rural tele-phone companies serving study areasreporting 200,000 or fewer workingloops pursuant to § 36.611(h) shall becalculated pursuant to § 54.309 of thisChapter or § 54.311 of this Chapter(which relies on this part), whichever isapplicable.

(1) Sixty-five percent of the studyarea average unseparated loop cost perworking loop as calculated pursuant to§ 36.622(b) in excess of 115 percent of thenational average for this cost but notgreater than 150 percent of the nationalaverage for this cost as calculated pur-suant to § 36.622(a) multiplied by thenumber of working loops reported in§ 36.611(h) for the study area; and

(2) Seventy-five percent of the studyarea average unseparated loop cost perworking loop as calculated pursuant to§ 36.622(b) in excess of 150 percent of thenational average for this cost as cal-culated pursuant to § 36.622(a) multi-plied by the number of working loopsreported in § 36.611(h) for the studyarea.

(d) Beginning January 1, 1998, forstudy areas reporting more than 200,000working loops pursuant to § 36.611(h),the expense adjustment (additionalinterstate expense allocation) is equalto the sum of paragraphs (d) (1)–(4).After January 1, 2000, the expense ad-justment (additional interstate ex-pense allocation) shall be calculatedpursuant to § 54.309 of this chapter or§ 54.311 of this chapter (which relies onthis part), whichever is applicable.


519


(1) Ten percent of the study area av-erage unseparated loop cost per work-ing loop cost per working loop as cal-culated pursuant to § 36.622(b) in excessof 115 percent of the national averagefor this cost but not greater than 160percent of the national average for thiscost as calculated pursuant to§ 36.622(a) multiplied by the number ofworking loops reported in § 36.611(h) forthe study area;

(2) Thirty percent of the study areaaverage unseparated loop cost perworking loop as calculated pursuant to§ 36.622(b) in excess of 160 percent of thenational average for this cost but notgreater than 200 percent of the nationalaverage for this cost as calculated pur-suant to § 36.622(a) multiplied by thenumber of working loops reported in§ 36.611(h) for the study area;

(3) Sixty percent of the study areaaverage unseparated loop cost perworking loop as calculated pursuant to§ 36.622(b) in excess of 200 percent of thenational average for this cost but notgreater than 250 percent of the nationalaverage for this cost as calculated pur-suant to § 36.622(a) multiplied by thenumber of working loops reported in§ 36.611(h) for the study area; and

(4) Seventy-five percent of the studyarea average unseparated loop cost perworking loop as calculated pursuant to§ 36.622(b) in excess of 250 percent of thenational average for this cost as cal-culated pursuant to § 36.622(a) multi-plied by the number of working loopsreported in § 36.611(h) for the studyarea.

(e) Beginning April 1, 1989, the ex-pense adjustment calculated pursuantto § 36.631 (c) and (d) shall be adjustedeach year to reflect changes in the sizeof the Universal Service Fund resultingfrom adjustments calculated pursuantto § 36.612(a) made during the previousyear. If the resulting amount exceedsthe previous year’s fund size, the dif-ference will be added to the amountcalculated pursuant to § 36.631 (c) and(d) for the following year. If the adjust-ments made during the previous yearresult in a decrease in the size of thefunding requirement, the differencewill be subtracted from the amount

calculated pursuant to § 36.631 (c) and(d) for the following year.

[52 FR 17229, May 6, 1987, as amended at 53FR 33011 and 33012, Aug. 29, 1988; 63 FR 2125,Jan. 13, 1998; 64 FR 67430, Dec. 1, 1999; 64 FR73428, Dec. 30, 1999]

TRANSITIONAL EXPENSE ADJUSTMENT

§ 36.641 Transition.

(a) The expense adjustment for 1993and subsequent years shall be theamount computed in accordance with§ 36.631.

(b) The expense adjustments for 1988through 1992 shall be as follows:

(1) Three-eighths of the amount com-puted in accordance with § 36.631 in1988;

(2) One-half of the amount computedin accordance with § 36.631 in 1989;

(3) Five-eighths of the amount com-puted in accordance with § 36.631 in1990;

(4) Three-quarters of the amountcomputed in accordance with § 36.631 in1991; and

(5) Seven-eighths of the amount com-puted in accordance with § 36.631 in1992.

Subpart G—Lifeline ConnectionAssistance Expense Allocation

§ 36.701 General.

(a) The Lifeline Connection Assist-ance Expense portion of the interstateapportionment shall consist of an ex-pense adjustment computed in accord-ance with this subpart. The expense ad-justment will be added to interstate ex-penses and deducted from state ex-penses for eligible study areas as de-fined in this subpart after all othersteps required by this part have beencompleted.

(b) The expense adjustment will becomputed as provided in § 36.741.

(c) This subpart shall be effectivethrough December 31, 1997. On January1, 1998, Lifeline Connection Assistanceshall be provided in accordance withpart 54, subpart E of this chapter.



520

47 CFR Ch. I (10–1–01 Edition)§ 36.711

DEFINITIONS

§ 36.711 Lifeline connection assistance.

(a) For purposes of this subpart, Life-line Connection Assistance shall de-scribe the following lifeline telephoneassistance for eligible residential sub-scribers as defined in § 36.711 (b) and (c):

(1) A reduction in the charges forcommencing telephone service assessedfor a single telephone line per house-hold at the principal place of residence;and/or

(2) A deferred schedule for paymentof the charges assessed for commencingservice, for which the telephone com-pany does not charge interest.

(b) In order to be eligible for assist-ance when income is verified, a resi-dential subscriber must:

(1) Meet the requirements of a stateestablished income test; and

(2) Not be a dependent for federal in-come tax purposes as defined in 26U.S.C. Section 152 (1986) unless the sub-scriber is more than 60 years of age.

(c) In order to be eligible for assist-ance when income is not verified, a res-idential subscriber must meet the eli-gibility criteria in § 36.711 (b)(1) and(b)(2) and:

(1) Have lived at an address wherethere has been no telephone service forat least three months immediatelyprior to the date that the assistancedescribed in § 36.711 (a)(1) and/or (a)(2) isrequested from the telephone company;and

(2) Not have received assistance pur-suant to § 36.711 (a)(1) and/or (a)(2) with-in the last two years, with receipt ofsuch assistance to be measured fromthe date of initiation of the telephoneservice for which assistance was pro-vided.

(d) Charges assessed for commencingservice include any state tariffedcharges levied for connecting a sub-scriber to the network. These chargesdo not include security deposit require-ments.

[52 FR 17229, May 6, 1987, as amended at 54FR 16111, Apr. 21, 1989]

TELEPHONE COMPANY ELIGIBILITY

§ 36.721 Telephone company eligibilityfor lifeline connection assistanceexpense allocation.

(a) In order to be entitled to the addi-tional interstate expense adjustmentdescribed in this subpart a telephonecompany:

(1) Must provide Lifeline ConnectionAssistance as defined in § 36.711 (a)(1)and/or (a)(2) to eligible subscribers asdefined in § 36.711 (b) or (c);

(2) Shall verify that subscribers meetthe eligibility criteria set out in§ 36.711(b) or (c) provided that:

(i) Verification of subscriber eligi-bility by designated State officialsmay be substituted for verification bythe telephone company;

(ii) If the eligibility criterion in§ 36.711(b)(1) is verified, then the cri-teria in § 36.711(c) shall not apply;

(iii) If the eligibility criterion in§ 36.711(b)(1) is self-certified, then theeligibility criteria in § 36.711(c)(1) and(c)(2) shall apply and must be verified;

(iv) In all cases, the eligibility cri-terion in § 36.711(b)(2) may be self-cer-tified.

(3) Shall file information with theCommission Secretary demonstratingthat it is eligible for the additionalinterstate expense adjustment.

(4) Shall file information with theCommission Secretary demonstratingthat it is eligible for the additionalinterstate expense adjustment.

(b) The additional interstate expenseadjustment shall be effective as soon asthe Commission certifies that theState or local telephone company is el-igible for the additional interstate ex-pense adjustment, the local exchangecompany files the data required by§ 36.731 with the National ExchangeCarrier Association, and the relevanttariff provisions become effective.

[52 FR 17229, May 6, 1987, as amended at 54FR 16111, Apr. 21, 1989]

DATA COLLECTION

§ 36.731 Submission of information tothe National Exchange Carrier As-sociation.

(a) In order to allow calculation ofthe lifeline expense adjustment each


521

Federal Communications Commission Pt. 36, App.

local telephone company wishing to re-ceive the additional interstate expenseallocation provided for in this subpartshall provide the National ExchangeCarrier Association established pursu-ant to Part 69 of the Commission’srules with the information listed belowfor each of its study areas. The infor-mation for the succeeding calendaryear is to be filed with the Associationon June 30th of each year after certifi-cation of the plan by the Commissionpursuant to § 36.721(b). The informationfiled on June 30th of each year will beused in the jurisidictional allocationsunderlying the cost support data forthe access tariffs to be filed the fol-lowing October.

(1) An estimate of the number of eli-gible households which will receive thelifeline assistance described in§ 36.711(a)(1) pursuant to a lifeline as-sistance program which has receivedCommission certification.

(2) An estimate of the average dis-count on service commencementcharges to be provided to each sub-scriber, not to exceed 50 percent of thecharges for commencement of the sameservice applicable to non-lifeline cus-tomers or $30.00, whichever is less;

(3) An estimate of the number of eli-gible subscribers which will receive thelifeline assistance described in§ 36.711(a)(2).

(4) An estimate of the average de-ferred interest cost for each subscriber,Provided That:

(i) The deferred amount on which thecost of interest shall be calculated isnot to exceed $200.00; and

(ii) Interest shall be applied only toamounts actually outstanding, at therate for 10-year Treasury Bills on Janu-ary 1 of each year, with the interestrate adjusted only with each filing.

(b) In the event that this additionalinterstate expense allocation is to be ineffect for a given study area for lessthan a full calendar year, the carrier isto submit the information described in§ 36.731(a) (1) through (4) adjusted to re-flect the number of subscribers and therelevant costs for the portion of theyear during which this expense adjust-ment will be in effect as part of its§ 36.721(a)(4) submission to the Commis-sion. These data shall be filed with

NECA at the same time they are filedwith the Commission.

CALCULATION OF LIFELINE CONNECTIONASSISTANCE EXPENSE ADJUSTMENT

§ 36.741 Expense adjustment.

(a) The additional interstate expenseallocation shall be calculated by add-ing the following:

(1) The number of households pro-vided pursuant to § 36.731(a)(1) timesthe dollar amount provided pursuant to§ 36.731(a)(2); and

(2) The number of households pro-vided pursuant to § 36.731(a)(3) timesthe dollar amount provided pursuant to§ 36.731(a)(4).

(b) The expense adjustment cal-culated pursuant to § 36.741(a) shall beadjusted each year to reflect the actualnumber of lifeline recipients and theactual dollar amount of the benefitsprovided to them in the previous year.If the actual benefits provided in agiven calendar year exceed the esti-mated benefits for that year calculatedpursuant to § 36.741(a), this differenceshall be added to the amount cal-culated pursuant to § 36.741(a) for thefollowing year. If the actual benefitsprovided in a given year are less thanthe estimated amount for that yearcalculated pursuant to § 36.741(a), thisdifference shall be subtracted from theamount calculated pursuant to§ 36.741(a) for the following year.

(c) The expense adjustment cal-culated pursuant to § 36.741 (a) and (b)shall be subtracted from total intra-state expenses and added to total inter-state expenses.


APPENDIX—GLOSSARY

The descriptions of terms in this glossaryare broad and have been prepared to assist inunderstanding the use of such terms in theseparation procedures. Terms which are de-fined in the text of this part are not includedin this glossary.

Access Line

A communications facility extending froma customer’s premises to a serving centraloffice comprising a subscriber line and, ifnecessary, a trunk facility, e.g., a WATS ac-cess line, TWX access line.


522

47 CFR Ch. I (10–1–01 Edition)Pt. 36, App.

Book Cost

The cost of property as recorded on thebooks of a company.

Cable Fill Factor

The ratio of cable conductor or cable pairkilometers in use to total cable conductor orcable pair kilometers available in the plant,e.g., the ratio of revenue producing cablepair kilometers in use to total cable pair kil-ometers in plant.

Category

A grouping of items of property or expenseto facilitate the apportionment of their costsamong the operations and to which, ordi-narily, a common measure of use is applica-ble.

Central Office

A switching unit, in a telephone systemwhich provides service to the general public,having the necessary equipment and oper-ations arrangements for terminating andinterconnecting subscriber lines and trunksor trunks only. There may be more than onecentral office in a building.

Channel

An electrical path suitable for the trans-mission of communications between two ormore points, ordinarily between two or morestations or between channel terminations inTelecommunication Company central of-fices. A channel may be furnished by wire,fiberoptics, radio or a combination thereof.

Circuit

A fully operative communications path es-tablished in the normal circuit layout andcurrently used for message, WATS access,TWX, or private line services.

Circuit Kilometers

The route kilometers or revenue producingcircuits in service, determined by measuringthe length in terms of kilometers, of the ac-tual path followed by the transmission me-dium.

Common Channel Network Signaling

Channels between switching offices used totransmit signaling information independentof the subscribers’ communication paths ortransmission channels.

Complement (of cable)

A group of conductors of the same generaltype (e.g., quadded, paired) within a singlecable sheath.

Complex

All groups of operator positions, whereverlocated, associated with the same call dis-tribution and/or stored program control unit.

Concentrating Unit (TWX)

An arrangement of central office equip-ment wherein traffic over a number of TWXcircuits is automatically concentrated ontoa lesser number of circuits between the con-centrating unit and its associated TWXswitching office.

Concentration Equipment

Central office equipment whose function isto concentrate traffic from subscriber linesonto a lesser number of circuits between theremotely located concentration equipmentand the serving central office concentrationequipment. This concentration equipment isconnected to the serving central office lineequipment.

Connection—Minute

The product of (a) the number of messagesand, (b) the average minutes of connectionper message.

Conversation—Minute

The product of (a) the number of messagesand, (b) the average minutes of conversationper message.

Conversation-Minute-Kilometers

The product of (a) the number of messages,(b) the average minutes of conversation permessage and (c) the average route kilo-meters of circuits involved.

Cost

The cost of property owned by the Tele-phone Company whose property is to be ap-portioned among the operations. This termapplies either to property costs recorded onthe books of the company or property costsdetermined by other evaluation methods.

Current Billing

The combined amount of charges billed,excluding arrears.

Customer Dialed Charge Traffic

Traffic which is both (a) handled to com-pletion through pulses generated by the cus-tomer and (b) for which either a messageunit change, bulk charge or message tollcharge is except for that traffic recorded bymeans of message registers.

Customer Premises Equipment

Items of telecommunications terminalequipment in Accounts 2310 referred to asCPE in § 64.702 of the Federal CommunicationCommission’s Rules adopted in the Second


523


Computer Inquiry such as telephone instru-ments, data sets, dialers and other supple-mental equipment, and PBX’s which are pro-vided by common carriers and located oncustomer premises and inventory included inthese accounts to be used for such purposes.Excluded from this classification are similaritems of equipment located on telephonecompany premises and used by the companyin the normal course of business as well asover voltage protection equipment, customerpremises wiring, coin operated public or paytelephones, multiplexing equipment to de-liver multiple channels to the customer, mo-bile radio equipment and transmit earth sta-tions.

Customer Premises Wire

The segment of wiring from the customer’sside of the protector to the customer prem-ises equipment.

DSA Board

A local dial office switchboard at which arehandled assistance calls, intercepted callsand calls from miscellaneous lines andtrunks. It may also be employed for handlingcertain toll calls.

DSB Board

A switchboard of a dial system for com-pleting incoming calls received from manualoffices.

Data Processing Equipment

Office equipment such as that usingpunched cards, punched tape, magnetic orother comparable storage media as an oper-ating vehicle for recording and processing in-formation. Includes mechines for tran-scribing raw data into punched cards, etc.,but does not include such items as key-oper-ated, manually or electrically driven adding,calculating, bookkeeping or billing ma-chines, typewriters or similar equipment.

Dial Switching Equipment

Switching equipment actuated by elec-trical impulses generated by a dial or keypulsing arrangement.

Equal Access Costs

Include only initial incrementalpresubscription costs and initial incrementalexpenditures for hardware and software re-lated directly to the provision of equal ac-cess which would not be required to upgradethe switching capabilities of the office in-volved absent the provisions of equal access.

Equivalent Gauge

A standard cross section of cable conduc-tors for use in equating the metallic contentof cable conductors of all gauge to a commonbase.

Equivalent Kilometers of 104 Wire

The basic units employed in the allocationof pole lines costs for determining the rel-ative use made of poles by aerial cables andby aerial wire conductors of various sizes.This unit reflects the relative loads of suchcable and wire carried on poles.

Equivalent Pair Kilometers

The product of sheath Kilometers and thenumber of equivalent gauge pairs of conduc-tors in a cable.

Equivalent Sheath Kilometers

The product of (a) the length of a sectionof cable in kilometers (sheath kilometers)and (b) the ratio of the metallic content ap-plicable to a particular group of conductorsin the cable (e.g., conductors assigned to acategory) to the metallic content of all con-ductors in the cable.

Exchange Transmission Plant

This is a combination of (a) exchange cableand wire facilties (b) exchange central officecircuit equipment, including associated landand buildings and (c) information origina-tion/termination equipment which forms acomplete channel.

Holding Time

The time in which an item of telephoneplant is in actual use either by a customer oran operator. For example, on a completedtelephone call, holding time includes con-versation time as well as other time in use.At local dial offices any measured minuteswhich result from other than customer at-tempts to place calls (as evidenced by the di-aling of at least one digit) are not treated asholding time.

Host Central Office

An electronic analog or digital baseswitching unit containing the central callprocessing functions which service the hostoffice and its remote locations.

Information Origination/Termination Equipment

Equipment used to input into or receiveoutput from the telecommunications net-work.

Interexchange Channel

A circuit which is included in the inter-exchange transmission equipment.

Interexchange Transmission Equipment

The combination of (a) interexchange cableand wire facilities, (b) interexchange circuitequipment and, (c) associated land and build-ings.


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Interlocal Trunk

A circuit between two local central officeunits, either manual or dial. Interlocaltrunks may be used for either exchange ortoll traffic or both.

Intertoll Circuits

Circuits between toll centers and circuitsbetween a toll center and a tandem systemin a different toll center area.

Local Channel

The portion of a private line circuit whichis included in the exchange transmissionplant. However, common usage of this termusually excludes information origination/ter-mination equipment.

Local Office

A central office serving primarily as aplace of termination for subscriber lines andfor providing telephone service to the sub-scribers on these lines.

Loop

A pair of wires, or its equivalent, betweena customer’s station and the central officefrom which the station is served.

Message

A completed call, i.e., a communication inwhich a conversation or exchange of infor-mation took place between the calling andcalled parties.

Message Service or Message Toll Service

Switched service furnished to the generalpublic (as distinguished from private lineservice). Except as otherwise provided, thisincludes exchange switched services and allswitched services provided by interexchangecarriers and completed by a local telephonecompany’s access services, e.g., MTS, WATS,Execunet, open-end FX and CCSA/ONALs.

Message Units

Unit of measurement used for charging formeasured message telephone exchange traf-fic within a specified area.

Metropolitan Service Area

The area around and including a relativelylarge city and in which substantially all ofthe message telephone traffic between thecity and the suburban points within the areais classified as exchange in one or both direc-tions.

Minutes-of-Use

A unit of measurement expressed as eitherholding time or conversation time.

Minutes-of-Use-Kilometers

The product of (a) the number of minutes-of-use and (b) the average route kilometersof circuits involved.

Multi-Center Exchange

An exchange area in which are located twoor more local central office buildings or wirecenters.

Operations

The term denoting the general classifica-tions of services rendered to the public forwhich separate tariffs are filed, namely ex-change, state toll and interstate toll.

Operator Trunks

A general term, ordinarily applied totrunks between manually operated switch-board positions and local dial central officesin the same wire center.

Private Line Service

A service for communications betweenspecified locations for a continuous period orfor regularly recurring periods at statedhours.

Remote Access Line

An access line (e.g., for WATS or TWXservice) between a subscriber’s premises inone toll rate center and a serving central of-fice located in a different toll rate center.

Remote Line Location

A remotely located subscriber line accessunit which is normally dependent upon thecentral processor of the host office for callprocessing functions.

Remote Trunk Arrangement (RTA)

Arrangement that permits the extension ofTSPS functions to remote locations.

Reservation

That amount or quantity of property keptor set apart for a specific use.

Reserved

Kept or set apart for a specific use.

Separations

The process by which telecommunicationproperty costs, revenues, expenses, taxes andreserves are apportioned among the oper-ations.

Service Observing Unit

A unit of work measurement which is usedas the common denominator to express therelative time required for handling the var-ious work functions at service observingboards.


525


Sheath Kilometers

The actual length of cable in route kilo-meters.

Special Services

All services other than message tele-phones, e.g., teletypewriter exchange service(TWX), private line services.

Station-to-Station Basis

The term applied to the basis of toll ratemaking which contemplates that the mes-sage toll service charge (telephone or TWX)covers the use made of all facilities betweenthe originating station and the terminatingstation, including the stations, and the serv-ices rendered in connection therewith.

Study Area

Study area boundaries shall be frozen asthey are on November 15, 1984

Subscriber Line or Exchange Line

A communication channel between a tele-phone station, PBX or TWX station and thecentral office which serves it.

Subtributary Office

A class of tributary office which does nothave direct access to its toll center, butwhich is connected to its toll center office bymeans of circuits which are switchedthrough to the toll center at another tribu-tary office.

Tandem Area

The general areas served by the local of-fices having direct trunks to or from the tan-dem office. This area may consist of one ormore communities or may include only aportion of a relatively large city.

Tandem Circuit or Trunk

A general classification of circuits ortrunks between a tandem central office unitand any other central office or switchboard.

Tandem Connection

A call switched at a tandem office.

Tandem Office

A central office unit used primarily as anintermediate switching point for traffic be-tween local central offices within the tan-dem area. Where qualified by a modifying ex-pression, or other explanation, this termmay be applied to an office employed forboth the interconnection of local central of-fices within the tandem area and for theinterconnection of these local offices withother central offices, e.g., long haul tandemoffice.

Toll Center

An office (or group of offices) within a citywhich generally handles the originating andincoming toll traffic for that city to or fromother toll center areas and which handlesthrough switched traffic. The toll center nor-mally handles the inward toll traffic for itstributary exchanges and, in general, eitherhandles the outward traffic originating at itstributaries or serves as the outlet to inter-exchange circuits for outward trafficticketed and timed at its tributaries. Tollcenters are listed as such in the Toll Rateand Route Guide.

Toll Center Area

The areas served by a toll center, includingthe toll center city and the communitiesserved by tributaries of the toll center.

Toll Center Toll Office

A toll office (as contrasted to a local of-fice) in a toll center city.

Toll Circuit

A general term applied to interexchangetrunks used primarily for toll traffic.

Toll Connecting Trunk

A general classification of trunks carryingtoll traffic and ordinarily extending betweena local office and a toll office, except trunksclassified as tributary circuits. Examples oftoll connecting trunks include toll switchingtrunks, recording trunks and recording-com-pleting trunks.

Toll Office

A central office used primarily for super-vising and switching toll traffic.

Traffic Over First Routes

A term applied to the routing of traffic anddenoting routing via principal route for traf-fic between any two points as distinguishedfrom alternate routes for such traffic.

Operator System

A stored program electronic system associ-ated with one or more toll switching systemswhich provides centralized traffic service po-sition functions for several local offices atone location.

Tributary Circuit

A circuit between a tributary office and atoll switchboard or intertoll dialing equip-ment in a toll center city.

Tributary Office

A local office which is located outside theexchange in which a toll center is located,which has a different rate center from itstoll center and which usually tickets and


526


times only a part of its originating toll traf-fic, but which may ticket or time all ornone, of such traffic. The toll center handlesall outward traffic not ticketed and timed atthe tributary and normally switches all in-ward toll traffic from outside the tributary’stoll center to the tributary. Tributary of-fices are indicated as such in the Toll Rateand Route Guide.

Trunks

Circuit between switchboards or otherswitching equipment, as distinguished fromcircuits which extend between central officeswitching equipment and information origi-nation/termination equipment.

TSPS Complex

All groups of operator positions, whereverlocated, associated with the same TSPSstored program control units.

TWX

Teletypewriter Exchange Service.

TWX Connection

A completed TWX call, i.e., a call on whicha TWX communication was passed betweenthe calling and called stations.

TWX Connection-Minute-Kilometers

The product of (a) the number of TWX con-nections, (b) the average minutes per TWXconnection and (c) the average route kilo-meters of circuits involved.

TWX Switching Plant Trunks

Interexchange circuits, excluding remoteaccess lines, which handle 100 word perminute TWX traffic only.

Weighted Standard Work Second

A measurement of traffic operating workwhich is used to express the relative time re-quired to handle the various kinds of calls orwork functions, and which is weighted to re-flect appropriate degrees of waiting to servetime.

Wide Area Telephone Service WATS

A toll service offering for customer dialtype telecommunications between a givencustomer station and stations within speci-fied geographic rate areas employing a singleaccess line between the customer locationand the serving central office. Each accessline may be arranged for either outward(OUT–WATS) or inward (IN–WATS) serviceor both.

Wideband Channel

A communication channel of a bandwidthequivalent to twelve or more voice gradechannels.

Working Loop

A revenue producing pair of wires, or itsequivalent, between a customer’s station andthe central office from which the station isserved.

[52 FR 17229, May 6, 1987, as amended at 53FR 33012, Aug. 29, 1988; 53 FR 39095, Oct. 5,1989; 58 FR 44905, Aug. 25, 1993]

Parts 37–39 [Reserved]


527

FINDING AIDS

A list of CFR titles, subtitles, chapters, subchapters and parts and an alphabet-ical list of agencies publishing in the CFR are included in the CFR Index andFinding Aids volume to the Code of Federal Regulations which is published sepa-rately and revised annually.

Table of CFR Titles and ChaptersAlphabetical List of Agencies Appearing in the CFRTable of OMB Control NumbersList of CFR Sections Affected

VerDate 11<MAY>2000 09:44 Oct 26, 2001 Jkt 194189 PO 00000 Frm 00001 Fmt 8008 Sfmt 8008 Y:\SGML\194189B.XXX pfrm11 PsN: 194189B

529

Table of CFR Titles and Chapters(Revised as of October 1, 2001)

Title 1—General Provisions

I Administrative Committee of the Federal Register (Parts 1—49)

II Office of the Federal Register (Parts 50—299)

IV Miscellaneous Agencies (Parts 400—500)

Title 2—[Reserved]

Title 3—The President

I Executive Office of the President (Parts 100—199)

Title 4—Accounts

I General Accounting Office (Parts 1—99)

Title 5—Administrative Personnel

I Office of Personnel Management (Parts 1—1199)

II Merit Systems Protection Board (Parts 1200—1299)

III Office of Management and Budget (Parts 1300—1399)

V The International Organizations Employees Loyalty Board(Parts 1500—1599)

VI Federal Retirement Thrift Investment Board (Parts 1600—1699)

VII Advisory Commission on Intergovernmental Relations (Parts1700—1799)

VIII Office of Special Counsel (Parts 1800—1899)

IX Appalachian Regional Commission (Parts 1900—1999)

XI Armed Forces Retirement Home (Part 2100)

XIV Federal Labor Relations Authority, General Counsel of the Fed-eral Labor Relations Authority and Federal Service ImpassesPanel (Parts 2400—2499)

XV Office of Administration, Executive Office of the President(Parts 2500—2599)

XVI Office of Government Ethics (Parts 2600—2699)

XXI Department of the Treasury (Parts 3100—3199)

XXII Federal Deposit Insurance Corporation (Part 3201)

XXIII Department of Energy (Part 3301)

XXIV Federal Energy Regulatory Commission (Part 3401)


530

Chap.Title 5—Administrative Personnel—Continued

XXV Department of the Interior (Part 3501)

XXVI Department of Defense (Part 3601)

XXVIII Department of Justice (Part 3801)

XXIX Federal Communications Commission (Parts 3900—3999)

XXX Farm Credit System Insurance Corporation (Parts 4000—4099)

XXXI Farm Credit Administration (Parts 4100—4199)

XXXIII Overseas Private Investment Corporation (Part 4301)

XXXV Office of Personnel Management (Part 4501)

XL Interstate Commerce Commission (Part 5001)

XLI Commodity Futures Trading Commission (Part 5101)

XLII Department of Labor (Part 5201)

XLIII National Science Foundation (Part 5301)

XLV Department of Health and Human Services (Part 5501)

XLVI Postal Rate Commission (Part 5601)

XLVII Federal Trade Commission (Part 5701)

XLVIII Nuclear Regulatory Commission (Part 5801)

L Department of Transportation (Part 6001)

LII Export-Import Bank of the United States (Part 6201)

LIII Department of Education (Parts 6300—6399)

LIV Environmental Protection Agency (Part 6401)

LVII General Services Administration (Part 6701)

LVIII Board of Governors of the Federal Reserve System (Part 6801)

LIX National Aeronautics and Space Administration (Part 6901)

LX United States Postal Service (Part 7001)

LXI National Labor Relations Board (Part 7101)

LXII Equal Employment Opportunity Commission (Part 7201)

LXIII Inter-American Foundation (Part 7301)

LXV Department of Housing and Urban Development (Part 7501)

LXVI National Archives and Records Administration (Part 7601)

LXIX Tennessee Valley Authority (Part 7901)

LXXI Consumer Product Safety Commission (Part 8101)

LXXIII Department of Agriculture (Part 8301)

LXXIV Federal Mine Safety and Health Review Commission (Part 8401)

LXXVI Federal Retirement Thrift Investment Board (Part 8601)

LXXVII Office of Management and Budget (Part 8701)

Title 6—[Reserved]

Title 7—Agriculture

SUBTITLE A—OFFICE OF THE SECRETARY OF AGRICULTURE (PARTS0—26)

SUBTITLE B—REGULATIONS OF THE DEPARTMENT OF AGRICULTURE


531

Chap.Title 7—Agriculture—Continued

I Agricultural Marketing Service (Standards, Inspections, Mar-keting Practices), Department of Agriculture (Parts 27—209)

II Food and Nutrition Service, Department of Agriculture (Parts210—299)

III Animal and Plant Health Inspection Service, Department of Ag-riculture (Parts 300—399)

IV Federal Crop Insurance Corporation, Department of Agriculture(Parts 400—499)

V Agricultural Research Service, Department of Agriculture(Parts 500—599)

VI Natural Resources Conservation Service, Department of Agri-culture (Parts 600—699)

VII Farm Service Agency, Department of Agriculture (Parts 700—799)

VIII Grain Inspection, Packers and Stockyards Administration (Fed-eral Grain Inspection Service), Department of Agriculture(Parts 800—899)

IX Agricultural Marketing Service (Marketing Agreements and Or-ders; Fruits, Vegetables, Nuts), Department of Agriculture(Parts 900—999)

X Agricultural Marketing Service (Marketing Agreements and Or-ders; Milk), Department of Agriculture (Parts 1000—1199)

XI Agricultural Marketing Service (Marketing Agreements and Or-ders; Miscellaneous Commodities), Department of Agriculture(Parts 1200—1299)

XIII Northeast Dairy Compact Commission (Parts 1300—1399)

XIV Commodity Credit Corporation, Department of Agriculture(Parts 1400—1499)

XV Foreign Agricultural Service, Department of Agriculture (Parts1500—1599)

XVI Rural Telephone Bank, Department of Agriculture (Parts 1600—1699)

XVII Rural Utilities Service, Department of Agriculture (Parts 1700—1799)

XVIII Rural Housing Service, Rural Business-Cooperative Service,Rural Utilities Service, and Farm Service Agency, Depart-ment of Agriculture (Parts 1800—2099)

XXVI Office of Inspector General, Department of Agriculture (Parts2600—2699)

XXVII Office of Information Resources Management, Department ofAgriculture (Parts 2700—2799)

XXVIII Office of Operations, Department of Agriculture (Parts 2800—2899)

XXIX Office of Energy, Department of Agriculture (Parts 2900—2999)

XXX Office of the Chief Financial Officer, Department of Agriculture(Parts 3000—3099)

XXXI Office of Environmental Quality, Department of Agriculture(Parts 3100—3199)

XXXII Office of Procurement and Property Management, Departmentof Agriculture (Parts 3200—3299)


532

Chap.Title 7—Agriculture—Continued

XXXIII Office of Transportation, Department of Agriculture (Parts3300—3399)

XXXIV Cooperative State Research, Education, and Extension Service,Department of Agriculture (Parts 3400—3499)

XXXV Rural Housing Service, Department of Agriculture (Parts 3500—3599)

XXXVI National Agricultural Statistics Service, Department of Agri-culture (Parts 3600—3699)

XXXVII Economic Research Service, Department of Agriculture (Parts3700—3799)

XXXVIII World Agricultural Outlook Board, Department of Agriculture(Parts 3800—3899)

XLI [Reserved]

XLII Rural Business-Cooperative Service and Rural Utilities Service,Department of Agriculture (Parts 4200—4299)

Title 8—Aliens and Nationality

I Immigration and Naturalization Service, Department of Justice(Parts 1—599)

Title 9—Animals and Animal Products

I Animal and Plant Health Inspection Service, Department of Ag-riculture (Parts 1—199)

II Grain Inspection, Packers and Stockyards Administration(Packers and Stockyards Programs), Department of Agri-culture (Parts 200—299)

III Food Safety and Inspection Service, Department of Agriculture(Parts 300—599)

Title 10—Energy

I Nuclear Regulatory Commission (Parts 0—199)

II Department of Energy (Parts 200—699)

III Department of Energy (Parts 700—999)

X Department of Energy (General Provisions) (Parts 1000—1099)

XVII Defense Nuclear Facilities Safety Board (Parts 1700—1799)

XVIII Northeast Interstate Low-Level Radioactive Waste Commission(Part 1800)

Title 11—Federal Elections

I Federal Election Commission (Parts 1—9099)

Title 12—Banks and Banking

I Comptroller of the Currency, Department of the Treasury (Parts1—199)


533

Chap.Title 12—Banks and Banking—Continued

II Federal Reserve System (Parts 200—299)

III Federal Deposit Insurance Corporation (Parts 300—399)

IV Export-Import Bank of the United States (Parts 400—499)

V Office of Thrift Supervision, Department of the Treasury (Parts500—599)

VI Farm Credit Administration (Parts 600—699)

VII National Credit Union Administration (Parts 700—799)

VIII Federal Financing Bank (Parts 800—899)

IX Federal Housing Finance Board (Parts 900—999)

XI Federal Financial Institutions Examination Council (Parts1100—1199)

XIV Farm Credit System Insurance Corporation (Parts 1400—1499)

XV Department of the Treasury (Parts 1500—1599)

XVII Office of Federal Housing Enterprise Oversight, Department ofHousing and Urban Development (Parts 1700—1799)

XVIII Community Development Financial Institutions Fund, Depart-ment of the Treasury (Parts 1800—1899)

Title 13—Business Credit and Assistance

I Small Business Administration (Parts 1—199)

III Economic Development Administration, Department of Com-merce (Parts 300—399)

IV Emergency Steel Guarantee Loan Board (Parts 400—499)

V Emergency Oil and Gas Guaranteed Loan Board (Parts 500—599)

Title 14—Aeronautics and Space

I Federal Aviation Administration, Department of Transportation(Parts 1—199)

II Office of the Secretary, Department of Transportation (AviationProceedings) (Parts 200—399)

III Commercial Space Transportation, Federal Aviation Adminis-tration, Department of Transportation (Parts 400—499)

V National Aeronautics and Space Administration (Parts 1200—1299)

Title 15—Commerce and Foreign Trade

SUBTITLE A—OFFICE OF THE SECRETARY OF COMMERCE (PARTS 0—29)

SUBTITLE B—REGULATIONS RELATING TO COMMERCE AND FOREIGNTRADE

I Bureau of the Census, Department of Commerce (Parts 30—199)

II National Institute of Standards and Technology, Department ofCommerce (Parts 200—299)

III International Trade Administration, Department of Commerce(Parts 300—399)


534

Chap.Title 15—Commerce and Foreign Trade—Continued

IV Foreign-Trade Zones Board, Department of Commerce (Parts400—499)

VII Bureau of Export Administration, Department of Commerce(Parts 700—799)

VIII Bureau of Economic Analysis, Department of Commerce (Parts800—899)

IX National Oceanic and Atmospheric Administration, Departmentof Commerce (Parts 900—999)

XI Technology Administration, Department of Commerce (Parts1100—1199)

XIII East-West Foreign Trade Board (Parts 1300—1399)

XIV Minority Business Development Agency (Parts 1400—1499)

SUBTITLE C—REGULATIONS RELATING TO FOREIGN TRADE AGREE-MENTS

XX Office of the United States Trade Representative (Parts 2000—2099)

SUBTITLE D—REGULATIONS RELATING TO TELECOMMUNICATIONSAND INFORMATION

XXIII National Telecommunications and Information Administration,Department of Commerce (Parts 2300—2399)

Title 16—Commercial Practices

I Federal Trade Commission (Parts 0—999)

II Consumer Product Safety Commission (Parts 1000—1799)

Title 17—Commodity and Securities Exchanges

I Commodity Futures Trading Commission (Parts 1—199)

II Securities and Exchange Commission (Parts 200—399)

IV Department of the Treasury (Parts 400—499)

Title 18—Conservation of Power and Water Resources

I Federal Energy Regulatory Commission, Department of Energy(Parts 1—399)

III Delaware River Basin Commission (Parts 400—499)

VI Water Resources Council (Parts 700—799)

VIII Susquehanna River Basin Commission (Parts 800—899)

XIII Tennessee Valley Authority (Parts 1300—1399)

Title 19—Customs Duties

I United States Customs Service, Department of the Treasury(Parts 1—199)

II United States International Trade Commission (Parts 200—299)

III International Trade Administration, Department of Commerce(Parts 300—399)


535

Chap.Title 20—Employees’ Benefits

I Office of Workers’ Compensation Programs, Department ofLabor (Parts 1—199)

II Railroad Retirement Board (Parts 200—399)

III Social Security Administration (Parts 400—499)

IV Employees’ Compensation Appeals Board, Department of Labor(Parts 500—599)

V Employment and Training Administration, Department of Labor(Parts 600—699)

VI Employment Standards Administration, Department of Labor(Parts 700—799)

VII Benefits Review Board, Department of Labor (Parts 800—899)

VIII Joint Board for the Enrollment of Actuaries (Parts 900—999)

IX Office of the Assistant Secretary for Veterans’ Employment andTraining, Department of Labor (Parts 1000—1099)

Title 21—Food and Drugs

I Food and Drug Administration, Department of Health andHuman Services (Parts 1—1299)

II Drug Enforcement Administration, Department of Justice (Parts1300—1399)

III Office of National Drug Control Policy (Parts 1400—1499)

Title 22—Foreign Relations

I Department of State (Parts 1—199)

II Agency for International Development (Parts 200—299)

III Peace Corps (Parts 300—399)

IV International Joint Commission, United States and Canada(Parts 400—499)

V Broadcasting Board of Governors (Parts 500—599)

VII Overseas Private Investment Corporation (Parts 700—799)

IX Foreign Service Grievance Board Regulations (Parts 900—999)

X Inter-American Foundation (Parts 1000—1099)

XI International Boundary and Water Commission, United Statesand Mexico, United States Section (Parts 1100—1199)

XII United States International Development Cooperation Agency(Parts 1200—1299)

XIV Foreign Service Labor Relations Board; Federal Labor RelationsAuthority; General Counsel of the Federal Labor RelationsAuthority; and the Foreign Service Impasse Disputes Panel(Parts 1400—1499)

XV African Development Foundation (Parts 1500—1599)

XVI Japan-United States Friendship Commission (Parts 1600—1699)

XVII United States Institute of Peace (Parts 1700—1799)


536

Chap.Title 23—Highways

I Federal Highway Administration, Department of Transportation(Parts 1—999)

II National Highway Traffic Safety Administration and FederalHighway Administration, Department of Transportation(Parts 1200—1299)

III National Highway Traffic Safety Administration, Department ofTransportation (Parts 1300—1399)

Title 24—Housing and Urban Development

SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF HOUSINGAND URBAN DEVELOPMENT (PARTS 0—99)

SUBTITLE B—REGULATIONS RELATING TO HOUSING AND URBAN DE-VELOPMENT

I Office of Assistant Secretary for Equal Opportunity, Departmentof Housing and Urban Development (Parts 100—199)

II Office of Assistant Secretary for Housing-Federal Housing Com-missioner, Department of Housing and Urban Development(Parts 200—299)

III Government National Mortgage Association, Department ofHousing and Urban Development (Parts 300—399)

IV Office of Housing and Office of Multifamily Housing AssistanceRestructuring, Department of Housing and Urban Develop-ment (Parts 400—499)

V Office of Assistant Secretary for Community Planning and De-velopment, Department of Housing and Urban Development(Parts 500—599)

VI Office of Assistant Secretary for Community Planning and De-velopment, Department of Housing and Urban Development(Parts 600—699) [Reserved]

VII Office of the Secretary, Department of Housing and Urban Devel-opment (Housing Assistance Programs and Public and IndianHousing Programs) (Parts 700—799)

VIII Office of the Assistant Secretary for Housing—Federal HousingCommissioner, Department of Housing and Urban Develop-ment (Section 8 Housing Assistance Programs, Section 202 Di-rect Loan Program, Section 202 Supportive Housing for the El-derly Program and Section 811 Supportive Housing for PersonsWith Disabilities Program) (Parts 800—899)

IX Office of Assistant Secretary for Public and Indian Housing, De-partment of Housing and Urban Development (Parts 900—999)

X Office of Assistant Secretary for Housing—Federal HousingCommissioner, Department of Housing and Urban Develop-ment (Interstate Land Sales Registration Program) (Parts1700—1799)

XII Office of Inspector General, Department of Housing and UrbanDevelopment (Parts 2000—2099)

XX Office of Assistant Secretary for Housing—Federal HousingCommissioner, Department of Housing and Urban Develop-ment (Parts 3200—3899)

XXV Neighborhood Reinvestment Corporation (Parts 4100—4199)


537

Chap.Title 25—Indians

I Bureau of Indian Affairs, Department of the Interior (Parts 1—299)

II Indian Arts and Crafts Board, Department of the Interior (Parts300—399)

III National Indian Gaming Commission, Department of the Inte-rior (Parts 500—599)

IV Office of Navajo and Hopi Indian Relocation (Parts 700—799)

V Bureau of Indian Affairs, Department of the Interior, and IndianHealth Service, Department of Health and Human Services(Part 900)

VI Office of the Assistant Secretary-Indian Affairs, Department ofthe Interior (Parts 1000—1199)

VII Office of the Special Trustee for American Indians, Departmentof the Interior (Part 1200)

Title 26—Internal Revenue

I Internal Revenue Service, Department of the Treasury (Parts 1—899)

Title 27—Alcohol, Tobacco Products and Firearms

I Bureau of Alcohol, Tobacco and Firearms, Department of theTreasury (Parts 1—299)

Title 28—Judicial Administration

I Department of Justice (Parts 0—199)

III Federal Prison Industries, Inc., Department of Justice (Parts300—399)

V Bureau of Prisons, Department of Justice (Parts 500—599)

VI Offices of Independent Counsel, Department of Justice (Parts600—699)

VII Office of Independent Counsel (Parts 700—799)

VIII Court Services and Offender Supervision Agency for the Districtof Columbia (Parts 800—899)

IX National Crime Prevention and Privacy Compact Council (Parts900—999)

XI Department of Justice and Department of State (Parts 1100—1199)

Title 29—Labor

SUBTITLE A—OFFICE OF THE SECRETARY OF LABOR (PARTS 0—99)

SUBTITLE B—REGULATIONS RELATING TO LABOR

I National Labor Relations Board (Parts 100—199)

II Office of Labor-Management Standards, Department of Labor(Parts 200—299)

III National Railroad Adjustment Board (Parts 300—399)


538

Chap.Title 29—Labor—Continued

IV Office of Labor-Management Standards, Department of Labor(Parts 400—499)

V Wage and Hour Division, Department of Labor (Parts 500—899)

IX Construction Industry Collective Bargaining Commission (Parts900—999)

X National Mediation Board (Parts 1200—1299)

XII Federal Mediation and Conciliation Service (Parts 1400—1499)

XIV Equal Employment Opportunity Commission (Parts 1600—1699)

XVII Occupational Safety and Health Administration, Department ofLabor (Parts 1900—1999)

XX Occupational Safety and Health Review Commission (Parts2200—2499)

XXV Pension and Welfare Benefits Administration, Department ofLabor (Parts 2500—2599)

XXVII Federal Mine Safety and Health Review Commission (Parts2700—2799)

XL Pension Benefit Guaranty Corporation (Parts 4000—4999)

Title 30—Mineral Resources

I Mine Safety and Health Administration, Department of Labor(Parts 1—199)

II Minerals Management Service, Department of the Interior(Parts 200—299)

III Board of Surface Mining and Reclamation Appeals, Departmentof the Interior (Parts 300—399)

IV Geological Survey, Department of the Interior (Parts 400—499)

VI Bureau of Mines, Department of the Interior (Parts 600—699)

VII Office of Surface Mining Reclamation and Enforcement, Depart-ment of the Interior (Parts 700—999)

Title 31—Money and Finance: Treasury

SUBTITLE A—OFFICE OF THE SECRETARY OF THE TREASURY (PARTS0—50)

SUBTITLE B—REGULATIONS RELATING TO MONEY AND FINANCE

I Monetary Offices, Department of the Treasury (Parts 51—199)

II Fiscal Service, Department of the Treasury (Parts 200—399)

IV Secret Service, Department of the Treasury (Parts 400—499)

V Office of Foreign Assets Control, Department of the Treasury(Parts 500—599)

VI Bureau of Engraving and Printing, Department of the Treasury(Parts 600—699)

VII Federal Law Enforcement Training Center, Department of theTreasury (Parts 700—799)

VIII Office of International Investment, Department of the Treasury(Parts 800—899)

IX Federal Claims Collection Standards (Department of the Treas-ury—Department of Justice) (Parts 900—999)


539

Chap.Title 32—National Defense

SUBTITLE A—DEPARTMENT OF DEFENSE

I Office of the Secretary of Defense (Parts 1—399)

V Department of the Army (Parts 400—699)

VI Department of the Navy (Parts 700—799)

VII Department of the Air Force (Parts 800—1099)

SUBTITLE B—OTHER REGULATIONS RELATING TO NATIONAL DE-FENSE

XII Defense Logistics Agency (Parts 1200—1299)

XVI Selective Service System (Parts 1600—1699)

XVIII National Counterintelligence Center (Parts 1800—1899)

XIX Central Intelligence Agency (Parts 1900—1999)

XX Information Security Oversight Office, National Archives andRecords Administration (Parts 2000—2099)

XXI National Security Council (Parts 2100—2199)

XXIV Office of Science and Technology Policy (Parts 2400—2499)

XXVII Office for Micronesian Status Negotiations (Parts 2700—2799)

XXVIII Office of the Vice President of the United States (Parts 2800—2899)

Title 33—Navigation and Navigable Waters

I Coast Guard, Department of Transportation (Parts 1—199)

II Corps of Engineers, Department of the Army (Parts 200—399)

IV Saint Lawrence Seaway Development Corporation, Departmentof Transportation (Parts 400—499)

Title 34—Education

SUBTITLE A—OFFICE OF THE SECRETARY, DEPARTMENT OF EDU-CATION (PARTS 1—99)

SUBTITLE B—REGULATIONS OF THE OFFICES OF THE DEPARTMENTOF EDUCATION

I Office for Civil Rights, Department of Education (Parts 100—199)

II Office of Elementary and Secondary Education, Department ofEducation (Parts 200—299)

III Office of Special Education and Rehabilitative Services, Depart-ment of Education (Parts 300—399)

IV Office of Vocational and Adult Education, Department of Edu-cation (Parts 400—499)

V Office of Bilingual Education and Minority Languages Affairs,Department of Education (Parts 500—599)

VI Office of Postsecondary Education, Department of Education(Parts 600—699)

VII Office of Educational Research and Improvement, Department ofEducation (Parts 700—799)

XI National Institute for Literacy (Parts 1100—1199)

SUBTITLE C—REGULATIONS RELATING TO EDUCATION

XII National Council on Disability (Parts 1200—1299)


540

Chap.Title 35—Panama Canal

I Panama Canal Regulations (Parts 1—299)

Title 36—Parks, Forests, and Public Property

I National Park Service, Department of the Interior (Parts 1—199)

II Forest Service, Department of Agriculture (Parts 200—299)

III Corps of Engineers, Department of the Army (Parts 300—399)

IV American Battle Monuments Commission (Parts 400—499)

V Smithsonian Institution (Parts 500—599)

VII Library of Congress (Parts 700—799)

VIII Advisory Council on Historic Preservation (Parts 800—899)

IX Pennsylvania Avenue Development Corporation (Parts 900—999)

X Presidio Trust (Parts 1000—1099)

XI Architectural and Transportation Barriers Compliance Board(Parts 1100—1199)

XII National Archives and Records Administration (Parts 1200—1299)

XV Oklahoma City National Memorial Trust (Part 1501)

XVI Morris K. Udall Scholarship and Excellence in National Environ-mental Policy Foundation (Parts 1600—1699)

Title 37—Patents, Trademarks, and Copyrights

I United States Patent and Trademark Office, Department ofCommerce (Parts 1—199)

II Copyright Office, Library of Congress (Parts 200—299)

IV Assistant Secretary for Technology Policy, Department of Com-merce (Parts 400—499)

V Under Secretary for Technology, Department of Commerce(Parts 500—599)

Title 38—Pensions, Bonuses, and Veterans’ Relief

I Department of Veterans Affairs (Parts 0—99)

Title 39—Postal Service

I United States Postal Service (Parts 1—999)

III Postal Rate Commission (Parts 3000—3099)

Title 40—Protection of Environment

I Environmental Protection Agency (Parts 1—799)

IV Environmental Protection Agency and Department of Justice(Parts 1400—1499)

V Council on Environmental Quality (Parts 1500—1599)

VI Chemical Safety and Hazard Investigation Board (Parts 1600—1699)


541

Chap.Title 40—Protection of Environment—Continued

VII Environmental Protection Agency and Department of Defense;Uniform National Discharge Standards for Vessels of theArmed Forces (Parts 1700—1799)

Title 41—Public Contracts and Property Management

SUBTITLE B—OTHER PROVISIONS RELATING TO PUBLIC CONTRACTS

50 Public Contracts, Department of Labor (Parts 50–1—50–999)

51 Committee for Purchase From People Who Are Blind or SeverelyDisabled (Parts 51–1—51–99)

60 Office of Federal Contract Compliance Programs, Equal Employ-ment Opportunity, Department of Labor (Parts 60–1—60–999)

61 Office of the Assistant Secretary for Veterans Employment andTraining, Department of Labor (Parts 61–1—61–999)

SUBTITLE C—FEDERAL PROPERTY MANAGEMENT REGULATIONSSYSTEM

101 Federal Property Management Regulations (Parts 101–1—101–99)

102 Federal Management Regulation (Parts 102–1—102–299)

105 General Services Administration (Parts 105–1—105–999)

109 Department of Energy Property Management Regulations (Parts109–1—109–99)

114 Department of the Interior (Parts 114–1—114–99)

115 Environmental Protection Agency (Parts 115–1—115–99)

128 Department of Justice (Parts 128–1—128–99)

SUBTITLE D—OTHER PROVISIONS RELATING TO PROPERTY MANAGE-MENT [RESERVED]

SUBTITLE E—FEDERAL INFORMATION RESOURCES MANAGEMENTREGULATIONS SYSTEM

201 Federal Information Resources Management Regulation (Parts201–1—201–99) [Reserved]

SUBTITLE F—FEDERAL TRAVEL REGULATION SYSTEM

300 General (Parts 300–1—300–99)

301 Temporary Duty (TDY) Travel Allowances (Parts 301–1—301–99)

302 Relocation Allowances (Parts 302–1—302–99)

303 Payment of Expenses Connected with the Death of Certain Em-ployees (Part 303–70)

304 Payment from a Non-Federal Source for Travel Expenses (Parts304–1—304–99)

Title 42—Public Health

I Public Health Service, Department of Health and Human Serv-ices (Parts 1—199)

IV Centers for Medicare & Medicaid Services, Department of Healthand Human Services (Parts 400—499)

V Office of Inspector General-Health Care, Department of Healthand Human Services (Parts 1000—1999)


542

Chap.Title 43—Public Lands: Interior

SUBTITLE A—OFFICE OF THE SECRETARY OF THE INTERIOR (PARTS1—199)

SUBTITLE B—REGULATIONS RELATING TO PUBLIC LANDS

I Bureau of Reclamation, Department of the Interior (Parts 200—499)

II Bureau of Land Management, Department of the Interior (Parts1000—9999)

III Utah Reclamation Mitigation and Conservation Commission(Parts 10000—10005)

Title 44—Emergency Management and Assistance

I Federal Emergency Management Agency (Parts 0—399)

IV Department of Commerce and Department of Transportation(Parts 400—499)

Title 45—Public Welfare

SUBTITLE A—DEPARTMENT OF HEALTH AND HUMAN SERVICES(PARTS 1—199)

SUBTITLE B—REGULATIONS RELATING TO PUBLIC WELFARE

II Office of Family Assistance (Assistance Programs), Administra-tion for Children and Families, Department of Health andHuman Services (Parts 200—299)

III Office of Child Support Enforcement (Child Support Enforce-ment Program), Administration for Children and Families,Department of Health and Human Services (Parts 300—399)

IV Office of Refugee Resettlement, Administration for Children andFamilies Department of Health and Human Services (Parts400—499)

V Foreign Claims Settlement Commission of the United States,Department of Justice (Parts 500—599)

VI National Science Foundation (Parts 600—699)

VII Commission on Civil Rights (Parts 700—799)

VIII Office of Personnel Management (Parts 800—899)

X Office of Community Services, Administration for Children andFamilies, Department of Health and Human Services (Parts1000—1099)

XI National Foundation on the Arts and the Humanities (Parts1100—1199)

XII Corporation for National and Community Service (Parts 1200—1299)

XIII Office of Human Development Services, Department of Healthand Human Services (Parts 1300—1399)

XVI Legal Services Corporation (Parts 1600—1699)

XVII National Commission on Libraries and Information Science(Parts 1700—1799)

XVIII Harry S. Truman Scholarship Foundation (Parts 1800—1899)

XXI Commission on Fine Arts (Parts 2100—2199)


543

Chap.Title 45—Public Welfare—Continued

XXIII Arctic Research Commission (Part 2301)

XXIV James Madison Memorial Fellowship Foundation (Parts 2400—2499)

XXV Corporation for National and Community Service (Parts 2500—2599)

Title 46—Shipping

I Coast Guard, Department of Transportation (Parts 1—199)

II Maritime Administration, Department of Transportation (Parts200—399)

III Coast Guard (Great Lakes Pilotage), Department of Transpor-tation (Parts 400—499)

IV Federal Maritime Commission (Parts 500—599)

Title 47—Telecommunication

I Federal Communications Commission (Parts 0—199)

II Office of Science and Technology Policy and National SecurityCouncil (Parts 200—299)

III National Telecommunications and Information Administration,Department of Commerce (Parts 300—399)

Title 48—Federal Acquisition Regulations System

1 Federal Acquisition Regulation (Parts 1—99)

2 Department of Defense (Parts 200—299)

3 Department of Health and Human Services (Parts 300—399)

4 Department of Agriculture (Parts 400—499)

5 General Services Administration (Parts 500—599)

6 Department of State (Parts 600—699)

7 United States Agency for International Development (Parts700—799)

8 Department of Veterans Affairs (Parts 800—899)

9 Department of Energy (Parts 900—999)

10 Department of the Treasury (Parts 1000—1099)

12 Department of Transportation (Parts 1200—1299)

13 Department of Commerce (Parts 1300—1399)

14 Department of the Interior (Parts 1400—1499)

15 Environmental Protection Agency (Parts 1500—1599)

16 Office of Personnel Management Federal Employees Health Ben-efits Acquisition Regulation (Parts 1600—1699)

17 Office of Personnel Management (Parts 1700—1799)

18 National Aeronautics and Space Administration (Parts 1800—1899)

19 Broadcasting Board of Governors (Parts 1900—1999)

20 Nuclear Regulatory Commission (Parts 2000—2099)


544

Chap.Title 48—Federal Acquisition Regulations System—Continued

21 Office of Personnel Management, Federal Employees Group LifeInsurance Federal Acquisition Regulation (Parts 2100—2199)

23 Social Security Administration (Parts 2300—2399)

24 Department of Housing and Urban Development (Parts 2400—2499)

25 National Science Foundation (Parts 2500—2599)

28 Department of Justice (Parts 2800—2899)

29 Department of Labor (Parts 2900—2999)

34 Department of Education Acquisition Regulation (Parts 3400—3499)

35 Panama Canal Commission (Parts 3500—3599)

44 Federal Emergency Management Agency (Parts 4400—4499)

51 Department of the Army Acquisition Regulations (Parts 5100—5199)

52 Department of the Navy Acquisition Regulations (Parts 5200—5299)

53 Department of the Air Force Federal Acquisition RegulationSupplement (Parts 5300—5399)

54 Defense Logistics Agency, Department of Defense (Part 5452)

57 African Development Foundation (Parts 5700—5799)

61 General Services Administration Board of Contract Appeals(Parts 6100—6199)

63 Department of Transportation Board of Contract Appeals (Parts6300—6399)

99 Cost Accounting Standards Board, Office of Federal Procure-ment Policy, Office of Management and Budget (Parts 9900—9999)

Title 49—Transportation

SUBTITLE A—OFFICE OF THE SECRETARY OF TRANSPORTATION(PARTS 1—99)

SUBTITLE B—OTHER REGULATIONS RELATING TO TRANSPORTATION

I Research and Special Programs Administration, Department ofTransportation (Parts 100—199)

II Federal Railroad Administration, Department of Transportation(Parts 200—299)

III Federal Motor Carrier Safety Administration, Department ofTransportation (Parts 300—399)

IV Coast Guard, Department of Transportation (Parts 400—499)

V National Highway Traffic Safety Administration, Department ofTransportation (Parts 500—599)

VI Federal Transit Administration, Department of Transportation(Parts 600—699)

VII National Railroad Passenger Corporation (AMTRAK) (Parts700—799)

VIII National Transportation Safety Board (Parts 800—999)

X Surface Transportation Board, Department of Transportation(Parts 1000—1399)


545

Chap.Title 49—Transportation—Continued

XI Bureau of Transportation Statistics, Department of Transpor-tation (Parts 1400—1499)

Title 50—Wildlife and Fisheries

I United States Fish and Wildlife Service, Department of the Inte-rior (Parts 1—199)

II National Marine Fisheries Service, National Oceanic and Atmos-pheric Administration, Department of Commerce (Parts 200—299)

III International Fishing and Related Activities (Parts 300—399)

IV Joint Regulations (United States Fish and Wildlife Service, De-partment of the Interior and National Marine Fisheries Serv-ice, National Oceanic and Atmospheric Administration, De-partment of Commerce); Endangered Species Committee Reg-ulations (Parts 400—499)

V Marine Mammal Commission (Parts 500—599)

VI Fishery Conservation and Management, National Oceanic andAtmospheric Administration, Department of Commerce (Parts600—699)

CFR Index and Finding Aids

Subject/Agency Index

List of Agency Prepared Indexes

Parallel Tables of Statutory Authorities and Rules

List of CFR Titles, Chapters, Subchapters, and Parts

Alphabetical List of Agencies Appearing in the CFR


547

Alphabetical List of Agencies Appearing in the CFR(Revised as of October 1, 2001)

AgencyCFR Title, Subtitle or

Chapter

Administrative Committee of the Federal Register 1, IAdvanced Research Projects Agency 32, IAdvisory Commission on Intergovernmental Relations 5, VIIAdvisory Council on Historic Preservation 36, VIIIAfrican Development Foundation 22, XV

Federal Acquisition Regulation 48, 57Agency for International Development, United States 22, II

Federal Acquisition Regulation 48, 7Agricultural Marketing Service 7, I, IX, X, XIAgricultural Research Service 7, VAgriculture Department 5, LXXIII

Agricultural Marketing Service 7, I, IX, X, XIAgricultural Research Service 7, VAnimal and Plant Health Inspection Service 7, III; 9, IChief Financial Officer, Office of 7, XXXCommodity Credit Corporation 7, XIVCooperative State Research, Education, and Extension

Service7, XXXIV

Economic Research Service 7, XXXVIIEnergy, Office of 7, XXIXEnvironmental Quality, Office of 7, XXXIFarm Service Agency 7, VII, XVIIIFederal Acquisition Regulation 48, 4Federal Crop Insurance Corporation 7, IVFood and Nutrition Service 7, IIFood Safety and Inspection Service 9, IIIForeign Agricultural Service 7, XVForest Service 36, IIGrain Inspection, Packers and Stockyards Administration 7, VIII; 9, IIInformation Resources Management, Office of 7, XXVIIInspector General, Office of 7, XXVINational Agricultural Library 7, XLINational Agricultural Statistics Service 7, XXXVINatural Resources Conservation Service 7, VIOperations, Office of 7, XXVIIIProcurement and Property Management, Office of 7, XXXIIRural Business-Cooperative Service 7, XVIII, XLIIRural Development Administration 7, XLIIRural Housing Service 7, XVIII, XXXVRural Telephone Bank 7, XVIRural Utilities Service 7, XVII, XVIII, XLIISecretary of Agriculture, Office of 7, Subtitle ATransportation, Office of 7, XXXIIIWorld Agricultural Outlook Board 7, XXXVIII

Air Force Department 32, VIIFederal Acquisition Regulation Supplement 48, 53

Alcohol, Tobacco and Firearms, Bureau of 27, IAMTRAK 49, VIIAmerican Battle Monuments Commission 36, IVAmerican Indians, Office of the Special Trustee 25, VIIAnimal and Plant Health Inspection Service 7, III; 9, IAppalachian Regional Commission 5, IXArchitectural and Transportation Barriers Compliance Board 36, XI


548


Chapter

Arctic Research Commission 45, XXIIIArmed Forces Retirement Home 5, XIArmy Department 32, V

Engineers, Corps of 33, II; 36, IIIFederal Acquisition Regulation 48, 51

Benefits Review Board 20, VIIBilingual Education and Minority Languages Affairs, Office of 34, VBlind or Severely Disabled, Committee for Purchase From

People Who Are41, 51

Broadcasting Board of Governors 22, VFederal Acquisition Regulation 48, 19

Census Bureau 15, ICentral Intelligence Agency 32, XIXChief Financial Officer, Office of 7, XXXChild Support Enforcement, Office of 45, IIIChildren and Families, Administration for 45, II, III, IV, XCivil Rights, Commission on 45, VIICivil Rights, Office for 34, ICoast Guard 33, I; 46, I; 49, IVCoast Guard (Great Lakes Pilotage) 46, IIICommerce Department 44, IV

Census Bureau 15, IEconomic Affairs, Under Secretary 37, VEconomic Analysis, Bureau of 15, VIIIEconomic Development Administration 13, IIIEmergency Management and Assistance 44, IVExport Administration, Bureau of 15, VIIFederal Acquisition Regulation 48, 13Fishery Conservation and Management 50, VIForeign-Trade Zones Board 15, IVInternational Trade Administration 15, III; 19, IIINational Institute of Standards and Technology 15, IINational Marine Fisheries Service 50, II, IV, VINational Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV, VINational Telecommunications and Information

Administration15, XXIII; 47, III

National Weather Service 15, IXPatent and Trademark Office, United States 37, IProductivity, Technology and Innovation, Assistant

Secretary for37, IV

Secretary of Commerce, Office of 15, Subtitle ATechnology, Under Secretary for 37, VTechnology Administration 15, XITechnology Policy, Assistant Secretary for 37, IV

Commercial Space Transportation 14, IIICommodity Credit Corporation 7, XIVCommodity Futures Trading Commission 5, XLI; 17, ICommunity Planning and Development, Office of Assistant

Secretary for24, V, VI

Community Services, Office of 45, XComptroller of the Currency 12, IConstruction Industry Collective Bargaining Commission 29, IXConsumer Product Safety Commission 5, LXXI; 16, IICooperative State Research, Education, and Extension

Service7, XXXIV

Copyright Office 37, IICorporation for National and Community Service 45, XII, XXVCost Accounting Standards Board 48, 99Council on Environmental Quality 40, VCourt Services and Offender Supervision Agency for the

District of Columbia28, VIII

Customs Service, United States 19, IDefense Contract Audit Agency 32, IDefense Department 5, XXVI; 32, Subtitle A;

40, VIIAdvanced Research Projects Agency 32, IAir Force Department 32, VII


549


Chapter

Army Department 32, V; 33, II; 36, III, 48,51

Defense Intelligence Agency 32, IDefense Logistics Agency 32, I, XII; 48, 54Engineers, Corps of 33, II; 36, IIIFederal Acquisition Regulation 48, 2National Imagery and Mapping Agency 32, INavy Department 32, VI; 48, 52Secretary of Defense, Office of 32, I

Defense Contract Audit Agency 32, IDefense Intelligence Agency 32, IDefense Logistics Agency 32, XII; 48, 54Defense Nuclear Facilities Safety Board 10, XVIIDelaware River Basin Commission 18, IIIDistrict of Columbia, Court Services and Offender Supervision

Agency for the28, VIII

Drug Enforcement Administration 21, IIEast-West Foreign Trade Board 15, XIIIEconomic Affairs, Under Secretary 37, VEconomic Analysis, Bureau of 15, VIIIEconomic Development Administration 13, IIIEconomic Research Service 7, XXXVIIEducation, Department of 5, LIII

Bilingual Education and Minority Languages Affairs, Officeof

34, V

Civil Rights, Office for 34, IEducational Research and Improvement, Office of 34, VIIElementary and Secondary Education, Office of 34, IIFederal Acquisition Regulation 48, 34Postsecondary Education, Office of 34, VISecretary of Education, Office of 34, Subtitle ASpecial Education and Rehabilitative Services, Office of 34, IIIVocational and Adult Education, Office of 34, IV

Educational Research and Improvement, Office of 34, VIIElementary and Secondary Education, Office of 34, IIEmergency Oil and Gas Guaranteed Loan Board 13, VEmergency Steel Guarantee Loan Board 13, IVEmployees’ Compensation Appeals Board 20, IVEmployees Loyalty Board 5, VEmployment and Training Administration 20, VEmployment Standards Administration 20, VIEndangered Species Committee 50, IVEnergy, Department of 5, XXIII; 10, II, III, X

Federal Acquisition Regulation 48, 9Federal Energy Regulatory Commission 5, XXIV; 18, IProperty Management Regulations 41, 109

Energy, Office of 7, XXIXEngineers, Corps of 33, II; 36, IIIEngraving and Printing, Bureau of 31, VIEnvironmental Protection Agency 5, LIV; 40, I, IV, VII

Federal Acquisition Regulation 48, 15Property Management Regulations 41, 115

Environmental Quality, Office of 7, XXXIEqual Employment Opportunity Commission 5, LXII; 29, XIVEqual Opportunity, Office of Assistant Secretary for 24, IExecutive Office of the President 3, I

Administration, Office of 5, XVEnvironmental Quality, Council on 40, VManagement and Budget, Office of 25, III, LXXVII; 48, 99National Drug Control Policy, Office of 21, IIINational Security Council 32, XXI; 47, 2Presidential Documents 3Science and Technology Policy, Office of 32, XXIV; 47, IITrade Representative, Office of the United States 15, XX

Export Administration, Bureau of 15, VIIExport-Import Bank of the United States 5, LII; 12, IVFamily Assistance, Office of 45, II


550


Chapter

Farm Credit Administration 5, XXXI; 12, VIFarm Credit System Insurance Corporation 5, XXX; 12, XIVFarm Service Agency 7, VII, XVIIIFederal Acquisition Regulation 48, 1Federal Aviation Administration 14, I

Commercial Space Transportation 14, IIIFederal Claims Collection Standards 31, IXFederal Communications Commission 5, XXIX; 47, IFederal Contract Compliance Programs, Office of 41, 60Federal Crop Insurance Corporation 7, IVFederal Deposit Insurance Corporation 5, XXII; 12, IIIFederal Election Commission 11, IFederal Emergency Management Agency 44, I

Federal Acquisition Regulation 48, 44Federal Employees Group Life Insurance Federal Acquisition

Regulation48, 21

Federal Employees Health Benefits Acquisition Regulation 48, 16Federal Energy Regulatory Commission 5, XXIV; 18, IFederal Financial Institutions Examination Council 12, XIFederal Financing Bank 12, VIIIFederal Highway Administration 23, I, IIFederal Home Loan Mortgage Corporation 1, IVFederal Housing Enterprise Oversight Office 12, XVIIFederal Housing Finance Board 12, IXFederal Labor Relations Authority, and General Counsel of

the Federal Labor Relations Authority5, XIV; 22, XIV

Federal Law Enforcement Training Center 31, VIIFederal Management Regulation 41, 102Federal Maritime Commission 46, IVFederal Mediation and Conciliation Service 29, XIIFederal Mine Safety and Health Review Commission 5, LXXIV; 29, XXVIIFederal Motor Carrier Safety Administration 49, IIIFederal Prison Industries, Inc. 28, IIIFederal Procurement Policy Office 48, 99Federal Property Management Regulations 41, 101Federal Railroad Administration 49, IIFederal Register, Administrative Committee of 1, IFederal Register, Office of 1, IIFederal Reserve System 12, II

Board of Governors 5, LVIIIFederal Retirement Thrift Investment Board 5, VI, LXXVIFederal Service Impasses Panel 5, XIVFederal Trade Commission 5, XLVII; 16, IFederal Transit Administration 49, VIFederal Travel Regulation System 41, Subtitle FFine Arts, Commission on 45, XXIFiscal Service 31, IIFish and Wildlife Service, United States 50, I, IVFishery Conservation and Management 50, VIFood and Drug Administration 21, IFood and Nutrition Service 7, IIFood Safety and Inspection Service 9, IIIForeign Agricultural Service 7, XVForeign Assets Control, Office of 31, VForeign Claims Settlement Commission of the United States 45, VForeign Service Grievance Board 22, IXForeign Service Impasse Disputes Panel 22, XIVForeign Service Labor Relations Board 22, XIVForeign-Trade Zones Board 15, IVForest Service 36, IIGeneral Accounting Office 4, IGeneral Services Administration 5, LVII; 41, 105

Contract Appeals, Board of 48, 61Federal Acquisition Regulation 48, 5Federal Management Regulation 41, 102Federal Property Management Regulation 41, 101Federal Travel Regulation System 41, Subtitle F


551


Chapter

General 41, 300Payment From a Non-Federal Source for Travel Expenses 41, 304Payment of Expenses Connected With the Death of Certain

Employees41, 303

Relocation Allowances 41, 302Temporary Duty (TDY) Travel Allowances 41, 301

Geological Survey 30, IVGovernment Ethics, Office of 5, XVIGovernment National Mortgage Association 24, IIIGrain Inspection, Packers and Stockyards Administration 7, VIII; 9, IIHarry S. Truman Scholarship Foundation 45, XVIIIHealth and Human Services, Department of 5, XLV; 45, Subtitle A

Child Support Enforcement, Office of 45, IIIChildren and Families, Administration for 45, II, III, IV, XCommunity Services, Office of 45, XFamily Assistance, Office of 45, IIFederal Acquisition Regulation 48, 3Food and Drug Administration 21, ICenters for Medicare & Medicaid Services 42, IVHuman Development Services, Office of 45, XIIIIndian Health Service 25, VInspector General (Health Care), Office of 42, VPublic Health Service 42, IRefugee Resettlement, Office of 45, IV

Centers for Medicare & Medicaid Services 42, IVHousing and Urban Development, Department of 5, LXV; 24, Subtitle B

Community Planning and Development, Office of AssistantSecretary for

24, V, VI

Equal Opportunity, Office of Assistant Secretary for 24, IFederal Acquisition Regulation 48, 24Federal Housing Enterprise Oversight, Office of 12, XVIIGovernment National Mortgage Association 24, IIIHousing—Federal Housing Commissioner, Office of

Assistant Secretary for24, II, VIII, X, XX

Housing, Office of, and Multifamily Housing AssistanceRestructuring, Office of

24, IV

Inspector General, Office of 24, XIIPublic and Indian Housing, Office of Assistant Secretary for 24, IXSecretary, Office of 24, Subtitle A, VII

Housing—Federal Housing Commissioner, Office of AssistantSecretary for

24, II, VIII, X, XX

Housing, Office of, and Multifamily Housing AssistanceRestructuring, Office of

24, IV

Human Development Services, Office of 45, XIIIImmigration and Naturalization Service 8, IIndependent Counsel, Office of 28, VIIIndian Affairs, Bureau of 25, I, VIndian Affairs, Office of the Assistant Secretary 25, VIIndian Arts and Crafts Board 25, IIIndian Health Service 25, VInformation Resources Management, Office of 7, XXVIIInformation Security Oversight Office, National Archives and

Records Administration32, XX

Inspector GeneralAgriculture Department 7, XXVIHealth and Human Services Department 42, VHousing and Urban Development Department 24, XII

Institute of Peace, United States 22, XVIIInter-American Foundation 5, LXIII; 22, XIntergovernmental Relations, Advisory Commission on 5, VIIInterior Department

American Indians, Office of the Special Trustee 25, VIIEndangered Species Committee 50, IVFederal Acquisition Regulation 48, 14Federal Property Management Regulations System 41, 114Fish and Wildlife Service, United States 50, I, IVGeological Survey 30, IV


552


Chapter

Indian Affairs, Bureau of 25, I, VIndian Affairs, Office of the Assistant Secretary 25, VIIndian Arts and Crafts Board 25, IILand Management, Bureau of 43, IIMinerals Management Service 30, IIMines, Bureau of 30, VINational Indian Gaming Commission 25, IIINational Park Service 36, IReclamation, Bureau of 43, ISecretary of the Interior, Office of 43, Subtitle ASurface Mining and Reclamation Appeals, Board of 30, IIISurface Mining Reclamation and Enforcement, Office of 30, VII

Internal Revenue Service 26, IInternational Boundary and Water Commission, United States

and Mexico, United States Section22, XI

International Development, United States Agency for 22, IIFederal Acquisition Regulation 48, 7

International Development Cooperation Agency, UnitedStates

22, XII

International Fishing and Related Activities 50, IIIInternational Investment, Office of 31, VIIIInternational Joint Commission, United States and Canada 22, IVInternational Organizations Employees Loyalty Board 5, VInternational Trade Administration 15, III; 19, IIIInternational Trade Commission, United States 19, IIInterstate Commerce Commission 5, XLJames Madison Memorial Fellowship Foundation 45, XXIVJapan–United States Friendship Commission 22, XVIJoint Board for the Enrollment of Actuaries 20, VIIIJustice Department 5, XXVIII; 28, I, XI; 40,

IVDrug Enforcement Administration 21, IIFederal Acquisition Regulation 48, 28Federal Claims Collection Standards 31, IXFederal Prison Industries, Inc. 28, IIIForeign Claims Settlement Commission of the United

States45, V

Immigration and Naturalization Service 8, IOffices of Independent Counsel 28, VIPrisons, Bureau of 28, VProperty Management Regulations 41, 128

Labor Department 5, XLIIBenefits Review Board 20, VIIEmployees’ Compensation Appeals Board 20, IVEmployment and Training Administration 20, VEmployment Standards Administration 20, VIFederal Acquisition Regulation 48, 29Federal Contract Compliance Programs, Office of 41, 60Federal Procurement Regulations System 41, 50Labor-Management Standards, Office of 29, II, IVMine Safety and Health Administration 30, IOccupational Safety and Health Administration 29, XVIIPension and Welfare Benefits Administration 29, XXVPublic Contracts 41, 50Secretary of Labor, Office of 29, Subtitle AVeterans’ Employment and Training, Office of the Assistant

Secretary for41, 61; 20, IX

Wage and Hour Division 29, VWorkers’ Compensation Programs, Office of 20, I

Labor-Management Standards, Office of 29, II, IVLand Management, Bureau of 43, IILegal Services Corporation 45, XVILibrary of Congress 36, VII

Copyright Office 37, IIManagement and Budget, Office of 5, III, LXXVII; 48, 99Marine Mammal Commission 50, VMaritime Administration 46, II


553


Chapter

Merit Systems Protection Board 5, IIMicronesian Status Negotiations, Office for 32, XXVIIMine Safety and Health Administration 30, IMinerals Management Service 30, IIMines, Bureau of 30, VIMinority Business Development Agency 15, XIVMiscellaneous Agencies 1, IVMonetary Offices 31, IMorris K. Udall Scholarship and Excellence in National

Environmental Policy Foundation36, XVI

National Aeronautics and Space Administration 5, LIX; 14, VFederal Acquisition Regulation 48, 18

National Agricultural Library 7, XLINational Agricultural Statistics Service 7, XXXVINational and Community Service, Corporation for 45, XII, XXVNational Archives and Records Administration 5, LXVI; 36, XII

Information Security Oversight Office 32, XXNational Bureau of Standards 15, IINational Capital Planning Commission 1, IVNational Commission for Employment Policy 1, IVNational Commission on Libraries and Information Science 45, XVIINational Council on Disability 34, XIINational Counterintelligence Center 32, XVIIINational Credit Union Administration 12, VIINational Crime Prevention and Privacy Compact Council 28, IXNational Drug Control Policy, Office of 21, IIINational Foundation on the Arts and the Humanities 45, XINational Highway Traffic Safety Administration 23, II, III; 49, VNational Imagery and Mapping Agency 32, INational Indian Gaming Commission 25, IIINational Institute for Literacy 34, XINational Institute of Standards and Technology 15, IINational Labor Relations Board 5, LXI; 29, INational Marine Fisheries Service 50, II, IV, VINational Mediation Board 29, XNational Oceanic and Atmospheric Administration 15, IX; 50, II, III, IV, VINational Park Service 36, INational Railroad Adjustment Board 29, IIINational Railroad Passenger Corporation (AMTRAK) 49, VIINational Science Foundation 5, XLIII; 45, VI

Federal Acquisition Regulation 48, 25National Security Council 32, XXINational Security Council and Office of Science and

Technology Policy47, II

National Telecommunications and InformationAdministration

15, XXIII; 47, III

National Transportation Safety Board 49, VIIINational Weather Service 15, IXNatural Resources Conservation Service 7, VINavajo and Hopi Indian Relocation, Office of 25, IVNavy Department 32, VI

Federal Acquisition Regulation 48, 52Neighborhood Reinvestment Corporation 24, XXVNortheast Dairy Compact Commission 7, XIIINortheast Interstate Low-Level Radioactive Waste

Commission10, XVIII

Nuclear Regulatory Commission 5, XLVIII; 10, IFederal Acquisition Regulation 48, 20

Occupational Safety and Health Administration 29, XVIIOccupational Safety and Health Review Commission 29, XXOffices of Independent Counsel 28, VIOklahoma City National Memorial Trust 36, XVOperations Office 7, XXVIIIOverseas Private Investment Corporation 5, XXXIII; 22, VIIPanama Canal Commission 48, 35Panama Canal Regulations 35, IPatent and Trademark Office, United States 37, I


554


Chapter

Payment From a Non-Federal Source for Travel Expenses 41, 304Payment of Expenses Connected With the Death of Certain

Employees41, 303

Peace Corps 22, IIIPennsylvania Avenue Development Corporation 36, IXPension and Welfare Benefits Administration 29, XXVPension Benefit Guaranty Corporation 29, XLPersonnel Management, Office of 5, I, XXXV; 45, VIII

Federal Acquisition Regulation 48, 17Federal Employees Group Life Insurance Federal

Acquisition Regulation48, 21

Federal Employees Health Benefits Acquisition Regulation 48, 16Postal Rate Commission 5, XLVI; 39, IIIPostal Service, United States 5, LX; 39, IPostsecondary Education, Office of 34, VIPresident’s Commission on White House Fellowships 1, IVPresidential Documents 3Presidio Trust 36, XPrisons, Bureau of 28, VProcurement and Property Management, Office of 7, XXXIIProductivity, Technology and Innovation, Assistant

Secretary37, IV

Public Contracts, Department of Labor 41, 50Public and Indian Housing, Office of Assistant Secretary for 24, IXPublic Health Service 42, IRailroad Retirement Board 20, IIReclamation, Bureau of 43, IRefugee Resettlement, Office of 45, IVRegional Action Planning Commissions 13, VRelocation Allowances 41, 302Research and Special Programs Administration 49, IRural Business-Cooperative Service 7, XVIII, XLIIRural Development Administration 7, XLIIRural Housing Service 7, XVIII, XXXVRural Telephone Bank 7, XVIRural Utilities Service 7, XVII, XVIII, XLIISaint Lawrence Seaway Development Corporation 33, IVScience and Technology Policy, Office of 32, XXIVScience and Technology Policy, Office of, and National

Security Council47, II

Secret Service 31, IVSecurities and Exchange Commission 17, IISelective Service System 32, XVISmall Business Administration 13, ISmithsonian Institution 36, VSocial Security Administration 20, III; 48, 23Soldiers’ and Airmen’s Home, United States 5, XISpecial Counsel, Office of 5, VIIISpecial Education and Rehabilitative Services, Office of 34, IIIState Department 22, I; 28, XI

Federal Acquisition Regulation 48, 6Surface Mining and Reclamation Appeals, Board of 30, IIISurface Mining Reclamation and Enforcement, Office of 30, VIISurface Transportation Board 49, XSusquehanna River Basin Commission 18, VIIITechnology Administration 15, XITechnology Policy, Assistant Secretary for 37, IVTechnology, Under Secretary for 37, VTennessee Valley Authority 5, LXIX; 18, XIIIThrift Supervision Office, Department of the Treasury 12, VTrade Representative, United States, Office of 15, XXTransportation, Department of 5, L

Coast Guard 33, I; 46, I; 49, IVCoast Guard (Great Lakes Pilotage) 46, IIICommercial Space Transportation 14, IIIContract Appeals, Board of 48, 63Emergency Management and Assistance 44, IV


555


Chapter

Federal Acquisition Regulation 48, 12Federal Aviation Administration 14, IFederal Highway Administration 23, I, IIFederal Motor Carrier Safety Administration 49, IIIFederal Railroad Administration 49, IIFederal Transit Administration 49, VIMaritime Administration 46, IINational Highway Traffic Safety Administration 23, II, III; 49, VResearch and Special Programs Administration 49, ISaint Lawrence Seaway Development Corporation 33, IVSecretary of Transportation, Office of 14, II; 49, Subtitle ASurface Transportation Board 49, XTransportation Statistics Bureau 49, XI

Transportation, Office of 7, XXXIIITransportation Statistics Brureau 49, XITravel Allowances, Temporary Duty (TDY) 41, 301Treasury Department 5, XXI; 12, XV; 17, IV;

31, IXAlcohol, Tobacco and Firearms, Bureau of 27, ICommunity Development Financial Institutions Fund 12, XVIIIComptroller of the Currency 12, ICustoms Service, United States 19, IEngraving and Printing, Bureau of 31, VIFederal Acquisition Regulation 48, 10Federal Law Enforcement Training Center 31, VIIFiscal Service 31, IIForeign Assets Control, Office of 31, VInternal Revenue Service 26, IInternational Investment, Office of 31, VIIIMonetary Offices 31, ISecret Service 31, IVSecretary of the Treasury, Office of 31, Subtitle AThrift Supervision, Office of 12, V

Truman, Harry S. Scholarship Foundation 45, XVIIIUnited States and Canada, International Joint Commission 22, IVUnited States and Mexico, International Boundary and Water

Commission, United States Section22, XI

Utah Reclamation Mitigation and Conservation Commission 43, IIIVeterans Affairs Department 38, I

Federal Acquisition Regulation 48, 8Veterans’ Employment and Training, Office of the Assistant

Secretary for41, 61; 20, IX

Vice President of the United States, Office of 32, XXVIIIVocational and Adult Education, Office of 34, IVWage and Hour Division 29, VWater Resources Council 18, VIWorkers’ Compensation Programs, Office of 20, IWorld Agricultural Outlook Board 7, XXXVIII


557

Table of OMB Control NumbersThe OMB control numbers for chapter I of title 47 were consolidated into § 0.408

at 64 FR 55425, Oct. 13, 1999 and revised at 66 FR 48973, Sept. 25, 2001. Section 0.408is reprinted below for the convenience of the user.

§ 0.408 OMB control numbers and expi-ration dates assigned pursuant tothe Paperwork Reduction Act of1995.

(a) Purpose. This section displays thecontrol numbers and expiration datesfor the Commission information collec-tion requirements assigned by the Of-fice of Management and Budget(‘‘OMB’’) pursuant to the PaperworkReduction Act of 1995, Public Law 104–13. The Commission intends that thissection comply with the requirementthat agencies display current controlnumbers and expiration dates assignedby the Director, OMB, for each ap-

proved information collection require-ment. Not withstanding any other pro-visions of law, no person shall be sub-ject to any penalty for failing to com-ply with a collection of informationsubject to the Paperwork ReductionAct (PRA) that does not display a validcontrol number. Questions concerningthe OMB control numbers and expira-tion dates should be directed to the As-sociate Managing Director—Perform-ance Evaluation and Records Manage-ment, (‘‘AMD–PERM’’) , Federal Com-munications Commission, Washington,DC 20554.

(b) Display

OMB Control No. FCC Form Number or 47 CFR section or part, docket No. or title identi-fying the collection

OMBExpiration

date

3060–0004 ......................................... Guidelines for Evaluating the Environmental Effects of RadiofrequencyRadiation, ET Docket No. 93–62.

(1)

3060–0009 ......................................... FCC 316 ................................................................................................... 10/31/023060–0010 ......................................... FCC 323 ................................................................................................... 11/30/023060–0012 ......................................... FCC 701 ................................................................................................... 07/31/033060–0016 ......................................... FCC 346 ................................................................................................... 01/31/043060–0017 ......................................... FCC 347 ................................................................................................... 02/28/033060–0020 ......................................... FCC 406 ................................................................................................... 05/31/023060–0021 ......................................... FCC 480 ................................................................................................... 12/31/033060–0024 ......................................... Sec. 76.29 ................................................................................................ (1)3060–0025 ......................................... FCC 755 ................................................................................................... 08/31/033060–0027 ......................................... FCC 301 ................................................................................................... 08/31/033060–0029 ......................................... FCC 302–TV ............................................................................................. 06/30/043060–0031 ......................................... FCC 314 ................................................................................................... 05/31/043060–0032 ......................................... FCC 315 ................................................................................................... 05/31/043060–0034 ......................................... FCC 340 ................................................................................................... 02/29/043060–0049 ......................................... FCC 753 ................................................................................................... 08/31/033060–0053 ......................................... FCC 703 ................................................................................................... 10/31/023060–0054 ......................................... FCC 820 ................................................................................................... 12/31/013060–0055 ......................................... FCC 327 ................................................................................................... 04/30/033060–0056 ......................................... FCC 730 ................................................................................................... 09/30/013060–0057 ......................................... FCC 731 and Secs. 2.911, 2.960, and 2.1033(a) ................................... 06/30/033060–0059 ......................................... FCC 740 ................................................................................................... 08/31/033060–0061 ......................................... FCC 325 ................................................................................................... 07/31/023060–0062 ......................................... FCC 330 ................................................................................................... 03/31/023060–0065 ......................................... FCC 442 ................................................................................................... 02/28/023060–0066 ......................................... FCC 330–R ............................................................................................... 07/31/033060–0069 ......................................... FCC 756 ................................................................................................... 09/30/023060–0072 ......................................... FCC 409 ................................................................................................... 11/30/013060–0075 ......................................... FCC 345 ................................................................................................... 10/31/033060–0076 ......................................... FCC 395 ................................................................................................... 02/28/033060–0084 ......................................... FCC 323–E ............................................................................................... 07/31/023060–0089 ......................................... FCC 503 ................................................................................................... 10/30/013060–0093 ......................................... FCC 405 ................................................................................................... 11/30/033060–0095 ......................................... FCC 395–A ............................................................................................... 04/30/033060–0105 ......................................... FCC 430 ................................................................................................... 11/30/03


558

47 CFR (10–1–01 Edition)§ 0.408


OMBExpiration

date

3060–0106 ......................................... Sec. 43.61 ................................................................................................ 12/31/023060–0110 ......................................... FCC 303–S ............................................................................................... 07/31/043060–0113 ......................................... FCC 396 ................................................................................................... 04/30/033060–0120 ......................................... FCC 396–A ............................................................................................... 04/30/033060–0126 ......................................... Sec. 73.1820 ............................................................................................ 10/31/023060–0127 ......................................... FCC 1046 ................................................................................................. 03/31/033060–0132 ......................................... FCC 1068–A ............................................................................................. 01/31/043060–0139 ......................................... FCC 854/854–R/854ULS ......................................................................... 08/31/023060–0147 ......................................... Sec. 64.804 .............................................................................................. 02/28/033060–0149 ......................................... Part 63, Section 214, Secs. 63.01–63.601 .............................................. 11/30/013060–0157 ......................................... Sec. 73.99 ................................................................................................ 05/31/033060–0160 ......................................... Sec. 73.158 .............................................................................................. 01/31/023060–0161 ......................................... Sec. 73.61 ................................................................................................ 12/31/023060–0166 ......................................... Part 42 ...................................................................................................... 09/30/013060–0168 ......................................... Sec. 43.43 ................................................................................................ 06/30/033060–0169 ......................................... Secs. 43.51 and 43.53 ............................................................................. 04/30/023060–0170 ......................................... Sec. 73.1030 ............................................................................................ 03/31/023060–0171 ......................................... Sec. 73.1125 ............................................................................................ 10/31/013060–0173 ......................................... Sec. 73.1207 ............................................................................................ 07/31/043060–0174 ......................................... Sec. 73.1212 ............................................................................................ 07/31/023060–0175 ......................................... Sec. 73.1250 ............................................................................................ 10/31/023060–0176 ......................................... Sec. 73.1510 ............................................................................................ 11/30/023060–0178 ......................................... Sec. 73.1560 ............................................................................................ 01/31/033060–0179 ......................................... Sec. 73.1590 ............................................................................................ 07/31/043060–0180 ......................................... Sec. 73.1610 ............................................................................................ 02/28/023060–0181 ......................................... Sec. 73.1615 ............................................................................................ 12/31/023060–0182 ......................................... Sec. 73.1620 ............................................................................................ 04/30/043060–0184 ......................................... Sec. 73.1740 ............................................................................................ 12/31/013060–0185 ......................................... Sec. 73.3613 ............................................................................................ 10/31/023060–0187 ......................................... Sec. 73.3594 ............................................................................................ 02/29/043060–0188 ......................................... FCC 380 ................................................................................................... 08/31/043060–0190 ......................................... Sec. 73.3544 ............................................................................................ 02/29/043060–0192 ......................................... Sec. 87.103 .............................................................................................. 01/31/043060–0194 ......................................... Sec. 74.21 ................................................................................................ 12/31/013060–0202 ......................................... Sec. 87.37 ................................................................................................ 10/31/033060–0204 ......................................... Sec. 90.20(a)(2)(v) ................................................................................... 07/31/023060–0206 ......................................... Part 21 ...................................................................................................... 07/31/043060–0207 ......................................... Secs. 11.35, 11.51 and 11.52 .................................................................. 11/30/023060–0208 ......................................... Sec. 73.1870 ............................................................................................ 04/30/033060–0211 ......................................... Sec. 73.1943 ............................................................................................ (1)3060–0212 ......................................... Sec. 73.2080 ............................................................................................ 04/30/033060–0213 ......................................... Sec. 73.3525 ............................................................................................ 11/30/033060–0214 ......................................... Sec. 73.3526 ............................................................................................ 10/31/023060–0215 ......................................... Sec. 73.3527 ............................................................................................ 10/31/013060–0216 ......................................... Sec. 73.3538 ............................................................................................ 11/30/013060–0219 ......................................... Sec. 90.20(a)(2)(xi) ................................................................................... 09/30/023060–0221 ......................................... Sec. 90.155 .............................................................................................. 12/31/013060–0222 ......................................... Sec. 97.213 .............................................................................................. 10/31/033060–0223 ......................................... Sec. 90.129 .............................................................................................. 04/30/023060–0228 ......................................... Sec. 80.59 ................................................................................................ 07/31/043060–0233 ......................................... Part 36 ...................................................................................................... 07/31/033060–0236 ......................................... Sec. 74.703 .............................................................................................. 06/30/023060–0240 ......................................... Sec. 74.651 .............................................................................................. 02/28/033060–0241 ......................................... Sec. 74.633 .............................................................................................. 02/28/033060–0242 ......................................... Sec. 74.604 .............................................................................................. 02/28/033060–0243 ......................................... Sec. 74.551 .............................................................................................. 05/31/023060–0245 ......................................... Sec. 74.537 .............................................................................................. 05/31/023060–0246 ......................................... Sec. 74.452 .............................................................................................. 08/31/033060–0248 ......................................... Sec. 74.751 .............................................................................................. 06/30/023060–0249 ......................................... Sec. 74.781 .............................................................................................. 04/30/033060–0250 ......................................... Sec. 74.784 .............................................................................................. 02/28/033060–0251 ......................................... Sec. 74.833 .............................................................................................. 09/30/023060–0254 ......................................... Sec. 74.433 .............................................................................................. 08/31/033060–0259 ......................................... Sec. 90.263 .............................................................................................. 10/31/033060–0261 ......................................... Sec. 90.215 .............................................................................................. 04/30/043060–0262 ......................................... Sec. 90.179 .............................................................................................. 12/31/013060–0264 ......................................... Sec. 80.413 .............................................................................................. 10/31/033060–0265 ......................................... Sec. 80.868 .............................................................................................. 07/31/043060–0270 ......................................... Sec. 90.443 .............................................................................................. 11/30/033060–0280 ......................................... Sec. 90.633(f) & (g) .................................................................................. 08/31/033060–0281 ......................................... Sec. 90.651 .............................................................................................. 05/31/043060–0286 ......................................... Sec. 80.302 .............................................................................................. 04/30/04


559

OMB Control Numbers § 0.408


OMBExpiration

date

3060–0287 ......................................... Sec. 78.69 ................................................................................................ 10/31/013060–0288 ......................................... Sec. 78.33 ................................................................................................ 03/31/033060–0289 ......................................... Secs. 76.601, 76.1704, 76.1705 and 76.1717 ......................................... 03/31/023060–0290 ......................................... Sec. 90.517 .............................................................................................. 05/31/023060–0291 ......................................... Sec. 90.477 .............................................................................................. 09/30/013060–0292 ......................................... Part 69 ...................................................................................................... 11/30/033060–0295 ......................................... Secs. 90.607(b)(1) & (c)(1) ...................................................................... 03/31/043060–0297 ......................................... Sec. 80.503 .............................................................................................. 10/31/033060–0298 ......................................... Part 61 ...................................................................................................... 11/30/013060–0307 ......................................... Amendment of part 90 of the Commission’s Rules to Facilitate Future

Development of SMR Systems in the 800 MHz Frequency Band.06/30/03

3060–0308 ......................................... Sec. 90.505 .............................................................................................. 04/30/043060–0309 ......................................... Sec. 74.1281 ............................................................................................ 10/31/023060–0310 ......................................... Sec. 76.1801 ............................................................................................ 03/31/033060–0311 ......................................... Sec. 76.54 ................................................................................................ 09/30/023060–0313 ......................................... Sec. 76.1701 ............................................................................................ Pending OMB

Approval(1)3060–0315 ......................................... Sec. 76.1615 ............................................................................................ 09/30/023060–0316 ......................................... Sec. 76.1700 ............................................................................................ (1)3060–0320 ......................................... Sec. 73.1350 ............................................................................................ 04/30/043060–0321 ......................................... Sec. 73.68 ................................................................................................ 01/31/023060–0325 ......................................... Sec. 80.605 .............................................................................................. 06/30/023060–0326 ......................................... Sec. 73.69 ................................................................................................ 09/30/023060–0329 ......................................... Sec. 2.955 ................................................................................................ 09/30/023060–0331 ......................................... Secs. 76.1803 and 76.1804 ..................................................................... 08/31/043060–0332 ......................................... Secs. 76.614 and 76.1706 ....................................................................... 09/30/013060–0340 ......................................... Sec. 73.51 ................................................................................................ 10/31/033060–0341 ......................................... Sec. 73.1680 ............................................................................................ 08/31/033060–0342 ......................................... Sec. 74.1284 ............................................................................................ 07/31/033060–0346 ......................................... Sec. 78.27 ................................................................................................ 03/31/043060–0347 ......................................... Sec. 97.311 .............................................................................................. 02/28/033060–0349 ......................................... Secs. 76.73, 76.75, 76.79, and 76.1702 .................................................. 04/30/033060–0355 ......................................... FCC 492 and FCC 492A .......................................................................... 07/31/043060–0357 ......................................... Sec. 63.701 .............................................................................................. 11/31/013060–0360 ......................................... Sec. 80.409(c) .......................................................................................... 08/31/043060–0362 ......................................... Inspection of Radio Installation on Large Cargo and Small Passenger

Ships.02/28/03

3060–0364 ......................................... Secs. 80.409(d) and (e) ........................................................................... 08/31/043060–0368 ......................................... Sec. 97.523 .............................................................................................. 06/30/033060–0370 ......................................... Part 32 ...................................................................................................... 06/30/033060–0374 ......................................... Sec. 73.1690 ............................................................................................ 01/31/023060–0384 ......................................... Sec. 64.904 .............................................................................................. 09/30/033060–0386 ......................................... Sec. 73.1635 ............................................................................................ 07/31/023060–0387 ......................................... Sec. 15.201(d) .......................................................................................... 12/31/023060–0390 ......................................... FCC 395–B ............................................................................................... 04/30/033060–0391 ......................................... Program to Monitor the Impact of Universal Service Support Mecha-

nisms.12/31/01

3060–0392 ......................................... 47 CFR Part 1, Subpart J, Pole Attachment Complaint Procedures ...... 01/31/043060–0393 ......................................... Sec. 73.54 ................................................................................................ 10/31/023060–0394 ......................................... Sec. 1.420 ................................................................................................ 10/31/023060–0395 ......................................... FCC Reports 43–02, FCC 43–05 and FCC 43–07 ................................. 06/30/033060–0397 ......................................... Sec. 15.7(a) .............................................................................................. 07/31/033060–0398 ......................................... Secs. 2.948, 15.117(g)(2) ......................................................................... 02/28/033060–0400 ......................................... Tariff Review Plan .................................................................................... 05/31/033060–0404 ......................................... FCC 350 ................................................................................................... 05/31/023060–0405 ......................................... FCC 349 ................................................................................................... 03/31/043060–0407 ......................................... Sec. 73.3598 ............................................................................................ 05/31/023060–0410 ......................................... FCC 495A and FCC 495B ....................................................................... 06/30/033060–0411 ......................................... FCC 485 ................................................................................................... 06/30/043060–0414 ......................................... Terrain Shielding Policy ............................................................................ 11/30/033060–0419 ......................................... Secs. 76.94, 76.95, 76.155, 76.156, 76.157, 76.159 and 76.1609 ......... 10/31/013060–0421 ......................................... New Service Reporting Requirements under Price Cap Regulation ....... 05/31/033060–0422 ......................................... Sec. 68.5 .................................................................................................. 10/31/013060–0423 ......................................... Sec. 73.3588 ............................................................................................ 10/31/023060–0427 ......................................... Sec. 73.3523 ............................................................................................ 12/31/033060–0430 ......................................... Sec. 1.1206 .............................................................................................. 09/30/013060–0433 ......................................... FCC 320 ................................................................................................... 03/31/023060–0434 ......................................... Sec. 90.20(e)(6) ........................................................................................ 05/31/023060–0435 ......................................... Sec. 80.361 .............................................................................................. 09/30/023060–0436 ......................................... Secs. 15.214(c) and 68.200(k) ................................................................. 12/31/023060–0439 ......................................... Sec. 64.201 .............................................................................................. 03/31/043060–0441 ......................................... Sec. 90.621(B)(4) ..................................................................................... 10/31/03


560

47 CFR (10–1–01 Edition)§ 0.408


OMBExpiration

date

3060–0449 ......................................... Sec. 1.65(c) .............................................................................................. 12/31/013060–0452 ......................................... Sec. 73.3589 ............................................................................................ 10/31/023060–0454 ......................................... Regulation of International Accounting Rates .......................................... 04/30/033060–0463 ......................................... Secs. 64.601–64.605 ............................................................................... 06/30/033060–0465 ......................................... Sec. 74.985 .............................................................................................. 08/31/033060–0466 ......................................... Sec. 74.1283 ............................................................................................ 04/30/033060–0470 ......................................... Secs. 64.901–64.903, Allocation of Cost, Cost Allocation Manual, RAO

Letters 19 and 26.05/31/03

3060–0473 ......................................... Sec. 74.1251 ............................................................................................ 12/31/023060–0474 ......................................... Sec. 74.1263 ............................................................................................ 04/30/033060–0475 ......................................... Sec. 90.713 .............................................................................................. 05/31/023060–0481 ......................................... FCC 452R ................................................................................................ 08/31/033060–0483 ......................................... Sec. 73.687 .............................................................................................. 07/31/033060–0484 ......................................... Sec. 63.100 .............................................................................................. 01/31/023060–0488 ......................................... Sec. 73.30 ................................................................................................ 02/29/043060–0489 ......................................... Sec. 73.37 ................................................................................................ 02/29/043060–0490 ......................................... Sec. 74.902 .............................................................................................. 03/31/043060–0491 ......................................... Sec. 74.991 .............................................................................................. 03/31/043060–0492 ......................................... Sec. 74.992 .............................................................................................. 02/29/043060–0493 ......................................... Sec. 74.986 .............................................................................................. 02/29/043060–0494 ......................................... Sec. 74.990 .............................................................................................. 02/29/043060–0496 ......................................... FCC Report 43–08 ................................................................................... 03/31/023060–0500 ......................................... Sec. 76.1713 ............................................................................................ Pending OMB

Approval3060–0501 ......................................... Secs. 76.206 and 76.1611 ....................................................................... (1)3060–0502 ......................................... Sec. 73.1942 ............................................................................................ (1)3060–0506 ......................................... FCC 302–FM ............................................................................................ 12/31/023060–0508 ......................................... Rewrite of Part 22 .................................................................................... 08/31/043060–0511 ......................................... FCC Report 43–04 ................................................................................... 11/30/033060–0512 ......................................... FCC Report 43–01 ................................................................................... 11/30/033060–0513 ......................................... FCC Report 43–03 ................................................................................... 11/30/033060–0514 ......................................... Sec. 43.21(b) ............................................................................................ 05/31/033060–0515 ......................................... Sec. 43.21(c) ............................................................................................ 10/31/023060–0519 ......................................... Rules and Regulations Implementing the Telephone Consumer Protec-

tion Act of 1991, CC Docket No. 92–60.12/31/01

3060–0526 ......................................... Density Pricing Zone Plans, Expanded Interconnection with Local Tele-phone Company Facilities, CC Docket No. 91–141.

10/31/02

3060–0531 ......................................... Local Multipoint Distribution Service (LMDS) ........................................... 10/31/033060–0532 ......................................... Secs. 2.1033(b)(11) and 15.121 .............................................................. 08/31/023060–0537 ......................................... Sec. 13.217 .............................................................................................. 05/31/023060–0540 ......................................... Tariff Filing Requirements for Nondominant Common Carriers .............. 05/31/023060–0543 ......................................... Sec 21.913 ............................................................................................... 09/30/023060–0544 ......................................... Sec. 76.701 .............................................................................................. 12/31/033060–0546 ......................................... Definition of Markets for Purposes of the Cable Television Mandatory

Television Broadcast Signal Carriage Rules.03/31/03

3060–0548 ......................................... Secs. 76.56, 76.1614, 76.1620, 76.1708, and 76.1709 .......................... 10/31/013060–0550 ......................................... FCC 328 ................................................................................................... 10/31/023060–0551 ......................................... Secs. 76.1002 and 76.1004 ..................................................................... 10/31/033050–0554 ......................................... Sec. 87.199 .............................................................................................. 06/30/023060–0556 ......................................... Sec. 80.1061 ............................................................................................ 06/30/023060–0560 ......................................... Sec. 76.911 .............................................................................................. (1)3060–0561 ......................................... Sec. 76.913 .............................................................................................. 10/31/033060–0562 ......................................... Sec. 76.916 .............................................................................................. 07/31/043060–0564 ......................................... Sec. 76.924 .............................................................................................. 12/31/023060–0565 ......................................... Sec. 76.944 .............................................................................................. 10/31/033060–0567 ......................................... Sec. 76.962 .............................................................................................. 02/28/023060–0568 ......................................... Commercial Leased Access Rates, Terms, & Conditions ....................... 06/30/033060–0569 ......................................... Sec. 76.975 .............................................................................................. 06/30/033060–0570 ......................................... Sec. 76.982 .............................................................................................. 07/31/043060–0572 ......................................... Filing Manual for Annual International Circuit Status Reports ................. 10/31/023060–0573 ......................................... FCC 394 ................................................................................................... 12/31/023060–0574 ......................................... FCC 395–M .............................................................................................. 04/30/033060–0580 ......................................... Sec. 76.504 .............................................................................................. 08/31/033060–0581 ......................................... Sec. 76.503 .............................................................................................. 05/31/033060–0584 ......................................... FCC 44 and FCC 45 ................................................................................ 12/31/023060–0589 ......................................... FCC 159 and FCC 159–C ....................................................................... 08/31/033060–0594 ......................................... FCC 1220 ................................................................................................. 06/30/043060–0595 ......................................... FCC 1210 ................................................................................................. (1)3060–0599 ......................................... Implementation of Sections 3(n) and 332 of the Communications Act ... 01/31/043060–0600 ......................................... FCC 175 and FCC 175–S ........................................................................ 04/30/043060–0601 ......................................... FCC 1200 ................................................................................................. 06/30/043060–0602 ......................................... Sec. 76.917 .............................................................................................. 04/30/03


561



OMBExpiration

date

3060–0607 ......................................... Sec. 76.922 .............................................................................................. 10/31/033060–0609 ......................................... Sec. 76.934(e) .......................................................................................... 07/31/043060–0610 ......................................... Sec. 76.1606 ............................................................................................ 07/31/043060–0611 ......................................... Sec. 74.783 .............................................................................................. 08/31/033060–0613 ......................................... Expanded Interconnection with Local Telephone Company Facilities,

CC Docket No. 91–141, Transport Phase II.08/31/03

3060–0621 ......................................... Rules and Requirements for C & F Block Broadband PCS Licenses ..... 04/30/043060–0624 ......................................... Sec. 24.103(f) ........................................................................................... 04/30/043060–0625 ......................................... Amendment of the Commission’s Rules to Establish New Personal

Communications Services under Part 24.03/31/04

3060–0626 ......................................... Regulatory Treatment of Mobile Services ................................................ 05/31/043060–0627 ......................................... FCC 302–AM ............................................................................................ 12/31/023060–0629 ......................................... Sec. 76.1605 ............................................................................................ 07/31/043060–0630 ......................................... Sec. 73.62 ................................................................................................ 09/30/013060–0633 ......................................... Secs. 73.1230, 74.165, 74.432, 74.564, 74.664, 74.765, 74.832,

74.965 and 74.1265.08/31/04

3060–0634 ......................................... Sec. 73.691 .............................................................................................. 04/30/043060–0636 ......................................... Equipment Authorization—Declaration of Compliance—Amendment of

Parts 2 and 15.10/31/02

3060–0638 ......................................... Sec. 76.934(g) .......................................................................................... 02/28/023060–0641 ......................................... FCC 218–I ................................................................................................ 10/31/023060–0644 ......................................... FCC 1230 ................................................................................................. 02/28/023060–0645 ......................................... Antenna Registration, Part 17 .................................................................. 04/30/023060–0647 ......................................... Annual Survey of Cable Industry Prices .................................................. 04/30/033060–0648 ......................................... Sec. 21.902 .............................................................................................. 11/30/023060–0649 ......................................... Secs. 76.1601, 76.1607, 76.1617, and 76.1708 ...................................... 12/31/013060–0652 ......................................... Secs. 76.309, 76.1602, 76.1603, and 76.1619 ........................................ 10/31/013060–0653 ......................................... Consumer Information—Posting by Aggregators, Secs. 64.703(b) and

(c).01/31/02

3060–0654 ......................................... FCC 304 ................................................................................................... 10/31/013060–0655 ......................................... Request for Waivers of Regulatory and Application Fees Predicated on

Allegations of Financial Hardship.(1)

3060–0656 ......................................... FCC 175-M ............................................................................................... 11/30/013060–0657 ......................................... Sec. 21.956 .............................................................................................. 09/30/013060–0658 ......................................... Sec. 21.960 .............................................................................................. 11/30/013060–0660 ......................................... Sec. 21.937 .............................................................................................. 09/30/013060–0661 ......................................... Sec. 21.931 .............................................................................................. 10/31/013060–0662 ......................................... Sec. 21.930 .............................................................................................. 09/30/013060–0663 ......................................... Sec. 21.934 .............................................................................................. 09/30/023060–0664 ......................................... FCC 304-A ................................................................................................ 10/31/013060–0665 ......................................... Sec. 64.707 .............................................................................................. 01/31/023060–0667 ......................................... Secs. 76.630, 76.1612, and 76.1622 ....................................................... 10/31/013060–0668 ......................................... Sec. 76.936 .............................................................................................. 03/31/023060–0669 ......................................... Sec. 76.946 .............................................................................................. 05/31/023060–0673 ......................................... Sec. 76.956 .............................................................................................. 03/31/023060–0674 ......................................... Secs. 76.1603 and 76.1618 ..................................................................... 06/30/023060–0678 ......................................... FCC 312, FCC 312–EZ, FCC 312–R, FCC 312–M, and FCC–312

Schedules.02/29/04

3060–0681 ......................................... Toll-Free Service Access Codes, Part 52, Subpart D, Secs. 52.101—52.111.

09/30/03

3060–0683 ......................................... Direct Broadcast Satellite Service, Part 100 ............................................ 10/31/033060–0684 ......................................... Amendment to the Commission’s Rules Regarding a Plan for Sharing

the Costs of Microwave Relocation, WT Docket No. 95–157.01/31/04

3060–0685 ......................................... FCC 1240 ................................................................................................. 08/31/043060–0686 ......................................... Streamlining the International Section 214 Authorization Process and

Tariff Requirements.03/31/04

3060–0687 ......................................... Access to Telecommunications Equipment and Services by Personswith Disabilities.

05/31/02

3060–0688 ......................................... FCC 1235 ................................................................................................. 07/31/023060–0690 ......................................... Rules Regarding the 37.0—38.6 GHz and 38.6–40.0 GHz Bands ......... 12/31/023060–0691 ......................................... Amendment of Parts 2 and 90 of the Commission’s Rules to Provide

for the Use of 200 Channels Outside the Designated Filing Areas inthe 896–901 MHz Bands Allotted to Specialized Mobile Radio Serv-ice.

04/30/04

3060–0692 ......................................... Home Wiring Provisions ........................................................................... 05/31/043060–0695 ......................................... Sec. 87.219 .............................................................................................. 03/31/023060–0697 ......................................... Parts 22 and 90 to Facilitate Future Development of Paging Systems .. 10/31/033060–0698 ......................................... Amendment of the Commission’s Rules to Establish a Radio Astron-

omy Coordination Zone in Puerto Rico.05/31/04

3060–0700 ......................................... FCC 1275 ................................................................................................. 12/31/033060–0702 ......................................... Amendment to Parts 20 and 24 of the Commission’s Rules, Broadband

PCS Competitive Bidding and the Commercial Mobile Radio ServiceSpectrum Cap.

03/31/04


562

47 CFR (10–1–01 Edition)§ 0.408


OMBExpiration

date

3060–0703 ......................................... FCC 1205 ................................................................................................. 11/30/023060–0704 ......................................... Public Disclosure Requirement Amended, CC Docket No. 96–61 .......... 09/30/023060–0706 ......................................... Cable Act Reform ..................................................................................... 06/30/023060–0707 ......................................... Over-the Air Reception Devices ............................................................... 05/31/023060–0710 ......................................... Policy and Rules Concerning the Implementation of the Local Competi-

tion Provisions in the Telecommunications Act of 1996—CC DocketNo. 96–98.

08/31/03

3060–0711 ......................................... Implementation of Section 34(a)(1) of the Public Utility Holding Com-pany Act of 1935, as amended by the Telecommunications Act of1996, Secs. 1.5001 through 1.5007.

12/31/03

3060–0713 ......................................... Alternative Broadcast Inspection Program (ABIP) Compliance Notifica-tion.

08/31/02

3060–0714 ......................................... Antenna Registration Number Required as Supplement to ApplicationForms.

11/30/02

3060–0715 ......................................... Implementation of the Telecommunications Act of 1996: Telecommuni-cations Carriers’ Use of Customer Proprietary Network Informationand Other Customer Information—CC Docket No. 96–115.

(1)

3060–0716 ......................................... Blanketing Interference ............................................................................ 04/30/033060–0717 ......................................... Billed Party Preference for InterLATA Calls, Secs. 64.703(a), 64.709,

and 64.710.07/31/04

3060–0718 ......................................... Part 101 Governing the Terrestrial Microwave Fixed Radio Service ...... 10/31/023060–0719 ......................................... Quarterly Report of IntraLATA Carriers Listing Pay Phone Automatic

Number Identifications (ANIs).10/31/03

3060–0723 ......................................... Public Disclosure of Network Information by Bell Operating Companies 09/30/033060–0725 ......................................... Annual Filing of Nondiscrimination Reports (on Quality of Service, In-

stallation, and Maintenance) by Bell Operating Companies (BOC’s).08/31/03

3060–0726 ......................................... Quarterly Report of Interexchange Carriers Listing the Number of Dial-Around Calls for Which Compensation is Being Paid to Pay PhoneOwners.

08/31/03

3060–0727 ......................................... Sec. 73.213 .............................................................................................. 11/30/033060–0728 ......................................... Supplemental Information Requesting FCC Registration Number (FRN)

for Debt Collection.08/31/03

3060–0732 ......................................... Consumer Education Concerning Wireless 911 ...................................... 04/30/033060–0734 ......................................... Accounting Safeguards, 47 U.S.C. Sections 260, 271–276, and 47

CFR Secs. 53.209, 53.211 and 53.213, SEC Form 10–K.06/30/03

3060–0736 ......................................... Implementation of the Non-Accounting Safeguards of Sections 271 and272 of the Communications Act of 1934, as amended—CC DocketNo. 96–149.

(1)

3060–0737 ......................................... Disclosure Requirements for Information Services Provided Under aPresubscription or Comparable Arrangement.

03/31/03

3060–0739 ......................................... Amendment of the Commission’s Rules to Establish Competitive Safe-guards for Local Exchange Carrier Provisions of Commercial MobileRadio Services.

01/31/02

3060–0740 ......................................... Sec. 95.1015 ............................................................................................ 11/30/023060–0741 ......................................... Implementation of the Local Competition Provisions on the Tele-

communications Act of 1996—CC Docket No. 96–98.04/30/04

3060–0742 ......................................... Telephone Number Portability, Part 52, Subpart C, Secs. 52.21—52.33 09/30/033060–0743 ......................................... Implementation of the Pay Telephone Reclassification and Compensa-

tion Provisions of the Telecommunications Act of 1996—CC DocketNo. 96–128.

10/31/03

3060–0745 ......................................... Implementation of the Local Exchange Carrier Tariff Streamlining Provi-sions, CC Docket No. 96–187.

12/31/03

3060–0748 ......................................... Disclosure Requirements for Information Services Provided throughToll-Free Numbers, Sec. 64.1504.

07/31/03

3060–0749 ......................................... Sec. 64.1509 ............................................................................................ 07/31/033060–0750 ......................................... Sec. 73.673 .............................................................................................. 05/31/033060–0751 ......................................... Reports Concerning International Private Lines Interconnected to the

U.S. Public Switched Network.05/31/03

3060–0752 ......................................... Billing Disclosure Requirements for Pay-Per-Call and Other InformationServices, Sec. 64.1510.

07/31/03

3060–0754 ......................................... FCC 398 ................................................................................................... 06/30/043060–0755 ......................................... Infrastructure Sharing, Secs. 59.1—59.4 ................................................. 05/31/033060–0756 ......................................... Procedural Requirements and Policies for Commission Processing of

Bell Operating Company (BOC) Applications for the Provision of In-Region, InterLATA Services under Section 271 of the Telecommuni-cations Act of 1996.

10/31/01

3060–0757 ......................................... FCC Auctions Customer Survey .............................................................. 01/31/043060–0758 ......................................... Amendment of Part 5 of the Commission’s Rules to Revise the Experi-

mental Radio Service Regulations, ET Docket No. 96–256.06/30/03

3060–0760 ......................................... Access Charge Reform—CC Docket No. 96–262 ................................... 10/31/023060–0761 ......................................... Closed Captioning of Video Programming ............................................... 02/29/043060–0763 ......................................... FCC Report 43–06 ................................................................................... 03/31/02


563



OMBExpiration

date

3060–0765 ......................................... Revision of Parts 22 and 90 of the Commission’s Rules to FacilitateFuture Development of Paging Systems.

10/31/03

3060–0767 ......................................... Auction Forms and License Transfer Disclosures—Supplement for the2nd R&O, Order on Reconsideration, and 5th NPRM in CC DocketNo. 92–297.

04/30/04

3060–0768 ......................................... 28 GHz Band Segmentation Plan Amending the Commission’s Rulesto Redesignate the 27.5—29.5 GHz Frequency Band, to Reallocatethe 29.5—30.0 GHz Frequency Band, and to Establish Rules andPolicies for Local Multipoint Distribution Services and for the FixedSatellite Service.

06/30/03

3060–0769 ......................................... Aeronautical Services Transition Plan ..................................................... 06/30/033060–0770 ......................................... Price Cap Performance Review for Local Exchange Carriers—CC

Docket No. 94–1 (New Services).10/31/02

3060–0771 ......................................... Sec. 5.61, Procedure for Obtaining a Special Temporary Authorizationin the Experimental Radio Service.

12/21/03

3060–0773 ......................................... Sec. 2.803, Marketing of RF Devices Prior to Equipment Authorization 09/30/033060–0774 ......................................... Federal-State Joint Board on Universal Service—CC Docket No. 96–

45, Secs. 36.611 and 36.612 and 47 CFR Part 54.06/30/04

3060–0775 ......................................... Secs. 64.1901—64.1903 .......................................................................... 09/30/033060–0779 ......................................... Amendment to Part 90 of the Commission’s Rules to Provide for Use

of the 220–222 MHz Band by the Private Land Mobile Radio Serv-ice, PR Docket No. 89–552.

04/30/04

3060–0780 ......................................... Uniform Rate-Setting Methodology .......................................................... 11/30/033060–0782 ......................................... Petitions for Limited Modification of LATA Boundaries to Provide Ex-

panded Local Calling Service (ELCS) at Various Locations.01/31/04

3060–0783 ......................................... Coordination Notification Requirements on Frequencies Below 512MHz, Sec. 90.176.

01/31/04

3060–0786 ......................................... Petitions for LATA Association Changes by Independent TelephoneCompanies.

01/31/04

3060–0787 ......................................... Implementation of the Subscriber Carrier Selection Changes Provisionsof the Telecommunications Act of 1996; Policies and Rules Con-cerning Unauthorized Changes of Consumers Long Distance, FCC478.

(1)

3060–0788 ......................................... DTV Showings/Interference Agreements ................................................. 08/31/01?3060–0789 ......................................... Modified Alternative Plan, CC Docket No. 90–571 .................................. 05/31/043060–0790 ......................................... Availability of Inside Wiring Information, Sec. 68.110(c) ......................... 11/30/033060–0791 ......................................... Accounting for Judgments and Other Costs Associated with Litigation,

CC Docket No. 93–240.11/30/03

3060–0793 ......................................... Procedures for States Regarding Lifeline Consent, Adoption of Intra-state Discount Matrix for Schools and Libraries, and Designation ofEligible Telecommunications Carriers.

08/31/02

3060–0795 ......................................... ULS TIN Registration and FCC 606 ........................................................ 08/31/023060–0798 ......................................... FCC 601 ................................................................................................... 03/31/043060–0799 ......................................... FCC 602 ................................................................................................... 02/28/023060–0800 ......................................... FCC 603 ................................................................................................... 01/31/023060–0801 ......................................... Amendment of the Commission’s Rules Regarding Installment Pay-

ment Financing for Personal Communications Services (PCS) Li-censes, WT Docket No. 97–82.

08/31/02

3060–0802 ......................................... Message Intercept Requirement .............................................................. 11/30/013060–0804 ......................................... Health Care Providers Universal Service Program—FCC 465, FCC

466, FCC 466–A, FCC 467, and FCC 468.(1)

3060–0805 ......................................... Sec. 90.527 .............................................................................................. 12/31/013060–0806 ......................................... Universal Service, Schools and Libraries Program, FCC 470 and 471 .. 03/31/043060–0807 ......................................... 47 CFR 51.803 and Supplemental Procedures for Petitions to Section

252(e)(5) of the Communications Act of 1934, as amended.04/30/04

3060–0809 ......................................... Communications Assistance for Law Enforcement Act (CALEA) ............ 04/30/033060–0810 ......................................... Procedures for Designation of Eligible Telecommunications Carriers

Pursuant to Section 214(e)(6) of the Communications Act of 1934,as amended.

03/31/04

3060–0812 ......................................... Assessment and Collection of Regulatory Fees ...................................... 08/31/023060–0813 ......................................... Revision of the Commission’s Rules to Ensure Compatibility with En-

hanced 911 Calling Systems.07/31/04

3060–0814 ......................................... Local Switching Support and Local Switching Support Data CollectionForm and Instructions, Sec. 54.301.

09/30/01

3060–0816 ......................................... Local Competition and Broadband Reporting, CC Docket No. 99–301 .. 11/30/033060–0817 ......................................... Computer III Further Remand Proceedings: BOC Provision of En-

hanced Services (ONA Requirements), CC Docket No. 95–20.08/31/03

3060–0819 ......................................... Lifeline Assistance (Lifeline) Connection Assistance (Link Up) Report-ing Worksheet and Instructions, 47 CFR 54.400—54.417, FCC 497.

05/31/04

3060–0820 ......................................... Transfers of Control Involving Telecommunications Carriers .................. 09/30/013060–0823 ......................................... Pay Telephone Reclassification, Memorandum Opinion and Order, CC

Docket No. 96–128.12/31/01


564

47 CFR (10–1–01 Edition)§ 0.408


OMBExpiration

date

3060–0824 ......................................... FCC 498 ................................................................................................... (1)3060–0827 ......................................... Request for Radio Station License Update ............................................. 09/30/013060–0833 ......................................... Implementation of Section 255 of the Telecommunications Act of 1996:

Complaint Filings/Designation of Agents.(1)

3060–0834 ......................................... Reconsideration of Rules and Policies for the 220–222 MHz RadioService.

12/31/01

3060–0835 ......................................... Ship Inspection Certificates, FCC 806, FCC 824, FCC 827 and FCC829.

03/31/02

3060–0837 ......................................... FCC 302–DTV .......................................................................................... 05/31/033060–0840 ......................................... Access Charge Reform for Incumbent Local Exchange Carriers Subject

to Rate-of-Return Regulation—CC Docket No. 98–77.09/30/01

3060–0841 ......................................... Public Notice, Additional Processing Guidelines for DTV ........................ 04/30/023060–0844 ......................................... Carriage of the Transmissions of Digital Television Broadcast Stations 10/31/013060–0848 ......................................... Deployment of Wireline Services Offering Advanced Telecommuni-

cations Capability—CC Docket No. 98–147.05/31/04

3060–0849 ......................................... Commercial Availability of Navigation Devices ........................................ 10/31/013060–0850 ......................................... FCC 605 ................................................................................................... 06/30/043060–0851 ......................................... FCC 305 ................................................................................................... 12/31/013060–0852 ......................................... FCC 306 ................................................................................................... 12/31/013060–0853 ......................................... FCC 486, FCC 500, and FCC 479 .......................................................... 12/31/013060–0854 ......................................... Truth-in-Billing Format, CC Docket No. 98–170 ...................................... 03/31/043060–0855 ......................................... FCC 499, FCC 499–Q .............................................................................. 07/31/043060–0856 ......................................... FCC 472, FCC 473, FCC 474 .................................................................. 05/31/023060–0857 ......................................... Annual Reporting Requirement for Blanket Licensing of Ka-band Sat-

ellite Earth Station.12/31/01

3060–0858 ......................................... State Public Safety Plan Requirements and Year 2000 Readiness ....... 01/31/023060–0859 ......................................... Suggested Guidelines for Petitions for Ruling under Section 253 of the

Communications Act.04/30/03

3060–0862 ......................................... Handling Confidential Information ............................................................ 05/31/023060–0863 ......................................... Satellite Delivery of Network Signals to Unserved Households for Pur-

poses of the Satellite Home Viewer Act.07/31/02

3060–0864 ......................................... Data to Determine Percentage of Interstate Telecommunications Reve-nues from Wireless Carriers and Submission of Data to DetermineEligibility.

02/28/02

3060–0865 ......................................... Wireless Telecommunications Bureau Universal Licensing System Rec-ordkeeping and Third-Party Disclosure Requirements.

10/31/03

3060–0867 ......................................... Request for Waiver of Section 20.18(c) of the Commission’s Rules Re-garding Compatibility with Enhanced 911 Emergency Calling Sys-tems.

07/31/02

3060–0874 ......................................... FCC 475 ................................................................................................... (1)3060–0876 ......................................... USAC Board of Directors Nomination Process, Sec. 54.703 and Re-

view of Administrator’s Decision, Secs. 54.719—54.725.04/30/03

3060–0878 ......................................... Wireless E911 Rule Waivers for Handset-Based Approaches to PhaseII ALI Requirements.

08/31/02

3060–0881 ......................................... Sec. 95.861 .............................................................................................. 04/30/023060–0882 ......................................... Sec. 95.833 .............................................................................................. 12/31/023060–0886 ......................................... Sec. 73.3534 ............................................................................................ 05/31/023060–0888 ......................................... Cable Television Service Pleading and Complaint Rules—Part 76 ........ 06/30/023060–0891 ......................................... FCC 330–A ............................................................................................... 07/31/023060–0892 ......................................... Direct Broadcast Satellite Public Interest Obligations .............................. 07/31/023060–0893 ......................................... Universal Licensing Service (ULS) Pre-Auction Database Corrections .. 09/30/033060–0894 ......................................... Certification Letter Accounting for Receipt of Federal Support ............... 05/31/033060–0895 ......................................... Numbering Resource Optimization, FCC 502 .......................................... 01/31/043060–0896 ......................................... Broadcast Auction Form Exhibits ............................................................. 07/31/023060–0897 ......................................... MDS and ITFS Two-Way Transmissions ................................................. 04/30/043060–0900 ......................................... Compatibility of Wireless Services with Enhanced 911—CC Docket No.

94–102.12/31/02

3060–0901 ......................................... Reports of Common Carriers and Affiliates ............................................. 04/30/033060–0905 ......................................... Regulations for RF Lighting Devices, Part 18, Sec. 18.307 .................... 11/30/023060–0906 ......................................... FCC 317 ................................................................................................... 08/31/033060–0910 ......................................... Revision of the Commission’s Rules to Ensure Compatibility with En-

hanced 911 Emergency Calling Systems.03/31/03

3060–0912 ......................................... Cable Attribution Rules ............................................................................ 04/30/033060–0914 ......................................... Petition, Pursuant to Section 7 of the Act, for a Waiver of the Airborne

Cellular Rule, or in the Alternative, for a Declaratory Ruling.04/30/04

3060–0915 ......................................... Public Notice—Information on Medical Telemetry Equipment Operatingin the 450–460 MHz Band.

03/31/03

3060–0916 ......................................... 406 MHz Personal Locator Beacons (PLB’s) .......................................... 04/30/033060–0917 ......................................... FCC 160 ................................................................................................... 08/31/033060–0918 ......................................... FCC 161 ................................................................................................... 08/31/033060–0919 ......................................... FCC 162 ................................................................................................... 08/31/033060–0920 ......................................... FCC 318 ................................................................................................... 10/31/03


565



OMBExpiration

date

3060–0921 ......................................... Petitions for LATA Boundary Modification for the Deployment of Ad-vanced Services.

08/31/03

3060–0922 ......................................... FCC 397 ................................................................................................... 04/30/033060–0923 ......................................... Election Statement ................................................................................... 04/30/033060–0924 ......................................... Creation of Low Power Radio Service ..................................................... 04/30/033060–0926 ......................................... Transfer of the Bands from Federal Government Use: NPRM ............... 01/31/043060–0927 ......................................... Auditor’s Annual Independence and Objectivity Certification .................. 05/31/033060–0928 ......................................... FCC 302–CA ............................................................................................ 12/31/033060–0929 ......................................... FCC 331 ................................................................................................... 02/29/043060–0930 ......................................... Implementation of the Satellite Home Viewer Improvement Act (SHVIA)

of 1999; Enforcement Procedures for Retransmission Consent Viola-tions Conforming to Section 325(e) of the Communications Act of1934, as amended.

12/31/02

3060–0931 ......................................... Maritime Mobile Service Indentity (MMSI) ............................................... 06/30/033060–0932 ......................................... FCC 301–CA ............................................................................................ 11/30/033060–0933 ......................................... FCC 460 ................................................................................................... 11/30/033060–0934 ......................................... FCC 731–TC ............................................................................................ 01/31/043060–0935 ......................................... Cable Industry Survey on Channel Capacity and Retransmission Con-

sent.2/31/03

3060–0936 ......................................... Sec. 95.1215, Disclosure Policies; Sec. 95.1217, Labeling Require-ments.

07/31/03

3060–0937 ......................................... Establishment of a Class A Television Service, MM Docket No. 00–10 01/31/043060–0938 ......................................... FCC 319 ................................................................................................... 07/31/033060–0939 ......................................... E911, Second Memorandum Opinion and Order .................................... 05/31/043060–0940 ......................................... Amendment of Part 95 of the Commission’s Rulesto Provide Regu-

latory Flexibility in the 218–219 MHz Service, WT Docket No. 98–169.

07/31/03

3060–0942 ......................................... Access Charge Reform, Price Cap Performance Review for Local Ex-change Carriers, Low-Volume Long Distance Users, Federal-StateJoin Board on Universal Service.

01/31/04

3060–0943 ......................................... Sec. 54.809 .............................................................................................. 12/31/033060–0944 ......................................... Review of Commission Consideration of Applications Under the Cable

Landing License Act.08/31/03

3060–0945 ......................................... Sec. 79.2 .................................................................................................. 08/31/033060–0947 ......................................... Sec. 101.1327 .......................................................................................... 09/30/033060–0948 ......................................... Noncommercial Educational Applicants ................................................... 01/31/043060–0949 ......................................... FCC 159–W .............................................................................................. 10/31/033060–0950 ......................................... Extending Wireless Telecommunications Servicesto Tribal Lands, WT

Docket No. 99–266.04/30/04

3060–0951 ......................................... Service of Petitions for Preemption, 47 CFR Sec. 1.1204(b) Note, andSec. 1.1206(a) Note 1.

01/31/04

3060–0952 ......................................... Proposed Demographic Information and Notifications ............................. 10/31/033060–0953 ......................................... Wireless Medical Telemetry Service, ET Docket No. 99–255 ................. 10/31/033060–0954 ......................................... Third NPRM and NPRM Regarding Implementation of the 911 Act ....... 10/31/033060–0955 ......................................... 2 GHz Mobile Satellite Service Reports ................................................... 02/29/043060–0956 ......................................... Notification of Emergency Alert System Status ....................................... 11/30/033060–0957 ......................................... Wireless Enhanced 911 Service .............................................................. 05/31/043060–0959 ......................................... Compatibility Between Cable Systems and Consumer Electronics

Equipment.05/31/04

3060–0960 ......................................... Application of Network Non-Duplication, Syndicated Exclusivity, andSports Blackout Rules to Satellite Retransmissions.

(1)

3060–0961 ......................................... 2000 Biennial Regulatory Review of the Accounting Requirements andARMIS Reporting Requirements for Incumbent Local Exchange Car-riers; Phase 2 and Phase 3, CC Docket No. 00–199.

01/31/04

3060–0962 ......................................... Redesignation of the 18 GHz Frequency Band, Blanket Licensing ofSatellite Earth Stations in the Ka-Band, and the Allocation of Addi-tional Spectrum for Broadcast Satellite Service Use.

01/31/04

3060–0963 ......................................... Sec. 101.527, Construction Requirements for 24 GHz Operations; Sec.101.529, Renewal Expectancy Criteria for 24 GHz Licensees.

02/29/04

3060–0966 ......................................... Secs. 80.385, 80.475, and 97.303, Automated Marine Telecommuni-cations Service (AMTS).

02/29/04

3060–0967 ......................................... Sec. 79.2 .................................................................................................. 02/29/043060–0968 ......................................... FCC 501 ................................................................................................... 07/31/043060–0969 ......................................... Availability to INTELSAT Space Segment Capacity to Users and Pro-

viders Seeking to Access INTELSAT Directly.02/29/04

3060–0970 ......................................... Sec. 90.621(e)(2) ...................................................................................... 06/30/043060–0971 ......................................... Numbering Resource Optimization .......................................................... (1)3060–0972 ......................................... Multi-Association Group (MAG) Plan for Regulation of Interstate Serv-

ices of Non-Price Cap Incumbent Local Exchange Carriers and Inter-exchange Carriers.

03/31/04

3060–0973 ......................................... Sec. 64.1120(e) ........................................................................................ 11/30/013060–0974 ......................................... Proposed Requirements for Secondary Market Transactions, CC Dock-

et No. 99–200.04/30/04


566

47 CFR (10–1–01 Edition)§ 0.408


OMBExpiration

date

3060–0975 ......................................... Promotion of Competitive Networks in Local Telecommunications Mar-kets Multiple Environments (47 CFR Parts 1, 64 and 68).

05/31/04

3060–0977 ......................................... Procedures for Reviewing Requests for Relief from State and LocalRegulations Pursuant to Section 332(c)(7)(B)(v) of the Communica-tions Act of 1934.

06/30/04

3060–0978 ......................................... Compatibility with E911 Emergency Calling Systems; Fourth Reportand Order.

06/30/04

3060–0979 ......................................... Spectrum Audit Letter .............................................................................. 10/31/013060–0980 ......................................... Implementation of the Satellite Home Viewer Improvement Act

(SHVIA), Broadcast Signal Carriage Issues, Retransmission ConsentIssues.

06/30/04

3060–0981 ......................................... 1998 Biennial Review: Streamlining of Cable Television Services, Part76, Public File and Notice Requirements.

06/30/04

3060–0982 ......................................... Implementation of Low Power Television (LPTV) Digital Data ServicesPilot Project.

10/31/01

3060–0983 ......................................... Standards for Co-Channel and Adjacent Channel Interference in theLand Mobile Radio Service.

07/31/04

3060–0984 ......................................... Secs. 90.35(b)(2) and 90.175(b)(1) .......................................................... 07/31/043060–0985 ......................................... Public Safety, State Interoperability Channels ......................................... 07/31/043060–0986 ......................................... Federal-State Joint Board on Universal Service, Plan for Reforming the

Rural Universal Support Mechanism.12/31/01

3060–0988 ......................................... Election to Freeze part 36 Categories and Allocations ........................... 12/31/013060–0989 ......................................... Procedures for Applicants Requiring Section 214 Authorization for Do-

mestic Interstate Transmission Lines Acquired Through CorporateControl.

12/31/01

3060–0991 ......................................... AM Measurement Data ............................................................................ 01/31/023060–0992 ......................................... Request for Extension of the Implementation Deadline for Non-Recur-

ring Services, CC Docket No. 96–45 and Sec. 54.507(d)(1)–(4).01/31/02

3060–0993 ......................................... Establishment of a Class A Television Service ....................................... 02/28/02

1Pending OMB approval.


567

List of CFR Sections AffectedAll changes in this volume of the Code of Federal Regulations which

were made by documents published in the FEDERAL REGISTER since Jan-uary 1, 1986, are enumerated in the following list. Entries indicate thenature of the changes effected. Page numbers refer to FEDERAL REGISTERpages. The user should consult the entries for chapters and parts as wellas sections for revisions.

For the period before January 1, 1986, see the ‘‘List of CFR SectionsAffected, 1949–1963, 1964–1972, and 1973–1985’’ published in seven separatevolumes.

198647 CFR 51 FR

Page

Chapter I21 Decision ................................... 1796921.2 Amended; eff. 10–2–86 .............. 3130521.13 (e) revised............................. 1500321.108 (c) table amended ................ 1984022 Policy statement...................... 1083822.2 Amended................................ 26896

Comment time extended..............3086522.9 (c)(2) amended (OMB number

pending) ................................... 3975422.13 (f) removed ........................... 1550022.15 (i)(3) revised (OMB number

pending) ................................... 3975422.43 (b)(2) removed....................... 15500

(c) revised ....................................2823622.44 (c) removed........................... 1550022.213 (b)(5) revised (OMB number

pending) ................................... 3975522.514 (a) introductory text re-

vised......................................... 3975522.901 (c)(3) revised ....................... 3702322.902 (b) introductory text re-

vised......................................... 26896Comment time extended..............30865(b) introductory text correctly

revised......................................35649(b) (1) and (2) and (e) revised ........37400

22.903 (a) revised ........................... 26896Comment time extended..............30865(a) correctly revised ....................35649

22.904 (b) and (c) added................... 26896Comment time extended..............30865(c) correctly added.......................35650

22.905 Revised ............................... 26896Comment time extended..............30865

22.913 (a)(8) waiver; interim............ 4167

47 CFR—Continued 51 FRPage

Chapter I—Continued(b)(1) and (2) revised; (c) added.....26896Comment time extended..............30865

22.915 (a), (b), and (d) amended.......1261622.916 (c) revised ........................... 26897

Comment time extended..............3086522.918 (b) revised; (c)(1) removed;

(c)(2), (3), and (4) redesignatedas (c)(1), (2), and (3) .................... 26897

Comment time extended..............3086525.104 Added ................................... 552625.201 Amended............................. 1844525.202 (a) redesignated as (a)(1);

(a)(2) added ............................... 18445(a)(2) corrected ............................20975

25.391 (h) revised ........................... 4406925.392 Added ................................. 18445

(f)(3) correctly revised .................2097531 Removed; eff. 1–1–88 .................. 43499

Petitions denied in part...............4447931.605 (a) revised; eff. 1–1–87............. 849932 Added; eff. 1–1–88 ....................... 4349933 Removed; eff. 1–1–88 .................. 43499

198747 CFR 52 FR

Page

Chapter I20 Petition comment time ex-

tended........................................ 401621 Authority citation revised........3777621.0 (a) revised .............................. 27554

Removed......................................3777621.1 Added .................................... 3777621.2 Amended....................... 27554, 3777621.3 Revised .................................. 3777721.5 (a) revised .............................. 37777


568

47 CFR (10–1–01 Edition)


Chapter I—Continued21.6 (b) revised .............................. 10230

(a) and (b) amended .....................3777721.7 (a) and (b) revised ................... 27554

Revised........................................3777721.11 (a), (d), and (f) revised............ 27554

(a), (b), (d), (e), and (f) revised......3777721.13 (a) introductory text and (g)

revised; (a)(6) amended; (f) (2)and (l) designation removed ......37778

21.15 Introductory text, (a), (c),and (d) revised; (e) (1), (3), and(5), (f), (h), and (i) removed; (e)(2) and (4) and (g) redesignatedas (e) (1) and (2) and (f); new(e)(1) amended; new (g)added........................................ 37778

21.17 Revised ................................ 3777821.19 Added ................................... 3777821.20 (b)(2) removed; (b) (3)

through (9) redesignated as (b)(2) through (8)............................. 5294

(b) revised....................................3777921.21 Nomenclature change........... 3777921.22 Nomenclature change........... 3777921.23 (e) revised............................. 3777921.25 (a) and (b) amended ............... 3777921.26 Revised ................................ 3777921.27 Revised ................................ 3777921.30 (a)(2) and (b)(2) amended;

(b)(3) revised............................. 3777921.31 (e)(6)(iv) added...................... 27554

(e)(2) revised ................................3778021.33 Revised ................................ 3778021.35 (b)(1) (i) and (iii) and (2)

amended................................... 3778021.38 Undesignated center head-

ing and section added ................ 3778021.39 Removed; new 21.39 redesig-

nated from 21.40 and new (a)and (c) (1) and (2) amended .........37780

21.40 (a) introductory text re-vised......................................... 27554

Redesignated as 21.39 and new(a) and (c) (1) and (2) amended;new 21.40 added .........................37780

21.41 Added ................................... 3778021.42 Added ................................... 3778121.43 Revised ................................ 3778221.44 (c) revised............................. 27555

Revised........................................3778221.100 (d) (1), (4), (5), (8), (9), (10),

and (11) revised ......................... 27555


Chapter I—Continued(d) (7) and (8) removed; (d) (1)

through (6) and (9) through(11) redesignated as (d)(2) (i)through (vi) and (viii) through(x); (d) (1), (2) introductorytext and (vii) added; (d) intro-ductory text, new (2) (ii), (viii)and (x) revised ..........................37782

21.102—21.104 Removed ................. 3778321.106 (a)(3) revised; (a)(4)

added........................................ 2355021.107 (b) table revised .................... 7140

(b) table and (c) revised ...............37783Petitions denied ..........................43588

21.108 (e) revised............................. 7141(c) amended .................................37783Petitions denied ..........................43588

21.109 (b) and (d) removed; (c) re-designated as (b) ....................... 37783

21.110 Revised ............................... 3778321.111 Heading revised; text

amended................................... 3778321.113 (b) table revised................... 3778321.116 Amended............................. 3778321.118 (a), (b), (c) and (e)(1) amend-

ed ............................................. 3778321.119 Revised ............................... 2755521.121 Removed............................. 3778321.200 Amended............................. 3778321.201 Revised ............................... 3778421.204 Removed............................. 3778421.206—21.208 Removed ................. 3778421.210 Amended............................. 3778421.212—21.213 Removed ................. 3778421.214 Amended............................. 3778421.300 Removed............................. 3778421.301 Revised ............................... 2755521.303 (b) and (c) revised ................ 27555

(a), (b), and (c) amended; (d)added ........................................37784

21.304 Revised ............................... 3778421.306 Amended............................. 3778421.401 (a) amended; (b) revised .......3778421.402 Amended............................. 3778421.403 (b) amended ........................ 3778421.405 (a) revised ........................... 3778421.500 Revised ............................... 3778421.501 Amended............................. 3778421.502 (e)(2) and (f) removed; (b)

and (c) amended; (b) through(e), (g) and (h) redesignated as(d) through (i); (a) and new (g)revised; new (b) and (c)added........................................ 37784

21.504 (a) amended ........................ 3778521.512 Removed............................. 37785


569

List of CFR Sections Affected


Chapter I—Continued21.700 Revised ............................... 3778521.704 Revised ............................... 3778521.706 (c) and (d) redesignated as

(d) and (e); new (c) added............ 3778521.707 (a)(2) and (b) amended.......... 3778521.708 (a) introductory text and

(6) amended; (a)(7) and (c) re-vised......................................... 37786

21.709 (b) and (d) removed; (c) re-designated as (b); (a) re-vised......................................... 37786

21.711 (b) and (c) removed; (d), (e),and (f) redesignated as (b), (c),and (d); new (b) and (c) amend-ed ............................................. 37786

21.713 Removed............................. 3778621.801 Petitions denied.................. 4358821.804 (d) table amended ................. 7141

Petitions denied ..........................4358821.806 (a) revised ........................... 3778621.807 (c) added ............................... 7141

(a)(2) amended; (b) revised ...........37786Petitions denied ..........................43588

21.808 (a)(6) amended; (b) revisedand (a)(8) added......................... 37786

21.809 Amended............................. 3778621.900 Revised ............................... 2755621.902 (b) introductory text re-

vised......................................... 2755621.903 (a) and (b) revised ................ 2755621.906 (a) amended......................... 3778621.907 Revised ............................... 2755621.909 (b)(2)(i) revised.................... 27556

(b) (2), (3) and (4); (b)(5) redesig-nated as (b)(2) ...........................37786

21.910 Added ................................. 2755722 Extension of time for opposi-

tions and replies......................... 145822.2 Amended................................ 1057222.6 (b)(1) revised; (b)(2) re-

moved ...................................... 10230(b)(3) added ..................................16848

22.9 (b)(2) redesignated as (b)(3);new (b)(2) added; (e) and (f) re-moved; (b)(1) and (d) introduc-tory text revised ....................... 10572

22.13 (f) added................................ 2008722.15 (b)(1) (i) and (ii) and (2)(i) re-

vised; (b)(1)(iii) added ............... 1057222.20 (b)(2) removed; (b) (3)

through (9) redesignated as (b)(2) through (8)............................. 5294

Technical correction ...................3922522.31 (a)(1) revised......................... 1684822.39 (b)(5)(ii) revised .................... 1057222.40 Revised ................................ 10573


Chapter I—Continued22.43 (b)(1) (i) and (ii) added; (a)(3)

and (c) revised........................... 10573(b)(2) added ..................................20087

22.44 (a) (1) and (2) revised.............. 10573(c) added ......................................20087

22.104 (a)(1) revised ....................... 1057322.106 (b)(1)(ii) revised................... 1057322.110 (a)(5) and (e) added............... 1057322.117 (b) introductory text and

(1) revised ................................. 1057422.501 (a)(5) (ii), (iii) and (iv), (d)

and (f)(1)(ii) revised................... 1057422.502 Revised ............................... 1057422.516 (b)(2) revised ....................... 1057522.902 Petition comment time ex-

tended........................................ 401622.903 (a) revised ........................... 22472

Petition comment time ex-tended ......................................29386

22.904 (c) revised ........................... 22472Petition comment time ex-

tended ......................................2938622.905 (b) revised ........................... 22472

Petition comment time ex-tended ......................................29386

22.913 (a)(10) removed; (a)(11) re-designated as (a)(10) and re-vised......................................... 10575

(a)(10) revised ..............................22472Petition comment time ex-

tended ......................................2938622.917 (b)(1)(ii) revised................... 1057522.920 (a) revised ........................... 1057522 Appendices D and E cor-

rected....................................... 2918623.50 (d) revised .............................. 5294

(b) revised....................................1023025 Extension of time for opposi-

tions and replies......................... 1458Petition comment time ex-

tended ........................................4016Policies and procedures .......4017, 12911

25.208 (c) correctly revised ............ 4563625.523 (c) removed........................... 529431 Decision of 48 FR 2324 va-

cated ........................................ 3796831.01–10 Added ................................ 655931.01–11 Added ................................ 655931.106 Revised ................................ 655931.235 Waiver ................................ 2901931.317 Revised ................................ 656031.370 Introductory text revised;

eff. 12–2–87................................. 2060131.607 Waiver ................................ 2901932 Authority citation revised........4391732.14 (c), (d), (e), and (f) revised;

eff. 1–1–88.................................... 6560


570



Chapter I—Continued32.22 (a) revised; eff. 1–1–88 .............. 758032.23 Revised; eff. 1–1–88 .................. 656032.25 Revised; eff. 1–1–88.................. 7580

Revised........................................4391732.27 Added; eff. 1–1–88 .................... 6561

(b), (c), and (f) revised ..................3953432.102 Revised; eff. 1–1–88 ................ 656132.1220 (g) revised; eff. 1–1–88 ........... 6561

Revised........................................3953432.1406 Revised; eff. 1–1–88 ............... 6561

(a) correctly revised ....................3953532.2000 (a)(2) and (f)(6) revised; eff.

1–1–88 ......................................... 758032.2311 (h) revised; eff. 1–1–88 ........... 6561

(g) and (h) revised ........................3953532.2321 (b) revised; eff. 1–1–88 ........... 656132.2341 (g) revised; eff. 1–1–88 ........... 6562

(g) revised....................................3953532.2351 (c) revised; eff. 1–1–88.......... 2901932.5999 (f)(5) revised; eff. 1–1–88 ........758032.6540 Revised ............................. 4391732.6623 Revised ............................. 4391732.6999 (b) table amended; eff. 1–1–

88 ............................................... 656232.7620 Revised; eff. 1–1–88 ............. 2060132.7990 Revised; eff. 1–1–88............... 656232.7991 (b) revised; (c) added) ......... 3953536 Added; eff. 1–1–88 ....................... 1722936.372 (a) revised; eff. 1–1–88 ........... 32923

198847 CFR 53 FR

Page

Chapter I22 Petition for reconsideration

extension of time ....................... 4624Comment time extended ...............8459Authority citation revised ..........11856

22.2 Amended ........................ 3211, 18564Amended (effective date pend-

ing)...........................................48910Amended .....................................52175

22.6 (d) revised (effective datepending) ................................... 48910

22.11 (a) revised (effective datepending) ................................... 48910

22.31 (a)(1) introductory text re-vised; (f) added .......................... 47213

22.33 (b)(2) revised......................... 1809422.501 (g)(2) revised ....................... 11856

Petitions granted ........................3005922.601 (a) revised; (c) through (f)

redesignated as (d) through (g);new (c) added.............................. 3211

22.609 (d) introductory text and(1) revised................................... 3212


Chapter I—Continued22.900 Amended............................. 5217522.901 (d) revised ........................... 2376622.903 (a) revised ........................... 18564

(a)(1) revised................................2607322.904 Revised ............................... 5217522.905 Revised ............................... 5217522.911 (d) revised; (e) added ............ 5217522.913 Heading and (b)(2) revised;

(a)(1) removed; (a) (2) through(10) redesignated as (a) (1)through (9); new (a)(9), (b) in-troductory text and (c) amend-ed ............................................. 18564

(a)(10) correctly added; (b)(4)corrected; (b)(5) correctly re-vised .........................................28640

22.917 (c) and (d) redesignated as(d) and (e); new (c) added............ 18092

(c)(1)(ii) corrected........................2716522.921 (b) revised ........................... 1809422.922 Added ................................. 1809422.923 Added ................................. 18564

(a)(1) correctly revised; (a)(11)correctly added; (b)(5) cor-rected .......................................28640

22.930 Added ................................. 5217625 Petition for reconsideration

extension of time ....................... 4624Comment time extended ...............8459

32 Policy statement ....................... 497832.14 (c) revised............................. 4932132.23 (c) revised............................. 4932232.1220 (i) revised .......................... 4932232.2000 (a)(4) revised; eff. 1–1–89......3005932.4999 (l) and (m) redesignated as

(m) and (n); new (l) added; new(m) revised; new (n) amend-ed ............................................. 49322

32.5280 Added ................................ 4932232.6999 (b) amended ....................... 4932232.7991 Removed ........................... 4932236.101 (a) amended; eff. 1–1–89 ........3301236.112 (a) nomenclature change;

eff. 1–1–89 .................................. 3301236.125 (f) revised; eff. 1–1–89............ 33011

(a) amended; eff. 1–1–89 ................3301236.126 (e)(3)(i) amended; eff. 1–1–

89.............................................. 3301236.153 (a)(2)(i) amended; eff. 1–1–

89.............................................. 3301236.154 (f)(4) (ii) and (iii) amended;

eff. 1–1–89 .................................. 3301236.172 (b) amended; eff. 1–1–89 ........3301236.191 (a) amended; eff. 1–1–89 ........3301236.201 (a) amended; eff. 1–1–89 ........3301236.216 (a) amended; eff. 1–1–89 ........33012


571



Chapter I—Continued36.301 (a) amended; eff. 1–1–89 ........3301236.310 (c) amended; eff. 1–1–89.........3301236.331 (b) amended; eff. 1–1–89 ........3301236.380 Revised; eff. 1–1–89............... 3301136.631 (e) added; eff. 1–1–89 ............. 33011

(c)(2) amended; eff. 1–1–89.............3301236.741 (c) revised; eff. 1–1–89 ........... 3301236 Appendix-Glossary amended;

eff. 1–1–89 .................................. 33012Appendix-Glossary corrected ......39095

198947 CFR 54 FR

Page

Chapter I21.27 (d) added............................... 1032721.31 (f) added................................ 1032721.38 (b)(3) removed....................... 1195321.101 (a) table amended ................ 10327

(a) table and effective date cor-rected .......................................24905

21.107 (b) table amended; footnote4 added...................................... 10328

(b) table and effective date cor-rected .......................................24905

21.108 (c) table revised .................... 1942(c) table amended ........................10328

21.701 (a) amended; (c) through (f)redesignated as (d) through (g);new (c) added ............................ 10328

(c)(1) table and effective datecorrected ..................................24905

21.703 (a) table amended ................ 1032821.801 (a) amended......................... 2546022 Petition denied......................... 33898

Clarification of effective date......3918222.6 (d) revision effectiveness

pending...................................... 4289(d) introductory text and (1) re-

vised .........................................31032(d)(2) added ..................................40057

22.16 (e) revised............................. 1153622.27 (b) redesignated as (b)(1);

new (b)(2) added ........................ 10328(b)(2) corrected ............................20962

22.31 (g) added............................... 10328Heading and (g) corrected............20962(a)(1) revised................................30896

22.43 (a)(1) revised; (d) added.......... 3355222.100 (e) added.............................. 2881722.101 (a) table amended ................ 1032922.501 (g)(1) revised; (g)(5)

added........................................ 10329(b) revised....................................11536(g)(1) and effective date cor-

rected .......................................24905


Chapter I—Continued(j) (1) through (6) added; (l) (5)

through (10) redesignated as(j) (7) through (12); (l) re-moved; new (j)(7)(i) Table A,(j)(12), and (k) revised; new(j)(7)(i) Table E removed; eff.10–27–89 .....................................39530

22.505 (c) added.............................. 2881722.506 (f) added .............................. 2881822.609 (e) added.............................. 2881622.917 (a)(3) introductory text,

(iii)(A), and (e) amended............ 2366225 Policy statement .............. 5483, 33226

Petition denied............................3389825.201 Amended............................. 4999325.202 (a)(2) revised ....................... 4999332 Annual Report Form M revi-

sion .......................................... 2620132.2000 Reconsideration Order ......4999532.7370 (d) revised.......................... 2275832.7620 Revised ............................. 2275836.154 (a) amended; eff. 1-28-90........3103336.711 (a) introductory text, (b)

and (c) revised; (d) added ........... 1611136.721 (a) (1), (2) introductory

text, (ii), (iii) and (iv), and (3)revised ..................................... 16111

199047 CFR 55 FR

Page

Chapter I21 Authority citation revised;

subpart and sectional author-ity citations removed ............... 39277

Technical correction ...................4651421.2 Amended................................ 4600821.3 (c) added................................. 2039721.13 (a)(6) revised......................... 4600821.20 (b)(9) revised......................... 4600921.23 (c)(4) revised ......................... 2039721.28 (e) added ............................... 4600921.30 (a)(4) revised......................... 4600921.31 (f) revised ............................. 1046221.33 (a) revised; (b) amended.........4600921.41 (c)(1)(i) revised ..................... 4600921.101 (a) table amended ................ 4600921.107 (b) table amended ................ 4600921.901 (d)(1) and (2) revised............. 4600921.902 (f)(2) and (i) revised; (j)

added........................................ 4601021.904 Revised ............................... 4601021.905 (c) added.............................. 4601121.908 Revised ............................... 4601121.911 Added ................................. 4601121.912 Added ................................. 46011


572



Chapter I—Continued21.913 Added ................................. 4601221.914 Added ................................. 4601222.1 (b) revised .............................. 2039722.6 (d)(2) revised .......................... 5000422.9 Heading and (c)(2) revised.......2584122.13 (e) revised............................. 2039722.15 (a)(1)(i) and (n) added ............ 2584122.16 (d) revised............................. 2584222.20 (b)(5) revised......................... 2039722.23 (h) added............................... 2584222.29 (c) added ............................... 2584222.31 (g) revised............................. 10463

(h) added......................................25842(i) added.......................................47335

22.35 (c) added ............................... 2584222.40 (c) added ............................... 2584222.43 (e) added ............................... 25842

(d)(3)(iii) removed; (d)(3)(iv)through (vii) redesignated as(d)(3)(iii) through (vi); (d)(1)introductory text, (i) through(iii), (vi), (vii), new (d)(3)(iii),(v) and (4)(iii) revised;(d)(1)(viii) added .......................46453

22.44 (c) revised............................. 2584222.45 (c) added ............................... 2584222.106 Heading revised; (b)(3) and

(4) added ................................... 1046322.110 (f) added .............................. 2584222.115 (d) added ............................. 2584222.117 (b)(4) revised ....................... 20397

(c) added ......................................25842(b) introductory text and (1)(ii)

revised; (b)(1)(iii) added ............3046222.213 (e) added.............................. 2584322.501 (g)(1) introductory text, (3)

introductory text, and (5) re-vised......................................... 10463

(k)(6) added..................................4733522.502 (c) added.............................. 3046222.503 (d) revised ........................... 30462

(d) correctly designated...............3321622.504 (b)(2) revised ....................... 3046222.505 (c) revised ........................... 3046222.506 (f) revised............................ 3046322.911 (e) removed........................... 7900

(e) correctly designated...............1388322.913 (a)(10) revised...................... 2039722.930 Introductory text, (f) and

(g) revised .................................. 790022.1100—22.1119 (Subpart M)

added........................................ 2584325 Authority citation revised;

subpart and sectional author-ity citations removed ............... 39000

25.206 Revised; eff. 3–1–91............... 21551


Chapter I—Continued25.308 Added; eff. 3–1–91 ................. 2155125.390 (d)(1)(iii) added.................... 2039734 Authority citation revised;

sectional authority citationsremoved ................................... 39277

35 Authority citation revised;sectional authority citationsremoved ................................... 39278

199147 CFR 56 FR

Page

Chapter I21.11 (a), (d) and (f) revised............. 5781521.23 (a) and (b) amended ............... 5781621.30 (a)(4) amended ...................... 5781621.33 (a) revised............................. 5781621.101 (a) table footnote 6 re-

vised......................................... 5781621.107 (b) table footnote 1 re-

vised......................................... 5781621.307 (a), (b) introductory text,

(4), (c)(1) introductory text, (i)introductory text, (B),(2)(i)(A), (G), (ii)(A), (iii)(A),(d)(1), (d)(1)(ii), (e)(1) introduc-tory text through (iv), (2), (f)(1)and (2)(i) revised ....................... 57816

21.701 (d)(3) and (4) added ................ 989721.900 Amended............................. 5781721.901 (d)(1) removed ..................... 57598

(a) amended; (b)(4) and (5) re-vised; (b)(6) and (f) added ..........57817

21.902 (f)(2) revised; (i) and (j) re-designated as (j) and (k); new (i)added........................................ 57598

(f)(2), (i)(2)(i), (ii), (6)(i), (iii)(A)through (F) and (iv) amended;(i)(1) revised..............................57818

(i)(1) revised.................................6519121.905 (c) amended......................... 5781821.908 (b) amended ........................ 5781821.909 (c) added.............................. 5781821.912 (a) and (c) amended; (d)

through (g) added...................... 5781821.913 (g) added ............................. 5759921.914 Amended............................. 5781922.2 Amended................................ 5850622.6 (b)(3) removed; (b)(2) and

(d)(3) added ............................... 5850622.13 (a)(1)(iv) added...................... 5850622.27 (b)(2) revised......................... 6366322.31 (a)(1)(ii) and (b)(2)(iii)

added; (f) revised....................... 5850622.33 (b)(3) added ........................... 58507


573



Chapter I—Continued22.43 (d)(1)(viii) correctly

added........................................ 14317(c)(1) and (2) revised; (c)(4)(i)

added ........................................5850722.501 (g)(1) introductory text re-

vised......................................... 3415122.521 (b) table amended ................ 1486622.902 (b) introductory text re-

vised; (b)(3), (4), (5), (d)(4) and(5) added ................................... 58507

22.903 (a)(1)(i), (ii) and (j)added........................................ 58508

22.916 (c) revised ........................... 5850922.917 (b)(2) correctly added .......... 58315

(b)(2) removed; (a)(1) introduc-tory text revised; (f) added .......58509

22.918 (c) redesignated as (d); new(c) added ................................... 58509

22.920 (c) added.............................. 5851022.921 Revised ............................... 5851022.924 Added ................................. 5851022.925 Added ................................. 5851122.926 Added ................................. 5851122.1107 Heading, (a)(1), (2) intro-

ductory text, (ii) and (b) re-vised; (a)(iii) removed ............... 37854

22.1109 Heading, introductorytext, table and (a) revised .......... 37856

22.1111 (b) removed; (a), (c) and (d)revised ..................................... 37858

22.1115 Heading, (a) and (d) re-vised; (e) added ......................... 37859

22.1117 Revised ............................. 3785922.1119 Revised ............................. 3785922.1121 Added ................................ 3785925.101 (a) revised ........................... 2401525.102 Added ................................. 2401625.109 Added ................................. 2401625.110—25.163 (Subpart B)

Added ....................................... 2401625.118 Correctly designated........... 2975725.131 OMB number pending .......... 2402025.134 Added ................................. 6600125.201 Amended............................. 4270625.202 (c) removed; (d) through (g)

redesignated as (c) through(f) ............................................. 24024

25.300 Redesignated from 25.390;(c) and (g) removed; (d) through(o) redesignated as (c) through(m); new (c) revised; new (a),(b), (d) and (f) amended (OMBnumber pending) ...................... 24024

25.308 Transferred from SubpartC to Subpart E........................... 24024


Chapter I—Continued25.390—25.392 (Subpart E) Head-

ing revised................................ 2402425.390 Redesignated as 25.300 ......... 2402425.391 Removed............................. 2402425.392 Removed............................. 2402436 Interpretation.......................... 4270636.601—36.641 (Subpart F) Head-

ing revised .................................... 27Heading revised ...........................27422

36.601 (a) revised................................ 27(a) revised....................................27422

36.621 Heading, (a) introductorytext and (4) revised ........................ 27

Heading, (a) introductory textand (4) revised...........................27422

36.622 Heading revised ....................... 27Heading revised ...........................27422

199247 CFR 57 FR

Page

Chapter I21.50 Added ................................... 4902122 Unserved areas applications

filing deadlines waived ................ 829Interpretation .............................28466Unserved areas applications fil-

ing deadlines delayed ...............3407722.2 Amended................................... 83122.6 (b)(2)(ii) removed ................... 1364822.9 (d)(7)(ii) revised; (d)(7)(iii)

added........................................ 1364822.23 (c)(3) revised ......................... 1364822.28 (a) and (b) introductory text

revised ....................................... 3027(a) revised....................................53446

22.29 (a) introductory text re-vised .......................................... 3028

(a) introductory text revised .......5344722.31 (j) added ................................. 302822.32 (e)(5) revised; (e)(6) added .......302822.40 (b) revised .............................. 302822.43 (c)(1) introductory text

amended; (d)(1)(vi), (vii) and(viii) removed; (d)(3)(vi) re-vised......................................... 13648

22.50 Added ................................... 4902122.117 (b)(1) amended..................... 1364822.501 (j) introductory text, (7)(i)

and (k)(4) amended.................... 3710522.902 (b)(4)(ii) introductory text,

(b)(4)(ii)(B)(3) and (d)(4)amended................................... 13648

(b)(4) introductory text, (i), (ii)introductory text and (B)(3)revised......................................53447


574



Chapter I—Continued22.903 Revised ............................... 13648

(a), (d)(1) and (3)(i) through (iv)revised; (e) added ......................53447

22.904 Revised .................................. 83122.911 (a)(1) added............................. 83122.912 (c) added................................. 83122.913 Heading, (a) introductory

text and (d) revised ................... 1364922.914 Revised ............................... 2770522.917 (g) added............................... 302822.918 (c)(2) amended..................... 1364922.920 (c) introductory text re-

vised......................................... 5344822.922 Heading revised; (b)

added........................................ 53448(a) revised....................................56859

22.923 Heading, (a) introductorytext and (c) introductory textrevised; (a)(1) and (c)(1) amend-ed ............................................. 13649

22.924 (b)(1) and (b)(2) amended......13649(b)(3) amended; (c)(3) revised .......13650(a)(3) added ..................................53448

22.925 Revised ............................... 13650Introductory text revised ............53448

22.926 Revised ............................... 1365022.927 Added ................................. 5344822.928 Added ................................. 5344822.929 Added ................................. 5344922.930 (d) amended............................ 831

(d) revised....................................1365022.940 Added ................................... 302922.941 Added ................................... 302922.942 Added ................................... 302922.943 Added ................................... 303022.944 Added ................................... 303022.945 Added ................................... 303125 Decision and remand .................. 122725.114 (c)(24) revised ...................... 1479825.252 (c) Table 1 amended ............. 21214

199347 CFR 58 FR

Page

Chapter I21 Authority citation revised........4224921.6 (b) and (c) revised ................... 1977421.13 (b) introductory text re-

vised......................................... 19774(b)(1) revised................................44894

21.15 (a) revised............................. 1179721.20 (b)(5) revised......................... 1179721.23 (a) and (b) revised.................. 11797

(c)(1)(vii), (2)(v) and (d)(1) re-vised .........................................44894

21.28 (f) added................................ 11797


Chapter I—Continued21.29 (f) added................................ 1179721.31 (e)(3) and (4) revised .............. 1179721.33 Revised ................................ 1179821.39 (a), (b) and (c) redesignated

as (b), (c) and (d); new (a)added........................................ 11798

21.41 (b)(3), (c)(2)(i), (ii) and (iii)revised ..................................... 44894

21.42 (c)(5)(i) and (ii) revised .......... 4489421.50 Revised; eff. 10–4–93............... 4654921.100 (c) revised; (d)(2)(xi) and

(xii) added; eff. 12–20–93 ............. 4922421.107 (b) revised; eff. 12–20–93 ........4922421.108 (c) table revised; eff. 12–20–

93.............................................. 49225(e) introductory text and (1)

heading revised; eff. 12–20–93.....4922621.113 (b) introductory text, (1)(i)

through (iv), (c)(3)(iii) and (iv)revised ..................................... 44894

21.120 (e) added; eff. 12–20–93 .......... 4922621.122 (a) revised; eff. 12–20–93 ........4922621.303 (a), (b), (c) and (d)(1) re-

vised......................................... 1977421.307 (g) added ............................. 4224921.502 Revised; eff. 12–20–93............ 4922621.503 Revised; eff. 12–20–93............ 4922721.504 (c)(1) and (2) revised ............. 4489421.506 Revised; eff. 12–20–93............ 4922721.507 Removed; eff. 12–20–93.......... 4922721.701 (a) Footnote 2 and (b) re-

vised......................................... 44895(a) and (d) revised; (e), (f) and (g)

redesignated as (i), (j) and (k);new (e) through (h) and (l)added; eff. 12–20–93 ....................49227

21.710 Revised; eff. 12–20–93............ 4923221.901 (d)(2) removed; (f) re-

vised......................................... 11798(d)(1)(i) through (vii)(C) cor-

rectly removed; CFR correc-tion...........................................13709

(c) introductory text and (d)(5)revised......................................44895

21.902 (c) introductory text, (1)and (2) revised........................... 11798

(c)(1)(i), (ii), (2)(i), (ii), (4), (5),(d)(1), (2), (3), (i)(1) introduc-tory text, (ii), (j)(1) and (2) re-vised .........................................44895

21.904 (c) introductory text re-vised......................................... 44896

21.906 (c) revised ........................... 44896


575



Chapter I—Continued21.912 (a), (b), (c) and Notes 1 and 2

revised; (d) removed; (e), (f) and(g) redesignated as (d), (e) and(f); new (f) amended................... 42018

(e)(1) and (2) correctly added........4506421.913 (g) revised ........................... 11798

(d), (g) introductory text, (3)and (5) amended........................44896

21.915 Added ................................. 1179921.920 Added ................................. 4224922 Technical correction .......27213, 3422822.2 Amended................................ 4489622.6 (d)(1) and (3) introductory

text amended; (d)(3)(iv) re-vised......................................... 44896

22.13 (b)(1) revised......................... 4489622.15 (b)(1)(i), (ii)(A), (B), (iii),

(i)(2) and (j)(8)(vi) revised .......... 4489622.23 (c)(2) amended ...................... 4489722.33 (c)(1) and (2) revised .............. 4489722.43 (d)(1)(iii) and Note A revised;

(d)(4)(iii) and Notes B and Camended................................... 44897

22.50 Revised; eff. 10–4–93............... 4654922.100 (e)(1) revised ....................... 4489722.113 (b)(1)(i) through (iv) re-

vised......................................... 4489722.115 Revised ............................... 4489722.117 (b)(3) and (c) introductory

text amended............................ 4489822.501 (a)(5)(i), (iii), (e), (f)(1)(i),

(ii), (g)(3)(i), (j)(3), (6), (7) and(k)(5)(iv) amended; (j)(4), (5)(i),(ii), (k)(1), (2), (j)(7)(i) Tables B,C, D and F revised; (j)(7)(i)Table G removed; (j)(7)(i) Ta-bles I and J added ...................... 44898

(e) revised; eff. 12–20–93 ................4923322.502 (a) table, (b) and (c) table

revised ..................................... 4490022.503 (a), (b) and (d) tables re-

vised; (c) amended..................... 4490122.504 (b) Figures 1 through 4 re-

moved; (b)(1), (2) table and (c)revised ..................................... 44901

22.505 (a)(1) and (c)(1) amended;(a)(2) and (b) tables revised........44901

22.506 (f)(1) revised ........................ 4490222.521 (b) amended ........................ 4490222.525 (b) and (e) amended.............. 4490222.601 (a)(2)(i), (iv) and (3) revised;

(g)(3) amended .......................... 4490222.902 (d)(1) amended..................... 4490222.903 (a)(3), (d)(2) and (e) revised;

(a)(5) and (f) added..................... 11800(a)(1), (2), (3) and (5) revised .........44902


Chapter I—Continued22.905 Revised ............................... 4490222.911 (b) revised ........................... 5918322.913 (a)(1) and (c) amended.......... 4490322.923 (a)(1), (b)(1), (5) and (6)

amended................................... 4490322.924 (a)(1) revised; (b)(2) amend-

ed ............................................. 4490322.925 (b) revised ........................... 4490322.930 (h) revised ........................... 44903

(b), (f) and (g) removed; sectionheading and introductory textrevised......................................59183

22.941 (a)(2) amended; (a)(1) and(d)(2) revised; (a)(3) re-moved ...................................... 21929

22.942 Revised (effective datepending) ................................... 21929

22.1001 (a) Table A, (b) Table B and(c) Table C amended; (d)(2)(i),(ii), (4), (5), (6) and (7) Tables Dand E revised ............................ 44903

22.1002 Amended ........................... 4490422.1109 Amended; (a) and (b) re-

vised......................................... 4490423.20 (d) introductory text

amended; (d)(1)(i) through (iv)revised ..................................... 44904

23.40 Revised ................................ 4490425 Authority citation revised.......13419,

4224925.114 (c)(18) revised; (c)(27)

added........................................ 6805925.115 (d) added ............................. 6805925.120 (d) and (e) revised ................ 6805925.130 (b) revised ........................... 6805925.132 Added ................................. 1341925.133 (b) revised ........................... 6805925.135 Added ................................. 6805925.140 (d)(2)(iii) redesignated as

(d)(2)(iv); new (d)(2)(iii)added........................................ 68060

25.142 Added ................................. 6806025.151 (c)(5) revised ....................... 6806125.201 Amended............................. 6805925.202 (g) added ............................. 13419

(a)(3) added; (f)(4) revised.............6806125.203 (b) and (c)(5) revised; (e) re-

moved; (f), (g) and (h) redesig-nated as (e), (f) and (g) ............... 13419

(e)(2)(i) through (iv) and (g)(3)(i)through (iv) revised ..................44904

25.204 (d) and (e) added................... 1342025.209 (a) through (d) revised; (g)

added........................................ 1342025.210 Added ................................. 1342025.211 Added ................................. 13421


576



Chapter I—Continued25.212 Added ................................. 1342125.256 Added ................................. 1342125.271—25.277 (Subpart D)

Added ....................................... 1342125.601 (Subpart I) Added ................ 4224932 Order........................................ 5028734 Removed; eff. 10–4–93................. 3614335 Removed; eff. 10–4–93................. 3614336.2 (a)(3) and (b)(3)(iii) revised......4490536.153 (a)(1)(i)(A), (B), (ii)(C),

(2)(i)(B) and (b)(1) revised .......... 4490536.156 Revised ............................... 4490536.157 (a)(1) revised ....................... 4490536.601 (c) added.............................. 6924236.622 (a) amended; (c) added ......... 6924236 Appendix amended ................... 44905

199447 CFR 59 FR

Page

Chapter I20 Added ....................................... 1849520.6 Added .................................... 59953

(d)(9) and (10) added .....................6182921 Report...................................... 5336321.38 (g) added ................................ 910121.50 (a) and (b) revised.................. 1964521.120 (e) revised ........................... 1964521.701 (d) revised; (m) added........... 1964522 Waiver ....................................... 1285

Opinion and order ........................37163Revised (effective date pending

in part) .....................................59507Authority citation revised ..........59954

22.1 (g) added ................................ 1849922.13 (f) removed ........................... 1849922.39 (d) added ................................ 910122.43 (b)(2) removed....................... 1849922.50 (a) and (b) revised.................. 1964622.105 Table B–1 amended .............. 5995422.115 (a)(2) amended..................... 5995422.121 (d) corrected........................ 6485622.131 Revised ............................... 5995422.137 (c)(1)(ii) amended ................ 5995422.142 (c) introductory text and

(d) introductory text amend-ed ............................................. 59954

22.165 (d)(2) corrected.................... 6485622.301 Revised ............................... 5995522.304 Removed............................. 1849922.313 (a)(4), (b) and (c) revised;

(a)(5) added ............................... 5995522.357 Introductory text amend-

ed ............................................. 59954Revised........................................59956

22.411 (d)(1) amended..................... 59954


Chapter I—Continued22.413 (b)(1) amended..................... 5995422.415 (b)(1) amended..................... 5995422.417 (b)(1) amended..................... 5995422.507 Amended............................. 5995422.509 Added ................................. 5995622.521 (b) table amended ................ 3505522.529 (a) introductory text and

(b) introductory text amend-ed ............................................. 59954

22.531 (c) amended......................... 5995422.541 Removed............................. 5995622.709 (b) introductory text

amended................................... 5995422.717 Revised ............................... 5995622.803 (a) introductory text and

(b) introductory text amend-ed ............................................. 59954

22.901 (d) introductory text cor-rected....................................... 64856

22.911 (b) introductory textamended................................... 59954

22.929 (a) introductory text and(b) introductory text amend-ed ............................................. 59954

22.941 (b)(4) revised; eff. 10–3–94......39300(c) amended .................................59954

22.942 Revised; eff. 10–3–94 ............. 3930022.947 (b) introductory amend-

ed ............................................. 5995422.949 (a)(2), (b) introductory

text, (2), (c), (d)(1) and (3) re-vised......................................... 59956

22.953 (a)(2)(iii) amended............... 5995424 Redesignated from 99 ................ 18499

Regulation at 59 FR 18499 eff.date changed to 6–22–94 .............26602

Authority citation revised .........26747,46199

Reconsideration petition.............6625424.1 (b) revised .............................. 3285424.2 (g), (h) and (i) redesignated as

(h), (i) and (j); new (g) added .......1849924.3 Revised .................................. 3285424.10 Revised ....................... 26747, 3285424.11 Revised ................................ 3285424.52 Revised ................................ 3285424.101 Revised; eff. 10–7–94 ............. 4619924.102 (d) revised; eff. 10–7–94.......... 4619924.129 Revised ...................... 26747, 4406924.130 (b) and (c) revised .......26747, 44069

(a) revised; eff. 10–7–94..................4620024.200—24.238 (Subpart E) Re-

vised......................................... 3285424.202 (b) corrected........................ 4083524.204 (f)(1) and (2) amended........... 37603

(d)(2)(viii) added ..........................39705


577



Chapter I—Continued(f) introductory text revised;

(f)(3)(i) amended .......................55374(d)(2)(ix) and (x) added; (f) intro-

ductory text, (1), (2) and (3) re-designated as (f)(1), (2), (3) and(4); new (f)(1) revised.................61830

24.238 (a) corrected........................ 40835Revised........................................55374

24.301—24.309 (Subpart F)Added ....................................... 26747

24.303 Revised ............................... 4406924.307 Amended............................. 5995724.308 Revised ............................... 4407024.309 Revised ............................... 44070

(b)(1) revised................................5051124.320 Added ................................. 4407124.403—24.444 (Subpart G)

Added ....................................... 2674924.406 Revised ............................... 44072

(b) amended .................................5995724.409 (b) amended ........................ 5995724.411 Redesignated from 99.411

and corrected............................ 5521024.413 (a) introductory text

amended................................... 5995724.415 (j) correctly designated .......4389824.422 Revised ............................... 4407224.425 (a), (b) introductory text

and (1) corrected ....................... 3716424.426 (a) amended......................... 5995724.427 (b)(1) correctly redesig-

nated as (b) ............................... 37164(b) amended .................................59957

24.429 (a)(1) corrected.................... 37164(b) removed; (c) and (d) redesig-

nated as (b) and (c)....................4407224.430 Revised ............................... 4407224.701—24.720 (Subpart H)

Added ....................................... 3760424.703 (f) revised; (h) added ............ 5337124.707 (b) amended ........................ 5995724.709 (b)(4)(iii) removed; (e) re-

vised......................................... 43063Revised........................................63232

24.711 (a)(4) revised ....................... 43063Revised........................................63235

24.712 (d) revised ........................... 6323524.720 (b)(2) and (j) revised; (l)(11)

added; (m) removed................... 43063Revised........................................63236

24.801—24.844 (Subpart I)Added ....................................... 37610

24.806 (b) amended......................... 5995724.809 (b) amended ........................ 5995724.813 (a)(1) revised ....................... 53371

(a) introductory text amended................................................. 59957


Chapter I—Continued24.816 Removed............................. 5337124.822 (b) revised ........................... 5337124.826 (a) amended......................... 5995724.827 (b) amended ........................ 5995724.829 (b) removed; (c) redesig-

nated as (b) ............................... 5337124.833 Added ................................. 5337124.839 (a) and (d) revised ................ 6323825 Waiver ....................................... 128525.114 (c)(6), (18) and (26) revised;

(c)(28) and (d) added................... 5332625.115 (d) revised ........................... 5332725.120 (d) and (e) revised ................ 5332725.130 (b) revised ........................... 5332725.133 (b) revised ........................... 5332725.136 Added ................................. 5332725.141 (a) and (f) revised ................. 5332825.143 Added ................................. 5332825.201 Amended............................. 5332925.202 (a)(4) and (5) added ............... 5332925.203 (c)(2)(vii) revised; (j) and

(k) added................................... 5332925.208 (c) revised ........................... 5332925.213 Added ................................. 5332925.278 Added ................................. 5333125.279 Added ................................. 5333132.22 (a), (c), (d) and (f) revised.........941832.23 (c) amended .......................... 4693032.103 Table amended ..................... 941832.1437 Added ................................. 941832.2000 (a)(4) and (b)(2) introduc-

tory text amended .................... 4693032.2220 Heading revised ................. 4693032.2231 Heading revised ................. 4693032.2311 (d) amended ....................... 4693032.2341 (g) amended ....................... 4693032.3000 (b) amended ....................... 4693032.3300 (b) amended ....................... 4693032.4000 Table amended.................... 941832.4100 (d) revised ........................... 941932.4110 (g) revised ........................... 941932.4340 (a) and (d) revised ................ 941932.4341 Added ................................. 941932.4350 (a) and (g) revised ................ 941932.4361 Added ................................. 941932.4999 (e) amended ....................... 4693032.5060 Amended ........................... 4693032.6410 Amended ........................... 4693036 Order........................................ 27496

199547 CFR 60 FR

Page

Chapter I20.6 (d)(2) revised .......................... 3779521.2 Amended....................... 36551, 57366


578



Chapter I—Continued21.7 Amended................................ 3655121.13 (a)(4) and (b) introductory

text revised .............................. 3655121.15 (a)(1) amended; (a)(3), (c), (e)

introductory text and (g) re-vised......................................... 36551

(g) revised....................................5736621.27 (a)(7) and (8) added ................ 3655221.35 (a) introductory text re-

vised......................................... 3655221.41 (b)(7) added ........................... 3655221.42 (a), (b)(3), (c)(3)(ii) and (d) re-

vised; (b)(4) and (c)(3)(iii)added........................................ 36552

(d) revised....................................5736621.43 (a) amended .......................... 3655221.44 (a)(1) revised......................... 3655221.900 Concluding text revised.......3655221.901 (d)(5) amended; (d)(7) re-

vised......................................... 3655221.902 (a), (b) introductory text,

(1), (3), (4), (c) introductorytext, (1) introductory text, (i),(2), (3), (d), (f) introductorytext, (g) and (h) revised; (b)(5),(6), (f)(4) through (7) added;(c)(5) removed; (f)(1) and (2)amended................................... 36553

(d)(1) and (i) revised .....................36739(g)(1) revised................................57367

21.904 (c) revised ........................... 36554(c)(2) redesignated as (c)(3); new

(c)(2) added ...............................5736721.913 (b) through (e) and (g)(8) re-

vised......................................... 3655421.921 Added ................................. 3655421.922 Added ................................. 3655521.923 Added ................................. 3655521.924 Added ................................. 36555

(c) revised ....................................5736721.925 Added ................................. 36555

(a)(2) revised................................5736721.926 Added ................................. 3655521.927 Added ................................. 3655521.928 Added ................................. 3655521.929 Added ................................. 36555

Existing text designated as (b);(a) added ...................................57367

21.930 Added ................................. 3655521.931 Added ................................. 3655621.932 Added ................................. 3655621.933 Added ................................. 36556

Revised........................................5736721.934 Added ................................. 3655621.935 Added ................................. 3655721.936 Added ................................. 36557


Chapter I—Continued21.937 Added ................................. 3655721.938 Added ................................. 36557

(c) through (g) redesignated as(d) through (h); new (c) added;new (d) and new (f) revised........57367

21.939 Added ................................. 3655721.950 Added ................................. 3655721.951 Added ................................. 3655721.952 Added ................................. 3655821.953 Added ................................. 3655821.954 Added ................................. 3655921.955 Added ................................. 3655921.956 Added ................................. 3655921.957 Added ................................. 3655921.958 Added ................................. 3655921.959 Added ................................. 3656021.960 Added ................................. 36560

(b)(5)(i) and (d)(1)(i) revised .........5736721.961 Added ................................. 36562

(b)(2) introductory text revised................................................. 57368

22.105 Table correctly revised.........988922.361 Table correctly revised.........988922.541 Stayed.................................. 355722.561 Table correctly revised.........988922.577 Heading, introductory

text, (a) introductory text, (1),(2), (b) and (d) revised ................ 15495

22.591 Table correctly revised.........988922.621 Table correctly revised.........989022.627 (b)(1)(i) table correctly re-

vised .......................................... 989022.651 Table correctly revised.........989122.725 Table correctly revised.........989122.757 Table correctly revised.........989122.901 (c) revised ........................... 1549522.905 Table correctly revised.........989122.1007 (a)(1) table, (2) through (6),

(b), (c) introductory text and(1) correctly revised ................... 9891

24.101 Revised ............................... 13917(b) corrected ................................26375

24.204 (d)(2)(viii) redesignated as(d)(2)(viii)(A); (d)(2)(viii)(B)added........................................ 13917

(d)(2)(ii) revised ...........................3779524.229 (c) revised ........................... 13917

(c) correctly revised ....................2637524.709 (b)(5)(i)(B), (C), (6)(i)(B) and

(C) correctly revised................... 5335Heading, (a), (b)(5)(i)(C), (6),

(c)(1) introductory text, (2) in-troductory text, (ii) and (e) re-vised .........................................37795

24.711 (b)(1) and (2) correctly re-vised .......................................... 5335


579



Chapter I—ContinuedHeading, (a)(1), (b) introductory

text and (3) revised; (b)(4) and(5) removed...............................37796

24.712 (d)(1) and (2) correctly re-vised .......................................... 5335

Heading and (a) revised; (b) and(c) removed; (d) redesignatedas (b).........................................37796

24.713 Removed............................. 3779624.715 Added ................................. 3779624.716 Added ................................. 3779924.717 Added ................................. 3780024.720 (f) and (h) correctly re-

vised .......................................... 5335(l)(3) correctly revised...................8571(o) correctly revised......................8572(a), (b)(2), (c)(2), (j)(2), (l)(11)(i),

(ii), (n)(1) and (3) revised;(n)(4) added...............................37800

24.813 (a)(2) revised ....................... 1391725.110 (b) revised............................. 533326 Added ....................................... 4071826.104 OMB number pending .......... 4072232 Memorandum opinion and

order ........................................ 5354432.2000 (c)(2)(x) revised.................. 1213832.2003 Heading, (a) and (c) re-

vised......................................... 1213832.2004 Removed ........................... 1213832.7340 Revised ............................. 1213836 Memorandum opinion and

order ........................................ 53544Recommendation ........................65010

36.101 Revised ............................... 1213836.171 Revised ............................... 1213836.222 (c) revised ........................... 1213836.601 (c) revised ........................... 6501136.622 (a) amended; (c) revised ....... 65012

199647 CFR 61 FR

Page

Chapter I20 Authority citation revised........45619

Reconsideration petitions ...........6693120.3 Amended....................... 38402, 4035220.5 (a)(4) and (5) revised................ 5558020.6 (d)(2), (e) and Note 1 re-

vised......................................... 33867Note 3 correctly designated .........51233

20.11 (c) added ............................... 4561920.12 Added ................................... 38402

Heading revised; (c) added; eff.10–28–96 .....................................43981

20.15 (e) added ............................... 3863720.18 Amended .............................. 40352


Chapter I—Continued21 Order ......................................... 245221.2 Revised .................................. 2667121.3 (b) removed; (c) redesignated

as (b)......................................... 2667321.4 (d) and (f) removed; (e) and (g)

redesignated as (d) and (e) ......... 5558021.6 (b) and (c) revised ................... 2667321.11 (g) added ................................ 436421.13 (a)(6) and (b) revised; (f) re-

moved; (g) redesignated as(f) ............................................. 26673

21.15 (d) revised; (e), (f) and (g) re-designated as (f), (g) and (h);new (e) added.............................. 4364

Introductory text, (c), (d) and(g) revised.................................26673

21.20 (b)(5) revised......................... 2667421.23 (c)(1) and (d) removed; (c)(2)

through (7) and (e) through (g)redesignated as (c)(1) through(6) and (d) through (f); new(c)(1) introductory text and(d)(1) revised............................. 26674

21.27 (d) removed........................... 2667421.31 (f) removed ........................... 2667421.33 (a) removed; (b), (c) and (d)

redesignated as (a), (b) and(c)............................................. 26674

21.39 (d)(3) revised......................... 2667421.41 (c)(3) revised .......................... 4364

(b) and (c) revised ........................2667421.42 (c)(6) revised .......................... 4364

(a), (b)(1), (4) and (c)(3) revised;(c)(7) removed; (c)(8) redesig-nated as (c)(7) ...........................26674

21.43 (a) revised............................. 2667521.45 (a) and (c) revised .................. 2667521.100 Revised ............................... 2667521.101 (a) revised; (b) removed; (c)

redesignated as (b) .................... 2667521.106 (a)(2)(ii), (3) and (4) re-

moved; (a)(2)(iii) redesignatedas (a)(2)(ii) ................................ 26675

21.107 (b) revised; (c) removed........2667521.108 Removed............................. 2667521.109 (b) revised ........................... 2667521.111 Revised ................................ 436521.112 Revised ................................ 436521.113 (c)(2) amended ...................... 847721.114 Removed............................. 2667621.117 (b) revised............................. 436521.119 Removed............................. 2667621.120 (a) revised; (d) and (e) re-

moved ...................................... 2667621.122 (a) revised; (d) and (e) re-

moved ...................................... 26676


580



Chapter I—Continued21.214 Removed............................. 2667621.303 (a), (b), (c) and (d)(1) re-

vised......................................... 2667621.500—21.512 (Subpart G) Re-

moved ...................................... 2667621.700—21.713 (Subpart I) Re-

moved ...................................... 2667621.800—21.809 (Subpart J) Re-

moved ...................................... 2667621.901 (e) revised ........................... 2667621.902 (i)(1) and (2) revised ............. 18098

First (c) removed; (c)(1)(ii) rein-stated; CFR correction .............25594

(c)(1)(ii) revised ...........................2667621.903 (a) revised ........................... 2667621.912 (e)(3) added.......................... 1538721.956 (a)(1) introductory text re-

vised......................................... 1809822 Order............................... 21380, 34375


Waiver .........................................5073622.5 (b)(3) and (4) revised................ 5558022.99 Amended ..................... 31050, 5409822.105 Introductory text amend-

ed; Table B–1 revised ................. 5409822.115 (a)(2) and (3) revised .............. 436522.317 Amended............................. 5409922.355 Revised ............................... 5409922.357 Revised ............................... 5409922.365 Revised ................................ 436522.369 (c)(3) amended ...................... 8477

(c)(2) amended .............................5409922.377 Introductory amended ........3105122.409 (h)(2) amended .................... 5409922.507 Note removed...................... 5409922.509 (c) amended......................... 5409922.527 Added ................................. 3105122.535 Introductory text revised;

(f) added.................................... 3105122.537 (h) added ............................. 3105122.602 Revised ............................... 2968922.621 Introductory text amend-

ed ............................................. 5409922.901 (e) removed ......................... 38403

Introductory text revised; eff.10–28–96 .....................................43981

Introductory text and (d) re-vised; eff. 10–28–96 .....................45356

22.943 (b)(3) added ......................... 5833922.949 (c) revised ........................... 5833922.960 Added ................................. 5833922.961 Added ................................. 5833922.962 Added ................................. 5833922.963 Added ................................. 5833922.964 Added ................................. 58339


Chapter I—Continued22.965 Added ................................. 5833922.966 Added ................................. 5833922.967 Added ................................. 5834023.20 (e)(2) amended........................ 847723.28 (c) added................................. 436523.39 Revised .................................. 436623.40 Removed................................ 436624 Waiver.................... 25807, 25808, 25810

Authority citation revised ..........29691Technical correction ...................63758

24.3 Revised; eff. 10–28–96............... 4535624.5 Amended................................ 2969124.52 Revised ................................ 4101824.55 Added .................................... 436624.204 Removed............................. 3386824.229 (c) removed; (d) redesig-

nated as (c) and revised ............. 3386824.237 (c) revised ........................... 2969124.239 Undesignated center head-

ing and section added ................ 2969124.241 Added ................................. 2969124.243 Added ................................. 2969224.245 Added ................................. 2969224.247 Added ................................. 2969224.249 Added ................................. 2969324.251 Added ................................. 2969324.253 Added ................................. 2969324.404 (b)(3) and (4) revised............. 5558124.416 Removed .............................. 436624.704 (a)(3) added.......................... 3386824.706 Revised ............................... 3386824.709 Heading, (a)(1), (2), (c)(1) in-

troductory text, (2) introduc-tory text and (ii) revised............ 33868

24.715 Removed............................. 3386824.716 (c) redesignated as (d);

(a)(1), (2), (b) and new (d)(2) re-vised; new (c) added................... 33868

24.717 (a) and (b) revised; (c) re-moved; (d) redesignated as(c)............................................. 33869

24.720 (b)(2) and (3) redesignatedas (b)(3) and (4); (b) heading,new (3), new (4), (c)(2), (e), (f),(g), (j)(2), (l)(11)(i), (n)(1), (3)and (4) revised; new (b)(2) and(5) added ................................... 33869

(l)(11) correctly revised................5123424.804 (b)(3) and (4) revised............. 5558124.813 (a)(1), (2) and (4) revised .......3387024.816 Removed .............................. 436624.839 (a), (d)(1) and (2) revised;

(d)(3), (4) and (5) added ............... 3387025.104 Revised ............................... 10898

(b)(1) revised; (f) added (OMBnumber pending).......................46562


581



Chapter I—Continued25.110 (b) revised............................. 995125.113 (c) revised; (d) redesignated

as (f); new (d) and (e) added .......... 4366(b) and (d) revised..........................9951

25.114 (c)(6)(iii) removed................. 9945(c)(18) revised; (c)(23) and (24) re-

moved ........................................9952(d) and (f) revised.........................55582

25.115 (c) introductory text re-vised .......................................... 9952

25.117 (a) revised............................. 995225.119 (c) added ............................... 436725.130 (e) added ............................... 4367

(d) revised .....................................995225.131 (b), (g) and (j) revised............. 995225.136 (b) revised............................. 994525.140 Heading, (a) and (b) re-

vised .......................................... 995225.143 (h) added............................... 994525.202 (c) revised............................. 9952

(a)(1) revised................................5230725.203 (g)(2) amended ...................... 8477

(j) and (k) revised ..........................9945(h) added; eff. 10–28–96 ..................44181

25.204 (f) added .............................. 5230725.210 (e) introductory text and (j)

introductory text revised; (f)removed..................................... 9952

25.211 (b) revised............................. 995225.213 (c) and (d) removed................ 994525.250 Added; eff. 10–28–96 .............. 4418125.257 Added; eff. 10–28–96 .............. 4418125.258 Added; eff. 10–28–96 .............. 4418125.276 (c) revised............................. 995325.300 (h) added............................... 436726.302 (b)(3) and (4) revised............. 5558132 Authority citation revised........5024532.11 (a)(1) and (2) revised .............. 5024532.9000 Amended ........................... 5024536.601 (c) revised ........................... 3437636.622 (c) revised ........................... 34377

199747 CFR 62 FR

Page

Chapter I20 Reconsideration petitions.......... 402020.3 Amended; eff. 10–17–97 ............ 1884320.9 (a)(2) revised; eff. 10–17–97 .......1884320.20 Added ................................... 6387121.113 Heading revised; (d)

added........................................ 5553022 Reconsideration petitions.......... 4020

Order.............................................910322.99 Amended .............................. 11628


Chapter I—Continued22.101—22.169 (Subpart B) Head-

ing revised................................ 1162922.101—22.169 Undesignated cen-

ter heading added ..................... 1162922.115 (a) introductory text re-

vised......................................... 1162922.123 (e)(1) and (2) revised ............. 1162922.129 (e) added.............................. 1162922.131 (c)(4)(ii)(A) and (B) revised;

(d)(2)(v) added........................... 1162922.165 (d)(1) revised ....................... 1162922.201—22.227 Undesignated cen-

ter heading added ..................... 1162922.201 Added ................................. 1162922.203 Added ................................. 1162922.205 Added ................................. 1162922.207 Added ................................. 1163022.209 Added ................................. 1163022.211 Added ................................. 1163022.213 Added ................................. 1163022.215 Added ................................. 1163022.217 Added ................................. 1163022.219 Added ................................. 1163022.221 Added ................................. 1163122.223 Added ................................. 1163122.225 Added ................................. 1163222.227 Added ................................. 1163322.313 (a)(4) and (5) revised; (a)(6)

added........................................ 1163322.352 Introductory text re-

vised......................................... 1163322.369 Heading revised; (d)

added........................................ 5553022.503 Added ................................. 1163322.507 Revised ............................... 1163422.529 Revised ............................... 1163522.531—22.559 Undesignated cen-

ter heading revised ................... 1163522.531 Heading and introductory

text revised; (f) added................ 1163522.539 (e) revised ........................... 1163522.551 Revised ............................... 1163622.559 Heading and introductory

text revised .............................. 1163622.561 Introductory text re-

vised......................................... 1163622.569 (d) revised ........................... 1163622.589 Introductory text re-

vised......................................... 1163622.717 (c) removed ......................... 1163622.721 Added ................................. 1163622.723 Added ................................. 1163622.903 Revised ............................... 6387222.935 (f)(5) revised ......................... 417223.20 (f) added................................ 5553024 Reconsideration petitions.......... 4020


582



Chapter I—ContinuedWaiver request ............................31002

24.5 Amended................................ 1275724.18 Added ................................... 5553124.132 (d) and (e) revised ................ 2751124.229 (c) removed ............................ 66024.239 Revised ............................... 1275724.243 Revised ............................... 1275724.245 (a) and (b) revised ................ 1275724.247 (a) introductory text re-

vised......................................... 1275724.249 (a) revised ........................... 1275724.320 (e) revised ........................... 2751124.707 Amended................................ 66024.709 (b)(9) added.......................... 5535624.714 Revised .................................. 66125 Authority citation revised........1110525.113 Heading, (a), (b) and (f) re-

vised; (g) added (effective datepending)..................................... 5927

Regulation at 62 FR 5927 eff. 4–21–97..........................................48486

(b) amended (effective datepending) ...................................64172

25.114 Revised (effective datepending)..................................... 5927




(c) amended (effective datepending) ...................................64172

25.117 (a) introductory text re-vised (effective date pend-ing) ............................................ 5928


25.118 Redesignated as 25.119; new25.118 added (effective datepending)..................................... 5928


25.119 Redesignated as 25.120; new25.119 redesignated from 25.118(effective date pending).............. 5928

(c), (d) and (f) revised (effectivedate pending) .............................5929

Regulations at 62 FR 5928 and5929 eff. 4–21–97..........................48486

25.120 Redesignated as 25.121; new25.121 redesignated from 25.119(effective date pending).............. 5928

(a) amended (effective datepending) .....................................5929


Chapter I—ContinuedRegulations at 62 FR 5928 and

5929 eff. 4–21–97..........................4848625.121 Redesignated from 25.120

(effective date pending).............. 5928(a) revised (effective date pend-

ing) ............................................5929Regulations at 62 FR 5928 and

5929 eff. 4–21–97..........................4848625.130 (a) revised (effective date

pending)..................................... 5929Regulation at 62 FR 5929 eff. 4–

21–97..........................................48486(d) amended (effective date

pending) ...................................6417225.131 (a), (d) and (j) revised (effec-

tive date pending) ...................... 5929Regulation at 62 FR 5929 eff. 4–

21–97..........................................48486(b) and (j) revised (effective date

pending) ...................................6417225.134 (a) and (b) amended; (d)

added (effective date pend-ing) ............................................ 5929


25.137 Added (effective date pend-ing) .......................................... 64172



25.141 (c) revised (effective datepending)..................................... 5930


25.142 (c) introductory text re-vised (effective date pend-ing) ............................................ 5930


(d) and (e) added...........................5929525.143 (e)(1) introductory text re-

vised (effective date pend-ing) ............................................ 5930


Corrected.....................................5137825.144 Added ................................. 1110525.145 Added (OMB number pend-

ing) .......................................... 6145625.155 (b) revised (effective date


21–97..........................................4848625.201 Amended.................... 11105, 5929625.202 (a)(6) added.......................... 11105


583



Chapter I—Continued25.203 (i) added .............................. 5553125.204 (g) added ............................. 6145725.210 (j) introductory text and (3)

revised (effective date pend-ing) ............................................ 5931


(b) and (c) through (j) redesig-nated as (c) and (e) through(l); new (b) and new (d) added................................................. 61457

25.211 Heading revised; (d) added(effective date pending).............. 5931


25.212 (c) and (d) added (effectivedate pending) ............................. 5931


(c) correctly revised ....................5137825.214 Added ................................. 1110625.251 Revised (effective date


21–97..........................................4848625.252 Removed (effective date










21–97..........................................4848625.259 Added ................................. 5929625.260 Added ................................. 5929625.272 (b) amended (effective date


21–97..........................................4848625.274 (f) amended (effective date


21–97..........................................48486


Chapter I—Continued25.277 (c) introductory text re-

vised (effective date pend-ing) ............................................ 5931


25.280 Added (effective date pend-ing) ............................................ 5931


25.281 Redesignated from 25.308(effective date pending).............. 5932


25.300 (Subpart E) Removed (ef-fective date pending) .................. 5932


25.308 Redesignated as 25.281 (ef-fective date pending) .................. 5932


25.401—25.406 (Subpart F)Added ....................................... 11106

26.51 (d) removed; eff. 10–15–97 .......4796726.52 Revised; eff. 10–15–97 ............. 4796826.105 Added ................................. 5553127 Added ........................................ 9658

Reconsideration petitions ...........1295927.4 Amended................................ 1649727.50 Added ................................... 1649727.53 Revised ................................ 1649727.58 Added ................................... 1649827.62 Added ................................... 5553227.307 (a)(1) corrected.................... 1609932 Technical correction ................ 10221

Correction at 62 FR 10221 eff. 8–12–97..........................................43122


32.11 (a)(1) and (2) revised .............. 3977732.27 (b), (c) and (d) revised (OMB

number pending) ........................ 2925Regulation at 62 FR 2925 eff. 8–

12–97..........................................4312232.2000 (a)(4) revised...................... 3945132.7370 (d) revised.......................... 2012632.9000 Amended ........................... 39778

Regulation at 62 FR 39778 with-drawn .......................................51064

36 Authority citation revised........3294636.125 (a)(3), (4) and (5) added; (b)

and (f) revised; (c), (d) and (e)removed ................................... 32946

36.380 (b) and (c) revised ................ 1541636.601 (a) and (c) revised ................ 32947

(a) amended .................................40748


584



Chapter I—Continued36.611 Revised ............................... 3294736.612 (a) introductory text re-

vised......................................... 3294736.613 (a) introductory text

amended................................... 3294836.621 (a)(4) revised ....................... 32948

(a)(4) introductory text, (ii)(A)and (B) revised; (a)(4)(ii) in-troductory text amended;(a)(4)(ii)(C) added......................40748

36.622 (c) revised; (d) added ............ 3294836.701 (c) added.............................. 32948

199847 CFR 63 FR

Page

Chapter I20 Authority citation revised........43040

Nomenclature change..................5407720.3 Amended ................................. 263720.9 (b) introductory text and (1)

revised ..................................... 4006220.15 (c) and (d) revised .................. 4304020.18 Revised .................................. 263721.2 Amended................................ 6510021.11 (f) and (g) redesignated as (e)

and (f); heading, (a), (d) and new(e) revised................................. 65100

21.27 (d) added (OMB numberpending) ................................... 65101

21.30 (a)(4) revised......................... 6510121.31 (e)(6)(iv) revised.................... 6510121.42 (c)(1)(i) amended; eff. 10–5–

98.............................................. 36603(c)(1)(i) corrected.........................49870(b)(3) revised; (c)(8) added (OMB

number pending).......................6510121.101 (a) Footnote 2 revised .......... 6510121.118 (c) revised ........................... 6510121.120 (a), (b) and (c) amended; eff.

10–5–98 ...................................... 3660321.201 Revised (OMB number

pending) ................................... 6510121.304 Revised (OMB number

pending) ................................... 6510221.900 Revised (OMB number

pending) ................................... 6510221.901 (a), (b), (d) and Note 1 re-

vised; (g) added (OMB numberpending) ................................... 65102

21.902 Heading, (b)(3), (4), (5)(i),(f)(1) and (2) revised; (b)(7) and(l) added.................................... 65102

21.903 (a) and (b)(1) revised; (d)added (OMB number pend-ing) .......................................... 65103


Chapter I—Continued21.904 Revised ............................... 6510321.905 (b) revised; (d) added (OMB

number pending)....................... 6510421.906 (a) and (d) revised (OMB

number pending)....................... 6510421.907 (c) and (d) amended; eff. 10–

5–98........................................... 36603Removed......................................65104

21.908 (b) redesignated as (a);heading and new (a) revised;(c), (d) and (e) removed; new (b)through (e) added...................... 65104

21.909 Revised (OMB numberpending) ................................... 65105

21.910 Heading, introductorytext, (a) and (b) introductorytext revised; (d) added ............... 65109

21.913 Revised (OMB numberpending) ................................... 65109

21.925 (b) revised ........................... 6511221.938 (b) introductory text,

(c)(4), (e) and (f) revised ............. 6511221.940 Added ................................. 29668

Added (OMB number pending) .....6511221.959 (a)(2) revised......................... 234821.960 (b)(4) and (d)(1) revised .......... 234822 Authority citation revised........2033822.99 Amended; eff. 10–5–98............. 36603

Amended .....................................6894322.101 Removed............................. 6894322.103 Removed............................. 6894322.105 Removed............................. 6894322.106 Removed............................. 6894322.108 Removed............................. 6894322.115 Removed............................. 6894322.117 Removed............................. 6894322.119 Removed............................. 6894322.120 Removed............................. 6894322.121 Removed............................. 6894322.122 Removed............................. 6894322.123 Removed............................. 6894322.124 Removed............................. 6894322.125 Removed............................. 6894322.127 Removed............................. 6894322.128 Removed............................. 6894322.129 Removed............................. 6894322.130 Removed............................. 6894322.131 (b) introductory text, (1),

(c) introductory text, (1) and (2)revised; (d)(3) removed.............. 68943

22.132 Removed............................. 6894322.135 Removed............................. 6894322.137 (a)(1) and (2) added; (b)

amended................................... 10344Removed......................................68943

22.139 Removed............................. 68943


585



Chapter I—Continued22.142 Removed............................. 6894322.144 Removed............................. 6894322.145 Removed............................. 6894422.150 (d) introductory text

amended................................... 6894422.163 Removed............................. 6894422.165 (b) and (e) revised ................ 6894422.213 Removed............................. 6894422.221 (b) revised ........................... 6894422.315 Removed............................. 6894422.317 Amended............................. 6894422.323 (d) revised ........................... 6894422.352 (c)(6) revised ....................... 6894422.369 (d)(1), (2) and (3) revised .......41202

Removed......................................6894422.377 (c) removed; (d) redesig-

nated as (c); heading, introduc-tory text, (a), (b) and new (c)amended; eff. 10–5–98 ................. 36603

22.379 (a) amended; eff. 10–5–98 .......3660322.411 (d)(1) revised ....................... 6894422.413 (b)(1) revised ....................... 6894422.415 (b)(1) revised ....................... 6894422.417 (b)(1) revised ....................... 6894422.503 (k) revised........................... 6894522.507 (c) revised ........................... 6894522.529 (a) and (b) introductory

text amended; (b)(1), (3) intro-ductory text, (i) and (iii) re-vised......................................... 68945

22.531 (c) revised ........................... 6894522.539 Introductory text re-

vised......................................... 6894522.577 (b) amended; (d) revised ....... 6894522.625 (b)(1) revised ....................... 6894622.627 (b)(1)(i) and (2) revised ......... 6894622.657 (a), (d), (e)(1) and (f) re-

vised......................................... 6894722.659 (b)(1) and (c)(1) revised......... 6894722.709 Introductory text, (b) in-

troductory text, (1) and (2) re-vised (effective date pending inpart)......................................... 68948

22.803 Introductory text, (a) in-troductory text, (b) introduc-tory text, (1) and (2) revised (ef-fective date pending inpart)......................................... 68948

22.821 Removed............................. 6894822.859 Introductory text and table

revised ..................................... 6894822.873 (a) and (b) revised ................ 6895022.875 (d)(7) removed (effective

date pending in part)................. 6895122.903 Removed............................. 2033822.907 (b) revised ........................... 68951


Chapter I—Continued22.911 (b) amended......................... 6895122.929 Revised (effective date

pending in part) ........................ 6895122.935 (a) amended......................... 6895122.936 (a) amended......................... 6895122.941 (b) amended; (c) revised ....... 6895122.944 Removed............................. 6895122.946 Introductory text and (b)

removed; (a) introductory textrevised; (a)(1) redesignated as(b) ............................................ 68951

22.947 (b) introductory textamended................................... 68951

22.953 (a) and (b) revised; (c)added........................................ 68951

22.966 Removed............................. 6895224 Deadline establishment ............. 2170

Order ...........................................10153Order ...........................................63612

24.2 (b) amended............................ 6895224.5 Amended................................ 6895224.11 (a) revised............................. 6895224.18 Revised ................................ 41203

Removed......................................6895224.51 (b) removed; (c) and (d) re-

designated as (b) and (c); (a),new (b) and new (c) amended;eff. 10–5–98................................. 36604

24.202 Introductory text amend-ed ............................................. 68952

24.304 (a)(2) revised......................... 234824.307 Revised ............................... 6895224.309 (b) and (f) revised .................. 234824.405 Removed............................. 6895224.406 Removed............................. 6895224.409 Removed............................. 6895224.411 Removed............................. 6895224.413 Removed............................. 6895224.419 Removed............................. 6895224.420 Removed............................. 6895224.421 Removed............................. 6895224.422 Removed............................. 6895324.423 Removed............................. 6895324.425 Removed............................. 6895324.426 Removed............................. 6895324.427 Removed............................. 6895324.428 Removed............................. 6895324.429 Removed............................. 6895324.432 Removed............................. 6895324.439 (a)(3) added ......................... 10344

Removed......................................6895324.443 Removed............................. 6895324.444 Removed............................. 6895324.703 Removed; eff. 11–23–98.......... 5079924.704 (a)(2) revised......................... 2349

Revised; eff. 11–23–98 ....................50799


586



Chapter I—Continued24.705 Removed; eff. 11–23–98.......... 5079924.706 (a) revised; eff. 11–23–98 ........5079924.707 Removed; eff. 11–23–98.......... 5079924.709 (b)(9) revised ....................... 17122

(a)(4) and (5) added; (b)(9)(i) and(e) revised; eff. 11–23–98 .............50799

24.711 (b) and (c) revised .................. 2349(a)(1) and (2) revised; eff. 11–23–

98 ..............................................5079924.712 (b) revised............................. 2349

(c) correctly designated as (b)......12659Revised; eff. 11–23–98 ....................50799

24.714 (b)(1) revised ....................... 6895324.716 (c) and (d) revised .................. 2349

(a)(1) and (2) revised; eff. 11–23–98 ..............................................50799

24.717 (c) revised............................. 2349Revised; eff. 11–23–98 ....................50800

24.803 Removed............................. 6895324.805 Removed............................. 6895324.806 Removed............................. 6895324.809 Removed............................. 6895324.811 Removed............................. 6895324.813 Removed............................. 6895324.819 Removed............................. 6895324.820 Removed............................. 6895324.821 Removed............................. 6895324.822 Removed; eff. 11–23–98.......... 50800

Removed......................................6895324.823 Removed............................. 6895324.825 Removed............................. 6895324.826 Removed............................. 6895324.827 Removed............................. 6895324.828 Removed............................. 6895324.829 Removed............................. 6895324.832 Removed............................. 6895324.839 (a)(1) and (2) added ............... 10344

(a), (b) and (c) removed; (d) and(e) redesignated as (a) and (b)................................................. 68953

24.844 Removed............................. 6895325.113 Regulation at 62 FR 64172

eff. 2–9–98.................................... 649725.115 Regulation at 62 FR 64172




eff. 2–9–98.................................... 649726.2 (b) amended............................ 6895326.4 Amended....................... 56577, 6895326.11 (a) revised............................. 6895326.51 Revised; eff. 10–5–98 ............... 3660426.56 Added ................................... 71041


Chapter I—Continued26.104 (e) revised ........................... 6895326.105 Revised ............................... 4120326.203 Revised ............................... 5657826.204 Removed............................. 5657826.205 Revised ............................... 5657826.206 Revised ............................... 5657826.207 Revised ...................... 56578, 6895426.208 Revised ............................... 5657826.209 (b)(2) revised ....................... 6895426.210 Revised ............................... 5657826.303 Removed............................. 6895426.304 Removed............................. 6895426.305 Removed............................. 6895426.306 Removed............................. 6895426.307 (a) revised ........................... 56578

Removed......................................6895426.309 Removed............................. 7104126.310 Removed............................. 6895426.311 Removed............................. 6895426.312 Removed............................. 6895426.313 Removed............................. 56578

Removed......................................6895426.314 Removed............................. 6895426.315 Removed............................. 6895426.316 Removed............................. 6895426.317 Revised ............................... 56578

Removed......................................6895426.318 Removed............................. 6895426.319 Removed............................. 6895426.320 Revised ............................... 56578

Removed......................................6895426.322 Removed............................. 6895426.323 (a) revised ........................... 6895426.324 Removed............................. 6895426.325 Removed............................. 6895426.326 Removed............................. 6895427.3 (b) amended............................ 6895427.4 Amended................................ 6895427.11 (a) revised............................. 6895427.15 (b)(1) revised......................... 6895427.59 Removed .............................. 6895427.61 Removed .............................. 6895427.62 Revised ................................ 41203

Removed......................................6895427.203 (b) revised............................. 234927.207 Removed............................. 6895427.209 (d) revised............................. 234927.301 Removed............................. 6895427.303 Removed............................. 6895427.304 Removed............................. 6895427.306 Removed............................. 6895427.307 Removed............................. 6895427.310 Removed............................. 6895527.311 Removed............................. 6895527.312 Removed............................. 6895527.313 Removed............................. 68955


587



Chapter I—Continued27.314 Removed............................. 6895527.315 Removed............................. 6895527.316 Removed............................. 6895527.317 Removed............................. 6895527.319 Removed............................. 6895527.320 Removed............................. 6895527.322 Removed............................. 6895527.324 (a)(3) added; (b)(3) re-

vised......................................... 10344Removed......................................68955

27.325 Removed............................. 6895536 Policy statement...................... 42753

Order ...........................................6399336.125 (a)(5) revised......................... 212436.601 (c) revised............................. 2124

Amended .....................................6465136.612 (a) introductory text re-

vised .......................................... 212436.613 (a) introductory text

amended .................................... 212436.621 (a)(1) and (4) introductory

text amended; (a)(2), (3),(4)(ii)(A) and (C) revised.............. 2124

36.622 (a) introductory text and(b) introductory text re-vised .......................................... 2125

36.631 (a) through (d) revised........... 2125

199947 CFR 64 FR

Page

Chapter I20 Clarification ............................ 3831320.3 Amended................................ 6013020.6 Revised .................................. 5457420.9 (b) introductory text and (1)

revised ..................................... 26887(a)(12) and (13) redesignated as

(a)(13) and (14); new (a)(12)added ........................................59659

20.12 Revised ................................ 6102720.18 (e) revised; (f) and (g) redes-

ignated as (j) and (k); (f)through (i) added; eff. in part 3–3–00 (OMB number pending)....... 60130

(d)(1) and (j) revised .....................7295621 Nomenclature change ................ 405521.2 Regulation at 63 FR 65100 eff.

date corrected to 2-8-99 ............... 4054Amended .....................................63730

21.11 Regulation at 63 FR 65100 eff.date corrected to 2-8-99 ............... 4054

(d) and (e) amended......................6373021.23 (c)(1)(vi) revised; (c)(2)

added........................................ 63730


Chapter I—Continued21.27 Regulation at 63 FR 65101 eff.

date corrected to 2-8-99 ............... 405421.30 Regulation at 63 FR 65101 eff.

date corrected to 2-8-99 ............... 405421.31 Regulation at 63 FR 65101 eff.

date corrected to 2-8-99 ............... 4054(a) revised; (e)(6)(iv) removed ......63730

21.42 Regulation at 63 FR 65101 eff.date corrected to 2-8-99 ............... 4054

21.101 Regulation at 63 FR 65101eff. date corrected to 2-8-99.......... 4054

(a) footnote 2 revised ...................6373021.118 Regulation at 63 FR 65101

eff. date corrected to 2-8-99.......... 405421.201 Regulation at 63 FR 65101

eff. date corrected to 2-8-99.......... 4054Revised........................................63731



(a), (b) and (c) redesignated as(a)(1), (2) and (3); introductorytext and concluding text des-ignated as (a) introductorytext and (b) ...............................63731


(d) revised....................................6373121.902 Regulation at 63 FR 65102

eff. date corrected to 2-8-99.......... 4054(b)(3), (4), (7), (f)(1), (2)(i), (ii),

(i)(1), (2), (4) introductorytext, (iii), (iv), (v), (6)(i) intro-ductory text, (iii)(E), (F) and(iv) revised................................63731


(d) revised....................................6373221.904 Regulation at 63 FR 65103

eff. date corrected to 2-8-99.......... 4054Revised........................................63732


(b) and (d) introductory text re-vised .........................................63732


(a) revised; (d) amended ...............6373321.907 Regulation at 63 FR 65104



eff. date corrected to 2-8-99.......... 4054


588



Chapter I—Continued(b), (c), (d), (g)(3), (6)(i), (ii), (8),

(h), (k), (m) and (n) revised; (a)and (o) amended........................63733


Heading, (a) and (b) revised; in-troductory text, (c) and (d) re-moved.......................................63735

21.912 Heading and Note 1 revised;eff. 11–16–99 ............................... 50644


(e)(4) removed; (e)(5) redesig-nated as (e)(4); (a), (b), (e) in-troductory text, (1), new (4)(i),new (vi) and (h) revised.............63736

21.924 (a) revised ........................... 6072621.925 Regulation at 63 FR 65112


eff. date corrected to 2-8-99.......... 4054(b) amended .................................63737

21.940 Second 21.940 correctly re-designated as 21.949 .................... 4055

21.949 Correctly redesignatedfrom second 21.940....................... 4055

(a) and (b) introductory text re-vised; (d) amended; (b)(5)added ........................................63737

22.165 (e) amended; eff. 11–30–99......53240(e) amended; eff. 11–30–99 .............53240

22.213 Added ................................. 3378122.215 (a) revised ........................... 3378122.217 (a) revised; (b)(4) added ........3378122.219 Removed............................. 3378122.221 (b) and (c) revised ................ 3378122.223 (b)(1)(i), (ii) and (2) amend-

ed; (b)(4) and (e) added ............... 3378122.225 (a)(1), (b)(1), and (e) re-

vised......................................... 3378222.503 (b)(2), (3), (h), (i), (k)(1) and

(2) amended .............................. 3378222.507 (c) revised ........................... 3378422.509 (c) removed ......................... 3378422.513 Added ................................. 3378422.529 Introductory text revised;

(c) added; eff. 11–30–99 (OMBnumber pending) ...................... 53240

Introductory text revised; (c)added; eff. 11–30–99 (effectivedate pending)............................53240

22.531 (f) amended ......................... 3378422.709 (f) added (effective date

pending in part) ........................ 53240(f) added (effective date pending

in part) .....................................53240


Chapter I—Continued22.803 (c) added (effective date

pending in part) ........................ 53240(c) added (effective date pending

in part) .....................................5324022.921 Added (OMB number pend-

ing) .......................................... 3456822.929 Introductory text revised;

(d) added; eff. 11–30–99 (OMBnumber pending) ...................... 53241

Introductory text revised; (d)added; eff. 11–30–99 (effectivedate pending)............................53241

22.942 Revised ............................... 5457622.946 (a) amended; eff. 11–30–

99.............................................. 53241(a) amended; eff. 11–30–99 .............53241

22.953 (a)(5) removed; eff. 11–30–99.............................................. 53241

(a)(5) removed; eff. 11–30–99 ..........5324122.1100—22.1103 (Subpart J)

Added; eff. 12–23–99 .................... 5171724.203 (b) amended......................... 2689024.900—24.903 (Subpart J) Added;

eff. 12–23–99 ............................... 5171725 Orders ...................................... 1439425.137 (a) introductory text and

(b) revised (effective date pend-ing) .......................................... 61792

25.200 Added ................................... 499725.202 (a)(1) table revised ................ 2591

(a)(1) corrected..............................656527.6 Introductory text revised....... 6072632.11 (b) through (e) revised; eff.

11–15–99..................................... 5000632.16 (a) revised; eff. 11–15–99.......... 5000732.23 (c) revised; eff. 11–15–99.......... 5000732.2000 (a)(4) revised; (b)(4) and (i)

removed; (j) amended; eff. inpart 11–15–99 (OMB numberspending) ................................... 50007

32.2003 (a) revised; eff. 11–15–99.......5000732.2114 Revised; eff. 11–15–99 .......... 5000732.2115 Removed; eff. 11–15–99 ........5000732.2116 Removed; eff. 11–15–99 ........5000732.2124 (c) removed; (d) revised;

eff. 11–15–99 ............................... 5000732.2311 (d) revised; eff. 11–15–99.......5000732.2690 (c) revised; eff. 11–15–99.......5000732.3500 (c) revised; (d) added; eff.

11–15–99..................................... 5000732.4999 (l) revised; (n) table

amended; eff. 11–15–99................ 5000832.5010 Removed; eff. 11–15–99 ........5000832.5280 a) revised; eff. 11–15–99........5000832.5999 (f)(5) and (h) table amend-

ed; eff. 11–15–99 .......................... 50008


589



Chapter I—Continued32.6110 (a) revised; eff. 11–15–99.......5000832.6114 Revised; eff. 11–15–99 .......... 5000832.6115 Removed; eff. 11–15–99 ........5000832.6116 Removed; eff. 11–15–99 ........5000832.6124 Revised; eff. 11–15–99 .......... 5000832.6724 Revised; eff. 11–15–99 .......... 5000832.9000 Amended; eff. 11–15–99 ........5000836.601 (c) amended......................... 3092436 Order........................................ 67372

Effective date confirmation ........7295636.601 (c) revised ........................... 6743036.611 Introductory text and (h)

revised ..................................... 6743036.612 (a) revised ........................... 6743036.622 (a)(1) and (b)(1) revised; (d)

removed ................................... 6743036.631 (d) introductory text re-

vised......................................... 67430(c) introductory text revised .......73428

200047 CFR 65 FR

Page

Chapter I20 Petition reconsideration .......... 15559

Authority citation revised ..........19685Actions on petitions...........60112, 78990Technical correction ...................62646

20.12 (a), (b)(1) and (c) revised; eff.11–28–00..................................... 58482

20.15 (b)(1) revised......................... 19685(b)(1) corrected ............................24654

20.18 (g)(1), (2) and (i) revised .........58661(c) note revised ............................82295

21 Actions on petions...................... 413621.23 (c)(2) revised ......................... 4661721.31 (a) revised............................. 4661721.42 (c)(8) revised ......................... 4661721.106 (a)(2) revised ....................... 4661721.901 (e) revised; eff. 10–10–00 ........5416921.902 (c) introductory text and

(i)(1) revised; (m) added (effec-tive date pending in part) .......... 46617

21.906 (d) revised ........................... 4661721.908 (d) revised ........................... 4661721.909 (c)(1), (2), (d) introductory

text, (1), (g)(3), (4), (6) introduc-tory text, (i), (ii), (iii), (h) and(o) revised; (c)(3) and (g)(6)(iv)removed ................................... 46618

21.913 (a), (b) introductory text,(2), (e) introductory text,(4)(vi) and (viii) revised; (b)(8)and (e)(4)(ix) added (effectivedate pending in part)................. 46619

21.920 Amended; eff. 10–5–00 ........... 53614


Chapter I—Continued22 Petition reconsideration .........15559,

25450Authority citation revised ..........17448

22.323 (b) and (c) revised; (d) re-moved ...................................... 49202

22.621 Introductory text revised;(a) and (b) removed.................... 17448

22.859 Introductory text and tablerevised ..................................... 49203

22.901 Introductory text and (d)revised ..................................... 49202

22.948 Added ................................. 3705724 Petition reconsideration .........14213,

15559, 2545224.2 (h) and (j) revised.................... 3832524.101 Removed; eff. 8–7–00............. 3585224.102 Introductory text revised;

(d) removed; eff. 8–7–00 .............. 3585224.103 (a) through (d), (e) intro-

ductory text and (f) revised;note removed; eff. 8–7–00............ 35852

24.104 Added (Effective date pend-ing) .......................................... 35853

24.129 Amended; introductorytext and (c) revised; (d) re-moved; eff. 8–7–00 ...................... 35853

24.130 Revised; eff. 8–7–00............... 3585324.132 (e) revised; eff. 8–7–00 ........... 3585324.145 Regulation at 62 FR 61456

eff. in part 1–20–98...................... 5415524.202 Introductory text revised;

eff. 11–6–00................................. 5363624.203 (b) revised; eff. 11–6–00.......... 5363624.229 (b) revised; eff. 11–6–00.......... 5363724.243 (c) and (d) revised ................ 4611324.245 (a)(2) revised ....................... 4611324.302 Removed; eff. 8–7–00............. 3585424.303 Removed; eff. 8–7–00............. 3585424.304 Removed; eff. 8–7–00............. 3585424.305 Removed; eff. 8–7–00............. 3585424.306 Removed; eff. 8–7–00............. 3585424.307 Removed; eff. 8–7–00............. 3585424.308 Removed; eff. 8–7–00............. 3585424.309 Removed; eff. 8–7–00............. 3585424.320 Removed; eff. 8–7–00............. 3585424.321 Added; eff. 8–7–00 ................. 3585424.404 (a)(1) revised; eff. 8–7–00 .......3585524.430 (a)(3) amended; (a)(4) re-

moved; (a)(5) redesignated as(a)(4); eff. 8–7–00......................... 35855

24.709 (a) introductory text, (1),(3), (b)(9)(i) and (d)(1) revised;(b)(9)(ii) and (e) redesignatedas (b)(9)(iv) and (g); new(b)(2)(ii), (iii), new (e) and (f)added; eff. 11–6–00 ...................... 53637


590



Chapter I—Continued(b)(5)(i)(D) and (ii) revised ...........68931

24.710 Removed; eff. 11–6–00 ........... 5363724.712 Revised; eff. 11–6–00 ............. 5363724.714 (a)(2) and (3) revised; eff. 11–

6–00........................................... 5363824.717 (a) and (b) revised; eff. 11–6–

00.............................................. 5363824.720 (i) revised; eff. 11–6–00 .......... 5363824.839 (a) introductory text, (2),

(3) and (5) revised; (a)(6) added;eff. 11–6–00................................. 53638

24.903 (a) and (b) introductorytext revised .............................. 18255

25 Authority citation revised........59142Order ...........................................59749

25.114 (c)(6)(iii) and (21) re-vised......................................... 59142

25.115 (e) added; eff. 10–10–00 .......... 54169(d) revised....................................59142

25.121 (a) revised ........................... 5914225.131 (j) amended ......................... 5846625.133 (b) revised ........................... 5914225.136 Revised ............................... 5914225.137 Regulation at 64 FR 61792

eff. 12–22–99................................. 3614(b) correctly revised ....................16327(d) added ......................................59143

25.138 Added; eff. 10–10–00 .............. 5416925.143 (a), (b)(1), (2), (e)(1) intro-

ductory text, (iii) and (f)(1) re-vised; (e)(3) added...................... 59143

25.145 (g) introductory text, (1),(2) and (3) redesignated as (g)(1)introductory text, (i), (ii) and(iii); new (g)(2), (h) and (i)added; eff. 10–10–00..................... 54171

25.201 Amended............................. 5914325.202 (a)(1) revised; eff. 10–10–

00.............................................. 5417125.202 (a)(4) revised ....................... 5914425.203 (c)(3) revised ....................... 38325

(c) introductory text revised .......5914425.208 (c) revised; (d), (e) and (f)

added; eff. 10–10–00..................... 5417125.251 (a) revised; eff. 10–10–00 ........54172

(b) amended .................................5846625.279 (a) revised ........................... 5914425.601 Amended; eff. 10–5–00 ........... 5361427 Heading and authority cita-

tion revised................................ 314427.1 (a) amended; (b) revised............ 3144

(b)(2) revised................................1760127.2 Revised ................................... 3144

(a) revised; (b) redesignated as(c); new (b) added ......................17601


Chapter I—Continued27.3 (e) through (h) redesignated

as (f), (k), (l) and (m); new (e),new (g), new (h), (i), (j) and (n)added ......................................... 3145

27.4 Amended ........................ 3145, 1760227.5 Introductory text, (a) and (b)

redesignated as (a) introduc-tory text, (1) and (2); new (a) in-troductory text revised; new(b) added .................................... 3145

(b)(1) and (2) revised.....................1760227.6 Introductory text, (a) and (b)

redesignated as (a) introduc-tory text, (1) and (2); new (a) re-vised; new (b) added .................... 3145

(b)(1) revised................................17602(b)(1) corrected: eff. 10-10-00 .........60113(b)(1) and (2) corrected .................60113

27.10 Added .................................... 3146Introductory text added ..............17602

27.11 (a) amended; (b) revised; (c)added ......................................... 3146

27.12 Revised ................................ 1760227.13 Revised .................................. 3146

(b) corrected.......................12483, 57267(b) revised....................................17602

27.14 (a) amended............................ 314627.15 (b)(4) revised; (e) added ........... 3146

(a)(1) amended .............................5726827.50 Amended; (a) and (b) redes-

ignated as (b)(1) and (b)(2); new(a), (b) introductory text and(c) Table 1 added ......................... 3147

(a) and (b) redesignated as (b)and (a); new (b) revised; (c)table amended ..........................17602

(b) revised; (c) Table 1 amended................................................. 42882

(b)(2) correctly revised ................5726727.51 Revised .................................. 314727.53 (a) introductory text re-

vised; (c) redesignated as (f);new (c), (d) and (e) added ............. 3147

(e) and (f) redesignated as (f) and(g); new (e) added; new (f) re-vised .........................................17602

(c) revised; (d) removed; (e), (f)and (g) redesignated as (d), (e)and (f) .......................................42883

27.55 Revised .................................. 3148(b) revised....................................17605

27.60 Added .................................... 3148Introductory text, (b) introduc-

tory text, (2)(i) and (ii) amend-ed..............................................17605

(b)(2)(i) and (ii) amended..............42883


591



Chapter I—Continued27.66 Added .................................... 3149

(b) corrected.......................12483, 57267(a), (b) and (c) revised ..................17605

27.201—27.210 (Subpart D) Head-ing revised................................ 57268

27.201 Heading revised, amend-ed ............................................. 57268

27.202 Amended............................. 5726827.205 (a) amended......................... 5726827.209 (a) amended......................... 5726827.210 (d)(3)(ii)(C) Example and (5)

Examples 1 and 2 amended.........5726827.308 Amended .............................. 3149

Revised........................................5726827.501—27.502 (Subpart F)

Added ........................................ 3149Heading revised ...........................17605

27.501 Revised ............................... 1760527.601—27.607 (Subpart G)

Added ....................................... 1760532 Reporting and recordkeeping

requirements............................ 5866132.13 (a)(3) revised......................... 1633432.25 Revised ................................ 1633432.27 (c) revised............................. 1633432.2002 Revised ............................. 1633432.2003 (c) revised.......................... 1633532.5999 (f) removed; (g) and (h) re-

designated as (f) and (g) ............. 1633536 Order........................................ 8175936.601 (c) amended......................... 7899236.611 Regulation at 64 FR 67430

eff. in part 12-15-99..................... 7295636.612 Regulation at 64 FR 67430

eff. in part 12-15-99..................... 72956

2001(Regulations published from January 1,

2001, through October 1, 2001)

47 CFR 66 FRPage

Chapter I20 Actions on petitions ................. 2244520.9 (a)(6) through (9) revised.........1096820.15 (c) and (d) revised .................. 1687920.20 Amended .............................. 1096821.20 (b)(9) and (10) amended;

(b)(11) added; eff. 12–3–01 ............ 4789621.912 Notes 1 and 2 amended ........... 997122 Actions on petitions ................. 1504124 Actions on petitions................... 977324.129 Revised ............................... 2992024.130 Removed............................. 2992024.133 (a) introductory text re-

vised......................................... 10968


Chapter I—Continued25.115 (c) existing text redesig-

nated as (c)(1); (c)(2) added ........3155925.120 (a) amended .......................... 997325.134 Heading revised; (a) exist-

ing text redesignated as (a)(1);new (a)(1) heading, (2) and (b)heading added........................... 31560

25.146 Added ................................. 1061925.201 Amended............................. 1062125.202 (a)(1) revised ....................... 1062225.203 (b), (c) and (d) revised........... 1062225.204 (f) revised............................ 1062325.208 (b) revised; (g) through (m)

added........................................ 1062325.209 (a) introductory text re-

vised; (h) added ......................... 1063025.212 Heading revised................... 1063025.251 Revised ............................... 1063025.271 (e) added.............................. 1063127 Actions on petitions................... 9035

Authority revised ........................1037727.501 Undesignated text des-

ignated as (a); (b) added............. 10377(b) introductory text correctly

added ........................................2128736.3 Added (OMB number pend-

ing) .......................................... 33204OMB number ...............................35107

36.123 (a)(5) and (6) added ............... 3320536.124 (c) and (d) added................... 3320536.125 (h), (i) and (j) added .............. 3320536.126 (b)(5), (c)(4), (e)(4), (f)(1)(ii)

and (2) added ............................. 3320536.141 (c) added.............................. 3320636.142 (c) added.............................. 3320636.152 (d) added ............................. 3320636.154 (g) added ............................. 3320636.155 (b) added ............................. 3320636.156 (c) added.............................. 3320636.157 (b) added ............................. 3320636.191 (d) added ............................. 3320636.212 (c) amended......................... 3320636.214 (a) amended......................... 3320636.372 Amended............................. 3320736.374 (b) revised; (c) and (d)

added........................................ 3320736.375 (b)(5) and (6) added ............... 3320736.377 (a) introductory text re-

vised; (a)(1)(ix), (2)(vii), (3)(vii),(4)(vii), (5)(vii), (6)(vii), (7)(i)and (ii) added ............................ 33207

36.378 (b)(1) added.......................... 3320836.379 (b)(1) and (2) added ............... 3320836.380 (d) and (e) added................... 3320836.381 (c) and (d) added................... 3320836.382 Revised ............................... 33208


592



Chapter I—Continued36.601 (c) amended......................... 3008536.602 Added ................................. 3008536.603 Added ................................. 3008536.604 Added ................................. 3008536.605 Added (OMB number pend-

ing) .......................................... 30085OMB number ...............................34581

36.611 Introductory text revised(OMB number pending) ............. 30086


Chapter I—ContinuedOMB number ...............................34581

36.612 (a) introductory text re-vised......................................... 30086

36.621 (a)(4) introductory text and(ii) amended; (a)(4)(i), (ii)(A),(B) and (C) revised; (a)(4)(ii)(D)added........................................ 30086

36.622 (a) introductory textamended................................... 30087

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